INTRODUCTION

This policy provides for the systematic review, retention, and disposition of documents and records received, created, or maintained by the University in connection with University business. The policy contains a schedule for how long certain documents should be retained and how they should be disposed of (unless they are under a legal or other similar investigation, or are otherwise subject to a litigation hold). This policy is designed

• to preserve the history of Trinity University,
• to ensure adequate documentation in the event of litigation or an administrative agency charge,
• to enhance compliance with federal and state laws and regulations,
• to eliminate accidental or innocent destruction of records, and
• to facilitate the University’s operations by promoting efficiency and freeing‐up valuable storage space.

This policy applies to all employees who manage University Records. This policy also applies to all outside vendors or volunteers whose work, or services for the University, requires the management of University Records.

DEFINITIONS

Records or Documents – Records are information fixed in any media and include but are not limited to the following formats: paper and electronic documents, audio and video recordings, databases, emails and/or text messages.

Unofficial Records – Unofficial Records are not subject to this policy. Unofficial records are:

• Private or personal documents that are not created or received in the course of the University’s business;
• Extra copies of Official Records. For example, for each official policy, there will be copies of this policy distributed to employees. Any copies are not Official Records.
• Faculty records created or received in the course of faculty research or professional activities, such as interview or survey results, databases, or manuscript materials are not Official Records. Note that Records created or received by faculty in the course of teaching, advising, committee work, research administration or program, department or institution administration are Official Records under this policy.

Official Records – Official Records are Records that are created or received in any format in the course of the University’s business. Official Records are the property of the University and must be maintained, preserved or destroyed in accordance with this policy. Official Records, include, but are not limited to: correspondence (including e-mails), minutes, memos, drawings, maps, computer data, machine readable data, reports, newsletters, published materials, institutional policies and procedures, financial records, including invoices, journals, ledgers, purchase orders, grant documentation or other records pertaining to fiscal information. Official Records do not include Unofficial Records, as defined by this policy.

Essential Records – Essential Records are a subset of Official Records. An Essential Record is a Record containing information essential to re-establish or continue the University in the event of a disaster. Essential Records comprise the Official Records necessary to recreate the University’s legal and financial status.

Personally Identifiable Information – Personally Identifiable Information is defined as data or information that includes either the name of an individual or other family members, the individual’s address, a personal identifier such as a social security number or identification number, or a list of personal characteristics, or other information that would make an individual’s identity easily traceable.

Confidential Information - Confidential Information is defined as information that is protected as confidential by law, such as the Family Educational Rights and Privacy Act of 1974 (education records), or the Health Insurance Portability and Accountability Act’s Privacy Regulations (medical records). As a matter of institutional policy, the definition of Confidential Information also includes:

• Personnel information
• Purchasing records prior to the opening of bids, or prior to the award of contracts resulting from requests for proposals,
• Proprietary information, or
• Information Trinity has contractually agreed not to disclose.

POLICY

The University will retain Records and documents in accordance with the University Record Retention Schedule. Records and documents not listed in the schedule that are substantially similar to those listed in the schedule, or that pertain to a particular transaction or matter documented by a Record listed in the schedule, should be retained for the length of time required for the substantially similar/related Record or document.

The Record retention schedule is a control document that describes the Records of the University by subject matter category, establishes a timetable for the maintenance, archiving or destruction of the Records, prescribes an ultimate disposition for the Records, and serves as the legal authorization for the disposition of Records.

Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types on the schedule, or that represent a substantially similar/related document as discussed above, will be maintained for the scheduled length of time. E‐mail messages and/or other electronic files that need to be retained under this policy should be either (i) printed in hard copy and stored in the appropriate file or (ii) downloaded to a computer file and stored electronically or on a disk as a separate file. Backup and recovery methods will be tested on a regular basis.

Each vice president will designate a Record Retention Officer for their division. He or she shall have responsibility for overseeing institutional compliance with this policy. The Record Retention Officer shall be responsible for ensuring that each of their respective departments, committees or other subset of the University conducts an annual audit to ensure that all Official Records are maintained in accordance with this policy. The Record Retention Officer shall have the authority to require periodic third party reviews of the University’s record retention and destruction practices.

The Record Retention Officer shall be responsible for ensuring that each department, committee or other subset of the University prepares the Official Record Log for any Official Records in its departments, committees or subset’s control. The Record Retention Officer shall maintain a master log comprised of the information in the Official Record Log.

The Record Retention Officer shall also annually ensure that any vendors who use, maintain or store Official Records are complying with this policy, including the storage and destruction of Confidential Information and Personally Identifiable Information. The Record Retention Officer shall be responsible for reviewing applicable vendor contracts which involve use, maintenance or destruction of Official Records. The Record Retention Officer shall ensure that these vendor contracts contain provisions that require compliance with this policy.

Trinity University records will be stored in a safe, secure, and accessible manner. Documents and financial files that are essential to keeping the University operating in an emergency, are duplicated and backed‐up on a regular schedule.

Departments are responsible for the safe and secure maintenance, storage, and disposition of their own records, with oversight by each vice president’s designee. The Office of Fiscal Affairs will serve as a resource for the ongoing process of identifying records that meet the required retention period. The following hardcopy records will be destroyed by shredding: 1) University financial records; 2) individually‐identifiable financial, medical, student, or personnel‐related records; and 3) any other documents or records containing Confidential Information, as defined above, and/or non‐public information about the University. If in doubt as to the proper method to destroy a document, shred it. Departments should keep a log of records disposed of that are covered by the record and document retention schedule, specifying the records disposed of (including the years covered), their retention period, the date and method of disposition (including the identity of any third party vendor handling the destruction), and the department head authorizing destruction. Departments should be specific and consistent in their descriptions of records disposed of. The Office of Fiscal Affairs will provide a blank disposition log form (and a sample completed form) on its website.

Document disposition will be suspended immediately and all potentially relevant records and documents, whether listed on the Retention Schedule or not, must be preserved and maintained when a lawsuit is filed or is reasonably anticipated. Records and documents that are subject to a "litigation hold," as determined by the Office of Fiscal Affairs, shall be preserved and retained until such time as the Office of Fiscal Affairs specifically authorizes the documents to be disposed of. Records that are subject to a litigation hold shall not be destroyed in accordance with Trinity’s standard destruction procedures.

As such, upon initiation of a litigation hold, these Records must be immediately segregated from other records so they are protected from any routine Record purges. This is especially critical for emails or other electronic documents that may be subject to a computerized purge cycle. Please see the vice president’s designee immediately if you have any questions about this procedure.

All employees and others who are subject to this policy may be subject to sanctions for violations of this policy up to and including termination of employment, cancellation of contract or removal from the University. Failure to comply with this policy can also result in possible civil and criminal sanctions against the University.

The Office of Fiscal Affairs will periodically review this policy to see that it complies with new or revised laws and regulations and institutional policies, and will bring necessary amendments to the Board of Trustees for approval.