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| Policy 509.8 | | Policy 105.1 |
| == Introduction == | | == Introduction == |
| | 1.1 The purpose of this policy is to inform Appalachian State University (“Appalachian”) employees of the requirements and responsibilities for management and destruction of University records. This policy is implemented in accordance N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132-3. |
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| == Scope == | | == Scope == |
| | 2.1 This policy applies to all Appalachian employees and covers all records, including electronic records, regardless of physical form or characteristics, made or received in connection with the transaction of University business that are in the possession or control of the University. |
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| == Definitions == | | == Definitions == |
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| == Policy and Procedure Statements == | | === Retention Schedule === |
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| === Necessary Form ===
| | : The [https://files.nc.gov/dncr-archives/documents/files/university_gs_amendments_2020.pdf UNC System Records Retention and Disposition Schedule]. The Retention Schedule gives an assessment of record retention and archival value by indicating when, and if, a record may be destroyed. |
| 4.1.1 All requests for materials and services from commercial vendors must be submitted by requesting departments on either the standard procurement request form or by using FRS On-Line Requisitioning procedures as discussed in Procedure Statement 1, Purchasing from Commercial Vendors.
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| === Budgetary Approval === | | === Record(s) or “record(s)” === |
| #Hard copy procurement request. After removing the departmental copy, the completed procurement request is submitted to the Controller's Office for budget approval. If sufficient unobligated funds remain in the general ledger account, the request is approved and forwarded to the Purchasing Office. If sufficient funds are not available, or if the request does not have the appropriate authorizing signature, the procurement request will be returned to the department.
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| #On-Line Requisition. It is the responsibility of the requesting department to ensure that the general ledger account has adequate budget balance available (BBA) in the appropriate budget pool prior to submitting an on-line procurement request. On-Line requisitions must be submitted in accordance with the detailed instructions in the FRS On-Line Requisitioning Manual. Once submitted, the requisition will be transmitted on-line to the established approving authority which has administrative responsibility for the account. If approved, the requisition will then be transmitted on-line to the Purchasing Department.
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| === Purchase Orders ===
| | : All documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, electronic mail communications (“e-mail”), artifacts, or other documentary material, regardless of physical form or characteristics, made or received in connection with the transaction of University business that are in the possession or control of the University. |
| 4.3.1 The Purchasing Office processes the procurement request to issue a purchase order. If bids are necessary, the Purchasing Office will request bids or arrange for the State Purchase and Contract Division to request bids. All other necessary approvals will be coordinated by the Purchasing Office.
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| 4.3.2 After a purchase order has been processed, a copy is returned to the requesting department indicating that the materials have been ordered. The departmental receiver copy of the purchase order is forwarded to the Central Warehouse.
| | === Records Manager === |
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| === Goods Received ===
| | : The University official in University Archives responsible for providing University departments with advice and support for retention and disposition of University records. |
| Most goods bought on purchase order will be received by the Central Warehouse and delivered to the department. The department should check the shipment for correctness and for damage as soon as possible, but no later than 5 days after receipt. If the shipment is correct and undamaged, no further action is required. The Receiving Section at Central Warehouse will automatically electronically receive the purchase 5 working days after delivery to allow payment by the Controller Office. If the shipment is incorrect or damaged, the Central Warehouse must be notified immediately (prior to the 5th day after receipt).
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| Purchased goods which are delivered directly to the department by the vendor have not been processed through the Central Warehouse. Therefore, it is essential that the department notify the Central Warehouse of satisfactory receipt as soon as possible, so the receiving report can be processed to allow payment.
| | === Unscheduled Record(s) === |
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| All invoices should be forwarded to the Purchasing Office by the vendor. If an invoice should be received by a department, it should immediately be forwarded to the Purchasing Office. Prompt payment for supplies and equipment insures Appalachian's good credit rating and services rendered by vendors.
| | : Any record that is not addressed by an applicable category in the Retention Schedule. |
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| All purchases from commercial vendors must be made in accordance with the policies and procedures detailed in this Manual.
| | === University Archives === |
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| === Purchasing from Commercial Vendors ===
| | : The University unit responsible for the management and preservation of historically valuable records of the University and records designated to be maintained permanently by the Department of Natural and Cultural Resources, state and federal law, and UNC System policies. |
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| Procedure References - Review Policy Statement 7, Purchases from Commercial Vendors, and other policy statements applicable to the type of purchase.
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| Procedure Description - All purchases of goods and services from commercial vendors must be requested on a procurement request, Form PR-001, or by using FRS On-Line Requisitioning procedures. The requesting department submits the completed procurement request to the Controller's Office for budget approval. The Controller's Office then forwards approved requests to the Purchasing Office for processing. The Purchasing Office coordinates the obtaining of bids and approvals where necessary.
| | == Policy and Procedure Statements == |
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| The Purchasing Office then issues a purchase order and sends an informational copy to the requesting department.
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| All purchases from commercial vendors must be made in accordance with the policies and procedures in this Manual.
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| ==== Procedure Steps ====
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| ==== Look At Other Statements ====
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| Check this Manual for specific information pertaining to the item you want to purchase. The following steps are for the general task of purchasing "something" from a commercial vendor.
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| ==== For On-Line Requisitioning ====
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| Departments which are trained and approved for on-line purchase requisitioning should use the procedures outlined in the FRS On-Line Requisitioning manual for most of their procurement requisitions. This manual is available at department level. Additional copies and/or updates will be provided by the Purchasing Department as needed.
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| ==== For A Paper Procurement Request (Form PR-001) ====
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| Indicate the following information in the labeled blocks:
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| #Date: The date of preparation.
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| #Requisition Number: A number assigned by the department for internal reference purposes.
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| #Person Originating Request: Name of person requesting the purchase.
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| #Department: Name of requesting department.
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| #Requested Date of Delivery: Date items are needed.
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| #Check Distribution: Check the appropriate box if prepayment is required with the order, indicating how the check distribution is to be routed. All prepayment orders must be accompanied by an invoice or "document" from which price was obtained.
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| #Vendor: The name and address of a known source for the items requested. If a source is not known, leave this block vacant.
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| #Vendor Number; Terms; Cert., Bid, Quote Number; F.O.B.: For Purchasing Office use only.
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| #Item No.: Leave blank.
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| #Quantity: The number of each item requested.
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| #Unit: The standard quantity measure used to sell the item, i.e. each, pair, thousand, hundred, ream, box, etc.
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| #Commodity Number: To be filled in by the Purchasing Office.
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| #Description: Give as thorough a description as possible for the items listed. If catalog numbers are available, include them. If prepayment is required for an order, indicate "PREPAY" in the description column, and attach an invoice or "document" indicating prices of the items. Specify if the item is a new asset or a replacement part.
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| #Unit Price: The price per unit, pair, thousand, hundred, ream, box etc.
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| #Total Prices: The product of the quantity times the Unit Price for each item listed.
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| After listing all items, subtotal the total price column.
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| Figure applicable sales tax and list in the total price column.
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| Show estimated total by adding the subtotal and the sales tax amounts.
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| Forward request to the department head for her/his signature of approval and date. If the department head is authorized to expend funds from the budget account for these items, he/she should also sign in the space for Dean of College/or authorized signature, fill in the appropriate budget account code, and the current date.
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| If approval is required at the Dean's level or if someone other than the department head must authorize the expending of funds from the applicable budget account, forward the request to the appropriate person for her/ his approval signature and the proper budget account number.
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| Forward request to the Controller's Office for final budgetary approval.
| | === Record Retention === |
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| The Controller's Office will forward an approved request to the Purchasing Office for processing and will return any unapproved requests to the requesting department. | | Under NC law, the retention of all records at Appalachian, made or received in connection with the transaction of University business, is subject to the consent of the Department of Natural and Cultural Resources (“DNCR”). The DNCR has created the Retention Schedule as a source of their approval to govern the retention of University records. University records may only be destroyed pursuant to the direction and retention expressed in the Retention Schedule, or as otherwise permitted by the DNCR and federal and state law. |
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| ==== Purchasing Office Action ==== | | === Destruction of Unscheduled Records === |
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| When the procurement request is received in the Purchasing Office, they will review it thoroughly to make the following determinations:
| | Requests for the destruction of an Unscheduled Record may be submitted to Appalachian’s Records Manager. If the Records Manager identifies that there is no appropriate disposition for the record in the Retention Schedule, then the Records Manager will work in collaboration with the University department to submit a request to the DNCR for the destruction or other disposition instruction of the Unscheduled Record. The destruction of an Unscheduled Record may not take place without the receipt of written approval from the DNCR and the Records Manager. |
| #Are these items available at the Central Warehouse?
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| #Are these items available on a State Contract?
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| #Is adequate information provided to process a purchase order?
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| #Are competitive bids required? If so, may the bidding be done by the University or must it go through the Purchase and Contract Division of General Administration?
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| If competitive bids are required, the Purchasing Office will process the necessary paperwork to solicit bids locally or through the State Purchase and Contract Division and coordinate all transactions with the requesting department.
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| When a definite vendor has been determined, Purchasing will issue a purchase order and forward a copy of the purchase order and the procurement request to the requesting department.
| | === Record Archival === |
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| === Receiving Purchased Items ===
| | Under the Retention Schedule, some records are required to be maintained permanently and do not have a destruction disposition. Any University departments that have records with a permanent retention must coordinate with University Archives to determine if the records should be maintained by the departmental unit or transferred to University Archives. |
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| Procedure Reference - Review Central Warehouse Policy Statement 2, Central Receiving?, and Purchasing Policy Statement 7, Purchases from Commercial Vendors.
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| Procedure Description - Since the Central Warehouse has been designated as the central receiving point for the University, most purchases are initially delivered there. For the same reason, when purchase orders are processed by the Purchasing Office, the departmental receiver copies are forwarded to the Central Warehouse until the items are received. Upon receipt, warehouse personnel deliver the purchases to the requesting departments.
| | === Legal Holds and Audit Record Preservation === |
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| ==== Procedure Steps ====
| | Notwithstanding instructions provided in the Retention Schedule, records may not be destroyed or altered when they fall within the scope of: (a) filed or threatened litigation against the University or its representatives, (b) an active audit, or (c) an active official University investigation or investigative proceeding. The records in question must not be destroyed or altered until the completion of the matter and resolution of all issues regardless of the disposition instructions referenced in the Retention Schedule. As applicable, University departments will be notified by the Office of General Counsel, the Office of Internal Audit, or the relevant investigative unit when the matter and all related issues are resolved. |
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| ==== Warehouse Delivers Purchased Items ==== | | === Enforcement == |
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| When the Central Warehouse delivers materials:
| | Violations of this policy may result in disciplinary action, including the possibility of discharge, as well as personal civil liability or criminal sanctions. |
| #Sign the warehouse receiving report for the shipment only as to the number of packages.
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| #Check the shipment contents as soon as possible but no later than five (5) days after receipt.
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| #If questions arise as to content of packages delivered, or if the shipment is discovered to have concealed damage, report this to the Central Warehouse (262-3160) and to the Purchasing Office (262-2080) at once .
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| #If there is no problem with the shipment it will not be necessary to call the warehouse; the purchase will be automatically electronically received by central receiving 5 days after delivery.
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| ==== Direct Shipment to Department ====
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| For items not received at the Central Warehouse, but forwarded directly to the department, the parcels should be opened and inspected for compliance with the purchase order and for concealed damage. The warehouse must be notified when the order is complete so the purchase can be electronically received. If damages exist, follow the same procedure as for items delivered by the Central Warehouse.
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| == Additional References == | | == Additional References == |
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| == Authority == | | == Authority == |
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| | : N.C. Gen. Stat. § 121-5 |
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| | : N.C. Gen. Stat. § 132-1, et seq. |
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| == Contact Information == | | == Contact Information == |
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| | : University Records Manager - 828-262-4041 |
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| == Effective Date == | | == Original Effective Date == |
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| | : June 5, 2007 |
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| == Revision Dates == | | == Revision Dates == |
| | : February 13, 2020 |
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| | [[Category:Contents]] |
| | [[Category:Governance and Administration]] |
| | [[Category:Records]] |
Policy 105.1
Introduction
1.1 The purpose of this policy is to inform Appalachian State University (“Appalachian”) employees of the requirements and responsibilities for management and destruction of University records. This policy is implemented in accordance N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132-3.
Scope
2.1 This policy applies to all Appalachian employees and covers all records, including electronic records, regardless of physical form or characteristics, made or received in connection with the transaction of University business that are in the possession or control of the University.
Definitions
Retention Schedule
- The UNC System Records Retention and Disposition Schedule. The Retention Schedule gives an assessment of record retention and archival value by indicating when, and if, a record may be destroyed.
Record(s) or “record(s)”
- All documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, electronic mail communications (“e-mail”), artifacts, or other documentary material, regardless of physical form or characteristics, made or received in connection with the transaction of University business that are in the possession or control of the University.
Records Manager
- The University official in University Archives responsible for providing University departments with advice and support for retention and disposition of University records.
Unscheduled Record(s)
- Any record that is not addressed by an applicable category in the Retention Schedule.
University Archives
- The University unit responsible for the management and preservation of historically valuable records of the University and records designated to be maintained permanently by the Department of Natural and Cultural Resources, state and federal law, and UNC System policies.
Policy and Procedure Statements
Record Retention
Under NC law, the retention of all records at Appalachian, made or received in connection with the transaction of University business, is subject to the consent of the Department of Natural and Cultural Resources (“DNCR”). The DNCR has created the Retention Schedule as a source of their approval to govern the retention of University records. University records may only be destroyed pursuant to the direction and retention expressed in the Retention Schedule, or as otherwise permitted by the DNCR and federal and state law.
Destruction of Unscheduled Records
Requests for the destruction of an Unscheduled Record may be submitted to Appalachian’s Records Manager. If the Records Manager identifies that there is no appropriate disposition for the record in the Retention Schedule, then the Records Manager will work in collaboration with the University department to submit a request to the DNCR for the destruction or other disposition instruction of the Unscheduled Record. The destruction of an Unscheduled Record may not take place without the receipt of written approval from the DNCR and the Records Manager.
Record Archival
Under the Retention Schedule, some records are required to be maintained permanently and do not have a destruction disposition. Any University departments that have records with a permanent retention must coordinate with University Archives to determine if the records should be maintained by the departmental unit or transferred to University Archives.
Legal Holds and Audit Record Preservation
Notwithstanding instructions provided in the Retention Schedule, records may not be destroyed or altered when they fall within the scope of: (a) filed or threatened litigation against the University or its representatives, (b) an active audit, or (c) an active official University investigation or investigative proceeding. The records in question must not be destroyed or altered until the completion of the matter and resolution of all issues regardless of the disposition instructions referenced in the Retention Schedule. As applicable, University departments will be notified by the Office of General Counsel, the Office of Internal Audit, or the relevant investigative unit when the matter and all related issues are resolved.
= Enforcement
Violations of this policy may result in disciplinary action, including the possibility of discharge, as well as personal civil liability or criminal sanctions.
Additional References
Authority
- N.C. Gen. Stat. § 121-5
- N.C. Gen. Stat. § 132-1, et seq.
Contact Information
- University Records Manager - 828-262-4041
Original Effective Date
- June 5, 2007
Revision Dates
- February 13, 2020
