Policies & Procedures


Section 1

Business and Financial Affairs

Records Management

Sec. 721-10: Records Management Guidelines

Responsible Office: Office of the Vice Chancellor, Administrative & Business Services
Revised: November 2012

References / Resources

Contact: Records Management Coordinator at (949) 824-3454

A. Administrative Records

The University of California’s Records Management Program governs the maintenance and disposal of administrative records. In the current business environment, administrative records are most often created in electronic business systems, word processing or spreadsheet software, or email messaging. Although these transactions and electronic documents may appear to be transitory in nature, when these processes have replaced prior paper-based business processes, the content of such electronic information must be maintained as administrative records.

B. Records Management Program

The Program’s requirements are published in the Business and Finance Bulletins, RMP-1 through RMP-5 which apply to all paper and electronic records that document the University's administrative activities. A systemwide committee reviews and approves retention and destruction timelines after review by Office of the General Counsel. The requirements are published in the University of California Records Retention Schedule (see RMP-2).

C. Records Excluded from the Records Management Program

  1. Records created to document student academic progress are not governed by the Records Management Program whereas records related to a student’s role as an employee are.
  2. Academic personnel documents related to actions governed by the Academic Senate are not subject to this Program, nor are documents related to research.
  3. Retention and destruction requirements for financial documents related to State or federal research awards, contracts, grants, or agreements are determined the Assistant Vice Chancellor-Accounting and Fiscal Services, the Assistant Vice Chancellor-Research Administration, or the Director-Financial Aid and Scholarships.

D. Non-Records

Non-records are not managed under the University’s Records Management Program; they should be disposed of once their period of immediate usefulness has passed. Non- records are defined as materials that are of immediate value only. Non-records may share some characteristics with administrative records; however, they are distinguished from administrative records by their transitory usefulness. Some examples of non-records are: envelopes, routing slips, rough drafts, and duplicate copies of administrative records.

E. Responsibilities

  1. Campus Records Management Coordinator
    1. Provides assistance to departments in the interpretation and application of the University’s Records Disposition Schedules.
    2. Coordinates campus review of proposed additions, deletions, and revision to the disposition schedules recommended by the systemwide records management committee.
    3. Coordinates systemwide review of requests to establish or modify disposition schedules for records unique to UCI.
    4. Coordinates requests for exceptions to the existing systemwide disposition schedules in the event that UCI prefers to retain records for a longer period of time than specified in the schedules.
  2. Records Proprietor and Records Custodian
    1. The Records Proprietor is normally the head of a department responsible for administering a business process. Previously referred to as the “Office of Record,” the Records Proprietor determines which records will be created, gathered and maintained.
    2. In decentralized business processes, the Records Proprietor may not be in custody of the records. When the records are not in the Proprietor’s custody, the Records Custodian is responsible for complying with the University Records Management Program guidelines. Refer to RMP-1 for specific responsibilities.
    3. The Records Proprietor is responsible for identifying vital records and, in conjunction with the Records Custodian, establishing necessary procedures for their protection.
  3. Departments

    Managers of operational units are responsible for:

    1. Maintaining University records consistent with sound business practices, University policy, and applicable law.
    2. Appraising records in their custody to determine if the records have administrative, legal, fiscal or historical value. The University Archivist can provide guidance regarding the archival value of a record (see Section 721-12, Archives).
    3. Disposing of records in accordance with published disposition schedules.

F. Disposing of Records

  1. Paper Records

    Generally, paper records may be put into a recycle container. Records containing personal and confidential information, including protected health information, must be shredded. Contact Materiel & Risk Management for information on local shredding vendors.

  2. Electronic Records

    When electronic records have reached the required disposal date, the data or documents must be permanently deleted. Record Proprietors and Record Custodians should contact the Office of Information Technology for guidance.