档案管理政策

负责人: 合规/风险管理

Records created in the course of 博天堂官方入口登陆登录’s academic and 行政 operations serve to support current 行政 needs, 符合法律要求, 为历史研究提供了丰富的资料来源. 因为学校没有一个集中的档案管理办公室, 各单位(办公室或部门)负责保留, disposal, 以及传输它生成的记录.

本文件的目的是:

• 建立博天堂官方入口登陆登录档案管理制度;
• define key concepts specific to the policy; and
• describe a framework for implementing this policy through a records management program.

This policy applies to all records created at 博天堂官方入口登陆登录 during the course of its educational and other activities. Records created by employees of 博天堂官方入口登陆登录 (staff and faculty) in the normal course of business are the property of 博天堂官方入口登陆登录. For faculty, these include records that are created or received in the conduct of student advising, grading, 委员会工作, 或项目或部门管理. 教员在教学过程中创造或接收的记录, research, or professional activities are not University records and are therefore excluded from this policy.

博天堂官方入口登陆登录致力于满足其行政要求, fiscal, and legal obligations by systematically managing the records created in the course of the University’s academic and 行政 operations. The management of records includes appropriate practices for creating and organizing those records, effective retention of those records determined to have permanent or enduring value, and proper destruction of those records determined to have no permanent or enduring value once operational needs and legal requirements have been met.

This policy and relevant materials developed as part of the records management program, 包括程序指引, will be made available to members of the 博天堂官方入口登陆登录 community for their ongoing reference.

记录通常被定义为创建的信息, received, 由某一组织或个人作为证据或资料保存的, 履行法律义务或在商业交易中. 在大学环境中, records consist of recorded information that is created or received by University employees in the course of performing official functions on behalf of the University. Records are defined by content rather than by format and thus include those that are paper, analog, electronic, 或者可以从中检索信息的任何其他格式. 记录包括, 但不限于, 大学官方刊物(包括网页), fiscal data, 通信(包括电子邮件), 会议记录, reports, 学习成绩, 以及员工档案.

Active records are those that are frequently referred to or that are needed to support the current business activity of a unit.

Inactive records are records that have not been needed for at least one year or for which the active period has passed. Inactive records should be securely stored until the end of the designated retention period. Unless these records have been defined as permanent records they should be destroyed after the designated retention period has elapsed.

永久记录(或档案记录)是具有持久历史意义的记录, 行政, or research value to the University and which the University retains indefinitely.

保留计划是描述记录类型的文件, 提供它们应该保存的时间长度, 还包括处置指示. 威斯康星州和联邦法律, 专业最佳实践, 以及运营需求 may determine the period that certain records must be kept.

每个单位负责管理其记录从创建到处置. 经上级批准, 单位可以与商业供应商签订记录存储合同, imaging, and destruction services; however, 他们仍然对妥善管理他们的记录负有最终责任. 每个单位应指定至少一名记录协调员, 适当的, 负责:了解本单位创建的记录, 这些记录保存在哪里, 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, and assisting in the preservation and retrieval of records of the unit subject to a litigation hold.

All employees of 博天堂官方入口登陆登录 are responsible for managing and maintaining the records they create in compliance with this policy and the records management program developed by the University.

创造记录

All University units must create records that accurately document their core functions and activities.

记录保留和存储期限

University Counsel will work with University units to develop records retention schedules according to federal and state laws and regulations, 专业最佳实践, 以及运营需求. 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.

所有单位必须把他们的记录存放在保险箱里, stable, 和安全的方式，支持他们的及时, accurate and cost-effective retrieval and applies appropriate controls on their accessibility.

记录处理

All units must destroy University records scheduled for destruction in accordance with the appropriate records retention schedules. This will often necessitate confidential destruction, through shredding or deletion. All units must maintain documentation of records destroyed in accordance with retention schedules.

诉讼将

Circumstances may arise that require the immediate suspension of document disposal routines and activities and require the preservation of records beyond these time periods set forth in University record retention schedules. The Vice President for Finance should be notified immediately of all service of legal process or of any new, 威胁或潜在的诉讼事项或政府调查, 审计或诉讼，以便进行诉讼hold分析. 如果发生诉讼，请暂停, the University will take steps to identify all paper and digitally maintained files that may contain documents relevant to the case, 包括电子邮件, and will notify members of the University community to preserve such documents indefinitely. The directives in a litigation hold supersede all other University or unit-specific retention and disposal guidance.