2.0 POLICY
The University Archives and Records Management Advisory Committee (UARMAC), at its inaugural meeting on 10 September, 1993, endorsed the comprehensive position paper on the University Archives and Records Management Programme principles, policies, procedures, plans and priorities. The paper subsequently was presented to the F&GPC which agreed to adopt it as its meeting on 7 January, 1994. A copy of this paper is available from the Campus Records Manager upon request.
Programme Mission
Under the policy, the
University Archives and Records Management Programme is
structured and instituted to provide professional, efficient and consistent handling of University records by implementing policies and procedures based on recognized principles and practices for the appraisal, organization, maintenance, retention and disposition of University records, including their systematic transfer to the Archives for preservation, arrangement & description and availability for research, reference and related purposes.
University Records
University Records refer to all recorded information, regardless of physical format or characteristics, that is generated or received and maintained by the University in pursuance of its objectives and obligations under the University Charter, Statutes and Ordinances, and in transacting University business.
The definition of University records includes:
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correspondence, memoranda, reports, and forms whether in hard copy, electronic or some other form
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maps, plans or charts whether in hard copy, electronic or some other form
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photographs, prints and drawings
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films, microfilms and videotapes
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sound recordings
University records have a life cycle determined by their usefulness. Normally the life cycle can be divided into three distinct phases -active or current, inactive or semi-active and non-current.
Active University records are those records which are used frequently or on a regular basis. They should be maintained in areas designated for active files whether it be a central registry or decentralized filing locations in closer proximity to users.
Semi-active University records are those which cease to be active but which are still consulted for administrative or operational purposes or still have some residual financial or legal values. These records are normally removed from active record storage areas to the Records Centre.
The
Records Centre is a designated facility for the temporary storage of semi-active University records; records are stored in the Records Centre in compliance with retention periods prescribed in approved records retention and disposition authorities. Throughout this retention period, the records stored in the Records Centre are available for loan.
Non-current University records are those which have no residual administrative, operational, financial or legal values. When records attain non-current status, final disposition should be implemented. For the vast majority of records, this means destruction. However, some non-current records will have enduring evidential, historical/archival, information/research or intrinsic values and should be transferred to Archives for preservation.
The Archives refers to the official repository of inactive University records of enduring or permanent value transferred and entrusted to its care, custody and control in accordance with an approved records retention and disposition authority.
The length of time it takes for records to move through their life cycle varies depending on the nature or type of records and their attendant values. Note that the value of some records is so transitory that they do not have an inactive life cycle phase, but immediately become non-current once they cease to be active.
Programme Responsibility
The
University Archivist is responsible for planning, developing, implementing, directing, administering and operating the University Archives and Records Management Programme for the university at large.
The
Campus Records Manager/Archivist is responsible for the day to day administration and operation of records and archives management at the Campus level, including but not limited to: preparation of records retention and disposition authorities, development and modification of file classification systems, management of a Records Centre, management of the West Indies Federal Archives Centre and Cave Hill Campus Archives, delivery of records management training to staff and provision of advisory and consultative services on programmes and projects with records management implications.
The
Assistant Archivist is responsible for the day to day administration and operation of the Federal Archives Centre and Cave Hill Campus Archives including but not limited to: acquisition, arrangement and description of archival material, basic conservation and preservation of archival material, the provision of reference and outreach services including exhibitions and assists the Senior Assistant Registrar - Records and Archives (Campus Records Manager/Archivist) as required.
The Archives Assistant is responsible for providing reference services for researchers, assisting with long term preservation and basic conservation of archival materials, assisting with the acquisition, arrangement and description of records, assisting with the design and installation of exhibitions and assists the Archivists-in-Charge as required.
The Registry Records Supervisor is responsible for the day to day administration and operation of Registry Records Services, the central registry of files containing active University records which have been created and received by the Registry and General Administration; supervision of staff in the Records services; and assists the Campus Records Manager as required.
The
Records Centre Supervisor is responsible for the day-to-day administration and operation of the Records Centre, which is referred to previously; and assists the Campus Records Manager as required.
Disposition of University Records
The approved policy establishes that no University records shall be destroyed or removed from the University‘s custody or control without an approved records retention and disposition authority.
A records retention and disposition authority is an official instrument or document that specifies, approves and governs the retention period, final disposition and any access restrictions that apply to the University records to which it pertains. Specific University officers have the authority to approve records retention and disposition authorities. Approvals for Records Retention and Disposition Authorities are required from the Campus Registrar, the Campus Bursar and the Campus Records Manager.
Non-University records do not require an approved records retention and disposition authority for disposal. Non-University records include the following categories of material:
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personal or private papers of University staff
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University Library System materials
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records of affiliated institutions
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superfluous copies of University records
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shorthand notebooks and drafts of University records
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human and natural history artifacts and specimens
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works of art
Exemptions
Some records pertaining to the following groupings are to be considered university records and may become permanent accessions of the Federal Archives Centre and Cave Hill Campus Archives by absolute deed of gift or other legal instruments:
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personal archives of outstanding Cave Hill Campus Staff
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personal archives of outstanding regional citizens
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records and artifacts of affiliated associations
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records and artifacts of affiliated institutions
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records and artifacts of regional institutions
3.0 MAIL
The efficient administration of the University relies on the proper preparation, efficient processing and timely distribution of mail, for which all staff who handle mail share a responsibility. Overall responsibility for the direction of the collection and delivery of mail on a daily basis resides with the Office Manager and implementation resides with the Office Assistants.
3.1 Incoming Mail for Cave Hill Campus Registry and other administrative units
3.1.1 Regular Incoming External Mail
Incoming mail from off-Campus is picked up from the General Post Office in Bridgetown by a staff member of the Registry between
10.00 a.m. and 3.00 p.m. The mail is delivered to the Mail Room in Registry Records Services where it is sorted by the Senior Office Assistant by 4.30 p.m.
Mail which is
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marked personal or confidential
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addressed to the Principal and Pro Vice Chancellor
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addressed to an officer of the University by personal name, not by title or position
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an obvious bill, receipt, statement or invoice
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marked return to sender in cases when the sender's name is clearly identifiable
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intended for a Faculty or non-administrative Department
is left unopened and is placed in the appropriate dip/tray which will then be collected by the department's office assistant or in the case of the Principal recorded by piece in the Registry Filing room and sent directly to his office.
Mail which is addressed to an administrative Department of Section/Unit but not to a specific officer by name is opened and date stamped by the Mail Clerk, then forwarded to the Classification office in Registry Records Services. The Classification Team classifies the document and sends it to the appropriate staff member on file or together with a Correspondence Referral Notice (see Appendix A) for action.
3.1.2 Registered Mail, or Unregistered Mail with Cash/Cheques
Incoming registered mail is picked up from the Bridgetown Post Office by a Registry attendant between 10.00 a.m. and 3.00 p.m. The office assistant is required to sign for registered mail.
The registered mail is then delivered, along with regular incoming mail to the Mail Room in Registry Records Services.
Registered mail which is
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marked personal or confidential
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addressed to an officer of the University by personal name, not by title or position
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an obvious bill, receipt, financial statement or invoice
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intended for a Faculty or non-administrative department
is left unopened and is placed in the appropriate dip/tray for further sorting and delivery. All offices should have at least one dip/tray identified for incoming mail into which unopened regular external mail will be deposited.
Registered mail addressed to an administrative Department but not to a particular officer by name is opened to determine the person to whom it should be delivered, and date stamped.
All registered or unregistered mail with cash is recorded in the Value Book. The recording of registered mail or unregistered mail with cash is carried out by two permanent members of the Registry Records Services staff. One staff member will open the mail and the other staff member will record the particulars of the mail in the Value Book. After the mail has been recorded, both members of staff sign the Value Book to verify what has been recorded. All monies are then taken to the Bursary Cashier on folder or file.
Once the registered and unregistered mail with cash has been processed it is sent on folder/file to the addressee for necessary action
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3.1.3 Internal-department Mail for the Cave Hill and other Administration Units
Incoming inter-departmental mail is picked up by Registry office assistants from various offices during regular mail collection and delivery rounds. Inter-departmental mail is separated from outgoing external mail and sorted in the Mail Room. It is then delivered to its addressee and put into respective slots of mail to be collected by the office assistants of that office or by the Registry office assistant.. All offices should have at least one dip/tray identified for incoming mail into which incoming inter-departmental mail will be deposited.
3.1.4 Fax Transmissions
Incoming mail is also received by officers of the University in the form of facsimile transmissions.
Facsimile transmissions should be hand-delivered to the addressee as soon as possible on the day of receipt.
All fax transmissions received by the University in pursuance of University objectives or obligations under the University Charter, Statutes and Ordinances, and in transacting University business must be ftled with Registry Records Services, unless the receiving officer has delegated authority for maintaining certain series of University Records, and the incoming facsimile transmission is related to that series of records. For information on filing documents with Registry Records Services see Section 4.1.13 Sending Documents for Filing.
3.1.5 Electronic Mail
Increasingly, University officers are communicating with each other via electronic mail.
All electronic mail communications received by an officer of the University in pursuance of University objectives or obligations under the University Charter, Statutes and Ordinances, and in transacting University business must be properly managed to ensure the activities, administrative functions, policies, procedures and plans of the University are adequately documented. Until Electronic records management policies are in place, all official e-mails should be printed and added to the respective files. For information on how to manage electronic records, see Chapter 12.0 -Electronic Records Management.
3.2 Incoming Mail for Faculties~ Academic Departments and Non-Administrative Units
Faculties, academic departments and non-administrative units are to make their own arrangements for the delivery of inter-departmental mail to other faculties, academic departments and non-administrative units.
3.3 Outgoing Mail from Cave Hill Campus Registry and other Administrative Units
3.3.1 Regular External Mail
Regular external mail is any mail that is addressed to a person/office not located at the Cave Hill Campus. This includes mail for Mona and St. Augustine.
Normally, the regular postal system is used for external mail. However, when the matter is urgent, mail intended for a Barbados address may be hand delivered by a bearer. A courier service may be used for the delivery of mail intended for addresses outside of Barbados. Alternatively, it may be possible to send the document via fax transmission with the original being forwarded by regular mail.
Mail to be sent via the regular postal system should be placed in an appropriately sized envelope and sealed. If the mail is addressed to a destination outside of Barbados, an airmail envelope must be used.
Clear and accurate name and address information must appear on the envelope to ensure that it will be delivered. In addition, the name and department of the sender should appear over the return address information in the upper left-hand comer of the envelope in case the piece of mail cannot be delivered to the addressee and is returned to the University.
Once the mail has been properly packaged it should be placed in a dip/tray designated for outgoing mail.
Outgoing mail will be picked up from offices by a Registry office assistant. Mail addressed to a destination outside of Barbados will be taken to the Mail Room in Registry Records Services for franking.
3.3.2 Inter-departmental Mail
Re-usable envelopes which are available from General Stores in Office Management:
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10"xI3" (letter, A4 size)
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10"xI5" (legal size)
are to be used for all inter-departmental mail with the exception of mail that is confidential or sensitive in nature and mail that is currently packaged in sealed window envelopes (e.g. Salary cheques, pay stubs).
The following procedures for the use of the inter-departmental mailing envelopes should be followed:
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do not fold documents as they will have to be unfolded before being placed on file
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do not type address labels for internal mail
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print or write legibly, do not type address information within the space provided on reusable inter-departmental mailing envelopes
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draw a line through the 'delivery to' information on the envelope when mail is received/opened to eliminate any confusion about who is to receive the mail when the envelope is used next
Confidential or sensitive mail should be placed in a sealed envelope and inserted into a reusable inter-departmental mailing envelope for on-campus delivery.
Use of printed and unprinted envelopes in various sizes that are presently in stock is to be limited or restricted to external mail and sensitive or confidential inter-departmental mail. Once properly packaged, outgoing inter-departmental mail is to be placed in a dip/tray designated for outgoing mail. It will be collected by a Registry Office Assistant.
3.3.3 Registered Mail
Registered mail should be placed in an appropriately sized envelope and sealed. If the mail is addressed to a destination outside of Barbados, an airmail envelope must be used.
Clear and accurate name and address information must appear on the envelope to ensure that it will be delivered. In addition, the name and department of the sender should appear over the return address information in the upper left-hand corner of the envelope in case the piece of mail cannot be delivered to the addressee and is returned to the University.
All registered mail should be stamped "REGISTERED", or if a stamp is not available "REGISTERED" should be printed in red ink on the envelope.
All registered mail must be recorded by the sender in the department's/office's registered mail book, which is normally kept by the Senior Office Assistant.
Once the registered mail had been properly packaged and recorded in the registered mail book, both the mail and the book should be placed in the dip/tray designated for outgoing mail. Outgoing mail will be picked up from offices by a Registry office assistant and taken to the Mail Desk for franking.
3.3.4 Second-Class Mail
Brochures, magazines, booklets, newsletters and book material may be sent out as second class mail.
Mail to be sent as second-class via the regular postal system should be placed in an appropriately sized envelope and sealed.
Clear and accurate name and address information must appear on the envelope to ensure that it will be delivered. In addition, the name and department of the sender should appear over the return address information in the upper left-hand corner of the envelope in case the item of mail cannot be delivered to the addressee and is returned to the University.
Once the mail has been properly packaged it should be placed in the dip/tray designated for outgoing mail. Outgoing mail will be picked up from offices by a Registry office assistant. Mail addressed to a destination outside of Barbados will be taken to the Mail Desk in Registry Records Services for franking. Local Mail will be stamped in the central mail processing area
3.3.5 Parcels
Parcels to be sent via the regular postal system should not weigh more than 22 pounds. They should be packaged in brown kraft paper and securely tied with string. If the office sending the parcel does not have the appropriate packaging material. Packaging may be carried out by the Mail Desk if the parcel is to be sent to a destination outside of Barbados or by a Registry office assistant if for a destination within Barbados.
Clear and accurate name and address information must appear on the parcel to ensure that it will be delivered. In addition, the return address of the sender, including name and department should be written clearly on the parcel. Parcels to be sent to a destination outside of Barbados should be stamped "Air mail", or if a stamp is not available "AirMail" should be written legibly on the parcel.
A Declaration form must be completed for each parcel to be sent. A sample completed form appears as Appendix C of the Manual. Declaration forms may be obtained from the Mail Desk in Registry Records Services.
Parcels will be picked up by a Registry office assistant. Parcels addressed to a destination outside of Barbados will be taken to the Mail Desk in Registry Records Services for franking. Local parcels will be stamped in the central mail processing area.
3.3.6 Courier Service
Normally, mail should be placed in the regular postal system unless the matter is urgent. However, if the matter is urgent, a courier service can be used for the delivery of mail outside of Bridgetown.
Alternatively, the document may be sent by facsimile transmission. The courier companies that the University uses are DHL, FedEx, ABC, and QuickPak. When mail is to be sent out by courier, the company should be contacted to collect the material. Collection is carried out between the hours of 9.00 a.m. and 3.00 p.m.
In preparation for collection by the courier company, an air-way bill should be completed and the material packaged in an appropriately sized envelope. Bulky packages should be placed in boxes and labelled appropriately. See Appendix D for an example of a completed air-way bill.
One copy of the air-way bill should be retained until the package has been delivered in case it is necessary to trace the package.
If books are being sent, a letter must be prepared for customs indicating that the contents are not for sale and indicating the CIF value.
3.3.7 Facsimile Transmissions
In cases when a matter is urgent, documents may be sent via facsimile transmission. Documents to be faxed should be accompanied by a cover sheet. Brief information may be conveyed on the cover sheet alone.
The Registry will send all facsimile transmissions for students and certain officers of the Secretariat. Departments with faxes have delegated authority for their official mail and should maintain documentation of such.
3.3.8 Electronic Mail
Increasingly, University officers are communicating with each other via electronic mail.
All electronic mail communications sent by an officer of the University in pursuance of University objectives or obligations under the University Charter, Statutes and Ordinances, and in transacting business must be properly managed to ensure the activities, administrative functions, procedures, policies and plans of the University are adequately documented. For more information on how to manage electronic records, see Chapter 12.0 -Electronic Records Management.
3.4 Outgoing Mail from Faculties, Academic Departments and non-Administrative Units
3.5 Logging of Mail
In the past, it has been the practice to record all outgoing and incoming mail in mail logs, but most large modern organizations have ceased to do this. This time-consuming practice is no longer recommended with the exception of all but the most significant pieces of mail. The cost in staff time to log all mail usually far outweighs the benefit of being able to prove or disprove that a piece of mail was sent or received on a particular date due to the very small number of cases when it is legitimately necessary to present this type of proof.
Despite the above statement, this practice will continue at Cave Hill for significant pieces of outgoing mail and all incoming mail until a scanning system is implemented.
3.6 Security of Mail
Only Registry Office Assistants responsible for the delivery of mail on Campus are permitted to enter the central mail sorting area. Mail should never be left unattended by Registry Office Assistants during the mail collection/ delivery rounds.