It shall be the policy of the University of Hartford to retain its records consistent with sound business practice and in accordance with applicable regulatory and other legal standards, professional association recommendations and contractual obligations, and to destroy those records which no longer need to be retained according to those principles. Record retention and destruction shall be managed at the officer level consistent with the principles set forth in this policy. Coordinated records retention enables the University to preserve its history, ensure that critical records are available to meet business needs, support the University’s and departmental continuity and business recovery plans, preserve documentation necessary in the event of an audit, litigation or other external action, comply with applicable legal and contractual requirements, optimize its use of space, minimize its record retention cost and ensure that outdated and useless records are destroyed. This policy shall apply to all University records in whatever format they are maintained, including without limitation records maintained on paper, on film or microform, or electronically.
Responsibility for implementation of this policy shall lie at the officer level, subject to delegation by each officer to appropriate unit managers in the officer’s discretion. All University faculty and staff responsible for the maintenance of University records shall comply with the provisions of this policy.
A description of category;
Whether the unit is the primary or a secondary record-keeper for that category of document;
The “Retention Period” – i.e., length of time that records in that category shall be maintained by that unit – after which the records shall be destroyed, subject to paragraphs 4 and 5, below.
The means by which records in each category should be destroyed – e.g., shredding versus trash; and
The format or formats in which the category of records is maintained -- e.g., electronic, hard copy.
The operational needs and business continuity and recovery needs of the unit, including consideration of how long after active operational use the records should be maintained;
Any regulatory or other legal obligations for maintaining the records;
Any contractual obligations with third parties for maintaining the records;
Whether the records have any archival or historical value;
The business continuity and business recovery needs of the unit; and
Any other relevant factors identified by the unit.
Records shall be maintained during their Retention Period in a manner keeping them safe from deterioration. Units storing records electronically, on microform or film, or in other non-paper media shall confirm annually that the records are still accessible on University equipment.
Before records are destroyed, the unit’s senior official shall review the records to determine if they may have archival or other historical interest. If any records are identified as having potential archival or historical interest, the University archivist will review the records and determine whether they should be retained for archival purposes.
Records may be maintained at an off-site facility approved by University Purchasing for records which have not yet reached their Retention Period but are not required for normal operational needs of the unit.
Records which contain information about one or more individuals and which can be identified to one or more individuals should be treated with particular regard to confidentiality and security, unless the information is generally available to the public. Such records shall be maintained in accordance with applicable laws and University policies, including without limitation FERPA, HIPAA and the University’s information security policy.