POLICY NO. 47
BLUEFIELD STATE COLLEGE ARCHIVES AND RECORDS MANAGEMENT POLICY
Filing Date-June 23, 2008
Effective Date-August 22, 2008
SECTION 1. GENERAL
1.1.1. The policy outlined in this document and the procedures to implement it are designed to meet the provisions of the “Records Management and Preservation of Essential Records Act,” West Virginia Code §5A-8-1 through 20 (2003). This policy will provide for the retention of college records of continuing value and for the prompt and orderly disposal of records no longer possessing sufficient administrative, legal, historic, or fiscal value to warrant their further keeping. Bluefield State College recognizes 148 CSR 12 & 13 as the authority for records management programs within the State of West Virginia and the Secretary of the Department of Administration as the Administrator of these programs.
1.1.2 The College has long been aware of the need for preserving records of historical value. It established the College Archives in 1993 and continues to support its mission to collect, care for, interpret, promote, and make publicly available materials that document the history of Bluefield State’s administrative and academic units and the activities of College faculty, staff and students. In addition, the College recognizes the need for orderly management and retrieval of all official records and for a documented records retention and destruction schedule congruent with all state and federal laws and regulations.
1.2.1 For the purposes of this policy, Bluefield State College has used the following definitions of terms.
1.2.2 “Active records” means records that are referenced regularly or which are required for current use by the creating or maintaining administrative unit for the conduct of regular business.
1.2.3 “Administrator” means the Secretary of the Department of Administration, as designated by the West Virginia Code as State Records Coordinator.
1.2.4 “Archives” means either (1) the documents created or received and accumulated by a person or organization in the course of the conduct of affairs and preserved because of their continuing value, (2) the building or part of a building where archival materials are located, or, (3) The department or program responsible for selecting, acquiring, preserving, and making available archival materials.
1.2.5 “College Archives” means the department responsible for selecting, acquiring, preserving, and making available archival materials at Bluefield State College. At Bluefield State, this department is part of the Wendell G. Hardway Library.
1.2.6 “College Archivist” means the individual delegated the responsibility for managing the College Archives.
1.2.7 “Department Officers” means the individuals delegated supervisory responsibilities in College departments, offices, and other administrative units.
1.2.8 “Historical value” means the records contain information, regardless of age, which provide understanding of some aspect of Bluefield State College and promote the development of an informed and enlightened citizenry.”
1.2.9 “Inactive records” means records that are not needed for current operations.
1.2.10 “Office” means any department, office, committee, board or other unit, however designated, of Bluefield State College.
1.2.11 “Record” means any information bearing media generated or received by Bluefield State College in connection with the transaction of official business. This includes documents, spreadsheets, images, web pages and e-mail.
1.2.12 “Records manager” means an employee appointed by the College’s President to act as liaison with the Administrator and delegated the authority and responsibility for the agency’s Records Management Program.
1.2.13 “Records Retention Authorization” means the Administrator’s approval of the College’s recommended retention of a record series.
1.2.14 “Record Series” means a group of identical or related records which are normally used and filed as a unit, and which permit evaluation as a unit for retention scheduling purposes.
1.2.15 “Retention and Disposal Schedule” means a schedule of established retention periods for the records of Bluefield State College.
1.2.16 “Retention Period” means a period of time during which records must be held before they may be legally disposed. The retention period is usually stated in terms of months or years, but sometimes is contingent upon the occurrence of an event; e.g., employee termination and contract expiration. The retention period includes the life span of each record from creation to final disposition.
1.2.17 “State Archivist” means the Director of the West Virginia State Archives.
1.2.18 “State Records Center” means the low cost storage facility for the housing and servicing of inactive records whose reference does not warrant their retention in expensive office space and equipment.
SECTION 2. RESPONSIBILITY FOR RECORDS MANAGEMENT AT BLUEFIELD STATE COLLEGE
2.1 As required by 148 CSR 12, Bluefield State College has placed responsibility for the administration of its records management program with the President of the College as its Chief Executive Officer. The President shall appoint the Records Manager for the College. The officer of each B.S.C. department shall also have records management duties, as shall the College Archivist.
2.2 Duties, Bluefield State College President
2.2.1. Establish and maintain an active, continuing program for the economical and efficient management of the records of the agency and their subordinate offices.
2.2.2. Establish and maintain records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures and essential transactions of the College designed to furnish information to protect the legal and financial rights of the state, and of persons directly affected by the College’s activities.
2.2.3. Submit to the State Records Administrator a Records Retention Authorization proposing the length of time each College record series warrants retention for administrative, legal, fiscal or historical purposes after it has been received or created by Bluefield State College.
2.2.4. Use the Records Center to store inactive records. Furnish Administrator a listing of people authorized to retrieve records, or information contained in records, from the Records Center. This list shall be reviewed and updated semi-annually. Interim additions and deletions to this list shall be furnished as appropriate.
2.2.5. Comply with the rules, regulations, standards and procedures issued by the Administrator.
2.2.6. Cooperate with the Administrator in the conduct of surveys made by him/her.
2.2.7. Appoint an agency Records Manager from his/her staff who is conversant with the agency’s total mission. The Records Manager should be delegated the authority to reconcile major records management problems in the name of the President.
2.2.8. Request Administrator’s approval before employing anyone other than a state employee to consult or assist in any phase or facet of Records Management.
2.3. Duties, Bluefield State College Records Manager
2.3.1. Develop the Records Management Program at Bluefield State within the guidelines of the Code of State Rules and in cooperation with departmental officers and the College Archivist.
2.3.2. Be conversant with the Records Management Manual of Procedures in its entirety to assure compliance with the statewide Records Management Program.
2.3.3. Act as liaison between the College and the Administrator. Submit all reports, forms, manuals, and other documents to the Administrator for approval.
2.3.4. Coordinate the biennial inventory of the agency’s total records holdings and submit to the Administrator as required.
2.3.5. Review biennially Bluefield State College’s Retention and Disposal Schedule to determine if revisions are necessary and certify by letter to the Administrator this review has been completed.
2.3.6. Coordinate the transfer between B.S.C. and the Records Center regarding packing, transferring and retrieval of records stored in the State Records Center.
2.3.7. Prepare and submit to the Administrator all completed forms as required.
2.3.8. Administer the Records Management program at Bluefield State including hiring, training, and supervising staff, and developing a budget.
2.4.Duties, Department Officers.
2.4.1. Work with the Records Manager to establish a record retention schedule for the department
2.4.2. Work with the Records Manager and/or the College Archivist to systematically transfer records of the department to the College Archives and the Records Center as appropriate
2.4.2. Channel all requests for Administrator’s assistance on records management problems through the College Records manager.
2.4.3. Report, through the Records Manager, all divisional records disposition made in compliance with the College’s Retention and Disposal Schedule.
2.4.4. Cooperate with the Records Manager in any surveys, inventories, or special projects being made to assure a more comprehensive Records Management Program within the College.
2.5. Duties, College Archivist
2.5.1. Facilitate the transfer of records identified for permanent retention to the Archives.
2.5.2. Consult with the Records Manager to determine record series designated for permanent retention, to approve records for destruction, and to participate in the development of records management policies and procedures.
2.5.3. Consult with appropriate administrative officers, college policy, and pertinent federal and state regulation regarding any special conditions of access which may be placed on any category of records.
2.6 RECORDS INVENTORY, RETENTION AUTHORIZATION, AND DISPOSAL SCHEDULES
2.6.1 The Records Manager, in cooperation with departmental officers, will make a biennial inventory of its total records holdings as of June 30 to be submitted to the Administrator with a duplicate retained by the college. The inventory shall reflect departmental changes, addition of new record series, deletion of obsolete record series, changes in record series titles and location, and revised retention recommendations.
2.6.2 The Records Manager, in cooperation with departmental officers and the College Archivist, will prepare a Records Retention Authorization and submit it to the Administrator for each record series held. The College shall request amendment of approved retention periods on the Records Retention Authorization in the same manner as requesting an original authorization. The reasons for such change shall be clearly explained.
2.6.3 The Records Retention Authorization will evaluate paper and electronic documents consistently, based not on media type, but on their historical, legal, administrative, and financial value to the college
2.6.4 All material of historical or archival value shall be designated for permanent retention on the Retention Authorization.
2.6.5 After the Records Retention Authorization has been approved by the Administrator, a Retention Disposal Schedule shall be compiled and submitted to the President of the College and the State Archivist.
2.6.6 B.S.C.’s Retention and Disposal Schedule shall be reviewed biennially of each even year to determine if revisions are necessary. The college will certify by letter to the Administrator this review has been completed.
2.7 DESTRUCTION OF RECORD AND NON-RECORD MATERIAL
2.7.1 Bluefield State College may destroy any record held whenever such record becomes eligible for disposal as indicated by its current Records Retention and Disposal Schedule. Upon completion of the destruction, college personnel shall promptly list all records destroyed on a Records Disposal Report worksheet. The worksheet should then be sent to the Records Manager.
2.7.2 Any record that does not fit into the above category that is being considered for discarding, destroying or transfer from the custody of Bluefield State must be brought to the attention of the Records Manager and Archivist. If they determine that the material has no enduring historical, legal, fiscal, or administrative value, the office will send Form WV-29, “Records Disposal Report” to the State Archivist, who will then approve of its destruction.
2.7.3 The Records Manager shall submit to the Administrator a quarterly summary of records disposals/transfers. The Records Manager shall then post disposal/transfer information as required. A list of records destroyed shall be retained permanently showing the history of records series.
2.8.1 When a record series or portion thereof is microfilmed and the original document is destroyed, this disposal shall be shown on the quarterly Records Disposal Report submitted to the Administrator.
2.9. FILING PLANS
2.9.1 Directors and Supervisors should have a written plan of the filing system within their division for quick reference. The agency head should have an over-all file plan of the information sources within his/her agency. The President should know where they are stored temporarily and how, and the final action of the records. The College shall furnish the Administrator with a copy of the agency’s filing plan and any revisions of the plan.
3.0 ROLE OF THE COLLEGE ARCHIVES
3.1 The College Archives is the repository for the permanent historical records of the College. The Records Manager and the College Archivist will develop forms and procedures for transferring records from departments to the College Archives.
3.2 All College Records that have met the official retention schedule and are scheduled for permanent preservation may be sent to the Archives. In general, records with historical value include correspondence, administrative subject files, statements of policy, speeches, minutes, memoranda, syllabi, and reports from administrative offices and academic departments. Further information will be found in each department’s official retention/disposal schedule.
3.3 It is understood that in the absence of specific restrictions, all materials transferred to the Archives will be open to researchers on a non-discriminatory basis.
3.4 Some documents accumulated by College employees do not qualify as College records. These are considered personal papers and private property if they relate to an individual’s personal affairs and are not part of doing the business of the College. Personal papers are excluded from retention and disposal requirements of this policy. They include:
3.4.1 Papers developed and collected by an employee before joining Bluefield State College.
3.4.2 An instructor’s course materials, such as lecture notes.
3.4.3 Materials relating solely to an individual’s private affairs, such as outside business or professional pursuits, professional affiliations, or private political associations, or diaries, journals, personal correspondence, or other personal notes that are not prepared or received in the process of transacting College business
3.5 The College encourages professional employees to consult with the Archivist about donating their personal papers to the Bluefield State College Archives so that a complete record of individual activity and accomplishment is assured.
4.0 APPROVAL BY ADMINISTRATOR AND STATE ARCHIVIST
4.0.1 This policy must be submitted to the Administrator and to the State Archivist for their approval, as must all manuals, procedures, forms, and other materials related to the management of records at Bluefield State College.
5.0 RELATED POLICIES: C.800
5.1 RESPONSIBLE OFFICE: Office of the President