Records Management Policies

Transferring Records

Please note the changes to our policies and procedures for transferring records to University Archives. If you have questions, please contact university archives at records@ua.edu.

Policy

1. Each office should survey its records at least once a year to separate active records from inactive records; to remove inactive records from office space; and to dispose of records that have met their retention period.
2. All records transferred to University Archives should be scheduled for retention.
3. University Archives reserves the right to refuse any material that does not qualify as either a temporary or permanent record, or material that does not meet standards of transfer. This includes, but is not limited to, the following:
   • Material that is not properly inventoried or boxed
   • Material that has been damaged by water or some other agent
   • Material that is at, near, or past its retention period
4. Temporary records are inactive records of value. These records may be transferred to University Archives for storage. They will be destroyed at the end of their retention period, as specified in the Records Disposition Authority.
5. Permanent records are inactive records of enduring value. These records will be transferred directly from the originating office to University Archives.
6. Record center boxes must be used to store temporary records. The boxes can be purchased from University Archives. If purchased elsewhere, the boxes must meet the following requirements:
   • Must measure 15″X12″X10″, holding 1.5 linear feet of letter size paper or 1 linear foot of legal size paper
   • Must have double-layered ends and bottoms
   University Archives reserves the right to refuse transfer or records in boxes that do not meet these standards.
7. Acid-free record center boxes must be used to store permanent records. Acid-free boxes can be purchased from University Archives. If purchased elsewhere, the boxes must meet the same requirements as standard record center boxes in size and construction, in addition to being acid-free.

Procedures

1. To transfer records to University Archives, fill out the Records Transfer Form (RTF) and the accompanying Box Inventory. Contact records@ua.edu for assistance if you have any questions.
2. Submit the RTF to records@ua.edu. An RTF must be submitted to University Archives prior to physical transfer. University Archives will deny or approve transfer of records based on the information provided in the RTF.
3. If approved, University Archives will schedule a time for physical transfer. Records that have not been approved by University Archives, or that have been denied transfer on the basis of status or condition, will not be transferred to University Archives.
4. Place records into the correct type of storage box—non-acid-free for temporary records, acid-free for permanent records. University Archives will not transfer boxes that do not meet stated specifications.
5. Remove records from hanging file folders and place in standard folders. University Archives will not accept boxes that contain hanging file folders.
6. Ensure that the records are in a logical order (alphabetical, chronological, numerical, etc.).
7. DO NOT put two different record series in the same box.
8. DO NOT put records with different retention periods in the same box.
9. Leave a 2 inch working space in each box to permit future reference to records.
10. Label the box as follows:
    • Write on the front end of the box only
    • Write in pencil only
    • Include the name of the office
    • Include the name and inclusive dates of the record series in the box
    • Include the retention and disposition dates for each box
    • Number the boxes consecutively, beginning with 1
    Please note, internal numbering or labeling schemes can be included in the box inventory, or written on the box in addition to the consecutive box numbers. Please contact University Archives at records@ua.edu if you have questions.

Retrieving Records

Please note the changes to our policies and procedures for requesting records from University Archives. If you have questions, please contact University Archives at records@ua.edu.

Policy

Records stored in University Archives may be checked-out and temporarily returned to the originating office, or to any other authorized University of Alabama department, division, or agent.

Procedures

To request check-out and return of records, please follow the procedures below. If you have questions, please contact us at records@ua.edu.

1. Requests for check-out and return of records stored in University Archives should be submitted by email to records@ua.edu. Please note, records@ua.edu is the official email address for University Archives and we ask that all requests be submitted to this address.
2. Provide as much detail as possible, including file name, box number, and any accession or location information that has been provided by University Archives.
3. University departments may choose to save this Retrieval Form as a template and use it when requesting records.
4. Records will be retrieved from storage, checked-out, and delivered to the requesting office by University Archives staff.

Destroying Records

Please submit a Destruction Report to University Archives when University records are destroyed in your office. The purpose of this form is to document that University records are being destroyed according to established retention policies and to provide information regarding destruction to the State Records Commission. All University records that do not have enduring value should be shredded at the end of their retention period. Convenience copies of records should be shredded at the end of their useful life. Records that will be shredded should be sent to UA Recycling. If you have questions, please contact University Archives at records@ua.edu.

1. This policy is applicable for all records not of enduring value.
2. Records should be destroyed at the end of their retention period unless there is good cause to retain them. An example of good cause would be an ongoing court case. Records may not be stored in University Archives beyond their retention without good cause.
3. Confidential records must be shredded, or otherwise physically destroyed in a manner that will leave their content un-reconstructible. Determination of what constitutes confidential records is the responsibility of the division.
4. At least once a year, each office should review its records and retention schedules to determine which records should be destroyed.
5. It is the responsibility of the individual office to destroy its obsolete records. The office is responsible for destruction whether the records are stored in University Archives or in the originating office.
6. For records destroyed by the originating office, a departmental representative will submit a Destruction Report to the Institutional Records Analyst. The report can be sent to records@ua.edu.
7. To schedule destruction of records held in University Archives, please contact us at records@ua.edu.