---

For any questions please send e-mail to: NDSU.Policy.Manual@ndsu.edu

---

SECTION 713: RECORDS MANAGEMENT

SOURCE: NDSU President, NDCC 12.1-11-05, NDCC 44-04-18, NDCC 54-46, NDCC 55-02.1-05

1. This policy has been adopted in response to state and federal laws; as best management practices to limit liability and increase information security; to preserve vital information; and to save storage space and improve access.
2. The objective of the Records Management Program is to assist University departments in managing their records throughout the entire record life cycle; from creation or receipt, through the use and maintenance stage, until final disposition. As a state institution, various records produced in the daily course of business at NDSU are subject to state and federal laws/regulations, including access restrictions, retention and disposal.
3. The North Dakota Century Code (NDCC 54-46-02) defines a record as a "document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business." A "state record" is further define as "A record of a department, office, commission, board, or other agency, however designated, of the state government."
4. The NDSU record retention schedule defines the NDSU "state records" managed under this policy. Groups of similar records are defined as a "record series". There are several hundred record series descriptions in the retention schedule.

4.1

Examples of some items that are considered to be state records include but are not limited to payroll records, personnel files, annual reports, contracts, project files, grade books, student work that is not returned and affects decisions regarding the student, invoices, equipment maintenance logs, computer system log files, research journals (lab books), research and grant proposals, equipment maintenance records, meeting minutes, master copies of exams and course handouts.

4.2

Examples of some items not considered as state records include but are not limited to library and museum materials used for reference; student items including but not necessarily limited to homework, tests, quizzes, term papers and minor projects that are graded and returned to the student; drafts used to produce a final product; magazines you subscribe to as a member of an organization; and extra copies of documents retained only for convenience of reference.

5. NDSU Audit and Advisory Services is responsible for coordinating the records management program at NDSU with the assistance of unit records coordinators (appointed by unit administrators). To assure compliance with all regulatory agencies as well the records retention program, NDSU Audit and Advisory Services may be contacted (NDSU.recordsmanagement@ndsu.edu).
6. Changes to the NDSU record retention schedule must be approved by the state Records Management Task Force that includes members from the Office of Attorney General, State Auditor, State Archivist, and the State Records Administrator. The program is managed by the Records Management group of the state Information Technology Department.
7. A campus Records Management Coordination Committee is responsible for working with the NDSU records management coordinator to suggest and coordinate changes in the NDSU record retention schedule with the state Records Management Task Force; propose changes to policy; make changes in procedures; and make departments aware of an provide training on policies and procedures. The committee shall be responsible for developing their own operating procedures, organization, and term lengths.

7.1

Members of the Records Management Coordination Committee shall be:

• Two faculty members appointed by the University Senate Executive Committee
• Two unit records coordinators appointed by the Staff Senate Executive Committee
• The university vices presidents or their designees
• An archivist from the Institute for Regional Studies & University Archives
• The university general counsel or designee
• The NDSU Records Management Coordinator, Chair

8. The NDSU Institute for Regional Studies & University Archives is the official depository for all NDSU records determined to have archival value, pursuant to NDCC 55-02.1-05, so designated by the State Archivist of North Dakota, dated November 29, 2007.
9. Detailed procedures and instructions for compliance, the official NDSU records retention schedule detailing retention periods and disposal methods, and answers to frequently asked questions are available at the NDSU Records Management Web site.

 

Last updated: August 20, 1996; January 22, 2002; June 11, 2007, August 1, 2007, September 2007, November 2008