Files and Records – Review, Retention and Retirement
Policy Administrator: Director of Risk Management and Environmental/Health/Safety
Authority: N.J.S.A. 47: 3-15 et. seq.
Effective Date: June 28, 1976; July 15, 2010; February 16, 2011
Index Cross-References:
Policy File Number: VI-92
Approved By: Board of Trustees
POLICY:
A. The files of the University should contain only those materials that are of immediate or continuing importance to the effective operation of the unit possessing the file.
B. Files and records should be purged frequently and at least annually. Those materials judged as suitable for the archival collection should be transferred to the
library by the Office of Record. (See Attachment 1.) Materials retained beyond its period of usefulness occupy valuable file space and contribute to fire hazard risks.
C. Any policy or procedure developed for University-wide use must conform to the applicable provisions of Destruction of Public Records Law, Chapter 410, Public Laws of 1953 (N.J.S.A. 47:3-15 et. seq.).
D. Four sections or categories of files are authorized. These are:
1. Current or Active File. This section of the files is the major repository for the current fiscal year. (July 1 through to the next August 31). It contains those items of correspondence, reports, records, and publications produced or received during the current period and retained as being essential to the effective functioning of the unit. At the end of the fiscal year the active section of the files is transferred to another location in the unit's file system and becomes the Inactive File. A new active file is started as a replacement and covers the forthcoming fiscal year.
2. Inactive File. As indicated this was the previous year's active file less those items purged during the review and transfer process. The latter process is conducted in conjunction with the physical transfer of the materials being retained. The purpose of retaining the Inactive File is to permit relatively easy access to those older materials which still contribute to the orderly functioning of the unit. This section of the file system might also be labeled as “the second year file.” Also there will be occasions where specific holdings are removed from the inactive file and placed back into the current or active file.
3. Holding File. This is the third section of the file system. It should contain those exceptional items required for some definite period beyond the "second year" Inactive File. Generally materials in the holding file should be restricted to a few items of historical, legal, or financial value to the unit and/or the University. In this category are some items, which after serving its purpose in the unit, would be transferred to the University Archives because of potential archival value.
4. Transfer Files. These are materials which under N.J.S.A. 43:3-15 et. seq. meet the criteria as "Public Records" and are in the process of being destroyed. Those files or items requiring permission from Division of Archives and Records Management, Trenton, prior to destruction, are indicated by asterisks in the listing of retention periods. The transfer files would be held in a records retention center pending disposition.
E. In the destruction process, the shredding of confidential correspondence, records, computer materials, identification cards will be accomplished by the Office of Record.
F. Offices of Record. Various offices are designated as the Office of Record to be responsible for maintaining, in conjunction with the Archives, a continuity file of
specified materials. The designations are included in this policy to fix the responsibility, and to eliminate the necessity or tendency for other offices to keep the same materials in their files. The knowledge that some other office is retaining copies or furnishing specific materials to the Archives, hopefully will preclude other offices from retaining copies of the same items. The designated Offices of Record and areas of responsibility are listed in Attachment 1. G. Retention Periods. Retention periods for various categories of file materials may be found at http://www.state.nj.us/state/darm/links/pdf/s510000.pdf
Attachments: 1. Office of Record
Attachment 1 Subject Area or Materials Office of Record Admission Data Admissions Office Academic Working Papers Academic Affairs Accreditation Materials President's Office Affirmative Action Reports Affirmative Action & Ethical Standards Alumni Alumni Relations Architect's Reports Facilities Planning & Construction Arts & Humanities Programs Arts & Humanities ARGO Library Athletics & Recreation Athletics & Recreation Attorney-General Correspondence General Counsel/President’s Office Audits (Financial) Accounting Auxiliary Services Administration & Finance Board of Trustees President's Office Bond Issues Administration & Finance Budget Administration & Finance Calendar (Academic) Student Records and Registration Calendar of Events Events Services Capital Improvement Programs Facilities Planning & Construction Campus Activities Events Services Career Planning Career Center Collective Bargaining President's Office University Cabinet President's Office University Store Administration & Finance Community Services Service Learning Program Computer Programming & Data Processing Computer Services Continuing Education Continuing Studies Contracts (Legal) Administration & Finance Staff Counsel Data Processing Computer Services
Educational Facilities Authority Administration & Finance EOF Reports/Newsletters Student Affairs Equipment Inventory Purchasing/Accounting Evaluation of Personnel Human Resources Faculty Items Deans of the Faculties or Academic Affairs Financial Aid - Students Financial Aid Financial Records & Trans. Accounting Food Service Administration & Finance General Studies Programs General Studies Grants Grants Office Institutional Goals President's Office Institutional Planning President's Office Library Programs & Holdings Library Lease Agreements Administration & Finance Master Planning Materials President's Office Master Schedules Student Records & Registration Middle States Association President's Office Natural Sciences & Mathematics Natural Sciences & Mathematics N.J. Dept. of Higher Education President's Office News Releases and Clippings Office of External Affairs Personnel Items Human Resources Policy Matters President's Office Policy Manual Administration & Finance Preceptor Program Academic Advising President's Memoranda & Reports President's Office Procedures Manual Administration & Finance Professional Studies Programs Academic Affairs Property Acquisitions Administration & Finance Prospectus of University President's Office Purchases Purchasing Office Recruitment of Personnel Human Resources Safety and Security Campus Police
Self-Study President's Office Social & Behavioral Sciences Social & Behavioral Sciences Stockton Foundation University Foundation Student Activities & Publications Student Development Student Grades & Records Student Records & Registration Tenure Plan President's Office Trustees (Decisions & Materials) President's Office Utility Records Plant Management Vending Administration & Finance
Approval History:
Board of Trustees 2/16/11
