General Records Schedule for Alabama Universities




Table of Contents

 



Admitting/Expelling Students

1.01 RECRUITMENT MATERIALS AND RECORDS. Recruitment materials are used to recruit students to attend the university and include videos, publications, posters, correspondence, advertisements, flyers or buttons/pins. Files also may be created for the recruitment of specific students.

REPORTS AND PROCEDURES: PERMANENT.

Other Records: Retain for useful life.

Prior to disposition, check with the university archives for possible

extended retention.

1.02 Students' Admission Files. These files consist of application records for admission into the university degree program and are created for undergraduate, graduate, and transfer students. The files may include acceptance letters, placement records, medical records, test scores, test profiles, or reports of prospective university applicants. Statistical information on test score averages (GRE, ACT, SAT, CEEB files) may also be included.

Letters of Recommendation for applicants who enroll: Retain until admitted.

Accepted Applicants Who Do Not Enroll: Retain 1 year after application term.

Applicants Not Accepted: Retain 1 year after application term.

Residency Reclassification Records: Retain for useful life.

Note: Foreign students may request the return of some of these records.

1.03 Student Disciplinary Files. These records document investigations and disciplinary actions taken against students for violations of university rules and regulations.

Retain 5 years after closure of case file or until the student leaves the university, whichever is longer.

1.04 Requests for Disclosure/Non-disclosure of Personally Identifiable Information.

These records document student requests that their personally identifiable information, which generally consists of name, address and telephone number, be/not be released. Also includes requests to forward student academic transcripts to other agencies, educational institutions or to the student.

Retain 1 year or until no longer applicable, whichever is longer.

1.05 STUDENT HANDBOOKS. These handbooks are produced by the university to provide

information to students about the university and its operation. PERMANENT.

Conveying Knowledge

2.01 COURSE AND CURRICULUM RECORDS. These records include programs of instruction approval files, class/course schedules, university catalogs/bulletins, and proposals and justifications for new courses and changes to courses.

RECORDS OF APPROVED CLASSES: PERMANENT.

Records of classes not approved: Retain for useful life.

2.02 Lesson Plans/Syllabi. These records are created to document what the teacher expects of

the students and to outline assignments and due dates. Retain for life of appeals process.

2.03 Internship Records. These records document activities of interns as part of class

curriculum. Retain for life of appeals process.

2.04 Master Copy of Exams. These records are the master copy of every exam given in the

conduct of a class in the curriculum of the university. Retain for life of appeals process.

2.05 Documentation of Grades and Attendance (Instructor's Copy) These records include

class rolls, grade books, graded exams, papers, student e-mail, and other student work. Retain for life of appeals process.

2.06 Records of Supplemental Learning Centers. These records document the activities of supplemental learning centers, which some universities establish to assist in the learning process through tutoring in specific subject matter or skills. These records do not include records of libraries/learning centers.

Retain 3 years.

2.07 LIBRARY/ARCHIVES RECORDS. These are records created in the management of the library and/or archives.

ACCESSION/DEACCESSION RECORDS, COLLECTION CATALOG INFORMATION, AND CONTROL FILES FOR MANUSCRIPTS AND ARTIFACTS: PERMANENT.

Accession/deaccession Records, Collection Catalog Information, and Control Files for Books: Retain for useful life.

Registration and Circulation Records, Photocopy Order/Receipts, Interlibrary Loan Files, and Reference Retrieval Files: Retain 3 years after end of the fiscal year in which the records were created or in which disputes were settled, whichever is longer.

Control Worksheets/Logs (Archives Manuscripts Control [AMC], Book Cataloging Forms, and Inventory Control Records): Retain 1 year after data verification.

Condition Reports of Non-permanent Records, Finding Aides, and Holdings Inventory Records: Retain until superseded or obsolete.

Recording Hygrothermograph Charts: Retain 5 years.

2.08 Course/Teacher Evaluations. These evaluations are forms that are filled out by students enrolled in the class. The students rate the course and/or teacher. The evaluations are generally summarized in a report, which is used by the university and teacher to improve the course and its presentation.

Filled out evaluations: Retain until completion of summary report or 3 years if no report is created.

Summary Reports: Retain 3 years.

Advising and Assisting Students

Guidance

3.01 Academic Counseling Records. These records document individual students assisted by

the university academic counseling service. Retain for 5 years after termination of enrollment.

3.02 Student's Advisor Records. These records document academic advisors' performance

of their duties with their assigned students. Retain for 5 years after termination of enrollment.

Financial Assistance

3.03 Academic Scholarship Awards Records. These records document the application for, and award of scholarships to students and include correspondence, applications, recommendations, grade listings, statements of need, accounting records, and approvals or disapprovals.

Retain 3 years after end of the fiscal year in which the records are created.

3.04 Athletic Scholarship Award Records. These records document athletic scholarship awards to students and may include correspondence, applications, recommendations, grade listings, accounting records, and approvals or disapprovals.

Records of Awarded Scholarships: Retain 6 years after receipt.

Records of Scholarships Not Awarded: Retain 3 years.

3.05 Alabama G.I. and Dependent's Educational Benefits Records. These records document the award of Alabama G.I. and Dependent's Educational Benefits Program funds to university students who are the dependents of a disabled or deceased Alabama veteran or an individual who is a disabled veteran.

Retain for 8 years from date of certification of eligibility.

3.06 U.S. G.I. and Dependents' Educational Benefit Records. These records document the educational training of students entitled to benefits administered through the U.S. Veterans Administration. Contains certification, discharge papers, course of study information, correspondence, certificates of training, marriage licenses, birth certificates,

registration forms, transcripts, and other related records. Retain for 3 years after termination of enrollment.

3.07 Alabama National Guard Educational Assistance Program (ANGEAP) Records.

These records document the award of ANGEAP funds to university students who are active members of the Alabama national guard. Retain for 5 years after date of certification of application.

3.08 Federal Student Loan Files. These records are created to establish a student's eligibility

for federal loan program awards. Retain 3 years after termination of enrollment.

3.09 Federal Work Study (FWS) and Supplemental Educational Opportunity Grants (SEOG) Records. These records document FWS and SEOG program monies awarded to university students.

Retain 3 years after submission of the Fiscal Operations Report for that award year.

3.10 Institutional Loan Records. These records document the award of institutional loans to

eligible students. Retain until final disposition of the loan.

3.11 Institutional Scholarship Records. These records document the award of institutional

scholarships to eligible students. Retain for 5 years after expiration of scholarship.

3.12 Pell Grant Records. These records document Pell grants awarded to university students and are used to establish and verify a student's eligibility for Title IV financial aid program funds.

Retain for 5 years after the award year.

Student Housing

3.13 Student Housing Records (Dorm Records). These records document the application for, awarding of, and use of student housing facilities by students. Records may include applications, credit reports, references, sign-up sheets, photographs, and inspection reports.

Retain until student account is closed.

Medical/Psychological Care

3.14 Patient Records. These records document medical care provided at the institution's

health center. Retain 10 years after last visit.


3.14 (a) Disabled Student Files. (American with Disabilities Act Files).
Records documenting students' requests for accomodations, as well as the colleges reponse to their requests.

Disposition: Temporary Record. Retain 5 years after students last day of attendance..


Student Activities

3.15 Fraternities, Sororities, Greek Council, and Student Organizations/Government Files (does not include financial records or routine correspondence that are listed elsewhere). These records document the university's involvement with fraternities, sororities, intramural sports, scholastic teams, and other student organizations including their creation, discipline, and dissolution.

Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

3.16 STUDENT PUBLICATIONS. University-wide student publications, which may include newspapers, magazines, game programs, and media guides, document the university and its students.

UNIVERSITY-WIDE: PERMANENT.

Non-university-wide: Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

3.17 University/Student Newspaper and Magazine Files. These records document the day-to-day operation of the school newspaper and/or magazine, but do not include financial records.

Retain 3 years.

3.18 Recordings of University Radio/Television Broadcasts. These records document the

programs provided by the university operated stations. Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

3.19 Radio/Television Station Files and Logs. These records document the administration

and activities of university-funded radio and television stations. Retain 3 years.

3.20 Radio Equipment Requisitions and Letters of Insurance Coverage. The United States Department of Commerce requires documentation of requisitions and insurance for radio equipment used in radio wave broadcasts to be kept ten years.

Retain 10 years.

Athletic Activities

3.21 Drug Dispensing Records. These records document the daily dispensing of drugs by

athletic department staff. Retain 6 years.

  1. Game Films. Consists of university produced films of university sporting events. Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
  2. Athletic Injury Records. These records document injuries to university athletes and athletics staff as well as to members of intramural teams. The records include accident reports, medical records, x-rays, photographs, affidavits, correspondence, billing information, and other related records.

Medical records: Retain 10 years.

Non-medical records: Retain 5 years.

3.24 Letters of Intent. These records document student athletes' intentions of attending a

specific university. Retain 6 years or until resolution of all official actions, whichever is longer.

3.25 ATHLETICS CASE FILES/INFRACTIONS FILES. These records document the investigation of suspected/confirmed infractions of rules and regulations

FILES OF SUBSTANTIATED ALLEGATIONS: PERMANENT.

Files of unsubstantiated allegations: Retain 6 years after closure.

3.26 Injury Surveillance Forms. These records provide information on the frequency and

types of injuries in each sport. Retain 1 year after end of the year in which the record was created.

3.27 OFFICIAL SQUAD LISTS (not intramural). These records document the members of

each sports squad. PERMANENT.

3.28 Team Scouting Reports. These records document opposing teams' strengths and

weaknesses prior to a sporting event. Retain for useful life.

3.29 Drug Test Results. These records document the results of drug tests. Retain 6 years.

Enforcing Laws

4.01 Records of Driving Violations. These records document driving violations and include records of suspension of driving privileges, warning tickets, violations of use of driver license, and sobriety examination reports.

Retain 3 years.

4.02 Alcohol Influence Reports. These records document incidents of driving under the

influence of alcohol. Retain 85 years.

4.03 Records of Non-Traffic Arrests and Tickets and Failure to Appear in Court. These records document incidents of non-traffic arrests and tickets and failure to appear in court.

Retain 5 years.

4.04 Campus Parking Tickets. These records document citations issued and the administrative enforcement of parking rules and regulations. These tickets are issued by university police officers generally in instances where a court appearance is not required. Information available includes date and time, vehicle information, and violation.

Retain 3 years after final disposition.

4.05 Uniform Traffic Ticket and Complaint (UTTC) Records. These records document traffic offenses that occur within the university police's jurisdiction and contain date and time of traffic stop, driver and vehicle information, violation, and court date.

Retain until final disposition of the case.

4.06 Uniform Traffic Ticket and Complaint (UTTC) Transmittal Forms and Receipt Books. The transmittal forms document each traffic ticket given and its receipt by the appropriate court. The receipt books document the issuance of UTTC books to each officer.

Retain 5 years.

  1. Daily Assist Tickets. These records document assistance provided by officers. Retain 5 years.
  2. Uniform Arrest Reports. These records document the date and time of arrest, arrestee's

name, personal information, location of arrest, and cause of arrested. Retain 2 years after disposition of case.

4.09 Alabama Uniform Traffic Accident Reports (AUTAR). These records document all traffic accidents that occur within university police jurisdiction and contain information on time and location of accident, description of the drivers and vehicles involved, victim information, narrative and diagramed description, roadway description, and witness information.

Retain 5 years.

4.10 Felony Awareness Patrol Reports. These are reports made by felony awareness

patrols. Retain 5 years.

  1. Accident Logs. These are logs of accidents responded to by university police. Retain 3 years.
  2. Records of Fatalities, Stolen Vehicles, and Wanted Persons. These are records of

police responses to incidents involving fatalities, stolen vehicles, and wanted persons. Retain 3 years.

  1. Traffic Homicide Records. These are records of traffic accidents resulting in death. Retain 5 years after disposition of case.
  2. Uniform Incident/Offense Reports, Supplements, and Logs. These records document incidents/offenses and accidents that occur on the university campus and surrounding streets that violate university and/or local laws and regulations. They contain case number, type of report, date, time, complainant or victim, address and details of report.

Records of Felonies: Retain 25 years after final disposition of the case.

Records of Misdemeanors: Retain 10 years after final disposition of the case.

  1. Violation Tally Reports and Summaries. These records are summary reports of violations. Retain 3 years.
  2. Daily Accident and Activity Logs and Reports. These records are created to document

the daily activities of officers. Retain 2 years.

4.17 Daily/Monthly Assignment Rosters. These records document the daily activities and work schedules of the campus police department. They contain information on the officer, shift, car number, mileage, calls responded to, violations.

Retain 1 year.

4.18 Alabama Criminal Justice Information System Printouts. These records are printouts

of information from the CJIS system. Retain 1 month.

  1. Use of Force Reports. These records document use of force by officers. Retain 5 years.
  2. Vehicle Door Damage Waivers. These records document waiving of damages that may occur when law enforcement officers are asked to open vehicle doors of motorists who have locked their keys inside a vehicle.

Retain 1 year.

4.21 Confiscated/Abandoned/Stored Vehicle Records. These records document activities

related to the confiscation and removal of abandoned vehicles. Retain 3 years.

4.22 Motorist Assistance Records. These records, which include waivers, document

assistance of motorists by officers. Retain 1 year.

4.23 Radar Logs. These records document check-out, use, and/or repair/calibration of radar

equipment. Retain 5 years.

4.24 Bomb Threat Records. These records document bomb threats received by the

university. Retain 3 years.

4.25 Driving and Criminal History Communication Logs. These records document

communications regarding driving and criminal histories. Retain 3 years.

4.26 Recordings of Police Communications and Actions. These records document calls for

emergency assistance and/or recordings of radio communications and/or police activities. Retain recorded information until final disposition of all cases for which it provides evidence.

  1. Investigation Files. These records document investigations by the department.
  2. Consent to Search Forms. These records document the consent by subject to a police

Records of Felonies: Retain 25 years after final disposition of the case.

Records of Misdemeanors: Retain 10 years after final disposition of the case.

search. Retain 5 years.

4.29 Abandoned Vehicle Stickers. These records are used to track how long a vehicle has

been abandoned. Retain 7 days.

  1. Wrecker Logs. These records document the use of wrecker services. Retain 3 years.
  2. Owner's Requests For Wrecker. These records document the request by a vehicle's

owner for a wrecker. Retain 3 years.

4.32 Wrecker and Wrecker Driver Information Sheets. These records provide information

on the wrecker services utilized by the police. Retain for useful life.

4.33 Alcohol Breath-testing Instrument Inspection Sheets. These records document the

inspection of alcohol-breathing instruments. Retain until disposition of alcohol breath-testing instrument.

4.34 Cross Reference Records. These records provide a cross reference or summary of the incidents or offenses involving a single individual and contain personal information and date and type of incident/offense.

Retain until no longer useful.

4.35 Dispatch Records. These records document the dispatch of campus police officers to

investigate disturbances or possible crimes. Retain 3 years.

Evaluating Performance and Conferring Credentials.

5.01 College/Department Student Academic Files and Grade and Course Credit Records.

These records document individual students in individual college and department offices and include grade change documentation, advanced credit posting authorizations, and student teaching program and certification records.

Retain 5 years.

5.02 GRADE SHEETS SUBMITTED BY INSTRUCTORS/CLASS LISTS. These

records document the grades given by an instructor to the members of a particular class. PERMANENT.

5.03 GRADE STATISTICS. These reports are created to provide statistical information on

student grade point or quality point averages. PERMANENT.

5.04 GRADUATION LISTS. These records are lists of individuals who have successfully completed the degree requirements and have been graduated from the university. Note: This list may be part of the Board of Trustees minutes.

PERMANENT.

5.05 INDIVIDUAL STUDENT ACADEMIC RECORDS. These records consist of the official student record of an individual student for his/her period of enrollment at a university and include all academic documentation for an individual student, including transcripts, narrative evaluations, competency assessments, and academic action.

Continuing Education Records not required to produce a transcript: Retain for 5 years after date of last attendance.

OTHER INDIVIDUAL STUDENT ACADEMIC RECORDS (includes continuing education records that are required to produce a transcript and Individual Student Transfer Evaluations): PERMANENT.

5.06 Continuing Education Program Files. These records consist of continuing education

program files documenting students enrolled in continuing educational classes. Retain 5 years.

5.07 Changes of Course (Drop/add). These records document the student's change of

courses. Retain 1 year.

5.08 Comprehensive Examination Records. These records document a student's grades on

comprehensive exams. Retain 5 years.

5.09 Transfer Equivalents Files (Articulation). These records document the process for transferring credit from other institutions of higher education accepted by a university.

Individual Student Transfer Evaluations: File with individual student academic records.

Other: Retain for useful life.

5.10 Graduation Authorizations. These records document graduation authorizations to

verify degree requirements. Retain 5 years after date of student's last attendance.

5.11 Graduation Applications. These records document the application for graduation. Retain 1 year after date of student's last attendance.

Conducting Research

6.01 RESEARCH PROJECT RECORDS. These records are created over the course of a research project and document procedures, steps taken, and results. These records include Lab Notebooks.

FINAL REPORTS AND PUBLICATIONS: PERMANENT

Lab Notebooks: Retain until completion of final report. Prior to disposition, check with staff members of the university legal section and archives for possible extended retention. Examples of records requiring a longer retention are those associated with patents.

Other records: Retain until completion of final report.

6.02 Records of Research Presentations. These records document presentations of research

findings. Retain 3 years, unless desired by archives.

6.03 RESEARCH POLICIES. These records document the policies of a university regarding

its research at a given time. PERMANENT.

  1. Research Agreements. These records document agreements regarding research projects. Retain 6 years after expiration of agreement.
  2. Abstracts of Research Publications. These records document publication abstracts. Retain 5 years.

Administering Internal Operations

Managing the University:

7.01 BOARD OF TRUSTEES RECORDS. These records may include meeting agenda, minutes, reports, and proposals, as well as documentation of the award of honorary degrees and citations.

PERMANENT.

7.02 RECORDS OF UNIVERSITY- WIDE STANDING COMMITTEES. These records are created by university-wide standing committees and may include minutes and recommendations.

PERMANENT.

7.03 Records of Other Committees. These records are created by committees other than

university-wide standing committees. Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

7.04 Recordings of Meetings of Board of Trustees and Standing and Ad Hoc Committees.

These records are created during meetings to assist in the creation of minutes. Retain until the official minutes are adopted and signed.

7.05 Minutes and Recordings of Meetings (Not including Board of Trustees and Standing and Ad Hoc Committees). These records are created to document decisions reached at a meeting.

Retain for useful life.

7.06 PRESIDENT'S/CHANCELLOR'S/VICE PRESIDENT'S/ ATHLETIC DIRECTOR'S FILES. These records, which do not include routine correspondence, document the policies of the university.

PERMANENT.

7.07 POLICIES AND FACULTY HANDBOOKS. Document university guidelines,

policies, and procedures. PERMANENT.

7.08 ACCREDITATION RECORDS (Assessment/Self-Study Reports). These records document accreditation reviews by accrediting agencies.

FINAL ASSESSMENT/SELF-STUDY REPORTS AND RESPONSES: PERMANENT.

Other records: Retain until completion of next accreditation review.

7.09 ANNUAL REPORTS (Includes university, school/college, and unit reports). These

records document activities by the university and by each unit. PERMANENT.

7.10 Publications and Publicity Materials. These records include publications concerning the university and its work and are issued for distribution to the public. Publicity materials document university activities and may include newsletters, programs, speeches, photographs, contact prints, negatives, enlargements from negatives, audio and video tapes, and transparencies. Note: for each item there should be an identification that includes subject, the occasion, the place, and the date.

Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

7.11 Administrative Reference Files/Working Papers/Preliminary Reports and Data/Informal Surveys. These records are created to assist in the completion of projects and/or reference and are usually only needed for a short period of time.

Retain for useful life.

7.12 Telephone Logs/Calendars. These records are used to document contacts and

scheduling. Retain for useful life.

7.13 Records documenting legal cases. These records document legal cases involving the

university. Retain 6 years after final settlement. Prior to disposition, check with the university archives for possible extended retention.

7.14 University Grievance Files. These records document grievances initiated by faculty,

staff, and students and may contain grievance committee meeting minutes. Retain for 3 years after action taken on case and settlement of all claims due.

7.15 Records of Non-Academic Committees. These records are created to document

meetings and actions of university committees. Retain 3 years.

7.16 Routine Correspondence (includes requests for information). These records are correspondence regarding routine matters.

Routine correspondence that relates to finances: Retain 3 years after end of the fiscal year in which the records were created.

Routine correspondence that does not relate to finances: Retain for useful life.

  1. Mailing Lists. These records are created to enable distribution of information. Retain for useful life.
  2. Records documenting the implementation of the university's approved RDA. These records include copies of transmittal forms to Archives or the State Records Center, evidence of obsolete records destroyed, and annual reports to the State Records Commission.

Retain 3 years after end of the fiscal year in which the records were created.

7.19 Copy of RDA. The agency's copy of the RDA is its legal authority to dispose of its

records according to the listed disposition requirements. Retain 3 years after end of the fiscal year in which the RDA is superseded.

7.20 Information Systems Documentation. These records include hardware/software

manuals and diskettes, and warranties. Disposition: Temporary Record. Retain documentation of former system 3 years after the end of the fiscal year in which the former hardware and software no longer exists anywhere in the agency and all permanent records have been migrated to a new system.

Managing Finances:

7.21 PERMANENT FINANCIAL DOCUMENTATION. These records are financial documentation that is required by/of the university for permanent retention and include: tuition and fee schedules, annual endowment fund reports, charts of accounts, general ledgers, annual financial statements, and annual payroll earnings records.

PERMANENT.

7.22 University Tax Records. These records document the university's compliance with tax

filing requirements. Retain 3 years after end of the year in which the records were created or for period during which assessment and collection may be made under the applicable statute, whichever is longer.

7.23 Cash Register Receipt Detail Tapes. Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.


7.23 (a) Personal Data of Credit Cardholders (name, card number, expiration date, etc.) Temporary Record. Retain 3 months after the end of the fiscal year in which the records were created..

 

7.24 Budget Records. These records document the preparation of a budget request package and reporting of the status of funds, requesting amendments of allotments, and reporting program performance.

UNIVERSITY BUDGET: PERMANENT.

Other records: Retain 3 years after end of the fiscal year in which the records were created.

7.25 Requisition and Purchase Records. These records document the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products.

Retain 3 years after end of the fiscal year in which the records were created.

7.26 Accounting Records. These records are records of original entry such as journals, registers, and subsidiary ledgers; and records of funds deposited outside the state treasury.

These records document receipts and disbursement of funds by the university. Retain 3 years after end of the fiscal year in which the records were created.

7.27 Travel Records. These records document requests for authorization from supervisors to travel on official business and include requests, approvals/denials, and other related materials, such as travel reimbursement forms and itineraries.

Retain 3 years after end of the fiscal year in which the records were created.

7.28 Contractual records established for the purpose of services or personal property.

These records document contracts entered into by the university. Retain 6 years after expiration of the contract.

7.29 Records documenting the bid process (including requests for proposals and unsuccessful responses). These records document the bid process, including requests for proposals and unsuccessful responses.

Sealed Bids: Retain in office. (Code of Alabama 1975, Section 41-16-24).

Other Bids: Retain for 10 years after the award of the contract, then destroy.

7.30 EXTERNAL AND INTERNAL AUDIT RECORDS. These records are created by university, state or independent auditors to document their audits.

FINAL REPORT AND RESPONSES: PERMANENT.

Other Records: Retain 3 years after the end of the fiscal year in which the records were created.

7.31 GRANT RECORDS. These records include applications and proposals by faculty and staff for grants, and supporting documentation and reports.

FINAL REPORTS: PERMANENT.

Records of funded grants: Retain 6 years after submission of final report.

Records of unfunded grant applications: Retain 1 year.

7.32 Fiscal Operations Reports. These records document the institution's eligibility to disburse Title IV funds and consists of fiscal operations reports, agreements to participate, and related correspondence.

Retain for 7 years.

7.33 Unpaid Accounts Receivable. These records document overdue accounts such as library fines, parking tickets, loan payments, or payments for services rendered and include past due accounts receivable, bad debt actions, and delinquent action reports.

Retain for 3 years after end of the fiscal year of settlement of unpaid account.

7.34 Social Security Payment Files. These records document the payments made by the

university into the social security fund. Retain for 50 years after the fiscal year in which the transaction occurred.

7.35 Social Security Reports and Deposits. These records document the monthly report of

wages and social security contributions paid by the university to each employee. Retain for 7 years after the fiscal year in which the transaction occurred.

7.36 Unemployment Compensation Benefit Files and Reports. These records inform the university that former employees are eligible for unemployment benefits and when these employees receive compensation charged against the university's account. Also included are periodic reports and statements received from the State Department of Industrial Relations (DIR) advising the university of the status of its fund account and of any monies due to DIR and reports documenting the quarterly submission of payroll and statistical information to DIR.

Retain for 5 years after the end of the year in which the records were created.

  1. W-2 Listings. These records document salaries paid and taxes withheld. Retain for 5 years after the end of the tax year.
  2. Donation Files. These records document the source and amounts of donations.

Reports of individual donors: Retain 5 years after last donation.

Financial information: Retain for 3 years after the fiscal year in which the

transaction occurred.

7.39 Authorization/Allocation Letters. These records document awards of federal financial

aid to the university. Retain 7 years.

Managing Human Resources:

7.40 Job Recruitment Materials. These records document the recruitment of employees by

the university. Retain 3 years after end of the fiscal year in which the records were created.

7.41 Affirmative Action/Equal Employment Opportunity Case Files. These records concern charges or complaints made against the university relating to violations of affirmative action or equal employment opportunity regulations.

Compliance Reviews: Retain 25 years.

Other Records: Retain for 5 years after resolution of charges and final disposition

of the case.

7.42 Affirmative Action Position Applicant Files. These records are documentation of

actions taken to follow affirmative action procedures for university openings. Retain 3 years after end of the fiscal year in which the record was created.

7.43 Equal Employment Opportunity Commission (EEOC) and Racial/Ethnic Records.

These records include annual and other periodic reports and records provided to the federal and/or state government to ensure equal employment opportunities and to provide racial/ethnic statistical information.

Review Records: Retain 10 years.

Other records: Retain 5 years.

7.44 Notices of Claim and Requests for Separation. These records provide information to

the State Department of Industrial Relations relating to unemployment compensation. Retain 5 years.

7.45 Application Materials. These records document applications for employment.

Unsolicited resumes/applications: Retain for useful life.

Unqualified applications for open positions: Retain 1 year.

Application materials for individuals considered for employment but not hired: Retain 3 years.

Application materials for hired individuals: File with personnel file.

  1. Position Classification Records. These records document position classifications. Retain 3 years after reclassification/elimination of the position.
  2. SEARCH COMMITTEE FILES. These records are search files created during the process of advertising, interviewing, selecting and hiring an individual to fill a faculty vacancy within the university.

PRESIDENT/CHANCELLOR SEARCH COMMITTEE FILES: PERMANENT.

Other records: Retain 3 years.

7.48 Work-Study/Student Worker Records. These records are maintained in individual

departments and offices on work-study students and include time reports. Retain for 3 years after last date of employment.

7.49 Payroll Records. These records document payroll and include pre-payroll reports and

payroll check registers. Retain 3 years after end of the fiscal year in which the records were created.

7.50 Payroll Deduction Authorizations. These records document authorization of payroll

deductions. Retain 6 years after separation of employee from the university.

7.51 Payroll Deduction Records. These records document payroll deductions for tax

purposes and include Form 941. Retain 3 years after the end of the fiscal year in which the records were created.

7.52 Employee Leave Records. These records document employee hours worked, leave

earned, leave taken, and leave donation. Retain 3 years after the end of the fiscal year in which the records were created.

7.53 Employee Work History. These records document an employee's work history and is generally maintained as a case file (includes records of final leave status, faculty tenure and promotion letters, and faculty service reports).

Medical Resident's File: Retain 75 years.

Records of final leave status and documentation of salary and employment dates: Retain 25 years after separation of employee from the university.

Faculty Tenure and Promotion Files (not including letter): Retain until completion of formal action and appeal period.

Other (including faculty tenure and promotion letters): Retain 6 years after separation of employee from the university.

7.54 Periodic Activity Reports. These records are reports to document activities performed

by staff. Retain for useful life.

7.55 Employee Benefits Plan Files (applications and correspondence). These records

document employee enrollment in benefits plans. Retain 6 years after termination of participation in program.

7.56 Employee Administrative Hearing Files. These records document employee

administrative hearings. Retain 6 years after separation of the employee from the university.

7.57 Department/Unit Personnel Files. These records are created by supervisors to document employee performance. They may be duplicated in the employee's work history file.

Retain until separation of an employee from the university.

7.58 Training and Professional Development Records. These records document university

provided of training and professional development. Retain 3 years.

Managing Properties, Facilities, and Resources:

7.59 Capital Improvements Contract Records. These records document contractual

agreements for capital improvements. Retain 6 years after expiration of the contract.

7.60 Property Inventory Records. These records document the property inventory of the

university. Retain 3 years after end of the fiscal year in which the records were created.

7.61 Receipts of Responsibility for Property. These records document the individual

responsible for property not under the university's immediate control. Retain until return of item to property manager.

7.62 Real Property Leasing/Rental Records. These records document the lease and rental of

property. Retain 6 years after expiration of the lease.

7.63 Building Plans and Drawings. These records document the physical structure of

campus buildings. Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.

7.64 Facility Maintenance and Upkeep Records. These records document facility maintenance and upkeep activities.

Records for expendable items: Retain 3 years.

Records for capital items: Retain for life of building or item.

  1. Visitor/Service Personnel Log-In Sheets. These records document visitors. Retain 6 months.
  2. Identification Records. These records document employee identification information

for security personnel and/or facility access. Retain 1 year.

7.67 Weapons Registration Forms (ATF 5 and ATF 10) and Weapon Retirement Forms.

These records document custody of weapons. Retain 3 years after the end of the fiscal year in which the weapon was removed from the property inventory.

7.68 Vehicles Records. These records document the use, maintenance, ownership, insurance,

and disposition of vehicles, including aircraft, owned by the university. Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.

7.69 Vehicle Tag Records. These records document application and receipt of tags for

vehicles. Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.