SUPERCEDED  Ohio University Policy and Procedure

Records Management and Archival Policy

SUPERCEDED on August 17, 2009

Current Version




Procedure No.:   93.002

Page No.:        1,2 and 3 of 3

Date Issued:     04/21/86

Issued By:       G. Hunt



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Purpose:

To establish general procedures for the preservation of University records of enduring administrative, legal, and historical value; and for achieving economy and efficiency in the creation, maintenance, use and disposition of these records in accordance with applicable State and federal regulations.

The Ohio Revised Code (sections 121.212, 149.011, 149.34, 149.44 and 149.99) requires that all state agencies, "including state-supported institutions of higher education", formulate records retention schedules within a prescribed time period. These describe the kinds of records created and their appropriate period of retention, and are submitted for approval to the State Records Administrator, Ohio Department of Administrative Services.

After the schedules are approved, they become the instruments that enable administrators who oversee records generation to purge their files regularly and systematically without financial or legal jeopardy.

A persisting managerial problem is the control of records. While it is important that records documenting policies and procedures and those having administrative and legal value be identified and protected for appropriate periods of time, those having only short-term importance should be discarded when their usefulness has expired.

A record is defined as: "any document, device, or item, regardless of physical form or characteristic, created or received by or coming under the jurisdiction of any public office of the state or its political subdivisions, which serves to document the organization of (Ohio University), (its) functions, policies, decisions, procedures, operations, or any other activities." (See 149.011, item G ORC)

The Ohio University Archives are recognized as the official repository for Ohio University records of enduring value. A Records Center is established to hold records during their inactive phase, prior to disposal or transfer to archives. The University archivist is authorized, on behalf of Ohio University, to determine the disposition of inactive records in association with records generating units.

The fiscal and financial records of the University, under the care of the University Treasurer and Controller are exempted from this policy. This office maintains its own records and records


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storage facility and communicates directly with the State Records Administrator.

Records Retention


  1. Identifies the permanently valuable records of the University or those functions and activities for which documentation should be preserved; and,

  2. Specifies, through records retention schedules, records to be preserved as having archival value; and,

  3. Authorizes, on a continuing basis, the disposition of specified recurring record series; and,

  4. Monitors the completion of inventory analysis and appraisal, and updates records retention schedules for approval by the State Records Administrator.


Transfer of Records

All administrative officers of the University, including members of the faculty whose regular or occasional performance of administrative functions places them in possession of files, records, or documents pertaining to those duties, are requested to observe the following;

  1. The records of the official activities of University officers and offices are the property of Ohio University.

  2. Such property is not to be removed or destroyed without the approval of a) the officer in charge of the unit where the records are or were generated, and b) the University Archivist/and or Records Officer, and c) the State Records Administrator.

  3. The officer in charge of each administrative unit or her/his designate will determine in conjunction with the University Archivist the appropriate retention period(s) for the records or records series. IT IS THE RESPONSIBILITY OF THE ADMINISTRATIVE UNIT, WITH GUIDANCE FROM THE ARCHIVAL STAFF, (1) TO CONDUCT THE RECORDS INVENTORY AND ANALYSIS AND (2) ESTABLISH THE RECORDS RETENTION SCHEDULES FOR RECORDS IN ITS CUSTODY. Forms for both the inventory/analysis and scheduling of records are attached to this policy.

  4. The University Archivist will submit the completed records retention schedules to the State Records Administrator for final approval.

  5. The University Archivist will contact the officer in charge of the unit for which schedules have been approved and arrange for the transfer of these records to the Records Center and University Archives in accordance with the stipulations set forth in the approved schedules. UNSCHEDULED RECORDS SHOULD NOT BE FORWARDED TO


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    THE ARCHIVES WITHOUT PRIOR APPROVAL.

Access To Records In Archives And Records Center

  1. Access to archival materials not confidential by virtue of federal, state and or University policy shall be open to all qualified users, unless restricted in some way by the office of origin.

  2. The archival staff may consult all archival holdings in its custody, in order to answer specific information requests from the originating office, other administrative offices, or for other legitimate information needs.

  3. In all cases, it is the policy of the University Archives to respect individual privacy and confidentiality of material which may be contained in either open or restricted files. The use of items covered by this restriction will be limited, although potential users will be notified of the existence of such material so that request for access may be made to the originating office if so desired.

Microfilming Of Records

  1. Units which generate large amounts of recurring records of lasting value are urged to consider microfilming them. P>
  2. The Archivist and Microforms Librarian will assist in determining the most suitable and cost effective micrographic duplication and preservation methods.

  3. The cost of microfilming will be assessed to the department undertaking the work.

Disposal Of Records/Recycling

  1. The archivist will complete the Certificate of Disposal as prescribed by law.

  2. The archivist will endeavor to secure a disposal method suitable to the type and volume of the record series, by shredding, burning or selling the same under contract for pulp, consistent with the recycling philosophy of Ohio University.


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Dick Piccard revised this file (http://www.ohio.edu/policy/s93-002.html) on August 19, 2009.

Please E-mail any comments or suggestions to "policy@ohio.edu".