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SCHEDULE 8 – HIGHER EDUCATION

GENERAL RECORDS RETENTION SCHEDULESFOR COMMUNITY COLLEGES, STATE COLLEGES AND UNIVERSITIES

Item #: Page:

Introduction and General Matters 1 Application of Schedule

GOVERNING BOARD

1-1 Governing Board Meeting Minutes 2

PRESIDENT’S OFFICE

2-1 Administrative Correspondence 32-2 Administrative Files 32-3 Meeting Minutes of President’s Executive Staff 32-4 Resource Files 4

PROVOSTS AND VICE PRESIDENTS

3-1 Administrative Correspondence 53-2 Administrative Files 5

ADMINISTRATIVE SERVICES

4-1 Accreditation Reports 64-2 Administrative Staff Meeting Minutes 64-3 Administrative Bulletins 64-4 Administrative Regulations 74-5 Annual Reports 74-6 Attorney General Opinions 74-7 Calendars 84-8 Central Supply Requests 84-9 Committee Files 84-10 Computer Utilization Summaries 84-11 Conferences, Workshops, and Seminars File 94-12 Deeds and Leases to College or University Property 94-13 Grant Files (Active and Inactive) 94-14 General Correspondence and Reference Files 104-15 Information Technology Plans 104-16 Internal Management Policy and Procedure File 104-17 Legislative Reference File 10

4-18 Litigation Case Files 114-19 Mailing Lists 114-20 Management Information Reports 114-21 Organizational Charts 124-22 Permanent Building or Land Improvement Files 124-23 Photographs 124-24 Property Inventories 134-25 Public Relations Files 134-26 Publications 134-27 Reading Files 134-28 Records Disposition Files 144-29 Speeches 144-30 Surveys/Maps 144-31 Telephone Logs 144-32 Telephone Bills 154-33 Work Order Request File 154-34 Work Reports 15

PERSONNEL (HUMAN RESOURCES)

5-1 Affirmative Action Plans and Progress Reports 165-2 Dual Employment File 165-3 Employer Status Report (Unemployment Compensation) 165-4 Employment Applications (Not Hired) 175-5 Employment Data Analysis by Sex and Race 175-6 Equal Employment Opportunity Report 175-7 Equal Employment Opportunity Reporting and 18 Personnel Research Forms5-8 Faculty Contracts (Full and Part Time) 185-9 Job Announcements (Vacancies) 185-10 Job Classifications 185-11 Leave Records 195-12 Leave Slips 195-13 Log and Summary of Occupational Injuries and Illnesses 195-14 Personnel Administrative File 205-15 Personnel Files (Active and Terminated) 205-16 Personnel Policies and Procedures 205-17 Statewide Personnel Information and Reporting System Files 215-18 Time and Attendance Records 215-19 Vacancies File 215-20 Test Papers & Examination Instruments 22

ACCOUNTING

This section deleted (pages 23-28). Refer to Schedule 7 for all state agencies.

sch7.htm

PAYROLL

7-1 Computer Output Reports from Payroll Financial Data Base (Non-Permanent) 297-2 Computer Output Reports from Payroll Financial Data Base (Permanent) 297-3 Electronic Funds Transfer Authorizations 297-4 Employer Contribution Reports 297-5 Health, Dental, and Optional Life Insurance Files 307-6 Payroll Adjustment Forms 307-7 Savings Bonds Deductions Files 307-8 Table Reports (Payroll) 317-9 Worker’s Compensation Insurance Files 31

INTERNAL AUDITING

8-1 Internal Audit Report 328-2 Working Papers 32

STUDENT AFFAIRS (REGISTRAR)

9-1 Continuing Education Student Reports 339-2 Degree Applications 339-3 Grade Sheets/Reports 339-4 Graduation Files 339-5 Identification Card Applications for Matriculated Students 349-6 Identification Card Applications for Non-Matriculated Students 349-7 Identification Card Receipt Books 349-8 International Identification Card Applications 349-9 Monthly Receipts for Monies Received for Transcripts 359-10 Official Transcripts (Graduate and Undergraduate) 359-11 Registration Files 359-12 Scholarship and Other Institutional Financial Aid Program Files 35

9-13 Student Admission and Enrollment Files 359-14 Student Cumulative Files 369-15 Student Financial Aid Records 369-16 Transcript Requests 379-17 Visiting Scholars Information Files 37

ACADEMIC AFFAIRS

10-1 Administrative File/Correspondence 3810-2 Meeting Minutes (Academic Deans and Department Chairperson) 3810-3 Photographs/Slides/Posters 3810-4 Thesis and Dissertation Files 39

ATHLETIC DEPARTMENT

11-1 Concession/Lease Agreements 4011-2 Equipment Files 4011-3 Recruiting Files 4011-4 Scrapbooks 4011-5 Sports Information Files 4111-6 Applications 4111-7 Ticket Records 4111-8 Training Room Medical Records (Active and Inactive) 41

INSTITUTIONAL DEVELOPMENT AND RESARCH

12-1 Appropriation Requests Files 4312-2 Foundation Files 4312-3 Gift Files 4312-4 Project Grant Awards and Contracts 44

LIBRARY SERVICE

13-1 Book/Publication Disposal Record 4513-2 Interlibrary Loan Request Records (processed and Unprocessed) 4513-3 Library Fines and Fees 4513-4 Manual and On-Line Library Card Catalog Files 4513-5 Newspaper and Manuscript Collection 4613-6 Photo Duplication Request Forms 4613-7 Request Cards 46

STUDENT HEALTH

14-1 Student Medical Records 4714-2 Physician Appointment Schedules/Books 4714-3 Student Health Services Telephone Log 4714-4 Student Health Census 47

General Records Retention SchedulesFor Community Colleges, State Colleges and Universities

Introduction and General Matters,Application of Schedule

The following general records retention schedule contains minimum retention periods for theofficial copy of the institution’s records. Convenience, informational or duplicate copiesare not governed by this regulation and may be destroyed when no longer needed forreference. To destroy records in accordance with this schedule, institutions must obtainapproval from the State Archives by completing and submitting records destructionauthorization forms. These forms are available from the Division of CorrectionalIndustries. Before applying for disposition of public records under this general schedule,applicable federal and/or state audit, legal, litigation, fiscal and other retentionrequirements.

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GOVERNING BOARD

1-1. Governing Board Meeting Minutes Records of official proceeding of community college, state college or

university governing bodies. Information includes agenda, date, place, list of attendees, action taken on resolutions, and a summary of discussion and

decision. Official minutes also include all informational attachments such asreports, survey, proposals, studies and charts distributed to members fordiscussion, and for use in making decisions on institution policy, planning, andadministrative matters.

Retention Office: 3 years

College or University Archives Permanent

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PRESIDENT’S OFFICE

2-1. Administrative CorrespondenceConcerns communications received and generated by the institution’s president.letters pertain to information request, responses to those inquiries; mattersrelated to the board of trustee; administrative and fiscal operations of theinstitution; consultations with presidents of various colleges or universities;information pertaining to professional organizations and educational authorities;and other related topics.

Retention Office: 3 years College or University Archives: Permanent

2-2. Administrative FilesDocument executive actions, decisions and interactions with key officials of theinstitution. Information in the form of memoranda, policy statements, andreports concerns accreditation requirements, budget material, departmentactivities, faculty and student relations, tenure and salary issues, physical plantdevelopment, grant awards, research programs, foundation endowments, fiscalaccountability, personnel matters, academic requirements, student athleticissues, and other related topics. Also included are draft copies of speeches.

RetentionOffice: 3 yearsCollege or University Archives: Permanent

2-3. Meeting Minutes of President’s Executive StaffDocument meeting held by a state college or university president with his orher executive staff. Information include agenda, date, names of attendees, asummary of discussion, decisions made, and other related information.


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2-4. Resource FilesConsists of manuals, informational bulletins, and guidelines required for longterm reference in the administration of the institution. Information includesacademic issues, copies of personnel policies, National Collegiate Athleticassociation material, State Board of Community Colleges, Commission onHigher Education activities, copies of state and federal laws or regulationsgoverning the administration of public colleges and universities, fiscalprocedures, institution organizational matters, student government activities, andother related subjects.

RetentionUntil superseded, or nor longer needed for reference.

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PROVOSTS AND VICE PRESIDENTS

3-1. Administrative CorrespondenceCorrespondence is related to the administration of an institution or its majordepartments and divisions. Communications concern management activities,priorities for academic affairs, major business and finance matters, physicalplant maintenance, important student related matters, and athleticsadministration. These letters are usually found at the institution’s provost andvice president levels.


3-2. Administrative FilesDocuments actions of a state college or university’s provost or vice presidents.Information includes memoranda and reports concerning institutions policy,organization and program development records, and important fiscal data andpersonnel information. These records reflect administration of policies,coordination of institution functions, and overall management of major divisionsand departments of a community college, state college or university.


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ADMINISTRATIVE SERVICES

4-1. Accreditation ReportsUsed to record observations, recommendations and decisions of visitingaccreditation committee members. These reports are received from studycommittees of accreditation associations for colleges and universities. Reportsreflect suggestions and recommendations concerning an institution’sorganizational structure and administration, educational programs, financialresources, faculty qualifications, library resources, student body characteristicsphysical plant features and vital area for institutions of higher learning. Alsoincluded are remarks prepared by institution officials to respond to thecommittee’s observations and suggestions.

RetentionOffice: Until no longer needed for referenceCollege or University Archives: Permanent

4-2. Administrative Staff Meeting MinutesRecords of meetings held by administration officials with administrative staff.Information includes agenda, place, date, list of attendees and a summary ofdiscussions and staff decisions. Also included are informational attachmentssuch as reports, proposals, memoranda and other information distributed toofficials and staff for use in making decisions concerning administrativeservices for an institution.

RetentionUntil no longer needed for reference

4-3. Administrative BulletinsUsed to record and circulate information concerning policies, procedures, andadministrative activities of a college or university. Information includesadministrative directives to staff and faculty assignments, educationalopportunities, new policies and policy changes, academic program requirementsand other related information.

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4-4. Administrative RegulationsIssued by the Commission on Higher Education or governing body and used forthe general operation of college or university programs. Information includesregulations, instructions, or other issuance’s that establish methods to administera college or university’s mission, functions, and responsibilities.

RetentionUntil superseded and no longer needed for reference

4-5. Annual ReportsPublished report of college or university governing body made annually to theGeneral Assembly or Commission on Higher Education. Information includesfinancial summaries, objectives, goals, and other data concerning the college oruniversity during the fiscal year. Most annual reports contain an organizationalchart, along with brief narratives, and statistical information concerning eachmajor section and division of the college or university.


4-6. Attorney General OpinionsOfficial opinions issued by the Attorney General and his/her assistants. Theseare legal interpretations written upon request of a college or university to guidein enforcing and obeying the law. Also included is related correspondence.the record copy of this series is maintained permanently by the State Archivesthrough the Attorney General’s office.

RetentionUntil superseded or no longer needed for reference

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4-7. CalendarsUsed to keep track of work related events and commitments of college oruniversity staff members. Information includes daily appointment books,calendars, and other records indicating dates for meeting and work activities.

Retention3 years

4-8 . Central Supply RequestDocument copies of central supply requests processed for a college oruniversity. Information includes date, department account code, requisition,item number, quantity ordered, quantity used, description, price, extension,deliver to, and location.

Retention 3 years

4-9. Committee FilesDocument actions and recommendations of committees, established to provideadvice on policy matters and other management topics. Information consists ofletters, memoranda, and other paper work concerning budget matters,maintenance of facilities, curriculum development, utilization of state/federalfunds, purchase or sale of property and other subjects related to the institutionadministration, operation and academic programs.

RetentionOffice: 5 yearsCollege or University Archives Permanent

4-10. Computer Utilization SummariesGenerated to determine staff use of an institution’s computer systems.information details the total time the system is used, amount of individual stafftime the system is used, and total time work stations are used (including jobqueue and printers).

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Retention 3 years

4-11. Conferences, Workshops, and Seminars file (College or University Sponsored)Files concerning each conference, workshop or seminar sponsored by thecollege or university. Information includes registration material, letters,brochures, lists of restaurants, hotel listings, and other related information.


4-12. Deeds and Leases to College or University PropertyDocument deeds and leases to real property owned or used by the state.Information includes description and location of the property, maps, saleagreements, land acquisition forms, deeds, lease agreements, and relatedcorrespondence.

RetentionPermanent

4-13. Grant Files (Active and Inactive)Used to retain information concerning financial grant assistance received by astate supported college or university. Files contain some or all the followingdocuments: statement of budget and expenditures, notices of grants awarded,financial status reports, authorization for transfer of grant funds, draft copies ofdetailed budgets for programs, copies of federal assistance, educational grants,student loan and work study programs, financial assistance for veterans andcareer professionals, and other related information.

Retention6 years after becoming inactive

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4-14. General Correspondence and Reference FileRoutine correspondence and reference materials created or retained byadministrative Services staff. Letters and memoranda reflect communicationsregarding program procedures. General work activities, and responses toinformation requests. Also included are copies of policy and procedurestatements, program information, reports and other related material.

Retention2 years

4-15. Information Technology PlansPrepared by community colleges, state colleges, and universities to outline theiranticipated needs for information technology. Plans reflect informationrequirements, equipment needs, service specifications, cost, and technologypurchase request. The record copy of this series is maintained permanentlythrough the State Information Management Commission (IMC).

Retention5 years

4-16. Internal Management Policy and Procedure FilesPolicies, procedural directives and manuals developed by an institution togovern its internal management functions such as payroll, procurement,personnel administration, equipment inventory, and other internal managementmatters.


4-17. Legislative Reference FilesRecords pertaining to bills, prospective legislation and laws. Informationincludes bill and supporting material concerning proposed legislation, such as

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newspaper clippings, reports and correspondence. The series also includescopies of approved legislation.


4-18. Litigation Case FilesDocument judicial proceedings, which involve the college or university. Filesinclude some or all of he following documents: affidavits, summons andcomplaints, responses, orders of dismissals, notice and general appeal, laws andregulations applying to a particular case, legal briefs, transcripts ofproceedings, orders, court decisions, and related information. Portions of thisseries may be kept permanently by the Archives through the Attorney General’sjurisdiction over these cases.

Retention6 years after the case is closed

4-19. Mailing listsUsed to record the names and addresses of clients and other persons with whomthe college or university has regular contact. Information includes mailing lists,and registers concerning employees, officials, and constituent, whom collegeor university staff communicate with regularly.

RetentionUntil superseded

4-20. Management Information ReportsProvide information concerning general administration, facilities managementand student enrollment. Reports concern surveys, facility inventories, studentenrollment figures and projections, and other related topics.

RetentionUntil superseded and no longer needed for reference

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4-21. Organization ChartsReflect the organizational structure of a college or university and itsdepartments. Information includes a diagram which shows a systematic andsymbolic arrangement of an institution’s departments and program areas byname and function.


4-22. Permanent Building or Land Improvement FilesFiles concern construction of and permanent improvements to the college oruniversity’s facilities. Information includes project proposal, capitalimprovement requests, authorizations to execute construction contracts, costestimates, construction contracts, related memoranda, correspondence,blueprints, and specifications.

RetentionOffice: Until no longer needed for referenceCollege or University Archives: Permanent (1 copy)

4-23. PhotographsPhotographic proofs and negatives of college or university activities.photographs may include identification according to time, place, and college oruniversity activity.


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4-24. Property InventoriesItemized lists of fixed assets (except land and buildings) completed byinstitutions. Information includes inventories of equipment, furniture, and othersimilar property purchased with state funds.

Retention3 years after superseded or updated.

4-25. Public Relations FileInformation concerning college or university publicity. Included are pressreleases biographies, newspaper clippings, promotional materials, bulletins,broadcast scripts, photographs, visual documentation, and other related items.


4-26. PublicationsPrinted material published by state colleges or universities for internal andexternal distribution. This series includes directories, manuals, researchreports, surveys, and other college or university publications (except annualreports).


4-27. Reading FileDuplications of outgoing letters, arranged chronologically and maintained forperiodic review by staff members. Information reflects routine and non-routineissues, and serves as reference for staff.


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4-28. Records Disposition FilesFiles related to an institution’s records management program. Included arerecords retention schedules, guidelines, information concerning recordsinventory and scheduling, records transfers, microfilm applications, disposalnotices, and other related data. The record copy of this series is retained byState Archives, as scheduled

RetentionPermanent

4-29. SpeechesDrafts and final copies of speeches given by Administrative Services staff belowthe college or university president, provost, and vice presidents’ level.Speeches concern program procedure, work activities, and related topics.


4-30. Surveys/MapsDeveloped by an institution to carry out its mission and function. Informationconcerns roads, boundaries, property lines, corners, monuments, road markerplacements, structures, sites, and other related data.


4-31. Telephone LogsListings of telephone calls made by college or university personnel for aparticular time period. Logs reflect date, time, caller, recipient of call, andnature of business discussed.

Retention2 years

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4-32. Telephone BillsProvide a monthly statement of charges for telephone calls billed to a college oruniversity. Information includes telephone number charged with call, accountnumber, type of call, date of call, time number of minutes, destination oftelephone call, and charge.

Retention3 years

4-33. Work Order Request FileDocument copies of work order requests for all program classifications of theinstitution. Information on the work order requests include date, site of work,service or modifications requested, estimated cost, budget code to be charged,person coordinating the work, date needed, signature of requestor, signatures ofapproval, date request received by plant support, estimated completion date,and date completed.

Retention3 years

4-34. Work ReportsReports of work activities performed by personnel carrying out regular orspecial duties. Series does not include published project reports or reports tothe Governor or General Assembly. These documents reflect dates, personresponsible for reports, and a running account of daily activities performed.

Retention2 years or until summarized or superseded

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PERSONNEL (HUMAN RESOURCES)

5-1. Affirmative Action Plans and Progress ReportsAffirmative Action Plans prepared by state institutions and Progress Reportsused by the State Personnel Department to monitor the implementation of theplans. Affirmative Action Plans reflect college or university-projected policies,procedures, and practices to achieve the goal of a non-discriminatoryemployment system. Also included are statistics, analysis of the current andprojected work force composition by race, sex, and comments. The semi-annual Progress Reports consist of updated employment data analysis, andcomments. Also included is correspondence concerning the Affirmative ActionPlans and their implementation. The record copy of this series is retained inthe State Personnel Department, as scheduled.

Retention2 years

5-2. Dual Employment FileConcern authorizations allowing institution employees to accept secondaryemployment. Information concerning dual employment authorizations, includedemployee’ name; employers’ involved; title of second occupation; date andsignature of employee and supervisors.


5-3. Employer Status Reports (Unemployment Compensation)Reports from an individual college or university to the Department of Laborand Employment to determine the liability or non-liability of a college oruniversity for payment of unemployment compensation. Information includesthe employer status report, notice of liability sent to the college or university,notice of contribution for the next calendar year, and related memoranda andcorrespondence concerning changes in college or university unemploymentcompensation accounts and liability.

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Retention6 years

5-4. Employment Applications (Not Hired)Completed employment applications and personal resumes of applicants whowere not hired by a college or university. Information includes applicant’sname, address, social security number, position applied for, educationalbackground, work experience, and other related information.

Retention2 years from the date of rejection or making of the record

5-5. Employment Data Analysis by Sex and RaceA statistical breakdown of information concerning employees by type, number,salary, and percentages of minority personnel. Information includes type ofemployees such as officials/administrators, professionals, technicians,office/clerical, service maintenance, racial classifications, total work force, andwork force summary.

Retention2 years from the date of the personnel action involved or the making of therecord provided information has been forwarded to the State PersonnelDepartment

5-6. Equal Employment Opportunity ReportDocuments the job classification and compensation of all college or universitypersonnel. Information includes class code, slot, name, social security number,employee number, pay rate, state/federal funding, race and sex.


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5-7. Equal Employment Opportunity Reporting and Personnel Research FormsForms completed by applicants for state employment as part of theiremployment application. Information includes statistics on job applicants whichare reported annually to the State Personnel Department. The form, which isdetached from the employment application, lists the applicant’s name, date,social security number, date of birth, position applied for, race sex, andmarital status.


5-8. Faculty Contracts (Full and Part Time)Document contracts between faculty members and a college or university.Contracts reflect name of instructor or professor; social security number;position; subject taught; employment dates; total number of hours; hourly rates;total contract amount and budget code; date; signatures of the instructor orprofessor, division chairman and academic dean.

Retention6 years after termination of contract and until no longer needed forreference

5-9. Job Announcements (Vacancies)Announcement concerning job openings in institutions. Information includestitle of position, salary or grade range (merit system classification), descriptionof job duties, closing date, and to whom applications should be directed.

Retention2 years after position is filled or announcement is superseded or updated

5-10. Job ClassificationsA listing of all job positions classified by the State Personnel Department.

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Information includes position qualification, pay grades, and duties for positionsin state service.

RetentionUntil termination of position

5-11. Leave RecordsRecords of the amount of leave earned and taken by college or universityemployees. Information includes employee’s name, type of leave (annual, sick,other), service date, social security number, amount of leave earned andcharged, and leave balances for the period covered.

Retention2 years

5-12. Leave SlipsForms completed by college or university employees to request time off fromwork. Information includes employee’s name, social security number, type ofleave, number of days or hours requested, date requested, and employee’ssignature.

Retention2 year

5-13. Log and Summary of Occupational Injuries and IllnessesRecord of work-related injuries, illnesses, and deaths reported to the StateRisk Management Office. Information includes case or file number, date of injuryor onset of illness, employee’s name, occupation, department, description ofInjury or illness, fatalities, non-fatal injuries, injuries with lost workdays,injuries without lost workdays, and other related information. The record copyof this series is retained in the State Risk Management Office.

Retention5 years following the end of the calendar year to which they relate

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5-14. Personnel Administrative FileFile concerns administration of personnel policy. Information includescorrespondence, reports, memoranda, and other records regarding personnelprocedures.

RetentionUntil superseded, updated, or no longer needed for reference

5-15. Personnel Files (Active and Terminated)Personnel files of current and former employees of the college or university.information includes employment applications, letter of recommendation,employee awards, resumes, performance appraisals, leave records, employeeprofile, Comptroller payroll change forms, position descriptions, insuranceinformation, dual employment information, resignation and termination recordscorrespondence, and other related information.

Retention10 years after retirement or separation of employee and then destroy.

5-16. Personnel Policies and ProceduresPolicies and procedures issued by the college or university or the StatePersonnel Department. Information includes employment application policy,classification and compensation plan, explanation of performance appraisalsystem, reduction in force procedures, grievance policies, equal employmentopportunity guidelines, termination procedure, workmen’s compensations plan,other procedures issued by a college or university and/or the State PersonnelDepartment.


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5-17. Statewide Personnel Information and Reporting System FilesUsed to monitor employment, salary adjustment, performance reviews,terminations, and other personnel activity. Reports include: alphabetical listingof employees sequenced by college or university, employee name; employeeroster sequenced by grade, class code, and name; temporary employmentroster; gross salary change report; termination analysis, performance review;summary report; report on salary change code-merit increase; reviews report-classified positions-review sequence; vacancies report-all positions; and otherrelated records.

RetentionUntil superseded or updated

5-18. Time and Attendance RecordsRecords concerning time worked by college or university employees during apay period. Information includes employee’s name, section or organizationunit, employee number, pay period, total time worked, and employee’ssignature.

Retention5 years

5-19. Vacancies FileDocuments position vacancies in a college or university. Information includescollege or university’s name, grade, classification title, salary range, hoursworked per week, and pay rate of position.

RetentionUntil superseded or updated

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5-19. Test Papers & Examination InstrumentsRecords to include oral exam papers, written test papers, performance test,papers, briefing materials, schedules/notices sent, scoring sheets, scoringsheets, scoring keys, conversion charts.

RetentionUntil records are made part of candidate or agency personnel file, plus 2years

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PAYROLL

7-1. Computer Output Reports from Payroll Financial Data Bases (Non-Permanent)Financial reports (regardless of medium) generated from a computer data basefor the disbursement of resources of the institution. The reports may begenerated daily, weekly, monthly, annually, or at year end closeout. They canbe a regular report or a query to the data base.

RetentionUntil updated, superseded, or no longer needed for reference

7-2. Computer Output Reports from Payroll Financial Data Base (Permanent)Financial reports (regardless of medium) generated from a computer data basefor the disbursement of resources of the institution. These are cumulative fiscalyear end closeout reports summarizing the financial activities of the institutionby providing final year-to-date summary accounting data and a permanent audittrail for all disbursement transactions affecting any and all funds and accounts.


7-3. Electronic Funds Transfer AuthorizationsAuthorizations to deposit employee payroll earnings into employee bankaccounts through direct deposit. Information includes employee name, name offinancial institution, copy of deposit slip, and other related information.

Retention3 years after termination, cancellation, or change of authorization

7-4. Employer Contribution ReportInformation includes name and address of the employer, number of personsemployed during the quarter, how remittance is paid, number of places ofbusiness in Colorado covered by the report and signature, title, date of

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individual filling out the report, and other documents concerning taxable andnon-taxable wages of employees.

Retention3 years

7-5. Health, Dental, and Optional Life Insurance ReportsGenerated to reconcile the monthly health, dental, and optional life insurancebills of the agency. Information includes agency name, address, groupidentification number, billing period, subscriber count, premium amount(employer/employee shares), source of funds, premium due and other relatedinformation.

Retention3 years after termination of employment or cancellation of the authorization

7-6. Payroll Adjustment FormsForms to deduct money from employee’s wages. Information includes name,social security number, amount, description of deduction, payroll periodbeginning date and others elated information.

Retention3 years after termination of employment or cancellation of the authorization

7-7. Savings Bond Deductions FileUsed to record the purchase of savings bonds by employees. Informationincludes employee name, social security number, agency number, agency name,and amount of bond. Also included are United States Savings Bond ElectionForms.

Retention3 years

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7-8. Table Report (Payroll)Define the meaning of code numbers and fund groups used in transactionsprocessed through the institutions automated financial accounting system. Thespecification of the reports of each institution may vary.


7-9. Workers’ Compensation Insurance FilesUsed to document the payment of workers’ compensation insurance premiums.Information includes an interdepartmental transfer for payment of premiums,and a form to the Colorado Compensation Insurance Authority or the contractWorker’s Compensation Fund reflecting the total due and payment due datewith attached memos.

Retention3 years

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INTERNAL AUDITING

8-1. Internal Audit ReportDocuments the final financial, operational, and compliance audit finding forthe institution or its departments. Information includes background information,subject of the audit, findings, and recommendations.

Retention10 years and until no longer needed for reference

8-2. Working PapersUsed to conduct periodic financial, operational, and compliance audits of alloffices. Information includes pre-audit research and planning, analysis sheet,suggestion sheets, entrance/exit conference, computer software applications,findings, recommendations, inventory of property, organizational controlreview, and internal control questionnaire.

Retention3 years and until no longer needed for reference

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STUDENT AFFAIRS (REGISTRAR)

9-1. Continuing Education Student RecordsDocument the registration and enrollment of students in continuing educationcourses. Information includes student’s name, social security number, sexethnic background, date of birth, highest education level attained, type of work,years of employment, permanent address, courses registered for and signatureof student.


9-2. Degree ApplicationsDocument the registration and enrollment of students in continuing educationcourse. Information includes student’s name, social security number, sex,ethnic background, date of birth, highest education level attained, type of work,years of employment, permanent address, courses registered for and signatureof student.

Retention1 year after graduation or date of last attendance

9-3. Grade Sheet/ReportsUsed to record grades for each college or university student enrolled in aspecific course at the end of each semester. The grade sheet/report reflects thefollowing information: student number, student name, course title, semester,department, course number, section, instructor, grade and signature of theinstructor.

Retention1 year after date distributed

9-4. Graduation FilesFiles which document the fulfillment of qualifications necessary to graduate

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From one of Colorado’s institutions of higher education.

RetentionRetain for 5 years after graduation and then destroy

9-5. Identification Card Applications for Matriculated StudentsApplications for identification (I.D.) cards for students, faculty, and staff.

RetentionRetain by agency for 6 years and then destroy

9-6. Identification Card Applications for Non-Matriculated StudentsApplications for identification cards for non-matriculated individualsparticipating in activities sponsored by an institution of higher education.


9-7. Identification Card Receipt BooksReceipt books for monies received in payment for identification (I.D.) cards.


9-8. International Identification Card ApplicationsApplications for identification cards for students traveling out of the country inorder to receive international student benefits.

RetentionRetain by agency for 1 year and then destroy

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9-9. Monthly Receipts for Monies Received for TranscriptsCash register tapes collected monthly noting monies received by the sale of copiesof students’ transcripts.

Retention3 years

9-10. Official Transcripts (Graduate and Undergraduate)Used to record the official internal academic transcript of students attending astate college or university. These records include such information as name,identification number, major, class, course taken, grades received, dates ofattendance and type of degree awarded (if any).

Retention75 years after graduation or withdrawal

9-11. Registration FilesFiles which document student enrollment, registration, and participation incourse work and other academic activities at any of Colorado’s institutions ofhigher education.

Retention 3 years after graduation or withdrawal

9-12. Scholarship and Other Institutional Financial Aid Programs FilesDocuments information on scholarships and financial aid activities at theinstitution. Information concerning notifications to donors and specifics offinancial aid includes memoranda, correspondence, requirements for financialaid recipients, summaries of scholarship and financial aid activity, and otherrelated information.


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9-13. Student Admission and Enrollment FilesDocument a student’s acceptance and matriculation at a community college,state college or university. Information includes but is not limited to studentapplications, external transcripts from high schools, or other colleges anduniversities, letters of recommendation, registration forms, drop/add sheets,forms concerning removal of incomplete grades, guidelines concerning studentclassification, graduation check off sheets and convenience copies of studentloan information.

RetentionAccepted student records: 5 years after graduation or date of last

attendanceRejected student records: 1 year

9-14. Student Cumulative FilesFiles which document a student’s activities, other than academic, while enrolledin one of Colorado’s institutions of higher education.

RetentionRetain by agency for 1 year after graduation or withdrawal.

9-15. Student Financial Aid RecordsThis series is used to maintain the official university record of account for allstudent loans and grants. This series consists of student loan data, grant awardletters, disbursement schedule, student account number, promissory note,disclosure, statement, and authorizing voucher. In addition, loan information isfiled by student name and account number, under headings of current files,collection files, delinquent files, and paid in full files.

RetentionStudent Loans:

Active File: Until loan is cancelled or repaid.Inactive File: 5 years

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Student Grants:Accepted: 5 years after the last day of the award

year or 5 years after the date theinstitution files its fiscal operationreport for the year.

Rejected: 1 year

9-16. Transcript RequestsRequests for a transcript of student’s permanent academic records and therecord of payment received for the copy.

RetentionRetain by agency for 1 year and then destroy

9-17. Visiting Scholars Information FilesFiles containing identifying information on scholars temporarily working at acollege or university.

Retention5 years

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ACADEMIC AFFAIRS

10-1. Administrative File/Correspondence (Academic Deans and DepartmentChairpersons)

Reflects reference material and letters relevant to the administration of thevarious academic departments of a college or university. Information includescorrespondence, memoranda, annual reports, self-studies, policy and procedurestatements, organizational charts, curriculum information, personnel data andstudent information.


10-2. Meeting Minutes (Academic Deans and Department Chairpersons)Record concerning meetings held by academic deans and departmentchairpersons. Information includes names of attendees, names of personsabsent, a summary of topic discussed and decisions made.

RetentionOffice: 5 yearCollege or University Archives: Permanent

10-3. Photographs/Slides/PostersDepict activities in the various academic departments of a college or university.included are large framed photographs of individuals and groups, pictures oflecturers, group portraits of professors and students, pictorials of campusscenes, and demonstration slides for instruction.


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10-4. Thesis and Dissertation FileThe file may include the official printed or electronic copy of the dissertation ortheses. Requirements for electronic versions of the signature page will be atthe institution's discretion.


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ATHLETIC DEPARTMENT

11-1. Concession/Lease AgreementsDocument sale of concessions at sports events, use of college or universitytrademarks for the sale of memorabilia, and rentals for box seating.Information includes athletic concession agreements, revocable nonexclusivelicenses to use certain indicia of the college or university, and stadium seatinglease agreement.

Retention6 years after termination of lease agreement

11-2. Equipment FilesDocument the use of sportswear and equipment by student athletes.Information includes equipment room daily activity report, equipment rentalcharts, statement of lost equipment, and other related information.

Retention4 years

11-3. Recruiting FilesDocument the recruitment and eligibility of student athletes for participation inthe athletics program as governed by applicable guidelines. Informationincludes official visit of prospective athlete, student-athletes’ affirmation ofeligibility, national letter of intent, and related forms.

Retention4 years

11-4. ScrapbooksRecord publicized athletic events and sports activities at the institution.Information includes clipping form local newspapers and other mediaconcerning athletic events at the college or university.

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11-5. Sports Information FilesContain information distributed to the news media concerning sports events atthe institution. Information includes box scores, play-by-plays, and teamstatistics.

Retention1 year or until no longer needed for reference

11-6. Ticket ApplicationsUsed to process requests for season and individual game tickets to athleticevents. Information includes the applicant’s name, address, phone number, andnumber of tickets requested.

Retention3 years

11-7. Ticket RecordsDocument the control of ticket operations and distribution of tickets for athleticevents. Information includes sale of tickets, allocation of tickets, allocations for“away” games, stadium attendance, and related records.

Retention3 years

11-8. Training Room Medical Records (Active and Inactive)Created by physicians and training room staff to monitor student athletes’medical histories during their association with the college or university athleticprogram. Information includes medical histories, injury complaints, drugtesting, and other related data.

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RetentionActive files: Until student graduate or withdraws

from the college or universityInactive file: 7 years from date of last contact

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INSTITUTIONAL DEVELOPMENT AND RESEARCH

12-1. Appropriation Request FileDocuments information compiled by a college or university’s staff to providethe basis for the institution’s budget request. State appropriation requests forpublic institutions of higher learning are based on a formula developed by theCommission on Higher Education and the Joint Budget committee (JBC).Information concerning this appropriations formula includes utility expendituresummaries, enrollment reports, research and public service programassessments, financial data for staff and faculty salaries, library and facilityneeds, and other information which serves as a basis for the institution’sappropriations request.

Retention3 years

12-2. Foundation FilesDocument the administration of college or university foundations files mayinclude correspondence, reports, proposals, accounting and financialinformation, surveys, justifications, an other related information.


12-3. Gift FilesDocument the funding of financial gifts to the college or university and theadministration of these funds. Included in this series are financial records,correspondence, memoranda, reports, special stipulations or provisions, andother related information.


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12-4. Project Grant Awards and ContractsDocument grants and contracts awarded to faculty, staff and graduate assistantsfor sponsored projects. Information includes name of project, awardnotification, contract number, and other related information.

Retention6 years after expiration of grant funding period or termination of contractand until no longer needed for reference

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LIBRARY SERVICES

13-1. Book/Publication Disposal RecordUsed to record the sale, transfer, or disposal of outdated, obsolete materials andbooks. Information includes title, call number, author, date, how disposed of.

Retention3 years

13-2. Interlibrary Loan Request Records (Processed and Unprocessed)Used to record successfully processed interlibrary loan requests and loanrequests the staff was unable to process. Information includes patron’s name,identification, requested information, and whether the materials or books areavailable. This series also documents interlibrary loan transactions for patronsof other libraries that use the institution’s library system.

RetentionRecords for processed requests: 3 yearsRecords for unprocessed requests: 1 year

13-3. Library Fines and FeesDocuments money received for library fines, library computer informationsearches, lost books, and interlibrary loan request. Information includesamount of money received, what the money was received for, date, andsignature of person receiving fine.

Retention3 years

13-4. Manual and On-Line Library Card Catalog (Books, Periodicals, and OtherPublications)

Used as a finding aid to the library holding. Information includes name ofauthor, title, subject, publisher, publication date, and call number.

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RetentionUntil updated or no longer needed for reference

13-5. Newspaper and Manuscript CollectionA collection of documents concerning the state or communities’ heritage orculture. Included are Bible records, wills, diaries, letters, photographs, mapsnewspapers and other related items.

RetentionPermanent

13-6. Photo Duplication Request FormsCreated to document photocopy requests. Forms reflect information concerningcopyright restrictions, author, book title, manuscript box and folder number,items to be copies, duplication costs, and patron’s signature.

Retention3 years

13-7. Request CardsDocument patrons’ requests for information on holdings. Information includescall number, collection number, title, location, number of items used,researcher’s name, and date.

Retention3 years

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STUDENT HEALTH

14-1. Student Medical RecordsCreated by physicians and/or nursing staff to monitor student medical historiesduring their enrollment with the college or university. Information includesmedical histories, injury reports, testing results and other related data.

Retention7 years from the date of last contact with the student.

14-2. Physician Appointment Schedules/BooksLog book of appointments requested by students to see college or universitymedical staff. Record may show student’s name, ID number, date, time ofappointment and reason for appointment.

Retention3 years

14-3. Student Health Services Telephone LogRecord of calls received from students requesting medical services. Informationmay indicate date of call, time, identity of person receiving call, nature of requestand comments, if applicable.

Retention3 years

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14-4. Student Health CensusRecord identifying the current enrolled students by name and ID number.

RetentionRetain only the current term

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