Retention Schedule University Records Management

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A record series is a group of related records filed and/or used together as a unit and therefore evaluated as a unit for retention and disposition purposes. A records retention schedule is a comprehensive list of record series, indicating for each the length of time the series is to be maintained.

Responsibility

All employees are responsible for ensuring that records are managed in accordance with University policies and in compliance with applicable federal and state laws. The same safeguards and controls over information stored electronically apply to information created and maintained in paper form. Departments will retain records according to the University Retention Schedule.

Exceptions

The University Retention Schedule is subject to the exceptions listed below:

  • A litigation hold has been implemented which specifies records that must be retained beyond their scheduled retention period and the period for which they must be retained.
  • Whenever contractual requirements exceed the retention periods listed on the University Retention Schedule, such records must be retained in accordance with the records retention requirements of the contract.
  • The records are subject to an audit that has not been completed.
  • Other exceptions to the University Retention Schedule which have been submitted directly to and approved by the University Records Manager.

Academic Records

Academic Records
Record Series Description Retention Citation
Academic Rules and Regulations (ACA-002) Publication (printed within the University catalog) governing graduate and undergraduate students University Senate copy: Permanent; Department copy: 0 after no longer needed n/a
Class Lists (ACA-003) Lists of students enrolled in academic courses Current academic year plus 1 year n/a
Course Descriptions and Syllabi (ACA-004) (Note: Academic departments may want to designate selected course descriptions/syllabi as historically significant and send the records to Archives for permanent retention if the course is cutting edge, employs new teaching methodology, or reflects a change in the department's development) Information on individual courses taught, including but not limited to course descriptions, syllabi, reading lists, handouts, and assignments Current academic year plus 7 years New York Civil Practice Law and Rules § 213
Curriculum Change - Academic Course (ACA-006) Records and reports relating to the development of or change to academic course 0 after no longer needed n/a
Curriculum Change - Academic Program (ACA-005) Records and reports relating to the development of or change to academic program including letter and materials submitted to NYS Education Department for registration Permanent n/a

Administrative Records

Administrative Records
Record Series Description Retention Citation
Client Files - Medical/Clinical (ADM-002/003) Files for individuals receiving services, including but not limited to counseling, therapy, rape and substance abuse, employee assistance, and clinical services Adult: 10 years after discharge or last visit; Minor: 10 years after child attains age 18 False Claims Act (31 USC 3729)
Client Files - Non-Medical/Clinical (ADM-004) Files for minors enrolled in early education and/or child care services 10 years after child attains age 18 False Claims Act (31 USC 3729)
Collection Administrative Files (ADM-061) Records documenting the appraisal, accessioning, deposit or donation of materials Permanent n/a
Computer Recycling Form (ADM-005/055) Form used for recycling obsolete electronic equipment Purchasing copy: Current fiscal year plus 7 years; Department copy: Current fiscal year plus 1 year n/a
Correspondence (ADM-062/ 063/064/065) Correspondence between individuals, departments or external parties Policy-related: Permanent; Contractual or financial: 7 years after obligation ends; NYS DOH and DEC: Current fiscal year plus 3 years; Transitory: 0 after no longer needed n/a
Equipment Inventory Records (ADM-008/009) Cumulative list of major equipment (cost $5000 or more) owned, leased, or in the care, custody or control of the University, updated and distributed to departments Property Management copy: Current fiscal year plus 7 years; Department copy: Until superseded n/a
Excess Property Disposal Form (ADM-013/014) Form documenting department property to be disposed of through Excess Property Excess Property copy: Current fiscal year plus 7 years; Department copy: Current fiscal year plus 1 year New York Civil Practice Law and Rules § 213
Food Program Records (ADM-052) Files relating to meals served as part of the Federal Assistance Program 3 years after submission of final expenditure report to USDA 7 CFR 3015.21-.22
Handbooks and Office Manuals (ADM-067/068) Handbooks, manuals, and other training materials University-generated: until superseded; Non-University-generated: 0 after no longer needed n/a
Meeting Minutes and Agendas (ADM-072/073) Agendas and minutes of meetings Chair copy: Permanent; Distribution copies: 0 after no longer needed n/a
Membership Files (ADM-021) Records and reports relating to memberships in organizations associated with the University 7 years after termination of membership New York Civil Practice Law and Rules § 213
Parking Client Files (ADM-022) Records relating to parking services provided to employees and students, including but not limited to applications, permits, and violations 7 years New York Civil Practice Law and Rules § 213
Postal Records (ADM-020) Documentation of mail sent/received including returned registered or certified mail card, or receipt and insurance receipt Current fiscal year plus 1 year n/a
Reports (ADM-023/024/025) Daily, weekly, monthly, quarterly, annual, or other periodic report Final or Annual: Permanent; Contractual or Financial: Current fiscal year plus 7 years; Transitory: 0 after no longer needed n/a
Room Reservation Files (ADM-037) Records relating to the scheduling or reservation of rooms or facilities 0 after no longer needed n/a
Software (ADM-039) (Note: Please note that software is often governed by a licensing agreement which has a contractual retention of 7 years) Software used in department offices, including any supporting materials 0 after superseded n/a
Subject Files, Administrative (ADM-040/054) Files documenting significant department activities, including policy decisions, actions taken, major events, and involvement with important committees and outside organizations Historically Significant: Permanent; Transitory: 0 after no longer needed n/a
Telephone Call Listings (ADM-042/043) Forms, billing records or lists used to document telephone charges Telecomm-unications copy: 7 years; Department copy: 0 after no longer needed New York Civil Practice Law and Rules § 213
Work Orders (ADM-047) Forms, files and databases used to track requests, including but not limited to ITS Work Order Request; Photo Print Order Form; and Housing and Food Services Work Order Maintenance System records Current fiscal year plus 1 year n/a

Financial Records

Financial Records
Record Series Description Retention Citation
Budget Records - Department Copy (FIN-013) Records relating to annual budget process including printouts and supporting documentation Current fiscal year plus 3 years n/a
Federal Audit Papers (FIN-025) Papers used for Guaranteed Student Employment (i.e. Work-Study Program) 7 years 34 CFR § 668.24(e); NY CPLR § 213
Interdepartmental Orders (ID) (FIN-014/015/016) Forms used to purchase items or services from another University department Disbursements: Current fiscal year plus 7 years; Servicing department: Current fiscal year plus 1 year; Ordering department: Current fiscal year plus 1 year n/a
Invoices (Paid) (FIN-017) Invoices for items received and paid for, other than the University purchasing system Current fiscal year plus 7 years n/a
Payroll Deduction Authorizations (FIN-024) Employee payroll deduction authorizations, including but not limited to W4's and direct deposit forms 2 years from date of record or 2 years following an involuntary termination Title VII; ADA: U.S. EEOC Regulation - 29 CFR § 1602.49; 29 CFR § 1602.14
Procurement Card Statements (FIN-018) Monthly billing statements from bank detailing charges by individual cardholders Current fiscal year plus 7 years n/a
Purchase Requisitions (FIN-019/020) Forms used to purchase supplies, equipment or services Purchasing copy: 7 years after order filled; Department copy: Current fiscal year plus 1 year n/a
Travel Vouchers (FIN-022/023) Forms and supporting material used to request travel advances or to substantiate travel expenses for reimbursement Disbursements copy: Current fiscal year plus 7 years; Department copy: Current fiscal year plus 3 years n/a

Legal Records

Legal Records
Record Series Description Retention Citation
Athletic Injury Records (LEG-038) Accident reports, annual insurance questionnaires, notes, claim forms, related documentation and information on injury cases of $25,000 or more with ongoing activity 7 years after graduation or date of last attendance New York Civil Practice Law and Rules § 213
Audit Records (LEG-036/037) Records of audit generated by auditing agency Internal Audit copy: 15 years after completion of audit; Department copy: 1 year after completion of audit n/a
Conflict of Interest/Commitment Questionnaire (LEG-029/030/031) Form completed annually by members of the Board of Trustees and all full-time and regular part-time faculty and staff, except for those represented by a labor union, indicating potential conflicts of interest between personal or outside interests or activities and those of the University Audit and Management Services/Trustee Relations: 7 years from date of execution of form; Office of Research: 7 years from termination of grant or end of conflict; Department: Current year plus 1 year n/a
Records Management Forms (LEG-034/035) Deposit and destruction forms used for storage of records and files in University Records Center Records Management copy: Permanent; Department copy: 1 year after destruction of records n/a
Subpoenas and Court Orders (LEG-025) Federal or State subpoenas, court orders and related documentation pertaining to students or employees 7 years New York Civil Practice Law and Rules § 213

Personnel Records

Personnel Records
Record Series Description Retention Citation
Alternate Job Transaction Form (AJT Form) (PER-033/034) Form (HR 130a) used to record employee job event such as hire, pay rate change, change in account distribution or termination that cannot be processed via iJAN Human Resources: 2 years; Department: 0 after no longer needed Equal Pay Act U.S. Equal Employment Opportunity Commission Regulation - 29 CFR § 1620.32 (b) and (c); Title VII; ADA; U.S. EEOC Regulation - 29 CFR § 1602.14
Benefit Records (PER-001/002/003) Employee benefit records including applications and signed enrollment cards, retirement records, and death claim files Incident File: 7 years after resolution; Death Claim File: 21 years after death of employee; Retiree/TIAA File: 80 years after retirement n/a
COBRA* Files (PER-048) (* Consolidated Omnibus Budget Reconciliation Act of 1985) COBRA files documenting continuance of medical and dental coverage after termination of employee 7 years after end of eligibility NY Civil Practice Law and Rules § 213
Demographic Action Notice (DAN Form) (PER-004/005) Human Resources form used to enter all demographic information about new hire or rehire, or to update an employee's personal information based on a life event Human Resources: 2 years after record produced; in case of voluntary termination, the record should be retained 2 years following termination; Department: Until information is verified on-line Title VII; ADA; U.S. EEOC Regulation - 29 CFR § 1602.49; 29 CFR § 1602.14
EEO 01 Report (PER-049) Equal Employment Opportunity Standard Form 100, known as the EEO 01 Report, showing ethnic groupings employed 5 years after filing with Equal Employment Opportunity Commission 29 CFR § 1607.4; § 1602.48
EEO 06 Report (PER-050) Institutional profile of workforce by occupation, race, sex, personnel activity (hires, fires, transfers, promotions) 5 years after filing with Equal Employment Opportunity Commission 29 CFR § 1607.4; § 1602.48
Employee Assistance Files (PER-047) Files containing information shared between client and counselor during sessions 7 years from date of last contact (ADA); 42 USC § 12101; 29 CFR § 1630.14(d)(1)
Employee Grievance Records (PER-006/007) Records and reports relating to employment-related complaints filed within the University, either directly or through an outside agency External Agency: 4 years in office after close of case; Internal: Permanent n/a
Employment Verifications (PER-009) Written verifications of employment (i.e., job title, employment dates, salary, etc.) for current and former employees for lending institutions, provided to governmental agencies, lawyers, and prospective employers 1 year Title VII; ADA;.U.S. Equal Employment Opportunity Commission Regulation - 29 CFR § 1602.49, 29 CFR § 1602.14
Faculty Promotion and Tenure Review (PER-011) Materials relating to the tenure and/or promotion process for faculty 7 years from close of review New York Civil Practice Law and Rules § 213
I-9 Form (PER-012) Employment Eligibility Verification form [1-9] required by employees hired after November 1986 to prove they are entitled to work in the United States 3 years from date employment begins or 1 year after employment ceases, whichever is greater n/a
Insurance Claim Records - Unemployment Insurance (PER-046) Unemployment insurance claims filed listing last day of work, reason for leaving and earnings for prior year. 3 years 29 CFR § 1602.48; § 1602.49
Insurance Premiums (PER-051) Records and reports relating to insurance premiums paid by the University and its employees 7 years 29 USC § 1027; NY CPLR § 213
Job / Position Data Files (PER-013) Descriptions of positions used for initial classification and evaluation and for re-classification 2 years after classification description approved n/a
Job Action Notice (IJAN Form) (PER-014/015) Form used to record an employee job event such as hire, pay rate change, change in account distribution or termination Human Resources: 2 years; Department: 0 after no longer needed Equal Pay Act U.S. Equal Employment Opportunity Commission Regulation - 29 CFR § 1620.32 (b) and (c); Title VII; ADA; U.S. EEOC Regulation - 29 CFR § 1602.14
Job Opportunities (PER-052) Online listing of open employment positions 3 years (ADEA); 29 CFR § 1627.3(b)
Performance Reviews (PER-016/017) Documentation of an employee's annual performance Human Resources: 7 years after termination; Department: 0 after termination n/a
Personnel Applications (PER-018) Non-faculty and professional applications for positions 2 years from date of making personnel action or record involved, whichever is later (ADEA) 29 CFR § 1602.49
Personnel Files - Faculty and Staff (PER-010/019/035) Personnel files maintained on University faculty and staff, including annual performance reviews Faculty: Permanent; Staff: (HR) 7 years after termination; Department copy: 0 after no longer needed n/a
Personnel Files - Student Employee (PER-028/029/030) File maintained on student employed by the University Human Resources: 7 years after end of employment; Residence Life resident advisor files: 5 years; Department: 1 year after student terminates employment with department n/a
Personnel Files - Trustees (PER-036) Personnel files maintained on University trustees, including but not limited to correspondence, clippings, biographical statements, Development information, and photographs Permanent n/a
Position Approval Memo (PAM Form) (PER-021) Human Resources form used to request new positions or to update existing positions Current fiscal year plus 3 years Equal Pay Act U.S. Equal Employment Opportunity Commission Regulation - 29 CFR § 1620.32 (b) and (c); Title VII; Americans with Disabilities Act; U.S. Equal Employment Opportunity Commission Regulation - 29 CFR § 1602.49
Search Files (PER-022/023) Files created when search is underway to fill a position, often involving a search committee Human Resources: 5 years after close of search; Department: 4 years after close of search n/a
Time Sheets (PER-045) Forms used to document time worked by non-exempt and student employees Current fiscal year plus 7 years 29 CFR § 516.5; 34 CFR 668.24

Student Records

Student Records
Record Series Description Retention Citation
Examinations - Proficiency/Placement (STU-019) Student responses to proficiency and placement examinations 1 year after close of academic year n/a
Examinations and Term Papers (STU-011) Examinations, tests, quizzes and term papers completed or written by students 1 year after close of academic year n/a
Grade Reports (STU-015/016) Form maintained by departments and used to report grades to Office of the Registrar Registrar: Permanent; Department: Current fiscal year plus one year from last day of semester n/a
Student Records, Graduate and Undergraduate (STU-030/031/032/033) Records maintained on graduate and undergraduate students who have applied to and/or attended the university Registrar: Permanent; University College: 20 years after date of last attendance; Department: 7 years after date of last attendance; Admitted but not enrolled: 1 year