Facility and Records Management Policy

Facility and Records Management Policy
Policy

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Document Number: FCMN--102
Revision #: 2.0
Document Owner: VP of Facilities and Infrastructure
Date Last Updated: 04/16/2018
Primary Author: VP of Facilities and Infrastructure
Status: Approved
Date Originally Created: 10/04/2011
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General Description

Description:
Where facilities have multiple users, consideration will be given to provide balance in use, which does not compromise the provision of programs and services to all constituents. The unique scheduling requirements of the users will be considered when allocating facilities, as well as provide fair access for participants. The University has no obligation to provide facilities for non-University users except where an explicit contract or agreement is provided.

Purpose:
The students, faculty, staff, and administrators of Cumberland University share the physical facilities and athletic fields available to the University community. As such, these constituents rely on CU to provide facilities to offer quality facilities. Constituents enjoy participating in active and passive leisure and recognize the essential role that physical facilities play in the development of a healthy campus community. CU values the promotion and enhancement of a healthy, safe and active campus community by working in partnership to provide responsive, proactive, accessible and diverse programs and services. This requires the strategic use of all physical facilities to maximize University benefit(s).

Scope:
All Departments and/or Department heads

Exceptions:
The following are exceptions to this policy:
No exceptions

Responsibility:
Administration
OBJECTIVES:

1. To provide safe and efficient operation/maintenance of facilities.
2. To ensure fair and equitable access to facilities for all users.
3. To provide support to groups offering programming on or around campus.
4. To work cooperatively with facility users to deliver quality programs and events.
5. To support facility development by fostering group development.
6. To maintain policies for appropriate use of University resources (leased, owned and/or controlled) in response to changing University needs.

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Requirements

Approvals:
All facility and records management questions must be referred to and approved by University administration.

Relevant Knowledge:
In order to comply with this policy you should know:
Current University policy
Federal statutes
Local statutes
Standard company policies
Standards of good practice
State statutes

Terms and Definitions:
Additional training

Corrective Action
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Policy Provisions

1. Priorities used for allocation

Facility allocation will be based on a simple priority sequence, which will be outlined hereto.

Organization + Activity = Priority

1. Providing space for classroom teaching and related academic activities.
2. Providing space for faculty, staff, and administrator offices.
3. University-operated programs and services.
4. Providing space for extracurricular functions including but not limited to athletics, music, arts, theatre, community, and other similar activities.
5. Providing space for residents on campus (residence halls, faculty or staff temporary housing).

2. Facility availability

Each of the University facilities has a schedule of availability based on the seasonal needs, maintenance requirements, and preferred hours of use, number of participants, and other requirements.

Effective Date: These Guidelines are considered to be in force as of June 1, 2011.

3. Guidelines

3.1 Guideline: Space Allocation, Facility Improvement, Facility Modifications, Facility Changes

Allocation of classroom, academic, residential, and individual office space is the responsibility of Executive Director of Facilities and Safety with final approval resting with the President of the University. Facility improvements, facility modifications, and facility changes are the responsibility of the Executive Director of Facilities and Safety with the final approval resting with the President of the University. No space allocation or facility improvement, modification, or change can take place without the approval of the President of the University.

PURPOSE:
To insure that all University physical resources are allocated in a timely and fair manner. These Guidelines apply to all administrators, faculty, staff, and students of Cumberland University.

PROCEDURES/GUIDELINES:

1. Space allocation decisions will be made in response to hiring decisions (and the resulting office space need), the need for classroom space and/or adjustments to current classroom space, and/or the need for residential space for students. All space allocation decisions must be made by the President of the University upon consultation with and feedback provided by pertinent University administrators.

2. Immediately upon allocation of space for staff members, information regarding said space allocations will be forwarded to the appropriate unit to insure proper signage, electronic capability (telephone and computer access, etc.) and necessary changes to any University-wide communication system (telephone extension information, mailbox location, etc.). All space allocation needs are dependent on capital budget availability.

3. Written requests for space allocation adjustments/additions/needs will be considered by the Executive Director of Facilities and Safety only when an appropriate rationale is presented and requisite space is available. All space allocation decisions must be approved by the President of the University. Furnishings and personal computers are part of the office and are not transferable unless otherwise noted in the written request. When changing offices, staff members are to move all of their personal effects, however all furnishings (desk, chair, bookcases, and standard computer) remain in the office they are vacating. Maintenance and Housekeeping is available to assist staff with moving heavy boxes. Specialized computer equipment required by staff members must be approved in the capital budget process. These computers may be moved with the staff from office to office only when written rationale is provided to Executive Director of Facilities and Safety. Once approved, Information Technology will arrange for this transfer of equipment. Individual staff members should not move their computer equipment. IT staff members will assist with moving computers.

4. Due to limited availability of office space, staff members will be limited to one office space per person. Efforts will be made to place instructional groups together when space is available. In some isolated cases, staff members may be asked to share office space, especially when work schedules allow (one staff member works daytime office hours and one staff member works night office hours).

5. Faculty office space will be allocated based on the following priority: Deans, Assistant Deans, administrative support, full-time faculty, and adjunct faculty (when space is available). Staff office space will be allocated based on the following priority: President, Administrators, administrative support, Directors of units, all other staff. Faculty and staff may be allocated a shared office space for the duration of his/her assignment. Larger offices may be assigned as shared office space when necessary. More than one faculty or staff member may be allocated to an office. Wherever possible, faculty and staff of the same department will be assigned shared office space.

6. It is the responsibility of the individual to ensure his/her office is cleared of all personal/ departmental belongings within one week of the end of his/her last day of employment.

7. When faculty members are granted a sabbatical or leave of absence, their office will be placed back into the office pool for the length of time they are away. It is the responsibility of the individual to ensure that the office is cleared of all personal/departmental belongings prior to leaving. In the event that a faculty member requires use of office space for the duration of his/her sabbatical/leave, a written request must be submitted to the Executive Director of Facilities and Safety. If there is office space available and the request is deemed appropriate by the Executive Director of Facilities and Safety, office space in the part-time suite may be appointed.

8. Classroom space allocations will be a collaborative process between the Registrar’s office, the School Deans, the Executive Director of Facilities and Safety, the Office of Disability Services, and the Executive Director of Facilities and Safety. Final decision on classroom space allocation rests with the President of the University.

9. Residential space allocations will be a collaborative process between the Director of Residence Life and Housing, the Executive Director of Facilities and Safety, and the Executive Vice President. Final decision on residential space allocation rests with the President of the University.

10. Athletic department space allocation will be a collaborative process between the Director of Athletics (with input from pertinent coaches), the Executive Director of Facilities and Safety, the Office of Disability Services, and the Executive Vice President and CIEO. Final decisions on Athletic Department space allocation rest with the President of the University.

11. Any facility improvement, change, or modification must follow a collaborative process directed by the Executive Director of Facilities and Safety, and the final decision will rest with the President of the University. The process will include a written request for modification, a discussion by pertinent parties who will be involved, and approval by a line of administrators with the final decision resting with the President of the University. Included in this area:

a. modification to any existing room, door, building, structure, or athletic field or facility;
b. major or minor change to any existing room, door, building, structure, or athletic field or facility;
c. facility expansion or renovation to any existing room, door, building, structure, or athletic field or facility;
d. any cosmetic change to the campus interior or exterior (including removing trees, shrubbery, or signage or planting new trees, shrubs, or placing new signage on campus);

Any fundraising campaign with funds earmarked to improve, change, or modify any interior or exterior site on campus must be approved prior to the campaign by the President of the University.

3.2 Guideline: Disposal of Records

To insure that all University records are handled in a secure manner. These Guidelines apply to all administrators, faculty, staff, and students of Cumberland University.

PROCEDURE/GUIDELINES

These guidelines set forth the procedures for disposal of institutional records for Cumberland University. Disposal of institutional records must be approved by the appropriate University administrator. No records may be destroyed unless and until provided below. Unless specified otherwise, or otherwise required by law, records may be imaged, microfilmed, or electronically reproduced and the paper copy destroyed upon verification of an archival quality reproduction. The microfilm, image, or electronic record will then be retained for the balance of the indicated retention period.

No record shall be destroyed so long as it pertains to any pending legal case, claim or action or to any federal or state audit until such actions have been concluded. Records which reflect "Permanent" retention may be destroyed after verification of an archival quality electronic reproduction.

Prior to the destruction of any records, the appropriate University administrator must determine if the action should be delayed due to audit or litigation requirements. Specific records pertaining to current or pending litigation or investigation must also be retained until the litigation is complete or legal counsel instructs that the records may be destroyed. These specific records can be retained in a suspense file, while all other records not under pending investigation should be disposed of in accordance with established procedures.

Notwithstanding the retention period stated herein, should such periods conflict with federal law, the period of longer retention shall apply. The following definitions are applicable to this Guideline:

RECORD:
All books, papers, electronic mail messages, maps, photographs, films, microfilm, imaged copy, electronic data processing output, sound recordings or other materials regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by any governmental agency.

NON-RECORD:
Those documents which do not document the activities of the University: i.e. extra copies of documents kept for convenience or reference; stock supplies of publications; extra copies of circulated materials where follow-up copies are kept for the record; reading files; follow-up correspondence copies; identical or carbon copies kept in the same file; draft copies or work copies of documents when the final version is complete; letters of transmittal which add nothing to the transmitted information; inter-office memoranda; shorthand notes, steno type tapes or sound recordings after they have been transcribed; and internal housekeeping materials such as intra-office memos, routing slips, telephone call slips, and computer edit error listings after the corrections are made; library or museum material which is for reference or exhibition; private materials neither made nor received by an institution or school staff member in connection with the transaction of official business. As non-records, the above-mentioned items are excluded from the record retention and disposal requirements.

PERMANENT RECORDS:
Those records or materials which have permanent administrative, physical, historical or legal value.

WORKING PAPERS:
Those records or materials created to serve as interim documents or inputs to final reporting documents, including electronic data processed records, computer output microfilm and records which become obsolete immediately after agency use or publication and are not classified as being a permanent record, or record of archival value.

3.2.1 Business records

NOTE: Business records must be retained the indicated number of years listed below.

TYPE OF RECORD RETENTION PERIOD

Capital Outlay Requisitions 3 years
Capital Outlay Purchase Orders
Closed capital outlay purchase order files 3 years
Requisition for Local Purchase 3 years
Requisition for Bids 3 years
Budget Records and Ledgers (Working Papers)
Budget working papers which are prepared at each institution during the budget process 3 years
Travel Claims
Claims for travel expenses filed for reimbursement 3 years
Purchase Orders 3 years
Petty Cash Receipts 3 years
Equipment Inventory Records 3 years
Disbursement Voucher Files
Disbursement vouchers and supporting documents, such as vendor invoices, purchase orders and related correspondence, travel requests and authorizations 3 years
Motor Vehicle Operations Files
Applications for title, registration, invoices, etc., for school-owned vehicles 3 years
Internal Audit Reports 5 years or two audits
Internal Audit Work Papers 5 years or two audits
Accounts Receivable
Invoices billing individuals and organizations for accounts receivable 5 years
Bank Deposit Slips 5 years
University Operating Funds Receipt Books and Other Pre-Numbered Receipts 5 years
Payroll Records
Payroll journals, transmittal sheets, etc. 4 years
Check Vouchers 5 years
Fee Assessment Forms 5 years
Vendor Files 5 years
Bank Account Reconciliation
Statements showing checks, other debits, deposits and credits to bank accounts 5 years
Canceled Checks 5 years
Student Ledger Cards/ Student Registration System Receipts 5 years after account is paid in full; permanently if not paid in full
Tuition and Fee Charges, Assessed and Paid 5 years after date of charge
Investment Records
Includes records concerning LGIP accounts, certificates of deposit, records of interest and dividends earned 5 years after maturity/liquidation of investment

Student Financial Aid Records

1. Records pertaining to the application for and receipt and expenditure of federal funds, including all accounting records and original and supporting documents necessary to document how the funds are spent
2. Records pertaining to specific award of financial aid
3. Repayment Records A minimum of 3 years, as required by federal law. See 34 C.F.R. 668.24.

Contracts 6 years after either final payment, or termination of contract term
Housing Contracts 6 years after final payment
Leases 6 years after termination
Gift and Contribution Records
Master listing of gifts and contributions
Record of any stipulations placed on gift or contribution
All other records Permanently
Life of gift or contribution

3 years
General Ledger 20 years
Monthly Budget and Expenditure Report (if different than General Ledger) If kept in lieu of a general ledger, 20 years
Financial Reports Permanently

3.2.2 Personnel records

NOTE: Personnel records must be retained the indicated number of years listed below.

TYPE OF RECORD RETENTION PERIOD

Attendance and Leave Records, Employee Leave Requests, Attendance and Leave Reports Maintain by fiscal year (current leave balances should be constantly maintained); hold for 3 years after current year and completed audit when required
Personnel Files
Official personnel folders for each employee Maintain in active files for current employees. May image, microfilm, or electronically reproduce active files; Destroy paper records after verification of reproduction.
Daily Work Report Files
This record serves as a work sheet for the attendance and leave record. It serves as a record of daily attendance, hours worked and leave taken. Included are forms giving name of employee, time signed in and out, hours worked, signature of employee, etc. Maintain in file on annual basis; destroy after maintaining 3 years
Pledge Cards for Charity Drives Destroy after 1 year and audit
Employee Insurance Files
Records consist of signed copies of group welfare program and similar forms indicating type coverage selected, signed application for health insurance and similar or related forms Retain in active file until superseded by a new form, at which time original authorization will be placed in agency personnel folder or attached to the new authorization. Upon termination of employment, place in agency employee personnel folder, etc.
Applications for Employment
Applications and resumes submitted in response to an advertised position. 2 years after date of last action on an application
Unsolicited Applications
Employment applications and resumes gratuitously submitted. May be disposed of immediately
Affirmative Action Records
Composite information relating to applicant flow logs, applicant statistics, wage data, and information concerning adverse impact, affirmative action compliance program, etc. 5 years
I-9 Employment Eligibility verification forms 3 years after date of hire or one year after date of termination, whichever is later

3.2.3 Student records

The Family Educational Rights and Privacy Act of 1974, as amended (FERPA) specifically requires institutions to maintain records of requests and disclosures of personally identifiable information except for defined "directory information" and requests from students to review their own records. The records of disclosures and requests for disclosures are considered part of the students' educational records; therefore, these records must be retained as long as the education records to which they refer are retained by the institution.
Additionally, FERPA requires that no record for which there is a pending request to review be destroyed.
Admission data, documents for applicants who do not enter whether accepted or rejected.

TYPE OF RECORD RETENTION PERIOD
Acceptance Letters 1 year after application term
Applications for Admission 1 year after application term
Correspondence 1 year after application term
Entrance Exam Reports (ACT, CEEB) 1 year after application term
Letters of Recommendation 1 year after application term
Transcripts
High school, other colleges or universities 1 year after application term
Medical Records 1 year after application term
Readmission Forms 1 year after application term

The remainder of the retention guidelines for student records pertains to applicants who enter the institution.
TYPE OF RECORD RETENTION PERIOD
Grade Reports (Registrar's copies) 1 year after date distributed
Registration Forms 1 year after date submitted
Social Security Certificates 1 year after certified
Teacher Certifications 1 year after certified
Transcript Requests (student) 1 year after date requested
Audit Authorizations 1 year after date submitted
Pass/Fail Requests 1 year after date submitted
Changes of Course (add/drop) 1 year after date submitted
Credit/No Credit Approvals 1 year after date submitted
Enrollment Verifications, Logs or Lists 1 year after date submitted
Applications for Graduation 1 year after graduation or 1 year after date of last attendance
Examination Papers and Answer Sheets Must be retained one year after date of last attendance, or one year after date of graduation of student whose grade has been appealed.
Academic Advisor Files 1 year after graduation, or 3 years after end of advisor status, whichever occurs first
Class Schedules (Students) 1 year after graduation or 1 year after date of last attendance
Personal Data Information Forms 1 year after graduation or 1 year after date of last attendance
Judicial Board Cases/Student Disciplinary Files
For matters resulting in expulsion or suspension
For matters resulting in a finding of no violation(s) Permanent

At conclusion of disciplinary process
All other matters 1 year after graduation or 4 years after date of action
Veterans Administration Certifications/Individual Folders File includes recruitment material (for those who do not enter whether accepted or rejected); previous education (transcripts from other colleges); evidence of formal admission (acceptance letters); grade reports and/or statements of progress (academic records); change of course forms; transfer credit evaluations; degree audit reports; tuition and fees charged and collected. 3 years after graduation or date of last term attended
Withdrawal Authorizations 3 years after graduation or date of last attendance
Academic Action Authorizations (Dismissal, etc.) 5 years after graduation or date of last attendance
Acceptance Letters 5 years after graduation or date of last attendance
Name Change Authorizations 5 years after graduation or date of last attendance
Correspondence, Relevant 5 years after graduation or date of last attendance
Residence Classification Forms 5 years after graduation or date of last attendance
Curriculum Change Authorizations 5 years after graduation or date of last attendance
Degree Audit Records, Reports 5 years after graduation or date of last attendance
Entrance Examinations Reports (ACT, CEEB) 5 years after graduation or date of last attendance
Transcripts - High schools, other colleges 5 years after graduation or date of last attendance
Foreign Student Forms (I-20) 5 years after graduation or date of last attendance
Graduation Authorizations 5 years after graduation or date of last attendance
Advance Placement Records
Information regarding students' high school advance placement scores 5 years after graduation or date of last attendance
Applications for Admission or Readmission (Re-entry) 5 years after graduation or date of last attendance
Credit by Examination Forms 5 years after graduation or date of last attendance
Placement Records
Records of job placement subsequent to attendance, graduation, receipt of certificate, etc. 5 years after graduation or date of last attendance
Letters of Recommendation Upon admission of the student
Student Waivers for Right of Access to Review Letters of Recommendation for Admission Retain until the admissions record and recommendation letters are disposed.
Transfer Credit Evaluations 5 years after graduation or date of last attendance
Academic Records
Includes Narrative Evaluations, Competency Assessments, etc. Permanently
Change of Grade Forms (Update Forms) Permanently
Class Lists (Original Grade Sheets or Cards) Permanently
Graduation Lists Permanently
Permanent Student Cards Permanently
Statistical Data – Enrollment, Grades, Racial/Ethnic, Degree, Schedule of Classes (Institutional) Permanently
Commencement Program Retain 1 copy permanently

3.2.4 Miscellaneous

TYPE OF RECORD RETENTION PERIOD

Correspondence Files 1 year
Deeds Permanently
Endowment and Living Trust Agreements Permanently
Minutes of Board and Committees
Documents relating to the holding of meetings and recording of proceedings of meetings of the Board of Regents and its official commissions, councils, sub-councils, and committees.
Included are accounts (either verbatim or in summary) of proceedings; actions taken in such meetings, agenda; copies of reports; exhibits; announcements; retained in Office of General Counsel Permanently
Printed Materials and Publications
Items which have permanent administrative, physical, historical or legal value, such as: Class schedules (institutional), school catalogs, brochures, etc. Retain 2 copies permanently in institution/center library archive
Medical X-Rays
4 years, provided the written and signed findings of a radiologist who has read such X-ray film shall be retained for 10 years after treatment of patient

Medical Case Records
Retain entire record for 10 years after student leaves institution. Retain 10 years after treatment of member of institution/center staff
Litigation Files
Institutional Files - Supporting records utilized in litigation
Central Office Files - Pleadings and other supporting documents 3 years after conclusion of litigation/final appeal
5 years after conclusion of litigation/final appeal
Interlibrary Loan Forms Maintain by calendar year and hold for 1 additional year
Motor Vehicle Registration
Registration forms for campus parking permits
Retain during current academic year; or, destroy once invalid
Accreditation Records Until superseded

3.3 Guideline: Business Continuity Plan (impact analysis, threat analysis, and recovery requirement)

To insure that all University continues operation even in time of crisis.
These Guidelines apply to all administrators, faculty, staff, and students of Cumberland University.

3.3.1 Business impact analysis

The analysis phase in the development of the BCP consists of an impact analysis, threat analysis, and impact scenarios with the resulting BCP plan requirement documentation.

An impact analysis results in the differentiation between critical (urgent) and non-critical (non-urgent) organization functions/ activities. For each critical (in scope) function, two values are then assigned:

Recovery Point Objective

•(RPO) - the acceptable latency of data that will be recovered

Recovery Time Objective

•(RTO) - the acceptable amount of time to restore the function

The Recovery Point Objective must ensure that the Maximum Tolerable Data Loss for each activity is not exceeded. The Recovery Time Objective must ensure that the Maximum Tolerable Period of Disruption (MTPD) for each activity is not exceeded.

Next, the impact analysis results in the recovery requirements for each critical function. Recovery requirements consist of the following information:

•The business requirements for recovery of the critical function, and/or
The technical requirements for recovery of the critical function

3.3.2 Threat analysis

The analysis phase in the development of the BCP consists of an impact analysis, threat analysis, and impact scenarios with the resulting BCP plan requirement documentation.

Some common threats include the following:

•Disease
•Earthquake
•Fire
•Flood
•Cyber attack
•Sabotage (insider or external threat)
•Hurricane or other major storm
•Utility outage
•Terrorism
•Theft (insider or external threat, vital information or material)
•Random failure of mission-critical systems

All threats in the examples above share a common impact:
the potential of damage to organizational infrastructure - except one (disease).

3.3.3 Recovery requirement documentation

The analysis phase in the development of the BCP consists of an impact analysis, threat analysis, and impact scenarios with the resulting BCP plan requirement documentation.

Business and technical plan requirements are documented in order to commence the implementation phase.

•The numbers and types of desks, whether dedicated or shared, required
•The individuals involved in the recovery effort along with their contact and technical details
•The applications and application data required for critical business functions
•The manual workaround solutions
•The maximum outage allowed for the applications

The peripheral requirements like printers, copier, fax machine, calculators, paper, pens, etc.
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Performance Evaluation

Desired Outcome:

1. To provide safe & efficient operation/maintenance of facilities.
2. To ensure fair and equitable access to facilities for all users.
3. To provide support to groups offering programming on or around campus.
4. To work cooperatively with facility users to deliver quality programs and events.
5. To support facility development by fostering group development.
6. To maintain policies for appropriate use of University resources (leased, owned and/or controlled) in response to changing University needs.

Performance Metrics:
Compliance with standard policy and procedure
Customer Satisfaction Rating

Consequences:
Further training
Loss of privileges
Write-Up
Suspension
Job Termination
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Subject Experts

The following may be consulted for additional information.
VP of Facilities and Infrastructure

Executive Director of Facilities and Safety

VP of Business and Finance