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11609

General Counsel

University Record Retention

Office of the General Counsel

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-file-finalIt 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.