Transfer of University Historical Records to Archives Policy

Date Approved:4-8-2019
Last Revision:4-8-2019
Last Reviewed:4-8-2019
Approved By:President
Oversight Unit:RECORDS
Attached form file: Reappraisal-Transfer of Historical University Records to Archives.docx
This policy has a related procedure. Click to view the procedure below.
Purpose

Primary: To establish a clear differentiation between records that require a Freedom of Information Act (FOIA) request and records that are available for public access.

Secondary: To establish a criteria and procedure for transferring historical university records from Records Management to the Archives.

Applicability

All university staff, faculty, students, and visitors.

Policy

Records originating from the university that are sent to Records Management for storage will, by default, require a FOIA for public access.

Stored university records that meet certain criteria and that are reviewed following an approved process are eligible for reappraisal and transfer from Records Management to the university Archives, where they will be available to the public without a FOIA request.

This policy will support the mission of the Archives to document, share, and preserve the historical records of Northern Michigan University.


Transfer of University Historical Records to Archives Procedure

Procedure

Procedure Description

University permanent records will be systematically reappraised for historical value and potential transfer from Records Management to the NMU Archives. Records transferred to Archives following these procedures will be available for public access without need of a FOIA request.

Records Management Processing

1) Upon transfer of university records from department to Records Management, Records Management will assign the records a retention rule. If the retention is permanent, records management will assign an Archival reappraisal date according to the chart below:

□ 10 Year

□ 25 Year

□ Not open to Archival Transfer

□ Marketing Materials  

□ Published Materials          

□ Special Event History    

□ Photographs and Audio Visual Materials

□ Building Plans (10 years after demolition)

                                                                    

□ Procedural History

□ Policy

□ Maps

□ Academic/Curricular Historical Development

□ Activities and Functions of Academic and Administrative Offices

□ Board, Commission, Committee, Organization, and Club records.

□ Records of major university officers and administrators, such as the President, Provost, and Deans (reappraisal occurs 25 years after individual has left office).

Records that have a main function of:

□ Medical Information

□ Official Personnel Records

□ Individually Identifiable Student Information

□ Law Enforcement Records with Personally Identifiable Information

□ Or any records specifically exempt via FOIA, HIPPA, and FERPA.

2) Annually, Records Management will compile a list of all records due for Archival reappraisal.

3) Records Management will pull records for review and move them to the “Records Management Review” shelf. In ArchivesSpace, the reappraisal process will be chronicled by adding an "Appraisal Event." The records will then be physically inspected and the first section of the “Transfer of Historical University Records to Archives Reappraisal” form will be completed to assess confidentiality risks/legal compliance and what should/should not be open for Archival reappraisal.

Records deemed confidential will be moved into new boxes marked with the accession identifier and term “confidential.”

4) The “Transfer of Historical University Records to Archives Reappraisal” forms will then be reviewed for approval by the Internal Auditor.

5) Records that are approved by the Internal Auditor will be compiled and the department that owns the records will be consulted to approve full Archival reappraisal, deny Archival reappraisal, or approve Archival reappraisal but request that records not selected by the Archives be further retained.

a. Departments that approve the Archival reappraisal will give the Archives rights to reorganize the records and destroy exempt materials with no historical value or historical value that does not match the Archive’s mission.

b. Departments that deny Archival reappraisal will be consulted to determine a later date for the review.

c. Departments that approve Archival reappraisal but request that records not selected by the Archives be further retained will have the remaining records returned to Records Center storage. The department will be provided an updated inventory.

6) Records approved by both the Internal Auditor and the owning department will be transferred to Archives along with the “Transfer of Historical University Records to Archives Reappraisal” sheet. Upon receiving the transfer, Archives will continue to chronicle the reappraisal in the ArchivesSpace "Appraisal Event" section.

Archival Reappraisal

  1. Archives will reappraise the records generally based on value of information, administrative values, and cost of retention. There determinations will be added to the sent to the “Transfer of Historical University Records to Archives Reappraisal” sheet and returned to Records Management with one of the following directions:
    • High historical value and will be retained in entirety by Archives.
      • Archives will assume full responsibility of the records, reclassify the accession with a “MAS” identifier, and create an ArchivesSpace Resource Record (finding aid).
    • Some historical value and specific materials will be returned to Records Management for destruction.
      • Archives will transfer specific records back to Records Management for destruction. Records Management will add a destruction date for the records in ArchivesSpace.
      • Archives will assume full responsibility of the remaining records, reclassify the accession with a “MAS” identifier, and create an ArchivesSpace Resource Record (finding aid).
    • No historical value that matches the Archives’ mission and will be returned to Records Management for destruction.
      • Archives will transfer all records back to Records Management for destruction. Records Management will add a destruction date for the records in ArchivesSpace.