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Records Management Retention Policy - Attachment A

General Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
1.1. Correspondence – Administrative (i.e. containing significant information about the College) Originating Office Paper/Electronic Ten Years
1.2. Correspondence – Executive (i.e. regarding significant events or the development of the College’s administrative structure, policies and procedures) Originating Office Paper/Electronic Permanent
1.3. Correspondence – General (i.e. containing no significant information relating to the College) Originating Office Paper/Electronic One Year
1.4. Event Files Originating Office Paper/Electronic Review annually
1.5. Outside Board, Commission, Association and Membership Organization Information Originating Office Paper/Electronic Five years from the expiration of the commitment for those documents reflecting a defined commitment to the organization; Three years for all others
1.6. Personal Files (e.g. hot topics, special projects, tasks) Originating Office Paper/Electronic Review annually
1.7. Speeches Originating Office Paper/Electronic Review annually
Office of the President Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
2.1.    Board of Trustees Documents President’s Office Paper/Electronic Permanent
2.2.    Cabinet Meeting Minutes President’s Office Paper/Electronic Permanent
2.3.    Calendars President’s Office Paper Ten Years
2.4.   Committee Recommendation Approvals President’s Office Paper/Electronic Permanent
2.5.   Community College Plan and Amendments President’s Office Paper Permanent
2.6.   Government Affairs Files President’s Office Paper Five years
2.7.  Institutional Policies and Manuals President’s Office Paper Permanent
2.8.   Internal Audit (Report) President’s Office Paper/Electronic Ten years
2.9.  Internal Audit (Work Papers) President’s Office Paper/Electronic Three years
2.10.  Presentations and Speeches President’s Office Paper Permanent
2.11.  Strategic Plans President’s Office Paper Permanent
Office of the General Counsel Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
3.1.    Collective Bargaining Agreements General Counsel Paper Permanent
3.2.    Collective Bargaining Materials – Drafts General Counsel Paper/Electronic Until conclusion of next CBA negotiating cycle
3.3.    Collective Bargaining Materials – Historical Documents General Counsel Paper Permanent
3.4.    Litigation Files (includes subpoenas) General Counsel Paper/Electronic Ten years from termination of litigation or service of subpoena
3.5.    President’s Personnel File General Counsel Paper Six years from last date of President’s employment
3.6.    Right to Know Law Documents General Counsel Paper/Electronic Three years from date of response; If appeal is pending, records must be maintained through disposition of appeal  (See 65 P.S. § 67.502)
3.7.    Union Arbitration Decisions General Counsel Paper Permanent
3.8.    Union Grievance Files General Counsel Paper/Electronic Permanent
3.9.    Union Information Requests General Counsel Paper/Electronic Three years from date of request
3.10.  Union Settlement Agreements General Counsel Paper Permanent
Office of the Human Resources Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
4.1.    ADA Accommodation Files Human Resources Paper/Electronic Six years from last date of employment  (See 29 C.F.R. §§ 516.5 and 516.6; 29 C.F.R. §§ 1602.14 and 1602.49)
4.2.    Benefit Plan Documents Human Resources Paper Permanent
4.3.    Employee Benefit Files Human Resources Paper/Electronic Six years from termination of employee’s (former employee’s) benefits
4.4.    Employee Discipline Files Human Resources Paper/Electronic Six years from last date of employment
4.5.    Employee Handbooks Human Resources Paper Permanent
4.6.    Employee Relations Complaint Files (not resulting in litigation; excluding discrimination and harassment) Human Resources Paper/Electronic Three years from notification of resolution of complaint
4.7.    Faculty Extended/Released Time Project Record Human Resources Paper Six years from last date of employment
4.8.    FMLA Records Human Resources Paper Six years  (Note that regulations identify documents that must be maintained for the retention period.  See, e.g., 29 C.F.R. § 825.500)
4.9.    Higher Education Staff Information Report (EEO-6) Human Resources Paper Three years from filing date  (29 C.F.R. § 1602.50)
4.10.  I-9 Forms Human Resources Paper Three years from date of hire or one year from last date of employment, whichever is later  (8 C.F.R. § 274a.2(b)(2))
4.11.  Materials for Future Employee Handbooks Human Resources Paper/Electronic Review annually
4.12.  Organizational Development Human Resources Paper Permanent
4.13.  Pennsylvania New Hire Report Human Resources Paper Three years from filing date
4.14.  Personnel Files (including application, resume, appointment/salary forms, contracts, performance evaluations, etc.) Human Resources Paper Six years from last date of employment  (See 29 C.F.R. §§ 516.5 and 516.6; 29 C.F.R. §§ 1602.14 and 1602.49; 29 C.F.R. § 1620.32; 29 C.F.R. § 1627.3)
4.15.  Pre-Employment Records For Applicants Who Are Not Hired (e.g. applications, resumes, interview notes, etc.) Human Resources Paper/Electronic Three years from date of rejection notification or creation of record, whichever is later
4.16.  Sabbatical Files Human Resources Paper Six years from last date of employment
4.17.  Spreadsheets for Paying for Advising Human Resources Electronic Seven years  (See  29 C.F.R. §§ 516.5 and 516.6)
4.18.  Statistical Data Reports re: Employees Human Resources Electronic Ten years
4.19.  Temporary Employee Files Human Resources Paper Six years from last date of employment  (See 29 C.F.R. §§ 516.5 and 516.6; 29 C.F.R. §§ 1602.14 and 1602.49; 29 C.F.R. § 1620.32; 29 C.F.R. § 1627.3)
4.20.  Training Human Resources Paper/Electronic Review annually
4.21.  Unemployment Compensation Records Human Resources Paper Five years from date last contribution relating to the record has been paid  (See 43 P.S. § 766)
4.22.  Work Study Student Employee Files Human Resources Paper If Federal work study, three years from submission of the Fiscal Operations Report for the award year (34 C.F.R. § 668.24(e); If not Federal work study, three years from graduation or the last date of attendance.
Office of the Information Technology Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
5.1.    Acceptable Use Forms (Employees) Information Technology Paper Three years from last date of employment
5.2.    Banner
Implementation Information

Inf

ormation Technology

 Paper/Electronic Permanent
5.3.    Banner Security Forms (Employees) Information Technology Paper Three years from last date of employment
5.4.    Blueprints Information Technology Paper Permanent
5.5.    Department
Procedures		 Information Technology Electronic Permanent
5.6.    Emergency
Response Information		 Information Technology Electronic Permanent
5.7.    IT Investigations Resulting in No Discipline Information Technology Electronic One year from closure of investigation
5.8.    IT Investigations Resulting in Discipline Information Technology Electronic Five years from last date of last employment (employees) or date of last attendance (students)
5.9.    Laptop Pool Sign- Out Form Information Technology Paper One year
5.10.  Master Schedule V.P. Academic Affairs/Information Technology Electronic Permanent
5.11.  Remote Site
Information (e.g. Wiring, Leases, Classroom Software)		 Information Technology Electronic Permanent
5.12.  Snapshots of
Databases		 Information Technology Electronic Permanent
5.13.  Training Materials Information Technology Electronic Review annually
Office of Academic Affairs Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
6.1.    ABLE Records Dean, Adult and Community Education Paper See program-specific requirements; in the absence of a program- specific requirement, six years from the submission of the Final Expenditure Report or until all audits are complete and findings resolved, whichever is later  (See PDE Bureau of Adult Basic and Literacy Education, Adult Education and Family Literacy Application Guidelines (Program Year 2009-2010), § 412))
6.2.    Academic Program Audit Materials V.P. Academic Affairs Paper Eleven years  (See 22 Pa. Code § 35.21)
6.3.    Accreditation
Documents (Program Level)		 Dean of Program Area Paper Permanent
6.4.    Advising Files Academic Advising Office Paper Current year plus one year
6.5.    Allied Health
(Student) Records		 Dean, Math, Science and Health Paper Seven years from graduation or last date of attendance
6.6.    Articulation
Agreements		 V.P. Academic Affairs Paper Permanent
6.7.    Attendance Books (Students) Originating Faculty Office Paper One year from conclusion of course
6.8.    Chapter 335
Documentation		 Curriculum Facilitation Team Office Paper Six years  (See 22 Pa. Code
§§ 35.21 and 35.66)
6.9.    Collegiate
Consortium Files		 Dean, Business and Technology Paper See program-specific requirements; In the absence of a program- specific requirement, five years from the close of the fiscal year in which the record was generated  (See 22 Pa. Code § 35.66)
6.10.  Corporate Solutions
– Company/Client Files		 Executive Director of Corporate Solutions Paper See program-specific requirements; In the absence of a program- specific requirement, five years from the close of the fiscal year in which the record was generated  (See 22 Pa. Code § 35.66)
6.11.  Corporate Solutions
– Open Enrollment Non-Credit Courses		 Executive Director of Corporate Solutions Paper See program-specific requirements; In the absence of a program- specific requirement, five years from the close of the fiscal year in which the record was generated  (See 22 Pa. Code § 35.66)
6.12.  Course/Curricula Documents Deans’ Offices Paper/Electronic Six years  (See 22 Pa. Code § 35.21)
6.13.  Dental Clinic Records Dental Clinic Paper Seven years from date of last visit or three years from date patient turns 18 years old, whichever is later  (See 49 Pa. Code § 33.209(b))
6.14.  Department and Division Manuals Department Heads Paper Permanent
6.15.  Department
Evaluation Plan		 V.P. Academic Affairs Paper Ten years from date of revision
6.16.  Departmental
Meeting Minutes		 Deans’ Offices Paper Permanent
6.17.  Enrollment Statistics (Course Level) Department Heads Electronic Permanent
6.18.  ESL Records (Non- Credit) Dean, Adult and Community Education Paper See program-specific requirements; In the absence of a program- specific requirement, six years from the submission of the Final Expenditure Report or until all audits are complete and findings resolved, whichever is later  (See PDE Bureau of Adult Basic and Literacy Education, Adult Education and Family Literacy Application Guidelines (Program Year 2009-2010), § 412)
6.19.  GED Records Dean, Adult and Community Education Paper See program-specific requirements; In the absence of a program- specific requirement, six years from the submission of the Final Expenditure Report or until all audits are complete and findings resolved, whichever is later  (See PDE Bureau of Adult Basic and Literacy Education, Adult Education and Family Literacy Application Guidelines (Program Year 2009-2010), § 412)
6.20.  Leadership Institute Records V.P. Academic Affairs Paper Review annually
6.21.  Master Schedule V.P. Academic Affairs/Information Technology Electronic Permanent
6.22.  Pedagogical
Information (e.g. from Conferences)		 Originating Offices Paper Review annually
6.23.  Research Requests (External) V.P. Academic Affairs Paper/Electronic Five years
6.24.  Standards for
Grading and Qualifications for Graduation		 V.P. Academic Affairs Paper Permanent  (See 22 Pa. Code § 35.26)
6.25.  Student Complaint Files Dean over Originating Office Paper/Electronic Five years from graduation or last date of attendance
6.26.  Syllabi Division Offices Paper/Electronic Six years  (See 22 Pa. Code § 35.21)
6.27.  Teaching
Evaluations (by Students)		 Department Heads Paper Five years for tenured and adjunct instructors; If tenure review pending or not yet commenced, maintain until tenure review process is complete
Office of Student Affairs Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
7.1.    20% Attendance Reports Director, Student Records and Registration Electronic Permanent
7.2.    50% Attendance Reports

Director, Student Records and

Registration

 Electronic Permanent
7.3.    Academic Actions, Sanctions and Appeals V.P. Student Affairs Paper/Electronic Permanent for student dismissals; Five years from graduation or last date of attendance for all others
7.4.    Act 48 Credit/Hour Certificates Director, Student Records and Registration Paper/Electronic Six years from conclusion of course  (See 24 P.S. § 1205.2)
7.5.    ACT/SAT/TOEFL Exam and Score Reports Director of Admissions Electronic Five years from graduation or last date of attendance; Three years from receipt for individuals who do not enroll
7.6.    Admissions Documents (enrolled students) Director of Admissions Paper/Electronic Five years from graduation or last date of attendance
7.7.    Admissions Documents (individuals who do not enroll) Director of Admissions Paper/Electronic Three years
7.8.    Amnesty Forms (Academic) Director, Student Records and Registration Paper/Electronic Permanent
7.9.    Amnesty Forms (Time) Director, Student Records and Registration Paper/Electronic Permanent
7.10.  Application/ Registration for Non-Credit Enrollment Director, Student Records and Registration Paper/Electronic Five years from last date of attendance
7.11.  Athletic Eligibility Forms Director of Athletics Paper Five years from graduation or last date of attendance
7.12.  Change of Curriculum Forms and Authorizations Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.13.  Change of Final Grade Forms Director, Student Records and Registration Paper/Electronic Permanent
7.14.  Change of Information Forms Director, Student Records and Registration Paper/Electronic Five years after graduation or last date of attendance
7.15.  Clubs and Organizations – Faculty Advisor Agreements Director of Student Life Paper Three years
7.16.  Clubs and Organizations - Registrations Director of Student Life Paper Three years
7.17.  Coaching Agreements Director of Athletics Paper Seven years from expiration of contract
7.18.  Committee Files Committee Chair Paper/Electronic Permanent for minutes; Five years for other file materials
7.19.  Counseling Files and Records Department Head, Counseling Paper/Electronic Seven years from date of last visit
7.20.  Credit by Examination Forms Director, Student Records and Registration Paper/Electronic Five years from gradation or last date of attendance
7.21.  Credit for Life Experience Forms Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.22.  Degree Audit Records Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.23.  Drop/Add/ Withdrawal Forms Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.24.  Federal Family Education Loan Program and Direct Loan Program Records Director, Financial Aid Paper/Electronic Records relating to a student or parent borrower’s eligibility and participation must be retained for three years after the award year during which the student last attended the College  (34 C.F.R. § 668.24(e)(2)(i)) Other records relating to the College’s participation in the FFEL or Direct Loan Program, including records of any other reports or forms, must be retained for three years after the award year in which the records are submitted  (34 C.F.R. § 668.24(e)(2)(ii))
7.25.  Federal Student Aid Audits, Program Reviews and Investigations Director, Financial Aid Paper/Electronic If any Title IV loan, claim or expenditure is questioned by a Title IV program audit, program review, investigation or other review, the records must be maintained for the longer of the applicable Required Retention period or until the expenditure issue is resolved with the U.S. Department of Education  (34 C.F.R. § 668.24(e)(3))
7.26.  Federal Work Study Director, Financial Aid Paper/Electronic Records relating to administration of the program must be retained for three years after submission of the Fiscal Operations Report for the award year  (34 C.F.R. § 668.24(e))
7.27.  Fee Waiver Director of Admissions Paper/Electronic Five years from graduation or last date of attendance
7.28.  FERPA – Disclosure Requests Director, Student Records and Registration Paper/Electronic To be kept for the life of the student record file  (34 C.F.R. § 99.32)
7.29.  FERPA – Disclosures Director, Student Records and Registration Paper/Electronic To be kept for the life of the student record file  (34 C.F.R. § 99.32)
7.30.  FERPA – Student’s Consent for Records Disclosure Director, Student Records and Registration Paper/Electronic Five years from date of consent termination
7.31.  FERPA – Student Requests for Nondisclosure of Directory Information Director, Student Records and Registration Paper/Electronic Until request withdrawn by student; if request is not withdrawn, then permanent
7.32.  Final Grade Reports Director, Student Records and Registration Paper/Electronic Permanent
7.33.  Foreign Student Records (F-1 visas) Director of Admissions Paper/Electronic One year following notification to INS that student is not pursuing full course of study or three years after student’s last date of attendance, whichever is later (8 C.F.R. § 214.3(g))
7.34.  G.P.A. Maintenance Documents Director, Student Records and Registration Paper/Electronic Permanent
7.35.  Graduation Lists Director, Student Records and Registration Paper/Electronic Permanent
7.36.  Graduation Records (Individual Student) Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.37.  Incomplete Grade Change Forms Director, Student Records and Registration Paper/Electronic Permanent
7.38.  Pell Grant Director, Financial Aid Paper/Electronic Records relating to administration of program must be retained for three years after the award year (34 C.F.R. § 668.24(e))
7.39.  Perkins Loan Program Director, Financial Aid Paper/Electronic Records relating to administration of program must be retained for three years after the award year (34 C.F.R. § 668.24(e)) Disbursement and electronic authentication and signature records for each loan made using a Master Promissory Note must be retained for three years from the date the loan is canceled, repaid or otherwise satisfied  (34 C.F.R. § 674.19(e)(3)(ii)) Repayment records, including cancellation and deferment requests must be retained, for three years from the date on which a loan is assigned to the Secretary of Education, canceled or repaid  (34 C.F.R. § 674.19(e)(3)(ii))
7.40.  Registration Reinstatement Requests Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.41.  Requests for Fee Waivers Director of Admissions Paper/Electronic Five years from graduation or last date of attendance
7.42.  Requests for Tuition Refund/Letter of Credit Director, Student Records and Registration Paper/Electronic Five years from graduation or last date of attendance
7.43.  Scholarship Files (Recipient) Director, Financial Aid Paper/Banner Five years from last disbursement
7.44.  Student Complaint Files Department Head Paper Five years from graduation or last date of attendance
7.45.  Student Death Certificates Director, Student Records and Registration Paper Ten years
7.46.  Student Discipline Dean of Students Paper Ten years from date of incident; Permanent if student expelled
7.47.  Student Life – Programming and Evaluations Director of Student Life Paper/Electronic Three years
7.48.  Student Long-Term Historical Records (includes permanent resident card, birth certificate, marriage certificate, ward of the court/orphan Director, Financial Aid Paper Ten years
confirmation, verification/citizensh ip verification)      
7.49.  Supplemental Educational Opportunity Grant Program Director, Financial Aid Paper/Electronic Records relating to administration of program must be retained for three years from the submission of the Fiscal Operations Report for the award year (34 C.F.R. § 668.24(e))
7.50.  Transcript Request Forms Director, Student Records and Registration Paper One year
7.51.  Transcripts Director, Student Records and Registration Paper/Electronic Permanent
7.52.  Transcripts from Other Postsecondary Institutions Director, Student Records and Registration Paper Five years from graduation or last date of attendance for enrolled students; Three years from notification of rejection for others
7.53.  Veterans Records Director, Student Records and Registration Paper Three years from graduation or last date of attendance
7.54.  Weight Room Release Forms Director of Athletics Paper Three years
Office of Marketing and Government Relations Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
8.1.    Advertisements and Commercials Marketing and Government Relations Paper/Electronic Permanent
8.2.    Annual Report of Legislative Requests

Marketing a

nd Government Relations

 Paper/Electronic Permanent
8.3.    College Catalogs Marketing and Government Relations Paper Permanent
8.4.    College Catalogs (Proposed Changes) Marketing and Government Relations Paper Review annually
8.5.    Commencement Programs Dean of Students Paper Permanent
8.6.    Draft and Proposed Legislation Marketing and Government Relations Paper/Electronic Review annually
8.7.    E-Alerts Marketing and Government Relations Electronic Permanent
8.8.    E-Newsletters Marketing and Government Relations Electronic Permanent
8.9.    Event Folders
(excluding contracts)		 Marketing and Government Relations Paper Review annually
8.10.  External
Government Relations Meeting Minutes		 Marketing and Government Relations Paper/Electronic Permanent
8.11.  Facilities Contracts for Outsiders to Use CCP Marketing and Government Relations Paper Five years from expiration of contract
8.12.  Institution
Publications		 Marketing and Government Relations Paper Permanent
8.13.  Legislative Requests and Responses Marketing and Government Relations Paper/Electronic Two years
8.14.  Drafts of Marketing Materials Marketing and Government Relations Paper/Electronic Review annually
8.15.  Marketing Plans Marketing and Government Relations Paper Permanent
8.16.  Marketing
Publications		 Marketing and Government Relations Paper Permanent
8.17.  Marketing Research Marketing and Government Relations Paper Review annually
8.18.  Materials to Respond to Crisis Inquiries Marketing and Government Relations Paper Until updated or superseded
8.19.  Photos and Video Footage Marketing and Government Relations Paper/Electronic Permanent
8.20.  Photo Release Forms Marketing and Government Relations Paper Permanent
8.21.  Press Clippings (of interest to CCP) Marketing and Government Relations Paper Review annually
8.22.  Press Clippings (regarding CCP) Marketing and Government Relations Paper Permanent
8.23.  Press Releases Marketing and Government Relations Paper/Electronic Permanent
8.24.  Talking Points, Statements, Prepared Remarks, Notes, etc. (non-published) Marketing and Government Relations Paper Review annually
8.25.  Trademark Marketing and Government Relations Paper Permanent
Office of Planning and Finance Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
9.1. Access Control System Director, Facilities Operations Electronic Three years
9.2. Accounts Payable Records Controller Paper/Electronic Current plus seven years
9.3. Accounts Receivable Records Controller Paper/Electronic Current plus seven years
9.4. Accreditation Documents (Institutional Level) V.P. Planning/ Finance Paper Permanent
9.5. After-Hours Sign-In Logbook Director, Facilities Operations Paper Three years
9.6. Annual Budget Director, Budget and Financial Services Paper Permanent
9.7. Annual Financial Statements Controller Paper Permanent
9.8. Audit Reports Controller Paper Permanent
9.9. Bank Statements and Cancelled Checks Controller Paper Current plus seven years
9.10.  Banner End of Year Instructions Controller Paper Current
9.11.  Banner Training Materials Controller Paper Current
9.12.  Bills and Payment Records Controller Paper Current plus seven years
9.13.  Bond Records V.P. Planning/ Finance Paper Permanent
9.14.  Books of Account Controller Paper Current plus seven years
9.15.  Bookstore Commission Reports Director, Budget and Financial Services Paper Current plus seven years
9.16.  Budget (Approved) Director, Budget and Financial Services Paper Permanent
9.17.  Budget Documents – City V.P. Planning/ Finance Paper Ten years
9.18.  Budget Documents – State V.P. Planning/ Finance Paper Ten years
9.19.  Building Automation Systems Director, Facilities Operations Electronic Five years
9.20.  Building Specifications for Contracts (e.g. weight control) Director, Facilities Operations Paper Permanent
9.21.  CAD Drawings Director, Facilities Operations Electronic Five years after disposition of property
9.22.  Certificates of Insurance (University) Director, Budget and Financial Services Paper Five years from expiration
9.23.  Certificates of Insurance (Vendor) Director, Budget and Financial Services Paper Five years from expiration
9.24.  Construction – Building Plans, Blueprints and Design Plans Director, Facilities Operations Paper/Electronic Permanent
9.25.  Construction – Engineering Studies and Reports Director, Facilities Operations Paper Permanent
9.26.  Construction – General File Materials Director, Facilities Operations Paper/Electronic Five years from project completion
9.27.  Construction – Licenses and Permits Director, Facilities Operations Paper Permanent
9.28.  Contracts and Related Correspondence Director, Budget and Financial Services Paper/Electronic Five years after expiration of contract  (See 42 Pa. C.S. § 5525)
9.29.  Crime Reporting – Documents Underlying and Required to Substantiate Pennsylvania Uniform Crime Reports Director, Facilities Operations Paper/Electronic Four years  (See 18 P.S. § 20.101, et seq. and 22 Pa. Code § 33.111)
9.30.  Crime Reporting – Documents Underlying and Required to Substantiate Federal Campus Crime Reports (Clery Act) Director, Facilities Operations Paper/Electronic Seven years  (See 20 U.S.C. § 1092(f)(1)(F); 34 C.F.R. § 668.24))
9.31.  Deeds V.P. Planning/ Finance Paper Permanent
9.32.  Deposit Slips Controller Paper Current plus seven years
9.33.  Digital Cameras Director, Facilities Operations Electronic Overwritten every five days
9.34.  Documents Underlying and Required to Substantiate Fire Safety Report Director, Facilities Operations Paper/Electronic Five years  (See 20 U.S.C. § 1092(i); 34 C.F.R. § 668.24)
9.35.  Electronic Tour System Director, Facilities Operations Electronic Three years
9.36.  Emergency Response Team Director, Facilities Operations Paper/Electronic Seven years
9.37.  Employee Disciplinary Records Relevant to Campus Security (e.g. employee removed from campus) Director, Facilities Operations Paper/Electronic Seven years from incident or six years from last date of employment, whichever is longer
9.38.  Enrollment Statistics (Program Level) Director, Institutional Research Electronic Permanent
9.39.  Equipment Maintenance Director, Facilities Operations Paper Three years after disposition of equipment
9.40.  External Committee Records (e.g. Neighborhood Association, Spring Garden Safety Committee, Police Department) Originating Office Paper/Electronic Permanent for minutes; All other documents review annually
9.41.  Facilities Master Plan V.P. Planning/ Finance Paper Permanent
9.42.  Financial Statements V.P. Planning/ Finance Paper/Electronic Permanent
9.43.  Fixed Asset Records Controller Paper/Electronic Permanent
9.44.  Form 990 Controller Paper/Electronic Three years from last date for filing
9.45.  Identification Cards Director, Facilities Operations Paper Five years from graduation or last date of attendance
9.46.  Incident Reports – Director, Facilities Paper Five years from graduation
Students Operations   or last date of attendance
9.47.  Institutional Survey and Reporting Records (HEGIS/IPEDS) V.P. Planning/Finance Paper/Electronic Permanent for final reports, surveys and forms
9.48.  Insurance – Closed Claims (no litigation) Director, Budget and Financial Services Paper Three years or until claimant turns 21 years of age, whichever is later
9.49.  Insurance Policies Director, Budget/ Financial Services Paper Ten years after expiration
9.50.  Invoices Controller Paper/Electronic Current plus seven years
9.51.  Leases Director, Facilities Operations Paper Five years from expiration of lease
9.52.  Lost and Found Director, Facilities Operations Paper Review annually
9.53.  MSDS Forms Director, Facilities Operations Paper Thirty years
9.54.  Operations Manuals Originating Office Paper Permanent
9.55.  Pandemic Planning Director, Facilities Operations Paper Until updated or superseded
9.56.  Parking Permits Director, Facilities Operations Paper Five years from expiration of permit
9.57.  Parking Records (e.g. receipts, permit applications, monthly vendor reports) Director, Budget and Financial Services Paper/Electronic Current plus seven years
9.58.  Payroll Documents Controller Paper/Electronic Current plus seven years
9.59.  Payroll – Individual Time Reports Originating Office Paper/Electronic Current plus seven years
9.60.  Payroll – Records Controller Paper/Electronic Current plus seven years
9.61.  Planning and Finance Goals V.P. Planning/ Finance Paper/Electronic Permanent
9.62.  Property Appraisals V.P. Planning/ Finance Paper Permanent
9.63.  Purchase Orders Director, Budget and Financial Services Paper Current plus seven years
9.64.  Purchasing – Advertising Director, Budget and Financial Services Paper Six years
9.65.  Purchasing – Bid Documents (Accepted) Director, Budget and Financial Services Paper Seven years after completion
9.66.  Purchasing – Bid Documents (Rejected) Director, Budget and Financial Services Paper Three years from rejection
9.67.  Records Supporting Items of Income, Deductions and Credits Controller Paper Current plus seven years
9.68.  Requisition Files Director, Budget and Financial Services Paper/Electronic Current plus seven years
9.69.  Shipping Records (e.g. Federal Express, UPS) Mailroom Paper Three years
9.70.  Space Inventory and Utilization Records Director, Facilities Operations Paper/Electronic Permanent
9.71.  State Audit Controller Paper Permanent
9.72.  State Audit Appeals Controller Paper Permanent
9.73.  Strategic Planning Documents V.P. Planning/ Finance Paper Permanent
9.74.  Travel Reimbursements Controller Paper Current plus seven years
9.75.  Tuition Remission Controller Paper Five years from graduation or last day of attendance
9.76.  Vehicle Leases Director, Facilities Operations Paper Five years after expiration
9.77.  Vehicle Maintenance Records Director, Facilities Operations Paper Five years after disposition of vehicle
9.78.  Vendor Files Director, Budget and Financial Services Paper Review annually
9.79.  Wire Transfer Files Controller Paper Current plus seven years
9.80.  Work Orders Director, Facilities Operations Paper/Electronic One year
Office of Diversity and Equity Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
10.1. Affirmative Action Plan for Covered Veterans Diversity and Equity Paper Five years
10.2.  Consent Agreements with USDE Diversity and Equity Paper Permanent
10.3.  Discrimination Complaint Files (External) Diversity and Equity Paper (files); Electronic (logs) Three years from resolution; Permanent
10.4.  Discrimination Complaint Files (Internal) Diversity and Equity Paper (files); Electronic (logs) Three years from resolution; Permanent
10.5.  Mandatory Sexual Harassment Training (In-Person) Diversity and Equity Paper (sign-in sheets and evaluation materials); Electronic (attendance list and training materials) Sign-in Sheets – Until electronic attendance list created
Evaluation Materials – One year
Attendance List – Four years
Training Materials – Review annually
10.6.  Non-Mandatory Training (e.g. Diversity, Civility) Diversity and Equity Paper (sign-in sheets and evaluation materials); Electronic (attendance list and training materials) Review annually
10.7.  Vets 100 Report Diversity and Equity Paper Five years  (See 41 C.F.R. § 60-250.80)
Office for Institutional Advancement Documents

 

Nature of RecordResponsible OfficeFormatRequired Retention
11.1.  Accreditation
Documentation, Including Self-Study		 Institutional Advancement Paper/Electronic Permanent
NOTE:  Background information necessary for self-study should be kept the longer of the retention period identified elsewhere in this retention schedule or eleven years
11.2.  Alumni Membership Records Institutional Advancement Raiser’s Edge As updated
11.3.  Alumni Gift Entry Validation Reports Institutional Advancement Raiser’s Edge Permanent
11.4.  Alumni Council Records Institutional Advancement Paper/Electronic Permanent
11.5.  Annual Donor Reports Institutional Advancement Electronic Permanent
11.6.  Annual Finance Reports Institutional Advancement Paper/Electronic Permanent
11.7.  Annual Giving Reports Institutional Advancement Paper/Electronic/R aiser’s Edge Permanent
11.8.  Donor Gift files Institutional Advancement Paper/Electronic Permanent
11.9.  Foundation Board Documents Institutional Advancement Paper Permanent
11.10.  Foundation Donor Endowment Agreements Institutional Advancement Paper Permanent
11.11.  Foundation Donor Checks Institutional Advancement Paper Seven years from year in which donation made
11.12.  Grant
Administration Documents		 Institutional Advancement Paper/Electronic Five years from the date the grantee submits its final expenditure report; if renewed quarterly or annually, then three years from submission of report (See 34 C.F.R. § 74.53(b))
If the grant is the subject of any litigation, claim or audit started before the expiration of the five year period, then records must be maintained the longer of the retention period or until the issue is resolved and final action is taken (See 34 C.F.R. § 74.53(b)(1))
Records for real property and equipment acquired with Federal funds shall be retained for five years after final disposition of property  (See 34 C.F.R. § 74.53(b)(2))
11.13.  Scholarship Files (Recipient) Institutional Advancement Paper/Banner Five years from last disbursement
11.14.  Trusts and
Bequests (Wills)		 Institutional Advancement Paper Permanent