Policy 1306 - Records Retention and Disposition
Effective Date: 10/3/2012
Responsible Office: Records Retention Officer
Reference: Louisiana R.S. 44:411
The University is required by State Statute to have a Records Management Program to ensure that vital records are identified and maintained. Having an active Records Management Program is important in preserving the history and culture of Louisiana Tech University.
All records created by University officers or employees in the course of their duties on behalf of the 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 are 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 schedules.This includes hard copy as well as email. See below for information specific to electronic mail.
The Records Retention Officer is Peggy Carter. Her contact information is email@example.com, and her phone number is 257-2935.
Records Retention Schedule
- Records found in your office are grouped into a “series” (requisitions, appointment forms, invoices, correspondence, payroll records, minutes, etc.). Each of these would be a series.
- Decision is made as to retention time and place and method of disposal.
- Schedule is completed, filed with the Records Retention Officer for action, forwarded to Baton Rouge for approval, returned to the department, and retained to follow.
Amended Retention Schedule
- The current Retention Schedule should be reviewed at least once a year and changes made as additional series are found or as technology changes, etc.
- The amended Schedule is filed with the Records Retention Officer for action, forwarded to Baton Rouge for approval, returned to the department, and retained to follow.
Disposal of Records
Form SS ARC 930 "Request for Authority to Dispose of Records"
- By following the Records Retention Schedule, select series to be shredded or burned.
- List on form the inclusive dates of the series selected (i.e., 1990-1999). Items to be discarded do not need approval–only those to be shredded or burned.
- List on form the title of the series as it appears on the Schedule as well as its item number on the Schedule. (This minimizes the time required to obtain approval.)
- The form is then forwarded to the Records Retention Officer for action, forwarded to Baton Rouge for approval, returned to the department, and retained to follow.
- Take the time to go through all records and materials prior to disposal. It should be noted that even though an item might not be listed on the current Schedule, if it is either confidential or sensitive material–SHRED it!! Don’t run the risk of discarding something that shouldn’t be discarded!
Archiving of Records
- Before taking any items from your office to the Prescott Library Archives, call 2935 for instructions.
- Any other records specified as permanent are to be dealt with as listed on the Schedule.
Certificate of Destruction
- After disposal of records–discarding, shredding, burning, or archiving–complete the “Certificate of Destruction” and send a signed copy to the Records Retention Officer.
- File a copy in your Records Management notebook for future reference.
- AY - Academic Year (September through May)
- FY - Fiscal Year (July through June)
- CY - Calendar Year
- ACT - Active
- Archives - University Archives
- Series - A group of related or similar records, regardless of medium, that may be filed together as a unit, used in a similar manner, and typically are evaluated as a unit for determining retention periods. (i.e.) requisitions, appointment forms, invoices, correspondence, payroll records, minutes, etc.
Louisiana State Archives Policy Electronic Mail (E-mail) Retention
The purpose of this policy is to ensure that electronic mail is maintained in accordance with approved records retention policies, accepted record keeping practices and laws as required by LA.R.S. Title 44.
Electronic Mail (E-mail) is not a record series for retention scheduling purposes. Rather, the retention of E-mail must be based on content, not on media type, artificial duration (i.e. 90 days) or on storage limitations. E-mail should be retained for the same duration as other records of similar content included in a given record series on an approved retention schedule.
This policy applies to all Louisiana public bodies as defined in LA. R.S. 44:1. This policy does not apply to the transitory E-mail records (those E-mails having limited or no administrative value to the public body and not essential to the fulfillment of statutory obligations or to the documentation of the public body) generated or received by a public body.
Transitory information includes the following: unsolicited and junk E-mails not related to agency work, Listserv and other E-mail broadcast lists that require subscription (including newspapers), reminders for meetings and events (i.e. cake in the conference room, staff meeting moved from 2:00 p.m. to 3:00 p.m.), and personal non-work related E-mails received by employees.
There is no retention requirement for transitory messages. Public officials and employees receiving such communications may delete them immediately without obtaining approval from the State Archives.
All public bodies that fall under the scope of this policy must maintain their E-mail in a manner that complies with that public body's approved retention schedule and the records management practices already established for other media (paper, film) as required by law.
If a record series cannot be identified, a record series should be developed and included on the public body's approved retention schedule. Until the series is scheduled the E-mail should be maintained for at least three years.
All public bodies should communicate this policy to their employees and should take the steps necessary to ensure employee compliance with this policy.
Additional information may be found on the State Archives' Records Management web page at: http://www.sos.la.gov/HistoricalResources/ManagingRecords/GetForms/Pages/default.aspx