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Records Retention

Records Retention. The Office of the General Counsel September 2007. Presentation Overview. Statutes and Administrative Rules UI Operations Manual Definitions Duties of Colleges/Units Retention Schedule Approval Destruction. Iowa Code.

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Records Retention

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  1. Records Retention The Office of the General Counsel September 2007

  2. Presentation Overview • Statutes and Administrative Rules • UI Operations Manual • Definitions • Duties of Colleges/Units • Retention Schedule • Approval • Destruction

  3. Iowa Code • Section 305.15 directs the Board of Regents (BOR) to establish a records policy to be approved by the state records commission • Section 681 ch. 10 directs the BOR and the UI to develop rules for the “economical, efficient, and systematic management of” records • UI rules shall be approved by the BOR

  4. BOR Administrative Rules (Ch. 681): Minimum Requirements Rules shall incorporate: • Procedures to deal with records of transactions of the UI's official business, including design, handling, maintenance, filing, storage, and security; • Procedures relating to utilization of space, equipment, and supplies; • Schedules for destruction of records and the method of destruction; and • Standards for reproduction of records.

  5. UI Operations Manual • Section V, Chapter 17 • Records Management Policy • UI Secretary (Susan Klatt, 319-335-5084) oversees policy • UI Records Management Program

  6. Definition: UI Record • UI record means “any documents, books, papers, photographs, sound recordings, or other material, regardless of physical form or characteristics, made, produced or executed in the conduct of University business, including sponsored research, teaching, service, and administration. Databases and other data compilations that are used for multiple purposes are UI records

  7. Definition: Non-Record • Non-record means “miscellaneous papers or correspondence without official significance and extra copies of documents preserved only for convenience of reference, like post-it notes, letters of transmittal and versions of reports, memos, word processing files, letters, superseded printed drafts, messages or communications used to develop a final official document

  8. Definition: Official Record An official record is: • A record that has legally recognized and judicial enforceable qualities that establish a fact, policy, institutional position or decision, or • A single official copy of a document maintained by an administrative unit, typically the original

  9. Definition: Confidential Record • Records generally unavailable to the public unless ordered by a court • Can be UI record or official record • Disclosure recorded by Linda Kettner (319-384-0030) in University Relations

  10. Confidential Record (cont.) • Federal statutes in addition to Iowa law • FERPA • HIPAA • Confidential for its life

  11. Definition: Electronic Records • Include word processing files, spreadsheets, databases, email and other files typically found on a computer • Must be retained in a readily retrievable form for the entire time they are retained in accordance with the retention schedule

  12. Electronic Records (cont.) • UI Acceptable Use of Information Technology Resources Policy • UI Ops Manual Section II, Chapter 19.3 • UI confidentiality issues • Personal privacy concerns • Applies to emails!!

  13. Definition: Active and Inactive Records An Active Record is: • A record used in an office more than once a year. An Inactive record is: • A record used in an office less than once a year or no longer required in the conduct of current business

  14. Duties of Colleges and Units • Identify records • Develop retention schedule • Create records system • design, handling, maintenance, filing, storage, and security of records • Preservation of vital records in emergency • Retention schedule = Official Record

  15. Retention Schedule • Describe record • Identity custodian of records • Conform to all known federal and state requirements • State how long record shall be retained in active status • State how long record shall be retained in inactive status • Indicate whether record is the “official UI copy” • Indicate whether the record is “confidential” • Indicate whether the record is “vital” • Indicate the record’s format • List safeguards in place to preserve record

  16. Approval • UI Secretary approval required for retention policies and schedules • Template available • To find approved schedule for your Unit/College/Org go to: UI Records Management at http://www.uiowa.edu/~fusrmp/retention.htm

  17. Destruction of Records • When to destroy? • Convenience records and non-records at any time • Official records and UI records in accordance with the approved records retention schedule • Why destroy?

  18. Destruction of Records • How to destroy? • All confidential records and official records • shred or non-retrievable equivalent • Non-confidential UI records, convenience records and non-records • Method determined by business practice

  19. Review • Statutes and Administrative Rules • UI Operations Manual • Definitions • Duties of Colleges/Units • Retention Schedule • Approval • Destruction

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