Printed on: 07/22/2017. Please go to http://policy.umn.edu for the most current version of the Policy or related document.
ADMINISTRATIVE POLICY
Managing University Records and Information
Responsible University Officer(s):
- General Counsel
Policy Owner(s):
- Director of Records and Information Management
Policy contact(s):
Date Revised:
January 2014
Effective Date:
December 1999
POLICY STATEMENT
Records and Information Management Program
The University of Minnesota maintains a records and information management (RIM) program. The RIM program assists University staff to create, maintain, manage and eventually destroy records and information that is no longer needed or valuable to the University. This is done by creating record retention schedules which are based on legal, administrative, fiscal and historical requirements or regulations.
Records Retention. University units are responsible for utilizing the University record retention schedules to manage their information. Units must maintain the records for the period specified on the record retention schedules.
Records Disposition. University units should destroy information and records once the retention period has been met. University units must follow destruction guidelines when destroying University records.
REASON FOR POLICY
A records and information management program ensures that information is kept and maintained according to legal, fiscal, administrative and historical needs. The program also ensures that records are properly destroyed to protect privacy interests when no longer needed.
CONTACTS
Subject
Contact
Phone
Fax/Email
DEFINITIONS
- Active Records
- Files needed to support the current business activity of a department. The active period may be determined by record category (see the University-wide Record Retention Schedule or individual unit retention schedules).
- Inactive Records
- Files for which the active period has passed and are being held for the remainder of the specified retention period. May be located in a storage area or managed electronically.
- University Records
- Documents in any format (including written and printed matter, drawings, maps, plans, photographs; microforms; motion picture films, sound and video recordings; electronic data or copies thereof made or received by an academic or administrative office of the University in connection with the transaction of University business, and retained by such office as evidence of the activities of the University or because of the information contained therein.
- Records Management
- The systematic control of information from creation to final disposition.
- Retention Period
- The length of time a record must be kept to meet administrative, fiscal, legal or historical requirements.
- University-Wide Retention Schedule
- A listing of retention periods for University records.
RESPONSIBILITIES
- Employees
- Follow the University-wide Records Retention Schedule to manage active and inactive records. Appropriately dispose of information once the retention period has been met.
- Departments
- Retaining records according to the University-wide Record Retention Schedule, forwarding records to the University Archives when appropriate, and disposing of University records appropriately once the retention period has been met.
- Facilities Management
- Manage the University’s recycling program and recycle materials in an appropriate manner.
- Records and Information Management Office
- Serves as Responsible Authority as required by the Minnesota Government Data Practices Act (MGDPA).
- Provides guidelines and a timetable for storage of University records.
- Develops and maintain records retention schedules that establish retention periods for University records based on and consistent with law and best practices.
- Develops disposition procedures that provide appropriate security for private or confidential data.
- Assists University staff on active management of University records in all formats to ensure that University records are maintained and protected according to standards and best practices.
- Promotes the use of technology resources to efficiently manage and preserve University records.
RELATED INFORMATION
- Board of Regents Policy: Student Education Records
- Administrative Policy: Internal Access to and Sharing University Information
- Administrative Policy: Public Access to University Information
- Administrative Procedure: Obtaining Public Information
- Minnesota Government Data Practices Act
- Family Educational Rights and Privacy Act
HISTORY
- Amended:
- January 2014 - Clarified Statement, Reason, Definitions and Responsibilities. Major revision to Administrative Procedure: Retention of University Records to increase level of detail in the procedure. Minor changes to clarify Administrative Procedure: Destruction of University Records. Title to this procedure changed from Disposing of University Records to Destruction of University Records.
- Amended:
- July 2009 - Clarified role of Records and Information Management Program in Statement and Reason. Updated definitions, responsibilities and contacts sections. Title changed from Managing University Records Retention to Managing University Records and Information.
- Amended:
- January 2003 - Added Retention Guidelines for Financial Documents to appendices.
- Effective:
- December 1999
- Supercedes:
- Retention, Archival, and Destruction of Records and Record Retention Schedule A
REPLACES: 4/89, 4/92, 1/93.
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