Records Management Policy

Title: Records Management Policy
Policy Owner: University Archivist, Records Management
Applies to: Faculty, Staff, Others
Campus Applicability: All
Effective Date: March 11, 2009
For More Information, Contact University Archivist, Records Management
Contact Information: (860) 486-4507
Official Website: http://records.compliance.uconn.edu/

Background and Purpose of the Policy

The University of Connecticut is an agency of the State of Connecticut.  As a state agency, the University is, and therefore its employees are, required to conform to state regulations and statutes.

Under Section 11-8a of the Connecticut General Statutes the University has the obligation to handle, maintain, retain, dispose of and in cases destroy records in a certain manner, following specific processes and schedules.

The purpose of this policy is to provide guidance and reference for University employees regarding the retention, disposition, storage and destruction of official University records, in all formats.

Definitions

Record Connecticut public records are defined in General Statutes Section 1-200(5) as: “any recorded data or information relating to the conduct of the public’s business–prepared, owned, used, received, or retained by a public agency, whether such data or information be handwritten, typed, tape-recorded, printed, photostatted, photographed, or recorded by any other method.”  Recorded data and information that meet this definition are covered by this Records Management Policy.

Non-Record By definition, the term “non-records” means recorded data or information that does not meet the above definition of the term “record”.  The physical characteristics of non-record materials are the same as record materials. The differences between a non-record and a record are the reasons for keeping the information and how the information is used. Non-records are not covered by this Records Management policy and therefore do not need to be retained, stored, disposed of or destroyed in accordance with procedures create under this policy and state law.

The following are examples of “Non-Records”:

  • Extra copies kept only for convenience.
  • Informational copies of correspondence and other papers on which no documented administrative action is taken.
  • Duplicate copies of documents maintained in the same file.
  • Requests from the public for basic information such as manuals and forms that do not have any administrative retention requirements.
  • Transmittal letters that do not add information to that contained in the transmitted material.
  • Reproduced or published material received from other offices which requires no action and is not required for documentary purposes. The originating agency is required to maintain the record copy.
  • Catalogs, trade journals, and other publications or papers received which require no action and are not part of a case upon which foreseeable action will be taken.
  • Library or museum material collected for informational or exhibition purposes.
  • Stocks of publications, forms, or other printed documents which become obsolete or outdated due to revision. The originating agency should maintain a record copy.
  • Working papers, preliminary drafts, or other material summarized in final or other form and which have no value once action has been taken.

Record Series — A group of similar or related records that are normally used and filed as a unit and can be evaluated as a unit for determining the record retention period. All of the records that make up a record series must have the same retention periods. You cannot break up a record series into individual records and give each record a different retention period.

Records Retention Schedules — A comprehensive list of record series which indicates for each series the length of time it is to be maintained until it is reviewed for destruction or archival retention. It also indicates retention in active and inactive storage areas.

Policy Statement

All employees of the University of Connecticut are required to be aware of the fact that records management procedures exist, and to ensure that records are maintained, retained, stored, disposed of and, as appropriate, destroyed only in accordance with such procedures and the Records Retention Schedules.  The University’s Records Management Procedures are available at http://records.compliance.uconn.edu/.  Employees are urged to visit this website to keep up to date as changes to the procedures and/or the Records Retention Schedules can and do occur.  All updates to Records Management Procedures and Records Retention Schedules are posted to the website.  Employees may also contact the University Archivist at (860) 486-4507 for further information.