Records Retention and Destruction
|
Policy title
Records Retention and Destruction |
Category
Human Resources
|
|
Owner
Human Resources
|
Approved by
Business and Human Resources Offices
|
Policy statement
Purpose of the Records Retention Policy
The purpose of this policy is to provide guidelines that each department of Ƶ (Ƶ) should follow in organizing and retaining its records.
Definition of “Record”:
A record is recorded information, regardless of media or characteristics, that is made by, received by, and/or used in the operation of an organization. Records include materials created internally and by third parties. Records are writings of any kind, including, without limitation: correspondence, including electronic mail communications; memoranda; handwritten or other notes; diaries; calendars; proposals; statistics; letters; materials; invoices; orders; directives; interviews; telegrams; minutes; reports; studies; contracts; statements; transcripts; summaries; pamphlets; books; interoffice and intraoffice communications; notations of any sort of conversation, telephone calls, meetings or other communications; bulletins; printed matter; teletype; telefax; worksheets; and all drafts, alterations, modifications, changes and amendments of any of the foregoing; graphic or aural recordings or representations of any kind, including without limitation, photographs, charts, graphs, microfiche, microfilm, videotape, records, motion pictures; and computerized, electronic, mechanical, or electrical recordings or representations of any kind, including without limitation, tapes, cassettes, cartridges, discs, chips, and records.
Notes on the Policy:
This policy assists Ƶ in ensuring that:
- The University retains records for the required periods of time as governed by Federal and State Laws.
- All records necessary for business purposes are retained for a period of time that will reasonably assure their availability as needed.
- The University will maintain adequate records to document its compliance with relevant laws to the best of its ability.
- Vital records will be safeguarded.
- All unnecessary records may (and should) be destroyed in order to reduce the high cost of storing and indexing these records.
- Destruction of records shall take place only in compliance with a standard policy which has been developed for business purposes in order to avoid the inference that any record was destroyed in anticipation of, or as a result of, a specific problem.
- Records not subject to retention under this policy must nonetheless be retained in certain circumstances, such as in the event of threatened claims, litigation, or government inspections. Care will be taken to ensure that any and all records relating to such claims, litigation, government inspections, etc. are retained. Such records will not be destroyed unless and until permission for destruction has been granted by the President and Vice President for Finance and Administration.
- The privacy and security of records shall be appropriately assured.
- Records that are maintained in individual offices, at home, or any other off- site location are subject to these guidelines and shall not be retained in excess of these guidelines.
- When destroying records pursuant to this policy, each department should consider whether the records to be discarded are of a confidential or sensitive nature and, if they are, should ensure that such confidential or sensitive records are shredded before they are discarded.
Table of Contents
I. Admissions
II. Commencement
III. Financial Aid
IV. International Education
V. Registrar
VI. Student Life
VII. Alumni/University Advancement
VIII. Library
IX. Business Office
X. Human Resources
XI. Maintenance/Physical Plant
XII. Physics
XIII. President’s Office
| Retention Period | |
|---|---|
| Advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports (ACT, CEEB, etc), residency classification forms, letters of recommendation, transcripts – high school or other college | 2 years from date of start of application term |
| Retention Period | |
|---|---|
| Commencement programs | Permanent |
| Retention Period | |
|---|---|
| Financial aid records (applicants who do not enroll) | 3 years from date of graduation |
| Financial aid records (applicants who enroll) | 5 years from graduation date |
| Student Loan records | 3 years after the loan has been repaid in full |
| Retention Period | |
|---|---|
| International student forms (visa documentation, etc) | 5 Years |
| Retention Period | |
|---|---|
| Academic actions(dismissal, etc) | 5 years from graduation or date of last attendance |
| Academic records (including narrative evaluations competency assessments, etc) | Permanent |
| Advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports (ACT, CEEB, etc.) | 5 years from graduation or date of last attendance |
| Catalogs | Permanent |
| Change of Course forms-Continuing Education, Summer Sessions and Extramural Studies | 5 years from date of enrollment |
| Change of Grade forms | Permanent |
| Change to Student ID number | Permanent |
| Class Lists(original) | Permanent |
| Consent to Release Personally Identifiable Information | Kept until next academic year signatures kept 5 years |
| Course offerings | Permanent |
| Curriculum Change Authorizations | 5 years from graduation or date of last attendance |
| Degree, grade, enrollment and racial/ethnic statistics | Permanent |
| Grade Sheets | Permanent |
| Graduation Lists | Permanent |
| Hold or Encumbrance Authorizations | Until Released |
| Letters of recommendation | Until date of admission |
| Name Changes | Permanent |
| Original Grade Sheets | Permanent |
| Recruitment materials | Until date of enrollment |
| Residency certificates | Until date of enrollment |
| Residency change documents(non-resident to resident) | 5 years from graduation or date of last attendance |
| Schedule of classes | Permanent |
| Student Class Schedules | 1 year from graduation date or date of last attendance |
| Student Registration forms- Continuing Education, Summer Sessions, and Extramural Studies | 1 year from registration |
| Student Waivers for Right of Access | Until graduation or date of last attendance |
| Term Reports | 5-7 years |
| Transcript requests | 1 year from submission date |
| Transcripts | Permanent |
| Transcripts – High School and other college | Until graduation or date of last attendance |
| Transfer Credit Evaluations | 5 years from graduationVeteran Administration Certifications |
| Veteran Administration Certifications | 5 years from graduation or date of last attendance |
| Withdrawal Authorizations/Leaves of Absence | 2 years |
| Retention Period | |
| Disciplinary records(findings of violation and related case files) | Permanent where penalty imposed is probation, suspension or expulsion (dismissal) otherwise in accordance with the record retention policy of the office of Judicial Administrator |
| Student Health records | 10 years |
| Retention Period | |
|---|---|
| Alumni records | Permanent |
| Gift records | 6 years for hard copy records, Permanent for electronic records |
| Gifts of art | Permanent |
| Original gift letter agreements, signed by the President and the donor | Permanent |
| Original gift letter agreements, all others | Permanent |
| Planned gifts (trusts, life income, agreements, annuities), real estate gifts | Permanent |
| Retention Period | |
|---|---|
| Books, professional periodicals, published reports, etc. | Review annually for usefulness and discard obsolete material |
| Material of historical value (pictures, publications, notes, etc.) | Permanent |
| Trade association materials | Review annually for usefulness |
| Retention Period | |
|---|---|
| Account recollections (balance sheet) | 6 Years |
| Accounting reports (monthly reports) Schedule of Department Balances, Transaction Statements, Account Analysis Statements, monthly and year-todate salary and wage statements | 6 Years |
| Accounts Payable Vouchers and attachments | 6 Years |
| Accounts Receivable Statements | 6 Years |
| Annual financial reports and work papers | Permanent |
| As-built drawings | Permanent |
| Assets: acquisition/disposition | Life of Asset |
| Audit work papers | 6 Years |
| Banking records, including deposit and withdrawal records, bank statements and reconciliation, voided and canceled checks | 6 Years |
| Billing records | 6 Years |
| Capital equipment records | Life of asset; records of equipment purchased on federal funds must be retained for three years after final disposition |
| Cash receipts | 6 Years |
| Certificate of Insurance, Indemnification agreements, hold-harmless agreements, contracts | 6 years after expiration |
| Collection letters after the account is paid in full | 1-5 years |
| Collection litigation files | 3 years after legal settlement and satisfaction of judgment |
| Contracts and agreements | 6 Years |
| Credit Card charge documentation | 6 Years |
| Depreciation records | Life of Asset |
| Documents for leases, licenses, construction contracts and other contracts of a temporary nature, valued at less than $50,000 | 6 years after expiration of lease or contract term |
| Excise tax returns | 6 Years |
| Incident reports, Accident Reports | 4 years after report date |
| Insurance Policies (liability, property, and other policies | Permanent |
| Inventories | Life of Asset |
| Journal entries and back-up documentation | 6 Years |
| New account records and back-up documentation | 6 years after account closing |
| Plans and projections | Permanent |
| Property deeds, easements, licenses, rights of way, leases, rights of first refusal, remainder interests, mortgages | Permanent |
| Property tax returns | 6 years |
| Purchase orders, contracts agreements | 6 years |
| Sales tax returns | 6 years |
| Student loan records | 3 years after the loan has been repaid in full |
| Subsidiary Ledgers (Accounts Receivable, Accounts Payable, etc) | 6 Years |
| Summary Analysis Reports, end of year (fund, source, function) | 6 Years |
| Title insurance policies | 10 years after disposal of property |
| Travel Reimbursements and attachments | 6 Years |
| Trial Balance | 6 Years |
| Tuition and fee charges | 6 Years |
| Retention Period | |
|---|---|
| Academic search plans and statements | 3 Years |
| Academic search waivers | For permanent waivers, 3 years from date of appointment; For limited term waivers, 3 years from satisfaction of subsequent search requirements or appointment termination |
| Affirmative action program | Permanent |
| Annual Conflict of interest Disclosure Statements | 3 Years |
| Annual Payment records(W2, Alpha lists, employee transactions lists) | Permanent |
| Conciliation agreements/Orders on Consent | Permanent |
| Documents supporting other academic or nonacademic selection decisions (e.g., promotion, termination, compensation) | 3 years from effective date of decision |
| EEO-1 and EEO-2 employer information reports | 2 years after superseded or filing (whichever is longer) |
| Employee Eligibility for pension | 6 years after death of eligible employee and beneficiary |
| Employee personal information (name, address, social security numbers, period of employment) | 6 years after death or eligible employee and beneficiary |
| Employee service records | 6 years after death of eligible employee and beneficiary |
| Employees personnel files (Including application, resume, payroll, appointment/salary forms) | 6 years after termination |
| Federal reporting requirements: welfare benefits and other fringe benefits plans (i.e., 5500-s) | Permanent |
| Federal and state required statistics and reports | Permanent |
| Grievances | No cause findings: 3 years from determination Cause findings, Permanent |
| I-9 Forms (faculty and staff) | 3 Years after termination |
| I-9 Forms (students) | 3 Years after termination |
| Imputed Income records | 6 Years |
| Individual contracts of employment | 6 years after termination |
| Information returns filed with federal and state authorities (W2, 941, 1042S, etc) | 6 Years |
| Job descriptions | 3 years after superseded |
| Leave reporting documents | 4 Years |
| Nonacademic search and hiring forms (Office of Workforce, Diversity, Equity and Life Quality copies of requisition forms, applicant flow cards, ACSS forms, search waivers, documentation of hiring decision forms) | 3 years from date of appointment |
| Nonacademic search materials and documents supporting hiring selection decisions | 3 years from date of appointment |
| Occupational Injury or illness | 5 Years |
| Payroll deduction authorization forms (W4, DBD, CFCU, Bonds) | 5 years after employment ends |
| Payroll vouchers | 3 Years |
| Pension or pension plans filed with the Department of Labor and the Internal Revenue Service | Permanent |
| Pension paid to employees or their beneficiaries | 6 years after death of employee and beneficiary |
| Pension plans and all attached amendments | Permanent |
| Performance appraisals | 3 Years after separation |
| Personnel files, appointment letters and forms | |
| Record of payments and deductions (payroll registers, deductions lists, adjustments) | 5 Years |
| Search committee records, including employment applications, resumes, and all applicant search materials | 3 Years |
| Sexual harassment complaints, investigations and findings | No Cause findings, 3 years from determination. Cause findings, Permanent |
| Tenure of promotion dossiers | If action approved, 3 years If tenure denied, 3 years from end of term appointment |
| Time cards, other | 3 Years |
| Time cards, student | 3 years after the date that all student loans are paid |
| Wage assignment orders | 5 years after closed |
| Worker’s compensation claims and insurance polices | 18 Years |
| Retention Period | |
|---|---|
| Accident report | 4 years after report date |
| Crime report | 4 years after report date |
| Evacuation drill records | 5 Years |
| Fire Protection Systems | 5 Years |
| Hazardous waste disposal manifest and reports | 3 Years |
| Incident records | 5 Years |
| Portable extinguisher training records | 3 Years |
| Property damage reports | 4 years after report date |
| Radioactive material receiving and inventory records | 3 Years |
| Radioactive materials license and safety committee records | Permanent |
| Retention Period | |
|---|---|
| Radiation dose reports | Permanent |
| Radiation safety training records | 3 Years |
| Retention Period | |
|---|---|
| Board of Trustee minutes | Permanent |
| Bylaws | Permanent |
| Charter | Permanent |