Ohio Administrative Code › Title 3337 - Ohio University › Chapter 3337-93 - Policy on Data Classification and Record Management › Section 3337-93-02 - Records management and archiving

Current through all regulations passed and filed through July 1, 2024
The version of this rule that includes
				live links to associated resources is online at
https://www.ohio.edu/policy/93-002.html
(A)
								Overview
This policy establishes general
				guidelines and procedures by which to assure economy and efficiency in the
				identification, retention, retrieval, preservation, and destruction of
				university records in compliance with state and federal
				regulations.
(B)
								Authority and history
According to division (B) of section
				149.33
									
									of the Revised
				Code, the boards of trustees of state-supported institutions of higher
				education shall have full responsibility for establishing and administering
				records programs for their respective institutions. The boards shall apply
				efficient and economical management methods to the creation, utilization,
				maintenance, retention, preservation, and disposition of the records of their
				respective institutions.
Resolution 1992-1218 of the Ohio
				university board of trustees empowers the president of the university to
				appoint a standing university records committee "which shall be responsible for
				actions regarding the university's records management policies and procedures."
				The same resolution authorized a "university-wide records management policy
				which shall oversee the creation, maintenance, and disposition of all records
				in units and sub-units of the university."
In keeping with that resolution, the
				university records committee has directed "provision for the equipping and
				professional staffing of the records management office." which, it charged,
				"shall monitor the creation, maintenance, and disposition of university records
				throughout the system."
Each planning unit head, or his or her
				designee, who oversees custody of university records is. therefore, responsible
				for consulting the university archivist and records manager to establish and
				maintain compliance with current records retention guidelines specific to
				records that are created or received by their office.
The university records committee also
				recognized the Ohio university archives "as the official repository for Ohio
				university records of enduring and permanent value." and the committee
				established a records storage facility "to hold records during their inactive
				phase, prior to disposal or transfer to the archives."
(C)
								Definitions and
			 legal requirements
University records and public access to
				them are defined and explained under policy 40.007.
All questions about laws related to
				public requests for access to university records should be directed to the
				university's office of legal affairs.
(D)
								Records retention
			 manual
The manual titled "Records Retention
				for Public Colleges and Universities in Ohio," represents the work of a special
				committee of the inter-university council of Ohio in consultation with an
				international records specialist. This manual shall be used by the university
				records manager as the basic guideline for determining the legal retention
				periods for university records. If, in the future, the inter-university council
				of Ohio updates the most recent records retention manual or creates or adopts a
				different manual, such new manual shall be used by the university records
				manager for determining legal retention periods for university
				records.
(E)
								Process
The establishment of a centralized
				records management office is necessary to ensure the university's consistent
				compliance with state and federal records retention requirements and to
				facilitate removal, storage, and destruction or preservation of university
				records. Therefore, the person designated as the university records manager,
				guided by the recommendations of the records retention manual, is authorized by
				the Ohio university board of trustees to determine the disposition of
				university records. Issues of the disposition of university records and
				subsequent removal, storage, and destruction or preservation of those records
				shall be determined in the manner established by parts (F) to (L) of this
				policy.
(F)
								University records committee
The university records committee serves
				two roles: it provides specific oversight for this policy and it is the policy
				area committee ("PAC") for data handling, including university data
				classification according to sensitivity. Other policies (in preparation) will
				address the general role of information technology PACs and the other specific
				roles of this committee.
The university records committee is a
				standing committee, and so will be staffed through the committee on committees
				process. The committee will be chaired by the chief information officer. It
				will include the university records manager and the following people (or
				someone designated by each of them):
(1)
									Vice president
			 for advancement
(2)
									Vice president for research and creative
			 activities
(3)
									General counsel (advisory)
(4)
									Chief human
			 resource officer
(5)
									Information security manager
(6)
									Dean of the
			 heritage college of osteopathic medicine
(7)
									University
			 registrar
(8)
									Controller
(9)
									Chief audit
			 executive (advisory)
(10)
									Chief marketing officer
(11)
									Director of
			 government relations
(12)
									Executive dean of regional campuse
(13)
									Assistant vice
			 president for safety and risk management
(14)
									Associate
			 provost for institutional research and effectiveness
The committee shall seek advice from
				and provide advice to the university records manager; provide interpretation of
				this policy, as needed; recommend changes to this policy, as needed; review and
				provide feedback on the electronic records guidelines published by the office
				of information technology (see part (L) of this policy); and identify other
				opportunities to improve the handling of university records.