Policy Procedures

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  • Procedure Title: Records Retention and Disposition
  • Policy Number: ESU-PO-2011-010
  • Effective Date: April 11, 2012
  • Review Date:
  • Division: President's Office
  • Responsible Office: President's Office

Procedure Summary:

Maintenance, retention, and disposal procedures for University records must be followed systematically by staff in designated official repositories.

Additionally, duplicate copies of these records, retained in locations other than official repositories, must be disposed of when they no longer serve a business purpose.

Process:

Responsibilities for Managing Official University Records

Divisions that maintain University records are called "official repositories."

Each Division is responsible for establishing appropriate records retention management practices.

The Division's Director or designee must:

  1. Implement the Division's and/or office's records management practices.
  2. Ensure that these management practices are consistent with this policy.
  3. Educate staff within the Division in understanding sound record management practices.
  4. Preserve inactive records of historic value, and transfer those records to the University Archives or Division's archive location.
  5. Ensure that access to confidential files is restricted.
  6. Destroy inactive records that have no archival value upon passage of the applicable retention period by approved means or through an outside shredding company appointed by the University.

If there are any questions about the responsibilities contact the Office of the President, who will direct you to the manager of the appropriate Division repository.

Preserving or Disposing of Official Office of University Records

When the prescribed retention period for official University records has passed, a determination of whether to preserve or dispose of the documents must be made.

To decide if the record is of historic value to the University, if in question, consult the Office of the President who has the authority to designate which records are archived.

  1. Archived Records If you have determined that the records are to be archived, they should be transferred to Division’s archive location.
  2. Non-Archival Records If you have determined that it is appropriate to dispose of the records, destroy them in one of the following ways:
    1. Recycle non-confidential paper records.
    2. Shred or otherwise render unreadable confidential records.
    3. Erase or destroy electronically stored data.
  3. Imaged Records Federal guidelines required that imaged records remain part of the permanent record.

Caution: Periodic review of records generated and maintained in University information systems or equipment to ensure that these requirements are met is required.

Each Division shall review its records retention schedule annually to ensure it is complete with recent changes.

All changes are to be submitted to the Division Records Coordinator.

In addition, each Division shall conduct a records review and archiving process annually at the end of each fiscal year to be completed by the end of that calendar year.

,strong>Records Location and Duration

The tables in the “Responsibilities” section list the official repositories for University records as well as how long these records must be retained.

Records retention periods may be modified by statute, regulation, judicial or administrative order, contract, pending litigation, or audit requirements.

Such modifications supersede the requirements listed in this policy.

Suspension of record destruction required by any of these reasons will be accomplished by a notice sent to affected units by the Office of Chief Counsel, Office of the President, or the Office of Administration and Finance.

Note: The document list is not exhaustive.

Questions regarding the retention period for any specific document or class of documents not included in these tables should be addressed to the Office of the President.

Caution: Divisions that are not official repositories and that retain duplicate or multiple copies of these University records should dispose of them when they no longer serve a business purpose or the retention period has expired.

Requests to maintain reference records beyond the retention period shall be approved by the Division Records Coordinator.

Any records maintained beyond the retention period may be subject to production in the event of legal action against East Stroudsburg University, the State System of Higher Education, or in response to a request for records under the Pennsylvania Right-to-Know Law.

Note: E-mail correspondence does fall under this policy and should be managed accordingly. For additional information, please contact the Office of Computing and Communication Services.

Forms:

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Related Procedures:

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Other Related Information:

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Contacts:

Office of the President
Room #204, Reibman
(570) 422-3545