RECORDS PROCEDURAL GUIDEBecky Hurley, Records Retention ManagerPhone: 270-745-0991 email: Becky.hurley@warren.kyschools.us

2014Edition: 1.0

RECORDS MANAGEMENT QUICK REFERENCE GUIDE

1. Take a look at page 2 for box requirements. 1 cu. ft. – no external writing. 2. Box records according to series number. Only 1 series number per box.3. Labels should have the following information on them: series number, title of records, date-span

of records, school/department records originated from and intended date of destruction.

1. Complete Records Transmittal Form. This form and instructions can be found on the Records Retention web page. (WCPS website/Departments/Records Retention)

2. Forward to Records Retention Manager.3. Records Retention Manager will prepare work order for transmittal to archives and notify you of

pick up date.

1. Complete Records Request Form. This form and instructions can be found on the Records Retention web page. (WCPS website/Departments/Records Retention)

2. Forward to Records Retention Manager.3. Records will be forwarded to you via email or courier.

1. Do not place archived records into active files. 2. Complete Records Transmittal Form (see Requesting Records) to return records to Archives

within 30 days. 3. Only original material must be returned to Archives.

Before destroying records make sure….1. The records are authorized for destruction according to KDLA Retention Schedule.2. WCPS no longer requires the records.3. The records are not subject to current or pending litigation.4. Destruction Certificate has been prepared and forwarded to Records Retention Manager for

approval.5. Service provider has supplied a Certificate of Destruction.6. Certificate of Destruction has been forwarded to Records Retention Manager.

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Preparing Records for Storage

Record Transmittal to Archives

Requesting Records from Archives

Returning Records to Archives

Records Destruction

RECORDS PROCEDURAL GUIDE

Purpose

The purpose of this Procedural Guide is to ensure that Warren County Public Schools (WCPS)

retains its official records in accordance with the requirements of the Kentucky Department of

Libraries and Archives and the State Archives and Records Commission in accordance with KRS

171.410 – 740 and to comply with the Open Records Act.

Procedures

This Guide represents the procedures regarding the retention, boxing and labeling, retrieval,

transmittal and destruction of documents and official records related to and generated in the

course of WCPS’s operations. Proper record keeping and good records management helps

assure effective administration of programs, fulfill legal responsibilities, provide an adequate

audit trail, and record the history and intent of public policy.

Administration

Attached is a copy (under separate cover) of the Records Retention Schedule that is approved

by the State Archives and Records Commission in accordance with KRS 171.410 – 740. This

approval provides the legal basis for public school districts to apply this Procedural Guide to

their records management needs.

http://kdla.ky.gov/records/recretentionschedules/Documents/Local%20Records

%20Schedules/PublicSchoolDistrictRecordsRetentionSchedule.pdf

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Applicability

These procedures apply to all physical records generated in the course of WCPS’s operation and

as set forth in the Records Retention Schedule.

Preparing records for storage

Records management is the systematic control of recorded information, regardless of format,

from original creation to ultimate disposition. In an effort to operate consistently, economically

and efficiently all schools/departments of WCPS will follow the format outlined below for

preparing records for storage.

Box size used for storage of records: 1 cu. Ft. (15”x 10” x 12”) with a test weight

of 200 -250 lbs. Packed boxes weigh approximately 30 – 50 lbs. It is critical for

storage that all boxes be uniform in size and shape. (See Attachment A for

ordering information.)

All boxes used for storage will be plain with no external writing. (Paper boxes,

fruit boxes, or any other pre-used box will not be accepted and will be returned

to the school/department.)

Box the records so that files are easy to retrieve. Arrange the files in a helpful

manner, such as numerically, chronologically or alphabetically. Do not overfill

boxes, as files will be difficult to pull and boxes will fall apart.

Only ONE record Series per box.

Labels will include the following information. Series Number of records as listed

on the Records Retention Schedule, title of records as listed on the Records

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Retention Schedule, date span of records, school/department records originated

from, and intended date of destruction.

Example box and label can be found on Attachment A.

Record Transmittal

The Records Transmittal Form is to be used by schools/departments to transfer records to the

Records Retention Office for storage. This form notifies the Records Retention Manager of the

need to transfer records and represents the official documentation of that transmittal. Work

orders for the transfer of records will be completed by the Records Retention Manager. The

Records Retention Manager will notify the school/department when the pick-up date is

scheduled. All active records should be kept on site. See Attachment B (Records Transmittal

Form) and C (Transmittal Form Instructions)

Requesting Records

The Records Request Form is to be used by schools/departments requesting records that are

kept in the Records Retention Office/Archives. Scanning and emailing the records is the

preferred method of delivery and is the most efficient way to provide the materials requested.

Scanned and emailed material does not have to be returned to the Record Retention Office.

See Attachment D (Record Request Form) and E (Record Request Instructions).

Returning Records

It is important that records are returned as soon as possible and are not placed into active files.

Materials may be requested for as long as needed; however, to ensure inventory control they

should be returned within 30 days. Sending temporarily retrieved records back to the Records

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Retention Office is the responsibility of the requestor. Only original material must be returned

to the Records Retention Office.

Records Destruction. Before records destruction can occur, the following must take place:

• the records have been authorized for destruction in accordance with the requirements of an approved Records Retention Schedule;

• there is no active or pending litigation, audit, Open Records request, or appeal of an Open Records decision, that involves the records in question;

• the records are no longer required under any other legislation, and all statutory and regulatory requirements are fulfilled;

• the records are of no further administrative or business use to the agency;

• a Records Destruction Certificate (See attached PRD Form 50 with instructions) has been completed and signed by the Records Retention Manager; and

• the records have been destroyed in an appropriate manner.

There are at least two levels of authorization required for the destruction of records: Formal

and Internal.

Formal: Authorized by the State Archives and Records Commission

Approved Records Retention Schedules provide state and local government agencies with the

formal authorization to dispose of eligible public records. The schedule sets the minimum

period for retention. A record authorized for destruction in an approved and current retention

schedule may be destroyed at the end of the appropriate retention period. For advice on

applying retention schedules to records, contact the Records Retention Manager.

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Internal: Authorized by Organization

While Records Retention Schedules set a minimum period for retention, it is also important to

ensure that WCPS has no further business or legal needs for particular records. This can be

done by ensuring that there are appropriate internal authorization or approval processes in

place. Once all requirements for retaining records have been met, the Records Retention

Manager will give the final internal approval for the destruction of records.

Appropriate Methods of Destruction.

Records destruction should be:

• authorized• secure/confidential• timely, and• documented.

Destruction of records should be irreversible. This means that there is no reasonable risk of the

information being recovered again. Failure to ensure the total destruction of records may lead

in some cases to the unauthorized release of confidential information. A number of cases have

been reported in the media where records have been found "unearthed" in local landfills after

they had been buried, or left in cabinets that had been sold as surplus. Such events reflect

poorly on public agencies and the Commonwealth of Kentucky as a whole, and could lead to

adverse legal action. Records should always be disposed of with the same level of security that

was maintained during the life of the records.

While records should not be destroyed while there is still a need for them, it is also important

not to keep records longer than necessary, in order to minimize storage costs and increase

retrieval efficiency. Records destruction is a natural part of the life cycle of records. Records are

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created, pass through a useful life, and are then disposed of when they are no longer needed by

the agency – according to the Records Retention Schedule.

If a decision is made to retain records longer than the minimum retention period, a record of

the reasons for the decision should be documented to assist destruction at a later date.

Records Destruction Certificates

The destruction of all records must be documented, so that WCPS is able to determine whether

a record has been destroyed. Proof of destruction may be required in legal proceedings or in

response to Open Records requests. This proof is provided by a Records Destruction Certificate

(PRD Form 50), provided by KDLA. The Public Records Division requires agencies to complete a

Records Destruction Certificate when destroying records. Records Destruction Certificates are

available from KDLA’s website at:

http://www.kdla.ky.gov/recmanagement/schedules/kyrecordsdestruction.pdf

The Records Destruction Certificate records the:

• series number and title of each series destroyed;• date of destruction;• date span of the records series destroyed;• volume of the records destroyed; and• method of destruction.

The Records Destruction Certificate is completed and signed by the Records Retention

Manager, before a copy is sent to KDLA. A copy is also filed in the Records Retention Office.

This is only required by schools/departments if documents are destroyed on site.

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Contractors

Contractors may be hired to destroy records. Even in a contracting situation, it is the

responsibility of the agency to ensure that destruction occurs in accordance with the approved

methods of destruction.

Always insist on a certificate of destruction if using a contractor for the destruction of records. If

records that were supposed to be destroyed are subsequently found, the certificate is evidence

that the contractor was at fault, not your organization. You may also want to request that the

certificate of destruction include the method used. Agencies still need to complete the

KDLA Records Destruction Certificate, even if using a contractor.

Destruction of Electronic Media

There are two acceptable methods to be used for the removal of records from electronic

media:

▪ Overwriting▪ Physical Destruction

The method used for removal depends upon the future use of the media:

▪ Media (hard drives, rewritable disks, etc.) that will be reused should be overwritten. If the

operable hard drive is to be removed from service completely, it should be physically destroyed

or sanitized according to the CIO-077 policy: Sanitization of Information Technology Equipment

and Electronic Media

▪ If the hard drive is inoperable or has reached the end of its useful life, it should be physically

destroyed.

Removable Media

Due to the relatively low cost of removable storage media, the best advice for all media that

cannot be reused is to physically destroy the media. Videos, cinematographic film and

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microforms (microfilm/ fiche/ aperture cards/ x-rays), compact discs, SD cards, and USB media,

can be destroyed by shredding, cutting, crushing or chemical recycling.

Suspension of Record Disposal in Event of Litigation or Claims

If there is an active or pending litigation, audit, Open Records request, or appeal of an Open

Records decision, that involves the records in question, disposal of documents shall be

suspended until, with the advice of counsel, the disposal of the related documents can resume.

Penalties Under the terms of KRS 519.060 (1) (b), a person who “intentionally destroys, mutilates,

conceals, removes, or otherwise impairs the availability of any public records” without the

authority to do so is guilty of tampering with public records, a Class D felony.

The records are authorized for destruction under the Records Retention Schedule

WCPS no longer requires the records

The records are not the subject of a current or pending court case or Open Records Request

Destruction Certificate has been prepared and forwarded to RRM for approval.

Destruction Certificate has been signed by RRM

Service provider has been contacted

Service provider has been asked to supply a certificate of destruction

Certificate of Destruction has been received and forwarded to RRM

RECORDS DESTRUCTION CHECKLIST

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ATTACHMENT A

Economy Boxes, 12 x 15 x 9 7/ 8, White, 10/ Carton

Lift- off lid.

Manufacturer: Universal®

Catalog: Everything For The Workplace

Catalog page: 935

UNV25223

Boxes can be purchased through Barren County Business Supply

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SERIES NO. ___________________ DATE SPAN:___________________________________Per Records Retention Schedule

TITLE OF RECORD:With brief description of contents

ORIGINATED FROM:School/Department

DESTROY DATE:If you are unsure leave blank

Labels can be purchased through Barren County Business Supply. Avery, 3-1/2” x 5”, White, Item No. AVE5168.

ATTACHMENT BRECORDS TRANSMITTAL FOR STORAGE

Warren County Public SchoolsRecord Retention, Maintenance Bldg.

1022 W. Main Street, Bowling Green, KY 42101270-745-0991 - Email: becky.hurley@warren.kyschools.us

Date:________________________________ Department/School:___________________________

Contact: ____________________________________ Phone:____________________

Total Containers: _____________________________

Permanent Records? Yes □ No □

Requested Pick Up Date: __________________________________(Please give a minimum of 2 week notice)

Location in Department/School

Box □Roll □Book □Other □

Series Number as on Retention Schedule

Title of Records, EXACTLY as listed on the Retention Schedule

Date Span of Records in EACH Container.

PLEASE NOTE: Only ONE series number, or record type, per box is acceptable.Please retain a copy for your records. Work Orders for pick up will be submitted by RRM.

RR USE ONLYWork Order #_______________________ Number of Containers Rec’d______________Location: ___________________________ Destroy Date:___________________________Reviewed: ____________________ Retention:_____________________________

RR Manager Signature:________________________ Date:__________________

ATTACHMENT CTransmittal Form Instructions

Date: Date form is filled out

Department/School: Name of School or Department/Office records originated from.

Contact: Name of individual to be contacted regarding transmittal.

Total Containers: The total number of containers/boxes you are requesting to be transmitted on this form.

Permanent Records? Mark yes or no. If unsure leave blank.

Requested pick up date: This is the date you would like to have a scheduled pick up. Please note a 2 week notice is preferable.

Location in Department/School: Where in your building are the boxes/containers located?

Box, Roll, Book, Other: Check appropriate box to indicate the records being transmitted are in boxes, rolls of microfilm, books or bundles. Other indicates special media such as videotapes, etc. In this column you will record each individual container in numerical sequence. When transferring boxes of records, each shipment must begin with box number 1, then be listed in numerical sequence.

Series Number as on Schedule: Enter the series number from your Records Retention Schedule for the record(s) you are transferring. For single series shipments, the series number need only be recorded one time per page. Please note: Only ONE series number, or record type, per box is acceptable.

Title of Records, Exactly as listed on Retention Schedule: The title of the record exactly as shown in the Records Retention Schedule. Enter a brief description of the contents of each container/box in this column.

Date Span of Records in Each Container: The inclusive dates (oldest and most recent) of the records in each box, roll, book, bundle, etc. If the date span is the same for the entire shipment, you need only enter one time per page. If multiple series are being transferred, enter date spans per container.

The remaining blocks of the transmittal request will be completed by the Records Retention Manager after the shipment is received.

After completing the transmittal request retain a copy, either digitally or in paper. You can submit the request by scanning the form and emailing to becky.hurley@warren.kyschools.us (preferred method). Please do not fax requests.

The RRM will notify you when the shipments will be picked up. ALL work orders for pick up will be submitted by the Records Retention Manager.

After the shipment has been received and put on location, you will receive a copy of the completed transmittal form. You should then destroy the copy of the transmittal you saved.

If you have any questions regarding this process, please call Becky Hurley in the Records Retention Office at 270-745-0991.

ATTACHMENT DRECORDS REQUEST FORM

WARREN COUNTY PUBLIC SCHOOLSRecord Retention, Maintenance Bldg.

1022 W. Main Street, Bowling Green, KY 42101Email: becky.hurley@warren.kyschools.us

270-745-0991

Date: _____________________________________

Your Information

RecordRequested

Requested by:___________________________________________________________ Date:________________________Returned to Record Retention Office on: ____________________________

Received by: ____________________________________________________________ Date:_________________________

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Name:____________________________________________________________________________________________

School/Department:____________________________________________________________________________

Contact Number:________________________________________________________________________________

Email:_____________________________________________________________________________________________

Delivery Location:______________________________________________________________________________

Series #________________________________________ Date Span:____________________________

Record Requested:____________________________________________________________________________

Additional Information:______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________NOTE: IF THE RECORD YOU ARE REQUESTING CAN BE SCANNED AND EMAILED TO YOU PLEASE INCLUDE YOUR EMAIL ADDRESS ON THIS FORM. EMAILED RECORDS DO NOT HAVE TO BE RETURNED. ONLY ORIGINAL DOCUMENTS MUST BE RETURNED TO THE RECORD RETENTION OFFICE.

ATTACHMENT ERECORD REQUEST INSTRUCTIONS

Date: Date the form is filled out

Name: Name of individual requesting the (record).

School/Department: Name of school or department request originated from. This is the physical location record will be delivered to.

Contact number: Phone number you can be reached at.

Email address: Email record or communication can be sent to.

Delivery location: Location where original documents are to be delivered.

Series Number: Enter the series number from your Records Retention Schedule for the record you are requesting.

Record Requested: Enter the title of the record you are requesting as shown in the Records Retention Schedule.

Date Span: The inclusive dates of the record you are requesting.

Additional Information: Enter a brief description of the record you are requesting. Any additional information can be helpful in locating the record.

Requested by: Signature of individual requesting record and responsible party.

Date: Date request was signed

Returned to Retention Office: Date original record was returned to the Record Retention Office.

Received by: Signature of Records Retention Manager when original records are received back into the Record Retention Office.

Date: Date Record Retention Manager signed for the original record.

NOTE: IF THE RECORD YOU ARE REQUESTING CAN BE SCANNED AND EMAILED TO YOU PLEASE INCLUDE YOUR EMAL ADDRESS ON THIS FORM. EMAILED RECORDS DO NOT HAVE TO BE RETURNED. ONLY ORIGINAL DOCUMENTS MUST BE RETURNED TO THE RECORD RETENTION OFFICE. THIS IS THE MOST EFFICIENT WAY TO PROVIDE YOU WITH THE INFORMATION YOU ARE REQUESTING.

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