Records and Information Management Policy

Policy Introduction

Syracuse University is committed to effective records and information management that includes meeting operational needs and legal requirements for retention, privacy protection, minimizing the cost of legal discovery, and timely disposition of obsolete records.

Whom This Policy Applies

The Records and Information Management Policy applies to all Syracuse University faculty and staff members.

All records created or received during the normal course of University business are subject to this policy. All University personnel who have access to or use records are responsible for ensuring that records are generated, used, maintained, and destroyed in accordance with this policy and the Records Retention Schedule.

Policy Principles

1. All University personnel must adhere to all Federal and state privacy laws and regulations in addition to the Records Retention Scheduled outlined below.
2. Records Retention Schedule
1. The Records Retention Schedule applies to all records produced, created, and used by the University, regardless of medium, form or storage location.
2. Retaining records longer than the Record Retention Schedule authorizes, or disposing of records prematurely, can cause legal and fiscal liabilities and is strictly forbidden.
3. The Records Retention Schedule is developed in conjunction with departments, maintained by University Records Management, and is approved by University Counsel. Retention periods are consistent with applicable legal, regulatory, accreditation and other standards, including administrative and best practices.
3. When notified of impending legal action, reasonable steps must be taken to identify and preserve all hard-copy and electronically stored records and information that may be relevant to the matter.
4. Disposition
1. All University records must be disposed of according to the Records Retention Schedule, regardless of medium, form, or storage location.
2. Records subject to a Preservation Hold must be retained and cannot be destroyed until the Preservation Hold is lifted.
3. Non-Records may be destroyed or disposed of upon completion of their use.
4. Disposition can include destruction or transfer to the University Archives for historic preservation.
5. Storage
1. To the fullest extent possible, records should be stored in shared locations to ensure continuity of business and access by all related personnel.
2. Inactive University records may be stored in the University Records Center which offers departments a secure centralized storage facility.
3. If space is available, inactive records may be stored securely in departmental offices, these records are still subject to the Records Retention Schedule and must be retained for the period of time specified.

Responsibilities

1. University Records Management
1. Provides guidance and training for managing University records.
2. Maintain and update the University Records Retention Schedule.
3. Facilitate or advise departments on disposition of records in accordance with the University Records Retention Schedule.
4. Assists with inventorying of offices and department files and analyzes office record keeping systems.
5. Assists University Counsel with any legal discovery and preservation holds.
6. Assists in the preparation for and protection of University records in the event of a disaster.
7. This policy will be reviewed annually by University Records Management.
2. University Management
1. Ensures compliance of all subordinate units with storage, retention and destruction requirements set forth in this policy.
3. Department, college, school, or academic unit
1. Must manage records, whether maintained in the office area, on University owned or vendor provided systems, or stored in the University Records Center, in accordance with University policy, the Records Retention Schedule and in compliance with applicable federal and state laws.
2. Ensures that sensitive or confidential information is protected from unauthorized disclosure until final disposition and that such records are destroyed by a means that prohibits reconstruction of the information.
3. Prior to disposition, verifies there are no audits, subpoenas, current or anticipated investigations, or pending legal actions that would prohibit the destruction of the records, even if the scheduled retention period has expired.

Record Retention

This policy sets record retention authority and requirements. The University Record Retention is available here.

Compliance

The Office of Internal Audit, Office of Compliance, the Responsible Office of this policy, and others may audit, investigate, and assess compliance with this policy. Non-compliance with University policies is addressed in accordance with applicable policies and procedures and is subject to progressive disciplinary action up to, and including, termination.

Related University Policies and Resources

University Records Retention Schedule
Destruction Guidelines
University Records Management Forms
Syracuse University Information Technology Policies

Definitions

Policy Administration and Responsible Office

Responsible Executive

Office of University Counsel

Revision History

June 2003 – Original Issue
May 2007 – Previous Revision(s)
September 2026 – Current Version Approved