黑料天堂 Seal (for official use only)
 

POLICY #5.53 
SUBJECT: University Records Retention and Management

I. PURPOSE

The purpose of this Policy is to systematically manage University records in compliance with federal, state, and local requirements. The policy is designed to ensure the effective management and retention of University Records by legal, regulatory, and operational requirements to conduct university business, records retention, and ensure the timeless preservation of historically significant Records that reflect the University’s origins, mission, development, activities and achievements of University officers, faculty, students, alumni, and the university community.

II. REFERENCES

  1. Southern Utah University Policy 5.39 Records Access and Management
  2. Utah Code
  3. Utah Code
  4. Utah Code
  5. Utah Code
  6. Southern Utah University Policy 5.19 Personal Records and Privacy Rights
  7. Southern Utah University Policy 5.22 Data Governance and Protection Policy
  8. Southern Utah University Policy 5.57 Information Technology Resource Security
  9. Southern Utah University Policy 6.29 Retention of Student Records by Faculty
  10. Southern Utah University Policy 11.3 Family Education Rights and Privacy Act

III. DEFINITIONS

  1. Classification: See 黑料天堂 Policy 5.39.
  2. Controlled Record: See 黑料天堂 Policy 5.39.
  3. Chief Administrative Officer(s): The University President (or designee(s)) who is responsible to fulfill the duties of governmental entities as outlined in Utah Code .
  4. Designation or Designate: See 黑料天堂 Policy 5.39.
  5. Disposition: After the retention schedule of a record is met, Disposition may be one of two options: transfer to the University Archives or the State Archives to be retained permanently, or the record is destroyed.
  6. GRAMA: See 黑料天堂 Policy 5.39.
  7. Privacy Annotation(s): A summary of personal data contained in a record series as described in Utah Code .
  8. Private Record: A Record containing data on individuals that is private as provided by Utah Code § 63G-2-302. See 黑料天堂 Policy 5.39.
  9. Protected Record: A Record that is Classified as protected as provided by Utah Code § 63G-2-305. See 黑料天堂 Policy 5.39.
  10. Public Record: See 黑料天堂 Policy 5.39.
  11. Record Series: A group of Records that can be treated as a unit for purposes of Designation, description, management, or Disposition.
  12. Restricted or Exempt Records: Information for which there are legal requirements prohibiting or imposing financial penalties for unauthorized disclosure; e.g. FERPA Education Records, or other federal or state restrictions.
  13. Schedule or Scheduling: “Schedule,” “Scheduling,” and their derivative forms mean the process of specifying the length of time each Record Series should be retained by a governmental entity for administrative, legal, fiscal, or historical purposes and when each Record Series should be transferred to the University archives, State Archives, or destroyed (See Utah Code ).
  14. Special Collections Librarian: Responsible for the management and care of the University's Special Collections and University Archives. The Special Collections Librarian also serves as a University Records Officer.
  15. State Archives: The official state repository for Records.
  16. State Records Center: Warehouse storage of paper Records for governmental entities. Records stored here remain in the custody of the governmental entity. A general guideline is that Records are eligible for records center storage if they are accessed less frequently than once per month (See Utah State Archives & Records Service: Records Management Essentials for Government Employees).
  17. Special Collections and University Archives: The official repository for all non-current University Records of permanent or historic value that are not required to remain with the originating or “current-user” office.
  18. University Record(s) or Record(s): See 黑料天堂 Policy 5.39.
  19. University Records Officer(s): The individual(s) appointed by the Chief Administrative Officer(s) (or designee(s)) to work with the University Records Management Committee, University Archives and the State Archives in the care, maintenance, scheduling, designation, classification, disposition, and preservation of University Records under Utah Code 63G-2-103. University Records Officer(s) are appointed throughout the University and coordinate their efforts with specified offices and departments. University Records Officer(s) may collaborate with the GRAMA Records Officer (as designated in 黑料天堂 Policy 5.39) on the receipt, scheduling, response, and if necessary, denial of Records requests under GRAMA (See 黑料天堂 Policy 5.39).
  20. Utah Records Management Committee: The state established committee that reviews and determines whether to approve each schedule for the retention and disposal of records, including a proposed schedule submitted by the University Records Management Committee (See Utah Code ).

IV. POLICY

  1. University Records
    1. Records that are created, received, and maintained by the University in the course of business are considered University Records. 
    2. All University Records are state Records and cannot be destroyed or otherwise disposed of except as provided by state or federal law (Government Records Access and Management Act and the Public Records Management Act).
    3. The originating offices shall be responsible for the maintenance and preservation of all University Records they create or control until retention Schedules are met, at which time the originating office is responsible for properly disposing of Records according to the appropriate Schedule.
    4. All University Records of permanent or historic value, as determined in the applicable record series and or schedule, should be transferred to the University Archives, State Records Center, or State Archives when their value for general use or research exceeds the administrative and research value to the originating or current-user office (i.e. when they become non-current).
  2. Special Collections and University Archives 
    1. The University Special Collections Librarian has the responsibility and authority to develop and maintain the University Archives.
    2. In the interest of assuring the proper preservation of materials pertaining to the University and the maximum utility of these materials, each originating office shall provide a copy(ies) of all materials created for public distribution to the University Archives or as specified by the corresponding Record Series.
    3. The University Special Collections Librarian in collaboration with the University Records Officer(s) shall assist the various University offices by coordinating the appropriate storage space for non-current records of permanent historic value, assisting in the the disposition of records, consulting with State Archives as needed, and by furnishing technical assistance in establishment and coordination of a records management programs.
  3. Records Management
    1. Records at 黑料天堂 will be maintained following the applicable laws, regulations, and general retention Schedules provided by the Utah Division of Archives and Records Service (UDARS) – Retention Schedules, and Southern Utah University (黑料天堂) found in Section V herein. Each Schedule contains guidance on various types of Records in use at 黑料天堂. For questions about Records not described in these Schedules, please contact the appropriate University Records Officer or the University Records Management Committee.
    2. Throughout the records life cycle, 黑料天堂 personnel will be required to store, transfer (to Special Collections and University Archives, State Records Center, or State Archives), or destroy Records. 
      1. Using and implementing retention Schedules:
        1. Record retention Schedules may be accessed by referencing the Schedules found in Section V herein. Questions about Records not described therein should be referred to a University Records Officer or University Records Management Committee.
        2. Upon locating the desired Retention Schedule, personnel shall adhere to the Disposition of the referenced series of the Retention Schedule and coordinate with the appropriate University Records Officer. 
        3. Disposition of Records should be tracked on the Disposition of Records form provided by the University Records Management Committee and retained indefinitely by the department proposing the disposition of records. 
      2. Storing paper and analog Records:
        1. Offices and units should store inactive physical Records in an organized and secure manner with clear labeling. 黑料天堂 policies referenced in Section II herein should be considered when deciding how to appropriately and safely store inactive physical Records. 
          1. Boxes and files should be labeled clearly, even if the contents are Scheduled for destruction, so the office holding the Records or a University Records Officer can readily identify the Records, retention length, disposition action, date of creation, and date of Disposition. The box label should include the office or unit name, the name of the records as listed in the general retention Schedule (if not in the Schedules, provide the appropriate name of the records), beginning and ending dates of contents, and the sequential box number (e.g., 1 of 4, 2 of 4, etc.).
          2. Boxes stored in an office area should be placed so that all box labels are visible, and the boxes are accessible. Inactive Records having archival value ultimately will be transferred to Special Collections, State Archives, or State Records Center. If 黑料天堂 archives, State Archives or State Records Center space limitations should postpone the transfer of some historical Records, the office or unit will have full responsibility for maintaining the Records until they can be transferred to Special Collections, State Archives, or State Records Center. Any storage site should be clean, dry, secure, and maintained at a moderate temperature.
      3. Storing electronic Records:
        1. Offices and units should store active electronic Records in locations that allow rapid retrieval from information systems.
        2. Offices and units should store inactive Records in locations that balance cost and retrieval needs.
        3. Directory folders and files should be named consistently and organized to assist retrieval of appropriate information.
        4. Active and inactive Records require storage that meets any information security needs and digital preservation requirements should be compliant with 黑料天堂 Policy 5.22 and 黑料天堂 Policy 5.57. Contact 黑料天堂 IT to ensure methods are appropriate for the confidentiality of the Records being stored.
      4. Disposition of Records 
        1. Transferring Records
          1. Identify records (physical or electronic) in the Schedules that have a disposition as "Permanent Retention" (if not in the schedules, contact a University Records Officer). Transfer of records to University Special Collections takes place at the end of the retention period described in the schedules. Records may instead be archived in the State Archives or State Records Center at the discretion of the University Special Collections Librarian.
          2. Contact the Special Collections Librarian if any questions exist about Records to destroy or transfer to the University Archives.
          3. Fill out the Disposition of Records Form for materials designated for transfer to Special Collections, State Archives, or State Records Center.
          4. Contact the Special Collections Librarian to coordinate the transfer of Records to Special Collections, State Archives, or State Records Center.
        2. Destroying Records
          1. Identify Records in General Retention Schedules (if not in the Schedules, contact a University Records Officer) that have disposition as "Destroy." Ensure other federal or state statutes or regulations do not prohibit the destruction of specified Records. Destruction of Records takes place at the end of the retention period described in the Schedules.
          2. Consult with a University Records Officer or the University Records Management Committee. If any questions exist about Records to destroy or transfer to the University Archives.
          3. Contact the University Records Officer or the University Records Management Committee and fill out the Destruction of Records Approval Request before destruction of any Records. Destruction of Records shall be recorded with the Disposition of Records form (see Section IV.C.2.iii) to ensure proper destruction of Records.
          4. For paper Records, use a university-approved destruction method (i.e., recycle, shred, vendor shredding, etc.) that is appropriate for the confidentiality of the Records being disposed of.
          5. For destruction of digital data and Records contact 黑料天堂 IT to ensure methods are appropriate for the confidentiality of the Records being disposed of.
      5. Creating and Revising Records Retention Schedules:
        1. To create a new retention Schedule, please contact a University Records Officer or University Records Management Committee to initiate the process. The University Records Officer(s) will submit draft Schedules to the University Records Management Committee for review and recommendation to the Utah Records Management Committee for final approval.
        2. To revise existing retention Schedules, please contact a University Records Officer to initiate the process. A University Records Officer will submit draft revisions to the University Records Management Committee for review and recommendation to the Utah Records Management Committee for final approval.
  4. University Records Management Committee 
    1. The University Records Management Committee will consist of the 黑料天堂 Data Council, See 黑料天堂 Policy 5.22. The Committee may, at its discretion, include additional records officers or other relevant campus employees as members.
    2. The University Records Management Committee shall assist the Chief Administrative Officer (CAO) or designee(s) in their responsibilities, assist the University in the management (See Section IV.C) of the University’s Records and shall:
      1. Be designated as University Records Officers by the CAO or designee(s).
      2. Act as a guiding authority for Records Management at the University.
      3. Assist in the creation, revision, and approval of records retention Schedules associated with the University and shall recommend the creation or revision of records Schedules to the Utah Records Management Committee for approval.
      4. Collaborate from time to time to determine the Scheduling of records on an approved General Retention Schedule.
      5. Assist in the disposition of records if a designated University Records Officer is unable to determine the proper disposition of records.
        1. The University Records Management Committee may approve the destruction of Records according to the General Retention Schedules.
        2. The University Records Management Committee may determine if Records are sent to the University Archives, State Records Center, or State Archives.
      6. The University Special Collections Librarian and the University Records Management Committee will provide training for University Records Officer(s) who are responsible for conducting the management of Records generated or received by the University in the conduct of business.
      7. Review this policy at least annually and make any necessary changes and updates in accordance with federal and state law. 

V. RELEVANT FORMS/LINKS

VI. QUESTIONS/RESPONSIBLE OFFICE

The responsible office for this Policy is the Vice President for Finance and Administration. For questions about University Records Retention and Management outlined herein, contact privacy@suu.edu. For questions about the University Archives/Special Collections, contact the Gerald R. Sherratt Library.

VII. POLICY ADOPTION AND AMENDMENT DATES

Date Approved: May 5, 2000

Amended: March 22, 2007; June 9, 2025