APPENDIX A ACADEMIC AFFAIRS Type of Record Office of Record Duration Office of Admissions Advanced Placement Records, Applications for Admission or Readmission, Correspondence that is relevant, Entrance Exam Reports (ACT, CEEB, et. al.), Residency Classification Forms, Letters of Recommendation, Transcripts (high school and other college) Recruitment-related Records of Admitted Students (Correspondence that is relevant to application [i.e., Change of Major], Residency Classification Forms, Preenrollment Residency Changes [non-resident to resident], Letters of recommendation) Extended Programs Admissions 3 years from start of application term Admissions 5 years from graduation or date of last attendance Continuing Education Student Forms Office of Faculty Research Continuing Education 1 year from registration Animal Welfare Records Faculty Research 3 years or contract period Grant and Contract Applications, Proposals, and Supporting Documentation Faculty Research Human Subject Records Faculty Research Documents related to funded grants are retained for 3 years after the funding period has ended. Documents related to unfunded grants are returned to the grant writer/PI upon notification of non-funding or at the end of the academic year. 3 years or contract period Office of Financial Aid Financial Aid Records (Applicants who enroll) Financial Aid Financial Aid Records (Applicants who do not enroll) Veterans Administration Certifications Office of Graduate Studies Financial Aid Financial Aid Admission-related records of Graduate Studies admitted graduate students Graduate Registration Forms Graduate Studies (Quick Admit, Late Drop/Add Exceptions, Closed Section) Graduate Studies Recruitment-related Records of Admitted Students (Correspondence that is relevant to application [i.e., Change of Major], Residency Classification Forms, Preenrollment Residency Changes [non-resident to resident], Letters of recommendation) Office of Institutional Research University Fact Book and Enrollment Report EEO6 Reports 3 years from graduation or date of last attendance or after loan repaid in full 1 year from date of application 4 years from graduation or date of last attendance Permanent 1 year from registration 5 years from graduation or date of last attendance Institutional Research Permanent Institutional Research Permanent TBD TBD Intellectual Property TBD Office of International Programs International Student Forms (Visa & other immigrationrelated documentation, including: I-20, DS-2019, I94, I-765, I-539, passports, exchange affiliation agreements, and tuition waiver reports) International Programs 5 years after graduation or last attendance Office of the Registrar Academic Records (Transcripts, Transfer Credit Evaluations, Final Degree Audits, Course Substitutions, Student Schedules, etc.) Academic Semester Reports (Probation, Suspension, Honors, etc.) Catalogs Registrar Permanent Registrar 7 years from graduation or date of last attendance Registrar Permanent Change of Grade Forms Registrar Permanent Class Lists Registrar Permanent Consent to Release Personally Identifiable Information (Requests for Non-Disclosure) Degree, Grade, Enrollment, and Racial/Ethnic Statistics Enrollment Verifications Registrar Permanent Registrar Permanent Registrar 1 year from verification date Grade Rosters Registrar Permanent Graduation Lists Registrar Permanent Hold or Encumbrance Authorizations Name Changes Registrar Until released Registrar Permanent Undergraduate Registration Forms (Quick Admit, Late Drop/Add Exceptions, Closed Section) Schedule of Classes Registrar 1 year from registration Registrar Permanent Semester-based Student Forms (University Withdrawal, Leaves of Absence, Course Withdrawal, Readmission Forms, Off-Campus Course Requests, Credit/No Record, Co-ops/Internships, Individualized Instruction, Independent Study, Credit by Exam, Change of Status, Graduation Application) Student ID Numbers and ID Registrar 5 years Registrar Permanent Number Changes Admissions-related records of admitted undergraduate students (Application for Admission/Re-Admission, High School and College Transcripts, Advanced Placement Records, Scores and Entrance Exams, Military and CLEP documents) Registrar Permanent Academic Integrity Violations Provost 7 years Academic Suspension Appeal Letters and Decisions Accreditation Records Provost Provost 5 years from graduation or date of last attendance Permanent CCPS Proposals and Approval Forms Provost 5 years Office of the Provost APPENDIX B FINANCE AND ADMINISTRATION Type of Record Office of Record Duration Office of Accounts Payable Accounts Payable Vouchers Accounts Payable and Attachments Miscellaneous Invoices and Accounts Payable Payment Records Procurement Card Charge Accounts Payable Documentation Travel Reimbursements and Accounts Payable Attachments Office of Accounts Receivable (Student Accounts) 6 years Accounts Receivable Statements Student Account – Paid account Student Account – Unpaid balance Student Loan Records Accounts Receivable 6 years Accounts Receivable Tuition and Fee Charges Accounts Receivable 5 years from end of last semester/session attended 5 years from date of full payment of unpaid balance 3 years after the loan has been repaid in full 6 years after graduation or most recent date of attendance Accounts Receivable Accounts Receivable Office of Facilities Planning As-built Drawings 6 years 6 years 7 years Facilities Planning Permanent Construction Contracts and Facilities Planning Agreements Construction/Fixed Facilities Planning Warranties Office of Finance and Administration Permanent Accounting Reports (monthly reports) Schedules of Department Balances, Transaction Statements, Account Analysis Statements, Monthly and Year-to-Date Salary and Wage Statements 6 years Finance and Administration Life of Warranty Annual Financial Reports and Audits for University and Affiliated Organizations Authority for Banking Finance and Administration Permanent Finance and Administration Banking Records, Including Deposit and Withdrawal Records, Bank Statements and Reconciliation, Voided and Canceled checks Capital Equipment Records, including Asset Acquisition, Disposition, and Depreciation Schedules (Accounting, Library, Rolling Stock) Cash Receipts Finance and Administration Employment term of authorized personnel 6 years Finance and Administration Life of Asset: Records of equipment purchased on federal funds must be retained for three years after final disposition. TBD TBD Excise Tax Documents Finance and Administration 7 years Income Tax Documents (990, 1099, 8282, 90.22, etc.) Indirect Cost Rate Calculations Inventories Finance and Administration Permanent Finance and Administration 6 years Appropriate Department Life of Asset Journal Entries and Back-up Documentation Leases, Licenses, Construction Contracts, and other contracts of a temporary nature valued at less than $50,000 New Account Records and Back-up Documentation Property Deeds, Easements, Licenses, Rights of Way, Rights of First Refusal, Remainder Interests, Mortgages Property Tax Documents Finance and Administration 6 years Finance and Administration 6 years after expiration of lease or contract term Finance and Administration 6 years after account closing Finance and Administration Permanent Finance and Administration Permanent Sales Tax Documents Finance and Administration 7 years Subsidiary Ledgers (Accounts Payable, Accounts Receivable, etc.) Summary Analysis Reports, end of year (Fund, Source, Function) Title Insurance Policies Finance and Administration 6 years Finance and Administration 6 years Finance and Administration Trial Balances Trustee Approved Budgets University Audit Work Papers Office of Human Resources Employee Personnel Files (including application, payroll forms, appointment/salary forms, contracts, I-9 forms, non-contractual releases, performance appraisals) Financial Disclosure Forms Grievances I-9 Forms (Students) Finance and Administration Finance and Administration Finance and Administration 6 years after disposal of property 6 years Permanent 6 years Leave Reporting Documents Payroll Vouchers Records of Additional/Supplemental Pay to Employees Staff Search Records Tenure, Promotion, and Sabbatical Records Human Resources Human Resources Human Resources Time Cards, Students Union Agreements Volunteer Appointments Wage Assignment Orders Human Resources Human Resources Human Resources Human Resources Workers’ Compensation Records W-2 Records Human Resources To age 75 or 4 years from date last employed, whichever is earlier. Human Resources Human Resources 4 years Permanent 3 years after date of hire or 1 year after separation, whichever is later. 4 years 3 years 3 years from date of payment Human Resources Human Resources Human Resources Human Resources Human Resources 3 years To age 75 or 4 years from date last employed, whichever is earlier. 3 years Permanent 7 years To age 75 or 4 years from date last employed, whichever is earlier. Permanent Permanent Office of Public Safety Accident Reports (NonEmployee, including Contractor or Vendor, Non- Vehicle) Crime Reports/Incident Reports Environmental Health and Safety Incident Records Evacuation Drill Records Public Safety 7 years after report date Public Safety 7 years after report date Public Safety 5 years Public Safety 5 years Fire Protection System Records Fume Hood Testing Records Public Safety 5 years Public Safety 3 years Hazardous Waste Disposal Manifests and Reports Material Safety Data Sheets (MSDS) Motor Vehicle Accident Reports Portable Extinguisher Training Records Property Damage Reports Public Safety 3 years Public Safety Permanent Public Safety 7 years after report date Public Safety 3 years Public Safety 4 years after report date Staff/Faculty/Student Parking Permit Information Radioactive Materials Safety Records Office of Purchasing Public Safety 4 years after report date Public Safety Permanent Authority for Procurement Purchasing Certificates of Insurance, Indemnification Agreements, Hold Harmless Agreements, Contracts Collaborative Agreements Purchasing Employment term of authorized personnel 6 years after expiration Contracts for Instructional Services Insurance Policies (Liability, Property, and Other Policies) Memoranda of Understanding for WEDNet Institutions Purchase Orders, Non-Labor Contracts, Agreements Purchasing Purchasing Purchasing 3 years beyond expiration of agreement 3 years beyond expiration of contract Permanent Purchasing 3 years beyond expiration of contract Purchasing 6 years APPENDIX C OFFICE OF THE PRESIDENT Type of Record Office of Record Duration Office of the President Council of Trustees Minutes Middle States Reports (Decennial Review, Five-Year Periodic Review Report, Annual Institutional Profile Update) Official University Actions Office of the President (Bound copies also kept in the University Libraries) Office of the President Permanent Office of the President Permanent Office of Social Equity Permanent Human Resources, Social Equity, Finance & Administration, as appropriate Social Equity Permanent Social Equity 3 years Permanent Office of Social Equity Conciliation Agreements, Orders of Consent Consent Orders, Court Orders, Judgments, Releases, and Settlements Faculty, SCUPA, and Manager Search Records (including waivers) Sexual Harassment and Discrimination Complaints, Investigations, and Dispositions (Decisions of the President) 3 years APPENDIX D STUDENT AND UNIVERSITY AFFAIRS Type of Record Office of Record Duration Alumni Affairs Alumni Records Registrar Permanent Health Center Services for Regulatory Required Medical Surveillance and Monitoring Records Outside Services for Regulatory Require Medical Surveillance and Monitoring Records Student Health Center and Counseling Records (Nonregulatory) ID Card Office Health Center 7 years after person leaves the university Health Center 7 years after person leaves the university Health Center 7 years after student leaves university Block Meal Plan Count ID Card Office 7 years Eagle Dollar Balances ID Card Office 7 years Flex Dollar Records ID Card Office 7 years ID Photo Records ID Card Office Meal Plan Agreements ID Card Office To graduation or 5 years from most recent ID issuance 2 years Health Center Office of Advancement Records of Gifts to the Advancement University Office of Judicial Affairs & Residence Life Education 7 years Student Disciplinary Records Judicial Affairs & Residence Life Education 5 years from date of final obligation Residence Life 7 years University Open Records Officer 2 years Office of Residence Life Housing Forms Office of University Relations Right to Know Requests