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University of Connecticut University Libraries Archives & Special Collections at the Thomas J. Dodd Research Center

Records Management


Policies


As a state agency, documents received or created by University employees, acting in their roles as University employees, are considered state records. State records may only be disposed of after specific retention periods have been met and permission has been received from the Connecticut State Library.

Definition of a Record


Record --Public records are defined in General Statutes Section 1-200(5) as: "any recorded data or information relating to the conduct of the public's business--prepared, owned, used, recieved, or retained by a public agency, whether such data or information be handwritten, typed, tape-recorded, printed, photostatted, photographed, or recorded by any other method."

Non-Record --The above definition is very broad. The physical characteristics of non-record materials are the same as record materials. The differences between a non-record and a record are the reasons for keeping the information and how the information is used. Now, more and more information is kept in a non-paper format. When you examine the records kept by an office, you may find that information is kept in marchine-readable format as well as hard copy. Employees are responsible for distinguishing between the record and the non-record copy.

The (non-record) examples listed below can be used to distinguish records from non-record items:

  • Extra copies kept only for convenience.
  • Informational copies of correspondence and other papers on which no documented administrative action is taken.
  • Duplicate copies of documents maintained in the same file.
  • Requests from the public for basic information such as manuals and forms that do not have any administrative retention requirements.
  • Transmittal letters that do not add information to that contained in the transmitted material.
  • Reproduced or published material received from other offices which requires no action and is not required for documentary purposes. The originating agency is required to maintain the record copy.
  • Catalogs, trade journals, and other publications or papers received which require no action and are not part of a case upon which foreseeable action will be taken.
  • Library or museum material collected for informational or exhibition purposes.
  • Stocks of publications, forms, or other printed documents which become obsolete or outdated due to revision. The originating agency should maintain a record copy.
  • Working papers, preliminary drafts, or other material summarized in final or other form and which have no value once action has been taken.

Record series --A group of similar or related records that are normally used and filed as a unit and can be evaluated as a unit for determinig the record retention period. All of the records that make up a record series must have the same retention periods. You cannot break up a record series into individual records and give each record a different retention period.

Records Retention Schedule --A comprehensive list of record series which indicates for each series the length of time it is to be maintained until it is reviewed for destruction or archival retention. It also indicates retention in active and inactive storage areas.

[Records Management Manual: Statutes, Policies, and Procedures for Connecticut State Agencies. Hartford, CT: Connecticut State Library, 1999. Pages 3-4]


Disposition of State records


State records may only be disposed of after the approved retention period has expired and the completed Disposal request authorization form has been signed and returned to the responsible University office or department.


Retention of State records

The Public Records Administration of the Connecticut State Library is responsible for establishing the required minimum retention periods of state records. As a state agency, the University of Connecticut complies with the Schedules for Connecticut State Agencies.



Storage, Transfer and Destruction of State records

University departments that must be retain state records for a set length of time, as determined by the Connecticut State Library, have several options available to them. Restrictions vary for each of the storage options listed, please read carefully and contact the appropriate offices before making any decisions.

  • On site [within the office/department] storage
  • Off site [on or off campus, with multiple levels of service] storage
  • University Archives

On Site Storage

University offices and departments may choose to store non-current records within the department until the retention period has expired before requesting permission to dispose. Departments wishing to retain direct control of their records in this fashion are strongly recommended to actively participate in the University's Records Management Program to keep the space requirements for storage to a minimum. Contact Betsy Pittman for further information about the Records Management Program.


Off Site Storage

University offices/departments have two options for off site storage of non-current records. The University's Central Stores provides storage services, for a fee, within the warehouse building. Please contact Central Stores for further information on services and fees. The University also has a contract with a vendor for off site storage and associated services. Please contact Betsy Pittman for further information on services and fees.

Shredding is available for Confidential records by Central Stores staff. Once destruction has been approved, requests are made with the submission of a Shredding Service Request Form to Central Stores.


University Archives

All University records identified designated as having significant value to the institution and having a retention period of "permanent" are eligible to be transferred to the University Archives. Documents with a retention period of less than "permanent" are not eligible for transfer to or storage in the Archives. The form to document this process must be complete, accompany the materials being transferred and the time/date of delivery scheduled with the University Archivist. Please contact Betsy Pittman (860.486.4507) with any questions.

 

Strategic Plan for Electronic Records

The University received a grant in to develop a strategic plan for its electronic records. Although only portions have been implemented, the plan is a significant planning tool and reference for the creation, use, storage and long term preservation of the University's electronic archival records.



This page is maintained by B. Pittman