Common Retention SchedulesLast updated: 04/28/10
Records Management & Archives Program | What is a Record? Records Management & Archives ProgramAs a state entity, the The University of Arizona's Records Management & Archives department (RMA) and Records Center provides a state- mandated records retention and disposition program under the authority of The State of Arizona Department of Library, Archives and Public Records and Arizona Revised Statutes (A.R.S. § 41-1346). This statute requires the University to maintain the systematic control of the creation, distribution, utilization, retention, storage, retrieval, protection, preservation, and final disposition of recorded information. The department's mission is to:
· Protect the interests of students, the University and its employees and the State.
· Reduce the University's risk and liability in litigation through compliance with applicable policy and law.
· Provide an efficient and effective records management program free of charge to all university departments.
· Expand availability of expensive, on-campus office space by the transfer of inactive records to the records center for storage.
· Provide cost-avoidance to university units through the provision of centrally staffed records management.
What is a record?As defined in the (A.R.S. § 41-1350) records are: all books, papers, maps, photographs, electronic mail (e-mail) or other documentary materials, regardless of physical form or characteristics ... made or received by any governmental agency in the pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the government, or because the informational and historical value of the data contained therein... ·
Records as defined above, which include
electronic records, are the property of the State of · As stated previously, do not assume that records include only paper materials. In the statutory definition above, the phrase "regardless of physical form or characteristics" establishes that records include (e-mail), any type of electronic file or data, machine-readable output, still photographs, motion pictures, audio recordings, charts, maps, drawings, plans, video recordings, and micrographics, or any digitization magnetic tape or other electronic storage of any of these things. · An example of a paper record is the original of a multi-page form (e.g., Check Request). This along with related attachments is the official record for the maximum retention period. Departments generating or controlling original records or designated "record copies" (multiple copies of the same document may each have record status, same as the original, if they serve a separate administrative purpose and are controlled under different filing systems).
· All records must be retained in a readable format, so you must assure that electronic records are retained in a manner that the document remains readable regardless of changes in technology or equipment obsolescence. Printing out the documents and saving to a file system, maintaining the old equipment and software applications, or migrating the records to new technology, may meet this requirement. You must also assure that electronic documents meet relevant audit or tracking requirements. If you have any questions regarding the status of records in your department, please contact the University's Records Management and Archives (Service).
The storage of inactive paper records is centralized through RMA. RMA does not have an "electronic" data warehouse at this time so the storage and preservation of electronic records (e.g., business related e-mail) is the responsibility of each user in the department involved in the relevant function or transaction being documented. However, with proper documentation/metadata, RMA will accept electronic records on media for storage (e.g., disk, tape, etc.). The ability to read and retrieve information from these stored media rests with the owning department. If you are involved in designing or purchasing new electronic systems that create or store electronic records, please consult with RMA or the Attorneys Office. All departments or sub units considering the purchase of an microform or imaging system shall obtain approval from
the Director of the Department of Library, Archives and Public Records from
the state of
What is not considered a record for retention purposes (Non-record)A.R.S. § 41-1350 also defines specific materials that are not records for retention scheduling purposes (e.g. library and museum materials made or acquired and preserved solely for reference or exhibit purposes, extra convenience copies of original documents and publications preserved for the convenience of reference). In addition there may be other materials that are not records such as preliminary drafts not circulated for comment, some types of working papers, notes, personal e-mails created during incidental use and similar items that would normally be disposed of when superseded or no longer needed. When in doubt about the status or classification of a record, check with the staff at RMA staff. Usage of "Instant Messenger" (IM) to conduct official business is at this time is not recommended for various reasons.
Using the example above of the check request, the designated department copy or convenience copies of the form are not considered a record copy unless specifically designated as such and scheduled for retention with the state. Therefore these convenience copies do not need to be retained for the period as assigned to the original record or other official records copies. Note that these additional copies may be considered "public records" and subject to production in response to public records requests when still available.
Departmental convenience copies/non-records should be kept within the department no longer than necessary for reference and never exceed the retention period of the original. Department staff can destroy non-records without notifying RMA, unless the documents already or are expected to be subject to a public records request. In that case the non-record material may not be destroyed. This may include backup and "scratch" tapes. . Records DestructionAll records made or received by public employees of the No University records, either stored at the records center or active at departments, that are involved in or are expected to be involved in public records requests, grievances, litigation or other legal processes shall be transferred, destroyed or overwritten until they have been released for transfer, destruction or reuse by the relevant authority that is the source of the prohibition/restriction. This includes relevant non-record material such as convenience copies or relevant documents and backup system media.
Retention Schedules
The state-approved common retention schedule provided here in PDF format is for most university departments. It is grouped into four areas: Common Retention Schedules. Please call RMA if you need to establish a retention schedule specifically for your department for records not covered by this common retention schedule. |
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