Records Management Policy

Responsible Office or Person: Compliance/Risk Management

在威尼斯游戏大厅的学术和行政操作过程中创建的记录有助于支持当前的行政需求, meet legal requirements, and provide a rich source for historical research. Because the University does not have a centralized records management office, each unit (office or department) is responsible for the retention, disposal, and transfer of the records it generates.

The purpose of this document is to:

• establish a records management policy for Carroll University;
• define key concepts specific to the policy; and
• 描述通过记录管理程序实施此政策的框架.

本政策适用于威尼斯游戏大厅在其教育和其他活动过程中创建的所有记录. 威尼斯游戏大厅员工(教职员工)在正常业务过程中创造的记录是威尼斯游戏大厅的财产. For faculty, 这些包括在学生指导过程中创建或接收的记录, grading, committee work, or program or department administration. Records that faculty members create or receive in the conduct of their teaching, research, 或专业活动不是大学记录，因此不包括在本政策之外.

Carroll University is committed to meeting its administrative, fiscal, 通过系统地管理大学在学术和行政运作过程中产生的记录，以履行法律义务. 记录的管理包括创建和组织这些记录的适当实践, 确定具有永久或持久价值的记录的有效保存, 一旦业务需要和法律要求得到满足，应适当销毁那些被确定没有永久或持久价值的记录.

本政策和相关材料是作为档案管理程序的一部分而制定的, including procedural guidelines, 将提供给威尼斯游戏大厅社区的成员，以供他们持续参考.

Records are generally defined as information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. In the University context, 记录包括大学员工在代表大学执行官方职能过程中创建或接收的记录信息. 记录是按内容而不是按格式定义的，因此包括纸质记录, analog, electronic, or any other format from which information can be retrieved. Records include, but are not limited to, official University publications (including web pages), fiscal data, correspondence (including email), minutes of meetings, reports, academic records, and employee files.

活动记录是那些经常被引用或需要支持一个单位当前业务活动的记录.

非活动记录是至少一年不需要的记录或活动期已过的记录. 非活动记录应安全保存至指定保存期结束. 除非这些记录被定义为永久记录，否则应在指定的保存期限过后销毁.

Permanent records (or archival records) are those which have enduring historical, administrative, 或对大学的研究价值，并由大学无限期保留.

Retention schedules are documents describing types of records, providing a length of time they should be kept, and including instructions for disposition. Wisconsin state and federal law, professional best practices, 业务需要可能决定某些记录必须保存的期限.

Each unit is responsible for managing its records from creation to disposition. With approval from senior, units may contract with commercial vendors for records storage, imaging, and destruction services; however, they remain ultimately responsible for the proper management of their records. Each unit should appoint at least one Records Coordinator, as appropriate, to be responsible for: understanding the records created within the unit, where those records reside, and on what storage medium; ensuring that all employees in the unit are aware of the records management policy and follow it; consulting the University Counsel on matters related to retention and disposition of records and, if necessary, assisting in the development of an internal records retention schedule for the records of the unit; establishing the level of confidentiality and security appropriate to specific types of records and helping the unit maintain and monitor confidentiality and security, 协助保存、调取被诉单位的记录.

威尼斯游戏大厅的所有员工都有责任管理和维护他们根据本政策和大学制定的记录管理程序创建的记录.

Records Creation

所有大学单位必须创建准确记录其核心职能和活动的记录.

Records Retention and Storage Periods

大学法律顾问将与大学单位合作，根据联邦和州法律法规制定记录保留时间表, professional best practices, and operational needs. A General Records Retention Schedule will provide guidance for records commonly created across the University; this will be supplemented by approved unit-specific schedules as necessary.

All units must store their records in a safe, stable, and secure manner that supports their timely, 准确和经济有效的检索，并对其可访问性应用适当的控制.

Records Disposition

所有单位必须按照适当的记录保存时间表销毁预定销毁的大学记录. 这通常需要通过粉碎或删除来销毁机密文件. 所有单位必须按照保存时间表保存销毁的记录文件.

Litigation Holds

可能出现需要立即暂停文件处理程序和活动的情况，并要求保存超出大学记录保存时间表规定的时间的记录. 应立即通知财务副总裁所有法律程序的服务或任何新的, threatened or potential litigation matters or government investigations, audits or proceedings so that a litigation hold analysis may be conducted. In the event of a litigation hold, 大学将采取措施识别可能包含与案件相关文件的所有纸质和数字维护文件, including emails, 并将通知大学社区成员无限期地保存这些文件. 诉讼持有的指令取代了所有其他大学或单位特定的保留和处置指导.