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NYU Shanghai Education Development Foundation Procedure for Records and Archives Management
Chapter I General Provisions
Article 1 In order to improve the document management system of the Foundation and to make document management policy better serve the Foundation’s operations, the Procedure for Records and Archives Management by NYU Shanghai Education Development Foundation (hereinafter referred to as the “Procedure”) are formulated by the NYU Shanghai Education Development Foundation (hereinafter referred to as the “Foundation”) on the basis of the practical work of the Foundation and in accordance with applicable Chinese laws and regulations, including Archives Law of the People's Republic of China, Measures for Implementing the Archives Law of the People’s Republic of China, Regulations of Shanghai Municipality on Archives, Provisions on the Range of Archives Collected by Archival Facilities at All Levels and of All Classes, Regulations on the Administration of Foundations, Regulations for Institutions on Filling Scope for Documents and Materials and Retention Periods for Archived Documentation, and Accounting Archives Management Measures.
Article 2 For the purpose of the Procedure, "archives" refer to historical records in various forms, including writings in different languages, pictures, diagrams, audio-visual, publications and so on, whose preservation is of value to the People’s Republic of China, the Foundation and the society and which have been or are being directly formed by the Foundation during its operational activities. The use of archives refers to accessing, replicating and excerpting archives.
Article 3 The Foundation’s Secretariat is the Foundation’s archival administration department responsible for supervising and instructing the implementation of the Procedure.
Article 4 The Foundation will designate specific staffers for the collection, filing, archiving, use, storage and destruction of records. Short-term records and frequently-used records shall be preserved at a location designated by the Foundation and filed in a sensible order to provide easy access for retrieval and to prevent damage, lost or improper disclosure of confidential information.
Article 5 The Foundation staff should be familiar with the Foundation’s operations and the filing scope, and should strictly operate under the Procedure to ensure the completeness of the records in its custody. When leaving the position for cause or due to relocation, a staffer shall turn over all work-related documents to his or her successor with clear instructions, and shall not destroy or take away any document without official authorization. Any removal, amendment and destruction of records under abnormal circumstances shall be promptly reported to the Foundation’s Secretariat upon discovery.
Article 6 Financial records shall be archived and preserved independently and separately by the Foundation’s finance department in accordance with NYU Shanghai Education Development Foundation Procedure for Accounting Archives Management.
Chapter II Filing Scope and Retention Period
Article 7 Given the current status of the operations of the Foundation, the following records are to be archived under the Procedure :
1) All records that are legally binding and of consultative value, including but without limitation to: official documents, facsimile, diagrams, directories, electronic records, letters, newspapers, audio and/or visual recordings;
2) The Foundation’s Articles of Association, and memoranda, resolutions and any other important materials formed during the Board Meetings;
3) Documents and materials in connection with charitable donations, including but without limitation to: gift agreements, online donation confirmation emails, communicative correspondence, Unified Invoice of Donation for Public Welfare, thank-you letters, thank-you cards, and any other form of expression of appreciation; and lists of in-kind gifts, appraisal proof of in-kind gifts, proof of receipt of in-kind gifts, and proof of delivery of in-kind gifts;
4) Regulatory documents, including but without limitation to: operational instructions, meeting minutes, and internal circulations that either are issued by the Foundation’s superior organizations and followed by the Foundation, or are formulated by the Foundation (such as procedures and decisions approved by the management at the Foundation);
5) Certificates and licenses: valid licenses, certificates and seals of the Foundation (including documents chopped with the seal of the Foundation or the Foundation’s Legal Representative), and the base files for the registration and approval of the Foundation.
6) Documents transmitted between the Foundation and its superior organizations and between the Foundation and other organizations;
7) Electronic records relevant to the Foundation and stored in the Foundation’s computers, hard drives, and cloud storage systems;
8) The Foundation’s contracts and agreements, including but without limitation to: contracts and agreements signed with individuals or organizations regarding donation, cooperation, delegation, and undertaking;
9) Records with regards to social honors received by the Foundation;
10) Program records , including but without limitation to: Program Funding Application Form, Program Funding Agreement, proof of transfer of funds, program expense report, and program products;
11) The Foundation’s official publications, including but without limitation to: postings on the Foundation’s own website and social media platform, and any other information the Foundation publishes in any other form of media;
12) Other records of which filing is necessary, including but without limitation to: audio and/or visual recordings useful for the operations of the Foundation, and gifts from leaders at higher levels, celebrities, friends, partner organizations in the forms of inscriptions, paintings, calligraphies, documentation and various craftworks of memorial value;
Article 8 There are three retention periods: permanent, long term, and short term. The permanent period is more than fifty years, the long-term period is fifteen years, and the short-term period is five years.
Article 9 Record retention periods shall be determined by the Foundation Secretariat in accordance with the following principles and in consideration of the specific circumstances:
1) Permanent retention period applies to documents and diagrams that describe or reflect the Foundation’s major work and activities and that may be needed at any time in the distant future;
2) Long-term retention period applies to documents and diagrams that reflect the Foundation’s regular activities and that may be needed in the relatively long term;
3) Short-term retention period applies to documents and diagrams that have value to the Foundation’s work in the relatively short term;
4) If a gift agreement provides for confidentiality and the retention period, records that are related to such agreement shall be preserved accordingly to the extent not prohibited by law or by the Foundation’s own policies.
Chapter III Filing Requirements
Article 10 The overall requirements for filing are the following: following the forming regularities and characteristics of the files, keeping the organic relations among the files, and differentiating the values of different files, for the convenience of use and storage.
Article 11 The Foundation has a “double set” filing system. When filing paper documents for archives, the Foundation shall also file the corresponding electronic files (including scanned copies) for the convenience of information retrieval, to the extent that it does not violate the applicable law or the Foundation’s policies. Paper documents shall be filed by Year – Function.
Article 12 Generally, all paper documents within the calendar year shall be filed into archives once a year after the calendar year ends
Article 13 The Foundation shall, based on the practical needs of its operations, set up a scientific, comprehensive and relatively fixed archival classification system. Classification standards should remain consistent at the same categorical level to avoid duplication and overlap of the records.
Article 14 A complete record shall be kept to keep track of the type, number of pages, and number of copies of each archived file.
Article 15 Archived materials shall be placed in the following order: documents that are closely related shall be grouped together; application should follow approval, appendixes should follow main content, and finalized manuscript should follow the chopped documents.
Article 16 The file directory shall be filled out eligibly, in a specified format, and placed at the beginning of the file.
Article 17 The file note shall include the name of the person who made the filing, the name of the person who checked the filing, the date of the filing and the date of the checking; it may also contain an introduction to the content of the file. The file note shall be placed at the end of the file.
Article 18 The cover of the file shall include information such as the filing date, volume number, total number of pages, applicable retention period and file number.
Article 19 Files shall be kept clean and neat, and measures should be taken to prevent dust, damp, insects, lost and information leakage and to maintain accurate record-keeping.
Chapter IV Management of Electronic Records
Article 20 There shall be designated locations in the Foundation staff’s laptop and in the cloud storage system for the Foundation’s records, documents and materials. All records shall be categorized and stored in the designated location.
Article 21 Electronic records shall be named and categorized in a standardized manner to ease searches in a computer-assisted retrieval system.
Article 22 Electronic records shall be stored in an un-erasable electronic medium and have a backup copy kept separately in a different location.
Article 23 The technical environment and database of electronic records shall be maintained on a periodic basis to ensure long-term and effective use of such records.
Article 24 Records related to gifts made to the Foundation, when filed at the Foundation in Shanghai, will also be filed into New York University’s archives through the e-management system. The archives management system at the Foundation in Shanghai is independent, however, from the archives management system at New York University.
Chapter V Transfer, Identification and Destruction of Records
Article 25 The destruction and transfer of files shall be approved by the Foundation’s Secretary General and implemented under the supervision of the designated staffer at the Foundation.
Article 26 The transfer of files must be duly recorded in the NYU Shanghai Education Development Foundation Record Transfer List in order to prevent damage, loss or improper disclosure of confidential information.
Article 27 Paper files shall be transferred in their original packages. Electronic records shall be transferred together with their metadata and in formats that comply with the Measure. Electronic records that are stored in a special format shall be transferred together with their supporting readers.
Article 28 Upon the Foundation Secretariat’s assessment and approval, records that are of no further safekeeping value or legal significance may be destroyed upon expiration of the applicable retention period. The destruction of records must be duly recorded in the NYU Shanghai Education Development Foundation Record Destruction List and be diligently implemented.
Article 29 The destruction of Foundation records should be implemented, upon assessment and approval of the Foundation Secretariat, according to the following procedures:
1) the Foundation shall fill in the record destruction list with details of the name(s), content, start and finish years, expected and actual retention periods and date of destruction, of the files that are to be destroyed;
2) signatures of the Foundation’s Secretary General, the staff in charge of administering archives, and the accounting staff (if applicable) are required on the destruction list;
3) The staff responsible for the Foundation’s file management shall coordinate the destruction and, together with the staff in charge of administering archives, designate a staffer to supervise the destructing process; the designated staffer shall verify the content of the files to be destructed against the destruction list, and shall, upon completion of the destructing process, place his or her signature or personal seal on the destruction list.
Chapter VI Loaning and Use of the Records
Article 30 The Foundation shall establish and improve procedures for the use of archives. Archives normally shall not be loaned and may only be read in the Foundation’s office. Confidential archives of the Foundation may not be retrieved unless upon approval of the person-in-charge at the Foundation.
第三十一条 证照类电子版不可外传，但允许提供该证复印件加盖“此复印件仅用于XXX， 再次复印无效”章的电子版，该证复印件须经登记后使用，原件须经基金会秘书长签批并进行登记方可使用。
Article 31 To the extent that the electronic copies of licenses and certificates are not given to outside people, the Foundation may provide outside people with scanned copies of license and certificates, provided that the copies provided bear the stamp stating “For [specific purpose] Use; Photocopy hereof Invalid” as well as recorded with the Foundation. The original copies of licenses and certificates may not be used before such use has been approved by the Secretary General and duly recorded.
Chapter VII Supplementary Provisions
Article 32 This Procedure is made out in both Chinese and English. In the event of a conflict between the two versions, the Chinese version prevails.
Article 33 This Procedure shall be interpreted by the Foundation’s Secretariat.
Article 34 This Procedure comes into effect upon approval by the Foundation’s Board of Directors.