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Operations Manual The University of Iowa

PART V. ADMINISTRATIVE, FINANCIAL, AND FACILITIES POLICIES

CHAPTER 17: RECORDS MANAGEMENT

(9/97; 9/98; 9/12; 9/14)

Effective September 2014, this policy has been revised. For individual changes, see the redlined version.

17.1 General
17.2 Policy
17.3 Definition and Identification of Records
17.4 Records Management and Retention Schedule
17.5 Disposal of Records
17.6 University of Iowa Resources

17.1 GENERAL.
The University of Iowa is required by law to develop internal rules for the economical, efficient, and systematic management of its records. Accordingly, the University has established the following Records Management Policy and Records Management Program and Retention Schedule to maintain, protect, and retain or dispose of records in accordance with legal, historical, and reference needs. As such, this policy implements the requirements of the Iowa Administrative Procedure Act (Iowa Code 17A.1) and Board of Regents Rules (Iowa Administrative Code 681-10).

17.2 POLICY.
Records are the property of the state and shall not be mutilated, destroyed, removed, or disposed of, except as provided by law, rule, or policy. Records should be archived or disposed of in accordance with University disposal requirements after the retention period, subject to the exceptions stated in this policy regarding retention for audit and litigation purposes. All University of Iowa faculty and staff have responsibility for identifying and retaining records in accordance with established records retention criteria (outlined in the Records Management Program and Retention Schedule).

The University of Iowa Secretary, appointed annually by the Board of Regents, State of Iowa, according to the Iowa Code 262.9, or designee, in consultation with other University administrators as appropriate, shall have the authority and duty to implement, administer, and update this policy as necessary.

17.3 DEFINITION AND IDENTIFICATION OF RECORDS.
Records are anything containing information which is made, produced, executed, or received in connection with the transactions and official activities of the University or executed in the conduct of University business, including research, teaching, service, and administration. Examples include documents, books, paper, electronic records, photographs, videos, sound recordings, databases, and other data compilations that are used for multiple purposes, or other material, regardless of physical form or characteristics.

Records can be divided into two categories: 1) Official, and 2) Transitory/Convenience.

17.4 RECORDS MANAGEMENT PROGRAM AND RETENTION SCHEDULE.
The Records Management Program and Retention Schedule are designed to assure that official records will be preserved appropriately while providing economy and efficiency in the creation, organization, maintenance, use, and disposition of records.

The Records Management Program and Retention Schedule include:

17.5 DISPOSAL OF RECORDS.
"Disposal" refers to the disposal of the record whether by physical destruction or transfer to the University Archives at the end of its retention period.

17.6 UNIVERSITY OF IOWA RESOURCES.

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Page last updated September 2014 by Office of the Senior Vice President for Finance and Operations