4.2 Implementation Procedures for University Units: Colleges and Schools

Statement

Records documenting the development and implementation of university policy by administrative offices of colleges and schools, and by faculty acting in administrative positions, are necessary to the continuing functioning of the university and to provide an accurate reflection of the activities and achievements of the institution. It is the responsibility of administrators of colleges and schools in cooperation with the Bentley Historical Library's University Archives and Records Program (UARP), to ensure that records are maintained properly and that records which document the history and achievements of the college or school are transferred to the archives for permanent retention.

Responsibility of the Office Generating the Records

Each college and school should designate a staff member to act as records officer for the unit.

  1. The records officer should maintain regular contact with UARP and should implement the periodic transfer of records to the archives. Appendix 8.2 contains instructions for boxing and transferring paper-based records, printed materials, photographs, and audio-visual media to the archives. Section 5.1 contains guidelines for the managing and transfer or shared archival custody of digital records.
  2. Specific record groups that should be transferred to the university archives include:
    1. the dean's topical file;
    2. the dean's correspondence;
    3. records documenting unit reviews, including accreditation;
    4. executive and other committee minutes;
    5. reports, including annual reports;
    6. fundraising strategy records;
    7. photographs, preferably identified by the unit;
    8. publications of the unit, including newsletters;
    9. audio-visual material.
  4. The topical files kept by associate and assistant deans, and the files maintained by committee chairs should be transferred to the archives if the records in their files illuminate policy development and implementation. The UARP staff will review those files and appraise their historical value.
  5. Records that should not be transferred to the archives, but which should be discarded when their administrative use is completed include:
    1. duplicate items;
    2. correspondence and administrative files documenting routine activities such as room scheduling, travel logistics, etc.;
    3. non-university printed material received by the unit and retained as a reference file;
    4. documents distributed widely to university units but not generated by the unit;
    5. routine financial records (Refer to Standard Practice Guide section 604.1 for specific information).
  6. The records officer for each unit should ensure that files are managed in such a way as to promote the orderly transfer and/or disposal of inactive records. (See appendix 8.1 for guidelines for the creation and maintenance of active paper records.)
    1. Certain genres of records maintained in colleges and schools may not have long-term historical value, but do need to be maintained in order to satisfy financial or legal requirements. Such records include financial records, grant documentation, and personnel records including affirmative action hiring records.(See sections 5.2, 5.3, and 5.5 of this manual for further information pertaining to these genres of records.)
    2. Certain records such as patient/client records, personnel records, and the student educational record as defined by the Family Educational Rights and Privacy Act (FERPA) have special access regulations both as active records and as inactive records. (See sections 5.4, 5.5, and 5.6 for further information about these genres of records).
  7. The records officer should consult with UARP if there are questions about the historical value of specific records.

UARP Records Policy and Procedures Manual - January 1993, 1st ed.,
September 2002, 2nd ed.