Record Management

1.0    Purpose

This policy establishes guidelines for the effective management of records.

2.0    Revision History

3.0    Persons Affected

3.1    Board of Trustees members

3.2    All Casper College employees

4.0    Policy

The policy of Casper College is to ensure the following.

4.1    The college effectively identifies, manages, and protects records and confidential information resulting in the preservation of the college’s history and minimization of risk.

4.2    The college documents its decisions regarding the management of records.

4.3    The college minimizes the time, cost, and space associated with record retention and disposal.

4.4    The college destroys records that are no longer of value and that have reached the end of the retention period for that record.

4.5    The college abides by all local, state, and federal laws regarding the management of college records.

5.0    Definitions

5.1    College Record. Any information in a physical form, including written, aural, visual, electronic, or any other physical forms, created or received in the transaction of public business. In general, a college record contains information that is evidence of the college’s functions, policies, decisions, procedures, operations, agreements, contracts, applications, financial documents, mission, programs, projects, or activities. All college records are the property of the state of Wyoming and must be preserved, stored, transferred, destroyed, or otherwise managed, in accordance with W.S.9-2-405 through 9-2-413.

5.2    Non-record. Any information in a physical form, including written, aural, visual, electronic, or any other physical forms that does not contain information that is evidence of the college’s functions, policies, decisions, procedures, operations, agreements, contracts, applications, financial documents, mission, programs, projects, or activities. Examples include sales catalogs, junk mail, spam, external listservs, drafts, and personal correspondence. Non-records should be destroyed as soon as they are no longer useful.

5.3    Active Record. A college record that is currently being used in the ordinary course of college business.

5.4    Inactive Record. A college record that is no longer being used in the ordinary course of college business that has not reached the end of its retention period.

5.5    Expired Record. An inactive college record that has reached the end of its retention period and is not subject to a hold notice or does not have historical value. Expired records must be destroyed according to procedures developed by the unit.

5.6    Archival Record. A college record that documents the history, programs, and social and cultural life of Casper College. Archival records may include correspondence, meeting minutes, annual reports, publications, newsletters, catalogs, etc. These are historical documents and should be preserved even if they have reached the end of their retention period. The Wyoming State Archives staff can assist in determining if a record has historic value.

5.7    Permanent Record. An inactive college record that does not have an end period. The record must be kept indefinitely.

5.8    Confidential Record. A record that contains, all or in part, personal information protected from disclosure by law or Casper College policy.

5.9    Duplicate Record. An exact replica of an original record. Only one copy of a record must be retained. Duplicate records may be destroyed as long as the original record is retained. Records with additional notes or comments are not considered duplicates.

5.10    Record Conversion. When a record is converted into another format such as converting a paper document into a digital document. Record conversion is allowable. The process and method should be documented in the record management procedures. It is allowable to destroy the original of a properly converted record.

5.11    Retention Period. The length of time a record must be retained. Expired records must be destroyed at the end of the record’s retention period, but not before. The time for calculating the retention period begins at the end of the fiscal year the document was created or received.

5.12    Fiscal Year. Runs from July 1 through June 30 of the follow year.

5.13    Record Retention Schedule. A document that guides decisions related to the maintenance and destruction of college records. The schedule contains record categories, the retention period for each category, method of destruction and documentation, and responsible area. The retention period must be at least as long as the retention period listed on the Wyoming State Archivist retention schedule for community colleges. Records may be kept for longer than the retention periods with good cause. If the record falls under two or more categories with different retention periods, the record will be retained for the longest applicable retention period.

5.14    Record Retention Template. A standardize format that units use to develop their record retention schedule. The template is available on the college’s website.

5.15    Hold Notice. Written notification issued by the official custodian that a record has been placed on hold. Records may be placed on hold because of a court or consent order; contract, government, or audit requirements; or pending or anticipated litigation or investigation; or other matters that warrant issuing a hold. A hold supersedes the requirements of this policy or any departmental policies. Records placed on hold must be preserved and retained. The hold is in effect until the official custodian rescinds the hold.

5.16    Record Custodian. Any affected person who has personal custody and control of a record.

5.17    Unit. A college school, department, or office.

5.18    Official Repository. Units responsible for the management of a category of records. Any unit that is not the official repository of a record should only retain that record while it is an active record. After which the record should be destroyed.

5.19    Official Custodian. The college employee responsible for the maintenance, care, and preservation of college records regardless of the location of the records. The vice president of administrative services is the official custodian for Casper College.

5.20    Record Management Administrator (RMA). The vice-president, dean, or director of each unit is responsible for establishing record management procedures for their unit. The procedures must address record identification, maintenance, confidentiality measures, archival, retrieval, retention period, and method of destruction. The procedures must be in accordance with this policy, W.S.9-2-405 through 9-2-413, and the policies of the Wyoming State Archives. RMAs are also responsible for implementing, managing, and ensuring compliance with the unit’s established procedures, researching and determining if a record has historic value, and for complying with and responding to hold notices, internal or external investigations or audit, court orders, or other similar requests.

5.21    Wyoming State Archives. A Wyoming state office responsible for assisting state and local government agencies, including community colleges, with the efficient and economical management of records. The retention schedule that gives the college the legal authority to destroy records is available on the Wyoming State Archives’ website. The Wyoming State Archives staff can assist college employees in determining if a record has historic value.

6.0    Responsibilities

6.1    Record custodians are responsible for maintenance and care of records in their possession, transferring records when they leave a position or the college, and for knowing and following the record management procedures established for their unit.

6.2    RMAs are responsible for establishing, implementing, managing, and ensuring compliance with the record management procedures for their unit. They are also responsible for researching and determining the historic value of a record, and for complying with and responding to hold notices, internal or external investigations or audit, court orders, or other similar requests.

6.3    The vice president of administrative services is responsible for maintaining compliance with this policy and for acting as the official custodian.

7.0    Procedures

7.1    RMAs develop written procedures to manage records in their units, including a record retention schedule. The RMA signs the procedures and modifies them as necessary.

7.2    RMAs train current and new employees in their unit on record management.

7.3    RMAs oversee record management in their unit, resolve questions about records, and ensure compliance with the unit’s record management procedures.