• University Record Retention

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    This policy sets forth the standards and procedures for use by University personnel in connection with the retention of University records by various departments of the University. Legal FileIt is the intention of this policy to ensure that all University records are maintained in accordance with all applicable legal and policy requirements in order to ensure that University records are not improperly or prematurely disposed of by a University department. At the same time, this policy seeks to give guidance to University employees as to appropriate time frames under which University records that are no longer necessary for the operation of the University may be properly disposed of thereby providing for efficient and effective use of the University’s limited storage capacity.

    Process for Disposal of University Records

    The head of any University department is authorized to dispose of University records upon meeting the following criteria:

    • The records to be disposed of meet or exceed the time frames set forth for such records in the applicable appendices attached to this policy.
    • The department head shall obtain written approval from his/her area vice president, allowing for the disposal of the records in question. A copy of the written approval by the area vice president shall be sent to the Vice President and General Counsel.
    • The records to be disposed of do not relate to or contain information regarding current, pending, or potential litigation involving the University. Any questions regarding these criteria should be addressed to the Vice President and General Counsel.
    • Records containing student information or sensitive and/or confidential information must be shredded or otherwise rendered unreadable prior to disposal. The procedures for the disposal of electronic media records are set forth in Appendix D. Any questions concerning whether records should be shredded prior to disposal shall be resolved in consultation with the Vice President and General Counsel.
    • The department head shall create and maintain a permanent summary of the records disposed of by category and time frame.

    Under no circumstances shall any employee dispose of University records without following the above procedures. This policy is not intended to apply to the appropriate disposal of individual documents when warranted and approved in the course of an employee’s daily activities but is intended to apply to the disposal of large quantities of out of date University records.

    Determination of Time Frames Under Appendices

    If a department head seeks to dispose of certain University records that are not listed in an appendix of this policy, no disposal of those records shall be made prior to the establishment of a time frame for their disposal under the applicable appendix. Such records shall be brought to the attention of the University’s Vice President and General Counsel who shall make a determination of a time frame for the disposal of such records in consultation with the appropriate area vice president. That determination shall be reviewed and approved by the President’s Cabinet. Once approved, the determination shall be included in applicable appendix and the records in question may then be disposed of in accordance with this policy.

    Appendix A - Miscellaneous Records

    Appendix B - Police Department Records

    Appendix C - Office of Registration and Records

    Appendix D - Disposal of Electronic Media Records

    Appendix A - Miscellaneous Records

    RECORD NAME # OF YRS DEPARTMENT
    1099 Forms Permanent Finance
    Accounts Payable Ledgers Current Year + 7 Finance
    Accounts Payable Records Current Year + 7 Finance
    Accounts Receivable (Miscellaneous) Current Year + 7 Finance
    Accreditations Records Permanent President
    ADA/Section 504 (Student) 2 years following graduation Disability Services for Students
    ADA/Section 504 (Employee) Permanent AA, Human Relations & Compliance
    Admin. Organization & Operation Manuals Permanent Issuing Department
    Admission Records (attending) 3 years after graduation/last attendance Office of Registration and Records
    Admission Records (non-attending) 3 years after admission decision Admission
    Alumni Records Permanent University Advancement
    Annual Budget Permanent Finance
    Annual Financial Report Working Papers Permanent Finance
    Annual Financial Statements (Audited) Permanent Finance
    Annuity Gift Agreements Permanent University Advancement
    Athletic Trainer Records 5 years after graduation Athletics
    Bad Debts (Journal Entry Backup) Permanent Finance
    Bank--Cancelled Checks Current Year + 7 Finance
    Bank Reconciliation Current Year + 7 Finance
    Bank Statements Current Year + 7 Finance
    Bills of Lading 4 years Finance
    Board of Trustees' Records Permanent President
    Bond Indentures Permanent Finance
    Bookstore Inventory Records Current Year + 3 Bookstore
    Bylaws Permanent President
    Campus Security Act 3 years from first available date Police Department
    Cash Receipt Register Current Year + 7 Finance
    Cash Receipts, Deposits Current Year + 7 Finance
    Certificate of Incorporation Permanent General Counsel
    Certificates of Deposit Until cashed & audited Finance
    Certificates of Stock, Bonds, etc. Until cashed & audited Finance
    Charters Permanent President
    Claims (after settlement) 10 years Insurance
    College Work Study (Report with FISAP) Current Year + 7 Finance
    Commission on Higher Educ. Correspondence Files Permanent Departmental
    Contracts and Agreements 8 years from end of contract period General Counsel/Dept
    Copyrights and Trademark Office of Registration and Records Permanent General Counsel
    Corporate Charter Permanent Finance
    Corporate Documents Permanent General Counsel
    Correspondence 4 years Departmental
    Credit Memos Current Year + 7 Finance
    Deeds and Easements Permanent General Counsel
    Deferment Roster (Student Loans) Current Year + 7 Finance
    Delinquent Roster (Student Loans) Current Year + 7 Finance
    Depreciation Policies Permanent Finance
    Disability and Sick Benefits Records Permanent Human Resources
    Drug Free Schools 3 years after report Administrative Services
    Earned Income Credit Report Permanent Finance
    EEO6 IPEDS 2 years Academic Affairs
    E-mail 30 days (current file), 18 months (back-up file) Departmental/Info Systems
    Employee Benefit Plans 5 years after term of program Human Resources
    Employee Health Records 30 years Health Services
    Employee Medical Records 30 years Human Resources
    Employment Contracts (expired) 8 years Human Resources
    EO 11246 2 years Human Resources/AA, Human Rel. & Compliance
    ERISA Documents 6 years from filing date Human Resources
    Expense Reports (Accounts Payable) Current Year + 7 Finance
    Facilities Master Plan Permanent Facilities Management
    Financial Aid Records 3 years from time created/1 year after repay Financial Aid
    Fire Inspection Reports 6 years Police Department
    Fixed Asset Additions--Substantiating Documents Current Year + 7 Finance
    Fixed Asset Inventory Document Permanent Finance
    Fixed Asset Retirements--Related Details Current Year + 7 Finance
    Flexible Benefits Request Reimbursement 4 years Human Resources
    General Ledger Transaction Report Permanent Finance
    General Ledger/Journal and Supporting Documents Permanent Finance
    Gift Pledge Forms 6 years from date of last scheduled payment or until gift fully paid University Advancement
    Gift Record Receipts 7 years University  Advancement
    Grant Documents & Related Information 5 years after completion of grant activity Finance/Dept
    Grants in Aid (Faculty) 10 years Academic Affairs
    Group Disability Records 8 years Human Resources
    Group Insurance Reports 10 years Human Resources
    Hiring Transaction File 3 years Human Resources
    Honorary Degrees Conferred Permanent President
    Housing Academic Year Student Services
    I-9 3 years after date of hire or 1 year after term, whichever later Human Resources
    Income Tax Payment Checks Permanent Finance
    Informal Correspondence Only as needed Departmental
    Insurance Policies 10 years Insurance
    Insurance Policies (all types--expired) 10 years Insurance
    Insurance Reports 6 years Insurance
    Insurance Waiver Cards (Students) During enrollment/1 year after report of departure Student Services
    Interdepartmental Billing Permanent Finance
    International Student Records (Immigration Status) During enrollment/3 years after report of departure Student Services
    Investigation Reports Permanent AA, Human Relations & Compliance
    Job Application 3 years Human Resources
    Job Description 5 years Human Resources
    Journal Entry Permanent Finance
    Labor Contracts Permanent Human Resources
    Legal Correspondence Permanent General Counsel
    License Correspondence Permanent General Counsel
    Licenses, Patents, Trademarks Permanent General Counsel
    Life Income Agreements Permanent University Advancement
    Logs of Occupational Illness/Injury 5 years Human Resources
    Mission Statements Permanent President
    Mortgages, notes, and leases (expired) Permanent General Counsel
    Motor Vehicle Registration Until sold or disposed Facilities Management
    NCAA Records--General 10 years Athletics
    NCAA Records--Student 5 years after graduation Athletics
    New Const/Major Improv: Blueprints, Specs, Contract Permanent Facilities Management
    OFCCP 2 years AA, Human Relations & Compliance
    Office of Registration and Records See Appendix C Office of Registration and Records
    Organizational Charts Permanent President
    Payroll--Individual Time Reports Current Year + 7 Finance
    Payroll--Miscellaneous Deduction Reports Current Year + 7 Finance
    Payroll--Pay Period History Current Year + 7 Finance
    Payroll--Pay Records Current Year + 7 Finance
    Payroll Employee Files Permanent Finance
    Payroll Including Pension Permanent Finance
    Payroll Records Current Year + 7 Finance
    Payroll Register Current Year + 7 Finance
    Payroll Transaction History Current Year + 7 Finance
    Pell Grant 5 years after award year Financial Aid
    Pension Adjustment Report Permanent Finance
    Pension Report Permanent Finance
    Perkins Loan 5 years from date loan assigned to DOE, cancelled or repaid Financial Aid
    Personnel Files (Faculty) Permanent Academic Affairs
    Personnel Files (Non-Faculty Employees) Permanent Human Resources
    Personnel Files (terminated) Permanent Human Resources
    Personnel Records Permanent Human Resources
    Police Department Records See Appendix B Police Department
    Position Current Year + 7 Finance
    Position Budget Change Current Year + 7 Finance
    Position Change Current Year + 7 Finance
    Position Transaction File 3 years Human Resources
    Presidential Calendars 10 years President
    Pub Records (Tax and Financial) Permanent Student Services
    Purchase Order Cancellation 1 year Finance
    Purchase Order Documentation Current Year + 3 Finance
    Purchase Order Line Item 3 years Finance
    Purchase Orders/Requisitions 3 years Finance
    Purchase Order, Vendor Invoices Current Year + 7 Finance
    Purchase Records (unless otherwise defined) 6 years Finance
    Real Property Indefinitely Finance
    Residential Life Security Reports (RA/NightHawks) 3 years Student Services
    Restricted Contribution Notification Letters 3 years after restriction lapse University Advancement
    Retirement Records Permanent Human Resources
    Sabbatical Applications 10 years Academic Affairs
    Safety Reports 9 years Insurance
    Salary Rates Permanent Human Resources
    SEGG 5 years after submit report for award year Financial Aid
    Shipping and Receiving Reports 4 years Finance
    Shipping Papers 6 years Finance
    Strategic Planning Documents Permanent President
    Student Academic Records (General) See Appendix C Office of Registration and Records
    Student Academic Records (Transcripts) See Appendix C Office of Registration and Records
    Student Club & Organization Files 5 years Student Services
    Student Discipline Records (Expulsion, Suspension) Permanent Student Services
    Student Discipline Records (General) 7 years after graduation Student Services
    Student Immigration F-1 During enrollment/1 year after report of departure Admission
    Student Immigration J-1 3 years Admission
    Student Immigration M-1 During enrollment/1 year after report of departure Admission
    Student Loan Ledger (FYE Run) Permanent Finance
    Student Medical Records 7 years Student Services
    Student Receivable--Drop/Add Records Current Year + 7 Finance
    Student Receivable--Individual Student Files Current Year + 7 Finance
    Student Receivable Ledgers Current Year + 7 Finance
    Student Receivable Transactions (Daily Work) Current Year + 7 Finance
    Student Residential Life Records During enrollment/1 year after report of departure Student Services
    Support for Endowment Contributions Permanent University Advancement
    Tax Correspondence Permanent Finance
    Tax Records of Employee Wages Permanent Finance
    Tax Return Support Permanent Finance
    Tax Returns and Work Papers Permanent Finance
    Title IV 3 years from date of alleged discrimination General Counsel
    Title IX 3 years from date of alleged discrimination General Counsel
    Trial Balance (FYE Run) Permanent Finance
    Trust/Bequests Indefinitely Finance
    Unclaimed Property 5 years after report files Police Department
    Unemployment Compensation Report - Quarterly Permanent Finance
    Unrestricted Contribution Notification Letters Permanent University Advancement
    Vacation Liability Report Permanent Finance
    W-4 Permanent Finance
    Withholding Tax Statements (W-2) Permanent Finance
    Workmen's Comp. Summary by Class Until Audited Insurance
    Workmen's Comp. Alpha List Until Audited Insurance

    Appendix B - Police Department Records

    Record Name # of Yrs
    Building Checklists 3 years
    Complaint Dispatch Reports 5 years
    Court Calendars 1 year
    Department Annual Reports Permanent
    Emergency Medical 5 years
    Emergency Phone Checks 3 years
    Employee Call-Out Lists 5 years
    Evidence Logs Permanent
    Fire Drill 7 years
    Headquarters Logs 5 years
    Lost & Found 5 years
    Master Name Index Cards Permanent
    Motorist Assist 2 years
    Municipal Traffic Summonses 60 days
    Police Incident--homicide, sudden death, accidental death cases, motor vehicle reports involving a fatality Permanent
    Police Incident--any case involving an arrest 75 years
    Police Incident--operations reports on non-criminal matters 3 years
    Police Incident--investigation reports related to criminal cases where no arrests are made 7 years
    Police Incident--UCR Reports 3 years
    Police Incident--Motor Vehicle Accident Reports (excluding fatalities) 6 years
    Service Orders 3 years
    Shift Commander Reports 5 years
    Student Disciplinary Notices from Residential Life Upon destruction of case jacket
    Training Files Permanent
    Uniform Issuance/Turn-In 2 years after officer retires
    University Parking Summonses (Unpaid) Permanent
    University Parking Summonses (Resolved) 3 years after final disposition
    Vehicle Checklists 3 years after disposal of vehicle
    Vehicle Titles/Registration (Employee) 1 year after termination of employment
    Vehicle Titles/Registration (Student) 6 years after issuance

    Police Department Records not listed above shall be governed by Appendix A.

     

    Appendix C - Office of Registration and Records

    Record Name # of Yrs
    Admission Records (attending) 3 years after graduation/last attendance
    Change of Grade Permanent
    Course Catalog Permanent
    Course Data Sheets Permanent
    Course Schedule Booklet Permanent
    Course Schedule Worksheets 2 years
    Grade Sheets Permanent
    Permanent Record Card (inactive) Permanent
    Permanent Record Card PRC Microfilm Permanent
    Semester Reports/Statistics Permanent
    Student Folder/Active Retained until student has a break in attendance and then moved to inactive
    Student Folder/Inactive (includes: Academic Amnesty Documentation, Admission Materials, Audit Forms & College Withdrawal, Change in Curriculum, Credit by Exams, Curriculum Charts/Programs, Declaration of Minor, Independent Study Applications, Permission to Attend Forms, Academic Dismissal/Probation, Veterans Certification, Correspondence, Graduation Documentation, Leave of Absence Documents, Request for Incomplete Grade, Transfer Credit Evaluations, Waivers of Requirement, Transcripts--Other Institutions) 3 years then hardcopy shredded and microfilm copy permanent

    Records not listed above shall be governed by Appendix A 

    Appendix D - Disposal of Electronic Media Records 

    The procedures for the disposal of electronic media records are as follows:

    1. All labels identifying the content of the media should be removed or made illegible.
    2. Diskettes and zip disks should be erased and reformatted using the “full-format” option.
    3. Tape media, such as 9-track and 8mm, should be demagnetized and/or physically removed from the tape housing.
    4. CD-ROM media should be physically destroyed.
    5. Any other electronic media record in a format not mentioned above should be rendered unreadable by any other appropriate means.