Administration
The Vice President for Finance and Administration is responsible for developing and implementing policies governing the retention and disposal of the University’s records
The Vice President for Finance and Administration will designate others, on an ad hoc basis, to assist in implementing the record retention policy, including the following:
- Identify and evaluate which records should be retained;
- Publish a retention and disposal schedule that is in compliance with local, state, and federal laws.
- Monitor local, state, and federal laws affecting record retention
- Annually review the record retention and disposal program
- Develop a training program for personnel responsible for record storage and maintenance
- 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 Finance and Administration. In addition, the Vice President for Finance and Administration 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
PERM = permanent
GENERAL
INSTITUTIONAL AND LEGAL RECORDS
|
Articles of Incorporation
|
PERM
|
|
Charter
|
PERM
|
|
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
|
7 years
|
|
Financial Aid Awards
|
ACT + 7 years
|
|
Financial Aid Transcripts
|
7 years
|
|
Job Placement
|
ACT + 7 years
|
|
Lender’s Name and Address
|
ACT + 7 years
|
|
Other documents in Financial Aid Files
|
ACT + 7 years
|
|
Promissory Notes
|
PERM
|
|
Repayment History
|
ACT + 7 years
|
|
Summary Statistical Reports
|
PERM
|
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 Office of Registrar
|
10 years
|
|
(2) in Office of Registrar, (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
Hiring Documents (Part of Personnel Files):
|
Position Requisition
|
Termination + 7 years
|
|
Employment Application (Resume, Cover Letter, etc.)
|
Termination + 7 years
|
|
Interview Notes/Evaluations
|
Termination + 7 years
|
|
Assessment Results
|
Termination + 7 years
|
|
Background Check Information
|
Termination + 7 years
|
|
References/Verifications
|
Termination + 7 years
|
|
Hiring documents of not hired applicants
|
Later of 2 year from creation of the document or no hire decision
|
Onboarding and Personnel File Documents:
|
New Hire Action Form
|
Termination + 7 years
|
|
Offer Letter
|
Termination + 7 years
|
|
New Hire Paperwork
|
Termination + 7 years
|
|
Employee Change Action Form
|
Termination + 7 years
|
|
Promotions/Demotions/Transfers/Position Changes
|
Termination + 7 years
|
|
Performance Reviews
|
Termination + 7 years
|
|
Rates of Pay and Salary History
|
Termination + 7 years
|
|
Any Document with the Employee’s Signature/Acknowledgement
|
Termination + 7 years
|
|
Employee Handbook/Policy Acknowledgements
|
Termination + 7 years
|
|
Disciplinary Actions or Complaints*
|
Termination + 7 years
|
|
Resignation/Retirement/Termination/Layoff Information
|
Termination + 7 years
|
|
Separation Agreement/General Release Form
|
Termination + 7 years
|
|
Unemployment Claim Records
|
Termination + 7 years
|
*Documents related to complaints and investigations which may include government agency claims or documents related to lawsuits are maintained in a separate file and kept until the claim or other litigation is fully resolved.
Employee Benefits File Documents:
|
Benefits election forms
|
Termination + 7 years
|
|
Health & Benefits Beneficiary Forms
|
Termination + 7 years
|
|
FMLA Related Records Including Medical Certifications
|
Termination + 7 years
|
|
Marriage Certifications
|
Termination + 7 years
|
|
Job Related Injuries & Illness Records
|
Termination + 7 years
|
|
Reasonable Accommodation and/or Requests
|
Termination + 7 years
|
|
Drug Test Records (If Applicable)
|
Termination + 7 years
|
|
Toxic & Bloodborne Pathogens Exposure Records
|
Termination + 30 years
|
|
USERRA Leave Records
|
PERM
|
Immigration Documents:
|
Form I-9 and Supporting Documents
|
Later of 3 years from hire date or 1 year from termination date
|
Faculty Files
|
Correspondence
|
ACT + 5 years
|
|
Course Evaluation Forms
|
3 years
|
|
Faculty Status and Review Committee Reports
|
PERM
|
|
Peer Review Documents
|
4 years
|
|
Scholastic Evaluation
|
4 years
|
|
Tenure Records
|
ACT
|
General Files
|
EEO-6 Reports
|
3 years
|
|
Faculty Committee Evaluation Reports
|
ACT
|
|
Superseded Employee Manuals
|
10 years
|
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
|
11 years
|
|
Accounts Receivable Ledgers
|
11 years
|
|
Collection Records
|
ACT +11 years
|
|
Receipts
|
11 years
|
|
Uncollected Accounts
|
PERM
|
|
1098T Tax Forms
|
11 years
|
|
1098E Tax Forms
|
11 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
|
5 years
|
|
Bank Deposit Records
|
11 years
|
|
Bank Statements and Cancelled Checks
|
11 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
|
PERM
|
|
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
|
5 years
|
|
IRS Form 990-T
|
PERM
|
|
IRS Form 990-T-Detailed Supporting Working Papers
|
5 years
|
|
IRS Form 1099Misc, 1099R, 1099E
|
5 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
(as required by Rules & Regulations of the Texas State Board of Examiners of Psychologist)
|
ACT + 10 years
|
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
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)
|
PERM
|
|
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
|
