The Basics: What You Need to Know About Records Management
The following information is also available as a Powerpoint slideshow. Contact Records Management if you need a copy.
Life Cycle of a Public Record
- Creation
- Processing
- Maintenance Storage
- Disposition
What is a public record?
Public records are defined by Kentucky statute (KRS 171.410 (1) as "all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency."
What is a public agency?
For public records management purposes, a public agency is defined in KRS 171.410 (Section 4) as "every state or local office, state department, division, bureau, board, commission and authority; every legislative board, commission, committee, and officer; every county and city governing body, council, school district board, special district board, municipal corporation, and any board, department, commission, committee, subcommittee, ad hoc committee, council or agency thereof; and any other body which is created by state or local authority and which derives at least twenty-five percent (25%) of its funds from state or local authority."
How does that concern me?
All state and local government employees are responsible for the records they create and maintain (KRS 171.410-740).
In addition to being a requirement of state law, responsible records management is also covered by University Policy.
Just what are we responsible for?
According to the statutes, a program should be established which includes:
- Effective controls over the creation, maintenance, and use of records in the conduct of current business;
- Cooperation with KDLA (Kentucky Department for Libraries and Archives) in applying standards, procedures, and techniques designed to improve the management of records;
- Promotion of the maintenance and security of records considered appropriate for preservation, and facilitation of the segregation and disposal of records of temporary value;
- Compliance with the provisions of the Commonwealth's public records management statutes, KRS 171.410 - 171.740, and the rules and regulations of KDLA.
In plain English,
that means you can't just throw away or destroy old records. You need to use the State University Model Records Retention Schedule to determine what can be destroyed and when it can be destroyed, as well as, what must be saved and how long it needs to be retained.
Where and How?
The Records Retention Schedule is available and searchable online at several Kentucky universities' websites including our own.
You can also request a hard copy or a copy of our database on a floppy from Special Collections and Archives.
The State University Model Records Retention Schedule:
- Identifies records by series, title, and description
- Gives retention period and disposition instructions
- Provides legal authority to destroy records
The Model's Introduction
The first part of the retention schedule is the "Introduction": which defines terms and cites the statutes covering Kentucky's Public Records and Kentucky's Open Records Policy.
For Example:
The Model's Introduction defines a "vital record" as those records essential to the continued functioning of the university during and after an emergency, ...
Using the schedule:
Check the records schedule to determine the name and number of your records:
- Usually this is done when you need to purge your files.
- For most people, the easiest way to do that would be to do a one word search, such as, searching the word "minutes"
- Several different records will be identified and from them you choose which best describes your records.
For Example:
- Type the word "minutes" into find or search.
- Most of the Records Management sites for the different universities in Kentucky will return two or three entries:
- #U0101 Minutes - of Policy making bodies
- #U0105 Minutes - tapes or notes from
- #U0452 Student Government Files - (Contains by-laws, minutes, correspondence, agendas, etc...)
- Choose the one that matches your records. If you have questions, call Records Management.
- Determine the retention period of the record.
- Permanent records should be sorted out and stored in a secure location.
- Call Special Collections and Archives Records Management before sending anything over to Archives.
- For all other records, once the retention period has past, the records should be destroyed and that destruction reported to KDLA.
Destroying Records
To do that, you obtain a Records Destruction Certificate from Special Collections and Archives, or use the online pdf form. Once it is completed, you return all copies of the print form or one printout of the online form to Special Collections and Archives.
What about electronic records?
Electronic records currently have the same retention as their paper equivalents.
For more information see KDLA's electronic records website.
"That's All Folks"
But remember, you can always call Records Management for assistance.
updated: Tuesday, 07-Nov-2006 10:26:50 EST