Overview

1. In keeping with sound business practices, UC ANR creates, gathers, and maintains operational and historic records of its activities.  UC has established the Records Management Program to ensure that UC records are appropriately created, managed and preserved, and retrievable when needed.  Security and privacy of records and their appropriate disposition must also meet regulatory and policy requirements to assure the protection of the information.
2. This program provides guidelines for the retention and management of UC records and disposition of records when they are no longer pertinent to UC operations or do not have historic value. The Records Management Program develops and evaluates records disposition schedules for both paper and electronic records systems.
3. The UC ANR Vice President has assigned responsibility for coordination of the Records Management Program at UC ANR to the Controller's Office which is responsible for the development, coordination, implementation, and management of the program.
4. The Controller's Office works with and advises UC ANR representatives on a wide range of record-related issues including vital records, form development, record systems design and implementation, and review of adequate controls to comply with legal and regulatory requirements.  This also includes the development and maintenance of retention schedules specific to UC ANR, conveying concerns and issues to the systemwide committee, and reporting periodically on the status of the program.

Principles

1. All employees at UC ANR who handle administrative records are required to understand and follow applicable policies and laws.  Administrative records may appear in a variety of formats, including paper and electronic.
2. Administrative officials are responsible for ensuring that the following roles and responsibilities for records management are being performed.

• Record proprietors determine which records will be created, gathered, and maintained, and produce records for audit and other purposes. Record proprietors may be the manager of an operational unit. For large enterprise record repositories or multiple record filing systems, there may be more than one proprietor.
• Record custodians maintain, secure, and care for records in accordance with UC Records Management Program guidelines designated by the record proprietor. This custodian is the manager of the unit.  In some cases, the record proprietor and record custodian may be the same person, or there may be more than one custodian.

Resources and background information

• UC Office of the President Business and Finance Bulletin, RPM-1, Records Management Program
• UC Office of the President Business and Finance Bulletin, RPM-2, Records Retention and Disposition
• UC Office of the President Records Retention Schedule

For more information contact the Policies, Compliance, and Programmatic Agreements Director.