TRAINING AND INFORMATION - VALPARAISO UNIVERSITY RECORDS MANAGEMENT, RETENTION AND DESTRUCTION BY DEPARTMENT

The Lutheran University Association, Inc. d/b/a Valparaiso University
Records Retention Schedule and Destruction Policy

The President’s Council, along with the Office of General Counsel developed a Records Retention Schedule and Destruction Policy. The policy was approved by the President’s Council on January 14, 2014. While the policy is included in this training session, efforts are being made to get it updated.

I. INTRODUCTION:

The copy of the Records Management, Retention, and Destruction by Department schedule in this training session provides you with an idea of how the schedule is structured. The training session does not include the vast amount of information and policies related to retention and the destruction, nor the complexities that we encounter. There is a 2019 copy of ACCRAO’S Student Records Management publication in our office if anyone is interested in seeing it. It is a very interesting resource to find out how much is involved in what we do as an office every day in this particular area.

Statement from AACRAO 2019 Student Records Management publication:
Records should be kept as long as they serve a useful purpose or until all legal and regulatory requirements are met. Businesses and educational institutions often base how long they keep files on the length of the statute of limitations for breach of contract, breach of fiduciary duty, and professional liability claims.

I. POLICY STATEMENT:

Valparaiso University requires that certain types of records be retained for specific periods of time, and that records be destroyed in accordance with the Retention Schedule and in an appropriate manner.

This policy provides for the systematic review, retention, and destruction of all documents and records received, created, or maintained by the University in connection with University business. The policy contains a schedule for how long certain documents should be retained and how they should be destroyed (unless they are under a legal or other similar investigation, or are otherwise subject to a litigation hold). This policy is designed to enhance compliance with federal and state laws and regulations, and to facilitate the University’s operations by promoting efficiency and freeing-up valuable storage space.

This policy applies to all departments, divisions, offices, and employees of the University and the types of records/documents in the Records Management, Retention, and Destruction by Department. The records management schedule is located on the General Counsel website, along with other policies related to faculty and staff.

II. DEFINITIONS:

a. Archive – documents may be archived using the University’s electronic document database system unless specifically instructed, or they may be sent to the University Archive for storage.

b. Destroy – to follow the policy and procedures set forth below under Part C. Document Destruction.

c. Documents or Records – includes any records created, received, or maintained by University departments, divisions, offices, and employees of the University in connection with University business, regardless of physical form (hard copy or electronic information, including email).

d. Confidential Information - data to which access is restricted for legal or other University business reasons. Examples of confidential data include a person's name together with social security number or bank account number or driver's license number or credit card number, certain personnel records, certain student records, etc.

e. Protected Health Information - any information that must comply with Health Insurance (HIPAA) including the following: 1) Information that relates to the past, present, or future physical or mental health or condition of an individual held by an office; 2) The provision of health care to an individual; or 3) The past, present, or future payment for the provision of health care to an individual.

f. Financial Records – any records containing social security numbers, financial account information, tax returns, asset statements, bank or credit card account numbers, income and/or credit information, or any other records containing “personally identifiable financial information” regarding students, parents, employees, alumni, potential donors, and other third parties.

g. Restrictions – Legal restrictions on the release of information

III. POLICY:

a. Document Retention – The University will retain documents in accordance with the University Record Retention Schedule developed by the Office of General Counsel and implemented by and through the Chief Information Officer. The master schedule will be available on General Counsel’s website. Department heads will be provided a schedule for their individual department. Documents that are not listed, but are substantially similar to those listed in the schedule, will be retained for the length of time required for the substantially similar document.

b. Electronic Documents and Records – Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types on the schedule will be maintained for the scheduled length of time. Backup and recovery methods will be tested on a regular basis.

c. Document Destruction – Departments are responsible for the maintenance and destruction of their own records, with oversight by the relevant Vice President, Dean, Director, or the Provost. The Office of General Counsel will serve as a resource for the ongoing process of identifying records that meet the required retention period. The following hardcopy records will be destroyed by cross-cut shredding:

· University financial records

· Individually identifiable financial, medical, student, or personnel related records

· Any other documents or records containing confidential information, as defined by the retention and destruction schedule, or non-public information about the University.

· If in doubt as to the proper method to destroy a document, cross-cut shred it.

(Opportunity Enterprises is our vendor responsible for shredding)

d. Litigation Holds – Document destruction will be suspended immediately and all potentially relevant records and documents, whether listed on the retention schedule or not, must be preserved and maintained as a permanent record when a lawsuit is filed, or is reasonably anticipated. Documents that are subject to a “litigation hold,” as determined by the Office of General Counsel, shall be preserved and retained until such time as the Office of General Counsel specifically authorizes the documents to be destroyed. The General Counsel's office will be responsible for notifying individuals when a litigation is in place and the subject matter of the litigation hold.

Statement from AACRAO 2019 Student Records Management publication regarding subpoenas:

Subpoenas are subject to the subpoena powers of state and federal courts. Third parties involved in lawsuits often seek to obtain University records that they consider relevant to the issues involved in their claims or lawsuits, even when the University is not a party to the claims or lawsuits. Not all subpoenas are valid in the State of Indiana.

If you receive a subpoena requesting any University student records immediately notify the person responsible for records management/destruction in our department. The designated person will obtain copies of the student’s records and identify the appropriate departments involved. The packet will then be forwarded to General Counsel for review and respond accordingly.

III. COMPLIANCE – Failure on the part of employees to follow this policy can result in possible civil and criminal sanctions against the University and its employees.

Statement from AACRAO publication regarding compliance:
Compliance and best practice regulations recommend institutions stay up to date with federal, state, accrediting body, and discipline-specific levels. The U.S. federal agencies which administer those laws and regulations include, but are not limited to:

· U.S. Department of Education (Including FERPA)

· U.S. Department of Veterans Affairs

· Department of Health and Human Services

· Internal Revenue Service

· U.S. Department of State

· If an institution transacts business with the European Union, they should use GDPR (General Data Protection Regulation), as opposed to the FERPA definition of the ‘student record’.

IV. REVIEW AND AMENDMENT – The Office of General Counsel will periodically review this policy to see that it complies with new, or revised laws, regulations and institutional policies. The Office of General Counsel has not chosen to update the Records Management, Retention, and Destruction by Department schedule. The newly updated version shortened the time frame to retain specific documents.

V. OFFICE OF THE REGISTRAR RESPONSIBILITIES AND PROCESSES

This is a sample page from the Office of the Registrar retention/destruction schedule.

This PDF link will take you to the entire schedule for our department, which is located on the S drive/Registrar/Records Management and Retention/ Office of the Registrar Records Management and Retention Schedule

ELEMENTS OF STUDENT RECORDS MANAGEMENT:

· Data Standards around the Creation of a New Student Record

· Maintenance of Student Records

· Correction of Corrupted Student Records

· Creation of Data Recovery Plan

· Creation of Data Security Plan

· Maintenance of Data Integrity

· Data Mining of Student Records

· Disposition of Student Records

The person responsible for overseeing retention guidelines is responsible for ensuring the guidelines are adhered to when determining what documents need to be retained for a specific amount of time. The Office of the Registrar has been given permission by the Office of General Counsel to extend the amount of time we retain specific documents based on the history of requests we have received and the importance of the record. These may include, but are not limited to:

· Documentation confirming fraudulent transcripts and fraudulent diplomas

· Copies of Cease & Desist Notifications to non-students claiming they attended Valpo

· Notifications that Valpo rescinded the offer of admission, based on fraudulent external transcripts

· Students who received their diploma in error

· Documentation from US DOE that a student committed financial fraud to attend Valpo
Registrar’s request for a restraining order for a student approaching other students for money

AACRAO’S retention guidelines were the resource that was used to update the university’s retention policy in 2015.

General Counsel was informed of AACRAO’S publications relating to records retention and we asked them if they would like a copy of the publication to expand on the records retention guidelines and policies. AACRAO’S Student Records Management / Retention, Disposal and Archive of Student Records publication provided information on retention recommendations, developing a policy, methods of storage, and security of records, to name a few.

Publication History: AACRAO’S first records retention and disposal publication was in 1960. The first update was in 1979 and focused on the retention of hardcopy documents. Then in the 1987 edition record storage focused on retention by means of microfilm and microfiche in order to minimize space and improve the manner in which the records were retrieved. In addition, the 1987 edition provided a reasonable set of standards in making retention decisions. The updates to the publication that were done in 1998, 2000, 2010, 2014, and 2019 focused on being compliant with new federal requirements for records administration, consistency in retention practices and policies to provide guidelines on addressing technological changes. The 2010 edition included differentiated retention periods for four-year schools and community/technical colleges.

RETENTION/DESTRUCTION PROCESS (OFFICE OF THE REGISTRAR):

The retention of student records is determined by the retention/destruction schedule as outlined in this training session. Student records are currently being scanned into the student files located in our office.

Student records, committee meeting records, and other records as mentioned in the retention/destruction schedule were previously sent to Lankanau and the Christopher Center Automated Storage and Retrieval System (ASRS). The process for transferring the records included a form listing the contents and dates of the documents that was included with the boxes being moved. Copies of the forms and lists of records transferred are located on the S Drive/ Registrar/Records Management and Retention. These records are on the agenda to be scanned as time permits.

The Office of the Registrar also maintains hardcopy transcripts in cabinets currently located in the basement of Kretzmann.

Copies of the hardcopy transcripts are also stored on microfilm and located in four safe deposit boxes located at First Source Bank at 14 Indiana Avenue, Valparaiso.

METHODS OF STORAGE:

The Office of the Registrar is responsible for the safety, security, and integrity of student and alumni records, as well as additional records identified in the retention/destruction schedule.

Methods of storage must ensure attention is paid to the longevity and quality of the record.

RECORDS FOR CLOSED EDUCATIONAL INSTITUTIONS:
The State of Indiana Archives maintains academic transcripts for defunct institutions that were formerly regulated by the Indiana Commission on Proprietary Education. If students should ask how to request information about closed institutions, or to request a transcript from an institution that has closed, they can use this link:
Closed Institutions & Student Records

RELEASING RECORDS FOR DECEASED ALUMNI AND STUDENTS:

In order to release records for deceased alumni, we require documentation as listed below. Scanned copies of the following are acceptable and you can respond to this email with your attachments.

· A written and signed letter outlining the need for the information and what it will be used for.

· Copy of the decedent's death certificate.

· Copy of the driver’s license, or state ID card of the relative requesting the information. A copy of their Visa, or Passport, if applicable.

· Documentation that can establish a direct relationship between the decedent and the relative requesting the information. This can consist of a birth certificate, a trust, will, or an Obituary.

· Qualifying relationships that we are permitted to release records to are: Sibling, Parent, Child or Grandchild of the decedent.

Upon receipt of the documentation we will review for authenticity and then proceed with researching the archives to determine what we have available. This may take time as it involves researching our archives.

Valparaiso University – Library Digital Collections

Collections available are listed below and some books date back to 1483:
The Torch
Valparaiso University Yearbooks
Student Artwork
Alumni News
Old School Ledgers (equivalent to grade reports) beginning 1895
Old School Ledgers (Student Accounts – formerly Northern Indiana Normal School) 1895
Bowden Collection
Reformation Collection and Luther’s Books from our Collection

PostSecretU - Secret thoughts posted by students

References for this training and information session consisted of AACRAO’S 2019 edition of the Student Records Management publication, the Office of General Counsel’s website regarding policies for Faculty and Staff, the Records Retention Schedule and Destruction Policy approved by the President’s Council on January 14, 2014 (which needs to be updated), along with procedures currently in place developed by the Office of the Registrar.