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ROCHESTER INSTITUTE OF TECHNOLOGY

RECORDS MANAGEMENT POLICY

1. INTRODUCTION

This Policy seeks to ensure that RIT Records, especially those that are required for compliance with the law, are retained for a sufficient period of time. In addition, this Policy seeks to ensure that RIT Records which document the history of RIT are preserved.

This Policy should be read together with the other policies of RIT. RIT’s policies are available online at www.rit.edu/academicaffairs/Manual. The electronic version of this Policy will, from time to time, contain “Frequently Asked Questions” which interpret and detail the applicability of the Policy to various practical situations.

2. EFFECTIVE DATE

This Policy will be effective on May 13, 2009 (“Effective Date”). It will apply to all divisions, departments and academic units of RIT.

3. DEFINITIONS

Terms not otherwise defined herein have the meanings listed below.

A. Active Record means a record with current administrative use for the division, department, or academic unit that created it. Records remain active for varying numbers of years, depending on the purpose for which they were created.

B. Archival Record means a record that is inactive, not required to be retained in the office in which it originated or was received, and has permanent or historic value. Archival records are retained and preserved indefinitely in the Institute Archives.

C. Hold Notice means a communication issued by the Office of Legal Affairs as a result of a current or anticipated government regulation, investigation, litigation or other matter that warrants the suspension of this Policy.

D. Record means any document, communication, or similar item generated or received by RIT, by RIT personnel, or on RIT's behalf.

E. Official Repository means the division, department, or academic unit designated as having responsibility for retention, timely destruction of particular types of official Institute records, or forwarding to RIT Archives. Such responsibility is assigned to the division, department, or academic unit’s Vice President, Director, Dean, or designee.

F. RIT Archives means a department of the RIT Wallace Library that promotes knowledge and understanding of the Institute’s origin, aims, programs, and goals; and facilitates effective record management.

G. RIT Record means the original or copy of any record, which is either an Active Record, Archival Record, or which must be held for official business or regulatory purposes in accordance with the attached Records Retention Schedule. Official repositories for these records are contained in this Policy (see attached Schedule for a listing of Official Repositories). RIT Record does not include records which are not created in the official course of business, serve no legitimate or necessary business purpose, or are created for personal purposes only.

H. Personnel means all RIT staff and faculty, full-time and part-time, including Student Employees acting within their Scope of Employment, non-employee consultants, visitors, adjuncts and others using Institute resources.

I. Scope of Employment means all activities related to: (i) the field or discipline of the faculty member’s appointment, including the general obligation of a faculty member to teach, to do creative work, and to conduct research; and (ii) to the employment responsibilities of non-faculty Personnel for which such Personnel receive compensation from RIT, where compensation is any consideration, monetary or otherwise, including the ability to use RIT resources.

J. Confidential Record means a record that contains personal information protected from disclosure by law or RIT policy, including but not limited to, the Family Educational Rights and Privacy Act (“FERPA”), the Gramm Leach Bliley Act, the Health Insurance Portability Accountability Act (“HIPAA”), the New York State Disposal of Records Act, the New York State Information Security Breach and Notification Act and the RIT Privacy Policy.

K. Electronic Record means a record maintained on a RIT network, email server, back-up tape, CD-ROM, hard drive, or data storage location.

L. Student Employee means students, who are also RIT employees, acting within the Scope of Employment.

M. General Correspondence means emails, letters, or notes received in the course of business that is directly related to the mission of a particular department, division, or academic units. Indirect or conversational emails, letters, or notes received on a daily basis and not connected to the mission of a particular department, division, or academic units should not be considered general correspondence.

4. GENERAL PROVISIONS

A. Purpose

. The purpose of this Policy is to require consistent treatment of Records. Maintenance, retention, and disposal procedures for Records must be followed systematically by Personnel in designated Official Repositories. This Policy is intended to ensure that RIT meets legal standards, preserves RIT’s history, and destroys outdated and useless records.

B. Scope

. All Personnel shall comply with this Policy, as amended from time to time. This Policy is considered part of the conditions of employment for RIT Personnel and shall be included in the Institute Policies and Procedures Manual.

C. Management of Institute Records

. Divisions, departments, or academic units that are Official Repositories for RIT Records are responsible for establishing appropriate records retention management practices. These records retention management practices are intended to establish a procedure by which RIT Records are identified for archival, retention, or disposal. Each division, department, or academic unit’s Vice President, Director, Dean, or designee must:

(1) Implement the division, department, or academic unit’s record management practices;

(2) Identify a records custodian for the division, department, or academic unit with responsibility to ensure that these record management practices are consistent with this Policy;

(3) Educate staff within the division, department, or academic unit in understanding the record management practices;

(4) Preserve inactive records of historic value and transfer those records to the RIT Archives;

(5) Ensure that access to confidential files is restricted; and

(6) Destroy inactive records that have no archival value upon passage of the applicable retention period identified in this Policy, or in a division, department, or academic unit’s records management policy approved by t he Office of legal Affairs (see attached Schedule for recommended and required retention periods).

Questions relating to these responsibilities should be directed to the Institute Compliance Officer, Office of Legal Affairs, who will work closely with the RIT Archivist, divisions, departments, or academic units to ensure understanding of this Policy, implementation of these responsibilities, and establishment of records retention management practices as set forth in Section

D. Suspension of Policy / Legal Holds. This Policy may be suspended for any Record due to a requirement by a consent order, private or governmental contract, pending or anticipated litigation, investigation, or audit requirement. Such suspension supersedes the requirements listed in this Policy or any division, department, or academic unit’s records management policy and shall be made by the Office of Legal Affairs, which has the authority to suspend and revise any Retention Schedule, including the Schedule attached to this Policy. The Office of Legal Affairs will implement such a suspension by sending out a Hold Notice for relevant records to affected divisions, departments, or academic units as well as to the Chief Information Officer, Information Technology Services (ITS) department. This Hold Notice shall be in effect until rescinded by the Office of Legal Affairs and shall control the preservation, retention and disposal of specifically listed records.

5. Implementing Record Management Practices

A. Retaining of Records. The Retention Schedule sets forth the recommended and required period of time for Records that should be retained. In establishing appropriate record management practices, each division, department, or academic unit's Vice President, Director, Dean or designee will be responsible for setting up a process for the identification of RIT Records created, received by and delivered from their Office Repository. In addition, in connection with setting up record management procedures, the following should be considered and incorporated:

(1) Archival Records. Generally, Records which document the history of administration, academic programs, and the social and cultural life of RIT should be preserved. These Records include, but are not limited to, correspondence, meeting minutes, administrative and annual reports, as well as publications, newsletters, posters, booklets, books, magazines, catalogs, special bulletins, university directories and faculty/staff rosters. To decide if the RIT Records are of historic value, consult the RIT Archivist, who has the authority to designate which Records are Archival Records. In cases where specific RIT Records are to be sent to the RIT Archivist, the Official Repository shall hold the RIT Records for as long as the Official Repository has a legitimate business use for the RIT Record. It shall be the responsibility of the Official Repository to deliver the RIT Records to the RIT Archivist in accordance with his/her instructions. No Official Repository shall dispose of Records not specifically mentioned in this Policy without consulting the RIT Archivist.

(2) Electronic Records. The retention and preservation of Electronic Records shall be in accordance with this Policy. If an Electronic Record falls within one of the Retention Schedule's categories of Records, then the Record must be treated the same way as a similar hard copy record.

(3) Email. In considering the nature of email for retention purposes, an email and its attachments should be considered as a whole. If one retention period applies to an email and a different retention period applies to the email attachment(s), the entire email with attachment(s) should be retained for the longer of the two retention periods. If a person is merely copied on an email (either listed as a "cc" or "bcc"), he/she should treat the document as a duplicate in accordance with sub section 5 below, i.e., it may be deleted unless this Policy, or a division, department, or academic unit’s record management policy requires keeping it. Personnel may create individual folders and files within his/her email archives for retention of RIT Records in accordance with this Policy.

(4) Disaster Recovery. Electronic Records maintained by the Information Technology Services (ITS) for disaster recovery and backup purposes only shall be retained and preserved by ITS in accordance with a uniform rotation schedule. This uniform rotation schedule shall require that no ITS backup of Electronic Records shall be maintained for longer than thirty (30) days. No other division, department or academic unit shall maintain electronic records for disaster recovery or backup purposes without the specific written approval of the Office of Legal Affairs and without adherence to the ITS uniform rotation schedule. Suspension of the uniform rotation schedule shall be accomplished only with the written approval of the Office of Legal Affairs.

(5) Duplicates. Generally, only one copy of each record shall be retained. A duplicate is an exact replica of the original and shall be destroyed as soon as it does not serve a legitimate business purpose and as long as is not subject to a Hold Notice indicating otherwise. Prior drafts, revisions, or original documents that have additional hand written notes are not considered duplicates of the original and shall be subject to the same requirements as an original record.

B. Destruction of Records. Records that are neither Active Records, Archival Records, RIT Records, nor the subject of a Hold Notice should not be maintained. In addition, when the required retention period for RIT Records has passed, a determination of whether to preserve the Record as an Archival Record or to dispose of the Record must be made. The division, department, or academic unit’s Vice President, Director, Dean, or designee should make this determination, in consultation with the RIT Archivist, and facilitate the disposal of the RIT Records in one of the following ways:

(1) Recycling non-confidential paper records;

(2) Shredding or otherwise making unreadable Confidential Records in accordance with applicable state and federal law; or

(3) Erasing or destroying Electronic Records in accordance with applicable state and federal law.

The records destruction process shall be documented using a form developed in consultation with the Office of Legal Affairs or its designee. The division, department, or academic unit’s Vice President, Director, Dean, or designee shall certify annually in writing to the Office of Legal Affairs that compliance with this policy has been achieved for the prior academic year.

C. Using the Retention Management Schedule. Records are listed in the Retention Management Schedule by their recommended or required retention period, as well as their historical/archival value. The list of Records identified in the Retention Management Schedule is not intended to be exhaustive. Divisions, departments, or academic units may establish their own records management policy, with the approval of the Office of Legal Affairs, to determine the retention period for the Records created and/or kept in their respective areas.

(1) If two or more categories with different retention periods are applicable to a Record, the Record shall be retained for the longest applicable retention period.

(2) Records required to be destroyed must not be destroyed before the prescribed retention period has expired. Records that are required to be destroyed and are subject to specific retention periods shall be destroyed within a reasonable period of time following the expiration of the retention period, as set forth in the Schedule. Records required to be destroyed shall not be retained for longer than the specific retention period or default retention period (including the reasonable period of time for destruction), unless subject to a Hold Notice or special condition requiring a longer period, without first obtaining authorization from the Office of Legal Affairs.

(3) The default retention period for Records whose retention period has not been specifically determined shall be six (6) years. However, it is important to note that if a Record is an Archive Record it should be retained permanently and forwarded to the RIT Archivist in accordance with his/her instructions.

(4) The time for calculating the applicable retention period shall begin at the end of the calendar year in which the document was created or received by personnel. For example, a contract executed in June 2008 that is subject to a six year retention period would be eligible for destruction after December 31, 2014.

D. Exceptions. Requests for exceptions to this Policy should be granted rarely and only with good cause. Requests for exceptions to this Policy should be submitted to the Office of Legal Affairs. Upon receipt of notice that the retention period for any RIT Records should be extended or an exception otherwise granted, the Official Repository responsible for such Record shall immediately disseminate notice that such Record should not be destroyed until further notice.

E. Training. All personnel involved in or responsible for records management activities will be trained and kept current in all aspects of their responsibilities. Each division, department, or academic unit's designee or records custodian will be responsible for ensuring their personnel are informed of the Policy and procedures established pursuant to the Records Management Program and devising the appropriate training to ensure appropriate implementation.

F. Auditing. For all RIT Records subject to this Policy, each division, department, or academic unit's designee shall perform periodic reviews of the implementation of this Policy, under the oversight and guidance of Institute Audit, Compliance and Advisement, Office of Legal Affairs or their designee.

G. Procedure For Amending The Records Retention Schedule. In the event of any changes in the Retention Schedule, the Office of Legal Affairs will notify each division, department, or academic unit's Vice President, Director, Dean or designee.

Records Management Schedule

I. Records Required to be Sent to RIT Archives

Item	Retention Period	Official Repository
Accreditation Reports and Supporting Documents	Permanent	Office of the Provost
Advisory Board, Committee and Task Force minutes, agenda and materials, including standing and ad hoc committees	Permanent	Appropriate Committee/Advisory Board
Affirmative Action Plans (including documentation)	Permanent	Office of Legal Affairs
Board of Trustees Resolutions, meeting materials, minutes, and agendas (including Committees)	Permanent	Office of the Secretary
College Strategic Planning Records	Permanent	Appropriate Colleges
Development and Alumni Relations Annual Reports, Materials, and Gift Records	Permanent	Development and Alumni Relations
Employee orientation & training materials	Permanent	Human Resources
Enrollment statistics	Permanent	Office of the Registrar
Governance Groups minutes, agenda and materials (including Student groups)	Permanent	Appropriate Governance Group
Institute publications (catalogs, handbooks, programs, etc.)	Permanent	Office of the Registrar
Institute Research and Policy Studies Reports (internal and external)	Permanent	Institutional Research and Policy Studies
Lecture Series (documentation, advertisements, lectures)	Permanent	Appropriate College/Departments
News Content (internal and external)	Permanent	University News Services
Original Patents, Trademarks and Related Work Papers	Permanent	Intellectual Property Management Office
Periodicals and Newsletters (departmental, administrative, and student groups)	Permanent	Appropriate College/Departments
Policy and Mission Statements	Permanent	Human Resources
Presidential Records	Permanent	Office of the President
Real Estate Deeds	Permanent	Office of Sr. VP Finance & Administration
RIT Corporate Documents (including Bylaws, Charter, and Licenses)	Permanent	Office of the Secretary
Strategic Planning Records	Permanent	Office of the President
Trustee Files	Permanent	Office of the Secretary
University Policies and Procedures Manual	Permanent	Human Resources

II. Records Recommended to be Disposed

Item	Retention Period	Official Repository
Academic advisement files	1 year after graduation/last date of attendance	Appropriate Academic Departments
Athletic Records (not otherwise listed)	6 years	Center for Intercollegiate Athletics & Recreation
College/Department Office Student Files	1 year after graduation	Appropriate College/Department
Contracts files (including contracts with employees and consultants)	6 years after all obligations end	Appropriate Departments
Counseling Center Records	6 years from date of last attendance or termination	Counseling Center
Direct Loan Counseling Records (Exit)	3 years after loan is repaid, canceled, or assigned to the Department of Education	Student Financial Services
Employee Medical Documentation	6 years from termination	Human Resources
Enrollment’s Advanced Placement and Admissions Records (not otherwise listed for non-enrolled students)	2 years after application	Division of Enrollment Management
Equipment files (including maintenance records and leases)	6 years after disposition	Appropriate College/Departments
Faculty Student Files (including grades)	1 year after end of quarter	Appropriate Academic Departments
Federal Student Aid Records	6 years	Office of Financial Aid & Scholarships
General Correspondence (including emails)	6 years	Appropriate Departments
Health Center Services Patient Records	6 years from date of last attendance or termination	Student Health Center
Online Learning Materials	2 years after last use	Online Learning
Record of student accounts	6 years	Student Financial Services
Recruitment materials (for individual students)	Until date of enrollment	Division of Enrollment Management
Registrar’s Advanced Placement and Admission Records (not otherwise listed for enrolled students)	10 years after admission	Office of the Registrar
Registrar Records (not otherwise listed)	Permanent	Office of the Registrar
Student Disciplinary Records (not responsible finding)	5 years	Student Affairs
Student Disciplinary Records (responsible finding)	Permanent	Student Affairs

III. Records Required to be Disposed

Item	Retention Period	Official Repository
Auditor Documents	Permanent	Controller’s Office
Banking Records	6 years	Controller’s Office
Bids (accepted and rejected)	6 years after all obligations end	Purchasing Department
Billing Records	6 years	Controller’s Office
Bond Records	6 years after life of bond	Controller’s Office
Capital Equipment Records	Life of Asset	Controller’s Office
Certifications and Inspection Reports	6 years	Environmental Health and Safety
Clery Act Materials	4 years after report date	Public Safety
Employee Background Checks (including Controlled Substance Test Results)	6 years after employment ends	Human Resources
Employment applications and resumes – non-employees	3 years	Human Resources
Employment Records	6 years from date employment ends or death of eligible employee	Human Resources
Employee Tax Records (not otherwise listed)	6 years	Controller’s Office
Financial Records	6 years	Controller’s Office
Invoices	6 years	Purchasing Department
Legal Records	6 years	Office of Legal Affairs
OSHA Records and Material Safety Data Sheets	40 years	Environmental Health and Safety
Purchase Orders	6 years	Purchasing Department
Search Committee Records	3 years	Human Resources
Student Employee Records (including applications and resumes)	6 years after employment ends	Student Employment Office
Tax Records	6 years after return is filed	Controller’s Office
Training Records	6 years	Environmental Health and Safety
Unemployment Insurance Records	6 years	Human Resources
Workers Compensation Records	18 years	Human Resources

Approved May 13, 2009