Printed on: 04/20/2019. 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):

  • Susan McKinney

Date Revised:

Jan 23, 2014

Effective Date:

Dec 1, 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.

PROCEDURES

    FORMS/INSTRUCTIONS

    There are no forms associated with this policy.

    APPENDICES

      FREQUENTLY ASKED QUESTIONS

      There are no FAQs associated with this policy.

      CONTACTS

      SubjectContactPhoneFAX/Email
      Primary Contact(s) Susan McKinney 612-625-3497 mckin018@umn.edu
      Waste Management/Recycling Facilities Management 612-625-8084 recycle@umn.edu
      Legal Questions Office of the General Counsel 612-624-4100 612-626-9624
      Academic Records - TC Office of the Registrar - TC 612-624-1111
      1-800-400-8636      		 otr@umn.edu
      Academic Records - Duluth Office of the Registrar - Duluth 218-726-8000
      1-800-232-1339      		 218-726-8219
      Academic Records - Crookston Office of the Registrar - Crookston 218-281-8548 218-281-8050
      Academic Records - Morris Office of the Registrar - Morris 320-589-6027 320-589-6025,
      ummregistrar@morris.umn.edu
      Contract/Bid Awards Purchasing Services 612-624-2828 612-624-3410
      Questions from Media University Relations 612-624-2828 dpa@umn.edu
      Salary Records Payroll Administration 612-624-3869 612-626-1053
      Employment Records Office of Human Resources 612-625-8328 612-627-4515
      Other Questions Records and Information Management 612-625-3497 mckin018@umn.edu

      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

      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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