Important Information Regarding Record Retention when Using KFS

Attention KFS Users:

Please note that this memo only applies to documents scanned into KFS to document University financial transactions. Information about retention/destruction requirements for any other documents is available online at Records Compliance (http://records.compliance.uconn.edu/).

 

The State Office of Public Records’ policy and standards for Digital Imaging allow electronic images or other reproductions to be considered the same as original records, papers or documents and be known as the “official record copy.” Therefore, Accounts Payable, Travel Services, and Procurement Services will be initiating the following procedures effective July 1, 2015:

 

  • Departments will no longer need to mail the DV cover sheet or the original invoices/receipts that were attached in KFS to Accounts Payable or Travel Services.
  • Departments are responsible for scanning documents (e.g. invoices, receipts, etc.) into KFS and retaining the original hardcopy documents for the following periods:
    • Documents other than PCard documents – 1 year (for administrative purposes)
    • PCard supporting documents and receipts –3 years (for review purposes)
  • After these required retention periods, Departments are responsible for destroying the physical hardcopy documents in accordance with standards set by the Office of the Public Records Administrator (“OPRA”), discussed below, which require Departments first to seek permission from OPRA using Form RC-108.1.
  • Documents need to be scanned at a proper resolution where the document is legible. University Departments are responsible for ensuring a clear and readable scan.
  • The electronic version will become the official record copy and will be maintained in KFS. The state mandated record retention period will then apply to the electronic version, and now official record copy, of all documents scanned into KFS.

 

Procedures/Protocols

Accounts Payable

Paper Invoices related to Purchase Orders and Personal Service Agreements:

 

  • Accounts Payable will continue to scan the physical paper invoices into KFS.
  • Accounts Payable will then retain/hold the physical paper invoices that were scanned into KFS for 1 year for administrative purposes and then destroy, if applicable, the physical paper invoice in accordance with OPRA standards.

 

Paper Invoices used for Disbursement Vouchers:

 

  • University Departments will continue to scan the paper invoices (Disbursement Vouchers) into KFS and will not send the paper invoices or DV Cover Sheet to Accounts Payable.
  • University Departments will then retain/hold the physical paper invoices that were scanned into KFS for 1 year foradministrative purposes and then destroy, if applicable, the physical paper invoice in accordance with OPRA standards.

 

Travel Services

Reimbursement of Expenses to Employees and Non‐Employees:

 

  • University Departments will continue to scan the paper receipts/documents into KFS and will not send the paper receipts/documents to Accounts Payable/Travel.
  • The University Departments will then retain/hold the physical paper receipts/documents that were scanned into KFS for 1 year for administrative purposes and then destroy, if applicable, the physical paper invoice in accordance with OPRA standards.

 

Procurement Services

PCard Supporting Documents and Receipts:

 

  • As we begin the transition to a paperless environment, the preference is to have University Departments scan the paper invoices/receipt into KFS (PCDO) and continue to retain/hold these invoices/receipts, supporting PCard Program policy review and auditing requirements.
  • Once scanned into KFS, University Departments will retain the physical paper invoices/receipts for a period of 3 years for review purposes and then destroy, if applicable, the physical paper invoices in accordance with OPRA standards.

 

Grant based activities

For Grant based activities, the same rules and procedures/protocols apply as above.

 

Digital Imaging Policy and Standards

 

Please visit the following link for the State Digital Imaging Policy and Standards, and please ensure that this policy and standards are met when you scan your documents into KFS: http://records.compliance.uconn.edu/scanning-requirements/

 

The Digital Imaging Standards have an Image Resolution section that provides guidance on the pixels per inch (ppi) needed for documents scanned digitally. In general, the documents need to be scanned into KFS at either 200 ppi for standard business documents. However, 300 to 600 ppi may be required for smaller, damaged or low-contrast documents. We highly recommend scanning all documents at a minimum of 300 ppi to ensure proper resolution. In all cases, the document must to be legible in KFS. Please review Digital Imaging Standards – Image Resolution section in the link above for further details

 

Record Retention and Destruction of documents

 

After the retention period ends for documents scanned into KFS, see above, the State of Connecticut Record Retention Policies require the University to obtain approval from OPRA before destroying any paper documents such as invoices, receipts, receiving/shipping information, P.O.’s, etc. For general information, please visit the UConn’s Office of Audit Compliance & Ethics website for further information on the policies for record retention and destruction of documents at http://records.compliance.UConn.edu/. For specific instructions on destruction procedures for reformatted records (i.e. documents scanned into KFS) using Form RC-108.1 please visit http://records.compliance.uconn.edu/forms/. For questions or assistance on record retention or destruction of documents please contact either Betsy Pittman, University Archivist, at 860-486-4507 or Laurie Neal in Audit Compliance & Ethics at 860-486-4805

 

As a reminder, all documents associated with financial operations are state records and must comply with state regulations, regardless of format. The changes are a reflection of OPRA’s work to have the regulations more closely reflect changes in technology and process workflow.