65.02--RecordsInventory,RetentionandDisposition
LastupdatedNovember21,2008

A.General.

A-1.RecordsDefined.Recordsaredefinedasrecordedinformation,inanyform,includingdataincomputersystems,createdorreceivedandmaintainedbyanorganizationorpersonatornearthetimeofthetransactionofbusinessortheconductofaffairsandkeptasevidenceofsuchactivity.

a.RecordCopies.Becausemanyrecordshavemultipleformatsoraremaintainedinduplicateelsewhere,retentionperiods[seeE-1]shouldbeconstruedtoapplyonlytothe"recordcopy",whichisthatcopydesignatedbytheunitoforigin(originatingoffice)asthe“recordcopy”.Allothercopiesaremerelyworkingdocumentsandshouldbeappropriatelydisposedofoncetheyarenolongerusefuland/orpasttherecordcopydestructiondate.

b.Non-RecordDocuments.Duplicatecopiesoffinalreports,printoutsorcopiesofpermanentfilesmadeforreference,distributioncopiesofapublication,orroutingcopiesofamemoorletterareallconsiderednon-records.Materialacquiredsolelyforthepurposeofreference,thatis,copiesofotherinstitutions'coursecatalog,programsfrommeetings,etc.,arealsonon-recordsandshouldbeappropriatelydisposedofoncetheyarenolongerusefuland/orpasttherecordcopydestructiondate.

A-2.Scope.Recordsmanagementpoliciesandprocedurespertaintouniversityrecords,regardlessofmedia.Theserecordsmaybeelectronicallystoredinformation,paperormicrofilmrecords,magnetictapes,orothermedia(seealsoFSH1470).

A-3.Responsibility.Recordsgeneratedbyaunitduringthecourseofbusinessaretheresponsibilityoftheunitoforigin.Inmanagingrecords,unitsshall:

  • RetainrecordsaccordingtotheUIrecordsretentionschedule(seeC-1).
  • Maintainactiveandinactiverecordsinappropriatelocations.
  • Identifyandprotectvitalrecords(thoserecordsessentialforcarryingoutourmission).
  • Ensureconfidentialityofprotectedrecords
  • Disposeofrecordsthatarenolongerbeingusedandarenotrequiredtoberetainedbyretentionpolicy,legalholds,orother businessreasons.
  • Retainaninventoryofrecordstheyhavegeneratedorareintheircustody,andshallbeabletoprovideacompleteinventoryofthoserecordstoGeneralCounselwithin10workingdays,uponreceiptofaninventoryrequest.

B.Process.

B-1.Recordsareretainedpursuanttotheirofficialretentionschedules[seeC-1].

B-2.Activerecordsaremaintainedintheunitoforigin.

B-3.Oncerecordsarenolongeractivelyusedintheofficeswheretheyoriginated,recordscoordinatorsareresponsiblefortransferringrecordstotheFinanceandAdministrationrecordscenter,wheretheyareretainedforthebalanceoftheirretentionperiod.Recordsneededonlyforshortdurationshouldbedestroyedorrecycledbytheofficeaccordingtotheapprovedschedules.RecordswhichhavebeentransferredtotheRecordsCentermaybeaccessedbytheunitoforigin,orothersauthorizedbythatunit.Recordswhoseretentionperiodhaspassed,andwhichhavenolegalholdsonthem,shallbedisposedofpursuanttoUniversityofIdahopolicy[seeC-36].

C.Procedures.

C-1.RecordsRetentionSchedule.TheUniversityofIdahoretentionscheduleisbasedontheHigherEducationRetentionScheduleadoptedbytheStateBoardofEducationoftheStateofIdaho(SBOEretentionschedule)andtheBoardofRegentsoftheUniversityofIdaho.TheUniversityofIdahoretentionscheduleismaintainedbytheUniversityofIdahoRecordsManagement.TheUniversityofIdahoretentionscheduleisavailableattheRecordsManagementwebsite:(

C-2.RecordsRetentionGuidance.Thissectionprovidesguidanceforrecordsretentionbygeneralrecordtype,forrecordsseriesthathavenotyetbeenincorporatedintotheUniversityofIdahoRecordsRetentionSchedule(seeC-1).Thisisintendedtobeageneralguidetobeusedpendingspecificrecordseriesidentificationandretentionestablishment.ForguidancerelatedtoretentionofspecificrecordsseriesrefertotheUniversityofIdahoretentionschedule,availableattheRecordsManagementwebsite:(

Ifyoubelievethatrecordsyoumaintainshouldbekeptlongerthantheretentionperiodsspecifiedbelowforvariousreasons(example:externalauditrequirements,federalregulations,etc.)pleasecontactRecordsManagementinordertodocumentyourrecordtypesandretentionsintheUIRecordsRetentionSchedule(seeC-3).Note:theseguidelinesapplyonlytotherecordcopies(seeA-1a)ofvariousrecordtypes.Workingcopiesandnon-recordcopies(seeA-1b)shouldbedisposedofassoonastheyceasetobeuseful,andnolaterthantheretentionperiodfortherecordcopy.

a.FinancialRecords:

  • RoutineTransactions:
  • Travelauthorizations,reimbursementrequests,andpurchasingandcashhandlingrecordsallsharethesameretentionperiod:Temporary.Holduntilendoffiscalyearofcreation+3years.
  • Budgetfiles:
  • Calculations,drafts,andfinalversioncopies.Temporary.Holduntilfiscalyearend(June30th)+3years,thendestroy.
  • Contracts:
  • Recordsforcontractualservicesandprograms(ex:guestspeakers).Temporary.Holduntilendofcontract+3years,thendestroy.
  • Grantsdocumentation:
  • Financialandpersonnelrecords.Temporary.HolduntilendofGrantperiod or last contact related to the grant+3years,thendestroy.
  • Finalprojectandperiodicreports,aswellasinitialproposals(ifavailable).Permanent.Retaininofficeoforiginuntilinfrequentusewarrantslongtermstorage,thentransfertoUniversityArchives.

b.Unit/AdministrativeRecords:

  • Correspondence,includingemail:
  • Informal/routine-meetingnotices,availabilityofaresource,whenco-workerwillbeback,generalannouncements-Temporary.Destroy3yearsaftercloseoffiscalyearofcreation.
  • Formal-typicallysignedbytheunitadministrator,includesletters,memosandemailsrelatedtoaccreditation,curriculum,programmaticchanges,re-evaluationofcoursecredits,petitions,etc.Alsoincludeslettersdescribingtheworkoftheunitanditsdeadlinesanddeliverables.Permanent.TransferacopytoUniversityArchives.
  • MeetingMinutes:
  • Thosethatoriginatewithintheunit–appliestoalloriginalminutes(seeFSH1470C-7).Permanent.Organizeinyear,dateorder.TransfertoUniversityArchiveswheninfrequentusewarrantslongtermstorage.
  • Publications:
  • Brochures,flyers,etc.,promotingtheservicesoftheunit.Newsletters.Somepresentations,dependingontheeventoruse.Reports,statisticalanalyses,syllabus,etc.Permanent.TransfertwocopiestoUniversityArchives.

c.Personnel:

  • Timesheets:
  • Faculty/staff/tempsandregularstudents-Temporary.Keepfor3yearsafterthecloseofthefiscalyearofcreation,thendestroyconfidentially.Note:payrollinformationenteredintoBannerisregardedastherecordcopyofevidenceofhoursworked,andissubjecttoa50yearretention.ThedocumentationoftheinformationenteredintoBanner(i.e.timesheets)aresupportingdocumentsandneedonlybekeptfortheperioddesignatedabove.NotethattimesheetsdocumentingtimeworkedpriortotheimplementationofBanner(July1994)mustberetainedthefull50years.Exception:Whenapositionisentirelyorpartiallypaidoutofgrantfunds-thenmaintainthesetimesheetsforthesameperiodasgrantfiles.
  • PerformanceEvaluations:
  • Staff,tempsandregularstudents-[Permanent].FiletheoriginalswithHR,whowillkeepitpermanently.Anycopieskeptattheunitareworkingcopies,andshouldbeconfidentiallydestroyedofwhennolongerneeded.
  • Emergencycontact,copyofcertification,committeeappointments,scheduleinformation.Temporary.Confidentiallydestroy5yearsafterlastdateofemployment.

d.StudentRecords:

  • StudentFilesincludebutarenotlimitedto-emergencycontactlist,unitpolicysignoffw/computeruseform,studenthandbookfurnishedform,prerequisiteforms(eachsemester),unofficialtranscripts.Temporary.Maintainalloftheabovestudentrecordsfor5yearsafterdateofgraduationordatelastenrolled,andthendestroyconfidentially.
  • Consentforreleaseofinformation-Permanent.TransfertoRegistrarforcollationintostudent'spermanentfile.RemovefromfilepriortoshreddingofotherdocumentsinStudentfile.
  • Interviewfile-studentsseeingcorporaterecruiters-Mayincluderesume,appointmenttimes,etc.Temporary.Keepnomorethanoneyearfromdateofinterview.Destroyconfidentially.
  • CredentialingMaterials-recordsusedtocertifythatastudenthasfulfilledtheirprogram-specificrequirementstothesatisfactionoftherelatedaccreditingorganizationorlicensingagency.Whiletemporary,theserecordsmustbemaintaineduntiltheendofthestudents'averageworkinglife.TheUniversityofIdahocurrentlyconsidersthistobe50-years.Unitsthatcreatecredentialingrecordsmaysetthesematerialsasidewhenpurgingstudentfiles.UIRecordsManagementandtheRecordsCentercanhelpwithstorage.EstimatedbasedontheUSCensusaverageretirementageof68years,oruntilsuchtimeastherelevantoversightagenciesestablishadifferentstatus. NOTE:TheserecordsareprotectedfromreleaseperFERPAandmusthavestudentapproval.50years

C-3.EstablishingaspecificrecordsseriesintheUniversityofIdahoretentionschedule.

a.DeterminingRetentionPeriodsonNewRecordsSeries.Ifthereisnodefinedretentionperiodforaparticularrecordseries:

1)The unit of origin completes a Records Series Inventory Form [Form UI-RMO-3], which is based on an actual physical inventory of records, and forwards it to the Records Management. The worksheet is used to gather basic data about the description and function of a specific records series unique to an office for which no specific retention schedule exists. [See E-1].

2)1)RecordsManagementinvestigatesthecurrentUIretentionschedule,applicablestateandfederalstatutes,internalandexternalauditrequirements,andRegents’anduniversitypolicymanuals(alsoseeFSH1470),toidentifytheretentionperiodrequiredbylaw,rule,regulationorpolicy.

3)2)RecordsManagementconsultswiththeunitadministrator and/or unit records coordinatortodeterminetheadministrativerationaleforkeepingrecordsbeyondanyexternallegalorauditrequirements.

4)3)RecordsManagementconsultswiththeUniversityArchivisttodetermineifarecordhasalong-termevidentialorinformationalvaluetodecision-makersorresearchers.

5)4)RecordsManagementupdatestheUniversityofIdahoretentionschedule,toincludethenewseries,itsretention,andvitalandarchivalcharacteristics and submits it for validation and recognition by the State Records Manager.

b.AlteringRetentionPeriodsforSeries.UnitsmayrequestthattheirrecordseriesberetainedforalongerperiodthanspecifiedbytheSBOEretentionschedule,butnotashorterperiod.SuchrequestswillbereviewedbyRecordsManagement,andifapproved,thechangetotheretentionperiodforthatserieswillbemadetotheUniversityofIdahoretentionschedule.

C-4.LegalHolds.GeneralCounselmayattheirdiscretionplacealegalholdonanyUniversityrecords.Inthatcasetheretentionscheduleforthoserecordsissuspended,anddisposalshallnottakeplaceuntilthelegalholdisremovedbyGeneralCounsel.

C-5.DestructionofRecordsofUnknownSeries.TheUniversityofIdahoretentionschedulecontainscategories(seriesgroups)thatapplytomostUniversityofIdahorecords,includingthoseseriesthathavenotbeenidentifiedtoRecordsManagementandthereforenotincludedspecificallyintheUniversityofIdahoRetentionSchedule.Beforedestroyingrecordswhoseretentionperiodsyouarenotcertainabout,consultwithRecordsManagement,SUB(StudentUnionBuilding)Room53,(208)885-2580,.

C-6.DispositionofRecordsuponExpirationofRetentionPeriod.

a.MethodsofDisposal.Therearetwobroadmechanismsfordisposingofrecordsaftertheirretentionandallrelevantholdshaveexpired:disposingofthem(inthecaseofsensitiveorconfidentialrecords,irretrievablydestroyingthem),ortransferringownershipofthemtoUniversityArchives.

1)DisposalofRecords.Recordsofanon-sensitive,non-confidentialnaturemaybedisposedofbyanymeansdeemedappropriate.Wherepossible,recyclingispreferred,althoughdisposing,deletingorrecyclingareallacceptable.

2)DestructionofConfidentialorSensitiveRecords.Physical,paperrecords,andelectronicallystoredrecordsofaconfidentialorsensitivenatureonindividualharddrivesorothermediacapableofbeingshreddedand/orincineratedshallbedestroyedbyshreddingorincinerationbyavendorapprovedforthistask.RecordsManagementshallberesponsibleformaintainingacontractwithandcoordinatingtheserviceofthisvendortotheUniversitycommunity.RecordsManagementseeksvendorsthatarecapableofshreddingpaperdocumentsinamannercompliant consistent withUS Department of Defense standards for Top Secret documentsprevailing industry standards for confidential materials,andofdestroyingelectronicmediatoanextentthatprecludestheirintendeduseandtheextractionofdatafromthemediaremnants.Electronicallystoredrecordsofaconfidentialorsensitivenaturestoredinothermannersshallbedestroyed/deletedinsuchamannerthattheycannotberetrievedorrecreatedusingreasonablemeans.

3)TransferofOwnershiptoUniversityArchives.OwnershipofrecordsshallbetransferredtoUniversityArchivesandSpecialCollectionsiftherecordserieshasbeenidentifiedascontainingrecordsofhistoricalorspecialinterestbyUniversityArchivesandtherecordretentionperiodfortherecordshaspassed.TheunitoforigintransfersownershipoftherecordstoUniversityArchivesusingaRecordTransferForm.OnceownershiphasbeentransferredtoUniversityArchivesthoserecordswillbeprocessedaccordingtothepoliciesandproceduresofUniversityArchivesandSpecialCollectionsandUI(seeFSH1470).

4)MethodofDisposal.Atthepointintimewhenrecordsarereadytobedisposed,themethodtobeusedisdeterminedbythecharacteristicsoftherecordseriesandtheassessmentofhistorical,archival,andpotentialresearchvalueoftheseriesbytheUniversityArchivist.Recordsseriesthathavebeendeterminedtohavearchival,historical,orresearchinterestshallbetransferredtoUniversityArchives.Allothersshallbedisposedofordestroyed.

b. Definitions[a1]

1)Confidential Records Defined. Information whose release is restricted because of statute, regulation or other legal requirements. Examples include medical information, credit information, or student information. Confidential records are clearly defined by the Family Educational Rights and Privacy Act (FERPA) and the Idaho Public Records laws[a2].

1)2)Sensitive Records Defined. Information whose release is restricted because of organizational policy or procedures or industry practice. No statute, regulation or other legal provision necessarily prohibits the release of sensitive information. However, unauthorized release of sensitive information may cause damage to reputation or status of an individual or organization and may result in loss of income or opportunity. Examples include personally identifiable information, intellectual property, and proprietary materials such as class test materials, marketing plans, budget data, routine correspondence, or unprotected personal information[a3].

D.Information.Foradditionalinformationorconsultation,ortoobtainrecordsmanagementforms,contactRecordsManagement,SUB(StudentUnionBuilding)Room53,Moscow,Idaho83844-4247,(208)885-2580or(208)885-9255(fax).Seealsowebsite:

E-1.RecordsRetentionSchedule.

E-2. Records Inventory Analysis Form. [Sample Form]

[a1]I would suggest moving this under A-1 above and label as c and d.

[a2]Taken from APM 65.07 A-1

[a3]Taken from APM 65.07 A-2 and revised.