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Records Retention Policy #119

Policy #119 Approved: February 17, 2011
UNIVERSITY OF NORTH CAROLINA SCHOOL OF THE ARTS
Records Retention Policy
Policy #119
Source of Authority: N.C.G.S. § 121-5;
N.C.G.S. § 132-3;
N.C.G.S. § 116-34(a);
UNC Code § 502(A)
Revision Authority: Chancellor
History: First Issued: February 17, 2011
Related Policies: University General Records Retention and Disposition Schedule;
UNCSA Specific Records Retention and Disposition Schedule;
E-Mail Policy #502;
Improper Activities Reporting Policy #114;
Records Request Policy #118;
Research Misconduct Policy #120;
Statement on Policies #001
Responsible Offices: General Counsel
University Archivist
Effective Date: February 17, 2011
PDF: POLICY #119

I. Purpose

State law requires agencies to retain Public Records and prohibits their destruction except in accordance with the guidelines established by the North Carolina Department of Cultural Resources.

II. Scope

This regulation applies to all UNCSA employees and covers all records, regardless of form, made or received, in connection with the transaction of UNCSA business.

III. Definitions

A. “Document Hold” means a directive to retain documents in a designated file and/or for a period longer than the established retention period.

B. “Historical Value” means records that have administrative, legal, fiscal or evidential importance as well as documenting significant events, actions, decision, conditions, relationships and similar developments.

C. “Public Record” means all documents, papers, letters, maps, books, photographs, films, sound recordings, electronic data-processing records such as E-mails and other electronic documents, magnetic or other tapes, electronic data-processing records, artifacts or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions. Personal records such as personal E-mail messages do not constitute public records.

D. “Public Record with Short-Term Value” means those records possessing only brief administrative, fiscal, legal, research, or reference value. This category of record includes, but is not limited to, the following: reservations, routing slips, facsimile cover sheets, and those records that do not contain information necessary to conduct official business, meet statutory obligations, carry out administrative functions, or meet organizational objectives.

E. “University Personnel” means all UNCSA employees whether permanent, temporary, full-time or part-time, faculty, staff, administrators, student employees and agents of UNCSA (including volunteers but not including independent contractors) to the extent they are acting within the scope of their agency authority.

F. “Unscheduled Record” means any record not listed in a retention and disposition schedule or department specific schedule approved by the Chancellor, General Counsel, University Archivist and Department of Cultural Resources.

IV. Policy

A. Retention Schedules

1. The Department of Cultural Resources has approved a University General Records Retention and Disposition Schedule (“University General Schedule”) that governs the destruction or other disposition of University records.

2. The University General Schedule may be supplemented by individual department specific schedules (“Department Specific Addenda”) approved by the Department of Cultural Resources pursuant to the procedures outlined in this regulation.

3. Department Specific schedules approved prior to June 5, 2007 are deemed superseded and no longer applicable under this policy.

B. Generally. Generally, the University General Schedule and all approved supplemental institutional Department Specific Addenda govern the retention and disposition of all University records.

C. Unscheduled Records. Public Records, including electronic records, not listed in the schedule or in an official approved Department Specific Addenda that meet the minimum retention periods specified in the University General Schedule may not be destroyed unless specific approval from the Department of Cultural Resources is obtained.

D. Public Records Destruction

1. Public Records may only be destroyed when they have met their retention requirements under an approved schedule.

2. Public Records with short-term value may be destroyed or otherwise disposed of when their reference value ends.

3. Unscheduled Public Records that the Department of Cultural Resources has specifically approved for destruction may then be destroyed by the University.

4. Document Holds. Notwithstanding the foregoing instructions, the Auditor, CAO, CFO, or General Counsel may issue a document hold for any records subject to a pending FERPA request, audit or official investigative proceedings, or that relate to pending or probable litigation. Persons or departments in charge of documents subject to a document hold must retain the documents until the audit, official proceeding, or litigation concludes and/or until the office issuing the hold provides written permission to destroy the records.

E. Unit And Individual University Personnel Responsibilities

1. Unit Record Retention Management Practices

a. University units are responsible for establishing appropriate record retention management practices that are consistent with this policy and the procedures of the University General Schedule and any applicable approved Department Specific Addenda.

b. Each department head or dean will identify and appoint a records manager who will be responsible for ensuring:

i. that unit records are retained and disposed of in accordance with the University General Record Schedule and Department Specific Addenda;

ii. that access to confidential University records and information is restricted;

iii. that records with historical value are delivered to the University Archivist; AND

iv. that accurate records of destruction or transfer activity are maintained.

c. The records manager shall also process appropriate unit requests for approval of Department Specific Addenda, as necessary.

d. Records managers must be familiar with the guidelines contained in the State Records Center Handbook.

2. University Personnel Termination or Transfer

a. When a University Personnel terminates or changes his/her affiliation with UNCSA, it is the responsibility of the relevant department head or dean to ensure that records under the responsibility of that University Personnel are retained or disposed of in compliance with this Policy, the University Records Retention and Disposition Schedule, and any applicable approved Department Specific Addenda.

b. This action must be taken before the University Personnel leaves if at all possible.

3. Electronic Mail Retention and Disposition.

a. The custodian of e-mail messages will normally be the originator if that person is University Personnel; otherwise, it will be the individual University Personnel to whom the message is addressed once the message is received at the University.

b. The custodian is responsible for preserving e-mails, notwithstanding any automatic repository.

c. If University Personnel use e-mail addresses not maintained by the University (e.g. Yahoo!, MSN, Roadrunner, gmail) to create or receive e-mail that relates to University business, then the University Personnel, as the e-mail custodian, is under a legal obligation to preserve, maintain and present upon request that e-mail according to the University Records Retention and Disposition Schedule.

F. Violations. Violations of this policy and procedure are subject to disciplinary action up to and including dismissal.

V. Revision History

A. February 17, 2011 – Adopted by Board of Trustees as part of UNCSA Policy Manual


UNIVERSITY OF NORTH CAROLINA SCHOOL OF THE ARTS

Records Retention Procedures

Procedure #119

I. Schedules

A. University General Records Retention and Disposition Schedule is available a at http://www.northcarolina.edu/legal/policies/Records_Retention_and_Disposition_Schedule.pdf

B. The UNCSA Specific Records Retention and Disposition Schedule is available at http://www.uncsa.edu/vcprovost/UNCSASpecificRecordsSchedules.pdf.

II. Procedures for Approval of Department Specific Addenda

A. University units must seek approval for new or revised Department specific Addenda when specific unit records are not included in the University General Schedule or when an existing approved Department Specific Addenda needs revision.

B. If units cannot locate particular records in the University General Schedule or a Department specific Addenda need revision, the unit should contact the University Archivist for assistance.

C. If the University Archivist determines that there is no appropriate record series in the University General Schedule or existing Department specific Addenda that meet the needs of the unit, the unit must submit a “Request for Approval of Department Specific Schedule/Addenda” form to the University Archivist who will consult with the Office of General Counsel.

D. If the request is approved, the University Archivist shall forward the form to the Chancellor or designee for approval and then to the Department of Cultural Resources for final approval.

E. Department Specific Addenda are not effective until approved by the Department of Cultural Resources and electronically published by the University as Department specific Addenda.

F. A request for approval of Department specific Schedule/Addenda must meet the minimum retention requirements set forth in the University General Schedule.

III. Procedures for Seeking Approval for the Destruction of Unscheduled Records

A. Authorization for destruction of Unscheduled Records must be obtained from the Department of Cultural Resources.

B. To obtain such approval, the unit must submit a “Unit Request for Destruction of Unscheduled Records” to the University Archivist.

C. If the University Archivist determines that the record has historical value, the unit will be notified of the possibility of transferring the record(s) to the Archives or to another designated, authorized permanent storage area.

D. If the University Archivist determines that the records do not have historical value and that the documents no longer have administrative value, the University Archivist will forward the “Unit Request for Destruction of Unscheduled Records” to the Department of Cultural Resources.

E. No destruction of any Unscheduled Record may take place until the unit is notified in writing of the approval of the Department of Cultural Resources.

IV. Document Hold Procedures

A. If a document hold is issued, it will be sent to all UNCSA affiliated individuals who may have possession of records falling under the hold. Each of these individuals will immediately suspend deletion or destruction of all documents related to the actions identified in the document hold. This directive to retain the record applies even if the UNCSA Record Schedule would otherwise call for deletion or destruction.

B. Once a document hold has been issued, the individual(s) having control of the records shall issue a short acknowledgement to office issuing the hold and must comply with the hold until lifted.

C. All of these records, regardless of form, must be preserved such that they can be accessed at a later date and must be preserved in their original form.

D. Records falling within the scope of a document hold that are created or received after the legal hold has been issued must also be preserved in the manner specified in above.

E. For all records covered by a document hold, copies can be made for work purposes as long as the original form and format is preserved and will be accessible at a later date.

F. The office issuing the hold shall notify IT personnel of the hold and its scope and seek assistance if necessary.

G. If an individual in possession of documents under a document hold separates from employment, appropriate supervisory or IT personnel shall take possession of all evidence and electronic equipment under the control of the separated individual.

H. Once the need for the document hold has passed, the office issuing the hold will notify all necessary parties and the hold will be lifted.