ROWAN UNIVERSITY POLICY

Title: Records Retention
Subject: Contracting and Procurement
Policy No: FIN: 2015:11
Applies: University-Wide
Issuing Authority: President
Responsible Officer: Senior Vice President for Finance and CFO
Adopted: new
Last Revision: 12/02/2016
Last Reviewed: 12/02/2016

I.  PURPOSE

This policy is designed to meet legal and regulatory standards, preserve its history, minimize the cost of records retention, optimize the use of space, and ensure that outdated and useless records are destroyed properly.

II.  ACCOUNTABILITY

Under the direction of the President, the Senior Vice President of Finance and CFO shall implement this policy and the Senior Director of the Office of Contracting & Procurement, or his/her designee, shall ensure compliance with the policy.

Currently, Robert Yufer, Professional Service Specialist, Office of Contracting & Procurement is the University's Record Retention Manager.  

III.  APPLICABILITY

This policy applies to all public records created or received at Rowan University.

IV.  DEFINITIONS

1. ACTIVE RECORD – A record with current use for the unit, department, or division that generated it. Records remain active for varying numbers of years, depending on the purpose for which they were created.
2. ARCHIVAL RECORD– A record that is no longer required by the unit, department, or division in which it originated or was received, and that has permanent legal, institutional, or historical value.
3. INACTIVE RECORD– A record with no current use for the unit, department, or division that generated it and that has not yet reached the end of its retention period.
4. OFFICIAL RECORD– An official record can be in hard-copy form (e.g., paper, magnetic tape, film, etc.) or electronic form. An electronic document (e.g., e-mail, cloud-based documents, etc.) is considered a University record and is subject to the same retention period as the hard copy equivalent if the electronic document is created or received in the transaction of business; retained as evidence of official policies/decisions; and/or has historical significance or valuable informational content. However, if explicit permission is provided by the New Jersey Division of Revenue & Enterprise Services – Records Management Services (RMS), approving the electronic database and the specific records, the physical copies may be destroyed.
5. OFFICIAL REPOSITORY –The unit, department, or division designated as having responsibility for retention and timely destruction of particular types of University records. Such responsibility is assigned to the unit's administrator or a designee. Official repositories are identified in Attachment 1.
6. UNIVERSITY ARCHIVES –The Archives collects and preserves records of historical, legal, fiscal, and administrative value. It provides permanent retention of official records of the University, its officers, and component parts; maps and architectural records; audiovisual materials; publications; and artifacts documenting the University's history.
7. UNIVERSITY ARCHIVIST– The individual responsible for designating which University records have historical value, and affecting the transfer of all archival records from the office in which they originated or were received to the University Archives at such times and in the manner and form prescribed by the Archives.
8. UNIVERSITY RECORD– Any form of recorded information, regardless of physical characteristics, that is created, received, recorded, or legally filed in the course of University business or in the University's legal obligations. University records serve as evidence of the University's organization, functions, policies, decisions, procedures, operations, transactions, or other activities.

V.  REFERENCES

1. State of New Jersey Records Retention Policy
2. State of New Jersey Record Retention Schedule Guide
3. Rowan SOM Records Retention Policy
4. Rowan University Purchasing Department Records Retention Policy

VI.  POLICY

1. Rowan University is committed to effective records retention and requires that University records, regardless of format, be disposed of or retained for specific periods of time in accordance with legal or other institutional requirements, or for historical value. As a public university, Rowan follows the State of New Jersey Records Retention Policy.
    
2. Each Department is responsible for adhering to this policy. Certain departments and units are designated as "Official Repositories," as listed in the procedures created pursuant to this policy. Office repositories are responsible for establishing and maintain appropriate records retention management practices in compliance with this Policy and its related procedures. Departments and units that are not official repositories are expected to retain records only while they remain active records.
    
3. Each unit's administrator or a designee must:
   • Implement the unit's and/or office's records management practices.
   • Ensure that these records management practices are consistent with this policy.
   • Educate staff within the administrative unit in understanding sound records management practices.
   • Preserve inactive records of legal, fiscal, administrative, or historical value. These records should be transferred to the University Archives.
   • Ensure that access to confidential files is restricted. Long-term restrictions on access to selected archival records should be negotiated at the time of their transfer to the University Archives.
   • Destroy inactive records that have no archival value upon expiration of the applicable retention period
    
4. Direct questions about these responsibilities to the University Records Manager, who will work closely with units to ensure understanding of this policy and implementation of these responsibilities.
    
5. The University will manage its records and ensure they are retained for the period(s) of time necessary to satisfy the University's business and legal obligations and are disposed of in accordance with the State of New Jersey four year college records retention and disposition schedule.
   1. No records are to be destroyed or disposed of before state approval.
   2. When the prescribed retention period (see Attachment 1) for University records has passed, a determination of whether to preserve of (archive) or dispose of the documents must be made.
   3. To decide if the record is of historic value to the University, consult the University Archivist, who has the authority to designate which records are archival.
    
6. Timeline of Record Retention
   1. University records should be kept in accordance with the NJ State Record Retention Schedule Guide (reference #2 above).
   2. The University's internal Record Retention Schedule (Attachment 1) should include the following information:
      1. Type of record
      2. Official Repository
      3. Duration
    
7. Storage of Records
   1. Inventory – Record holdings must be inventoried before appropriate controls can be instituted.
      1. Record Management Services (RMS) analysts conduct records inventories for public agencies on a periodic basis and are available to aid them in reviewing their record holdings. In this connection, RMS provides planning and orientation sessions for agency staff, which summarize inventory techniques, procedures and benefits.
      2. After records are properly inventoried, they are placed on the records retention schedules
   2. Location
      1. Files are kept and maintained by the specific department responsible for overseeing them. These files can be stored locally or through the University's record storage vendor.
      2. Department heads, managers or supervisors should grant access to files for all employees who may require them during the course of normal business or as deemed necessary.
      3. Department heads, managers or supervisors shall designate the most appropriate locations for files that need to be retained; provided they are not breaching any fire codes, jeopardizing the safety and well-being of others or unreasonably placed.
   3. Filing - Every inventoried item is provided with the following information:
      1. Retention Schedule
      2. Record Title & Record Title
      3. Item Description (of function and contents, including appropriate form numbers or applicable statutory references)
      4. Department of Origination
      5. Retention Period (i.e., a specification of the length of time the record must be maintained, and in some cases, how long it may be kept in semi-current storage in a records storage center)
      6. Given a final disposition (i.e., if the record will be destroyed, held permanently by the office of origin, or placed in archives)
    
8. Disposal of Records
   1. In order to request the destruction of files, the requestor must first obtain an account login for the Records Retention and Disposition Management System, Artemis.
      1. The Artemis System is an online software program that will allow Rowan faculty and staff to enter disposition requests. It is self-contained and there is no need to maintain requests physically.
      2. To obtain an Artemis account login, contact Robert, The Office of Contracting & Procurement, 856.256.4196 or yufer@rowan.edu.
   2. Record Disposition Requests can be made by any Rowan employee with an Artemis Account. Before first accessing the Artemis System, users are encouraged to meet with the Records Retention Manager for training purposes.
   3. Users must identify the types of files they are seeking to destroy and find the corresponding Retention Schedules in the Artemis System. These schedules will contain the following:
      1. Title
      2. Description
      3. Retention Period
      4. Record Series
   4. Once the proper Retention Schedule is identified, the information provided shall be used to enter the Record Disposition request. Multiple requests may be placed at the same time if they have the same Retention Schedule. While making the request:
      1. Select the Retention Schedule.
      2. Select the option to sign Disposition Requests Electronically.
      3. Enter the Record Series (the Record Series Title will auto-populate in the next column).
      4. Verify the files meet the minimum time requirements, and enter the 'From' and 'To' dates accordingly.
      5. Select the Medium Type (such as paper).
      6. Enter the volume of documents looking to be destroyed.
      7. Select the eSign / Reroute Option. This will prompt a pop-up requesting your Pin Number. Once entered, an additional screen will become available and the Records Manager will need to be selected from the drop-down menu. The request can now be finalized by the using department.
   5. After the using department finalizes the request, it will be forwarded to Rowan's Record Retention Manager for completion and submitted to New Jersey's Records Management Services for final authorization.
   6. Authorized Disposition Requests can be found by selecting the link on the Artemis home page. Once the request has been authorized, the using department can destroy the files.
   7. After the files have been destroyed, the user must update the disposition status by selecting the approved request, and identifying which method was used during the process (such as shredding).
    
9. Archiving of Records 
1. To be kept and maintained permanently
   1. Inventory process
   2. Location details
   3. Filing process
2. This information can be accounted for under section above: VI, 7, C "Filing". This section contains language regarding file locations and any information that should be included. It also lets users know the University has an approved records storage vendor. Since the vendor is subject to change pending current contracts and future bids, it's a judgment call to specifically reference the vendor name in the policy.

VII.  ATTACHMENTS

1. Attachment 1 - University's internal Record Retention Schedule Guide.
2. Attachment 2 - Explanation/Instructions of Request and Authorization Records Disposal Form.
3. Attachment 3 - Copy of Request and Authorization for Records Disposal For

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ATTACHMENT 1
UNIVERSITY'S INTERNAL RECORD RETENTION SCHEDULE GUIDE

This should be created and maintained by the department / position responsible for ensuring compliance with this policy. The records / timeline of disposal should be taken from the NJ State Record Retention Schedule Guide.

Example of what the retention schedule should look like – for more see Cornell Record Retention Policy at https://www.dfa.cornell.edu/sites/default/files/vol4_7.pdf

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ATTACHMENT 2
EXPLANATION/INSTRUCTIONS OF REQUEST
AND AUTHORIZATION RECORDS DISPOSAL FORM
 

Items 1 – 5 Requesting Agency Information – Enter: Name, address, telephone number, records retention schedule number, signature and title of the official initiating the request; signature and title of the Custodian of Public Records approving the request; signature of Records Manager, and the request date. 

Item 6 Archival Review – The signature of the State or Local Archivist performing the Archival Review for the records listed in the disposal request

Item 7 Premature Records Disposal – Enter for disposal of hardcopy records whose retentions have not yet expired but were microfilmed imaged, or were deemed unsalvageable

Item 8 Comments – A field dedicated for associated comments.

Item 9 Record Series Number – Enter the record series number as it appears on the current records retention schedule

Item 10 Record Series Title – Enter the record series title exactly as it appears on the current records retention schedule. In cases where a record series does not appear on a schedule, contact Karen Perry at The Division of Revenue Enterprise Services, 609-530-3212

Item 11 Records Retention Period – Enter the retention periods for the expired record series exactly as it appears on the current records retention schedule. If no retention period has been established, contact Karen Perry at The Division of Revenue Enterprise Services, 609-530-3212

Item 12 Inclusive Dates – Dates the From Month/Year dates through the Month/Year dates of the record series slated for disposal

Item 13 Dispose After – Enter the date the records may be slated for disposal

Item 14 Volume – Enter the volume, total number of boxes is sufficient, for each record series and provide a total number of boxes at the bottom of the form

Item 15 Audit Authorization – The Auditor Signature for the Requesting Agency, in Block 15A and date block 15B, for all County and Municipal fiscal records. This must be signed before submission to the Division of Revenue Enterprise Services. State agencies complete items 1 through 14 only, for fiscal records.

Item 16 DARM Authorization (Division) – Blocks 16A through 16C are reserved for the Division of Revenue Enterprise Services & Records Management Services.

Item 17 Disposition – (These boxes are to be filled out once the form and approval are sent back from the state) Enter the manner in which the records will be disposed in Item 17. In block 17A, include the signature of the official verifying the disposal and the verification date in block 17B.
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ATTACHMENT 3
REQUEST AND AUTHORIZATION FOR RECORDS DISPOSAL FORM  

Rowan University Request and Authorization for Records Disposal Form