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University Record Retention and Destruction Policy


​Purpose/Background

University of the Pacific (the “University") recognizes the need to retain certain business records for specified periods of time, or permanently, in order to comply with applicable federal and state laws and regulations. At the same time, the university acknowledges that it is a good business practice to dispose periodically of unnecessary and outdated records in order to reduce the cost, risk, and administrative burden of storing historical business records. A retention schedule is critical for promoting responsible records management, mitigating risk, and ensuring consistent compliance throughout the University.

The purpose of this Record Retention and Destruction Policy (the “Policy") is to establish guidelines and a schedule for the University to follow when making decisions about retaining and destroying records, including when routine destruction should be suspended.

This Policy is designed to: (1) establish an efficient University-wide record management system, including proper identification and maintenance of records; (2) reduce the risk of accidental destruction of records earlier than intended; (3) ensure that records that are no longer needed or of no value are destroyed at the appropriate time; (4) facilitate operations by promoting efficiency and freeing up valuable storage space; (5) ensure compliance with applicable local, state and federal laws and regulations; and (6) preserve University history.

Applicability/Responsibility

In accordance with this Policy and in compliance with all applicable state and federal laws and regulations, and University contracts, the Record Retention Schedule applies to all University Records, including all University Information, regardless of format, whether in paper, electronic, microform (e.g., microfilm, microfiche, magnetic tapes, and CD-ROM) or other medium. All members of the University community must adhere to the Record Retention Periods in the Record Retention Schedule (except as set forth below in the case of a Legal Hold).​

ContactResponsible Items
Chief Compliance OfficerFor the implementation of and compliance with this Policy and its administration and interpretation.

 

Definitions



Active Record​See “University Record" below.

Archival Record

 

​See “University Record" below.
Custodian of Record​The designated Department, as identified in the Record Retention Schedule, responsible for retaining and timely destroying University Records in compliance with this Policy.

Department

 

 

​Any and all academic, clinical, and administrative offices of the University.
Inactive Record​See “University Record" below.
IT Office​Pacific Technology and/or, as applicable, any other organizational technology group within the University (including its affiliates and Campuses) that maintains University Information or University Records.
Legal Hold (or Litigation Hold)​A process that an organization uses to preserve all forms of potentially relevant information when litigation is pending or reasonably anticipated.
Personnel​All Regents, officers, members, employees, agents, and other personnel of the University.​
Record Retention Period​The length of time for which the Custodian of Record is responsible for retaining a specified University Record in accordance with the Record Retention Schedule.
Records Retention Schedule​The table listing the required Record Retention Period and the designated Custodian of Record for each identified University Record.
University​University of the Pacific, including its Colleges, Schools, Centers, Institutes, Campuses, programs, divisions, offices, and affiliates.
University Information​See {Information Technology Policies}.
University Record

Any recorded information that is created or received by Personnel or a Department in the ordinary course of University business. All University Records regardless of their format (e.g. hardcopy or electronic) are subject to this Policy.

Active Record - A University Record that is currently being used in ​the ordinary course of University business. A  University Record is considered an Active Record if it meets at least one of the following criteria:

  1. There is a regulatory or statutory requirement to keep a University Record;
  2. It would be advantageous to the University to be able to access a University Record quickly;
  3. 3. A University Record will be needed for reference at a specific time in the future; or
  4. The President, Vice President of Business & Finance, Vice President of Technology, Vice President Student Affairs, Provost, Vice President for Enrollment Strategy, Vice President for University Development and Alumni Relations, Athletics Director, Vice President for Diversity, Equity, and Inclusion, or Office of General Counsel makes the determination that a University Record should be retained as an Active Record.      
Inactive Record- A University Record that is no longer being used in the ordinary course of University business. An Inactive Record must be retained until the end of its Record Retention Period unless required to be preserved for a longer period of time in accordance  with a Legal Hold.

Archival Record- A University Record that is retained permanently by the University for legal, business, historical or reference purposes. These include University Records used for carrying out day-to-day activities,
including documentation of the University's authority, functions, operations, transactions, finances, obligations, decisions, and procedures. Also, University Records containing historical
evidence, memorialization, and research.

Expired Record- A University Record that is:
a.    not an Active Record                           
 b.    not an Archival Record. 
c.    not listed under the Record Retention Schedule or whose Record Retention Period has ended   
d.    not subject to a Legal Hold

Policy Statement

The University will retain and destroy all University Records in accordance with its Record Retention Schedule. The Record Retention Schedule sets forth Record Retention Periods applicable to University Records and designates Custodians of Record for specific University Records by Department. The Custodian of Record is responsible for maintaining their designated University Records in compliance with the Record Retention Schedule. 

Responsibilities

 A.     Department Heads.

The head of each University Department or his/her designee (the “Department Head") shall be responsible for:

  • Developing and maintaining practices and procedures that meet the specific requirements under this Policy;
  • Implementing practices that allow for efficient compliance and response to any Legal Hold Notice, internal or external investigation, court order, or other requests for University Records in a timely fashion;
  • Ensuring Personnel of the Department comply with this Policy;
  • Reporting any potential or actual non-compliance with this Policy to the Chief Compliance Officer;
  • Acting as a liaison between the Chief Compliance Officer, Office of General Counsel, Personnel and IT Office Personnel, including coordinating retention, preservation and destruction of University Records in accordance with this Policy and the Department's records management practices procedures and coordinating the Department's efforts to comply with and respond to any issued Legal Hold Notice, internal or external investigations, court orders or other requests for University Records in a timely manner.

B.     Personnel.

All Personnel shall manage, protect, and maintain all University Records in accordance with this Policy and the record management practices and procedures established by their Department. Failure on the part of Personnel to follow this Policy can result in possible civil and criminal sanctions against the University and Personnel, as well as possible disciplinary action against Personnel, up to and including termination.

Personnel are responsible for the University Records in their possession. Personnel are responsible for reviewing the content of the records they use in conducting University business and complying with this Policy. IT Office Personnel are not responsible for determining whether an electronic record must be retained or destroyed in accordance with this Policy.

If there is reason to believe that anyone covered by this Policy is violating it (e.g., destroying University Records required to be retained), whether or not such actions are intentional, Personnel shall immediately contact the Office of Compliance.

 C.     Chief Compliance Officer.

    1. The University's Chief Compliance Officer (the “CCO") shall be responsible for the University's implementation of and compliance with this Policy and its administration and interpretation. The CCO, in consultation with the President, the Office of General Counsel, and the University's certified public accountant, will periodically review the Policy to ensure it meets the University's requirements and complies with new or revised local, state and federal laws and regulations. Any changes to this Policy must be approved in writing in accordance with the University's Policy on Policies.

Legal Holds

Notwithstanding anything in this Policy to the contrary, routine destruction under this Policy shall immediately cease with respect to any record, regardless of form (i.e., paper or electronic), that is the subject of a Legal Hold (e.g., due to a government proceeding or investigation or private party litigation).

Any University Record that is relevant to a Legal Hold shall be retained and preserved in accordance with this Policy or as directed by General Counsel. Where there is a difference between the requirements of this Policy and instructions from General Counsel, the instructions from General Counsel will control.

University Personnel Training and Education

The Chief Compliance Officer shall instruct all Personnel on the provisions of this Policy through the University's normal channels of communicating information to employees, including but not limited to its Intranet site, and at employee orientation. Each Department shall also conduct periodic training to ensure its Personnel are familiar with this Policy. The CCO shall also periodically train Personnel on their respective obligations under this Policy, including but not limited to their specific roles as IT Office Personnel, Legal Hold Recipients or Custodian of Record.

Violations

Any violation of this Policy is subject to university disciplinary action in accordance with the Disciplinary Action Policy for Compliance Misconduct [LINK].

Contact Information

Department Phone/Email/WebpagePhone/Email/Webpage
Office of Compliance & Ethics209.946.7446compliance@pacific.edu

Related Information

ItemDescription
University LinksDisciplinary Action Policy for Compliance Misconduct​
FormsRetention Schedule
Related Links 
Procedures  University Record Retention and Destruction Procedures​


About This Policy
Last Updated
6/21/2022
Original Issue Date
6/21/2022

Responsible Department
Compliance