Record Retention Policy

Introduction

Colleges and universities, like most businesses, generate a voluminous amount of paperwork. These reports, reviews, returns and registers are necessary, and without them colleges would be unable to function effectively. However, not all documents must be kept into perpetuity. Policies such as this Record Retention Policy are extremely effective, if properly enforced, and provide a suggested timetable for the maintenance and disposal of certain documents. The main goals of successful record retention policies are to create an organizational scheme that allows an institution to uniformly keep documents for as long they are needed, and to store the documents in a manner that is consistent and easily available. [1]

It has been suggested that organizations keep records as evidence of prior practices. This is particularly true in the context of higher education. It is necessary to develop a retention plan that recognizes the importance of certain documents as templates, but effectively eliminates them after they become obsolete. Record retention policies are also exceedingly important with respect to anticipated litigation. Retention policies are not intended to excuse the hasty destruction of damaging documents, but when disposal of documents is done in good faith and pursuant to a well­established scheme, courts will rarely find evidence of wrongdoing.

This Record Retention Policy is the result of a comprehensive assimilation of a variety of sources, including several record retention schedules, academic scholarship and federal regulations. It was developed in good faith for the purposes of providing an efficient scheme for effectively storing, maintaining and disposing of documents, meeting legal standards, and avoiding allegations of selective enforcement and defensive document destruction.

[1] John P. Hutchins, Document Retention Basics, PLI ORDER NO. 11253 657, 661 (2007).

 

Statement of Policy

Muhlenberg College recognizes the need for the orderly management and retrieval of all official records and a documented records retention and destruction schedule that acts in accordance with all state and federal laws and regulations. All official records (paper, electronic and any other media) will be retained for the periods stated in the Record Retention Schedules. After a specified period of time, official records will be disposed of in a manner that is consistent with 

prescribed records management procedures.  Muhlenberg College is committed to safeguard against the unauthorized  or accidental disclosure of confidential records and information. [2][3]

 

[2] Strict compliance with the College’s Electronic Communication Policy is required to prevent unauthorized or accidental disclosure of confidential records and information.  This Policy is attached for reference.
[3] v.3

 

Confidential Records

  1. The following types of records are absolutely confidential:
    • Individual education records of living students or former students, as defined by the Family Educational Rights and Privacy Act of 1974 (FERPA), 20 U.S.C. § 1232g, unless said records are exempt from FERPA non­disclosure provisions; b) Individual employment records of living current or former faculty members, administrators or other staff members, including records which concern hiring, appointment, promotion, tenure, salary, performance, termination or other circumstances of employment, unless the faculty member, administrator, or staff member grants access in writing;

    • Resources that include “protected health information” as the same is defined by the Health Insurance Portability and Accountability Act of 1966 (HIPAA), 42 U.S.C. § 1171 et seq, and regulations promulgated thereunder;

    • Other records where usage might constitute an invasion of privacy;
    • Use of records restricted by contact.
  2. The following types of records generally are treated as confidential:
    • Records of a sitting administration (See Board of Trustee Working Resolutions II. D.;
    • Records which might expose Muhlenberg College to legal liability.

 

Recommended Procedure for Confidential Destruction

  1. Retention Period.

    All documents, of all mediums, including paper and electronic, must be stored, transferred and destroyed according to the attached Retention Schedule. See Appendix “A,” Retention Schedule.  Electronic copies of paper documents must be stored, transferred and destroyed according to the same Retention Schedule as the original, paper versions.

  2. Suspension of Record Destruction in the Event of a Claim, Lawsuit, Government Investigation, Subpoena, Summons or Other Ongoing Matters.

    All documents, of all mediums, including paper and electronic, pertaining to pending or reasonably anticipated legal action or federal or state investigation are subject to a “LEGAL HOLD,” and must be retained according to the attached Litigation

    Document Retention Policy.  See Appendix “B,” Litigation Document Retention Policy.  These documents must not be destroyed, though it may have been otherwise rightful to do so under this Policy.  A “LEGAL HOLD,” and the documents it encompasses, will depend on the particular allegations of each case. Consequently, employees must immediately notify senior management officials of any pending or reasonably foreseeable claim or litigation.

  3. Safe and Secure Disposal.

    Once the retention period has passed, the records move toward disposition, or the records’ final state. If the Retention Schedule indicates that a document must be transferred to Archives, the documents should be boxed and transferred to storage. If the documents or records must be destroyed, apply the following.

    • Non­confidential records should be recycled;
    • Confidential records.
      • Paper Records containing confidential information should be shredded, pulverized or mashed so as to be completely destroyed and unable to be reconstructed;
      • Electronic or Machine­Readable Records containing electronically stored information (ESI) should be erased or destroyed.  IT personnel should be involved as to make certain that all server copies, backups etc. are fully destroyed. With regard to floppy disks and back­up tapes, it is recommended these storage devises be physically destroyed;
      • Films, audio and videotapes containing confidential information should also be physically destroyed, not simply thrown away. It is possible to overwrite audio and videotapes with other, non­confidential sound and images, but if this is done, it is recommended that it be done by an authorized member of the staff in the office of origin.

Retention Schedule (PDF)

Last Revised: 01/01/2010