VCOM Institutional Policy and Procedure Manual

VCOM Policy and Procedure

Policy #U021

Failure to hold and preserve records under such circumstances is a serious matter that may expose a person to disciplinary action, and/or civil or criminal liability.

3.1. Records Related to Audits, Inspection, or Litigation Pursuant to the Federal Rules for Civil Procedure (December 1, 2006), standard practice in organizations is that employees must retain records, including digital records, if litigation occurs or there is a reasonable expectation that the organization will be involved in litigation (or other activities where records may be required, e.g., EEO complaints, etc.). Courts have presumed that if an organization’s records are unavailable, they contain information supportive of a claim against the organization. When litigation is expected, the college may issue a “legal hold” or “litigation hold” on records to ensure that records are not inadvertently or intentionally destroyed or modified. A college employee must not destroy or modify any records, whether print, microform, or digital, involved in, or that might reasonably be expected to be involved in, litigation, claim, negotiation, audit, open records request, administrative review or other action involving the records, regardless of the expiration of its retention period. All reasonable steps should be taken to preserve records so as not to preempt a litigant’s right to compel production of records. Employees must maintain the records until the actions requiring the records have been resolved. The following process will be followed upon notification of a legal/litigation hold: 1. The President and the Vice President for Institutional Policy and Administrative Law determines whether to initiate a legal/litigation hold and identify College personnel subject to the hold. 2. The Vice President for Institutional Policy and Administrative Law will notify affected College personnel that a legal/litigation hold has been initiated. The notice will inform affected personnel of their obligation to identify, preserve, and collect all evidence that may be relevant to the legal hold. 3. Once notice of a legal/litigation hold has been issued, the Vice President for Institutional Policy and Administrative Law will continue to monitor compliance with this policy and the notice and will be responsible for collecting the required documents and submitting to the required parties. 4. Any College employee subject to a legal/litigation hold must consult with senior IT leadership for assistance in securing and preserving their electronic records. • Employee Terminations: In the event an employee leaves the college, IT must validate and verify the legal/litigation hold is complete and preserved. This is done prior to formatting and reassigning the corporate asset. • New Computer: In the event an employee’s computer is identified for lifecycle replacement, IT validates and verifies the legal/litigation hold is complete and preserved. This is done prior to formatting and reassigning the corporate asset. • Email accounts for college employees identified in the legal/litigation hold will be preserved in Microsoft purview as soon as practical after the date of notification of the legal/litigation hold. 5. College employees subject to a legal/litigation hold will submit all records involved to the Vice President for Institutional Policy and Administrative Law. 6. Vice President for Institutional Policy and Administrative Law will determine and communicate to affected College employees when a legal/litigation hold is lifted and evidence no longer needs preserved.

VCOM Records Retention Policy

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