The management of University records from creation to destruction should be accomplished in a uniform manner that promotes compliance with laws, regulations, and judicial proceedings, promotes appropriate business objectives, and allows for the management, maintenance, and replacement of associated information systems technology in an efficient and cost-effective manner.
Below are resources for management and retention of University records.
- Record Retention Policy opens a new website
- Destruction of University Records Procedures opens a new website
- Records Retention Schedule
- Data Classification Rule opens a new website
- Data Protection and Security Policy opens a new website
Disposing of University Records Recommended Checklist
The following checklist is recommended for departments disposing of university records:
- Check eligibility.
- Consult the Records Retention Schedule to see if record retention period has expired.
- Records for which the record retention period is described as permanent may be eligible for archiving at University Archives. Consult University Archives to determine if such records meet their criteria for archiving. Contact University Archives opens a new website.
- Determine data classification.
- Consult UAB's Data Classification Rule opens a new website to determine if documents contain public, sensitive, or restricted/PHI data.
- Dispose of information appropriately.
Note: Financial Affairs opens a new website has established shredding vendors though University Contracts. All paper shredding and recycling vendors are required to complete a UAB-approved Business Associate Agreement to comply with HIPAA regulations.
The Office of Compliance & Risk Assurance oversees the policy development process at UAB. This includes managing the UAB Policies and Procedures Library and ensuring all new and revised University-wide and departmental policies meet the requirements of UA System Board Rule 108.
Policies are written by those in authority to mandate or constrain actions within the UAB community or ensure coordinated compliance with applicable laws or regulations. All new and revised policies must meet the following requirements:
- UAB stakeholders are given the opportunity to review and provide feedback on the policy draft.
- Office of Counsel and Office of Compliance & Risk Assurance are involved in drafting the policy or are given the opportunity to provide feedback on the policy draft.
- The policy draft is benchmarked with similar University of Alabama and University of Alabama in Huntsville policies.
- The policy draft is consistent with UA System Board Bylaws, Rules, and pronouncements.
UAB’s Campus Designee is available to guide policy owners through the development process. Reach out to
Resources for Policy Owners and Policy Contacts
UAB is committed to promptly and thoroughly reviewing concerns of wrongful conduct brought forward in good faith. Where warranted based on the conclusions of a review or investigation, UAB takes appropriate actions to correct errors, eliminate deficient practices, and/or make improvements. General information is available below on how reviews and investigations may be conducted at UAB. Review and investigation processes vary based on the subject matter and the unit or body conducting the review or investigation.
Process Overview
Step One: Referral and Initial Inquiry
- Concerns may be reported through the UAB Hotline or to a supervisor or other central UAB office
- Reports are referred to the appropriate office for review
- Reviewers will evaluate the allegations and either recommend further investigation or an alternate resolution
Step Two: Investigation
- Reviewer may follow up with the involved parties and potential witnesses to gather additional information
- Evidence that is provided in the initial report, as well as any additional evidence gathered during the investigation, is reviewed
Step Three: Outcome
- Appropriate action is taken based on the information gathered during the investigation
UAB recognizes the importance of balancing the need to arrive at the truth with respectful consideration of the confidentiality and/or anonymity of the parties involved. Every attempt is made by the reviewers to be attentive to those considerations in the course of a review or investigation. Individuals who are asked to participate in a review or investigation should be open and truthful in answering any questions, cooperate fully, and respect the privacy of the matter by not discussing it with others, unless as directed by the reviewer. Individuals may also be asked to assist in developing and implementing corrective actions.
UAB values the privacy of our students, faculty, employees, patients, and others who interact with the University. Each UAB community member is required to comply with federal and state laws and regulations, agreements with third parties, and UAB policies pertaining to the use, protections, and disclosure of confidential and sensitive information. Learn more about UAB’s privacy program opens a new website.
Effective January 1, 2021, the revised UAB Enterprise Conflict of Interest and Conflict of Commitment Policy opens a new website describes UAB Enterprise's commitment to conducting its activities in ways that promote and maintain public trust and sets forth requirements for employees and other designated individuals in identifying and managing conflicts of interest and conflict of commitment. The policy applies to all UAB Enterprise employees, including all investigators who engage in research on behalf of UAB Enterprise.