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same time, the university acknowledges that it is a good business practice to dispose periodically of unnecessary and outdated records in order to reduce the cost, risk, and administrative burden of storing historical business records.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.
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).
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:
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
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.
A. Department Heads.
The head of each University Department or his/her designee (the “Department Head") shall be responsible for:
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.
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.
Any violation of this Policy is subject to university disciplinary action in accordance with the Disciplinary Action Policy for Compliance Misconduct [LINK].
Disciplinary Action Policy for Compliance Misconduct
Retention Schedule FINAL_2022.06.16.pdf