PHYSICAL RECORDS MANAGEMENT: TCC Records Management Procedures and Guidelines

Tulsa Community College

Records Management Procedures and Guidelines

Prepared by:

Andy K. Taylor, MLIS

Records Management Coordinator

Tulsa Community College

Purpose Statement:

The purpose of Tulsa Community College’s records management program is to maintain, protect, preserve, retain, and dispose of records in accordance with operational needs, governmental regulations, and fiscal and legal requirements.  These guidelines shall serve as a working document that covers the life-cycle of records belonging to Tulsa Community College from inception to disposition.  The following records management aspects will be included:

• Roles and responsibilities
• Labeling, Storage, Ownership, and Organization of Records
• Retention and Disposition
• Access and Technology
• Records Destruction
• Process Guidelines

Roles and Responsibilities:

The following individuals are responsible for records management at Tulsa Community College:

Records Management Agency Official:  Paula Settoon, Dean of Libraries

Records Management Coordinator: Andy K. Taylor, Librarian

*Please direct any questions regarding records management to Andy Taylor at the number listed below:

Andy K. Taylor, MLIS

Knowledge Management Librarian

Tulsa Community College

Northeast Campus Library

3727 E. Apache

Tulsa, OK 74115

918-595-7734

Labeling, Storage, Ownership, and Organization of Records:

Labeling:

It shall be the responsibility of each office or department within Tulsa Community College to properly label and organize the records contained within their area of the organization.  The Records Management Coordinator can offer guidance and assistance in this area.  Per the State of Oklahoma Records and Archives Commission guidelines:

All individual records series listed in this General Records Disposition Schedule for State Universities and Colleges are original records retained by administrative units within the institution which are responsible for preserving and making them accessible for their entire stipulated retention periods, regardless of format. Each individual state supported institution of higher education shall identify individual original records and the administrative units responsible for maintaining them for their entire stipulated retention periods.

Storage:

It shall be the responsibility of each department to develop a plan for the storage of their records.  If records are set to be destroyed, then the Records Management Coordinator will take charge of the records and have them moved to the Northeast Campus warehouse to await destruction.

Ownership:

Each department at Tulsa Community College shall be responsible for the records they create.  All records created by the College fall under the Consolidated General Records Disposition Schedule for the State of Oklahoma.  This means that no records relating to the College can be destroyed without the approval of the State Archivist.

**Special Note on the Use of Text and IM for the Transaction of College Business:

Please be advised that any and all messages transmitted through both privately-owned and school-owned devices are subject to the Oklahoma Open Records Act and any Freedom of Information Requests received by the College. Any individual that conducts business for the College through text messages and/or instant messages waives any and all expectations of privacy.  Additionally, any type of record (including text messages relating to any and all College business) must be held for stipulated retention periods per the General Records Disposition Schedule for the State of Oklahoma.

Support for this statement can be found in the Oklahoma Attorney General Opinions related to Records Management (available online at www.oscn.net ).  The opinion states:

E-mails, text messages, and other electronic communications made or received in connection with the transaction of public business, the expenditure of public funds or the administration of public property, are subject to the Oklahoma Open Records Act, 51 O.S.2001 & Supp.2008, §§ 24A.1 - 24A.29, and the Records Management Act, 67 O.S.2001, §§ 201 - 215, regardless of whether they are created, received, transmitted, or maintained by government officials on publicly or privately owned equipment and communication devices, unless some provision of law makes them confidential.

Records Organization Guidelines:

For the sake of consistency and efficiency, the following guidelines must be followed:

1. When storing any type of physical records pertaining to the College, it is important to separate them according to records type.  Only one type of record should be stored in a single container (i.e., banker boxes, copy boxes, etc.).
2. Each department will be responsible for labeling the records prior to requesting a records management appointment through the online Records Management Request (see the Process Overview section below for further information).  This document includes a label that must be filled out and adhered to the side of the box of records in question.
3. If the records contain historical information pertaining to the College, please contact the Heritage Center for information on moving the records into the Institutional Archives/Heritage Center.  NOTE: The Institutional Archives/Heritage Center will NOT house financial, student, or faculty records. Disposition and relocation of these records will be determined by the records retention schedules set forth by the Oklahoma Archives and Records Commission.
4. When uploading paper records into an Enterprise Resource Planning system like BANNER, it is imperative that a written record of the upload date be kept within each department. If the records were uploaded into WebExtender (the ERP system prior to BANNER), then an approximate upload date will suffice (if an exact date is not available). Additionally, a cover sheet should be added to each grouping of records indicating the date that scanning occurred.
5. Each department of Tulsa Community College shall be responsible for the storage of records prior to the request for destruction.  This may require a department to request additional storage space.  The Records Management Coordinator can provide guidance and assistance in this area.  NOTE: The unusually high amount or records retained by the College makes storage at the NEC warehouse impossible at this time.
6. Each department within Tulsa Community College is responsible for the safety and security of the records they hold.  This is imperative as a vast amount of the records created by the College are considered confidential.  As stated before, the Records Management Coordinator can provide guidance and assistance in this area.

Retention and Disposition:

The Oklahoma Records and Archives Commission provides a retention and disposition schedule for all records related to the functions of Colleges and Universities.  The schedule can be found at:

https://oklahoma.gov/content/dam/ok/en/libraries/documents/archives/GRDS-UC-2022.pdf

**IMPORTANT NOTE**:  No record created or maintained by Tulsa Community College may be destroyed without approval from both the State Archives and Records Commission and the Records Management Coordinator at Tulsa Community College.

Access and Technology:

Proper storage of electronic records is essential for the successful maintenance of a records management system.  This requires an Enterprise Resource Planning system for the storage of electronic records.  The system used by Tulsa Community College is known as Banner.  The following information can be found on the Tulsa Community College Website:

Definition: The ERP system TCC uses is Banner which was developed by Ellucian for use in higher education.  It is a highly integrated web-based system with a common database that is shared by everyone who uses Banner.

According to the Tulsa Community College Information Technology Website, Banner is a repository for information, records, and documents pertaining to following areas:

• Student information
• Tuition
• Faculty and Staff
• Degree programs
• Financial aid
• Class schedules
• Transcripts

For the purpose of records management at TCC, it is imperative that all departments using Banner (or any other secure storage system) to store the information contained in their department in this ERP system.  The purpose for this it two-fold:

1. It reduces the need for paper copies of records once a digital copy is created.
2. **Off-site storage of this information on a Tulsa Community College server (through the ERP) allows for a higher level of security when safeguarding records containing confidential information.

**Banner access must be granted by a manager, supervisor, or administrator and is based on an employee’s position and role within the college.  The request for Banner access can be found through the “Form Finder” under the “Employee” tab in the MyTCC Portal.

Destruction of Records:

The destruction of records from Tulsa Community College is handled through the Waste Management Division by Show, Inc.  More information on this company can be found by visiting their website at:

http://showinc.org/

Records are stored in a secure location in the Northeast Campus Warehouse. Several time per year, the Records Management Coordinator at TCC will work with Show, Inc. for them to pick up and destroy records after approval is given by the Oklahoma Department of Libraries.

Additionally, the Oklahoma Archives and Records Commission allows for the destruction of physical records once a digital copy is produced and approval is given. Destruction of physical documents requests can be made up to the current date as long as a digital copy exists. For the deletion of digital records, the College follows the rules set forth in the General Consolidated Records Disposition Schedule for Colleges and Universities.

Process Guidelines:

The following is the process that must be followed BEFORE contacting the Records Management Coordinator for the College:

1. All records should be organized by type.  For example, if an office uses multiple types of records in the course of their work, then each type of record should be filed in separate boxes.
2. All records should have a label indicating both the date span and contents of the record box.  The final page of this document contains a label that should be printed off and taped to the side of the file box.
3. Each department must name a central point of contact in regards to records.  When handling the disposition and destruction of records, it is important that a person in the department act as a contact for the Records Management Coordinator.  Many times, questions arise about dates and contents, and having this person available makes the process run more smoothly and efficiently.

Once the above actions have been taken, it is then time to contact the Records Management Coordinator for the College.  From this point, the following action steps will be taken:

1. The individual or department requesting the records management visit will visit the following link:

https://tulsacc.libwizard.com/f/Tulsa-Community-College-Records-Management-Request

2. The Records Management Coordinator will visit the office or department to inventory the records in question.  This step is important as the information gathered will be used to file destruction and disposition forms with the State of Oklahoma.  If the records are not yet eligible for destruction, the Records Management Coordinator will discuss storage and maintenance options that comply with standards set forth by the Oklahoma Archives and Records Commission for both physical and electronic records.

3. If need be, “Agency Notice of Intent to Destroy Records” forms will be completed by the Records Management Coordinator.  These forms are completed and sent to both the Dean of Libraries and Oklahoma Department of Library Administrative Archivist for destruction approval.
4. If the records are eligible for destruction and are approved, a work order will be filed by the Records Management Coordinator to have the boxes moved to the NEC Warehouse.  This is where boxes of records are stored until a time is set with the shredding company to pick up the boxes.  NOTE:  Boxes of records can only be moved to the NEC warehouse with the approval of the Records Management Coordinator.    Currently, the shredding company is contacted every time approximately 100 boxes are delivered to the warehouse.
5. The records are destroyed in a manner compliant with the rules and regulations of the Oklahoma Archives and Records Commission.  The rules for the State of Oklahoma state that all records destroyed must be put through a cross-cut shredder for optimal destruction, and this service is provided by Show, Inc. (the shredding company contracted by Tulsa Community College).
6. If digitization is required, it is the responsibility of the department to acquire the space or software needed.  Due to the sensitivity of the variety of records produced by Tulsa Community College, it is recommended that department heads request space in Banner.