RECORDS RETENTION SCHEDULE. Record Category Retention Schedule Responsible Department Academic Student Records

Transcription

1 RECORDS RETENTION SCHEDULE Record Category Retention Schedule Responsible Department Academic Student Admissions For applicants who did not enroll, 2 years from start of application term. For students who enrolled, for duration of permanent file. Admissions; CGCE Registrar Grade Registrar Master Class Schedules Transfer to Archives after 2 Registrar years; permanent Degree Audit (for 5 years after date of last Registrar; CGCE graduated students) attendance Enrollment Statistics Transfer to Archives after 2 PAIRO years; permanent International Student Forms 5 years after graduation or International Student Office (I-20) date of last attendance Student Academic 5 years after graduation Registrar; CGCE (departmental) Transcript Requests 1 year from date of request Registrar Academic Code of Honesty 5 years Deans Offices Violations Center for Teaching and Learning Excellence (CTLE) files 5 years after last service CTLE Waivers and Releases of Claims Academic Student Travel Academic Faculty and Other Faculty Senate Meeting Minutes 3 years from end of trip the academic department that gathered the releases and/or sponsored the trip After 1 year, transfer to Faculty Senate President Archives Full-Time Faculty. Five years after Provost s Office Promotion and Tenure, Tenure Review, of Paid Leaves & Stipends a full-time faculty member leaves the file is scanned to a disk and stored electronically; the paper file is destroyed Part-Time Faculty ; are retained until Deans Offices including original transcripts, employment application and vitae part-time faculty member has not taught for 5 years; they are then destroyed Dean s Conference Minutes 3 years Deans Offices 1

2 Academic Search 3 years Academic Departments Academic Department Meeting Minutes Academic Administrative Search (i.e. Deans, Associate Deans, Associate Provost) Grievances Collective Bargaining Agreements Chairperson election forms; chairperson compensation files Faculty travel applications and records of awards Academic Accreditation Documents Provost Committee : Faculty Handbook, Faculty Personnel, Academic Policy Committees, Faculty Development Board, Board on Rank and Tenure Commencement Correspondence, Financial Accounts, Budget Accounts, University of Success Animal Welfare Human Subject Grant and Contract Applications, Proposals & Supporting Documentation Student Affairs Student Publications 3 years Academic Departments 3 years Provost s Office (except for Provost search documents, which are sent to Human Resources) No cause findings, 3 years Provost s Office from determination. Cause findings, permanent (one copy of Provost s Office each of past agreements) Provost s Office part of individual faculty member s file ; retired to storage in Archives after 3 years Provost s Office Provost s Office Provost s Office ; retired to Provost s Office storage in Archives after 3 years 5 years Library 3 years after completion of research or other activity 3 years after completion of research 3 years from the date the annual FSR is submitted; for financial, statistical and other records, 3 years from submission of Final Project Report Transfer to Archives as distributed; permanent Office of Research Services (ORS) ORS ORS Student Affairs 2

3 Counseling Center Student Health Services 7 years after last scheduled appointment 7 years after last scheduled appointment Counseling Center Student Health Services Student Groups and Student Affairs Organizations Student Handbooks Transfer to Archives as Student Affairs distributed; permanent Judicial System Sanctions 12 months after student Judicial Affairs Office graduates or withdraws; permanent if record of suspension or expulsion Student Housing Contracts 5 years Residence Life Team Rosters, Athletic Transfer to Archives as Athletics Contest Scores and Statistics; Media Releases and Photo Publications distributed; permanent Athletic Injury 7 years Athletics/Sports Medicine Student-Athlete Forms 7 years Athletics/Sports Medicine Accident/Incident Reports 7 years Athletics/Recreation Career Services 4 years after the last date of Career Services Waivers and Releases of Claims Non Academic Student Travel Instrument, Administrative Music Library, Historical Programming service 3 years from end of trip the Student Affairs department that gathered the releases and/or sponsored the trip 5 years Performance Music Performance Music Alcohol Registration Forms, Student Leadership Position Interviews, Student Staff Interviews, Budgets, Reports 4 years Student Activities and Orientation Mission and Ministry Ministry, Office Finance, Search Retreat Personnel, Personnel Information Indefinite 3 years after employment ends University Ministries University Ministries 3

4 Student Worker (budget, time-entry, payroll), Drivers Training Information, Retreat Registration Cards Community Outreach Budget Community Outreach Personnel Information Community Outreach SJLA Time Sheets Current International Service Program Applicants, Work Orders International Service Program Alumni 1 year University Ministries 4 years Community Outreach 3 years after employment Community Outreach ends 1 year Community Outreach 1 year International Service Program International Service Program International Service Program Evaluations, 3 years International Service Program Scholarship/Fellowship Information Waivers and Releases of Claims Ministry Student Travel 3 years from end of trip the Ministries department that gathered the releases and/or sponsored the trip Equity and Diversity Affirmative Action Plan 2 years Equity & Diversity Sexual Harassment Complaints, Investigations, and Findings Employee Requests for Reasonable Accommodations No cause findings, 3 years from determination; cause findings, permanent 2 years from making the record or taking the personnel action. When a charge or lawsuit is filed, all relevant records must be kept until final disposition. Planning and Information Resources Surveys: Assessment 10 years for datasets; 3 years for supporting materials Surveys: Institutional Research (IPEDS, PDE, consortia) -paper copy. Transfer to archives after Middle States Self Study (10 year cycle) Equity & Diversity Equity and Diversity PAIRO PAIRO 4

5 CDS, Fact Books, Enrollment Reports, Graduation Reports Enrollment Statistics (STAT01 reports) Studies/Reports: Assessment, Benchmarking, Environmental Scans, Databriefs, Academic Profile, Climate Study. CAP, Strategic Plans, Tactical Plans -paper copy.. Transfer to archives after Middle States Self Study (10 year cycle). electronic datasets. Transfer to archives after Middle States Self Study (10 year cycle). Transfer to archives after Middle States Self Study (10 year cycle) PAIRO PAIRO PAIRO Middle States: Substantive Changes, MSIP, PRR, Self Study, Statement of Accreditation, Steering Committee Minutes. Academic Program Review & Accreditation Documents (also see Provost).. Transfer to archives after Middle States Self Study (10 year cycle) PAIRO Planning Committee Minutes Royal Card and Telephone. Transfer to archives after Middle States Self Study (10 year cycle) 1 year, then transfer to Diversified Storage PAIRO Network Resources Off-Campus Telephone, Verizon Wireless Pinnacle, Voice Mailbox Data Auxiliary System, Hardware Tracking System, of Servers and Peripherals 3 years Network Resources 2 years (electronic) Network Resources 5 years Systems and Software 5

6 General Counsel Agreements and Contracts Real Estate files (deeds, title insurance policies, agreements of sale, settlement statements) Sworn Police Officers Duration of contract including all renewals, then put in closed files, unless property is sold General Counsel General Counsel 1 year after the officer is no General Counsel longer employed here Patents and Trademarks General Counsel Corporate and Governance Articles of Incorporation and Bylaws ; amended from time to time President s Office (current version); Archives (prior versions) Minutes of Board of Trustees Meetings President s Office (1985 on); Archives (prior years) Minutes of Board President s Office Committee Meetings Honorary Degree President s Office University Council Meeting Minutes After 1 year, transfer to Archives University Council Chairperson Human Resources Individual Employee (including application, resume, payroll, appointment/salary forms) 6 years after employment ends. When a charge or a lawsuit is filed, all relevant records must be kept until Human Resources final disposition. Federal Reporting of Fringe 6 years after employment Human Resources Benefit Plans (form 5500) ends Individual Employment 3 years after employment Human Resources Contracts ends Master Salary / 5 years (electronic) Human Resources Vets 100 Report 1 year (electronic) Human Resources PA New Hire Reports 3 years (electronic) Human Resources Health Insurance (HIPAA) 6 years Human Resources I-9 Forms (Faculty and Staff) Occupational Injury or Illness 3 years, or 1 year after end of employment (whichever is greater) 5 years following the end of the calendar year they cover. Human Resources Public Safety 6

7 Performance Evaluations 3 years after end of Human Resources employment. When a charge or a lawsuit is filed, all relevant records must be kept until final disposition. Search Committee 3 years Human Resources Workers Compensation 5 years Human Resources Applicant and Employment 1 year Human Resources Logs Non-exempt Time Cards 3 years Payroll Family Medical Leave Act Medical Applicant Flow Information Hiring (resumes, offers and hiring records, job advertisements, promotion or training opportunities) 3 years Human Resources 1 year. If related to FMLA, Human Resources 3 years 1 year. If adverse impact Human Resources discovered, records kept until 2 years after adverse impact is eliminated. When a charge or a lawsuit is filed, all relevant records must be kept until final disposition. 1 year (paper) Human Resources Benefit-related (summary plan descriptions, plan determination letters, benefit billing records, pension records and correspondence) Short-Term Disability 6 years (electronic for summary plan description; all other paper) 1 year. If related to FMLA, 3 years Human Resources Human Resources of Employee Disputes 3 years Human Resources 7

8 Employment Actions (promotions, demotions, transfers, layoffs/recalls, rehires, hires, separations, test results) 2 years from making record or taking action. If adverse impact discovered, records kept until 2 years after adverse impact is eliminated. When a charge or a lawsuit is filed, all relevant records must be kept until final disposition. Human Resources Medical Exams 30 years Human Resources Financial Board Audit Reports and Management Reports Agreements, Lines of Credit, Letters of Credit, Liquidity Facilities Bond Issue Document Books Financial Committee Minutes (Financial Management Committee, Committee on Responsibility in Investing, Mid Atlantic Catholic Risk Management Group, Capital Facilities Committee) Insurance (Policies, Claims, Art Collection, Auto Fleet and Insurance Consortium ) Investment Advisor/Manager Agreements and Reports Real Estate Tax and Voluntary Contribution 7 years Vice President for 7 years Vice President for 20 to 40 years at least the life of the bonds 5 years, then transfer to Archives 5 years after the insurance is in effect Vice President for Vice President for Vice President for 7 years Vice President for Vice President for Tuition and Fees 5 years, then transfer to Archives Vice President for Internal Audit Reports and 10 years for reports; 3 years Internal Auditor Supporting Documents for supporting documentation Grant Documents 3-5 years Grant Accountant 8

9 Financial Analysis, 10 years Financial Analyst Reports and Supporting Documents School as Lender 7 years Financial Analyst Student Receivables 7 years Bursar Check Vouchers, Travel 7-10 years per direction of Budget Manager Expense Reports, and Supporting Documents Comptroller Budget Reports and Input 7-10 years Budget Manager Sheets from Departments Used to Build Budget Payroll Processing, 10 years Payroll Office Payroll Interface Reports, Taxes and Miscellaneous Deductions, Employee Payroll, Pension and Tax Shelter, Medical, COBRA, Faculty Payroll, and Faculty Compensation Forms Financial Data with supporting Documentation. This includes Financial Statements; Federal and State Returns; reports to third parties such as IPEDS; NACUBO; HEGIS; Banks; Rating Agencies, Peer Institutions; etc. Also included are reports applicable to payroll and various labor statistical reports and applications for permits, licenses, tax 10 years Comptroller refunds, etc. Monthly Investment Reports applicable to endowments; bonds; unitrust; annuities; bank statements and related documents including all supporting documentation applicable to the transactions indicated in the respective report. 7 years with the exception of Investment reports which are retained 10 years excluding Endowment Investments which are permanent. Comptroller 9

10 General Ledger Activity with all supporting documentation including restricted; unrestricted funds; fixed assets; property and plant accounting records. Alternative Loan Rosters, CT, OH, VT, and DE state Grants, Need Merit List, Pell Grant Information, Student Folders, SWSP Payroll Budgets Reported for State Aid Purposes Fiscal Operations Report, Loan Certification Letters, NETS, PHEAA Documents Purchasing Bids (not construction related) Construction Contracts, including bids, RFPs, IFBs, specifications, justifications, etc. Credit Card Documentation and Receipts Equipment and Maintenance Purchase Orders 10 years Comptroller 3 years Financial Aid 5 years Financial Aid 1 year Until program review Accepted bids 7 years after bid awarded; rejected bids 3 years Documents related to accepted bids permanent; documents related to rejected bids 2 years after completion of the capital improvements Paper and electronic -- completion of an audit or 3 years, whichever is longer 1 year after disposal or trade-in of equipment 7 years; if blanket purchase orders related to an active, open contract, 7 years after completion or termination of contract. Financial Aid Purchasing Purchasing Purchasing Purchasing Purchasing Shipping List and Packing Slips 7 years Purchasing Surplus Property Disposal 4 years Purchasing 10

11 Administrative Services Public Safety, Including Incident/Complaint Reports, Accident Reports, Daily Logs, and Public Information Logs NCIC and Juvenile Parking Permit, Including Sales and Ticket Collection Spreadsheets and Receipts, Parking Permit Applications, Ticket Upload Audit Reports, Payroll Reports, Transaction Reports and Refund Check Vouchers Paid Parking Tickets, Tow and PA/NJ DMV Parking Ticket Appeals, Budget Transfer Requests, and Lost and Found Information of Inventory, Use and Control of Radioactive Materials of Disposal or Abatement of Toxic and Hazardous Waste of Hazardous Waste Generation of Hazardous Substances Exposure of Disposal or Abatement of Asbestos of Testing, Inspection and Repair of Fire Protection Equipment Related to Measurement of Noise in Work Environment 7 years Public Safety 10 years Public Safety 7 years Public Safety/Parking 4 years Public Safety/Parking 2 years Public Safety/Parking 30 years Public Safety/Environmental Health & Safety (H&S) 30 years Public Safety/Environmental H&S Public Safety/Environmental H&S 30 years after end of Public employment Safety/Environmental H&S 30 years Public Safety/Environmental H&S 7 years Public Safety/Environmental H&S 30 years after end of employment Public Safety/Environmental H&S 11

12 of Periodic Inspections of Extinguishing Systems Until container is reinspected or its life Physical Plant Bucket Truck, Personnel Lifts, and Elevator Standards and Certification of Inspection, Performance, and Repairs of Emergency Power Equipment and Systems Evidence of Required Hydrostatic Testing on Portable Fire Extinguishers Mechanical and Electrical Equipment Checks and Electrical System Inspection 5 years Physical Plant 4 years Physical Plant Until hydrostatically Physical Plant retested at stated intervals or until taken out of service 10 years Physical Plant Operational Manuals Life of building Physical Plant of Fire, Internal 4 years Physical Plant Disaster and Evacuation Plan Drills Record of Fire Department Physical Plant Inspection Written Report and 4 years Physical Plant Evaluation of External Disaster Plans Roof Warranty Life of building Physical Plant Utility Readings, Tool Issue Until person leaves Physical Plant Office Equipment Until equipment is replaced Physical Plant Physical Plant Policies and Until information is updated Physical Plant Procedures Maintenance and Repair Until equipment is replaced Physical Plant Building Maintenance Life of building Physical Plant Boiler and AC Water Treatment 3 years Physical Plant Campus House Life of building Physical Plant/Residence Hall (RH) Maintenance Student Damage 3 years Physical Plant/RH Maintenance 12

13 Sick/Dock Report Until person leaves Physical Plant/RH Maintenance Equipment Warranties and Manuals Until equipment is replaced Physical Plant/RH Maintenance Vehicle Service Until equipment is replaced Physical Plant/ RH Maintenance Key, Signatures, Physical Plant/Trades Receipts Shop Personnel Until person leaves Physical Plant/Trades Trades Time Cards, Payroll 3 years Physical Plant/Trades Receipts Building Work Order 2 years Physical Plant/Trades Electrical/Mechanical 3 years Physical Plant/Trades Preventive Maintenance Event Work Orders and 3 years Physical Plant/Trades Sketches Radio Inventory Until equipment is replaced Physical Plant/Trades Building Architectural and Physical Plant Space Plans and Specifications Zoning Permits Administrative Services Equipment Until equipment is replaced Printing & Mailing Job, Purchase Orders 5 years Printing & Mailing Office Copier, Vendor Until vendor affiliation Printing & Mailing expires Planning, Production Printing & Mailing Statistics Bookstore Buyback slips - 2 years Web orders and tuition remission 6 months Bookstore University Relations Alumni (Alumni society files, reunion class files, alumni biographical files) Development (donor files, gift records, planned gifts, capital campaign files) Photographs, Slides, and Audiovisual Materials Documenting the University when no longer needed by Alumni office, transfer to Archives Transfer to Archives when no longer in use; keep releases and permissions as long as pictures are kept Alumni Relations Development Public Relations 13

14 Publicity Materials; Press Releases, Publications, Reports Catalogs Institutional Newspapers; Newsletters Commencement Programs ; copy to Archives when released Copies transferred to Archives annually upon production; maintained permanently Copies transferred to Archives annually; maintained permanently Public Relations Public Relations Public Relations Public Relations G:\UofSGen\RECORDS RETENTION SCHEDULE.final.doc 14