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Retention Guidance

 

Record Name/Description Official Recordkeeper LVA Retention Destroy all before Guidance to office retaining copies
Student Records        
Student Official Record - transcript, grades, awards, etc. UREG (SIS/Inow) Permanent (Series # 101083) N/A Any copies of transcripts or other information from SIS should not be retained in schools/dept.
Student Record: Program Modifications (change of major, minor declaration, withdrawal, leave, approval for program modification) UREG (SIS/Inow) 3 year after graduation (Series # 101157) 07/01/10 Dept and schools should destroy all documents/forms sent to UREG for processing
Student Record: Course Modifications (drop-add, grade appeal) UREG (SIS/Inow) 1 year after end of semester (Series # 101138 and 101141) 07/01/12 Dept and schools should destroy all documents/forms sent to UREG for processing
Academic Department: Student Undergraduate - monitoring student status, history and grades within the academic department or school. Departments 5 years after graduation (Series # 101082) 07/01/08 Dept and schools should destroy all documents/forms sent to UREG for processing
Academic Department: Student Graduate - monitoring student status, history and grades within the academic department or school. Departments 10 years after graduation (Series # 101083) 07/01/03 Dept and schools should destroy all documents/forms sent to UREG for processing
Academic Departments: Student Employee Records (include hiring, evaluation and work history) UHR 5 years after termination (Series # 101080) 01/01/08 All paperwork with UHR should be destroyed once sent to UHR for processing.  All departmental forms retained for the retention period should not include any SSN.
Grade Sheets/Class Rolls UREG (SIS/Inow) 3 years after end of semester (Series # 101069) 07/01/10 Dept/Faculty copies should be destroyed once sent to UREG for processing (including electronic versions)
Student Disciplinary Records - includes judicial and committee reviews of students Committee Chair/Honor Council/Student Affairs 3 years after resolution of the issue (Series # 101178 and 101174) 07/01/10 Dept/schools/individuals should not have copies of these records.
Admissions        
Non-Matriculating Undergraduate Admissions Inow (Undergrad Admissions Office) 1 year after Census Date (Series # 101086) 11/01/11 All dept/school copies should be destroyed - access via Inow/SIS
Matriculating Undergraduate Admissions Inow/SIS Transfer to official student record N/A All dept/school copies should be destroyed - access via Inow/SIS
Non-Matriculating Graduate Admissions Inow/SIS or Grad School Admissions Office 1 year after Census Date (Series # 101086) 11/01/11 All dept/school copies should be destroyed - access via Inow/SIS or Grad School system
School of Medicine Non-Matriculating Admissions SOM Admissions Office 3 years after Census Date (Series # - new*) 11/01/09 All dept copies should be destroyed
Matriculating Graduate Admissions Inow/SIS or Grad School Registrar Transfer to official student record N/A All dept copies should be destroyed
Record Name/Description Official Recordkeeper LVA Retention Destroy all before Guidance to office retaining copies
Student Financial Aid        
Undergraduate Student Financial Aid Applications - Non-Matriculating  SFS (Inow Legacy System and central SIS/Inow) 3 years after census date (series # - 101116) 11/01/10 Dept should not have access or retain any SFS records
Undergraduate Student Financial Aid Applications/Awards (Matriculating, except for Perkins Loans) SFS (Inow Legacy System and central SIS/Inow) 3 years after graduation (Series # 101115, 101118, 101119) 07/01/10 Dept should not have access or retain any SFS records
Graduate Student Financial Aid Applications - Non-Matriculating SFS (Inow Legacy System and central SIS/Inow) or School Financial Aid Office 3 years after census date (series # - 101116) 11/01/10 Dept should not have access or retain any SFS records
Graduate Student Financial Aid Applications/Awards - Matriculating SFS (Inow Legacy System and central SIS/Inow) or School Financial Aid Office 3 years after graduation (Series # 101115, 101118, 101119) 07/01/10 Dept should not have access or retain any SFS records
Undergraduate Student Perkins Loans Application/Award SFS (Inow Legacy System and central SIS/Inow) 3 years after repayment of the loan (Series # 101120) varies Dept should not have access or retain any SFS records
International Students        
Foreign Student Visa Information International Student Office 10 years after graduation (Series # - new*) 07/01/03 Dept should not retain copies once Internal Student Office has processed visa
Student Health        
Student Health Record Student Health 10 years after date of last treatment or date of graduation (Series # 101189) 07/01/03 Move paper records from Fontana Food to secure storage
Record Name/Description Official Recordkeeper LVA Retention Destroy all before Guidance to office retaining copies
Personnel        
Staff (Long term) - includes hiring agreements, application, termination form/letter, personnel action forms, pay action requests, CV/resume, evaluations, written notices/grievance resolutions. UHR (Inow system) 50 years after termination (Series # 100485) 01/01/63 Dept have copies because they can't see UHR's official records- if they can access UHR's records they can destroy their copies
Staff (Short term) - includes background check, correspondence, disability plan, ADA disabilities form, unemployment documentation,  UHR (Inow system) 5 years after termination (Series # 012172) 01/01/08 This includes dept. copies of items not sent to UHR - may include correspondence and other documentation most likely not containing SSN
Faculty (Long term) - includes hiring agreements, application, termination form/letter, personnel action forms, pay action requests, CV/resume, evaluations, written notices/grievance resolutions, tenure notifications School HR or Units not part of a school (Transitioning to UHR Inow System) 50 years after termination (Series # 100485) 01/01/63 Dept should not retain this information
Faculty (Short term) - includes background check, correspondence, disability plan, ADA disabilities form, unemployment documentation,  School HR or Units not part of a school (Transitioning to UHR Inow System) 5 years after termination (Series # 012172) 01/01/08 Dept should not retain this information
Employee Medical/Health Insurance Records - benefit enrollment forms, HIPAA correspondence and authorization, wellness incentives. UHR (Inow system) 30 years after termination (Series # 100484) 01/01/83 Dept should not have any of this information
Worker's Compensation Records UHR (Inow system) 5 closed fiscal years after termination (Series # 012158) 07/01/08 Dept should not retain this information
Grievance Records - includes documentation, correspondence, - note: final resolution notification (letter) part of long term personnel record. UHR (Inow system) 5 years after termination (Series # 100490) 01/01/08 Dept should not retain this information
IT System Access Records UHR (Inow system) 3 years after termination (Series # 000151) 01/01/10 Dept should not retain this information
Visa/International Employee Records - includes via applications, supporting documentation, correspondence UHR (Inow system) 10 years after termination (Series # - New**) 01/01/03 Dept should not retain this information
Eligibility/Status Records (I-9) UHR (online system) 3 years after termination (Series # 100482) 01/01/10 Dept should not retain this information
Benefit/Tax Payroll Records - includes tax forms, benefit elections, direct deposit, salary advances, special checks, time and leave reporting, W2, orders (child support, bankruptcy, etc.). UHR (Inow system) 5 closed fiscal years after termination (Series # 200113) 07/01/08 Dept should not retain this information
Payroll Records - including time sheets, spreadsheets related to payroll, etc. UHR - both paper and electronic formats. 5 closed fiscal years (Series # 200113) 07/01/08 All departmental/school copies may be destroyed.
School of Medicine Fellows Departments 50 years after termination (Series # 100485) 01/01/63 No solution here.
School of Medicine/Medical Center Residents Medical Center Office of Residents 50 years after termination (Series # 100485) 01/01/63 Dept should not retain copies of records once resident leaves - transfer to Resident office
Faculty Tenure and Tenure Review - includes review and support for tenure decision.  Final decision part of Faculty (Long Term) record. School HR (Transitioning to UHR Inow System) 5 years after date of tenure decision (Series # 100499) 01/01/08 Dept should not retain this information
Record Name/Description Official Recordkeeper LVA Retention Destroy all before Guidance to office retaining copies
Research/Clinical Trials        
Research Proposals (Federal) Office of Sponsored Programs 5 years after end date of the grant (Series # 101198) 07/01/08 Dept should not retain proposals after the grant closes.
Unfunded Proposals (Federal) Office of Sponsored Programs 1 year after notification (Series # 000183) 07/01/12 Dept should not retain proposal once notification is received
Clinical Trial Participant Records Departments Upon approval of the sponsor (Federal and International regulations vary from 2-25 years after end of study) (Series # - new*)   Move from Fontana and U-Store-It locations to secure storage
Donor Records        
Donor Research Records Development Research Office (Inow) Permanent (Series # - new*)   Depts retain copies as they do not have access to Inow system and they need to work with donors
Donor Gift Records (regular small donations) Gift Accounting 3 closed fiscal years (Accounts Receivable - Series # 012083) 07/01/10 Remove all bank routing information before making copy of any check.
Donor Gift Records (large gifts/gift agreements/naming etc.) School or University Development Permanent (Series # - new*) N/A Removal all bank routing information before making copy of any check

 

* - records series suggested and reviewed for inclusion in revised Schedule 111 due Fall 2013.

** - records series suggested and reviewed for inclusion in a revised Schedule 103 - Personnel Records - no expected due date.

Rentention Guidance as of Sept. 1, 2013