20.23 / Retention of University Records
The purpose of this statement is to set forth University policy on
retention and disposal of University records.
It is necessary and appropriate that Wichita State University
that different types of records be retained for specific periods
time and that it designate official repositories for maintenance
retention of records. University records must be managed in
accordance with this policy.
The University is
to effective record retention to meet legal standards, optimize
of space, ensure security of confidential information, minimize
cost of record retention, preserve institutional history and
that outdated and useless records are destroyed.
||Active Record: A
University record with current administrative use for
that generated it. Records remain active for
varying numbers of
depending on the purpose for which they were created.
||Archival Record: A
University 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 appropriate archival
repository (i.e. Special
Collections, salt mines, etc.).
or the creator of an electronic
document if that person is a University employee;
otherwise it is the
University employee to whom the message is addressed
or to whom the
electronic document is sent. If the record is
agreement or policy, to another person for archival
purposes, then that
person becomes the Custodian/Electronic Record.
Record: Any record that is created,
received, maintained or stored on University local
central servers. Examples include, but are not
- Electronic mail (e-mail)
- Word processing documents and spreadsheets
- Databases - both static and those that are
nature (i.e. tables in Banner with multiple user access
A University record that is inactive, not required to be
the office in which it originated or was received.
The department designated as having responsibility for
timely destruction of particular types of official
records. Such responsibility is assigned to the
or a designee.
Archives: A component of the Special Collections
University Libraries that promotes knowledge and
understanding of the
University's origins, aims, programs, and goals. This
includes permanent retention of records and reports of the
its officers and component parts; maps and architectural
audiovisual materials, including still photographs and
motion picture film, oral history interviews, audio and
artifacts and ephemera documenting the University's history.
Record: The original copy of any record in printed
format. Official Repositories and retention schedules
records are identified in the University's Records Retention
|Departments that maintain
any University Records
are the Official Repository of such records and
each department head or
||Implement the department's record
management practices consistent with this policy.
||Educate staff within the department in understanding sound
record management practices, including a system for
of Active Records.
||Transfer Inactive Records that may have historic value to
||Ensure that access to
confidential files is restricted. Long-term
access to selected Archival Records should be negotiated at
the time of
their transfer to the University Archives.
||Destroy Inactive Records that
have no historic value upon passage of the applicable
period. If in doubt as to the potential historic
with the Curator of Special Collections and University
(hereinafter University Archivist) before destroying the
Disposing of Official University Records
retention period (see University Records
official University records has passed, a determination of
preserve or dispose of the documents must be made. To
decide if a
University Record is of historic value to the University,
University Archivist who has the authority to designate
University Records are archival.
|If it has been determined that the University Records are
Archival Records, they may be transferred to Special
Call the University Archivist to initiate the following:
- Review records to be sent to University Archives;
- Request a transfer form;
- Depending on the amount of material to be transferred
staff availability, the Special Collections staff may
make a site visit
and pick up the records. If staff is unavailable
to pick up the
material, the department of origin may take the material
Collections at a prearranged time; and
- Small quantities may be sent
through campus mail.
|University Records that are
Special Collections are not in storage. The transfer
and the University Records become part of the University
definition G above).
|If it has been determined that University Records are
Inactive Records, and therefore, not of permanent historic
consistent with K.S.A. 45-403, should be destroyed in one of
- Recycle non-confidential paper records; or
- Shred or otherwise render unreadable confidential
- Erase or destroy Electronic Records (periodically
records generated and maintained in University
information systems or
equipment to ensure that these requirements are met).
||Location and Duration for
||The University Records
the Official Repositories for University Records, as well as
these records must be maintained.
||Record retention periods may be increased by government
regulation, judicial or administrative consent order,
governmental contract, pending litigation or audit
Such modifications supersede the requirements listed in this
policy. Any suspension of record destruction required
accomplished by a notice sent out to the affected units or
by the Office of the Vice President and General Counsel.
||Questions regarding the retention period for any specific
document or class of documents not included in the schedule
addressed to the Office of the Vice President and General
||Departments that are not
Official Repositories, and that retain duplicate or multiple
University Records, should dispose of the records when they
to be no longer useful.
disposal of Electronic Records,
as determined by the content, is the responsibility of the
Custodian/Electronic Record and must be in compliance with
Schedule. Work related e-mail is a
University Record and must be treated as such.
|E-mail messages and any associated attachment(s) with
retention periods greater than three (3) years are to be
according to the University Records Retention Schedule in a
capable of reproduction. It is important to note that
message should be kept with the attachment(s). If
printed and filed in similar fashion to paper records for
purposes, the printed copy of the e-mail must contain the
- Who sent message
- Who message was sent to
- Date and time message was sent
|When e-mail is used as a
transport mechanism for other record types, it is possible,
the content, for the retention and disposition periods of
and the transported record(s) to differ. In this case
retention period shall apply.
Services (ITS) performs backups on a regular
schedule of the e-mail and electronic files stored on
for disaster recovery. These backups are to be used
restoration purposes only. The information technology
administrator is not the Custodian/Electronic Record of
records which may be included in such backups.
|When litigation against the
University or its employees is filed or threatened, the law
duty upon the University to preserve all documents and
pertain to the issues. As soon as University Counsel
aware of pending or threatened litigation, a litigation hold
will be issued to the appropriate individuals. The
hold directive overrides any records retention schedule that
otherwise called for the transfer, disposal or destruction
relevant documents, until the hold has been cleared by the
President and General Counsel. E-mail and computer
separated employees that have been placed on a litigation
hold by the
Vice President and General Counsel will be maintained by ITS
the hold is released. No employee who has been
notified by the
Vice President and General Counsel of a litigation hold may
delete an electronic record that falls within the scope of
hold. Violation of the litigation hold request may
employee to disciplinary action, up to and including
dismissal, as well
as personal liability for civil and/or criminal sanctions by
or law enforcement agencies.
This policy shall be included in the WSU Policies and Procedures
Manual and shared with appropriate constituencies of the
The Vice President and General Counsel shall have primary
responsibility for publication, dissemination and implementation
this University policy.
April 15, 2010