Montana University System Directive of the Commissioner of Higher Education RE: Montana University System General Record Retention Schedule

The campuses of the Montana University System are hereby directed to utilize the attached Montana University System General Record Retention Schedule with regard to the management and disposition of Montana University System records. The schedule was developed by a working group comprised of Donna McCrea, Head of Archives and Special Collections at the University of Montana, Leslie Taylor, Legal Counsel at Montana State University, and staff at the Office of the Commissioner of Higher Education.

During this initial year of implementation, members of the Montana University System community are encouraged to share feedback and suggestions regarding this schedule so that appropriate revisions may be made and a schedule be permanently adopted on January 1st, 2017. Questions, comments and feedback may be directed to the following:

Dated: 3-9-2016

Signed by Clayton T. Christian, Commissioner of Higher Education

 

 

Montana University System General Record Retention Schedule

 General Record Retention Schedule Overview

  1. Introduction:
    • The General Records Retention Schedule (General Schedule) of the Montana University System governs the management and disposition of university records.
    • The majority of records listen on this General Schedule are common to many units across campuses.
  2. Purpose:
    • The purpose of General Schedule is to create a uniform set of schedules for the retention and disposition of records, created or maintained in the course of university business, that document each institution and its functions, policies and procedures, decisions and other activities.
  3. Records and Public Records:
    • A record is defined as information in any form or medium (including electronic records and electronic mail) that is within the campus's control and relates to its activity or business. Recorded information that is personal and not related to the business of the unit is not a record.
    • As public institutions of the state of Montana, many of the records of Montana University System campuses may also meet the definition of a public record under Montana law. A "public record" is "any paper, correspondence, form, book, photograph, microfil, magnetic tape, computer storage media, map, drawing or other document, including all copies thereof, regardless of physical form or characteristics" that has been created or received by a campus "in connection with the transaction of official business." It includes "all other records or documents required by law to be filed with or kept" by a state agency or local government. Records that are "for reference purposes only, a preliminary draft, telephone messages, routing slips are not considered public records and need not be maintained. (Section 2-6-202, MCA, 2-6-401, MCA). General Records Retention Schedule 9 provides a detailed list of documents that are not considered public records." From Montana Secretary of State website.
    • Electronic mail, or e-mail, "sent or recieved in connection with the transaction of official business" may also be considered a public record. For more information about managing e-mail, see E-Mail Guidelines: A Management Guide for the Retention of E-Mail Records for Montana State Government.
  4. Campus Responsibilities:
    • All campuses should familiarize themselves with the General Schedule, and have an understanding of what records - paper-based and electronic - they create and/or receive and are required to manage.
    • Individual departments or units within a campus may wish to conduct an inventory of their records and map them to the General Schedule. If a unit identifies records that do not map to the General Schedule, the unit may need to develop a unique record retention schedule for those records. All new and unit unique schedules must be in writing and approved by the legal counsel for the campus.
  5. Rules of Application:
    • The office of origin/creation is responsible for retention of the record series for the minimum length of retention, unless the campus assigns responsibility for certain records to another office.
    • If a record appears to fit in more than one category, apply the narrowest category.
    • If no category fits, looks for an analogouscategory and follow its guidance.
    • When in doubt, err toward a longer retention period.
    • The retention periods in the schedule are minimums and also recommended as appropriate maximum retention periods.
    • If a federal or state statute or regulation specifies a longer retention period for any type of record received, created, or maintained by MUS campuses, the statute or regulation or litigation hold overrides this schedule. The official record holder for the record should be familiar with any statutes or regulations that may apply to the unit's records. If any record holder is unsure of the applicability of any statute or regulation, he or she may contact Legal Counsel.
    • Upon notice of a legal investigation, audit, dispute, or claim; receipt of a litigation hold or upon service of legal process through subpoena, summons or other means for delivery of records, all scheduled destruction of records related to the matter shall be immediately suspended and destruction of the records would not occur until the matter is fully resolved and finalized.
  6. Retention and Disposition Terminology:
    • Active = Retain while in active use.
    • Archival Review = Record series that have content of value to documenting the institution's history should be considered for permanent retention. If retention is warranted, files may be maintained by office of origin or designated archival repository. Records that contain authentic evidence evidence of a campuses organization, function, policies, decisions, procedures, operations, or other activities are examples of records with historical value. This type of information may be found in policy records, organizational documents, memos, correspondence, and reports. If a series is not marked for archival review, it still may be appropriate to consider review if the records have unique or important historical value.
    • CY = Current Fiscal Year. The fiscal year begins July 1st and ends the following June 30th.
    • Destory = Destory at end of retention period. If the series or item contains restricted information, the records must be destroyed in a secure manner such as incineration, shredding or secure electronic destruction. If the material does not contain restricted information the records may be destroyed by placing in trash or recycle (preferred), or via electronic destruction, or by a secure method.
    • Record Retention Schedule = A record retention schedule provides the framework for an effective record management program. It provides the basis for decisions related to minimum record retention and approved disposition of records. The General Schedule is intended to provide guidance for consistent record keeping across the campuses of the MUS.
    • Permanent = Record series determined to have demonstrated historical, legal or administrative value to a particular unit on campus that will be maintained permanently.
    • Until Superseded = Retain until superseded or obsolete. This retention period peratins to documents that are routinely updated and therefore superseded by the current version.
  7. Resource Consulted:

Note: within this General Schedule the acronym GRRS refers to the General Records Retention Schedule maintained by the Montana Secretary of State. The acronym MCA refers to the Montana Code Annotated.

Academic Records

Record Description Retention Disposition
Course Catalog / Bulletin Course catalogs or bulletins that include course offerings, program requirements and related policies and procedures. Active Permanent
Course Evaluation Records Records of students' evaluations of teaching personnel and courses. CY + 10 yrs. Destroy
Course Schedule Record of courses actually held / given by the institution. CY + 1 yr. Archival Review
Course Syllabi Syllabi of offered courses. CY + 10 yrs. Destroy
New Degree Program and Course Proposal Records Records of the development of new degree programs, courses and related curricula. CY + 5 yrs. Archival Review
Program Review and Development Records Internal and External review of academic programs. CY + 5 yrs. Archival Review
Student Handbooks Records of the requirements, policies, and offerings of specific instructional units for use by current or potential students. Active Archival Review

 

Accounting and Financial Records

Record Description Retention Disposition
Accounts Payable and Receivable Documentation Records related to payment of financial obligations. CY + 5 yrs. (GRRS 2) Destroy
Annual Financial Reports Consolidated year-end report of financial documentation showing assets and liabilities. CY + 4 yrs. Archival Review
Budgets Approved annual or other periodic budgets for the institution. CY + 5 yrs. Archival Review
Cash, Check and Credit Card Transactions Records of payments, including forms and receipts. CY + 2 yrs. Destroy
Credit Card (Procurement Card) Administration Records Records of administration of credit cards issued to institutional staff and units. CY + 6 yrs. Destroy
Delivery Slips Documents sent with purchased goods indicating items shipped. CY + 3 yrs. Destroy
Hold or encumbrance authorization Registration and transcript holds. Last year of enrollment + 3 Destroy
Interdepartmental Billing Records of charges owed by internal institutional departments and functions to other departments. CY + 5 yrs. Destroy
Miscellaneous Accounting Reports Records of the production of various accounting reports made by individual offices or departments on a periodic basis. CY + 6 yrs. Destroy
Procurement Records Purchase orders and contracts for successful procurement / awarding of bids. Contract expiration + 8 yrs. (GRRS 4) Destroy
Procurement Solicitations Records of the process and completion of solicitation. CY + 4 yrs. (GRRS 4) Destroy
 Ticket Sales and Event Cash Reconciliation Records  Records of the printing, selling, distribution, and accounting of tickets for institution-sponsored athletic, performing arts, and other events where a price is charged for admission CY + 5 yrs. Destroy
Travel Reimbursement Documentation Documentation maintained in support of reimbursement to university employees for university related travel. CY + 4 yrs. Destroy

 

Administrative Records

Record Description Retention Disposition
Accreditation Files University, college or department files documenting accreditation review by accrediting agencies. CY + 10 yrs. Archival Review
Administrative and Annual Reports Reports on the institution and its subdivisions. (This category does not include audits or annual financial reports.) CY + 3 yrs. Archival Review
Audit Records Reports on internal and external audits of various institutional functions, including fiscal, performance, academic, athletic, and compliance reports. CY + 4 yrs. Archival Review
Awards Records Records of the process of selecting institutional faculty, staff, students, and alumni to recieve awards, scholarships, and merit-based fellowships, including list of award recipients. CY + 3 yrs. Archival Review
Contracts and Agreements Legal contracts or agreements that the institution or its units enter into with other entities. Contract expiration + 8 yrs. (MCA 27-2-202) Destroy
Delegation of Authority Records of the certification of the institution's employees who are authorized to sign fiscal and contractual documents. End of authorization + 1 yr. Destroy
Election Records Records of elections held by institutional organizations. CY + 3 yrs. Destroy
General Files, Upper Administration Files of presidents, chancellors, upper-level administrators, deans, directors, and chairs. CY + 3 yrs. Archival Review
Gift Records Records of realized funding of the institution, whether from private individual or corporate sources. Active Permanent
Grievance Records Records of grievances against the institution which are resolved without litigation. (This category does not include grievances by students.) CY + 3 yrs. Destroy
Insurance Policy Records Records of insurance maintained by the institution. Active + 3 yrs. (GRRS 3-7) Destroy
Legal Case Records Records of legal disputes involving the institution. Final decision + 5 yrs. Archival Review
Minutes and Agendas Minutes and agendas of boards, committees, councils, senates, major committees, task forces, and other institutional units and organizations. CY + 3 yrs. Archival Review
Organizational Charts Organizational Charts Active + 10 yrs. Archival Review
Policies and Procedures Records Records of institutional and unit policies and procedures and the sources and process of policy creation. Until Superseded Permanent
Public Records Requests Records of public requests for information. Last action + 3 yrs. Destory
Publications Includes newsletters, news releases, publicity photographs and brochures. Active + 1 yr. Archival Review
Radio and Television License Records Records of licensing of institutional radio stations and television channels with the Federal Communications Commission. License expiration + 3 yrs. Destroy
Strategic and Institutional Plans Records of the development of short-term or long-term plans for the institution. Until Superseded Permanent
Trademark Records Records documenting campus-owned trademarks Active Permanent
Transient Materials Documents, including telephone messages, notes, drafts and other materials, which serve to convey information of temporary value. Active Destroy
Unit/Institution/Organization History Records of the historical development of the institution, its units, or organizations associated with it. Active Archival Review
Video and Sound Recordings Records in video or audio format of institutional activities and events with significant relevance to the mission of the institution or an individual unit. Active Archival Review

 

Facilities, Equipment and Property Records

Record Description Retention Disposition
Building and Construction Documentation Records of construction of the institution's building and grounds. Active Permanent
Equipment Inventory Records Inventories of major equipment. Active + 3 yrs. Destroy
Government Property Records Records of "agency-owned" (usually federal) properties loaned to the institution, or agency-owned property purchased with (usually federal) non-institutional state funds for research contract use. Records may include copies of federal form DD 1419; memoranda of understanding or agreements, and other related documentation. Active + 3 yrs. Destroy
Motor Vehicle Records Records of titles, maintenance and usage. Active + 6 yrs.  Destroy
Operating and Maintenance Records Records of the operations and maintenance of institutional utilities. CY + 10 yrs. Destroy
Real Estate Records Records of real property acquired and sold by the institution. Active + 8 yrs. Permanent
Real Property Leases Records of real property leased by the institution. Active + 8 yrs. Destroy
Surplus Property Records Records of changes in institution-owned property; requests to declare items surplus, salvage, or scrap; removal and sale or disposal of excess equipment and other surplus items including proceeds from sales. CY + 6 yrs. Destroy
Work Orders Records Records of requests and authorizations for needed services and/or repairs to institutional property and equipment. CY + 2 yrs. Destroy

 

Federal Student Financial Aid (SFA) Records

Student Financial Aid - Program Records

Record Description Retention Disposition
Accrediting and licensing agency review, approvals, and reports   Award year + 3 Destroy
Audit Reports and school responses   Award year + 3  
Records pertaining to financial responsibility and standards of administrative capability   Award year + 3 Destroy
Program Participation Agreement   Award year + 3 Destroy
Self-evaluation reports   Award year + 3 Destroy
State agency reports   Award year + 3 Destroy

 

Student Financial Aid - Fiscal Records

Record Description Retention Disposition
Bank statements for accounts containing SFA funds.   Award year + 3 Destroy
Federal work-study payroll records   Award year + 3 Destroy
Ledgers identifying SFA transactions   Award year + 3 Destroy
Records of SFA programs transactions   Award year + 3 Destroy
Records of student accounts   Award year + 3 Destroy
Records supporting data on required reports (SFA program reconciliation reports, audit reports and school responses, Pell Grant statements of accounts, accrediting and licensing agency reports)   Award year + 3 Destroy

 

Student Financial Aid - Recipient Records

Record Description Retention Disposition
Application data submitted to the Dept. of Education or lender by the school on behalf of the student.   Award year + 3 Destroy
Data used to establish student's admission, enrollment status, and period of enrollment   Award year + 3 Destroy
Date and amount of disbursements   Award year + 3 Destroy
Documentation of student's eligibility   Award year + 3 Destroy
Documentation of student's satisfactory academic progress   Award year + 3 Destroy
Documentation of student's program of study and enrolled courses   Award year + 3 Destroy
Documentation related to the receipt of aid, such as the amount of grant, loan or FWS award, and calculations used to determine aid amounts.   Award year + 3 Destroy
Documentation of initial or exit loan counseling   Award year + 3 Destroy
Documentation supporting the school's calculation of its completion/graduation or transfer-out rate   Award year + 3 Destroy
Documents used to verify applicant's data   Award year + 3

Destroy
Financial aid history for transfer students   Award year + 3

Destroy
Reports and forms used for participation in the SFA program   Award year + 3

Destroy
Student Aid Report (SAR) or Institutional Student Information Record (ISIR)   Award year + 3

Destroy

 

Student Financial Aid - Requirements for Specific Aid

Records Description Retention Disposition
Borrowers eligibility records   Last date of attendance + 3 yrs Destroy
Campus-based aid (Perkins loan, SEOG, and Federal Work Study)   End of award year + 3 yrs. Destroy
FFEL and Direct Loans   End of award year + 3 yrs. Destroy
Fiscal Operations Report and Application to Participate (FISAP)   Date of report submission + 3 yrs. Destroy
Pell Grant   End of award year + 3 yrs. Destroy
Perkins repayment records   Date loan assigned, cancelled or repaid + 3 yrs. Destroy
Perkins original promissory notes   Until loan is satisfied or documents are needed to enforce obligation. Destroy
All other records/reports   End of award year or date of submission + 3 yrs. Destroy

 

Grants and Research Records

Record Description Retention Disposition
Facilities and Administration Costs Records of the analysis of grant indirect costs in preperation of the federal F&A rate. CY + 10 yrs. Destroy
Grants - Funded Records of funded grant proposals. Account closed + 10 yrs. Destroy
Grants - Unfunded Records of unfunded grant proposals. Submission + 18 mos. Destroy
Human Subjects Records Records of the review of research proposals that involve any type of use of human subjects. Project completed + 3 yrs. Destroy
Institutional Animal Care and Use Records Records document the care and proposed use of animals by the institution for research purposes. Project completed + 6 yrs. Destroy
Laboratory Notebooks Records of the routine research activities of non-grant funded research projects. Project completed + 6 yrs. Destroy
Laboratory Reports Records of the results of laboratory testing performed for clients. Report date + 6 yrs. Destroy
Misconduct Records Records of accusations of misconduct brought forward by or against faculty or students and relating to research projects. Term of project + 7 yrs. (MSU policy, sec. 800) Destroy
Payment Records Records of requests and justification for transfers of direct payment funds from federal or other external grantors. CY + 10 yrs. Destroy
Research Records Records of the research activity associated with grant-funded projects. Account closed + 10 yrs. Destroy
Sponsored Programs Records Records of the establishment and administration of individually sponsored grant/contract restricted funds accounts and of copliance with fiscal reporting requirements. Account closed + 10 yrs. Destroy
Technology Transfer Records Records of the transfer of technology, patents, copyright, etc. from the institution to outside entities. Active + 6 yrs. Archival Review

 

Health Services Records

Record Description Retention Disposition
Communicable Disease Records These records fulfill the public health requirement of reporting the discovery of communicable disease. CY + 5 yrs. Destroy
Counseling, Psychological, and Psychiatric Case Records Records of clients who are provided counseling, psychological, and psychiartric services through the institution's counseling center. Last contact + 7 yrs. Destroy
Health History Forms Records of a student's medical history. Last Service + 7 yrs. Destroy
Licensure Records Records of the professional and regulatory issuance of credentials to individuals and facilities providing services within the student health center. Later of CY + 4 yrs. or until superseded Destroy
Medical Records Records of the medical services history provided for patients. Later of last service + 7 yrs. or client reached age 21 Destroy
Patient Logs Records of patients who visit the student health center. CY + 3 yrs. Destroy
Pharmacy Prescription Dispensation Records Records of drug dispensations (initial and refills) administered. CY + 5 yrs. Destroy
Student Health Insurance Records Records of students' insurance coverage activity under institution insurance policies. CY + 3 yrs. Destroy
X-rays Records of student X-rays, including a log of X-rays going out and coming in for professional reference and other related documentation. Last service + 7 yrs. Destroy

 

Human Resource Records

Record Description Retention Disposition
Affirmative Action Plan Records Records of the campus Affirmative Action Plan and related records regarding application self-identification, evaluations of effectiveness, recruitment and outreach efforts, benchmark goals. Active + 3 yrs. Archival Review
Anti-Discrimination Law Compliance Records Records of internal compliants of discrimination, investigative records, and records related to the incident compained of. Active + 5 yrs. Archival Review
Background Check Records Background check records related to employment and any other background check records required under campus policies. End of employment or date of background check (for non-employees) + 5 yrs. Destroy
Bargaining Unit Records Records of negotiations and contractual agreements between the institution and a bargaining unit. Active + 10 yrs. Archival Review
Employee Education and Training Records Records of employees' continuing education and training End of employment + 10 yrs. (GRRS 5) Destroy
Payroll Records Records of the administration of employee paychecks. Records may include payroll check registers, check delivery logs, direct deposit authorization forms, payroll request forms, pay action forms, pay reduction notices, emergency payroll draw forms, and other related documentation and correspondence. End of employment + 10 yrs. Destroy
Personnel Record Records of employees' work history at the institution, including formal evaluation and disciplinary records. End of employment + 10 yrs. Archival Review
Position Descriptions Records of job descriptions for staff and faculty positions, as well as reclassification of position descriptions. Active + 2 yrs. (GRRS 5) Destroy
Recruitment Records Records of review of all stages of hiring by the institution. Active + 3 yrs. (GRRS 5) Destroy
Sabbatical Leave Records Records of sabbatical leave activities of institution faculty. End of leave + 5 yrs. Destroy

 

Information Management Records

Record Description Retention Disposition
Computer System Security Records Records of the security of an institution, department, or office computer system. Until superseded + 3 yrs. Destroy
Help Desk Logs and Reports Records used to document requests for assistance and responses to those requests. 4 yrs. (GRRS 6) Destroy
Information System User Access Records Records created to control individual access to a system for administrative and security purposes. Active + 3 yrs. (GRRS 6) Destroy
Information Systems Backup Files Copies of master files or databases, application software, logs, directories, and other documentation maintained solely for business countinuity and disaster recovery purposes. 90 days Destroy
Information Systems Equipment Support Files Information on data processing equipment, software, and other products and their vendors. Active + 3 yrs. Destroy
Usage Files Records created to monitor computer system and network usage. 90 days Destroy

 

Institutional Services Records

Record Description Retention Disposition
Bicycle Licenses / Permits Records Records of the registration of bicycles on campus. Records may include registration cards, and other related documentation. Active + 3 yrs. Destroy
Child and Youth Program Participant Records Records of the participation of children and youth in programs sponsored by the institution. CY + 6 yrs. Destroy
Events Administration Records Records of planning, facilities, services, and accommodations for major events on campus. CY + 3 yrs. Destroy
Key Issuance Records Key assignments and deposits (if applicable) for institutional faculty, staff, students, and others using the institution's facilities. Key returned + 1 yr. Destroy
Parking Records Records of the regulation of on-campus parking, including citations. Resolution + 1 yr. Destroy
Postal and Shipping Records Records of items that are mailed by the department via UPS, U.S. Postal Service, Federal Express, or another carrier. CY + 3 yrs. Destroy

 

Intercollegiate Athletics Records

Record Description Retention Disposition
Athletic Scholarship and Grant-in-Aid Award Records Records pertaining to player eligibility and receipt of financial aid in the form of scholarships. CY + 6 yrs. Destroy
Athletic Eligibility Records Records of verification by intercollegiate athletics of student athletes' academic. CY + 6 yrs. Destroy
Competition Record Forms Records of individual games and competitions. CY + 6 yrs. Destroy
Game Arrangement Records Records of arrangements made for and the schedules of past games. CY + 5 yrs. Destroy
Game Statistics Records of playing and attendance statistics pertaining to each game and the season for each sport by playing year. CY + 6 yrs. Archival Review
Individual Athletes Records Records of the athletic history of each athlete who has competed at the institution. CY + 6 yrs. Archival Review
Insurance Records Records of medical treatment services rendered off campus for practice or playing related injuries or illnesses which are elgibile for partial payment by institutional athletic insurance. Laast year of enrollment + 7 yrs. Destroy
NCAA / NAIA Compliance Records Athletics compliance records CY + 6 yrs. Destroy
Sports Merchandising Records Records of the sale of institutional and NCAA or NAIA-licensed merchandise at sporting events. CFY + 4 yrs. Destroy
Student Athletes Academic Advising Records Records of academic advising of prospective and current student athletes. Last year of enrollment + 6 yrs. Destroy
Student Athletes Medical Records Records of the medical history of each athlete before and during his/her attendance at the institution. Last year of enrollment + 7 yrs. Destroy

 

Libraries, Archives, Museums, and Other Collections Records

Record Description Retention Disposition
Appraisal Records Records of monetary value appraisals completed by private parties for artifacts, objects, and collections held by the institution. Active Permanent
Collection Records Collection records, including acquisition documentation, deeds of gift, and copyright information for items in institutional repositories which are used for research purposes. Active Permanent

 

Safety and Security Records

Record Description Retention Disposition
Incident and Injury Records Records maintained by the institution of incident, injury or accident. Final disposition + 3 yrs. Destroy
Chemical and Hazardous Waste Disposal Records Records of the receipt, shipment, and disposal of chemical material or hazardous wastes on campus. Event + 30 yrs. Destroy
Emergency Plans and Procedures Records related to emergency planning, and to response and recovery procedures, including reestablishment of data and other services. Until superseded + 1 yr. Destroy
Radiation Records Records of the licensing of the institution by federal, state, and local agencies to receive, use, store, dispose of, and ship radioactive materials. Records of receipt, handling and disposal of radioactive materials. Active Permanent

 

Student Records

Documents for Applicants Who Do Not Enroll - Admission Documents

Record Description Retention Disposition
Admission letters Notices of admission, waitlist and denial Intended Term of Enrollment + 1 Destroy
Correspondence, relevant   Intended Term of Enrollment + 1 Destroy
Waivers of rights of access (admissions) Waiving right of access to admission letters of recommendation Intended Term of Enrollment + 1 Destroy

 

Documents for Applicants Who Do Not Enroll - Application Materials

Record Description Retention Disposition
Applications for admission or re-admission Admission application such as undergraduate, graduate, international or non-degree/special admittance Intended Term of Enrollment + 1 Destroy
Credit by examination Reports/scores on Advanced Placement, CLEP, PEP, etc. Intended Term of Enrollment + 1 Destroy
Entrance examination reports/test scores Standardized test scores, such as ACT/SAT, LSAT, MCAT, GRE, TOEFL Intended Term of Enrollment + 1 Destroy
Medical Records i.e., immunization records Intended Term of Enrollment + 1 Destroy
Letters of recommendation (admissions)   Intended Term of Enrollment + 1 Destroy
Military Documents   Intended Term of Enrollment + 1 Destroy
Placement test records/scores   Intended Term of Enrollment + 1 Destroy
Residency classification forms   Intended Term of Enrollment + 1 Destroy
Test Scores (other)   Intended Term of Enrollment + 1 Destroy
Transcripts (high school)   Intended Term of Enrollment + 1 Destroy
Transcripts (other colleges)   Intended Enrollment + 1 Destroy

 

Documents for Applicants Who Do Not Enroll - International Student Documents

Record Description Retention Disposition
Alien Registration Receipt Card Evidence of admissibility as a permanent residency Intended Term of Enrollment + 1 Destroy
DS-2019 Certificate of eligibility for J1 visa status (formerly IAP-66) Intended Term of Enrollment + 1 Destroy
Employment Authorization (work permit), if granted   Intended Term of Enrollment + 1 Destroy
I20 Certificate of eligibility for F-1 visa status Intended Term of Enrollment + 1 Destroy
I94 Card (copy) Document issued to nonimmigrants; also known as Arrival Departure Record Intended Term of Enrollment + 1 Destroy
Passport number   Intended Term of Enrollment + 1 Destroy
Statement of Educational Costs Estimate of total school year costs Intended Term of Enrollment + 1 Destroy
Statement of Financial Responsibility Evidence of adequate financial resources Intended Term of Enrollment + 1 Destroy

 

Admissions Records for Applicants Who Enroll - Admission Documents

Record Description Retention Disposition
Admissions letters (including those programs with a separate admissions process from the general application) Notice of admission, denial, or waitlist Last year of enrollment + 5 Destroy
Correspondence (relevant)   Last year of enrollment + 5 Destroy
Waivers of rights of access (admissions) Waiving right of access to admission letters of recommendation Last year of enrollment + 5 Destroy

 

Admissions Records for Applicants Who Enroll - Application Materials

Record Description Retention Disposition
Applications for admission or re-admission Admission application such as undergraduate, graduate, international, or non-degree/special admittance. First year of enrollment + 5 Destroy
Credit by examination Reports/scores on Advanced Placement, CLEP, PEP, etc. First year of enrollment + 5 Destroy
Entrance examination reports/test scores Standardized test scores, such as ACT/SAT, LSAT, MCAT, GRE, TOEFL Last year of enrollment + 5 Destroy
Medical Records i.e., immunization records Last year of enrollment + 5 Destroy
Letters of recommendation (admissions)   Last year of enrollment + 5 Destroy
Military documents   Last year of enrollment + 5 Destroy
Placement test scores/reports   Last year of enrollment + 5 Destroy
Release from high school or dual enrollment forms   Last year of enrollment + 5 Destroy
Residency classification forms   Last year of enrollment + 5 Destroy
Test scores (other)   Last year of enrollment + 5 Destroy
Transcripts (high school)   Last year of enrollment + 5 Destroy
Transcripts (other colleges)   Last year of enrollment + 5 Destroy

 

Admissions Records for Applicants Who Enroll - International Student Documents

Record Description Retention Disposition
Alien registration receipt card Evidence of admissibility as a permanent resident Last year of enrollment + 5 Destroy
DS-2019 Certificate of eligibility for J1 visa status (formerly IAP-66) Last year of enrollment + 5 Destroy
Employment Authorization (work permit), if granted   Last year of enrollment + 5 Destroy
I-20 Certificate of eligibility for F-1 visa status Last year of enrollment + 5 Destroy
I94 Card (copy) Document issued to nonimmigrants; also known as Arrival Departure Record Last year of enrollment + 5 Destroy
Passport number   Last year of enrollment + 5 Destroy
Statement of Educational Costs Estimate of total school year costs Last year of enrollment + 5 Destroy
Statement of Financial Responsibility Evidence of adequate financial resources Last year of enrollment + 5 Destroy

 

Student Academic Records - Academic Program Records

Record Description Retention Disposition
Academic advisement records   Last year of enrollment + 5 Destroy
Academic warning Notice of academic action related to academic non-performance/deficiency Last year of enrollment + 5 Destroy
Academic suspension Notice of academic action related to academic non-performance/deficiency Last year of enrollment + 5 Destroy
Academic dismissal Notice of academic action related to academic non-performance/deficiency Last year of enrollment + 5 Permanent
Academic integrity code violations (with sanctions) Notice of violation of academic integrity policies including sanctions, if any Last year of enrollment + 5 Permanent
Academic Records (miscellaneous) Narrative evaluations, competency assesments, etc. Last year of enrollment + 5 Permanent
Correspondence (student) Related to academic records, inquiries Last year of enrollment + 5 Destroy
Disciplinary action records Grade or program actions, notice of sanctions related to personal conduct Last year of enrollment + 5 Destroy
Grievance/ complaint (by student) Various course/exam related issues, not grade or FERPA disputes. Last year of enrollment + 5 Destroy
Leave of absence   Last year of enrollment + 5 Destroy
Major changes, certification of 2nd majors, minors   Current Term + 1 Destroy
Petitions (academic) Exceptions to academic rules Last year of enrollment + 5 Destroy
Thesis/Dissertation   Active Permanent
Transcripts Permanent academic record Active Permanent

 

Student Academic Records - Certification/Verification Records

Record Decription Retention Disposition
Enrollment verifications Verifications of enrollment, graduation, GPA, and other related academics Current Term + 1 Destroy
Residency verification records Documents in support of verifying residency in state for tuition purposes Last year of enrollment + 3 Destroy
Teacher certifications   Last year of enrollment + 3 Destroy
Transcript requests (student) Official transcript requests by student Submission + 1 Destroy
VA certification records Certifying documents for federal VA benefits Last year of enrollment + 3 Destroy

 

Student Academic Records - Degree and Certificate Records

Record Description Retention Disposition
Application for degree or other credential Degree application, record of degree name, etc. Last year of enrollment + 3 Destroy
Degree audit records Degree audits in support of graduation clearing Last year of enrollment + 3 Destroy
Graduation Lists List of graduates for graduating class Active Permanent
Substitution/waivers Approvals to meet program requirements with administrative action Last year of enrollment + 3 Destroy

 

Student Academic Records - Grade and Scholarship/ Deficiency Records

Record Description Retention Disposition
Exams (final)/graded coursework   Date of course completion + 1 Destroy
Grade appeal/complaint Student final grade disputes CY + 1 Destroy
Grade book (faculty) Record of students in course and work completed Date of course completion + 5 Destroy
Grade change forms Record of authorization to change grade Last year of enrollment + 5 Destroy
Grade reports (midterm) Record of midterm grades submitted by faculty Current term Destroy
Grade submission sheets/data Original record of grades submitted at end of term Active Permanent

 

Student Academic Records - Miscellaneous Records

Record Description Retention Disposition
Name change authorizations   Last year of enrollment + 5 Destroy
Personal data information forms Change of address, race/ethnicity questionnaires, and other demographic data Last year of enrollment + 5 Destroy
Transfer credit evaluations   Last year of enrollment + 5 Destroy

 

Student Academic Records - Registration and Enrollment Records

Record Description Retention Disposition
Class Schedules (students) Student schedules for each term Last year of enrollment + 5 Destroy
Class lists Record of class rosters for each term CY + 5 Destroy
Course repeat form/approval   Last year of enrollment + 5 Destroy
Credit/no credit, audit, or pass/no pass approvals Authorization for various enrollment options Submittal + 3 Destroy
Enrollment changes Record of student add/drop/withdraw from class Submittal + 3 Destroy
Registration/enrollment records Initial registration forms, current enrollment records CY + 3 Destroy
Withdrawal/cancellation of enrollment records Record of request to withdraw from all classes CY + 3 Destroy

 

Publications, Statistical Data, and Institutional Reports

Record Description Retention Disposition
Catalogs Published annually or bi-anually, record of courses, degrees, and programs of study offered Active Permanent
Commencement programs Published record of graduates for public distribution Active Permanent
Degree statistics Record of degrees granted by institution per graduation term and/or annually Active Permanent
Enrollment statistics Per term report of enrolled students, e.g., by class, by course totals, headcount and FTE Active Permanent
Grade distribution and other grade statistics Report of grades given, including summary grade point statistics by class Active Permanent
Instructor evaluations (by students)   CY + 1 Destroy
Race/ethnicity reporting Report of student enrollment, graduation, and other metrics by race and ethnic origin Active Permanent

 

FERPA records

Record Descriptions Retention Disposition
Requests for formal hearings Student - initiated request for formal hearing regarding amendment of education record Same as education record at issue Same as education record at issue
Requests for and disclosures of personally identifiable information Necessary for comopliance with recordkeeping requirements in FERPA Same as PII at issue Same as PII at issue
Requests for nondisclosure of directory information Student request to opt-out of directory information discolsure Active Permanent, or until the request is terminated by student
Statements on content of records regarding hearing panel decisions If student request for amendment of record is not granted, then student statement must be maintained in the record, and disclosed whenever the record is disclosed Same as education record at issue Same as education record at issue
Written consent for records disclosure Student signed (electronic or paper) authorization for disclosure of education record Same as education record at issue Same as education record at issue
Waivers for rights of access Covers confidential letters and statements of recommendations related to the student's admissions; application for employment; or receipt of an honor or honorary recognition (section 99.12(b)(3)) Same as education record at issue Same as education record at issue
Written decisions of hearing panels Decisions resulting from formal hearings regarding amendment of education records Same as education record at issue Same as education record at issue

 

Federal Disclosure Records

Record Description Retention Disposition
Athletic Participation/EADA documents   Date of required disclosure + 3 Destroy
College Costs, accreditation, textbook information, transfer credit policy Complies with Higher Education Opportunity Act Date of required disclosure + 3 Destroy
Crime Statistics/ Security Reports Complies with Clery Act reporting requirements Date of required disclosure + 3 Destroy
Graduation/completion, Transfer-out Data Complies with Student Right-to-Know legislation Date of required disclosure + 3 Destroy
Institutional information (Cost of attendance, withdrawal procedures, accreditation, etc.)   Date of required disclosure + 3 Destroy

 

Miscellaneous

Record Description Retention Disposition
Services to Students with Disabilities Records Records of student participation in the services to students with disabilities program. Active Permanent
Student Organization Administrative Records Records of the history, development, and policies of campus student organizations CY + 5 yrs. Archival Review