Why do I need to keep all these records? “It’s the law!” Madeleine Bagwell Perez University Archives / Records Management Program UNC Charlotte - Atkins Library - Special Collections

Session Etiquette Please turn off all cell phones. Please keep side conversations to a minimum. If you must leave during the presentation, please do so as quietly as possible. 2

The University of North Carolina 3 16 campuses plus NC School of Science & Math

The University of North Carolina The University of North Carolina and its campuses are considered state agencies. Disposition of records governed by law: North Carolina General Statutes Chapters 121 &

The University's Records are Public Records “Unless specifically exempted by law, the records of The University of North Carolina, a State-supported institution, are public records as defined by Chapters 121 and 132 of the General Statutes of North Carolina: "Public record" or "public records" shall mean all documents, papers, letters, maps, books, photographs, films, sound recordings, 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. Agency of North Carolina government or its subdivisions shall mean and include every public office, public officer or official (State or local, elected or appointed), institution, board, commission, bureau, council, department, authority or other unit of government of the State or of any county, unit, special district or other political subdivision of government.” 5

The University's Records are Public Record Continued “Almost all University records are public property and constitute a record of public acts. Accordingly, they must remain in the custody and control of the University which created them or received them pursuant to law. They may be disposed of only in accordance with the provisions of General Statute Section 121-5(b). Rules and regulations regarding the implementation of this statute have been adopted by the North Carolina Historical Commission; oversight for compliance has been given to the North Carolina Department of Cultural Resources' Office of Archives and History.” 6

The Government Records Branch 7 part of the Archives and Records Section, North Carolina Department of Cultural Resources.

The Government Records Branch Continued “The primary mission of the Government Records Branch is to provide and administer records management services to state government agencies, local government agencies, and state-supported institutions of higher education in North Carolina in accordance with General Statutes 121 and 132 and the mandate provided in these laws for the preservation of the historical record of this state.” 8

Survey of UNC Campuses Using a simple search for “records management” at constituent campus websites: First try usually produces results. 14 lead to University Archives (Library). 3 centered elsewhere [Chancellor, ITS]. 5 list a records manager; 2 dedicated records centers. 9

Records Management Program at UNC Charlotte First general campus schedule written in Superseded in 1991 by a general University Records Retention and Disposition Schedule issued by the Government Records Branch. Until 2007 focus was on creation of individual office schedules. Policy regarding retention, disposition, and security of university records (Policy Statement #37) initially approved May

Records Management Program at UNC Charlotte Continued Updated January 2011, University Policy 605.3, Retention, Disposition, and Security of University Records restates: “Unless specifically exempted by law, the records of the University are "public records," defined by State law. Accordingly, they must remain in the custody of the University and be disposed of only as provided by State law. The implementation of this policy has been delegated the University Archivist. The Archivist, with the Chancellor's approval, promulgates guidelines and procedures for the handling of records. Each campus administrator is responsible for assuring that policies and procedures are in place for adherence to segments of this policy.” 11

Records Management Program at UNC Charlotte Continued Currently use UNC (System) General Records Retention and Disposition Schedule (approved 2007) as default. Hosted by Office of Legal Affairs on its website: Call University Archives Office to discuss specific schedule needs – x71166 ( ) or by 12

Program-specific schedules Need a schedule for specific office records, not covered by the General Schedule, we can write one for you. Submit to Government Records Branch, for approval. Once approved, implement schedule in office. 13

Services we offer: Interpretation of schedules with input from Legal Affairs, Internal Audit, and Human Resources. Transfer of historical material to University Archives. Reference/retrieval of records for campus offices. Limited record center storage facilities for permanent non-historical records. 14

University Archives Established Hold the historical records of UNC Charlotte & its predecessor institutions: Charlotte Center & Charlotte College. Collect and provide access to the non-current, permanently valuable, university records: including all major campus divisions and offices, faculty governance, and student life. 15

UNC Charlotte Records Retention Schedule Update Phil Maher/Madeleine Perez UNC Charlotte

Controlling Documents Current UNC Charlotte Record Financial Services Retention Schedule UNC General Administration Schedule adopted 2007 North Carolina State Agency Schedule adopted 2009 UNC Charlotte Policies 101.8, 311, 402, 605.2,

Changes Financial Services Record Retention Schedule Expanded the records to include more types that Financial Services staff may retain Formatted the schedule to match what UNC General Administration and State Agencies follow In most cases adopted the more stringent retention requirements Minor wording changes to match State accepted requirements Group like records together 18

Series Areas Administrative Financial Accounting Budget Purchasing Payroll Student Accounts AP/Travel Foundation/Trust Fund/Endowment Administrative Systems Departmental Personnel Tax 19

Example of Records Schedule SeriesDescriptionItems Disposition (transfer includes appraisal and final disposition to be determined by the University Archivist) Compliance CitationRecord Custodian Administrative Records AdministrativeAdministrative and official daily operations of an individual office. reports, memoranda, correspondence, directives Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value ends. All Agreements, Contracts, and LeasesWith consultants, vendors and other firms concerning services, equipment and obligations. correspondence, memorandaOriginal: Destroy in office 5 years after expiration of all rights and obligations. For sealed agreements, destroy in office 10 years after expiration of all rights and obligations. Reference: Destroy in office when reference value ends. Materials Management Annual ReportsReport of work completed by office, unit, department, division, college/school each year. Original: Transfer 1 copy to University Archives when completed; retain 1 copy in office permanently. Reference: Destroy in office after 3 years when reference value ends. All Managers Committees, Councils, Task ForcesOfficial university committees, councils or task forces appointed, elected or ad hoc correspondence, minutes, notifications of meetings, agendas, reports, briefing materials, working papers Original: Transfer to University Archives at end of academic year or at expiration of group. Reference: Destroy in office when reference value ends. All Committee, Council or Task Force Chairs ComplaintsComplaints concerning services.correspondenceDestroy in office after 2 years. All Conferences, Training Programs and Workshops – Conducted University initiated or sponsored conferences, programs, or workshops. correspondence, agendas, handouts, training materials, critiques, reports, contracts, registration Original: Transfer to University Archives after 5 years. Reference: Destroy in office when reference value ends. All Message FileElectronic mail ( ) messages sent or received pursuant to law or ordinance in connection with the transaction of public business by the university s sent or received shall not be permanently deleted or moved from an employee’s account for at least 24 hours, except that any messages received that are not clearly related to the transaction of State business, such as e- mails containing advertising materials or offensive materials may be immediately and permanently deleted. Executive Order # All 20

Next Steps AVC approves final version University Archivist reviews Submit final version to North Carolina Dept. of Cultural Resources Office of Archives and History Once approved publish on Financial Services Web Page 21

Reference Documents UNC GA General Records Retention and Disposition Schedule 2007UNC GA General Records Retention and Disposition Schedule 2007 General Schedule for State Agency Records 2009 UNC Charlotte Financial ServicesRetentionGuide2005.pdfUNC Charlotte Financial ServicesRetentionGuide2005.pdf UNC Charlotte Financial Services Records Retention Schedule 2012UNC Charlotte Financial Services Records Retention Schedule