1 Statement of Policy

Transcription

1 LOYOLA MARYMOUNT UNIVERSITY POLICIES & PROCEDURES DEPARTMENT: THE OFFICE OF RISK MANAGEMENT SUBJECT: RECORDS RETENTION & DISPOSAL POLICY Page 1 of 29 Policy Number: BF Effective Date: May 15, 2009 Supersedes: N/A Previous Issued: N/A 1 Statement of Policy To create a systematic method of storing and managing records throughout their life cycle to ensure efficiency in their creation, use, maintenance and disposition or destruction, and to avoid the storing of duplicate, obsolete, or unnecessary records. SCOPE: The Records Retention policy is applicable to all departments at the university and pertains to all records generated in the course of the daily operations of LMU, including both original documents and reproductions. It applies to records stored electronically as well as any and all hard copy records. Regardless of format, university records have a life span and eventually become inactive. At that time, it s in the interest of the university, for economy, efficiency, history or administrative necessity to determine and carry out the most appropriate disposition of these records. Records will be either designated as archival records, or they will be designated as disposable records and destroyed in a systematic manner as outlined in this policy. University records are university property and may not be disposed of except through guidelines established by this policy. Access to University records is governed by statute, regulation, or university policy. Records from offices which are merged or reorganized should be brought into the new offices carrying out these functions. Whenever possible, for economy, efficiency, and ease of handling, all records should be stored electronically, in an unchangeable format, either by being born digitally or through transfer from hard copy. The university supports sustainability efforts and would like to reduce the volume of paper.

2 SUBJECT: RECORDS RETENTION POLICY Page 2 of 29 CONTENTS 1 Statement of Policy Definitions Policy Regular Review of University Records Records Retention, Disposition and Destruction Schedule Disposition of Records Guidelines for Retention of Electronic Records Archiving Procedures Other Electronic Data Appendix... 10

3 SUBJECT: RECORDS RETENTION POLICY Page 3 of 29 2 Definitions Active Record Archival Records Born Digital Records Confidential Records Inactive Record Obsolete Records Public Records Retention, Disposition and Destruction Schedule Records Liaison Retention Period Record Series University Archivist University Records Vital Records A record with current administrative use for the unit that generated it. Such records remain active for varying periods of time depending on their purpose. Public records which are non-current and are not required to be retained in the office in which they originate or are received. These public records have permanent or enduring legal, fiscal, research or historical value and should be retained and preserved indefinitely. Records created in digital format and retained digitally throughout their life span. Records which have the highest level of confidentiality attached to them, such as legal, payroll, or personnel records, and which may only be used by a limited number of people within the department or university. A record that no longer has any current purpose and may be stored off-site or in another medium. Records that no longer have any value to the university. Publicly distributed information which is available to anyone. A schedule indicating the length of time certain types of records must be retained before disposition, as well as the appropriate means of disposing of them. Each Division or School will designate an employee at an appropriate level to responsible for the dissemination of the policy, its successful implementation, and for ensuring compliance. The time that must elapse before the records are disposed, stored or archived. Any groups of related records which are normally used and filed as a unit and which can be evaluated as a unit for disposition purposes. The individual responsible for accepting university records that have been determined to be archival, and storing them according to their type and value to the university. Any documents, or digital or analog files, or data, or copies thereof, received in connection with university transactions and retained as evidence of such activities. Records essential to the continued functioning or reconstitution of the university during and after an emergency.

4 SUBJECT: RECORDS RETENTION POLICY Page 4 of 29 3 Policy Loyola Marymount University requires consistent maintenance, retention, and disposal procedures for University records for the following reasons: To meet legal standards To optimize space To minimize the cost of retention To preserve the university s history To dispose of outdated and useless records The following steps and guidelines are to be followed regarding all University Records. 3.1 Regular Review of University Records All university units will periodically review the records in their possession and under their jurisdiction including those stored off-site, and document such review. The review will be conducted under the auspices of the Records Liaison and will determine: What is the nature of the Records? What is the purpose of the Records? Are they duplicative? Where are they stored? How are they stored? Reason for storage? Documentation of the inventory and review will be kept by each unit. 3.2 Responsibility for Policy Compliance Each department is responsible for designating a Records Liason and for developing a process for managing and disposing of records. Each department will conduct an annual self-audit to determine the effectiveness of the process and compliance with this policy. The university will conduct periodic compliance audits as well. 3.3 Records Retention, Disposition and Destruction Schedule Each unit will create for itself a schedule to provide uniform, effective, and systematic control of records-keeping and disposition. The steps involved in creating a schedule are: Inventory the records Determine Retention Period of the records Determine disposition recommendations for each record or record series Develop strategy for each disposition Implement disposition Document disposition

5 SUBJECT: RECORDS RETENTION POLICY Page 5 of Disposition of Records The plan for the disposition of each Record or Record Series must be approved by the Manager or Supervisor who has ownership of the Records, and the Department Head or Chair. Disposition of Confidential, Archival, or Vital Records must also receive the authorization of the Sr. Vice President/CFO, Chief Academic Officer (CAO) or the Dean of the Law School, or their designates. The methods of disposition are: Retention: Records will remain in the unit in their current format. Archiving: Certain records that have relevance to the university (such as historical records) will be retained PERM in an official repository or in a university location. Only the University Archivist can designate which records are archival and will have the authority to examine any and all records in their office of origin; Archival Records will be transferred to the archival location at a time and manner determined by the University Archivist; Closed or Restricted records can only be viewed by the President s Cabinet or their designates; Requests for exception to access of closed or restricted records must be submitted to the Sr. V.P. in consultation with university legal counsel; Other Archival Records can be viewed by any individual with prior agreement by a Sr. Vice President/CFO, the CAO, university the Dean of the Law School, or their designates. Miscellaneous Records: Some documents, such as legal, financial, personnel, etc., may be deemed important by the department and kept PERM as deemed appropriate. Such decisions should be made on the departmental level as long as they are in keeping with this policy. Transfer to another location: Records which are not relevant to the university at-large but must be stored PERM may therefore be moved to a third-party off-site storage location. Records designated for transfer must be approved by the Manager or Supervisor that has ownership of the records, and the Department Head; The storage site must be safe from human, pest, or weather intrusions; The records must be accessible.

6 SUBJECT: RECORDS RETENTION POLICY Page 6 of 29 The off-site storage facility (warehouse, safe deposit box, etc.) should be noted in your annual inventory. When records are sent off-site they should be marked as Permanent (if permanent) or given a Disposition Schedule, so that the off-site management company can dispose of them according to LMU s wishes. Reformatting to another medium: Such as digital, or any other electronic media. Records should be reformatted to reduce storage costs, save space, and/or improve access to and usability of the data; Documentation of the reformatting process and procedures must be maintained; The reformatted reproduction must be an exact duplicate of the original, and records must be unchangeable in their new format; Back-up copies must be made and kept for the Retention Life of the Records; Confidential, Restricted and Vital Records must be encrypted and stored in secure electronic media; Once reformatted, hard copies must be disposed of. Disposal/Destruction: University records which are determined to be disposable may be stored on any medium that ensures the maintenance of the information until its designated time of disposal. All paper Records must be recycled; Confidential, restricted and vital records must be shredded before being recycled.

7 SUBJECT: RECORDS RETENTION POLICY Page 7 of 29 4 Guidelines for Retention of Electronic Records 4.1 These procedures cover all account holders, which includes all permanent, temporary, and part-time employees of Loyola Marymount University, as well as contractors or other entities that access and use LMU s resources. These procedures do not include wireless devices or telephones. In order to: better manage the messaging system s large volume of messages, tasks, and calendar events; reduce the amount of server storage space used by ; and enhance LMU s account holders search and indexing capabilities, LMU s Department of Information Technology Services has implemented an enterprise automated archiving system. The Enterprise Archiving system reduces storage space and costs, while simplifying management of the messaging system. Archiving tasks are now managed automatically and allow for seamless retrieval of archived information. The system also provides built-in search and discovery capabilities for account holders. This policy governs the implementation and maintenance of an automated archiving system, which automatically archives all LMU , tasks, and calendar events older than 120 days. The general procedures are outlined in Appendix A. The Archive will maintain messages for 7 Years before those messages are purged and erased from records. This policy also discourages the creation of local archive files (.PST), which may be imported into the new central archive product. Users will still be able to archive to a local file store, as long as they have set up their archiving parameters to archive before the Enterprise Archiving tool runs Archiving Procedures Roles and Responsibilities 1. System Administrator a. Migrate account holder mailboxes by mailstore to the automated archive. b. Import existing Personal Folders (.pst files) to the automated archive. c. Manage the central automated archival product. 2. Account Holders a. Account holders are expected to practice good security and common sense with their LMU-provided . Delete unneeded messages, reduce the number of personal messages received/sent a day, avoid opening unknown or untrusted s and use other tools for collaborative document management. Items are moved to the central archive daily when their age crosses the 120 day threshold.

8 SUBJECT: RECORDS RETENTION POLICY Page 8 of 29 b. Once an item is moved to the central archive, the item will be retained for 7 years. Account holders are responsible for maintaining a copy of the item in the appropriate record file in accordance with the LMU s Records Management Policy Statement if the item is required to be retained for more than 7 years. After such time, the information will be purged from data storage Procedures 1. The archiving procedures are detailed as follows: a. All LMU s, tasks, and calendar events older than 120 days are archived automatically to the LMU central archive server managed by the LMU Office of Information Technology Services. b. The archived items are accessible to the account holder in his/her mailbox as normal through Outlook, Entourage or Outlook Web Access mail clients, however, the actual storage location of the electronic record is on the central archive server rather than the server. c. While archived items are accessible to the account holder as normal in their mailbox, they cannot be modified or deleted. However, they can be moved to different folders within the mailbox. d. All archived items including tasks and calendar events are retained for 7 years. This retention period exists regardless of whether the recipient or sender remains employed with the LMU. e. Under the implementation of this policy, all information stored in existing PST files (Microsoft Outlook Personal Folder File Format) either on local computers or network directories is moved to the central archive and will be deleted. This process is transparent to the account holder and existing personal folders appear similar, they are just moved from the existing PST files to the central archive and will appear in a slightly different location on the Microsoft Outlook display. 4.3 Other Electronic Data Web Pages Web pages, or segments thereof, may need to be retained beyond routine back-up protocols. It is the responsibility of the creator to determine if a particular Web page, or segments, constitute a University Record. WebPages, or segments, which require longterm or archival retention, should be retained on retrievable media as created, utilized, and/or published. Each department should review the content of its web-site annually to determine if the information is up-to-date and that any content that has been removed has been properly disposed of so that it can no longer be accessed but the public.

9 SUBJECT: RECORDS RETENTION POLICY Page 9 of Data Bases/Sets Data Bases/Sets may need to be retained beyond routine back-up protocols. It is the responsibility of the creator to determine if a particular Data Base/Set constitutes a University record. Data Bases/Sets which require long-term or archival retention should be retained on retrievable media as created, utilized, and/or published Other Born Digital Records Born Digital Records may need to be retained beyond routine back-up protocols. It is the responsibility of the creator to determine if a particular Born Digital Record constitutes a University record. Born Digital Records which require long-term or archival retention should be retained on retrievable media as created, utilized and/or published.

10 SUBJECT: RECORDS RETENTION POLICY Page 10 of 29 5 Appendix This Appendix lists most of the important and known records. There may be some minor records not listed here. Whenever possible hard/paper copies of records should be stored electronically and the hard/paper copy eliminated. Sensitive records should be shredded before disposal. Abbreviations: ACT While active or employed LIFE Life of affected employee PERM Permanent INSTITUTIONAL RECORDS Articles of Incorporation President s Office PERM Charter President s Office PERM By-Laws President s Office PERM Minutes of Board Meetings President s Office PERM Minutes of Board Comm. Meetings President s Office PERM 501 C3 Tax Determination Letter President s Office PERM

11 SUBJECT: RECORDS RETENTION POLICY Page 11 of 29 APPLICATION MATERIALS FOR STUDENTS WHO ENTER Acceptance Letters Admissions 5 years after date of last attendance Applications Admissions 5 years after date of last attendance Correspondence Admissions 5 years after date of last attendance Entrance Exams and Placement Scores Admissions 5 years after date of last attendance Letters of Recommendation Admissions Until Admitted APPLICATION MATERIALS FOR STUDENTS WHO ARE ACCEPTED BUT DO NOT ENTER Acceptance Letters Admissions 1 year after application term

12 SUBJECT: RECORDS RETENTION POLICY Page 12 of 29 Applications Admissions 1 year after application term Correspondence Admissions 1 year after application term Application Transcripts Admissions 1 year after application term INDIVIDUAL STUDENT RECORDS Course Drop/Add Slips Registrar s Office 1 year Disciplinary Files Registrar s Office ACT Pass/Fail Requests Registrar s Office 1 year Class Schedules Registrar s Office 1 year after date of last attendance Registration Forms Registrar s Office 1 year Transcript Requests Registrar s Office 1 year FERPA Requests Registrar s Office Life of requested Academic Records Registrar s Office PERM Advanced Placement Registrar s Office 5 years after date Of last attendance Application for Graduation Registrar s Office 1 year after date of last attendance Foreign Student (I-20) Forms Office of International Students 5 years after date of last attendance Date of Graduation and Degree Award Registrar s Office PERM

13 SUBJECT: RECORDS RETENTION POLICY Page 13 of 29 Degree Audit Records Registrar s Office 5 years after date of last attendance Transfer Credit Evaluations Registrar s Office 5 years after date of last attendance Personal Data Forms Registrar s Office 1 year after date of last attendance Name Change Authorizations Registrar s Office 5 years after date of last attendance Tuition and Fee Charges Controller s Office 5 years after date of last attendance GENERAL STUDENT ENROLLMENT/ACADEMIC RECORDS Applicant Statistics Admissions 5 years Enrollment Statistics Admissions 10 years Grade Statistics Registrar s Office 10 years Racial/Ethnic Statistics Registrar s Office 3 years Degree Statistics Admissions 10 years

14 SUBJECT: RECORDS RETENTION POLICY Page 14 of 29 FINANCIAL AID RECORDS Applications Financial Aid 5 years Financial Aid Awards Financial Aid ACT + 5 years Financial Aid Credits & Student Payments Financial Aid ACT + 5 years Lender's Name and Address Financial Aid ACT + 5 years Institution loans Controller s Office & Fin. Aid PERM Job Placement Fin. Aid & Career Development ACT + 5 years Loan Repayment History Controller s Office & Fin. Aid ACT + 5 years STUDENT EDUCATIONAL RECORDS Tests Academic Dept. Office 1 year Homework Academic Dept. Office 1 year Papers/Essays Academic Dept. Office 1 year Final Exams Academic Dept. Office 1 year Grade Calculations Academic Dept. Office

15 SUBJECT: RECORDS RETENTION POLICY Page 15 of 29 HUMAN RESOURCES RECRUITMENT RECORDS Unsolicited Job Inquires Human Resources 2 years from month of receipt Staffing Requisitions and Job Postings Human Resources 3 years from date position filled Job Opening Notices and Advertisement copy Human Resources 3 years from date position filled Applications (external & internal) Including letters for those not hired Human Resources 3 years from date position filled Applicant EEO Self Identification Form Human Resources 3 years from date position filled Background Investigations and Reference checks Human Resources 3 years from date position filled HUMAN RESOURCE EMPLOYMENT/PERSONNEL RECORDS Faculty Personnel File Human Resources PERM Staff Personnel File Human Resources 7 years after employment ends Personnel Records Human Resources 7 years after employment ends EEO Self-Identification Forms Human Resources 5 years from month form completed Medical Staff Credentialing Files Human Resources 5 years from date process completed Employment Eligibility Verification forms Human Resources 3 years after employment ends (I-9 forms)

16 SUBJECT: RECORDS RETENTION POLICY Page 16 of 29 WORKERS COMPENSATION RECORDS Logs of Occupational Injuries Human Resources 5 years from the end of the year and Illnesses to which they refer First Aid Records of Job Injuries Human Resources 10 years from the end of the year causing Loss of Work Time to which they refer Workers Compensation files Human Resources 15 years from date case closed BENEFITS RECORDS Faculty/Staff Benefit File Human Resources 7 years after employment ends Health/Medical Records Human Resources 7 years after employment ends Faculty/Staff Tuition Remission File Human Resources 7 years after employment ends Pension and Welfare Plan Records Human Resources PERM or 6 years following and Information (all inclusive) Human Resources plan termination and distribution MISCELLANEOUS RECORDS Child Labor Certificates and Notices Human Resources 3 years from date posted Notices of Opportunities for Training Human Resources 3 years from date posted Union Contracts Expired Human Resources 4 years after expiration of contract IPEDS, EE06, IED or other Human Resources 5 years Affirmative Action Reports or Human Resources 5 years voluntary Diversity Reports Letters Explaining But Not Establishing Human Resources Retain until policy obsolete or Policy superseded Review Records Human Resources 7 years after employment ends Paid Leave Records Human Resources 7 years after employment ends

17 SUBJECT: RECORDS RETENTION POLICY Page 17 of 29 LEGAL/LITIGATION RECORDS (PERSONNEL MATTERS) Employee Settlement Agreements Human Resources 6 years after employment ends agency (DHEH, EEOC, Wage & Hour, Human Resources 4 years from date of closure OFC) Charges and/or Notice of complaints Personnel Files of Litigated Cases Human Resources Consult legal counsel or Potential Litigation Records Relevant to any Type of Human Resources Consult with legal counsel Litigation or Administrative Action or Internal Complaint Records Relevant to Discrimination Human Resources Consult with legal counsel Charge or Complaint Legal Files/Affidavits Human Resources Consult with legal counsel Drafts of Documents Superseded Human Resources Do not retain by Final Version HANDBOOKS/MANUALS Faculty Handbook(s) Human Resources PERM Faculty Promotion and Tenure, Tenure Human Resources PERM Review, Records of Paid Leaves and stipends Staff Policy & Procedure Manual/ Human Resources PERM handbooks

18 SUBJECT: RECORDS RETENTION POLICY Page 18 of 29 HUMAN RESOURCES RELATED ELECTRONIC AND PAPER CORRESPONDENCE Unimportant Letters & Notes which Human Resources Do not retain Require No Acknowledgement Form Letter Which Require No Human Resources Do not retain follow-up Letters of Inconsequential Subject Human Resources 30 days Matter No Further Reference Duplicate copies of Interdepartmental Human Resources Do not retain correspondence Letters of General Inquiry and Replies Human Resources 1 year in Which No Further Correspondence necessary Letters Requesting Specific Action which Human Resources 1 year have no Further Value After Action taken INSTITUTIONAL PUBLICATIONS Alumni Newsletters University Relations 3 years Alumni Directories University Relations 3 years Bulletins and Course Catalogs Registrar 10 years Student Newspapers Loyolan 3 years Institutional Newspapers/Newsletters University Relations 3 years Student Directories Student Affairs 5 years Employee Directories Human Resources 5 years College Press Publication List University Relations 5 years

19 SUBJECT: RECORDS RETENTION POLICY Page 19 of 29 FACILITIES RECORDS Building Permits Facilities Management ACT + 1 Building Plans and Specifications Facilities Management PERM Office Layouts Facilities Management ACT Zoning Permits Facilities Management ACT Operating Permits Facilities Management ACT Maintenance Records Facilities Management ACT BUSINESS AND FINANCE RECORDS REGULATORY PERMITS, INSPECTIONS AND SAFETY RECORDS Regulatory Permits Environment Health & Safety ACT Expired Regulatory Permits Environmental Health & Safety 6 Years Air or Water Waste Emissions Records Environmental Health & Safety 3 years Hazardous Chemical Waste Records Environmental Health & Safety 5 years Laboratory Practices Environmental Health & Safety ACT Safety Training Records Environmental Health & Safety 7 years after employment ends Chemical Safety, toxic exposure Environmental Health & Safety 30 years from the end of the year And Other OSHA Records HOUSING, PROPERTY AND LOAN RECORDS Leases Real Estate & Faculty Housing ACT + 6 years Deeds and Titles Real Estate & Faculty Housing PERM Attorney Opinion Letters (property) Real Estate & Faculty Housing ACT + 4 years Mortgage Records Real Estate & Faculty Housing PERM

20 SUBJECT: RECORDS RETENTION POLICY Page 20 of 29 Faculty Loan Records Real Estate & Faculty Housing PERM Relocation Loan Documents Real Estate & Faculty Housing PERM DEBT DOCUMENTS CEFA Debt Documents Business & Finance PERM CEFA Compliance Documents Business & Finance PERM SWAP Agreements Business & Finance PERM Arbitrage Documents Business & Finance PERM PAYROLL RECORDS Payroll Deductions Controller s Office 6 years Time Cards or Sheets Controller s Office 5 years W-2 Form Controller s Office 6 years W-4 Form Controller s Office 6 years Garnishments Controller s Office ACT ACCOUNTS RECEIVABLE RECORDS Accounts Receivable Controllers Office 4 years Accounts Receivable ledgers Controllers Office 4 years Receipts Controllers Office 4 years Uncollected Accounts Controllers Office ACT + 4

21 SUBJECT: RECORDS RETENTION POLICY Page 21 of 29 Collection Records Controllers Office ACT + 4 ACCOUNTS PAYABLE RECORDS Purchase Orders Ordering Department 4 years Invoices or expense records Controllers Office 4 years Accounts Payable Ledger Controllers Office 4 years Payment/Disbursement Records Controllers Office 4 years CAPITALIZED EQUIPMENT RECORDS Equipment Records Controller s Office ACT + 4 years Depreciation Schedules Controller s Office ACT + 4 years Owned Property Improvement Records Controller s Office ACT + 4 years FINANCIAL RECORDS Account Ledgers Business & Finance ACT + 4 years Description of Accounting System Information Technology Services PERM Balance Sheets Business & Finance ACT + 4 years General Ledgers Business & Finance PERM Internal Auditor's Reports Internal Audit PERM Tax Returns Business & Finance PERM Audited Financial Statements Business & Finance PERM Investment Documents Business & Finance PERM

22 SUBJECT: RECORDS RETENTION POLICY Page 22 of 29 RISK MANAGEMENT/INSURANCE RECORDS Motor Vehicle Records Risk Management ACT Insurance Polices Risk Management PERM Non-Litigated Claims Risk Management ACT + 3 Risk Management Correspondence Risk Management ACT + 3 Contracts Over $25,000 Risk Management ACT + 4 years LEGAL RECORDS (GENERAL LIABILITY, AUTO LIABILITY, AND ALL OTHER LITIGATION RECORDS EXEPT EMPLOYMENT LIABILITY) Litigation Files Risk Management PERM Court Documents and Records Risk Management PERM Deposition Transcripts Risk Management PERM Discovery Materials Risk Management PERM Attorney-Client Correspondence Risk Management PERM CAMPUS CRIME REPORTS Campus Crime Reports Public Safety 7 years Campus Crime Data Public Safety PERM

23 SUBJECT: RECORDS RETENTION POLICY Page 23 of 29 UNIVERSITY RELATIONS Gift Batches & Deposits University Relations PERM Trusts/Bequests University Relations PERM Gift Agreements University Relations PERM Scholarship Agreements University Relations PERM Correspondence with major donors University Relations PERM Gift Receipts University Relations PERM Donor/Prospect Research Reports University Relations PERM Presidential Briefings University Relations PERM Stewardship Reports University Relations PERM Database Records (alumni, donor, University Relations PERM prospect, contact reports) Steering Committee meeting materials University Relations PERM & member information Campaign reports STUDENT AFFAIRS RECORDS JUDICIAL AFFAIRS Student Conduct Records Judicial Affairs 3 years from date of last Incident HOUSING RECORDS Student License Agreements Housing Office 5 years Room Change Forms Housing Office 5 years Requests to be Released Housing Office 5 years Room Assignments Banner Indefinitely

24 SUBJECT: RECORDS RETENTION POLICY Page 24 of 29 STUDENT MEDICAL RECORDS Student Health Center Records Student Health Dept. 10-years from last contact Student Counseling Center Records Student Counseling Center 7-years from last contact ATHLETIC DEPARTMENT RECORDS Game Contracts Business Office 3 Years After Contest Post-Season NCAA Tournament Bids, Business Office 3 Years After Tournament Participation, And Financial Accounting Records Signed Corporate Contracts Business Office 3 Years After Contract Expires Athletic Scholarship Recommendations Business Office 8 Years After Scholarship Expires Athletic Grant-In-Aid Non-Renewals Business/Compliance Paper PERM Equipment Ordering and Inventory Forms Business Office 3 Years Financial Audit Records Business Office PERM Human Resources / Recruiting and Hire Business Office 3 Years Records Salary Records Business Office PERM Gift in Kind Records Business Office 3 Years Budget Records Business Office PERM Accounts Payable Records Business Office 3 Years Accounts Receivable Records Business Office 3 Years Deposits Business Office 3 Years Student-Athlete Housing Records Business Office 3 Years Equity in Disclosure Act (EADA) Reports Business Office PERM Use of Own Transportation Waiver Business Office PERM Practice Schedules Main Athletic Office 3 Years

25 SUBJECT: RECORDS RETENTION POLICY Page 25 of 29 Athletic Department Meeting Agendas Main Athletic Office PERM Administrative Meeting Minutes Main Athletic Office PERM Title IX Annual Report Main Athletic Office PERM Gender Equity Report Main Athletic Office PERM 10-Year NCAA Athletic Certification Main Athletic Office PERM Steering Committee Meeting Agendas, Minutes, and Final Report Facility Project Records Main Athletic Office PERM Staff Retreat Agenda/Meeting Minutes Main Athletic Office PERM Staff Policy/Procedure Handbook Main Athletic Office PERM Athletic Directors Council Meeting Main Athletic Office PERM Materials and Minutes Athletic Advisory Board Meeting Main Athletic Office PERM Materials and Minutes Facility Rental Agreement Athletic Facilities 3 Years After Event Vehicle Records Athletic Facilities PERM Medical Records Training Room 7 Years Training Room Handbook Training Room PERM Medical Insurance Records Training Room PERM Injury Rehabilitation Records Training Room PERM Weight Training Schedule Strength Room 3 Years Student-Athlete Strength Training Strength Room PERM Performance Records Coaches Compliance Handbook Compliance Office PERM Student-Athlete Handbook Compliance Office PERM Questionnaire/Physical Records Compliance Office PERM NCAA Eligibility Records Compliance Office PERM NCAA Student-Athlete Statement Compliance Office PERM

26 SUBJECT: RECORDS RETENTION POLICY Page 26 of 29 NCAA Drug Testing Form Compliance Office PERM Student-Athlete Buckley Statements Compliance Office PERM Athletic Grant-In-Aid Agreements Compliance Office PERM National Letters of Intent Compliance Office PERM Medical Hardship Waivers Compliance/Training Rm PERM Medical Absence Waivers Compliance Office PERM Student-Athlete Employment Forms Compliance Office PERM Student-Athlete Disclosure Agreements Compliance Office PERM Student-Athlete General Information Compliance Office PERM Questionnaires Medical History Forms Compliance/Training Rm. PERM Student-Athlete High School and Previous Compliance Office PERM Institution Participation Form NCAA Eligibility Information Form Compliance Office PERM (Better Known as a Transfer Form) Student-Athlete Conduct Review Form Compliance Office PERM Student-Athlete Eligibility/Financial Aid/ Compliance Office PERM Amateurism Statements Student-Athlete Motor Vehicle Form Compliance Office PERM Student-Athlete Release for Withholding Compliance Office PERM Funds Acceptance of Student-Athlete Manual Compliance Office PERM And Athletic Medicine Policies and Procedures Manual Student-Athlete Injury Insurance Form Compliance Office PERM Student Host Education Form Compliance Office PERM Student-Athlete Eligibility Waivers Compliance Office PERM

27 SUBJECT: RECORDS RETENTION POLICY Page 27 of 29 International Student-Athlete Compliance Office PERM Documentation (e.g. Letters, Questionnaire, Competition Records, Expenses Received) Student-Athlete Promotional Activities Compliance Office 6 Years Camp and Clinic Records Compliance/Main Office 3 Years NCAA Student-Athlete Opportunity Fund Compliance Office 6 Years Declaration of Outside Income Compliance Office 6 Years Tickets and Complimentary Admissions Compliance Office 6 Years NCAA Revenue Distribution Records Compliance Office 6 Years NCAA Academic Performance Program Compliance Office PERM NCAA Academic Performance Rate Compliance Office PERM NCAA Graduation Success Rate Compliance Office PERM NCAA Violations Compliance Office PERM Internal Audits Compliance/Business PERM West Coast Conference Audits Compliance Office PERM NCAA Institutional Certification Records Compliance/Main Office PERM Certification of Compliance for Staff Compliance Office PERM

28 SUBJECT: RECORDS RETENTION POLICY Page 28 of 29 Team Information, to Include: Compliance Office PERM Team Rosters Squad Lists Competition Schedules Recruiting Logs Countable Hours Logs Official Visits Team Eligibility Records Team Financial Aid Reports Permission to Speak to Transfers Staff Declarations Playing and Practice Season Declarations Volunteer Coach Agreements Local Sports Club Forms Recruiting Declaration Forms Study Hall Attendance/Completion Academic Office PERM Sports Statistical Records Sports Information PERM Ticketing Records Ticket Office PERM Student-Athlete Advisory Committee Academic Office PERM Meeting Materials and Minutes STUDENT CAREER DEVELOPMENT RECORDS Educational Professional Placement Files Career Development Services 7 years after degree completion Internship Documentation Career Development Services 7 years after degree completion Career Counseling Records Career Development Services PERM Student Employment Files Career Development Services 7 years after degree completion

29 SUBJECT: RECORDS RETENTION POLICY Page 29 of 29