EM:P09-02 HSU Policy to Implement the Systemwide Records/Information Retention and Disposition Schedule – Executive Order 1031

Purpose

Executive Order 1031 directs campuses to create and implement a campus policy for Records/Information Retention and Disposition. The objective of the executive order is to ensure campus compliance with legal and regulatory requirements while implementing appropriate operational practices and processes for Records/Information Retention. It is issued under the authority of Chapter III of the Standing Orders of the Board of Trustees, related policies adopted by the Board of Trustees, and Education Code section 89043.

Policy Implementation

The purpose of the HSU Records/Information Retention and Disposition policy is to improve operational efficiency and effectiveness while at the same time ensure that legal and regulatory requirements associated with the retention and disposition of HSU records/information are met. Records/information custodians are responsible for controlling the administration of records/information in all media forms and for valuing such records/information in accordance with retention authority requirements. The retention and disposition of records/information are to conform to standards set forth within retention and disposition schedules issued in conjunction with Executive Order 1031. The CSU series or schedules are not to be abridged or altered except to add specific guidance regarding the retention and disposition of unique, campus-specific records/information. Current schedules can be found at the Records/Information Retention and Disposition website www.calstate.edu/recordsretention/.

Campus Responsibility

For audit purposes only, the Director of Financial Services will maintain a file of the signed certificates (as described in section 9 below) received from the records/information custodians. These certificates will be provided to the Office of the Chancellor, upon request.

Below is a list of campus records/information custodians and their subject area. The custodians will be responsible for:

1. Assuring that their subject area is operating in compliance with the California State University Records/Information Retention and Disposition schedules
2. Identifying records/information that may have historic or vital value for their subject area
3. Ensuring that the designation of a vital record/information is consistent with the campus’ business continuity plans (per Executive Order 1014 www.calstate.edu/EO/EO-1014.html)
4. Establishing procedures regarding the modification of retention and disposition schedules, as needed, to incorporate records unique to their subject area
5. Continuing to secure records/information in accordance with applicable campus and CSU policy
6. Ensuring appropriate and timely disposal of records/information in accordance with retention and disposition schedule timeframes
7. Reviewing records/information as listed on the schedules to determine if they should be destroyed or maintained
8. Publishing their subject area Records/Information Retention and Disposition schedule
9. Certifying annually, by July 31, that their subject area Records/Information Retention and Disposition schedule is up to date and records are in compliance with the policy, by sending to the Director of Financial Services:
   1. a copy of the subject area Records/Information Retention and Disposition Schedule
   2. a signed copy of the Records/Information Retention and Disposition Schedule Certificate (see pdf)

Schedule Series – Custodian

See complete version of Executive Order 1031 at www.calstate.edu/eo/EO-1031.html