61: Records Retention and Disposition Schedule

Revised: May 2018

The University of Nevada, Reno complies with the NSHE Records Retention and Disposition Schedule. The policy is located in the BOR Procedures and Guidelines Manual Chapter 16.

Section 1. Introduction

This Records Retention and Disposition Schedule was approved by the Board of Regents on December 3, 2015, pursuant to the Board of Regents Handbook, Title 4, Chapter 1, Section 27, and may be amended or revised only upon the approval of the Chancellor.

Records Management Program

Each NSHE institution and unit (the Board of Regents', Chancellor's and System Computing Services' offices), for the management of its records, must:

1. Maintain its records in a manner which is secure, cost effective, and which allows for the rapid retrieval and protection of the information contained within the record;
2. Refrain from accumulating unnecessary records which are not essential to the proper functioning of the institution or unit;
3. Protect confidential personal identifying information of employees and students; and
4. Adhere to the NSHE records retention schedule for retention, disposal and appropriate transfer of records with archival value to the institution or unit archivist, or the State Archivist.

Records Retention Schedule - Special Schedules

NSHE's Records Retention Schedule (Schedule) provides for the management and disposition of institution and unit records. In addition, there may be institution or unit records unique to limited aspects of its operation and therefore, a unique records retention and disposition schedule may be developed in addition to the Schedule. A Special Records Retention Schedule (Special Schedule) must be recommended for approval by the institution or unit Records Retention Officer and General Counsel, and approved by the Chancellor, after review by the state records committee.

An approved Special Records Retention Schedule must be published on the institution or unit website and in the NSHE Procedures and Guidelines Manual.

All NSHE institutions and units shall appoint at least one individual to serve as the Records Retention Officer. The Records Retention Officer shall assist the institution or unit in the management of records in accordance with the records management program and records retention schedule. The Records Retention Officer shall assist personnel in learning and complying with the Schedule. Each employee shall comply with the Schedule for the records they create and/or receive. Each institution and unit must manage their records in accordance with the Schedule or any Special Schedule. Employees should contact their supervisors with any questions regarding the Schedule. The supervisor should contact the Records Retention Officer for assistance as needed.

If an institution or unit identifies records that are not covered in the Schedule or where revisions may be needed, the institution or unit should contact the Records Retention Officer to discuss the Records Retention Schedule. Additions or revisions to the Schedule must be recommended for approval by the institution or unit Records Retention Officer and General Counsel, and approved by the Chancellor after review by the state records committee.

Retention Guidelines

The Schedule is a comprehensive list of records, indicating for each the official repository, length of time the records are to be maintained and their disposition. The Schedule identifies the minimum time period the listed records must be retained, meaning records disposition must not occur before this retention time period expires. When the minimum retention period has been met, the recommended disposition of the records, such as destruction or transfer to either the State Archives or institution/unit archives, may be initiated. All NSHE employees are advised to implement regular, routine disposition procedures and not to "selectively retain" some records longer than others. Certain events called "Disposition Holds" may occur that will require a stop or delay to the regular destruction, recycling or normal disposal of records.

In the event an employee believes a record should be considered for archival review, the employee shall consult with the Records Retention Officer, who shall make the final decision.

General Rule Regarding Retention of Electronic Record or Paper Record

Records should be maintained in the most efficient cost effective format consistent with sound records management principles, and any applicable laws, rules, regulations or court decisions. When a document is maintained only in electronic format, delete it only after expiration of the retention period authorized by this schedule.

Disposition Holds Include:

Audits

When an audit of your area or function is begun, all destruction of records in your custody must cease. During the audit, records should be made available to the auditors subject to confidentiality laws. Upon the completion and resolution of the audit, you may begin to dispose of records in accordance with the Schedule.

Investigations

When you are notified of an investigation involving your area or function, all records must be preserved until the investigation is completed. You should consult with your legal counsel for specific advice.

Litigation

When you receive notification of or reasonably anticipate litigation, you must suspend the destruction or other disposition of all records reasonably related to the subject matter of the litigation and put in place a litigation hold on the records to ensure the preservation of documents and consult with General Counsel.

All destruction of records pertaining to the litigation hold must be stopped until the matter has been resolved. You will be notified by your System or General Counsel when the matter is resolved and advised regarding the proper disposition of the records. All questions regarding litigation or disposition holds must be directed to System or institution General Counsel.

Section 2. Statutory Defined Terms

"Administrative value" means the value found in records that help an agency perform its function.  (NAC 239.575)

"Fiscal value" means the value found in a record relating to the financial transactions and the auditing, budgeting and accounting functions of a state agency. (NAC 239.600)

"Legal value" means the value found in a record which contains proof of enforceable rights, obligations or other legal standing. The term includes any record establishing:

1. Ownership, such as in titles or deeds;
2. Rights or privileges, such as in marriage licenses or drivers' licenses;
3. Obligations, such as in contracts, leases and agreements;
4. Legal conditions, such as court rulings, approved laws and regulations; or
5. Action taken by a governing body (e.g., Board of Regents, student government and foundation boards) which affects the public, such as minutes of meetings or proclamations. (NAC 239.625)

"Research or archival value" means the long-term historical value remaining in a record in which the administrative, fiscal or legal value may have expired. (NAC 239.675)

"Official State Record" and "Non-Records"

1. For the purposes of NRS 239.080, an "official state record" means information created or received by a state agency under authority of law, regulation or other legal mandate or in connection with the transaction of public business that is preserved or appropriate for preservation by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the state agency, including, without limitation, all papers, unpublished books, maps, photographs, machine readable materials including audio and audiovisual materials, or other documentary materials, regardless of physical form or characteristics.
2. The phrase does not include non-record materials. Non-record materials include, without limitation:
   1. Published books and pamphlets, books and pamphlets printed by a governmental printer, answer pads for a telephone or other informal notes, desk calendars, stenographers' notebooks after the information contained therein has been transcribed, unused forms except ballots and as indicated in a retention schedule, brochures, newsletters, magazines, newspapers except those excerpts used as evidence of publication, scrapbooks, physical property, artifacts, library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, or stocks of publications and processed documents.
   2. Work papers used to collect or compile data, or drafts developed from those work papers, unless an appraisal conducted that indicates the work papers or drafts have legal, fiscal, research or archival value. (NAC 239.705)

Destruction of Non-Records

A non-record may, if not otherwise prohibited by law, be destroyed at any time without being scheduled for destruction.

Form of Official Records

An official record can be in electronic or digital fore, original paper, or may be a digital surrogate, at the discretion of the official repository.

Section 3. Duties of Board of Regents

NAC 239.745

1. The Board of Regents shall establish a records management program. The Board of Regents shall provide a facility for the storage of the records on each campus of the Nevada System of Higher Education. The records of each institution must remain with and be preserved by that institution. The Board of Regents shall furnish the Division with general information relating to the operation of the facilities, such as the names, addresses and telephone numbers of the persons managing the program on each campus. Under such a program, each series of records produced and stored by an institution of the Nevada System of Higher Education must be inventoried, appraised and scheduled on forms approved by the Division. The results of the inventory and appraisal must be submitted to the Division for review. The Division shall submit the schedules of the Nevada System of Higher Education to the Committee for approval.
2. The Board of Regents shall provide for the preservation of records from the Nevada System of Higher Education with legal, research or archival value. Except as otherwise provided in this subsection, these records must be stored in facilities which meet the standards set forth in NAC 239.740 or transferred to the State Archives.

Section 4. Who Should Read This Policy

All members of the NSHE community.

Section 5. Procedures - Institution/Units

Responsibilities for Managing Records

1. Each institution or unit's administrator or a designee must do the following:
   1. Implement the institution or unit's records-management practices;
   2. Ensure that the records-management practices are consistent with this policy.
   3. Assist staff within the institution or unit in understanding sound records management practices.
   4. Preserve inactive records of legal, fiscal, administrative, or historical value. These records should be transferred to the appropriate archives.
   5. Ensure that access to confidential files is restricted. Long-term restrictions on access to selected archival records should be specified at the time of their transfer to the appropriate archives.
   6. Set an annual period for reviewing and appropriate disposition of records.
2. Departments and divisions that maintain institution or unit records are responsible to do the following:
   1. Implement the records management practices identified in this policy.

Section 6. Records Retention Schedule Columns Explanation

The four columns in the Record Retention Schedule are explained below.

Column 1 describes the various types of records which can include:

• Record: Any form of recorded information, regardless of physical characteristics, that is created, received, recorded, maintained or legally filed in the course of institution or unit's business or in legal obligations. Institution/Unit Records serve as evidence of the institution or unit's organization, functions, policies, decisions, procedures, operations, transactions or other activities.
• Non-record: Non-record materials include, without limitation, published materials printed by a governmental printer, informal notes, unused blank forms except ballots, brochures, newsletters, magazines, catalogs, price lists, drafts, convenience copies, ad hoc reports, reference materials not relating to a specific project and any other documentation that does not serve as the record of an official action of a state agency. Non-record includes forms, databases, backup files, work papers used to collect or compile data, or drafts developed from those work papers, unless an appraisal conducted by the institution/unit or state archivist indicates that the work papers or drafts have legal, fiscal, research or archival value; and Drafts or documents that are clearly pre-decisional or deliberative.
• Transient: Documents including telephone messages, some emails, drafts and other documents, which serve to convey information of a temporary value, have a very short-lived administrative, legal and/or fiscal value and should be disposed in an appropriate manner once that administration, legal or fiscal use has expired.
  • Typically, the retention is not a fixed period of time and is event driven; it may be as short as a few hours and could be as long as several days or weeks. A transient record is considered a non-record which may be destroyed or disposed of at any time, unless destruction is otherwise prohibited or it is subject to a legal hold.
• Note: Where a record falls into more than one category, the longer period governs. Caution: Departments and divisions that are not official repositories are not required to retain duplicate or multiple copies of records. However, destruction of such duplicates or copies must be in a secure manner if confidential.
• Caution: Certain records, for example in clinical practices, have set destruction policies based on when they are electronically scanned. Such specific policies take precedence over this general policy.

What is Email? Email is not a record type, but is a means of conveying information similar to the United States Postal Service. Its retention is based upon the content of the email message, not the fact that it is an email message.

An email (electronic mail) message is comprised of the following components:

• textual message
• metadata (To, From, Subject, Time, Date, System, etc.)
• attachments

Email has largely taken over the role of "general correspondence" and memoranda, as well as the telephone message. If the email message meets the criteria of a record, it must be managed in accordance with the Schedule.

Email Management: The key to effectively managing email is to get rid of the non-records and any transient/transitory records that have outlived their administrative/legal/fiscal value as quick as possible so only those e-mails that need to be managed on an on-going basis are left. One should approach the management of email in a manner similar to the handling "snail mail" at work and home

• Open the email and review the document's content; this may mean thoroughly reading the document, but usually, only a cursory look at the document, the subject line, and/or the sender is needed to determine whether:
  • It is a non-record and should be deleted immediately, just as "junk snail-mail" non- records are thrown into the trash can or recycle bin.
  • It is a transient/transitory record which should be disposed of as soon as the information is no longer of administrative, legal or fiscal value. A "Transient/Transitory" folder or a sub-folder in a series for the transient/transitory messages can be created to help manage these records
  • It is a record and therefore, should be placed in an appropriate folder by record type/series, project, retention time, or other filing schema that works for one's office/organization and allows that unit to effectively manage the life cycle of the record.

Column 2 identifies the Official Repository for each record.

• Official Repository: The unit, department, or division designated as having responsibility for retention and timely destruction of particular types of institution or unit records or that is the office of the final action or final decision. Such responsibility is assigned to the unit, department or division administrator or a designee.
• Institution/Unit Archives: The office, department or division designated as having responsibility for collecting and preserving records of historical, legal, fiscal, and administrative value. It provides permanent retention of official records of the institution, its officers, and component parts; maps and architectural records; audiovisual materials; and publications documenting the institution's history.

Column 3 sets forth the record retention periods, which can either be set periods of time or event-driven periods. Below is an explanation of retention period terminology:

• Documents are typically retained until they are no longer required for administrative purposes, and then they may be immediately disposed of or there may be a retention period set forth after the documents are no longer in use. Examples: Strategic Plans must be retained for 1 year after a new strategic plan is adopted. For employee or student records the retention period begins when the employee terminates service, the student graduates, or from the date the student last enrolled.
• Fiscal Year in which the document is created or an event occurs plus a specified time or number of fiscal years, e.g. "FY + 4 years," which means the document is to be kept for the fiscal year in which it was created plus 4 more fiscal years; "FY last date of enrollment + 7 years," which means the document is to be kept for the fiscal year in which the student last enrolled plus seven more fiscal years.
• Calendar Year in which the document is created plus a specified time or number of calendar years, e.g. "CY + 4 years," which means the document is to be kept for the calendar year in which it was created plus 4 more calendar years.
• 3 Cycles: This retention period pertains to the retention of electronic back-up files.
• Life of Building: This retention period pertains specifically to buildings. The final retention period begins when a building is destroyed or sold.
• Life of Product: This retention period pertains specifically to products. The final retention period begins when the product is no longer in use.
• Permanent: Do not destroy. Maintain on site or send to Archives.
• Until Superseded: This retention period pertains to documents that are routinely updated and therefore, superseded by the current version.

Column 4 sets forth the proper disposition of the records following the expiration of the retention period.

Most records may be disposed of by regular means, such as recycling or deleting. Some record types are identified on retention schedules as confidential or restricted. These records must be destroyed in a secure manner that will prevent reconstruction or retrieval of the information including but not limited to incineration, shredding, pulping or secure electronic destruction by overwriting, degaussing or physical destruction of the storage media. However, many other records may contain "sensitive" information that has not been declared by law or regulation to be confidential. Some types of "sensitive" information are described in NRS 205.4617 "Unlawful Acts Regarding Personal Identifying Information." NRS Chapter 239B "Disclosure of Personal Information to Governmental Agencies" (See especially NRS 239B.030) also describes such records. Serious consequences may result if these records are improperly disclosed and you must destroy these records in accordance with the Schedule. If you are in doubt about the sensitivity of certain documents or about an appropriate disposal method, you should contact your supervisor.

If any record identified for regular disposition contains confidential or restricted information, then the record shall be destroyed after the period specified in the schedule, but in a secure manner. 

The following are the proper disposition methods that are referred to in the Schedule:

"Regular"--Regular disposal includes, for example, discarding, throwing away, deleting or other method of disposal that does not necessarily prevent reconstruction or retrieval.

"Secure"--Secure disposal means destruction of the record that ensures the information cannot be reconstructed or retrieved, and includes, for example, incineration, maceration, shredding, pulping, or secure electronic destruction, for example, overwriting, degaussing or physical destruction of the storage media. Shred or otherwise render unreadable records with confidential information, including records containing social security numbers, credit card information, drivers' license numbers, patient treatment information, or other information as designated by an information steward.

"Archival Review"--Records with content that may be of value to the documenting the institution, unit or NSHE's history, should be submitted to the institution/unit archives or State Archives for review prior to destruction. When the prescribed retention period for institution or unit records has passed, a determination of whether to preserve or dispose of the documents must be made. To decide if the record is of historic value, consult the appropriate archivist, who has the authority to designate which records are archival.

"Archives"--Records with long-term historical value in documenting the institution, unit or NSHE's history must be transferred to the institution/unit archives or State Archives. These are records for which the legal, administrative or fiscal value to the institution or unit may have expired and therefore, the records can be transferred to the appropriate archives for preservation. All institutions must send any records (paper-based or electronic) that have enduring historical value to the institution or State Archives. These records include, but are not limited to, the following items: annual reports, biographical information of faculty and staff, any information related to the history of the institution or unit and its facilities.

Institution/Unit Archives: The office, department or division designated as having responsibility for collecting and preserving records of historical, legal, fiscal, and administrative value. It provides permanent retention of official records of the institution, its officers, and component parts; maps and architectural records; audiovisual materials; publications; and other materials documenting the institution's history.

"On Site"--Records with a demonstrated on-going legal, fiscal or administrative need to a particular area of the institution or unit shall be maintained permanently at that location which may include maintenance in an electronic system retrievable at that location.

"Other"--Other specific directions for disposition may be provided in the Schedule.

Unless a different "Official Repository" is set forth below, all records should be maintained in the office where they are generated.

Section 7. Records Retention Schedule