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in the course of an employee’s daily activities but is intended to apply to the disposal of large quantities of out of date University records.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
- 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 |
| 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:
- All labels identifying the content of the media should be removed or made illegible.
- Diskettes and zip disks should be erased and reformatted using the “full-format” option.
- Tape media, such as 9-track and 8mm, should be demagnetized and/or physically removed from the tape housing.
- CD-ROM media should be physically destroyed.
- Any other electronic media record in a format not mentioned above should be rendered unreadable by any other appropriate means.