政策声明
拉克万纳大学 requires that different types of records be retained for specific periods of time, 并指定了官方的仓库和保管人进行维护. These records must be managed according to procedures that are outlined in this document. The College is committed to effective records retention to preserve its history, 符合法律标准, 优化空间利用, 并尽量减少记录保留的成本.
This Policy sets forth procedures to manage the retention and disposal of these Records, 并旨在确保学院:
- 符合法律标准;
- 妥善管理电子及实体储存空间的使用;
- 保存学院的历史;
- 处理过期记录.
没有任何个人或单位可以直接对所有大学档案负责. Therefore, every office or department managing College records is responsible for:
- 实施符合本政策的记录管理措施.
- 培训员工档案管理实务.
- 按照本政策的要求保存记录.
- Properly disposing of Inactive Records at the end of the applicable retention period.
- 保护记录不被误用、误放、损坏、毁坏或盗窃.
- 监督对本政策的遵守情况.
大学记录是学院的财产，而不是管理人员的财产, 教员, 或者是创造它们的员工，或者是被委托给它们的人.
适用性
此政策适用于所有记录和文件, including both original documents and reproductions generated in the course of the College’s operations. It applies to records stored electronically and on microform as well as paper records. Duplicate or multiple copies of records retained in locations other than official repositories must be disposed of in compliance with the College Record Retention Schedule.
定义
Record: A record is anything containing information reflecting College educational and business transactions regardless of format (paper, digital, 摄影, recordings, etc.). 典型的记录包括官方出版物, fiscal data, 收发信件，包括电子邮件, 会议纪要, reports, 学生档案.
“档案记录”-非活动的原始记录, not required to be retained in the office in which it originated or was received, 具有永久或历史价值的.
“文件”或“记录”-在此策略中使用时, 包括任何原始文件或创建的复制品, received, 或由学院部门维护, divisions, offices, 及与书院业务有关的雇员, 无论是实物形式(硬拷贝还是电子形式), 包括电子邮件). 电子文件将像纸质文件一样被保留. E-mail messages and/or other electronic files that need to be retained under this policy should be stored in their native file formats .
“Inactive Records”-Records no longer required to carry out the administrative or operational functions for which they were created, 但必须保留用于行政管理, fiscal, legal, 或根据批准的记录保存时间表进行历史记录.为行政、财政、法律或历史目的而保存
“Official Repository” – the unit originating a record or receiving an original record from an external party is designated as having responsibility for retention and timely destruction of original records and documents as indicated on the College Record Retention Schedule. Such responsibility is assigned to the administrative director/academic dean or his/her designee.
A:文件保留
Each department within the 拉克万纳大学 organization has different requirements for the retention of documents. All offices strictly adhere to the rules and regulations of their governing body regarding their specific area. I.e. Business Office follows the guidelines of the IRS and local, state and federal guidelines. 奖助金支持服务遵循所获奖助金的规定等. 每个部门都会被要求存档, the rules and regulations that fulfill the specific criteria that are required for the retention of documents for their area.The College will retain documents in accordance with the College Record Retention Schedule.
B:灾难规划和准备
拉克万纳大学 records will be stored in a safe, secure, and accessible manner. Documents and financial files that are essential to keeping the College operating in an emergency are to be duplicated and backed-up on a regular schedule.
C: d文件estruction
All paper documents that do not include sensitive material are discarded to be recycled. 包括敏感材料的所有纸质文件.e. 社会保险号，信用卡号等等. 在学院代表的监督下现场粉碎. Any record, 纸质或电子, containing cardholder data (CHD) must have the CHD portion immediately destroyed after the data has been used to authorize the payment. 从记录中删除CHD后, the remainder of the document must be retained in accordance with the College Record Retention Schedule. Documentation is then received to validate that the documents have been shredded correctly. Document shredding occurs twice a year and is overseen by the Director of Facilities for the College.
D:诉讼搁置
各部门和办公室必须确保他们 not 销毁大学记录，这些记录现在是, 或可能成为…的一部分, 任何法律行动或程序, litigation, audit, 调查, or review, even if the records retention schedules or other policies or procedures indicate that the records are eligible for destruction. Documents that are subject to a “litigation hold” as determined by General Counsel shall be preserved and retained until such time as General Counsel specifically authorizes the documents to be disposed.
E:行政经理/院长或指定人员的职责
The Administrative Manager/Dean or his/her designee for a College department or division will be responsible for the following: serving as the “official repository” for original records, implementing the department or division’s record management practices for both original and reproduced documents, 确保记录管理实践与这一方针一致, preserving inactive records of historic value and transferring those records to the College archives, and destroying inactive records that have no archival value upon passage of the applicable retention period.
F. Compliance
Failure on the part of employees to follow this policy can result in possible civil and criminal sanctions against the College and its employees. Failure on the part of employees to follow this policy may result in disciplinary action.
G:政策检讨
This policy and the record retention schedule will be reviewed annually for the purpose of making any necessary revisions in light of technological developments, 法律要求的变化, 或者行政实践的变化.