Why do I need to keep all these records? “It’s the law!”

1. 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

2. 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.

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

4. 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 & 132.

5. 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.”

6. 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.”

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

8. 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.” http://www.records.ncdcr.gov/colleges.htm

9. 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.

10. Records Management Program at UNC Charlotte • First general campus schedule written in 1970. 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 1996.

11. 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.”

12. 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: https://legal.uncc.edu/sites/legal.uncc.edu/files/media/UNCGeneralSchedule.pdf • Call University Archives Office to discuss specific schedule needs – x71166 (704-687-1166) or by email: mbperez@uncc.edu

13. 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.

14. 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. • Limitedrecord center storage facilities for permanent non-historical records.

15. University Archives • Established 1970. • 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.

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

17. 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, 605.3

18. 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

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

20. Example of Records Schedule

21. 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

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