Records Retention and Disposition Policy
Records Retention and Disposition Policy
Date enacted or revised:
October 22, 2012
In F/S Handbook:
no
Maintaining a records management program involves the areas of, 1) active files management, 2) vital records protection, 3) disaster recovery planning, 4) inactive records management, 5) image technology of document management, 6) electronic records management, 7) archives management, 8) forms management, 9) mail/message management, and 10) reprographics management. The key element in the program is the University's Records Retention Schedule, which is submitted to the State for approval every five (5) years. An approved schedule is valid for five (5) years.
All records created by University administrators or employees in the course of their duties on behalf of the McNeese State University are retained for as long as they are required to meet the legal, administrative, and operational requirements of the University, after which time they may be either destroyed or transferred to the University Archives. The final disposition (either destruction or transfer to the Archives) of records is carried out according to approved records schedule and University policies.
The President has designated the vice president of Business Affairs as the University Records Officer for McNeese State University. The University Records Officer will serve as the liaison with the Louisiana Secretary of State in all matters relating to records retention.
Records Retention Schedule - Form SS ARC 932 "Records Retention Schedule"
The State Retention Schedule, Form SS ARC 932, a standardized form created by State Archives, provides a format for each State agency to identify and classify its records by type. State Archives defines record types as "records series." Since a University is a very diverse agency, records series will differ greatly from one department to another. For example, University Police might have a record series relating to traffic accidents, and Administrative Accounting might have a record series relating to student accounts receivable, and both departments will more than likely have numerous others. It is important to note that State Archives does not consider email a record series. Email should be incorporated within other record series.
Since department heads would have the best knowledge in identifying their records series, they are expected to complete an accurate form SS ARC 932 for their departments in accordance with form instructions.
Once department heads have completed their respective SS ARC 932 forms for their individual departments, they should submit the forms to the Office of Business Affairs. The Office of Business Affairs will accumulate the SS ARC 932 forms and submit them to State Archives for approval. Once the approved SS ARC 932 forms are received from State Archives, Business Affairs will provide copies to department heads for their records.
Amended Retention Schedule - Form SS ARC 932 "Records Retention Schedule"
- Department heads should review their current Retention Schedules at least once a year, and the schedules should be amended when necessary, such as when additional series are discovered or when series no longer apply.
- Departments should submit their amended schedules to the University Records Officer, who will forward them to State Archives for approval. Once received, the University Records Officer will send a copy of the approved schedules to departments for their records.
Disposal of Records - Form SS ARC 930 "Request for Authority to Dispose of Records"
State Records Management Policies and Practices, LAC 4: XVII, Chapter 9, contains specific provisions relating to record disposal. Departments are advised to review these provisions prior to disposing records. Departments should be aware that even though a record might not be listed on their current Record Retention Schedule, Chapter 9 of the Records Management Policies and Practices still applies. Also, if a record is considered to be either confidential or sensitive, the record should be disposed in a manner that will maintain confidentiality.
General Procedures for completing SS ARC 930:
- Complete university/departmental information on the SS ARC 930 form as required.
- Select the series to be disposed from the Records Retention Schedule, SS ARC 932 and transcribe the relevant information to SS ARC 930, including series titles, item numbers, inclusive dates, etc.
- The completed SS ARC 930 form should then be forwarded to the University Records Officer who will forward the document to State Archives for approval. Once the approved SS ARC 930 is received by the University Records Officer, a copy will be sent to the department for its records and its use.
- Once a department head receives an approved SS ARC 930 from the University Records Officer, the department may dispose of the record. Departments must maintain a Certificate of Destruction (SS AR 933) or by using an alternate method described in the State Records Management Policies and Practices, LAC 4: XVII, Chapter 9, Section 913, for the records they dispose.
Archiving of Records
Records found to possess historical or archival value to McNeese State University may be determined to be archival and is required to be retained permanently. Contact the University Records Officer for guidelines on the archival process. The Lether Frazer Memorial Library is the designated Archives for the McNeese State University.
Reference Links
LA State Archives Records Management Handbook http://www.sos.louisiana.gov/Portals/0/archives/pdf/rm-handbook.pdf
LA State Archives Records Management Handbook Appendices - http://www.sos.louisiana.gov/Portals/0/archives/pdf/rm-appendices.pdf
Louisiana State Archives Policy Electronic Mail (E-mail) Retention
http://www.sos.louisiana.gov/Portals/0/archives/pdf/la_archives_e-mail_p...