Records Management - Policies and Procedures
Records Retention Schedule
The UC Records Retention Schedule is a list of over 1,300 different documents that includes information on retention and disposition requirements for the University's administrative records.
UC Information Technology has Universitywide policy responsibility for records, information security practices, and maintenance of the Records Retention Schedule. At the UC Irvine campus, the Records Management Coordinator is responsible for implementing and managing the records program, as required by the Business and Finance Bulletins, Records Management Program (RMP) series.
Records Related to Research
The UC Contract and Grant Manual contains a comprehensive chapter on Records/Paperwork Access and Management. A matrix of retention and dispostion requirements for Administrative Records Related to Research has been compiled by the UC Vice Provost for Research. In all instances, contracts associated with extramural funding should be consulted for specific retention and disposition requirements applicable to an individual award.
Roles and Responsibilities
Records Management Coordinator
The Records Management Coordinator provides assistance to departments in the interpretation and application of the University's Records Retention Schedule. Campus review of proposed changes to the Schedule is conducted by the Coordinator who also participates in the systemwide records management committee and makes recommendations for documents unique to UCI.
The Records Proprietor has management responsibility for the records associated with an administrative function. Considered the "office of record" for audit and legal purposes, the Proprietor determines which records will be created, gathered and maintained. The Proprietor also serves as the Electronic Information Resource Proprietor for their respective function, but may or may not be in custody of the records. For example, electronic records may be entrusted to the Records Custodians or contracted to a non-university records service provider who must meet all university record requirements.
The Records Custodian has responsibility for a repository of records. This is the customary role for units who may also act as the Records Proprietor, when designated, for certain electronic records, but not for other general accounting, purchasing or payroll records.
All university administrative records are owned by the Regents of the University of California regardless of their physical location, even when they are in the possession of individuals.
The University Archivist is responsible for the preservation of UC Irvine's administrative records that deal with the decision-making process and essential cultural history of the campus. Access to these records is managed by the University Libraries.
Electronic records — data in raw, summary, or interpreted form — should be managed according to Business and Finance Bulletin, IS-3, which outlines requirements for data backup and retention, data privacy, transferring and downloading, encryption, storage, and other matters related to the security of electronic information resources.
Storing and Shredding Records
Departments may contract with private vendors for records storage services. Purchasing & Risk Services must review and approve vendor storage agreements. Departments may use outside vendors for shredding services. It's recommended that vendor employees be bonded and that shredding be done on site rather than at a remote location. Departments may contact Purchasing for vendor recommendations.
No record may be destroyed while audit, investigation, or legal action is pending. Retaining records beyond their retention period may lead to unwarranted storage and maintenance costs. For guidance regarding when and how to dispose of administrative records upon expiration of a retention period, see UC Business and Finance Bulletin RMP-2.
Public Records Requests
Information practices aspects of the University Records Management Program are handled by the Public Records Office in the Office of Institutional Research.
Records Management Coordinator Stephanie Tenney (949) 824-3454 or firstname.lastname@example.org
POLICIES & PROCEDURES
University of California Ownership of Administrative Records
UC Business and Finance Bulletins
RMP-1, University Records Management Program
RMP-2, Records Disposition Program and Procedures
RMP-4, Vital Records Protection RMP-5, Records Retention Program for Financial Documents Pertaining to Federal Awards to the University
RMP-7, Privacy of and Access to Information Responsibilities
RMP-8, Legal Requirements on Privacy of and Access to Information
IS-3, Electronic Information Security
IS-10, Systems Development Standards
UC Contract and Grant Manual
Chapter 17, Records/Paperwork Access and Management
UCI Research Administration
Section 720-10, Information from Public Records (California Public Records Act) - Guidelines
Section 720-11, Privacy of and Access to Information (Excluding Student Records) - Guidelines
Section 721-10, Records Management Guidelines
Section 720-12, Student and Student Applicant Records - Guidelines
Section 800-15, UCI Guidelines for the Electronic Communications Policy
Section 800-17, UCI Implementation Guidelines for Notification in Instances of Security Breaches Involving Personal Information Data