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May 2011 Vicki Cooper Special Collections & Archives.

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2 May 2011 Vicki Cooper Special Collections & Archives

3 More space, less clutter … more organized and efficient University Policy AR-II-8.0-3 Records Management Policy State Law

4 All public records in Kentucky are subject to the terms of: Kentuckys State Archives and Records Act (KRS 171.410171.740)

5 What are Public Records ? Defined by Kentucky statute they are: all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form and characteristics, which are prepared, owned, used, in the possession of or retained by a public agency. KRS 171.410 (1)

6 avoid becoming a felon! Tampering with public records without the authority to do so is a Class D felony. KRS 519.060 (1) (b)

7 Identify what records you have. Find the record series on retention schedule. Title Contents Dates Volume Follow retention requirements. Complete forms. Receive approval, then proceed with transfer or destruction. l

8 Inventory sheet Type of record Who created and why Official versus General Correspondence Record versus department copy Dates Volume – cubic feet or MB

9 Do it once…Do it right. Identify records, find series, label all records/storage containers with that information Label as records are created

10 Directory and Folder Structure Office wide adoption best Naming Establish and follow standard naming convention Security Control access… shared drives Back up When, what format and where stored


12 Start immediately, even if only small steps. Dont create unnecessary records. Reduce duplicate copies. Create and use a file structure for all records, no matter what format. The Result:

13 Organize Retrieve Preserve Delete or Transfer

14 Permanent Office keeps Transfer Archives Temporary storage Label with completed destruction certificate, inside and outside of container Destruction date boldly labeled Destroy Just b/c schedule says can doesnt mean must. Do you still use it? Information available elsewhere?

15 State University Model Retention Schedule All Kentucky state universities use. Organized by major functional groups Use search function…try different terms Commonly Used Series

16 A. Miscellaneous Records B. Fiscal Records C. Awards Committees D. Student/Course Records E. Libraries/Archives/Museums F. Personnel/Payroll G. Buildings/Grounds/Physical Plant H. Purchasing I. Athletics J. Food Services K. Bookstore L. Campus Police M. Financial Aid N. Real Property O. Medical Facilities P. Sponsored Programs R. Legal S. Electronic and Related Records Master Files T. Administration Services Development Office U. Animal Diagnostic Laboratories V. Plant Disease Diagnostic Laboratory


18 Forms

19 Records past their retention period can be destroyed Records destruction must be documented by completing a Records Destruction Certificate Exception Records with litigation holds

20 Proof of authorized destruction (Felony avoidance) Must complete all parts Needs records custodian signature University Records Officer must approve before destruction Original filed with the KDLA in Frankfort

21 This certificate provides your legal proof of authorized records destruction Form is available on the Records Management website


23 Your Signature


25 This certificate provides your legal proof of authorized records destruction Felony avoidance


27 Permanent Retention – permanent records with historical significance are transferred to Special Collections and Archives

28 Colleges, Schools, Research Centers, Institutes & Departments Meeting minutes and agendas Official correspondence – especially from department heads Policies, guidelines, reports Organizational charts, staff lists Publications Photographs-names, dates, place/event Information on events, meetings, participants Recordings of events, lectures, presentations, publicity Any other records which document/describe your department, its history and function





33 AdvancementAnne Herbert Legal AffairsCathy Dewberry Student AffairsBarb Barnes Planning, Policy, and Budget Dina Neumann Administration and Finance Amy Fries Internal AuditingRachel Brueggen Office of the PresidentCasey Lundberg Chase College of LawGina Bray & Jenny Young Honors ProgramRita Thomas College of InformaticsPam Wagar College of BusinessGeoff Kerckaert Educational OutreachDiana Vonhagel Graduate ProgramsPeggy Allen Research, Grants & ContractsKellie Campbell NKU FoundationCharita Brewer Vice ProvostConnie Witte College of Arts & SciencesHeather Howard College of Health ProfessionsTracy Brate College of Education & Human ServicesMelissa Decker as of 5/12/10

34 Questions?

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