As a publicly funded institution, Eastern Kentucky University has a responsibility under Kentucky law to ensure that all records created and maintained, as defined by statute (whether in paper, electronic, or other formats), are organized and accessible for use. The main objective of records management at EKU is to assist University faculty and staff in managing their records throughout the entire life cycle of the records, from creation or receipt, through the use and maintenance stage, until final disposition of the records.
Special Collections and Archives EKU Libraries 126 Crabbe Library Richmond, KY 40475 859-622-1792 Fax: 859-622-1174 archives.library@eku.edu
Benefits of Records Management
You will locate what you need when you need it
Reduce the volume of records stored
Improve your storage and retrieval systems
Increase efficiency of everyday office operations
Reduce costs for equipment, supplies, space, and personnel
Identify and protect vital records
Improve customer service
Stay in compliance with federal, state, and local recordkeeping regulations
Reduce liability risks by keeping records according to an authorized retention schedule
Transferring Permanent Records to the Archives
General Information
Suppose your office has records that are designated as permanent in the Records Retention Schedule. What should you do with these records? The answer — transfer the records to EKU’s Special Collections and Archives (called the Archives throughout the rest of these instructions).
When should you transfer the records? The permanent records can be transferred from your office files to the Archives once those records are no longer administratively useful to your office. As a rule of thumb, records referred to less than once every six (6) months are considered no longer administratively useful.
What happens to the records in the Archives? After the records are transferred, the Archives will assume complete physical custody of those records. The records will be cataloged and maintained under strict security with proper environmental control. Referencing, retrieval, and copying of these records will be available upon request. The records will remain permanently within the Archives.
Instructions for Transferring Records
If your records are ready to transfer from your office to the Archives, then follow the instructions presented below. There are two steps to the process:
You need to prepare the records for transfer by putting the records in boxes and then documenting the contents of each box.
You need to send a records transmittal form and a list of the contents of the boxes to the Archives.
Preparing the Records for Transfer: The Boxes
Boxes. Not any box will do. You will need to use archive storage boxes designed to hold either letter or legal size records. Archival storage boxes can be obtained from Central Stores (Catalog # 30-08-03). One filled archival box equals roughly one-half (1/2) of one file cabinet drawer.
If the materials do not fit into a letter or legal size box, please call the Archives for advice. The number is 2-1792.
Next, the records need to be placed in the boxes correctly.
Place the records upright in the boxes, one folder behind the other
Do not lay the folders flat in the boxes
Place the records in the exact order that was maintained in your office (alphabetically, numerically, and so forth). Tip: Generally, start with the oldest group of records first.
Fill the box completely, but do not overload the box.
You can put more than one records retention schedule item or series in a box if space permits.
Put the transmitting office (that is, your office) in the upper right hand corner of each box.
Number each box consecutively, also placing that information in the upper right hand corner of each box.
Preparing the Records for Transfer: Documentation of contents
Now that the records are placed in the boxes, you will need to document the contents of each box.
Make a list of the contents of each box. Include in your information the transmitting office, assigned box number, and every individual folder title or record with inclusive dates (earliest to latest dated records in each folder).
Make two (2) copies of the list.
Preparing the Records for Transfer: The Records Transmittal Form
The records are in their boxes and a list of the contents of each box has been prepared. The next step is to fill out the Records Transmittal Form. The link to the form is under See Also on the left-hand side of these instructions. Click on the link for the form.
Follow these steps to fill out the form:
Transmitting Office, Building and Room, Telephone Number. Fill in your office name, its location (including room number) and your office telephone number.
Transmittal Number & Year. Record here the number of transmittals sent by your office to the Archives and the calendar year for those transmittals.
Total Boxes. Record the total number of boxes being transferred from your office to the Archives in this shipment.
Box number. Record the assigned box numbers in numerical order.
Item number as on Schedule (contact the Archives if the item does not appear on the schedule). Document here the item or series number(s) as the numbers appear on the Records Retention Schedule. An example would be U0244. If there is no item number, or if you need further assistance, please contact the Archives (2-1792); the Archives staff will be happy to help you.
Title of Records, exactly as listed on the Retention Schedule. Record the title(s) corresponding to the item number(s) listed under No. 5. For example, U0244 is listed under section 5. For section 6, you would record Ledgers/Journals, which is the title for U0244.
Inclusion Dates of Records on Each Box. Record here the inclusive dates of the record titles(s) in each box.
Restriction on Records. If there are no restrictions on the records, check no. If there are restrictions on any of the records, please attach a memo of justification stating record(s) to be restricted and reason for the retention.
Transmitting Office Representative. Please have a representative of your office sign this form. The signature is a requirement.
The last step, archives acknowledgement, will be completed by the Archives staff.
Sending the records transmittal form and a list of the contents of the boxes to the Archives.
Send the Records Transmittal Form and the liast of contents of each box to the Archives for notification of intent to transfer permanent records to the university’s archives.
After receiving approval from the Archives to transfer records, the boxes can be moved from your office to the Archives.
Your records about the transferred records
After the Archives has received the records, the transmitting office will receive a copy of the Records Transmittal Form, signed by the Archives, acknowledging receipt of the boxes and assigning the boxes a number representing the location of the records in the Archives. Attach this form to your office’s copy of the list of contents of each box for your future reference.
Instructions for the Destruction of Non-Permanent University Records
The Records Retention Schedule tells you if a record is permanent (and should be sent to EKU’s Special Collections and Archives) or if it is not permanent.
If the records are non-permanent, then you will need to prepare a Certificate of Disposal. Upon completion of the Certificate you can then dispose of the records.
To locate the Certificate of Disposal, please click on the Certificate of Disposal link under See Also on this website (look to your left).
Next, complete the Certificate:
Fill in the blanks for your office or department, the building and room, and your campus telephone number.
Record the date of disposal of the records.
State the method of disposal used in destruction (burned, recycled, shredded, landfill) of the records.
Important! Records of a sensitive or confidential nature should be burned or shredded, never simply placed in the office recycle bin. If you select shredding for the destruction of confidential records, then the shredding should be ¼ inch or less. This size prevents the reconstruction of the information presumed destroyed.
Records that are not of a sensitive or confidential nature may be recycled, placed in a dumpster, or destroyed by other means.
Record the Item number as on the schedule. The item number comes from the Records Retention Schedule. You will find this information under Univ Model. The number starts with a U and is followed by 4 digits. (U0239; U2400). Please consult Special Collections and Archives (2-1792 or 2-1782) if you need assistance on the number.
Fill in Title (or type) of Records, exactly as listed on the Retention and Disposal Schedule. Again, you will find this information in the Records Retention Schedule, next to the item number. An example is for U0239: Financial Records Subject to Audit. The title will correspond with the item record.
Next, list the Inclusive Dates of the records that were destroyed, chronologically if possible. An example is 1990-1995. If you are not certain of the dates, an estimate of the dates is acceptable.
Next, report the volume of records destroyed. The volume is measured in cubit feet. Do not panic. The certificate of disposal states that 1 cubic foot = ½ of 1 file cabinet drawer. If less than a cubic foot of records is destroyed, then go with the nearest half cubic foot.
The Budget, Office, or Department Head should sign and date the certificate. This form is then sent to Special Collections and Archives. A copy of the form must also be sent with the items to be destroyed.
Destroying the Records
Remember, if there is any sensitive or confidential information in the records the method of destruction must be to shred or burn the records.
