Records & Archives Primary Roles, Responsibilities, and Procedures

On this page, you will find:

Glossary of Terms

Active Record means any Record that is needed to perform current operations and should be easily accessible by the Record’s user. Active Records are not eligible for retention storage.

Convenience Copy means a copy of an original Record created for convenience or reference purposes. Convenience Copies may be destroyed at any time because they are Non-Records, unless such copies are subject to a legal disclosure or discovery obligation. 

Designated Campus Colleagues (DCC) means affiliates, associates, volunteers, and interns who are granted DCC status by the University, who contribute their time, services, and expertise to help the University accomplish its mission of teaching, research, and service.

Digital Record means any Record that exists in a digital form and resides within some type of technology (digital tape or disc, software application, hard drive, server, cloud storage, etc.).

Digital Record Destruction means digitally altering a Digital Record to the point where it is rendered unintelligible or inaccessible without resorting to some extraordinary forensic data recovery measure.

Essential Record or Vital Record means any Record that is necessary for the continuity or resumption of daily functions and operations of a Unit both during and after a disaster or other disruptive incident.

Inactive Record means any Record that is no longer needed to conduct current operations but must be preserved until it fulfills its Retention Period. Inactive Records are eligible to be retained based the guidance found in the Retention Schedules.

Non-Record means any item that does not qualify as a Record. Non-Records are exempt from following standard Record Retention and Record Destruction policies. Examples of items that qualify as a Non-Record include, but are not limited to, (1) extra copies or drafts of a Record that are used for convenience (Convenience Copy) or reference purposes and that do not have a Record Series assigned to the copy or draft; (2) blank forms or templates, form letters, etc., that are copies of the original; (3) uncirculated personal notes; (4) personal correspondence unrelated to official University business; (5) stocks of publications or documents intended for sale or distribution; or (6) library or museum material made or acquired only for the purpose of reference or exhibition.

Over-Retention means unnecessarily storing a Record beyond State or University predetermined Retention Period requirements or beyond any reasonable additional retention requirements, whichever is longer.

Physical Record means any Record that exists in a tangible physical form either on its own or as part of some type of non-digital tangible physical media (paper, plastic film, magnetic tape, etc.).

Physical Record Destruction means physically altering a Record to the point where it is rendered unintelligible, and the remnants are securely discarded using an approved method per the Records & Archives guidelines.

Record means any documentary material, regardless of its digital or physical form or characteristics, made or received by the University that demonstrates how the University conducts itself in connection with the transaction of University business or as a matter of law. An item also may be considered a Record due to its informational or historical value. Records include documentary materials that provide evidence of the University’s existence as well as its functions, policies, decisions, procedures, operations, or activities. A Record excludes anything that is a Non-Record.

Record Destruction means the destruction of a Record to make it unintelligible or inaccessible. Once a Digital Record or Physical Record is destroyed, the expectation is it will remain destroyed and be considered permanently unavailable.

Record Disposition means the decision of what to do with a Record once all retention requirements are fulfilled. The most common option is Record Destruction. Less common options include extension of the Retention Period based on a reasonable additional retention requirement or permanent storage based on the Record having some historical or other significant value.

Record Hold means the temporary suspension of any disposition decision or action that would cause a Record to be made permanently unavailable. Common types of holds include legal holds, audit holds, and administrative holds.

Record Information Resource System means any internal or external electronic system, or software application, where Digital Records belonging to the University are created, collected, modified, stored, transmitted, or controlled by University personnel.

Record Life Cycle means the common stages a Record will go through during its time in existence. For administrative convenience, the five common stages are creation, usage (Active Record), retention storage (Inactive Record), decide the disposition (destroy, extend retention, archive permanently), and complete the disposition (based on the disposition decision made).

Record Retention means the process of safely storing a Record for a specified period of time once it has fulfilled its intended administrative function and is eligible to begin serving its predetermined Retention Period based on the Retention Schedules in use by the University.
Record Series means the classification given to a specific set of Records based on what the Records have in common, such as origin, subject matter, function, administrative or informational value, etc. Each Record Series normally consists of a Record Series number, title, general description of the Record Series, minimum predetermined Retention Period, and remarks as to when the

Retention Period begins or any other important retention considerations specific to the Record Series.
Retention Period means the amount of time a Record is required to be retained prior to determining its disposition. The Retention Period will be determined by information found on the Retention Schedules in use by the University or by some additional retention requirement determined by the Unit or University that is unique to a specific set of Records or Record Series, whichever is longer.

Retention Schedule means a categorized list of Record Series (Record types) that is approved for use by the University.

Under-Retention means knowingly storing a Record for less than State or University predetermined Retention Period requirements or less than any reasonable additional retention requirements, whichever is longer.

Unit means any University college, school, department, program, office, or other operating unit. 

University Community means, for the purposes of this Policy, any of the following individuals: University students; University employees; or third parties acting for or on behalf of the University, including, but not limited to, contractors, vendors, volunteers, or Designated Campus Colleagues.

Records & Archives

The University Records & Archives office shall develop and maintain a Record Retention and Record Destruction program that takes into account both Records and Non-Records and that complies with applicable legal requirements. 
Additionally, the Records & Archives office shall stay current with the Record Retention and Record Destruction needs of the University with respect to compliance and shall make adjustments to the program as necessary.

As such, the Records & Archives office will:

  1. Create and communicate defined standards, guidelines, processes, and procedures that Units can follow to achieve and maintain Record Retention and Record Destruction compliance.
  2. Ensure the standards, guidelines, processes, and procedures of the University Record Retention and Record Destruction program align with State requirements and are updated as needed.
  3. Provide guidance to Units and Unit personnel on how to achieve and maintain statutory Record Retention and Record Destruction compliance.
  4. Facilitate training on how to use Record Retention and Record Destruction tools and resources.
  5. Provide consultations on Record Retention and Record Destruction strategies and best practices.
  6. Furnish a Physical Record storage program for Records that have fulfilled their intended administrative function, are eligible to begin serving their predetermined Retention Period, and have a retention requirement of more than two years (either total or remaining).
    1. Safeguard Records in Records & Archives storage against loss, damage, misuse, unauthorized alteration, unauthorized dissemination, or premature destruction.
    2. Assist Units with activities such as public Record requests, Record Hold requests, or Record Hold removal requests in a timely manner.
  7. Manage the University Physical Record storage program for Records held for retention purposes by the Records & Archives office.
  8. Support Units in making Record Disposition decisions and completing internal Record Destruction projects per defined standards, guidelines, processes, and procedures.
  9. Monitor the suitability of the University Record Retention Schedules to ensure the schedules remain relevant and pursue updates and amendments as necessary.
  10. Arrange for the destruction of Records held in the Records & Archives retention storage facility that have fulfilled all known retention and hold requirements.

Unit Leaders, Units, and Unit Personnel

Unit Leaders, Units, and Unit personnel shall be aware of and comply with all University-related Record Retention and Record Destruction policies, standards, guidelines, processes, and procedures.

As such, Unit Leaders will:

  1. Develop and maintain Unit-level Record Retention and Record Destruction policies, standards, procedures, processes, and guidelines that align with University and State requirements.
  2. Ensure their Unit personnel understand and comply with all Unit, University, and State Record Retention and Record Destruction policies, standards, procedures, processes, and guidelines.
  3. Stay current with guidance or directives on Record Retention and Record Destruction issued by a relevant third party, such as the federal government, a grant-giving organization, an industry governing body, etc., that may exceed the Record Retention and Record Destruction requirements found on the University’s approved Retention Schedules and comply as necessary.
    1. Inform the Records & Archives office of any such additional guidance or directives so they can be applied to any affected Records held in the Records & Archive storage facility.
  4. Communicate any Record Hold information to the Records & Archives office as well as to corresponding Unit personnel.

As such, Units and Unit personnel will:

  1. Understand and comply with all Unit, University, and State Record Retention and Record Destruction policies, standards, procedures, processes, and guidelines.
  2. Ensure University Records are managed in a safe and organized manner that is conducive to following all Record Retention and Record Destruction standards, guidelines, processes, and procedures.
    1. Design internal Record-keeping systems that ensure Records created or received follow a standard Record Life Cycle with respect to Record Retention, Record Disposition, and Record Destruction (when applicable). Such systems will keep Records and Non-Records segregated because Non-Records do not follow the same retention and destruction standards, guidelines, processes, and procedures. Further, such systems will ensure Convenience Copies of a Record do not remain in existence any longer than the original Record, to avoid risks and liabilities equivalent to those from Over-Retention.
    2. Assign Records to the correct Record Series at or near the time in which the Records are received or created.
    3. Follow the predetermined Retention Period requirements and retention start date requirements found in the Retention Schedules as well as any other retention requirements determined by the Unit.
      1. In the event the Retention Period of a Record needs to exceed the retention requirements indicated on the Retention Schedules used by the University, the extension of the Retention Period must (1) be based on a legitimate business or operational need, (2) include a defined and reasonable period of time that will be followed, and (3) have Unit leadership approval due to the Unit’s assumption of any risks and liabilities associated with keeping the Record longer than the Retention Schedules require.
    4. Assume all risks and liabilities associated with the Under-Retention of Records in a Unit’s care and control.
  3. Safeguard Records against loss, damage, misuse, unauthorized alteration, unauthorized dissemination, or premature Record Destruction.
  4. Ensure Records eligible for retention are retained in an environment controlled by the University.
  5. Ensure Essential Records or Vital Records are identified, stored in a secure and accessible location, reviewed on a regular basis, and updated (as necessary) in the event they are needed to resume daily operations both during and after a disaster or other disruptive incident.
  6. Properly pack Physical Records sent to a storage facility for retention purposes. (Non-Records are not eligible for retention storage.)
    1. Use the correct box style, size, and preparation method based on the media type, value, or fragility of the Records as well as the length of time being stored.
    2. Select the correct storage climate environment based on the media type, value, or fragility of the Records as well as the length of time being stored.
    3. Prepare and maintain an inventory of the Records sent to storage. Units and Unit personnel are responsible for knowing which Records they have in storage as well as their corresponding Record box tracking information so Records can be located if necessary.
  7. Respond and act promptly in regard to any active Record Hold requests to protect affected Records. Notify Records & Archives if any Records in the Records & Archives storage facility need to be held by providing specific Record box tracking details. Communicate the removal of a Record Hold to all concerned parties as necessary.
  8. Respond in a timely manner to Record Disposition decision requests made by the Records & Archives office regarding the destruction eligibility of specific Physical Records being stored by Records & Archives to ensure eligible Records are systematically removed and destroyed once all known retention and hold requirements are met.
    1. Units acknowledge that not following through on Record Disposition decision requests in a timely manner may necessitate Records & Archives to make the requested disposition decisions on a Unit’s behalf. (Note: Records & Archives will make multiple documented attempts to obtain the requested disposition decisions from a Unit prior to pursuing this alternate course of action.)
  9. Develop and maintain a Record Destruction program for Records in a Unit’s care and control (both Physical Records and Digital Records) and follow the destruction standards, guidelines, processes, and procedures provided by Records & Archives.
    1. Assess the destruction eligibility of Records by making Record Disposition decisions on a regular basis to identify Records that have fulfilled their mandatory predetermined Retention Period requirements, do not have any active Record Holds in place, and do not have any other additional retention requirements.
    2. Work with Records & Archives to report the destruction of eligible Records.
    3. Ensure Records are destroyed in a manner that meets State requirements.
    4. Assume all risks and liabilities associated with the Over-Retention of Records in a Unit’s care and control.
  10. If using a Record Information Resource System (either internal or external) to manage their University Records, ensure that (1) these systems are compatible with University technology expectations, (2) University Records are retained and destroyed per the retention and destruction standards, guidelines, processes, and procedures provided by Records & Archives, and (3) prescribed retention and destruction activities take place on a regular basis.