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University Record Retention

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. It 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

1099 FormsPermanentFinance
Accounts Payable LedgersCurrent Year + 7Finance
Accounts Payable RecordsCurrent Year + 7Finance
Accounts Receivable (Miscellaneous)Current Year + 7Finance
Accreditations RecordsPermanentPresident
ADA/Section 504 (Student)2 years following graduationDisability Services for Students
ADA/Section 504 (Employee)PermanentAA, Human Relations & Compliance
Admin. Organization & Operation ManualsPermanentIssuing Department
Admission Records (attending)3 years after graduation/last attendanceOffice of Registration and Records
Admission Records (non-attending)3 years after admission decisionAdmission
Alumni RecordsPermanentUniversity Advancement
Annual BudgetPermanentFinance
Annual Financial Report Working PapersPermanentFinance
Annual Financial Statements (Audited)PermanentFinance
Annuity Gift AgreementsPermanentUniversity Advancement
Athletic Trainer Records5 years after graduationAthletics
Bad Debts (Journal Entry Backup)PermanentFinance
Bank–Cancelled ChecksCurrent Year + 7Finance
Bank ReconciliationCurrent Year + 7Finance
Bank StatementsCurrent Year + 7Finance
Bills of Lading4 yearsFinance
Board of Trustees’ RecordsPermanentPresident
Bond IndenturesPermanentFinance
Bookstore Inventory RecordsCurrent Year + 3Bookstore
Campus Security Act3 years from first available datePolice Department
Cash Receipt RegisterCurrent Year + 7Finance
Cash Receipts, DepositsCurrent Year + 7Finance
Certificate of IncorporationPermanentGeneral Counsel
Certificates of DepositUntil cashed & auditedFinance
Certificates of Stock, Bonds, etc.Until cashed & auditedFinance
Claims (after settlement)10 yearsInsurance
College Work Study (Report with FISAP)Current Year + 7Finance
Commission on Higher Educ. Correspondence FilesPermanentDepartmental
Contracts and Agreements8 years from end of contract periodGeneral Counsel/Dept
Copyrights and Trademark Office of Registration and RecordsPermanentGeneral Counsel
Corporate CharterPermanentFinance
Corporate DocumentsPermanentGeneral Counsel
Correspondence4 yearsDepartmental
Credit MemosCurrent Year + 7Finance
Deeds and EasementsPermanentGeneral Counsel
Deferment Roster (Student Loans)Current Year + 7Finance
Delinquent Roster (Student Loans)Current Year + 7Finance
Depreciation PoliciesPermanentFinance
Disability and Sick Benefits RecordsPermanentHuman Resources
Drug Free Schools3 years after reportAdministrative Services
Earned Income Credit ReportPermanentFinance
EEO6 IPEDS2 yearsAcademic Affairs
E-mail30 days (current file), 18 months (back-up file)Departmental/Info Systems
Employee Benefit Plans5 years after term of programHuman Resources
Employee Health Records30 yearsHealth Services
Employee Medical Records30 yearsHuman Resources
Employment Contracts (expired)8 yearsHuman Resources
EO 112462 yearsHuman Resources/AA, Human Rel. & Compliance
ERISA Documents6 years from filing dateHuman Resources
Expense Reports (Accounts Payable)Current Year + 7Finance
Facilities Master PlanPermanentFacilities Management
Financial Aid Records3 years from time created/1 year after repayFinancial Aid
Fire Inspection Reports6 yearsPolice Department
Fixed Asset Additions–Substantiating DocumentsCurrent Year + 7Finance
Fixed Asset Inventory DocumentPermanentFinance
Fixed Asset Retirements–Related DetailsCurrent Year + 7Finance
Flexible Benefits Request Reimbursement4 yearsHuman Resources
General Ledger Transaction ReportPermanentFinance
General Ledger/Journal and Supporting DocumentsPermanentFinance
Gift Pledge Forms6 years from date of last scheduled payment or until gift fully paidUniversity Advancement
Gift Record Receipts7 yearsUniversity  Advancement
Grant Documents & Related Information5 years after completion of grant activityFinance/Dept
Grants in Aid (Faculty)10 yearsAcademic Affairs
Group Disability Records8 yearsHuman Resources
Group Insurance Reports10 yearsHuman Resources
Hiring Transaction File3 yearsHuman Resources
Honorary Degrees ConferredPermanentPresident
HousingAcademic YearStudent Services
I-93 years after date of hire or 1 year after term, whichever laterHuman Resources
Income Tax Payment ChecksPermanentFinance
Informal CorrespondenceOnly as neededDepartmental
Insurance Policies10 yearsInsurance
Insurance Policies (all types–expired)10 yearsInsurance
Insurance Reports6 yearsInsurance
Insurance Waiver Cards (Students)During enrollment/1 year after report of departureStudent Services
Interdepartmental BillingPermanentFinance
International Student Records (Immigration Status)During enrollment/3 years after report of departureStudent Services
Investigation ReportsPermanentAA, Human Relations & Compliance
Job Application3 yearsHuman Resources
Job Description5 yearsHuman Resources
Journal EntryPermanentFinance
Labor ContractsPermanentHuman Resources
Legal CorrespondencePermanentGeneral Counsel
License CorrespondencePermanentGeneral Counsel
Licenses, Patents, TrademarksPermanentGeneral Counsel
Life Income AgreementsPermanentUniversity Advancement
Logs of Occupational Illness/Injury5 yearsHuman Resources
Mission StatementsPermanentPresident
Mortgages, notes, and leases (expired)PermanentGeneral Counsel
Motor Vehicle RegistrationUntil sold or disposedFacilities Management
NCAA Records–General10 yearsAthletics
NCAA Records–Student5 years after graduationAthletics
New Const/Major Improv: Blueprints, Specs, ContractPermanentFacilities Management
OFCCP2 yearsAA, Human Relations & Compliance
Office of Registration and RecordsSee Appendix COffice of Registration and Records
Organizational ChartsPermanentPresident
Payroll–Individual Time ReportsCurrent Year + 7Finance
Payroll–Miscellaneous Deduction ReportsCurrent Year + 7Finance
Payroll–Pay Period HistoryCurrent Year + 7Finance
Payroll–Pay RecordsCurrent Year + 7Finance
Payroll Employee FilesPermanentFinance
Payroll Including PensionPermanentFinance
Payroll RecordsCurrent Year + 7Finance
Payroll RegisterCurrent Year + 7Finance
Payroll Transaction HistoryCurrent Year + 7Finance
Pell Grant5 years after award yearFinancial Aid
Pension Adjustment ReportPermanentFinance
Pension ReportPermanentFinance
Perkins Loan5 years from date loan assigned to DOE, cancelled or repaidFinancial Aid
Personnel Files (Faculty)PermanentAcademic Affairs
Personnel Files (Non-Faculty Employees)PermanentHuman Resources
Personnel Files (terminated)PermanentHuman Resources
Personnel RecordsPermanentHuman Resources
Police Department RecordsSee Appendix BPolice Department
PositionCurrent Year + 7Finance
Position Budget ChangeCurrent Year + 7Finance
Position ChangeCurrent Year + 7Finance
Position Transaction File3 yearsHuman Resources
Presidential Calendars10 yearsPresident
Pub Records (Tax and Financial)PermanentStudent Services
Purchase Order Cancellation1 yearFinance
Purchase Order DocumentationCurrent Year + 3Finance
Purchase Order Line Item3 yearsFinance
Purchase Orders/Requisitions3 yearsFinance
Purchase Order, Vendor InvoicesCurrent Year + 7Finance
Purchase Records (unless otherwise defined)6 yearsFinance
Real PropertyIndefinitelyFinance
Residential Life Security Reports (RA/NightHawks)3 yearsStudent Services
Restricted Contribution Notification Letters3 years after restriction lapseUniversity Advancement
Retirement RecordsPermanentHuman Resources
Sabbatical Applications10 yearsAcademic Affairs
Safety Reports9 yearsInsurance
Salary RatesPermanentHuman Resources
SEGG5 years after submit report for award yearFinancial Aid
Shipping and Receiving Reports4 yearsFinance
Shipping Papers6 yearsFinance
Strategic Planning DocumentsPermanentPresident
Student Academic Records (General)See Appendix COffice of Registration and Records
Student Academic Records (Transcripts)See Appendix COffice of Registration and Records
Student Club & Organization Files5 yearsStudent Services
Student Discipline Records (Expulsion, Suspension)PermanentStudent Services
Student Discipline Records (General)7 years after graduationStudent Services
Student Immigration F-1During enrollment/1 year after report of departureAdmission
Student Immigration J-13 yearsAdmission
Student Immigration M-1During enrollment/1 year after report of departureAdmission
Student Loan Ledger (FYE Run)PermanentFinance
Student Medical Records7 yearsStudent Services
Student Receivable–Drop/Add RecordsCurrent Year + 7Finance
Student Receivable–Individual Student FilesCurrent Year + 7Finance
Student Receivable LedgersCurrent Year + 7Finance
Student Receivable Transactions (Daily Work)Current Year + 7Finance
Student Residential Life RecordsDuring enrollment/1 year after report of departureStudent Services
Support for Endowment ContributionsPermanentUniversity Advancement
Tax CorrespondencePermanentFinance
Tax Records of Employee WagesPermanentFinance
Tax Return SupportPermanentFinance
Tax Returns and Work PapersPermanentFinance
Title IV3 years from date of alleged discriminationGeneral Counsel
Title IX3 years from date of alleged discriminationGeneral Counsel
Trial Balance (FYE Run)PermanentFinance
Unclaimed Property5 years after report filesPolice Department
Unemployment Compensation Report – QuarterlyPermanentFinance
Unrestricted Contribution Notification LettersPermanentUniversity Advancement
Vacation Liability ReportPermanentFinance
Withholding Tax Statements (W-2)PermanentFinance
Workmen’s Comp. Summary by ClassUntil AuditedInsurance
Workmen’s Comp. Alpha ListUntil AuditedInsurance

Appendix B – Police Department Records

Record Name# of Yrs
Building Checklists3 years
Complaint Dispatch Reports5 years
Court Calendars1 year
Department Annual ReportsPermanent
Emergency Medical5 years
Emergency Phone Checks3 years
Employee Call-Out Lists5 years
Evidence LogsPermanent
Fire Drill7 years
Headquarters Logs5 years
Lost & Found5 years
Master Name Index CardsPermanent
Motorist Assist2 years
Municipal Traffic Summonses60 days
Police Incident–homicide, sudden death, accidental death cases, motor vehicle reports involving a fatalityPermanent
Police Incident–any case involving an arrest75 years
Police Incident–operations reports on non-criminal matters3 years
Police Incident–investigation reports related to criminal cases where no arrests are made7 years
Police Incident–UCR Reports3 years
Police Incident–Motor Vehicle Accident Reports (excluding fatalities)6 years
Service Orders3 years
Shift Commander Reports5 years
Student Disciplinary Notices from Residential LifeUpon destruction of case jacket
Training FilesPermanent
Uniform Issuance/Turn-In2 years after officer retires
University Parking Summonses (Unpaid)Permanent
University Parking Summonses (Resolved)3 years after final disposition
Vehicle Checklists3 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 GradePermanent
Course CatalogPermanent
Course Data SheetsPermanent
Course Schedule BookletPermanent
Course Schedule Worksheets2 years
Grade SheetsPermanent
Permanent Record Card (inactive)Permanent
Permanent Record Card PRC MicrofilmPermanent
Semester Reports/StatisticsPermanent
Student Folder/ActiveRetained 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.