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RecordRetention-Administrative

Schedule DescriptionScheduleA AdministrationScheduleB HumanResourcesScheduleC FinanceandAdministrationScheduleD StudentServicesScheduleE ProvostOfficeScheduleF UniversityPoliceScheduleG SponsoredProgramsScheduleH Athletics

RPeriod RecommendedRetentionPeriodAbbreviations

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleA Page2

11223344556677

8899101011111212131314141515161617171818

1919

2020212122222323242425252626

AA BB CC DD EEScheduleDescription ScheduleA:AdministrativeRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesPresident'sOfficeBoardAgendas Administrative IndefinitelyBoardofTrusteesInformation Administrative IndefinitelyBoardMinutes Administrative Indefinitely

PresidentialSearches/ApplicationsJobSearchforUniversityPresident Administrative Indefinitely

PastsearcheslocatedinPresOfficeArchives

GeneralCounselContracts-Miscellaneous MiscellaneousContracts Administrative Active+2Years AllOfficesCommitteeFiles Administrative Active+2Years AllOfficesAppraisals-Property Property Administrative 5Years VPforFin&AdminCapitalLeaseFiles-RecordofPurchases RecordofLeasePurchases Administrative Indefinitely VPforFin&AdminLegalAbstracts Abstracts State Indefinitely VPforFin&AdminMisc.PropertyRecords VariousRecordsonProperty Administrative Disposal VPforFin&AdminProperty,PossiblePurchaseIdeas Administrative Active+2Years VPforFin&Admin;GeneralCounselPropertyClosings-Deeds&Abstracts Deeds&Abstracts Administrative Indefinitely VPforFin&AdminFreedomofInformationFiles Files&Materials State Active+2Years VPforUniv&GovRelations;Gen

CounselContracts(Construction)-DocRouting/Approval

DocumentRouting/Approval Administrative 5Years Purchasing;GeneralCounsel

Lawsuit LegalFile State IndefinitelyPatentMaterials Information Administrative Indefinitely

InternalAuditAudit(Internal) Audit State IndefinitelyLegislativeAuditReport Report Administrative 5Years

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleB Page3

ScheduleDescription ScheduleB:HumanResourcesRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesEmployeeRecordsA-8Form Employers1streportofInjury Federal&State 7yearsaftersettlementA-15Form Employer'sSupportRptofInjury Federal&State 7yearsaftersettlementA-29Form EmployeeAccidentNotice Federal&State 7yearsaftersettlementA-32Form Employee'sNoticeofInjuryRept Federal&State 7yearsaftersettlementStatementofInjuryReport Employee'sRptofInjury Federal&State 7yearsaftersettlementCOBRA RecordofCobraNotification Administrative 7yearsaftercoverageexpirationDisabilityInsurance ApplforDisabilityPayment Administrative 7yearsafterexpirationEmployeeEnrollment Medical&LifeInsurance Administrative 7yearsafterterminationInactiveEmployeeBenefitsFiles CopiesofBeneficiaries,etc. Federal FinalAudit+7yearsMedicalBills AssortedfromVendors Administrative FinalAudit+7yearsPremiumPayment CarrierFiles Administrative FinalAudit+7yearsJobAdvertisements/Openings/Postings Employment Federal 1yearApplicantRecords/Resume/Application Employment Federal 3yearsfromdateofrejectionEqualEmploymentDataForm(page4ofUCAApplication) AffirmativeActionForm Federal 3yearsfromdateofpersonnelaction

Dependingondocument,asklegalcounselbeforedestroying

FMLARecords FMLA Federal 3yearsConcurrentEmployment Two-StateJobsConcurrent Administrative 2yearsCrossgrade/DowngradeReq PositionSubstitutionForm Administrative 2yearsCareerServiceRecogPymt CSRP State 5yearsEmployeePerformanceEvaluation Evaluation Federal 3yearsExceptionallyWellQualified ExceptiontoMaxQualification Administrative 2yearsEmployeeComplaints EmployeeComplaintRecords Administrative Indefinitely

I-9Form EmploymentCertification Federal3yearsafterdateofhireor1yearaftertermination

LeaveReports/Records TimeSheets/LeaveSlips State FinalAudit+7yearsPersonnelFiles AllEmployees Administrative Active+7yearsPositionClassQuestionnaire JobDescriptionSurvey State 2yearsPositionReviewRequest ReclassorNewPosition Administrative 7years

PresidentialSearches/Applications JobSearchforUniversityPresident Administrative IndefinitelyPastsearcheslocatedinPresOfficeArchives&/orHR

MedicalRecords EmployeeMedical Federal 3yearsProvisionalRequest SoftFundedPosition State 2yearsRetirementReporting RetirementPlans Administrative 6yearsTIAA-CREFPlanDocument TIAA-CREF Administrative Indefinitely

Garnishment/ChildSupportOrders/TaxLevy Garnishment/ChildSupport Federal 7yearsDirectDepositRecords AuthorizationtoDeposit Administrative 7yearsafterterminationEmployeeVerification WrittenEmploymentVerification Administrative FinalAudit+7yearsHourlyPayroll Timesheets&Memos Federal FinalAudit+7yearsMicroficheincludingPersonnelfiles/Payroll/Benefits AccountDocumentation Administrative IndefinitelyOvertimeRecords OvertimePaySheets,Memos Federal FinalAudit+7yearsPayrollPAF PAFwithPayrollInfo Administrative 7yearsTitleCodeRecap EmployeebyTitle Federal FinalAudit+7years

PayrollRecords

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleB Page4

ScheduleDescription ScheduleB:HumanResourcesRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesVouchers/Auditorreports/Internalreports PayRecordsProduced/Payroll Federal FinalAudit+7yearsW-4's,W-5's EmployeeOriginalW-4's Federal Termination+7years

RiskManagementRecordsInjuryReport(Employee) EmployeeReport Administrative 30yearsInsurance InsChangeDocuments Other FinalAudit+7yearsMedicalBills AssortedfromVendors Administrative 30yearsPhysiciansReport DoctorsReports Federal&State 30years

TaxRecordsStateTaxDeposits TaxReports State 4yearsW-2copiesandReturnedW-2s UndeliverableW-2forms Federal(CircularE) 4yearsTaxReports(941) 941/WSupportingDocuments Federal(CircularE) 4years

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleC Page5

ScheduleDescription

RecordSeriesTitle Requirements Rperiod Notes

FinancialReports State 5years ADHEFinancialReports Federal 5years IPEDSFinancialReports Federal 5years EADASurveyBudgetTransfers Admin.Decision 5years DepartmentFilesBudgetCopiesofPAFs Admin.Decision 5years DepartmentFilesUnexpendedPlantFiles State FinalAudit+5years DepartmentFilesNCAAReport Admin.Decision 5years DepartmentFiles

GrantsandContractsAccounting State/Federal 5years GrantFoldersSEFAReport State 5years RestrictedPortionofSEFANSFSurvey Federal 5years ExcelSpreadsheetFederalDrawdowns Federal 5years GrantFoldersState/FederalReportingforRestrictedFunds State/Federal 5years GrantFolders

AccountsPayableVoucher&Invoices State FinalAudit+5yearsAccountingReport State FinalAudit+5yearsBankReconciliation State FinalAudit+5yearsBondFiles-RecordsofDebtPayment State FinalAudit+5yearsBondIssues-ActiveandClosed State IndefinitelyFinancialReports-AccountingDocs&FiscalYear State FinalAudit+5yearsIDBFile-InterdepartmentalBilling State Indefinitely ElectronicIDBFile-IDBFormwithDailyMailCharges State Indefinitely ElectronicInvoices State Indefinitely ElectronicJournalVouchers-GJIM/AccountingEntryDocuments State 3yearsMicrofiche-AccountingDocuments(Grants) Federal&State IndefinitelyMiscellaneousRecords State FinalAudit+5years

FundsTransfer-InterdepartmentalMonthly/Annually StateAugit+5yearsuntilonFUPLOAD

CheckRegisters State(foraudit) 5yearsCashierReceipts State(foraudit) 5yearsReturnedChecks State(foraudit) 5years

ScheduleC:FinanceandAdministrationRecordRetentionGuidelines

Budget

GrantsandContractsAccounting

StudentAccounts

FinancialAccounting


ScheduleDescription



BudgetVoidedChecks State(foraudit) 5yearsDailyCashieringBalancing State(foraudit) 5yearsMailLogs State(foraudit) 5yearsScholarshipLettersSentandScholarshipChecksReceipted State(foraudit) 5yearsStopPaymentRequests State(foraudit) 5years

ManualBookVouchersState(foraudit);Mgmt(forcontestedinfo) 5years

EmergencyAidRequestsState(foraudit);Mgmt(forcontestedinfo) 5years

ManualStudentAccountAdjustments State(foraudit) 5years

DirectDepositChangeFormsState(foraudit);Mgmt(forcontestedinfo) 5years

PaymentPlanAgreementsState(foraudit);Mgmt(forcontestedinfo) 5yearsorPayoff

ReinstatementAgreements(afterdropfornon-payment)State(foraudit);Mgmt(forcontestedinfo) 5years

ContractualAuthorizations,Invoices,andRelatedDocumentation(SeveralTypes) State(foraudit) 5yearsAnnualMilitaryReports State(foraudit) 5yearsAccountReconciliations State(foraudit) 5years

DebtSetOffDocumentationState(foraudit);Mgmt(forcontestedinfo) 5years

AdministrativeWithdrawalandFinancialAdjustmentAppealsState(foraudit);Mgmt(forcontestedinfo) 5years

Returned1098-Ts Federal 7yearsInternationalTaxDocumentation Federal 7yearsPerkinsLoanFISAPDocumentation Federal 7years

Perkins/NursingLoanPromissoryNotes,EntranceandExitCounselingDocuments,DisclosureStatements,DueDiligenceDocumentsandRelatedInformation

Federal

PaidinFull+3years

Studentshave10yearsafterleavingtheuniversitytopayofftheirloan/promissorynotes,therefore,recordsmaybekeptfor13to20years

NursingLoanAnnualReport Federal 7yearsInventoryReports State(foraudit) 5years

PurchaseRequistions,Authorizations,EncumbrancesandPurchaseOrders

State 3FiscalyearsPurchasing


ScheduleDescription



BudgetPurchaseOrders State 3Fiscalyears HardCopycurrentlyusedasbackuptotheElectronicFile

Contracts/Agreements&PCSContracts State 5years 5yearsaftercontractoragreementtermination

CompetitiveBids State 5years

InventoryandCapitalAssest State Indefinitely

Invoices-TelephoneServices Administrative Active+1year onlineAdd/Changes-TelephoneServices Administrative 1year online&paperMoves-TelephoneServices Administrative 5years onlineTroubleReports-TelephoneServices Administrative 1yearEquipmentInventory-Phonesets-TelephoneServices State Indefinitely ElectronicSwitchPeripheralEquipInventory-TelephoneServ State IndefinitelyInvoices-offices,plant,bldgmaint,publicbldgs Administrative 1year onlineInventoryMethods Administrative Active+1yearM.S.D.S Federal Indefinitely onlineBidListing-PHPL Administrative 8YearsChangeofOrders-DocumentRouting&Approval Administrative IndefinitelyConstructionBids-DocumentRouting&Approval Administrative Active+1yearConstruction-As-Built/ConstructionDrawings Administrative IndefinitelyConsultantPayRequest-DocumentRouting&Approval Administrative Active+3yearsContractConsultant Administrative Active+3yearsContractorsPayRequests Administrative Active+3yearsDailyReconciliation-PHPLRequisitionListing Administrative 30DaysEstimateRequestsfromCampus Administrative 1yearFloorPlans1/16forCampus Administrative IndefinitelyHousekeepingDailyOrderForm Administrative Active+1YearKeyCardRequests Administrative Active+5YearsNaturalGasVolumeDelivery-MonthlyReceipts Administrative FinalAudit+5YearsRemodel/AlterationDrawing Administrative IndefinitelyScrapMetalBid-Departments Administrative Active+1YearUtilityDistribution Administrative FinalAudit+5YearsWorkOrders/Requests Administrative Active+2YearsRadiationMonitoring Federal Indefinitely

PhysicalPlant

Inventory


ScheduleDescription



BudgetRadiationExposure Federal IndefinitelyMaterialTicket-StockChargeOutSlips Administrative 3YearsReceiverReport-AttachedtoRequisitionForm Administrative 3YearsReceivingLog Administrative 1YearRecountSheets InventoryCounting 5yearsRequisitions-Departmental Administrative 3YearsWarehouse/MaterialIssues-MonthlySummary Administrative IndefinitelyEthanol-TaxFreeUseRecord Federal Active+7YearsEthanol-RequisitionReportTax Federal IndefinitelyInventory(GasCyl)-ActiveDemurage State FinalAudit+7YearsInventoryRecords-Warehouse/PhysicalMerchandise Administrative FinalAudit+1YearInventoryReports-Annual-Warehouse State 5YearsWarranties(Contract)-NewConstructionMech/Elect Administrative 5Years

Warranties(Roof)-NewConstruction Administrative IndefinitelyVehicleReports State 3YearsVehicleTitles State Disposal

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleD Page9

ScheduleDescription ScheduleD:StudentServicesRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod Notes

Invoice(Departmental) DepartmentalPaper Administrative Active+3yearsJobTicketFiles SampleJobTicket-Paper Administrative 1year

ClientFile CounselingtreatmentrecordProfessionalstandards/ethics 7yearsfromlastcontact Electronically,secureserveratUCA

UniversityDisciplinaryRecordsDisciplinaryviolationsandsanctionsforUCAstudents Administrative 7years

BehaviorInterventionTeamRecordsDecisionsmadebytheUCABehavioralInterventionTeam Administrative Indefinite

BoxRentalLog(StationCopy) TransactionRecord/Receipt Administrative 1yearChangeofAddress Cards Federal 1.5yearsMeterRegistryLog MailMeterLog Federal 4yearsPOSPS1412Form(DailyRecord) DailyTransactionRecord Federal 1yearfromAuditRegistered&CodMailRecord MailRecordReg&Cod Federal 2yearsIncomingUSPSInsuredRecord MailRecord-#insured Administrative 2yearsMeterRegistryBook MailMeterLog Administrative 2yearsAccountableMailSigCards Sig.CardsforInsured&Reg. Federal 2years

ImmunizationRecords VaccinesadministeredbySHCbefore2007 Federal 20yearsElectronicmedicalrecordsecureserveratUCA

ImmunizationRecords VaccinesadministeredbySHCafter2007 Federal 20years Paperchart,securefileroominSHC

ImmunizationRecordsPapercopiesreceivedaspartofAdmissionprocessforREGISTEREDstudents Federal 7years Scannedintoelectronicmedicalrecord

ImmunizationRecordsPapercopiesreceivedaspartofAdmissionprocessforNON-REGISTEREDstudents Administrative 2years Papercopies,securefileroominSHC

HealthRecords Allmedicalrelatedrecords Federal 7yearsPriorto2007,paperchart,securefileroominSHC

HealthRecords Allmedicalrelatedrecords Federal 7years After2007,electronicmedicalrecord

Workman'sCompensationRecordHealthrecordsforworkrelatedinjuriesandillnesses Federal 100+years

ElectronicmedicalrecordsecureserveratUCA

PostOffice

CopyServices

CounselingCenter

DeanofStudents

StudentHealthClinic(SHC)

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleE Page10

ScheduleDescription ScheduleE:ProvostOfficeRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesInformationTechnologyBusinessSysJobrequests BusinessSysJobRequests Administrative Active+1yearManuals VariousComputer Administrative AllManualsareonlineProjectFiles ProgramRequirments State Active+2yearsLibraryDocumentation OldDocumentation Administrative LibraryDecisionSISSysAcctDocumentation Documentation State AllManualsareonline

IPEDS12MonthEnrollment 12monthunduplicatedheadcountandSSCHoftheinstitution. Administrative Indefinitely

IPEDSAcademicLibraries Informationonlibrarystaffingandresources. Administrative IndefinitelyIPEDSCompletions Informationongraduatesforafiscalyear. Administrative IndefinitelyIPEDSFallEnrollment InformationonFallenrollment. Administrative IndefinitelyIPEDSFinancialAid Informationonfinancialaidofstudents. Administrative Indefinitely

IPEDSGraduationRatesInformationon150%completiontimegraduationrates. Administrative Indefinitely

IPEDSHumanResourcesInformationpulledannuallyeachFallonfacultyandstaff. Administrative Indefinitely

IPEDSGraduationRates200Informationon200%completiontimegraduationrates. Administrative Indefinitely

IPEDSInstitutionalCharacteristics Informationoninstitutionscharacteristics. Administrative IndefinitelyFactbook Basicinformationonstudents,faculty,andstaff. Administrative IndefinitelyAAUPReports Informationonfacultybyrank. Administrative IndefinitelyCUPAReports Informationonfacultyandstaff. Administrative Indefinitely

AdmissionsDataInformationonallFalltransfer,graduate,andfirst-timeundergraduateapplicants. Administrative Indefinitely

FinancialAidDataInformationonannualfinancialaidgiventostudent. Administrative Indefinitely

ADHEFileSubmissionsInformationonstudents,courses,faculty,andregistrationrecordsreportedeachterm. Administrative Indefinitely

CommonDataSetAcompilationofsummaryinformationonstudents,faculty,andcourses. Administrative Indefinitely

VariousSurveysAcompilationofsummaryinformationonstudents,faculty,andcourses. Administrative Indefinitely

InquiriesKeepdataprovidedtoindividualsandotherinterestedpartiesbasedoneachrequest. Administrative Indefinitely

AthletesInformationKeepdataonathletesconcerninggraduationratesandsportparticipation. Administrative Indefinitely

InstitutionalResearch

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleF Page11

ScheduleDescription ScheduleF:UniversityPoliceDepartmentRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesUCAPD

PoliceOffenseReports: SexualorViolentCrimes State IndefinitelyClosedFelony&ClassAMisdeameanor State 7YearsExpungementOrdersofCases State 7YearsAccident,Incident,Offense State 3Years

CLERYFiles CLERY Federal 7YearsRadioLog CADFile State 3YearsUseofForceReports Administrative 3Yearsafter

dispositionInternalAffairsInvestigationFile IAFiles Administrative 3Yearsafter

terminationorretirement

OfficerTrainingFiles CLESTTraining State 3Yearsafterterminationorretirement

OfficerPre-EmploymentBackgroundFile PoliceOfficerBackgrounds State 3Yearsafterterminationorretirement

DocumentRetention-AdministrativeSchedulesRev2-011216cdm.xlsx ScheduleG Page12

ScheduleDescription ScheduleG:SponsoredProgramsRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod NotesSponsoredPrograms

GrantPre-AwardproposalrecordsProposals/applications,contracts/agreements,awardreleasedocuments,no-costextensiondocuments,budgets

Federal

Active+3years(fromdateofsubmissionoffinalexpenditurereport)

AsperOMBA-110Sub-partC53(b)

GrantPre-AwardproposalrecordsProposals/applications,contracts/agreements,awardreleasedocuments,no-costextensiondocuments,budgets

State,City&Other

Active+7years(fromdateofsubmissionoffinalexpenditurereport)

GrantPre-AwardDatabase Databaseofallexternalfunding IndefinitelyInventory Equipment,Computersetc. State,City&Other IndefinitelyorRetire

ComplianceIRBandIACUC ResearchforHumanandAnimalSubjects Federal3yearspastexpirationdate

Administrative-DocumentRetentionSchedules ScheduleH Page13

ScheduleDescription ScheduleH:AthleticsRecordRetentionGuidelines

RecordSeriesTitle Description Requirements RPeriod Notes

StudentAthleteRecords NCAAInstitutionalDocumentation NCAA Active+6YearsInventory LowValue&ExtremelyLowValue State YearlyuntilretiredStudentInformation HiringFormsforStudentWorkers State Active+7YearsStaffPersonnelFiles HiringFormsetc. HR/State Active+7YearsStudentWorkerFiles HiringFormsetc. HR/State Active+7YearsFoundationDeposits&CheckRequest Copiesofchecks&invoices UCAAudit 5YearsFootballPrograms Unsoldprograms UCAAudit 1Year HousedingarageatTriplex

TicketOfficeFinancialsInvoices,DepositSlips,GameReports,Faculty/StaffOrderForms NCAA/UCAAudit 5Years RecordsatEstesStadiumTicketOffice

Athletics