University Policies and Procedures Manual

Contents

• 1.0   Overview and Purpose
• 2.0    Applicability
• 3.0    Roles and Responsibilities
  • 3.1    All Employees
  • 3.2    Departments
  • 3.3    Department Records Coordinators
  • 3.4    WSU Records Officer
• 4.0    Requirements
  • 4.1    Records Retention
  • 4.2    Records Disposition
  • 4.3    Requesting Changes to the WSU Records Retention Schedule
• 5.0    Resources and Related Policies

1.0     Overview and Purpose

Because WSU is a public agency, documents made or received in connection with the transaction of University business are public records. WSU maintains an effective records management program to:

• Meet business needs;
• Protect the privacy of faculty, staff, students, and WSU affiliates;
• Comply with legal standards;
• Optimize the use of space;
• Minimize the cost of retention; and
• Preserve the University’s history.

All public records must be retained for specific periods of time, then destroyed or sent for state archival assessment in an approved manner. Records retention schedules are state-approved documents that provide this information to state agencies and employees.

This policy establishes the requirements for how records are managed, securely retained, and disposed of or archived. 

2.0    Applicability

This policy applies to all of Washington State University. All WSU personnel are responsible for adhering to established records retention and disposition periods. See PRF Records Retention & Disposition for more information.

The Washington Secretary of State website maintains the list of all state-approved retention schedules. Applicable retention schedules are as follows:

1. Records series relating to the unique functions of Washington State University, listed on the WSU Records Retention Schedule;
2. Records series applying to all state government agencies, listed on the Washington State Government General Records Retention Schedule; and
3. Others, dependent on department or program (e.g., records series applying to WSU police departments, listed on the Law Enforcement Records Retention Schedule).

3.0    Roles and Responsibilities

3.1      All Employees

University employees are responsible for managing public records they create. This includes:

• Accessing and navigating applicable records retention schedules and related policies;
• Storing records in an accessible, authentic, and searchable manner for the required retention period
  • The storage method must allow applicable staff to continue to access the records in the case of an employee’s absence;
• Protecting records from damage and unauthorized access;
• Immediately reporting any damaged, lost, corrupted, or inappropriately accessed records to their Department Records Coordinator; and
• Attending relevant training and information sessions as needed to successfully follow current records management requirements.

3.2     Departments

Departments are responsible for ensuring their internal structures and processes encourage effective records management practices. This includes:

• Ensuring employees are trained and knowledgeable about records management, retention, and disposal requirements;
• Establishing and maintaining organizational practices that facilitate prompt compliance with requests for public records (see UPPM 90.05);
• Ensuring that imaging systems and electronic records storage locations comply with applicable state, federal, and WSU information security requirements;
• Ensuring records that contain sensitive and/or confidential information are securely stored and accessible only to authorized individuals;
• Designating and alerting a Department Records Coordinator, including communicating this designation with PRF; and
• Facilitating consistent lines of communication between the Department Records Coordinator and department staff.

3.3     Department Records Coordinators

Every department must have a designated Department Records Coordinator.

The designated Department Records Coordinator acts as liaison between their department and the WSU Records Officer in PRF. Their responsibilities include:

• Representing their department during revisions to the WSU retention schedule;
• Keeping abreast of updates to applicable records retention schedules and policies;
• Notifying department personnel about updates to applicable records retention schedules and policies;
• Ensuring department records information is documented in a way that is accessible to employees and future Department Records Coordinators;
• Assisting department personnel with records-related issues and questions;
• Facilitating contact between department personnel and PRF; and
• Completing comprehensive departmental records reviews biannually and essential department records reviews annually.

3.4     WSU Records Officer

Every Washington State agency is required to have a Records Officer. The WSU President designates a PRF employee as the WSU Records Officer. They are responsible for:

• Coordinating the University’s records management program among departments and statewide campuses;
• Updating the WSU records retention schedule;
• Supplying records retention and disposition resources, updates, and trainings to WSU personnel;
• Answering questions and providing guidance to Department Records Coordinators; and
• Acting as a liaison between WSU and the State Records Committee, including seeking guidance, approval of suggested records series changes, and publication of the official WSU Records Retention Schedule.

The WSU Records Officer has the authority to designate Department Records Coordinators as necessary.

See also RCW 40.14.040.

4.0   Requirements

4.1     Records Retention

Records are retained based on the content and function of the record, rather than the format or delivery method. University records must be securely maintained and remain usable, searchable, retrievable, and authentic for the entire retention period (see WAC 434-662-020 for relevant definitions).

Records retention schedules specify the retention periods for records series and when they may be destroyed or archived. Any records not covered by a state-approved records retention schedule must be retained permanently. (See the list of all state-approved retention schedules.)

See ITS digital storage for more information on digital storage management and WSU Surplus for general storage information.

Note: Public records created or held on personal devices or accounts are subject to the same access as those created or held on University-issued devices or accounts (see UPPM 87.10 for security considerations).

4.2     Records Disposition

Any destruction, digitization, or archival of records must be done in accordance with an approved records retention schedule and requirements set forth by the Washington Secretary of State (see WAC 434-640). In the case of a legal hold or public records request, records must be retained and cannot be disposed of or archived, even when the retention period is met.

Paper records may be scanned and retained digitally, with the hard copy disposed of, in accordance with state requirements.

See WAC 434-615-030 and the SOS list of archival transfer instructions for more information on transferring records to the state archives.

For questions regarding disposal options within WSU, see Waste Management and UPPM 87.72.

4.3     Requesting Changes to the WSU Records Retention Schedule

If changes to the WSU Records Retention Schedule are desired, the Department Records Coordinator contacts the WSU Records Officer in PRF. After relevant University review and approval, the WSU Records Officer submits the final schedule(s) to the state records committee for approval.

Instances that may necessitate changes to the retention schedule include:

• Any records series being maintained by the department that are not included in any records retention schedule;
• A records series that is no longer being created; or
• A record series no longer matches department procedures or needs.

5.0    Resources and Related Policies

UPPM 90.02 Archival Services

UPPM 90.12 Evidence Preservation

UPPM 90.15 Essential Records Protection

UPPM 90.21 Imaging University Records

ITS digital storage