Record Retention
Policy
The effective date of this policy is
Purpose
The
purpose of this policy is to ensure necessary records and documents are
adequately protected and maintained and to ensure records that are no longer
needed or of no value are discarded at the appropriate time.
Administration
The
Vice President for Fiscal Affairs is responsible for developing and
implementing policies governing the retention and disposal of the University’s
records.
The
Vice President for Fiscal Affairs will designate others, on an ad hoc basis, to
assist in implementing the record retention policy, including the following:
a.
Identify
and evaluate which records should be retained;
b.
Publish
a retention and disposal schedule that is in compliance with local, state, and
federal laws.
c.
Monitor
local, state, and federal laws affecting record retention;
d.
Annually
review the record retention and disposal program;
e.
Develop
a training program for personnel responsible for record storage and
maintenance; and
f.
Monitor
for compliance with the record retention and disposal program.
Each
department will prepare a listing of major documentation used and maintained by
the department and will compare it to the documents listed in the Record
Retention Policy. In addition, each
department chair periodically will review currently used records and forms to
determine whether these records and forms are adequate and appropriate for the
department’s requirements.
Each
department chair periodically will review the policy to determine any special
circumstances that necessitate changes in the retention periods. Requests for changes in retention periods or
deviations from specified retention periods should be made to the office of the
Vice President for Fiscal Affairs, and may be implemented only after approval
by counsel.
In the
event of a governmental audit, investigation, or pending litigation, record
disposal may be suspended at the direction of the Vice President for Fiscal
Affairs. In addition, the Vice President
for Fiscal Affairs should be informed of any situation that might give rise to
legal action as soon as the situation becomes apparent.
Applicability
This
policy applies to all records generated in the course of the university’s
operations, including both original documents and reproductions. It also applies to records stored on computer
and microform as well as paper records.
1.
Retention
Periods
ACT
= while active, employed, or enrolled
LIFE
= life of affected employee
Document Retention
Period
GENERAL
INSTITUTIONAL
AND LEGAL RECORDS
Articles of Incorporation.............................................................................................................................. PERM
Charter.............................................................................................................................................................
By-Laws.......................................................................................................................................................... PERM
Minutes of Trustee’s Meetings.................................................................................................................. PERM
Minutes of Trustee’s Committee
Meetings............................................................................................... PERM
Licenses.......................................................................................................................................................... PERM
Expired Licenses........................................................................................................................................... 6
years
Deeds and Titles............................................................................................................................................ PERM
Attorney Opinion Letters (property)............................................................................................ ACT
+ 4 years
Leases............................................................................................................................................... ACT
+ 6 years
Policy Statements....................................................................................................................................... 10
years
Campus Crime Reports (annual)................................................................................................................. 4
years
Campus Crime Reports (interim)................................................................................................................. 2
years
Contracts.......................................................................................................................................... ACT
+ 5 years
Patent, Copyright and Trademark
Records................................................................................................ PERM
General Correspondence not Separately
Covered in this Document................................................... 3
years
ADMISSION AND FINANCIAL AID
APPLICATION MATERIALS FOR STUDENTS
WHO ENTER
Acceptance Letters.................................................................................... 6
years after date of last attendance
Applications.............................................................................................. .6
years after date of last attendance
Correspondence......................................................................................... 6
years after date of last attendance
Entrance Exams and Placement Scores................................................... 6
years after date of last attendance
Letters of Recommendation ......................................................................................................... Until
Admitted
APPLICATION MATERIALS FOR STUDENTS
WHO ARE ACCEPTED BUT DO NOT ENTER
Acceptance Letters................................................................................................ 3
years after application term
Applications........................................................................................................... 3
years after application term
Correspondence..................................................................................................... 3
years after application term
Individual Complaint or Problem..................................................................................... 6
years after last entry
Summary Record for Individual
Complaint................................................................................................ PERM
Transcripts.............................................................................................................. 3
years after application term
FINANCIAL AID RECORDS
Applications.................................................................................................................................................. 6
years
Financial Aid Awards..................................................................................................................... ACT
+ 6 years
Financial Aid Transcripts............................................................................................................................ 6
years
Job Placement.................................................................................................................................. ACT
+ 6 years
Lender’s Name and Address......................................................................................................... ACT
+ 6 years
Other documents in Financial Aid
Files....................................................................................... ACT
+ 6 years
Promissory Notes..........................................................................................................................................
Repayment History......................................................................................................................... ACT
+ 6 years
Summary Statistical Reports........................................................................................................................
PROVOST
REGISTRAR
Individual Student Records:
Academic Records......................................................................................................................................... PERM
Advanced Placement.................................................................................................................................... PERM
Application for Graduation......................................................................... 1
year after date of last attendance
Course Catalogs .......................................................................................................................................................
(10) in Registrar’s Office........................................................................................................................... 10
years
(2) in Registrar Office, (2) in Library........................................................................................................... PERM
Course Drop/Add Slips............................................................................................................................... 5
years
Class Rolls................................................................................................................. 1
year after end of semester
Diplomas Not Picked up by Student......................................................................................................... 2
years
FERPA Requests............................................................................................................ Life
of requested record
Independent Study Forms............................................................................................................................ PERM
NSLC Reports........................................................................................................... 1
year after end of semester
Pass/Fail Requests........................................................................................................................................ PERM
Personal Data Forms..................................................................................................................................... PERM
Registration Cards.......................................................................................................................................... 1
year
Transcript Requests....................................................................................................................................... 1
year
(If requested by the student, no records are
required.).....................................................................................
Date of Graduation and Degree Award ..................................................................................................... PERM
Degree Audit Records.................................................................................................................................. PERM
Transfer Credit Evaluations ........................................................................................................................ PERM
Name Change Authorizations...................................................................................................................... PERM
Withdrawal Forms...................................................................................... 2
years after date of last attendance
General Student Records:
Applicant Statistics....................................................................................................................................... PERM
Class Schedule Including Class
Title, Location, Dates, and Time......................................................... PERM
Degree Statistics............................................................................................................................................ PERM
Enrollment Statistics...................................................................................................................................... PERM
Grade Statistics.............................................................................................................................................. PERM
Racial/Ethnic Statistics ................................................................................................................................ PERM
Academic
Affairs:
Accreditation Document.............................................................................................................................. PERM
Accreditation Supporting Documents.................................................................................................... 10
years
Course Syllabi............................................................................................................................................... 6
years
Commencement Program.............................................................................................................................. PERM
Curriculum Development (Course
Worksheet, Evaluations and Recommendations......................... 6
years
Faculty Evaluations..................................................................................................................................... 6
years
INTERNATIONAL
PROGRAMS
Foreign Student (I-20) Forms.................................................................................................................... 10
years
International Student Files........................................................................................................................ 10
years
Academic Abroad Program Contracts...................................................................................................... 5
years
Study Abroad Applications....................................................................................................................... 5
years
FISCAL
AFFAIRS
HUMAN RESOURCES
Employment Applications/Employment Listings:
Applicants Who Are Not Hired................................................................................................................... 1
year
Applicants Who Are Hired..........................................................................................................................
Background Investigation Results.............................................................................................................. 1
year
Employment Applications............................................................................................................................. 1
year
Job Announcements and Advertisements................................................................................................. 1
year
Letters of Recommendation.......................................................................................................................... 1
year
Medical Examinations..................................................................................................................... ACT
+ 3 years
Faculty Files
Correspondence.............................................................................................................................. ACT
+ 5 years
Course Evaluation Forms............................................................................................................................ 3
years
Faculty Committee Evaluation Reports......................................................................................................
Peer Review Documents.............................................................................................................................. 4
years
Scholastic Evaluation.................................................................................................................................. 4
years
Tenure Records................................................................................................................................................ ACT
Individual
Employee Files
Attendance Records.................................................................................................................................... 3
years
Beneficiary Designation.................................................................................................................................. ACT
Disciplinary Warnings and Actions.......................................................................................................... 3
years
Emergency Contacts........................................................................................................................................ ACT
Employee Evaluations................................................................................................................................. 3
years
Employment Application or Resume............................................................................................................. ACT
Employment History........................................................................................................................................ ACT
Layoff or Termination.................................................................................................................................. 3
years
Medical Records............................................................................................................................................... ACT
Personnel Actions........................................................................................................................................ 3
years
Promotions........................................................................................................................................................ ACT
Transfers........................................................................................................................................................ 3
years
General Files
EEO-6 Reports............................................................................................................................................... 3
years
Expired Collective Bargaining
Agreements.............................................................................................. 6
years
Faculty Committee Evaluation Reports......................................................................................................... ACT
IRS Form I-9................................................................................................................................................... 3
years
Superseded Employee Manuals............................................................................................................... 10
years
Employee
Health and Safety:
Accident Reports......................................................................................................................................... 6
years
Exposed Employee Medical Records...................................................................................................... 30
years
Employee Exposure Records.................................................................................................................... 30
years
Employee Injury Records............................................................................................................................ 6
years
Employee Medical Complaints................................................................................................................... 6
years
Safety Records.............................................................................................................................................. 6
years
Pension and
Benefits Records:
Actuarial Records......................................................................................................................................... 6
years
Education Assistance...................................................................................................................................... LIFE
Disability Records............................................................................................................................................ LIFE
Incentive Plans (after expiration)............................................................................................................... 6
years
Individual Employee Files............................................................................................................................... LIFE
Pension Plan (after expiration).................................................................................................................... 6
years
Retirement Benefits Accrued.......................................................................................................................... LIFE
Retirement Plans (after expiration)............................................................................................................. 6
years
Sick Leave Benefits.......................................................................................................................................... LIFE
Vesting........................................................................................................................................................... 6
years
401K Benefits Accrued.................................................................................................................................... LIFE
BUSINESS OFFICE
Payroll Records:
Cost of Living Tables.................................................................................................................................... 1
year
Garnishments.................................................................................................................................................... ACT
IRS Form W-2................................................................................................................................................ 6
years
IRS Form W-4................................................................................................................................................ 6
years
IRS Form 941................................................................................................................................................... PERM
Payroll Deductions....................................................................................................................................... 6
years
Salary or Current Rate of Pay..................................................................................................................... 6
years
Time Cards or Sheets................................................................................................................................... 5
years
Wage Rate Tables........................................................................................................................................ 3
years
Wage or Salary History............................................................................................................................... 6
years
Payroll Registers........................................................................................................................................... 6
years
Accounts
Receivable Records:
Accounts Receivable................................................................................................................................... 4
years
Accounts Receivable Ledgers................................................................................................................... 4
years
Collection Records........................................................................................................................................... ACT
Receipts......................................................................................................................................................... 4
years
Uncollected Accounts................................................................................................................................. 4
years
1098T Tax Forms........................................................................................................................................... 6
years
1098E Tax Forms........................................................................................................................................... 6
years
Accounts
Payable Records:
Accounts Payable Ledgers......................................................................................................................... 4
years
Expense Reports........................................................................................................................................... 4
years
Invoices......................................................................................................................................................... 4
years
Payment/Disbursement Records................................................................................................................ 4
years
Purchase Requisitions/Work Orders......................................................................................................... 4
years
Financial
Records:
Annual Budget Detailed Workpapers..................................................................................................... 20
years
Auditor’s Reports.......................................................................................................................................... PERM
Audit Workpapers....................................................................................................................................... 3
years
Bank Deposit Records................................................................................................................................. 6
years
Bank Statements and Cancelled Checks................................................................................................... 6
years
Budget Adjustment Forms.......................................................................................................................... 6
years
Budget Committee Minutes......................................................................................................................... PERM
Endowment Custodian Reports............................................................................................................... 10
years
General Ledger Journal Entry Forms......................................................................................................... 6
years
General Ledger Summary Account
Balance.............................................................................................. PERM
General Ledger Transaction Detail.......................................................................................................... 20
years
Gift Annuity Contracts................................................................................................................................. PERM
Grant Proposal (unsuccessful)................................................................................................................... 3
years
Grant Proposal (successful)............................................................................................................ ACT
+4 years
Monthly Financial Reports......................................................................................................................... 6
years
Two-Page Budget Summary.........................................................................................................................
Trust Documents........................................................................................................................................... PERM
Unclaimed Property Reports..................................................................................................................... 10
years
Wills and Estate Documents........................................................................................................................ PERM
Federal Tax
Records:
IRS Form 990................................................................................................................................................... PERM
IRS Form 990-Detailed Supporting
Working Papers............................................................................... 3
years
IRS Form 990-T...............................................................................................................................................
IRS Form 990-T-Detailed Supporting
Working Papers........................................................................... 3
years
IRS Form
1099Misc, 1099R, 1099E, ........................................................................................................... 3
years
Loan
Documents:
Promissory Notes – Paid in Full or
Cancelled............................................................................. ACT
+ 3 years
Transaction Journals................................................................................................. 3
years beyond paid in full
Litigation
Records:
Claims.............................................................................................................................................. ACT
+ 10 years
Court Documents and Records................................................................................................... ACT
+ 10 years
Deposition Transcripts................................................................................................................. ACT
+ 10 years
Discovery Materials...................................................................................................................... ACT
+ 10 years
Litigation Files............................................................................................................................... ACT
+ 10 years
PHYSICAL PLANT
Facilities
Records:
Air or Water Waste Emissions................................................................................................................... 3
years
Building Permits................................................................................................................................. ACT
+ 1 year
Building Plans and Specifications............................................................................................................... PERM
Hazardous Chemical Waste Records........................................................................................................ 5
years
Laboratory Practices........................................................................................................................................ ACT
Maintenance Records...................................................................................................................................... ACT
Motor Vehicle Records.................................................................................................................................... ACT
Office Layouts.................................................................................................................................................. ACT
Operating Permits............................................................................................................................................. ACT
Zoning Permits.................................................................................................................................................. ACT
Capital
Property Records:
Blueprints........................................................................................................................................................ PERM
Equipment Inventory....................................................................................................................................... ACT
Depreciation Schedules.................................................................................................................. ACT
+ 4 years
Mortgage Records.......................................................................................................................... ACT
+ 4 years
Property Improvement Records.................................................................................................... ACT
+ 4 years
Property Records/Inventory.......................................................................................................... ACT
+ 4 years
Sales............................................................................................................................................................... 4
years
Insurance:
Fire Inspection Reports............................................................................................................................... 6
years
Insurance Claim Working Papers................................................................................ 10
years after settlement
Insurance Policies.......................................................................................................................................... PERM
ADVANCEMENT
INSTITUTIONAL PUBLICATIONS
Alumni Directories....................................................................................................................................... 3
years
Alumni Newsletters...................................................................................................................................... 3
years
College Press Publication List.................................................................................................................... 5
years
Bulletins and course Catalogs.................................................................................................................. 10
years
Donor Intent/Pledge Forms ($10,000
& up).................................................................................. ACT
+4 years
Endowed Fund Agreements........................................................................................................................ PERM
Employee Directories................................................................................................................................... 5
years
Institutional Newspapers/Newsletters
..................................................................................................... 3
years
Student Directories...................................................................................................................................... 5
years
Student Newspapers.................................................................................................................................... 3
years
STUDENT
SERVICES
CAREER
SERVICES
Annual Report to VP.................................................................................................................................... 5
years
Graduate Survey Records............................................................................................................................. PERM
Student Career Planning Records............................................................................................... ACT
+ 10 years
Teacher Credential Records (prior to
1997)............................................................................................... PERM
COUNSELING SERVICES
Counseling Records...................................................................................................................... ACT
+ 10 years
(as required by Rules &
Regulations of the Texas State Board of Examiners of Psychologist)
DEAN OF STUDENTS
Student
Files.................................................................................................................................... ACT
+ 4 years
Discipline
Hearing Files............................................................................................................... ACT
+ 10 years
HEALTH SERVICES
Health
Records................................................................................................................................ ACT
+ 7 years
Vaccination
Records (other than flu vaccines)......................................................................................... PERM
RELIGIOUS
LIFE
Chapel Bulletins & Attendance................................................................................................................... PERM
Program Files................................................................................................................................................. 4
years
Student Academic Advisees.......................................................................................................................... ACT
Student Files..................................................................................................................................................... ACT
RESIDENCE
LIFE
Housing ............................................................................................................................................ ACT
+ 4 yars
STUDENT
ACTIVITIES
Committee Files........................................................................................................................................... 10
years
Student Organization Budgets...................................................................................................... ACT
+ 4 years
Student Organization Constitutions............................................................................................. ACT
+ 6 years
Program Files............................................................................................................................................... 10
years
Letters of Recommendation......................................................................................................................... PERM
Student Publications (1 copy).....................................................................................................................
Orientation Guides (1 copy)...................................................................................................................... 10
years
Publications................................................................................................................................................. 10
years
Event Forms....................................................................................................................................... ACT
+ 1 year
INTRAMURAL
AND RECREATIONAL ACTIVITIES
Letters of Recommendation......................................................................................................................... PERM
Accident Reports......................................................................................................................................... 6
years
Participant Liability Waivers...................................................................................................................... 6
years
Disciplinary Files.............................................................................................................................................. ACT
Committee Files............................................................................................................................................. 5
years
Program Files................................................................................................................................................. 5
years