a b c d e f g h i j 1 university of colorado denver

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27282930

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A B C D E F G H I J

University of Colorado Denver | Anschutz Medical CampusRecord Retention Matrix

11/5/15Document Type Repository

As designated by Campus Chancellor

Issuing Department

As designated by originating unit

Originating Unit

PermanentInstitutional Planning Office

Institutional Planning Records• Activity Reports• Information Materials

State Archives Records Management

Committee Records State Archives Records Management Manual - Schedule 8

5 years• Agendas• Meeting Minutes• Reports• Working Papers • Related documentation and correspondence

Until No longer needed

Correspondence, General

Originating UnitCorrespondence, Ephemeral

2 years Originating Unit

• Communications received or sent which do not contain significant information about programs of a unit, fiscal status, or routine agency operations.

• Correspondence received or sent which contains information about routine matters.

Correspondence, Administrative• Communications received or sent which contains significant information about the programs of a unit

Identification Card Records 6 years after employee or student separation

State Archives Records Management Manual - Schedule 8

2 years

Related Authority *

Administrative RecordsAccreditation Records

• Evaluation Reports from Accreditation Organizations

Permanent

Retention

• Final Reports sent to Accreditation Organizations

Period


• Self-evaluation Reports• Statistical Data• Working Papers



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Related Authority *

Retention Period

3536373839404142434445

46474849505152535455565758

59

Faculty Council / School / College Governace Organizations or Faculty Assembly

Office of Governmental Relations

• Strategic Planning Documents

• Handbooks• Mission and Policy Statements

Agendas -Meeting Minutes } Faculty School Goverance Organizaations, Faculty Assembly and their committees

Permanent

Related Documentation

• Committee Minutes/NotesUntil no longer needed for referenceUnit/Program Sponsor

• Financial Support Records• Lecture Recordings and Transcripts• Program Records and Announcements

Lecture and Lecture Series Records

Legal Case Records• Case files pertaining to legal actions brought against or on behalf of the UniversityLegislative Relations Records• Bill Review and Tracking Forms

Permanent

Office of University Counsel

• Copies of Pending or Approved Legislation• Working Papers

• Official Procedure Guidelines• Organizational Charts

Policies and Procedures Records Permanent. Previous policies should be retained for 5 years post-revision unless a separate document memorializes the changes.

6 years after case is closed

Faculty Records

• Planning Reports/Surveys• Statements of Goals and Objectives• Working Papers• Related Documentation

• Planning Committee Records

Originating Department


State Archives Records Management Manual - Schedule 8State Archives Records Management Manual - Schedule 8

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Related Authority *

Retention Period

60616263646566

67

68

69707172737475767778

System Administration,School / College Governace Organizations or Faculty Assembly or Primary Unit Organization

School / College Governace Organizations or Faculty Assembly or Primary Unit Organization

As designated by the Chancellor

Institutional ResearchProvostInstitutional ResearchInstitutional Research

Faculty Council Office

Student RecordsSurveys Until no longer needed

Governing documents: Faculty School Constitution and Bylaws, Faculty Asembly Bylaws, Rules of the Faculty Assembly

Permanent

Membership lists Until no longer needed

Reports Until no longer needed

Privilege and Tenure Committee Records• Grievance case files• Other confildential files • Public files(meeting minutes,reports,etc.)

Faculty Council

Resolutions, Motions and Enactments Until no longer needed

5 yearsSponsoring UnitAward records

• Winners' names

Faculty Handbook Permanent

Election/ Ballot Records

Permanent• Ballots• Results

5 years

Policies and Procedures Permanent

Studies Until no longer needed

10 years from the date the case is closed.

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Related Authority *

Retention Period

7980

81

8283

8485

86

87

888990919293

949596

Admissions and Registrar

Student Information System/Data Warehouse

Chancellor’s Office or Registrar’s OfficeInstitutional ResearchVarious academic depts. and faculty offices

RegistrarRegistrar (Have not been produced on Boulder Campus for years)

As designated by Campus ChacellorHousing, Family Housing

Children’s Center

Career ServicesCampus Health Clinic or Counseling CenterDisability ServicesRegistrar, Admissions

• Medical Forms for Children's Center

Department practiceInternship Program Records

Student Academic RecordsServices to Students with Disabilities Records

10 years after last contact with student

6 CCR 1011-1Medical/Counseling Records

American Association

5 years after date of last attendance5 years after student’s last contact

Grievance Records – Academic

1 year after date distributed State Archives Records Management Manual - Schedule 8

Grade Reports

5 years from date of last attendance

Housing Records

• Housing Contracts and Leases • Related Billing Records

1 or 2 years after expiration of contract/lease

Permanent

No set standard

Department Practice

Colorado Dept. of • Students/Critical Incident Files

Accepted students - 5 years after graduation or last date of attendanceRejected students - 1 year

Admission Records

Class Rosters


Registrar’s is going to all web-based rosters in near future; no paper storage

Grade Sheets

No specific requirement for retention; generally up to individual faculty member or departmental

5 years

Permanent State Archives Records Management

Commencement Records

Enrollment ReportsExaminations, Tests, Term Papers, and Homework Records

3 years

7 years after students no longer

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Related Authority *

Retention Period

979899100101102103104105106

107

108109110111

112

113

114

115116117118

Bursar’s OfficeJudicial Affairs or School Honor CodeRelevant academic or administrative department

Registrar’s Office

Office of International EducationOffice of International EducationOffice of International EducationOffice of International Education or Admissions

International College Student and Staff Records 5 years

International Admissions Records 5 years

3 years after student leaves the University.

8 CFR 214.3(g)(1)22 CFR 62.10(h)

Office of International Education or as designated by OEI

International Student Visa RecordsF1 Visa Records

75 years after graduation or State Archives

J1 Visa Records

International Student Records Recommendation to keep at least one year following notification to

8 C.F.R § 214.3(g);22 C.F.R. § 62.10(h)

• Academic Progress Reports• Applications• Course Withdrawal Forms• Examination Reports• Grade Changes• Grade Reports• Letters of Recommendation• Notices of Admission/Denial/Acceptance• Notices of ReadmissionStudent Account Records

Student Employment Records

Thesis and Dissertation RecordsTranscripts

Only until student is admitted

of College Registrars and Admissions Officers

10 years after separation from employment (except for Work-Study, which is 3 years after the relevant

34 C.F.R. 675.19(b)(2)(i)-(iii)

No specific requirement for retention; Judicial Affairs keeps all

Department PracticePermanent for all accounts with

Permanent

Student Conduct Records

one yearDenials retained in Admissions for

State Archives

Immigration/International RecordsStudy Abroad Student and Staff Records 5 years

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Related Authority *

Retention Period

119120

121122123124125126127128129130131132133134135136137138139140141142143144145146147

Office of International Education by OEIInternational Office International Office

GME OfficeProgram OfficeGME Office

GME OfficeGME Office

Program OfficeGME Office

Academic Program Administrative Records

Grievance 10 years after completing residency Medical School Diploma 50 years after resident separates

Curriculum and Instruction Records

50 years after resident separates from the GME Program. If

Procedure/Case Log Summary 50 years

GME Office and Program

Probation/Remediation Records

Training Agreement 50 years

Curriculum Vitae 10 years after resident leaves GME

5 yearsProgram Office

Background Check Results Until resident leaves GME Program

• Visa Status

ECFMG 50 yearsEvaluations Monthly and Semi-Annual - Until

residency is completed unless in New Innovations; Final – 50 years

Program Office• Monthly/Roational• Semi-Annual• Monthly/Roational

Labor Condition Applications One year after application expires 20 C.F.R. § 655.760Graduate Medical Education Records

International Scholars Records 3 years after student leaves the University

Labor certifications/applications 5 years from date of 20 C.F.R. § 656.10(f)

Applicant Summary• Names• Gender

Application Accepted Resident - 5 years after Rejected Resident – 1 year after

• Ethnicity

• Accepted/Rejected Status

Program Office

H1 Visa Records

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Related Authority *

Retention Period

148

149150151152153154155156157158159160

161

162

163164165166167168

Registrar’s OfficeStudent Information System, Data Warehouse or Continung Education Registrar’s Office Registrar’s Office Registrar’s Office

Registrar’s OfficeRegistrar’s Office

Dean’s OfficeRegistrar’s OfficeInstructor’s OfficeOfficial location of faculty member's personnel file

Office of Academic Resources and Services

Office of Academic Resources and Services

Institutional Research

Institutional Research

29 C.F.R. § 1602.48

Employment Data Analysis Records

Institutional ResearchAffirmative Action Plans and Progress Reports 29 C.F.R § 1602.14

29 C.F.R § 1602.14

Student Faculty and Course Evaluation Summaries (FCQ) 3 years from end of employment• Syllabi

Until no longer needed for reference

IndefinitelyUntil no longer needed for reference

Course Records

• Degree Requirements

Personnel RecordsRecords to complete EEO-6 or IPEDS Staff Survey

New Degree Programs, Proposals & Approvals As long as program is in operation

Program Review Records Unitl next review

3 years

1 year after semester endsPermanent

Permanent

• Class Roster• Course Proposals

Permanent

• Add/Drop Reports• Course Enrollment Summaries

• Graduation Summaries

Course Catalog and Schedule of Courses 3 years

• Registration Reports• Summer Term Reports

Permanent


2 years

2 years

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Related Authority *

Retention Period

169170171172173174175

176177178179180181182183184185

186187188189190191192193194

Institutional ResearchHuman Resources

Regulatory ComplianceHuman Resources or other repository as designates by Human Resources

8 C.F.R. § 274a.2

10 years after employee’s separation from the University.

All:Title VII

Human Resources or other repository as designated by Human ResourcesHuman Resources or other repository as designates by Human Resources

Hazard exposure records: 30 yrs. after employee separation

• Medical Examination Records• Records of health or disability limitations

Employment Applications

• Successful

• Short and Long-Term Disability Documentation• Return to Work Forms• Release consent forms

• Unsuccessful

• I-9 Forms• Residence Records

Unsuccessful applicants: 2 years

Employment Verification Records 3 years after date of hire, or one year after termination, whichever is later

• Visa Records

Successful applicants: 2 years from employment date.

• First-aid incident reports• Hazard exposure records

29 C.F.R. 1607.15 29 C.F.R. § 1602.48

10 years after employee’s separation from the University.

All:Title VII ADA 29 C.F.R.1602.49 State Archives Records Management Manual -

Human Resources or other repository as designated by Human Resources

2 years2 yearsEqual Employment Opportunity Reports

Employment Tests and Selection Criteria – Impact or Adverse

Conflict of Interest Disclosures

• Family Medical Leave Act documentation

Employee Medical Records These records are not personnel records and must be kept separate from personnel records.

• Documentation of work related injuries or illness

Classified Employee Personnel Records

29 C.F.R. 1910.1020.

29 C.F.R. 1904.33

3 years

All other medical records: 10 years

Faculty and Exempt Employee Personnel Records Human Resources or other repository as

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Related Authority *

Retention Period

195196197198199200201202203204205206

207208209210211212213214215216217218219220221222

Human Resources or other repository as determined by Human Resources

3 years Note: Application of the successful candidate become part of the employee’s personnel file.

Leave, Time, and Attendance Records

• Resumes• Transcripts

• Applications• Committee Meeting Minutes• Interview Materials

Note: Application materials of the successful candidate become part of the employee’s personnel file.

2 years from creation of record


• Job Announcements• Job Classifications• Performance Review• Position Descriptions

Human Resources or other repository as designates by Human Resources

Until superseded or updated

Search Committee Records

State Personnel Employee Reporting Records• Employee Rosters• Employment Vacancies

• Letters of Recommendation• Letter of Offer/NonOffer

5 years from creation of the record

29 C.F.R. 1602.49State Archives

• Appointment Records• Notifications of Academic Position Openings

ADA

• Test forms and scores

State Archives Manual State • Initial set up and changes to the security

Duration of the authorized profile plus two years after the user’s profile

• Position Descriptions

• Applicant PoolHuman Resource Recruitment Records

Individual Employee Security Profiles

designates by Human Resources

Human Resources or other repository as designates by Human

Human Resources or other repository as designates by Human

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Related Authority *

Retention Period

223224225226227228229230231232233234235236237238239240241242243244245246247248249250251252253

Various DepartmentsComputer System Security Records• Computer System Security Records include, but are not limited

− Sarbanes–Oxley Act (SOX)

• The recommended minimum retention period for records not • The recommended minimum retention period for records that − Payment Card Industry Data Security Standards (PCI-DSS)− Gramm–Leach–Bliley Act (GLBA)

(HIPAA) 6 years(SOX) 7 years

Information Management RecordsComputer System Maintenance Records

• Conversion Notes• Data Directories• Dataset Inventories

• System Back-up Reports

IT Department

Computer System Program Documentation Records

• Programming Logs• System Development Logs• System Overview Logs

6 monthsIT Department

• Dataset Logs• Operation Logs• Operator Instruction Manuals• Program Listings

• Commercial Software Manuals

• Back-up Tape Inventories • Component Maintenance Records

Life of the system

• Computer Equipment Inventories• Hardware Performance Reports

• Positions Review Reports• Salary Change Report

• Summary Report• Termination Analysis

− Health Insurance Portability and Accountability Act (HIPAA)

Varies (see below)

(No regulations, external standards,

(PCI-DSS) 1 year(GLBA) 5 years

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Related Authority *

Retention Period

254255256257258259260261262263

264265266

267

268269270271272273274275276277278279

Information Security Officer

Finance OfficeApplicable campus department or Facilities Operations DepartmentApplicable campus department

Facilities Project OfficeFinance Office

• Registration Records• Titles• Use Records

UCB Transportation Services

• Insurance Records• Maintenance Records

• Emission Records• Fuel Records

Building Space Inventory and Valuation Records 10 years

Telecommunication System Management Records• Equipment Records

IT Department

• Software Purchase Records

• Maintenance Records

Email (mailbox) of all terminations, voluntary or involuntary

Equipment and Supplies Records

Bid and Competitive Selection Records Until completion of project

Equipment Inventory Records 10 years Equipment Maintenance Records Life of the equipment

Facilities and Property Records

Research and Teaching Drug Inventory Records 2 years 21 CFR 1304.04(a)

Vehicle Records Until vehicle is no longer owned by the University.

• System Planning Records

IT Department 3 years from end of relevance system

189 days/27 weeks from date of termination in HRMS.

• Related Documentation

3 years from life of systemSoftware Management Records• Licenses• Site Licenses• Software Inventories

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Related Authority *

Retention Period

280281282283284

285286287288289

290

291292293294295

296297298299300301302303

Facilities Project and Operations OfficesFacilities Project Office

2 yearsFacility Operations

Facilities Project Office and Legal

HIPAA Compliance OfficeStudent Services Office

Program OfficeProgram OfficeProgram OfficeProgram OfficeMedical Records Office or as designated by campus Program Office

Medical Records 35 years from the date of last contact with the individual

6 CCR 1011-1

Shadow Charts Until no longer neededFinancial Aid Records

Borrowers Loan Records• Institutional Loans• Repayment Schedules

3 years after loan repayment or assignment to the U.S. Department of Education

34 C.F.R. § 668.24

• Statements of Rights and Responsibilities• Records of Actions Taken

Student Debt Management Office

HIPAA Compliance Records and Reports 6 years from creation date or effective date

45 C.F.R. pt. 160

Immunization Records Students – 2 years after student graduation or withdrawal

Patient Encounter Logs 2 yearsPharmacy Prescription Dispensation Records 2 years C.R.S. § 12-22-Practitioner Rotation Schedules 2 yearsHealth Insurance Records Until individual’s separation from the

Building/Grounds Repair, Maintenance, Remodeling, and Construction Records

Permanent

Capital Construction Project Records Permanent

Land Inventory Records Permanent

Health Services Records


State Archives

State Collections• Appeal/Citation Records• Permit Records

Key Issuance Records• Requests• Agreements

Until key is returned to issuing dept.

Parking Records Parking Office Current year plus 3 years

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Related Authority *

Retention Period

304

305306307308309310311

312313314315316

317318319320321322323324325326327328329

Financial Aid Office & Institutional Research

Financial Aid Office or as otherwise designated

As designated by System or Campus Controller

Financial Aid Office

• ED Payment Management System Cash • Federal Pell Grant Statements of Account• Federal Work-Study Payroll Records• General Ledgers

Fiscal Records and Reports• Accreditation and Licensing Agency Reports• Annual Federal Fiscal Operations and • Cash Disbursements

3 years after the end of the award year for which the report was submitted

34 C.F.R. § 674.8(c)

• Refunds and Repayments• State Grant and Scholarship Award Rosters

Financial Aid Office or as otherwise designated.

• Education Program Eligibility • Institutional Program Participation • Recertification

Federal Title IV, Program Records, Institutional Records • Accreditation Reviews and Reports • Any other record pertaining to factors • Audits and Program Reviews

Financial Aid Annual Reports 3 years after the end of the award 34 C.F.R. § 674.8(c)

• Student Status Confirmation Reports

3 years after the end of the award year in which the student borrower last attended the Univ.

34 C.F.R. § 668.24Federal Family Education Loan and Direct Program Records

• Applications• Disbursement Records• Promissory Notes

Official Files regarding Financial Assistance from State 3 years State Archives Records Management Manual - Schedule 7/34 CFR Sec. 74.53

34 C.F.R § 668.24(a) Agreements: 6 years after expiration(b) 3 years after the end of the

• Related Correspondence

Records pertaining to audit and

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Related Authority *

Retention Period

330331332333334335336337338339340341342343344345346347348349

350

351352353

354355

Financial Aid OfficePerkins Loan Program Records

Financial Aid OfficeBursar's OfficeFinancial Aid Office

EH&S Office & Distribution Center ArchivesEH&S Inventory DatabaseEHS - DirectorEH&S OfficeEH&S Office

EH&S Office

Asbestos Records

Carcinogenic Compounds Inventory/Use Records

30 years after student/employee separation

Chemical Hazardous Material Survey Records

Chemical Incident Reports

10 years

3 years

• Affidavit of Lawful Presence• Applications • Award Letters

Chemical and Hazardous Waste Disposal Records

Financial Aid Office or Relevant Academic or Administrative Department

34 C.F.R. 668.24

10 years after the end of the award year in which the student last attended the institution

34 C.F.R. 668.24Student Financial Aid Records

Work Study Program Administrative Records 3 years after the award year for which aid was awarded

34 C.F.R. § 668.24(e)

• Eligibility Records• Payment Records• Repayment Agreements

30 years OSHA & EPASafety and Security Records

• Award Letters• Job Descriptions• Payment Records• Related Correspondence

3 years after the end of the award year for which aid was awarded

• Promissory Notes, etc.

Pell Grant Reports 3 years after the end of the award

• Title IV Program Reconciliation Reports• Title VI Program Transaction Records

• Applications & award letters

3 yearsCDC Select Agent Program 42 CFR 733 years

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Related Authority *

Retention Period

356357

358359360361362

363364

365366367368369370371372373374375376377378

EH&S Office EHS - Biosafety OfficeEH&S Office

EH&S Office - RSOEH&S Office - RSOEH&S Office - RSOEHS - Biosafety OfficeEH&S

EH&S

Campus Police Campus Police

Campus PoliceCampus PoliceCampus PoliceCampus PoliceCampus Police

Campus PoliceCampus Police

Emergency Response Plans and Procedures

Safety Inspection Records

Safety Training Records

Crimes)Adult Offender Sexual Assault Arrest Records 99 years plus currentAdult Offender Felony Arrests (Other) 10 years plus current State Archives Adult Offender Misdemeanors 3 years plus current State Archives Juvenile Offender Arrest Records Until offender is 19 years oldSealed or Expunged Arrest Records Until sealed or expunged record is

destroyed pursuant to this scheduleTraffic Accident Arrest Records - Fatality PermanentTraffic Accident Arrest Records - Non-Fatality 3 years plus current

EH&S paper records not needed - initial training date; remain in system until employee leaves University.

EH&S paper records not needed – keep electronic database that shows inspection history; remain in system indefinitely.

Campus Police Records

Arrest and Booking Logs 5 years plus current State Archives Adult Offender Felony Arrest Records (Major Felonies and Violent Permanent State Archives

Material Safety Data Sheets Records

Radiation Licensing RecordsRadiation Material Handling and Disposition RecordsRadiation Monitoring and Exposure Records

3 years after use and storage of chemical terminates.

Until superseded

3 years after license is terminated CDPHE3 years after license is terminated CDPHE3 years after license is terminated CDPHE

Regulated Medical Waste 3 years 6 CCR 1007-1

IBC Records 3 years NIH Guidelines, NOV

Arrest Records

State Archives

State Archives State Archives

State Archives

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Related Authority *

Retention Period

379380381382383384385386387388389390391392393394395396397398399400401402403404405406407

Campus Police


Campus PoliceCampus PoliceCampus PoliceCampus Police

Campus PoliceCampus PoliceCampus Police

Campus PoliceCampus PoliceCampus PoliceCampus PoliceCampus PoliceCampus PoliceCampus Police


Campus Police

Taped-Recorded Interviews conducted during field contacts in which 3 years plus current State Archives

Multiple Contacts 5 years from date of last contact State Archives

Mug Shots/Negatives – Photographic records of suspects and 75 years plus current State Archives Photographs – Photos of crime scenes, including photographic 75 years plus current State Archives Tape Recordings – Dispatch audio tapes recorded to monitor radio 90 days State Archives Video Tapes related to cases involving death, missing persons, Permanent State Archives Video Tapes concerning all other cases 10 years plus current State Archives

Records or contacts with businesses, complainants, juveniles, 3 years plus current State Archives

Traffic Accident Case Records - Fatality PermanentTraffic Accident Case Records - Non-Fatality 3 years plus current

Felonies 10 years plus current State Archives Homicides Permanent State Archives Misdemeanors 5 years plus current State Archives

Fingerprint Cards and Files – Records containing latent fingerprints 75 years plus current State Archives Handling and Storage of Evidence Records – Logs documenting the 75 years plus current State Archives

Major Crimes (Arson, Aggravated Assault, Homicides, Kidnapping, Permanent State Archives Missing Persons, Robbery, Forgery, Theft of Public Funds, Traffic Fatalities) and DeathsSexual Assault Cases 99 years plus currentFelony cases and special investigations (Including workplace 10 years plus current State Archives violence incidents)Misdemeanor cases, Petty offenses, and Traffic Offenses 3 years plus current State Archives Sex Offenders Permanent State Archives

Case Files

State Archives

State ArchivesState Archives

Criminal History Files

Evidence Records – Records pertaining to the collection and storage of evidence collected at crime scenes and during police investigations. (Retention periods apply provided offenses are not affected by statute of limitations)

Field Contact Records

Intelligence Files – Records containing information regarding individuals and groups

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Related Authority *

Retention Period

408409410411412413414415416417418419420421422423424425426427428429430431432433434435436

Campus Police

Campus Police

Campus PoliceCampus PoliceCampus PoliceCampus PoliceCampus PoliceCampus PoliceCampus Police

Campus PoliceCampus PoliceCampus PoliceCampus PoliceCampus PoliceCampus Police

Campus Police


Campus Police

Campus Police

State Archives Statistical Files 5 years plus current State Archives

Miscellaneous Records

State Archives

Dispatch Logs 1 year plus current State Archives DUI Logs 2 years plus current State Archives Offense Logs 3 years plus current State Archives Routine Activity Logs – Records of Routine Welfare Checks, alarm 1 year plus current State Archives

Citations/Summonses and Complaints - all others 3 years plus current

Citations/Summonses and Complaints (Criminal, DUI, Driving 10 years plus current State Archives under Revocation)

Traffic Accident Logs 2 years plus current State Archives

Parole File Card Until no longer needed State Archives Prisoner Transport Records 1 year plus current State Archives Seizure Fund Documentation 7 years plus current

No Further Contact 1 year from date of last contact State Archives

Records pertaining to internal investigations regarding police 4 years State Archives Logs

Court Subpoena Logs 2 years plus current State Archives Crime Logs 3 years plus current State Archives

Training Records 5 years after employees separation State Archives

Internal Affairs Investigations

Requests for release of information (911 recordings, reports, etc) 2 years after request is answered

Registered Sex Offender RecordsInformation Request Forms 1 year plus current State Archives Sex Offender Registration and Cancellation Forms 5 years after offender leaves the State Archives

jurisdictionSexually Violent Predators Notifications Permanent State Archives

ReportsAccident Reports 3 years plus current State Archives

State Archives

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Related Authority *

Retention Period

437438439440441442443444445446447448449450451452453454455

456

457

458459460

Campus PoliceCampus PoliceCampus PoliceCampus Police

Campus PoliceCampus PoliceCampus Police


Inter-departmental Purchase Forms Selling Department

Petty Cash Records and Change FundsSet-up Authorization Finance OfficePurchases and reimbursement requets Procurement Svc Ctr

State Vice President for Budget and FinanceAs designated by System or Campus Budget OfficeAs designated by System or Campus Budget OfficeState

State Archives Records Management State Archives Records Management Manual - Schedule 7/ State Archives Records Management Manual - Schedule 7/ State Archives

34 CFR Sec. 74.533 years State Archives

Budget Work Papers

Appropriation Documents (COFRS Spending Authority) 5 years

Annual Budget Document3 years State Archives

3 years

State: 7 years (permanent record with State Archives after 7 years)

Annual Budget Reports

Budget Records

3 years

Budget and Finance Records

34 CFR Sec. 74.53

Cash Management Records:

Coded Long Bill

State Archives 3 years

Uniform Crime Report/NIBRS - Annual Permanent State Archives Clery Act Reports 7 years plus current State Archives

Ride Along Program RecordsApproved Ride-Along Records 3 years plus current State Archives Denied Ride-Along Records Permanent State Archives

Activity Summaries 1 year plus current State Archives Crime Stopper Reports 5 years plus current State Archives Incident Reports 3 years plus current State Archives Offense Reports Permanent for serious offenses; 10 State Archives

for all other offensesRecords Checks 2 years plus current State Archives

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Related Authority *

Retention Period

461

462

463

464465

466467

468469470471472473474475

Bank Account Responsible Department (e.g. applicable campus department)

Cash Collecting DepartmentCash Depositing Department (e.g. Bursars Office)Bank Merchant Department (e.g. applicable campus department).

Campus Controller or Treasurer

Procurement Service Center or Treasurer

Treasurer

Finance Office

Finance Office

Credit Card Receipts State Archives Records Management Manual - Schedule 7/

34 CFR Sec. 74.53

34 CFR Sec. 74.53

3 years

Bank Account Reconciliation

Cash Deposits State Archives Records Management Manual - Schedule 7/

State Archives Records Management Manual - Schedule 7/ 34 CFR Sec. 74.53


5 yearsPayment Logs/EFT and Warrant


3 years

9 years

State Archives 34 CFR Sec. 74.53State Archives 34 CFR Sec. 74.53State Archives

Bank Records (Statements, Reconciliations, and Other Supporting Documents)

Cash Receipts Logs

7 years

3 years

EFT Authorizations34 CFR Sec. 74.53State Archives Records Management

Deposits with State Treasurer

3 years

34 CFR Sec. 74.53

External Bank Account Authorization

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Related Authority *

Retention Period

476477478479480481

482483484485486487488489490491492493494495496497498499500

System Controller or Canceling Department (e.g. PSC, PBS, Bursar)

Finance Office

As designated by System or Campus ControllerState Controller

System Controller

Finance Office

Facilities Projets

Finance Office

Finance Office

Finance Office

State Contracts / all related documents State Archives Records Management Manual - Schedule 7/

Contracts Expense (PSC):

34 CFR Sec. 74.53

3 years from date of asset disposal

General Ledger:

34 CFR Sec. 74.53

3 years

State Archives 34 CFR Sec. 74.53

3 years

3 years


State Archives

Depreciation schedules

A fixed asset refers to a long-term tangible asset that is not expected Fixed Assets:

5 years State Archives Records Management Manual - Schedule 7/

3 years

Until changed or 3 6 years, whichever is later

Contracts Revenue:

Fixed Assets (purchase related documentation)

Physical inventory records

Warrant/Cancelled

Revenue Contracts

Disposal of fixed assets records

34 CFR Sec. 74.53


State Archives

6 years (except Federal expense contracts which is 7 years)

3 years from date of asset disposal




Until Expire/Replaced or 6 years, whichever is later

34 CFR Sec. 74.53

University Signature Authority Forms

Fixed Assets (purchase related documentation for construction projects)

State Controller Delegation Authority Letters

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A B C D E F G H I J



Related Authority *

Retention Period

501502503504505506

507508509510511512513514515516517518519520521522523524525526527

Finance OfficeGeneral ledger detail System Controller

Department issuing invoice

Bursars Office

Bursar Office

Department

Responsible Department

Office of Grants and Contracts, Academic Departments, Regulatory Compliance or other repository as designated.

4 years

Summary ReportsWorking PapersRelated Documentation

State Archives

3 years

3 years after pay-off

Inventory Records

Grant Project Research RecordsActivity ReportsConflict of Interest DisclosuresResearch Data

9 years after expiration of grant funding period or termination of contract and until no longer needed for reference.


Accounting Records



Tax

34 CFR Sec. 74.53 1098-T State Archives

34 CFR Sec. 74.53Loan Records 3 years after pay-off

2 years post marketing approval or IND withdrawal

Patient RecordsRegulatory RecordsAssociated Contracts

34 CFR Sec. 74.53

Grant and Research Records

3 years State Archives 7 years from the close of the oldest

Inventory Control (non capital)

Accounts Receivable InvoicesRevenue/Accounts Receivable:

Clinical Research Records Protocols

Journal Entries and Supporting Documentation

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Related Authority *

Retention Period

528529530531532533534535536537538539540541542543544545546547548549550551552553

Department

IRB (COMIRB)

IACUC Office

Office of Grants and Contracts, Academic Departments, PSC, Finance or other repository as designated

• Assignment of Refunds Documents• Balance Sheets

• Grant authorizations


Grants, Contracts, and Awarded Proposal Records

6 years after the project becomes inactive and until no longer needed for reference or as otherwise provided for by the award documents.

• Invoices

• Budget Summary Statements

9 years after expiration of grant funding period or termination of contract and until no longer needed for reference.

Human Subjects Records• Approval Applications/Forms

21 CFR 56.115

• Receipts

• Protocols

• Project Summaries


3 years after completion of the activity

• Assurance/Certification/Declaration Forms• Consent Forms• Grant Proposals• Protection of Human Subjects Forms

3 years after completion of the activity

9 CFR 2.35(f)Institutional Animal Care and Use Records• Approval Applications/Forms

• Billing Records

• Contracts• Equipment Purchase Orders

State Archives Records Management Manual – Schedule 8

Grants and Contracts Accounting Records• Account Request Forms

• Subcontracts • Related Documentation

• Financial Reports

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Related Authority *

Retention Period

554555556

557

558559560561562563564

565566567568569570571572

573

Originating UnitOffice Grants and ContractsAs designated by Campus ChancellorTech Transfer

Federal Contracts

Office of Alumni

As designated by C Ch ll

• Gift Records

3 years from completion of project

The retention periods are calculated from the end of the contract’s fiscal year in which an entry is made, changed, or allocating a cost to a government contract or subcontract.The terms and conditions of specific Federal contracts should also be reviewed for guidance.

• Mailing Lists

Publications, Promotions and Alumni Records

• Membership Lists• Related Correspondence

5 years or until supersededAlumni Records• Event Planning Records

5 yearsFundraising Records

Invention Disclosure Forms

3 years from end of employment

• Patent Applications• Technology Transfer Records

Permanent for original patents, formal invention assignment forms, license agreements, patent legal transactions, and invention disclosure forms; 6 years for all other records

• Original Patents

Research Misconduct Records

6 years after end of the Fiscal year OMB Circular A-88

• Grant Proposals• Protocols

• Licensing Agreements


Laboratory Notebooks/ReportsPersonnel Activity Report Forms

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Related Authority *

Retention Period

574575576577

578579580581582583584585586587588589590591592593594595596597598599600601602

Campus Publications Office

Library

• Background Records

• Catalogs

Record Management Records Permanent State Archives Records Management Manual - Schedule 8

• Event Planning Records

Campus Chancellor or department

Campus Publications Office

Library, Finance Office and or Procurement Service Center

As designated by campus chancellor

Inter-Library Loan Records 3 years State Archives

• Purchasing Records• Registration Records

Minimum of 3 years

• Donor Agreements/Records

Publications• Books• Brochures

• Inventory Lists• Loan Records• Ownership Records

Collection and Artifact Records• Acquisition Logs• Appraisal and Valuation Records

• Record Inventory Worksheets

Until no longer needed for reference State Archives Records Management Manual - Schedule 8

Library, Museum, and Collection Records

• Directories• Magazines• Media Guides• Newsletters

Permanent State Archives Records Management

• Fundraising Request Records• Public Relation Records

• Donor Records

Photographs

• Record Destruction Authorizations• Record Disposition Schedule

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Related Authority *

Retention Period

603604605