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RMP-4, Vital Records ProtectionJuly 1, 1987
I. REFERENCES
A. Business and Finance Bulletin RMP-1, "University Records
Management Program."
B. Business and Finance Bulletin RMP-2, "Records Disposition
Program and Procedures."
C. University of California Records Disposition Schedules Manual.
II. INTRODUCTION AND DEFINITION OF VITAL RECORDS
One part of the total University Records Management Program is the
identification and protection of vital records. A record is vital
when the re-establishment of an authentic replacement of a lost or
unavailable record would be impossible or prohibitively difficult
and, thus, abridge, jeopardize, or otherwise affect a significant
right of an individual, a significant right or asset of the
University, or the performance of an essential function of the
University so adversely that extraordinary precautions are required
to preserve and protect effectively that record from both normal and
unusual hazards, present and potential.
III. PURPOSE
The purpose of this Bulletin is to establish the guidelines whereby
the University will be assured of the protection of its vital
records through:
A. Establishment of criteria for identification of vital records.
B. Selection of secure and economical methods of protection.
C. Continuing review and re-appraisal of records to discover
changing conditions and requirements for protection.
Adherence to these guidelines should ensure that vital records of
the University are reasonably protected as far as is economically
possible from such hazards as fire, flood, and vandalism.
IV. CRITERIA FOR IDENTIFICATION OF VITAL RECORDS
There are two kinds of University records which are classified as
vital:
A. Records which are essential to the protection of the rights of
individuals.
B. Records which are essential to the protection of the
University's rights, assets, and/or the execution of its public
(contractual) obligations.
Examples of the first type of vital records are current payroll
records necessary to pay employees, master student academic records
necessary to show completion of course work, and the employee
service records required for protection of tenure and retirement
status.
The second type of vital records is exemplified by drawings and
specifications required to repair and maintain the University's
facilities; records necessary to establish University ownership of
buildings, equipment, and land; patent license agreements; and
promissory notes and evidence of other receivables.
Exact identification of a particular record as vital can be
accomplished only on a judgmental basis. The owners or users of the
record are most able to apply such judgment, using criteria IV.A and
B., above. However, the number of truly vital records should be
very small in relation to total records held in any one department.
It is estimated that less than one percent of all records held by
the University can be clearly identified as vital. Some departments
and offices may have more than one percent and others may have none
at all.
Many types of records are of great importance but not of vital
importance. Such records require much effort and expense to
reconstruct, if lost, or have intrinsic historical value. The vital
records program does not involve those important records, although the
standards and methods of protection outlined in this Bulletin may well
be applied by any department to them to the degree that the values,
risks, and available resources for protection make such protection
appropriate.
V. PRE-IDENTIFIED VITAL RECORDS
This Bulletin identifies those records held by the University which
have been determined to be vital. For ease of reference, those records
are also annotated in the Records Disposition Schedules Manual; the
symbol (V) after the Office of Record indicates a vital record.
Office of the President Records Campus Records
Endowments, Gift, Bequest Files As-built Drawings
Patent License Agreements and Equipment Inventory Records
Financial Records
General Ledger (GL060) *
Promissory Notes - Benefits Loans (including Manual of Accounts)
Program
Gift and Other Donation Files, by
Promissory Notes & Deeds of Donor
Trust - Faculty Housing
Program Library Card Catalog and Shelf
List
Royalty Agreements - U.C. Press
Ownership Records of Vehicles,
UCRS Member Records Vessels, and Other Major Assets
Patient Medical Records
Payroll Records
Employee Folders, Accounting
Office Payroll Division
Employee Records, Personnel
Department
Health Plan and Life Insurance
Enrollment, Change and
Cancellation (Form U1630)
Master Payroll Files
(see Attachment A)
Promissory Notes and Evidence of
Other Receivables
Student Grade Record Card
(including University Extension)
* For all numerical and alphabetical codes maintained on campus.
Departments holding master copies of those pre-identified records have
the responsibility to ensure they are protected in accordance with the
guidelines outlined in this Bulletin.
This list of pre-identified vital records is not intended to be
all-encompassing, for additional vital records may be identified by
departments under Section IV. Records held by any of the Offices of
The Regents, and evaluated by them to be vital, are not included on
this list, but are so designated in the University Records
Disposition Schedules Manual.
VI. SELECTION OF METHODS OF PROTECTION
A. The most important factor guiding the selection of a method of
protection for vital records is the ratio of the effectiveness
of the protection method to the cost of that protection. Since
it is possible to attain no more than relative security, the
best choice is the one for which the cost of security is most
closely in line with the degree of risk. Beyond the evaluation
of actual risks of loss for vital records, three other factors
have a measure of importance in the selection of protection
methods:
1. Need for accessibility. Vital records which must be close
at hand and available for use at all times may require
different methods of protection from those records
infrequently used.
2. Length of retention. The best methods for protecting
vital records of a short-term nature may be different from
those methods best for long-term or permanent records.
3. Physical qualities of records. Susceptibility of records
to destruction from heat, water, chemicals, and aging
varies with both the record medium and the duration of
retention. Magnetic tape and film often require different
protection from that needed for paper documents. Paper
itself varies greatly in its ability to withstand aging.
B. Six methods of records protection are reviewed below. More
than one of those methods can be used to protect a given vital
record series. It is not uncommon to protect the active portion of
a series through the preservation of existing duplicates while
protecting the inactive portion through other means. Methods 5 and
6 should be considered secondary methods of records protection.
For instance, if it is not feasible to implement methods 1, 2, 3,
or 4 for reasons of economics, method 5 or 6 should be used to
provide at least a minimum level of protection.
1. Preservation of existing duplicate copies at another
location. Many records already have a form of "natural
protection" because of the regular paperwork routine. If
such duplicates exist for a vital record series, the
preservation of those duplicates is a very effective
protection. The likelihood of both copies being destroyed at
any one time is extremely low. This method is equally
effective for long- and short-term retention, durable or
fragile records, and high- or low-access requirements.
2. Creation of special duplicate copies for preservation at
another location. Special, duplicate "security" copies of
many University records series are now being created.
Methods of creating those copies range from direct reproduction
on copying machines to microfilming, duplication of magnetic
tapes, and production of special "protection" carbon copies at
the time of original typing. This kind of protection is as
effective in all ways as the first method described. However,
the cost of creating duplicate copies is relatively high.
3. Preservation of source records which would be used to
reconstruct vital records. In many cases documents which
are sources for vital records are held by the University
or by another agency. If such sources can be identified
and agreements made on holding them for the length of time
protection is required, this method of protection can be
nearly as effective for all situations as the first two.
Effectiveness is reduced only slightly because several
source document series may be involved, any one of which
might be destroyed. The overall cost of this method may
be higher than the first method, because larger volumes of
source records must be retained for longer periods than
would ordinarily be the case. However, the net cost of
this method will usually be much less than the cost of
creating special duplicate security copies.
4. Storage in special equipment such as fire resistant
cabinets, safes, or vaults. Original and unique copies of
vital records can be protected from most hazards through
the use of special storage equipment. While the
protection thus obtained is not absolute, its relative
effectiveness is only slightly lower than the first three
methods. However, of all protection methods, the use of
special storage equipment is usually the most costly.
This method should be considered only when the other
methods are physically not feasible.
5. Removal of hazardous conditions from area of storage. By
removing unnecessary hazards such as combustible materials
and steam or water pipes and by eliminating undesirable
conditions such as air-borne chemicals and extremes of
heat or humidity, a relative improvement can be achieved
in protection of records. Since the effectiveness of this
method is low, it should be considered only when other
methods are economically unfeasible.
6. Relocation of records to a less hazardous area. Because
of differences in construction, some University buildings
are less hazardous for records storage than others. The
effectiveness of relocation as a method of protection can
be equal to or slightly better than that for removal of
hazardous conditions. Cost will be equally low or lower.
However, when requirements exist for frequent access to
the records, this method may prove unfeasible. If
relocation is considered, the campus Records Coordinator
should be consulted to determine the relative safety of
various storage places.
VII. RESPONSIBILITIES
A. Departments and Offices
The individual department is responsible for reviewing its
records in relation to the guidelines set forth in this
Bulletin, identifying by title those records which are vital,
and advising the Records Management Coordinator at that
location of the identity of the vital record and the type of
protection given to it. Reporting on vital records, as
identified in Section V, is mandatory. In cases where
protection is not provided for any vital record, a short
explanation should be provided to the Records Management
Coordinator.
B. Records Management Coordinators
Each Records Management Coordinator is responsible for
coordinating the Vital Records Protection Program at his/her
location and for reporting the status of the program to the
Chair of the Records Management Committee.
C. Chair of the Records Management Committee
The Chair of the Records Management Committee is responsible
for the overall management and review of the Vital Records
Protection Program. The Chair will prescribe the required
frequencies of vital records reports, which will be not less
than once every five years.
Attachment A
RETENTION PERIOD FOR PAYROLL FILES
PRODUCED CYCLE/ RETENTION
FILE BY FREQUENCY GUIDELINE MEDIUM COMMENTS
PAR PP420 PER Compute 1 month Tape
Sort for
CONSOLIDATED PAR PPP520 Monthly 3 months Tape
CUM YTD PAR PPP460 Yearly 10 years Tape VITAL
RESTORE PPPI20 PER File Maint 1 cycle Tape
RESTORE PPPI20 Monthly Maint 1 month Tape VITAL
RESTORE PPPI20 Quarterly Maint 3 months Tape VITAL
RESTORE PPP120 Yearly Maint 10 years Tape VITAL
PR601 PPP720 Monthly 3 years Tape
PR201 PPP720 Monthly 3 years Tape
PR603 PPP720 Monthly 3 years Tape
CHECK RECONCILE PPP420 PER Compute 1 month Tape
EDW PPP520 Monthly 3 years Tape
On the same
FICA PPP600 Yearly 10 years Tape tape as tax
& wages (WL)
VITAL
UNEMPLOYMENT INSUR. PPP600 Quarterly 3 months Tape
TAX & WAGES (W2) PPP600 Yearly 10 years Tape VITAL
RETIREMENT PPP730 Monthly 3 months Tape
RETIREMENT PPP740 Monthly 3 months Tape
G/L TRANS PPP530 Monthly 3 months Tape
HEALTH/DENTAL PPP490 Monthly 2 months Tape
CARRIERS
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