Record Retention Schedule | Compliance, Ethics, and Regulatory Affairs

InfoCaution!

A record may not be destroyed if there is any action pending against it. Even if a record meets retention requirements, it may not be destroyed if any litigation, claim, negotiation, audit, information request, administrative review, or other action involving the record is initiated until the completion of the action and the resolution of all issues that might arise from it.

Category	Document/Record	Description of Documents/Records	Basis for Retention Requirement	Retention Period
Auxiliary Services	Abandoned Vehicle Stickers	These records are used to track how long a vehicle has been abandoned.	RDA 5.29	Retain abandoned vehicle information for 3 years
Research	Abstracts of Research Publications	Records document publication abstracts	RDA 6.05	Retain 5 years
Academic Affairs	Academic Counseling Records	These records document individual students assisted by the university academic counseling service.	RDA 4.02	Retain for 5 years after termination of enrollment
Student Affairs	Academic Scholarship Awards Records	These records document the application for, and award of scholarships to students and include correspondence, applications, recommendations, grade listings, statements of need, accounting records, and approvals or disapprovals.	RDA 4.04	Retain 3 years after the end of the fiscal year in which the records are created
Public Safety	Accident Logs	Logs of accidents responded to by University Police	RDA 5.11	Retain 3 years
Financial Records	Accounting Records	Documentation consists of the finance activity in Banner and the supporting documentation in the imaging system. Series includes records of original entry such as journals, registers, and subsidiary ledgers. Series documents receipts and disbursement of funds by the University. These records would also encompass grant and gift transactions.	RDA 8.07	Retain 1 year after completion of audit Grant Records: Retain 6 years after submission of the final report
Financial Records	Accounts Payable/Check Voucher Package/Travel Records	Series consists of supplier/vendor invoices submitted for payment and documentation associated with supplier/vendor payments including purchases of equipment. Encompasses any travel documentation that is included with the travel voucher.	RDA 8.08	Retain 1 year after audit. UA retains these records for 10 years
Financial Records	Accounts Receivable (Unpaid)	UA Aging Report and collection documentation. Series documents overdue accounts such as tuition and fee accounts, library fines, parking tickets, loan payments, or payments for services rendered and include past due accounts receivable, bad debt actions, and delinquent action reports.	RDA 8.16 and a Perkins requirement	Retain 1 year after audit. UA retains these records for 3 years after the end of the fiscal year of settlement of the unpaid account
Academic Affairs	Accreditation Records (Assessment/Self-Study Reports)	This series consists of reports and supporting information documenting the process of becoming accredited and/or activities associated with reporting and/or confirming accreditation by professional, licensing, and certifying associations	RDA 7.08	Final Assessments/Self-Study Reports and Responses – Permanent Records Other records retain until completion of next accrediation review
Administration/Business Records	Administrative Reference Files/Working Papers/Preliminary Reports and Data/Informal Surveys	These records are created to assist in the completion of projects and/or reference and are usually only needed for a short period of time.	RDA 7.17	Retain for useful life.
Equal Opportunity	Affirmative Action Plans	A plan or program that outlines a federal contractor or subcontractor’s efforts to provide equal employment opportunities and generally support the advancement of employees regardless of gender, race, disability, or veteran status.	29 CFR 1602.48	5 Calendar Years. UA Compliance Reviews Disposition: Retain 25 years. Other records dispositons: Retain 5 years after resolution of charges and final disposition of the case.
Equal Opportunity	Affirmative Action Position Applicant Files	Records of documentation of actions taken to follow affirmative action procedures for university openings	RDA 9.03	Retain 1 year after completion of audit. UA retains 3 years after end of the fiscal year in which the record was created.
Equal Opportunity	Affirmative Action/Equal Employment Opportunity Case Files	These records concern charges or complaints made against the university relating to violations of affirmative action or equal employment opportunity regulations.	RDA 9.02	A. Review Records: Retain 25 years B. Other records: Retain for 5 years after resolution of charges and final disposition of the case.
Public Safety	Alabama Criminal Justice Information System (CJIS) Printouts	Series includes printouts of information from the CJIS system	RDA 5.18	Retain 1 month
Student Affairs	Alabama G.I. and Dependent’s Educational Benefits Records	These records document the award of Alabama G.I. and Dependent’s Educational Benefits Program funds to university students who are the dependents of a disabled or deceased Alabama veteran or an individual who is a disabled veteran.	RDA 4.06	Retain for 8 years from date of certification of eligibility.
Student Affairs	Alabama National Guard Educational Assistance Program (ANGEAP) Records	These records document the award of ANGEAP funds to university students who are active members of the Alabama national guard.	RDA 4.08	Retain for 5 years after the date of certification of application.
Public Safety	Alabama Uniform Traffic Accident Reports (AUTAR)	Documents all traffic accidents that occur within university police jurisdiction and contain information on time and location of accident, description of the drivers and vehicles involved, victim information, narrative and diagramed description, roadway description, and witness information. This report would also document if the traffic accident resulted in a fatality.	RDA 5.09	Retain 5 years
Health and Safety	Alcohol Breath-testing Instrument Inspection Sheets	These records document the inspection of alcohol-breathing instruments.	RDA 5.33	Retain until disposition of alcohol breath-testing instrument.
Employment Records	Americans with Disabilities Act	Consists of the Employee Accommodation Request Form and the Medical Provider Inquiry Form in Response to an Accommodation Request	29 CFR 1602.14	Retain a period of one year from the date of the making of the record or the personnel action involved, whichever occurs later
Administration/Business Records	Annual Reports (Includes university, school/college, and unit reports)	These records document activities by the university and each unit.	RDA 7.09	Permanent
Intercollegiate Athletics	Athletic Injury Records	These records document injuries to university athletes and athletics staff as well as to members of intramural teams. These records include accident reports, medical records, x-rays, photographs, affidavits, correspondence, billing information, and other related records.	RDA 4.26	A. Medical records: Retain 10 years. B. Non-medical records: Retain 5 years
Intercollegiate Athletics	Athletic Scholarship Awards Records	These records document athletic scholarship awards to students and may include correspondence, applications, recommendations, grade listings, accounting records, and approvals or disapprovals.	RDA 4.05	Records of Awarded Scholarships: Retain 6 years after receipt. Records of Scholarships Not Awarded: Retain 3 years
Intercollegiate Athletics	Athletics Case Files/Infractions Files	These records document the investigation of suspected/confirmed infractions of rules and regulations.	RDA 4.28	Files of Substantiated Allegations: Permanent Files of Unsubstantiated Allegations: Retain 6 years after closure.
Financial Records	Audit Records-External and Internal	These records are created by university, state or independent auditors to document their audits.	RDA 8.12	Final Report and Responses: Retain 6 years after the end of the fiscal year in which the records were created. UA: Retains final reports permanently Other Records: Retain 1 year after completion of audit.
Research	Audit Records-External and Internal	Series includes audits conducted by external funding agencies or internal audit applicable to sponsored projects.	RDA 8.12	Final Report and Responses: Retain 6 years after the end of the fiscal year in which the records were created. UA:Retains Final Reports permanently. Other Records: Retain 1 year after completion of audit.
Financial Aid	Authorization/Allocation Letters	Series documents awards of federal financial aid to the university.	RDA 8.22	7 years
Employment Records	Background Check Files	This series consists of requests for, and results of, criminal and other background checks on employees. This series must be kept separate from the employee file and housed in a secure location. No records of background checks should be kept at the college or department level.	University Procedure	If hired – file with personnel file; If not hired – retain 3 years
Financial Records	Bank Statements	Bank statements and related reconciliation documentation.	University Procedure	7 years
Administration/Business Records	Bid Process Records	Documentation related to bid process, including requests for proposals and unsuccessful proposals.	University Policy; Code of Alabama 1975, Section 41-16-24; and RDA 8.10	A. Sealed Bids: Permanent B. Other Bids: Retain for 10 years after award of contract.
Research	Billing Records-Subcontractor	Series consists of subcontractor information regarding billing and includes monthly reconciliation records, invoices, and correspondence.	University Procedure	Retain 6 fiscal years after the contract has closed or 6 years after the submission of the final grant report to the sponsor, whichever is greater.
System Records	Board of Trustees Records	These records may include meeting agenda minutes, reports and proposals, as well as the award of honorary degrees and citations.	RDA 7.01	Permanent
Financial Records	Bond Documents	Series consists of all financial documents related to bonds issued by UA. Finance records include the bond transcripts and accounting activity on the Banner construction fund.	Internal Revenue Code; USC 26-1.6001.1(e) and Section 148 and 8.11	Retain 3 years beyond the final redemption date of the bond repayment terms.
Financial Records	Budget Records	Documentation related to preparation of budgets maintained in the University’s budget model system and any approved budget modification requests. Budget revisions are maintained within Banner using electronic approvals. Any supporting documentation is maintained in imaging.	RDA 8.05	A. University Budget: Permanent B. Other Records: Retain 1 year after audit. UA retains for 3 years after the end of the fiscal year in which the records were created.
Campus Development/Construction	Building Plans and Drawings	These records document the physical structure of campus buildings.	RDA 10.05	Retain for useful life. Prior to disposition, check with University Archives for possible extended retention.
Auxiliary Services	Campus Parking Tickets	Documents citations issued and the administrative enforcement of parking rules and regulations. Information also available includes date and time, vehicle information, and violation.	RDA 5.04	Citations are never purged and remain accessible through historical data. (UA procedure)
Financial Records	Cash Register Receipt Detail Tapes	These records are used to verify the cash register receipts.	RDA 8.03	Retain 1 year after completion of audit.
Academic Affairs	Changes of Course	(Drop/Add). These records document the student’s change of courses.	RDA 3.07	Retain 1 year.
Academic Affairs	College /Department Student Academic Files and Grade and Course Credit Records	These records document individual students in individual colleges and department offices and include grade change documentation, advanced credit posting authorizations, and student teaching program and certification records.	RDA 3.01	Retain 5 years.
Academic Affairs	Comprehensive Examination Records	These records document a student’s grades on comprehensive exams.	RDA 3.09	Retain 5 years.
Auxiliary Services	Confiscated/Abandoned/Stored Vehicle Records	Documents the activities related to the confiscation and removal of abandoned vehicles.	RDA 5.21	Retain 3 years
Administration/Business Records	Construction Contract Records	Series consists of project records related to construction contracts. Records include competitive bid records, leases and other agreements, financial records, and general correspondence.	University Procedure	A. Sealed Bids: Permanent B. Other Bids: 10 years C. Real property leases and capital improvement contracts: Permanent D. Budgets: Permanent E. Vendor Invoices: 7 years after invoice F. General Correspondence: 3 years, then destroy
Academic Affairs	Continuing Education Program Files	These records consist of continuing education program files documenting students enrolled in continuing educational classes.	RDA 3.06	Retain 5 years.
Research	Contracts (Grant related)	University contractual agreements funded by externally sponsored agreements.	RDA 8.09	Grant records retain 6 years after the submission of the final report closing the grant.
Financial Records	Contracts (Non-construction and non-grant related)	University contractual agreements with vendors or other entities for services or personal property. Includes standing contracts and purchase orders.	RDA 8.09	A. Under $10,000: Master record maintained at department-6 years after termination of contract B. Over $10,000: Master record maintained at University Purchasing-6 fiscal years after termination of contract C. Duplicates: Retain until no administrative value exists
Administration/Business Records	Copy of Record Disposition Authority (RDA)	The agency’s copy of the RDA is its legal authority to dispose of its records according to the listed disposition requirements.	RDA 7.25; University Procedure	Retain 1 year after audit in the fiscal year in which the RDA is superseded.
Academic Affairs	Course /Teacher Evaluations	These evaluations are forms that are filled out by students enrolled in the class. The students rate the course and/or teacher. The evaluations are generally summarized in a report, which is used by the university and teacher to improve the course and its presentation.	RDA 2.14	Filled out evaluations: Retain until completion of summary report or 3 years if no report is created. Summary Reports: Retain 3 years
Academic Affairs	Course and Curriculum Records	These records include programs of instruction approval files, class/course schedules, university catalogs/bulletins, and proposals and justifications for new courses and changes to courses.	RDA 2.01	A. Records of Approved Classes: Permanent B. Records of classes not approved: Retain for useful life
Public Safety	Cross Reference Records	Provides a cross-reference or summary of the incidents or offenses involving a single individual and contain personal information and date and type of incident/offense.	RDA 5.34	Retain until no longer useful
Public Safety	Daily Accident and Activity Logs and Reports	Documents the daily activities of officers, which may include police responses to incidents involving non-traffic arrests, fatalities, stolen vehicles, and wanted persons.	RDA 5.16	Retain 2 years
Financial Records	Daily Cash Transmittal Packet (Cash Receipt Records)	Documentation for payments received. May include but is not limited to cash register records, renumbered receipts, ticket records, payment logs, cash journals and cash reconciliation.	RDA 8.03	Retain 1 year after completion of audit
Public Safety	Motorist Assist Tickets	Documents assistance provided by officers.	RDA 5.22 and University Procedure	RDA says retain for 1 year, but UA retains for 5 years
Public Safety	Daily/Monthly Assignment Rosters	Documents the daily activities and work schedules of the campus police department. They contain information on the officer, shift, car number, mileage, calls responded to, and violations.	RDA 5.17 and University Procedure	RDA says retain for 1 year, but UA retains until separation of employee from the university
Research	Data Management Plan	The data management plan, required by federally funded grants and potentially required by other sources, may include, but is not limited to, such information as to what data is collected, if the data is restricted or publicly available, what information will be provided to the funding institution, and how and where the information will be stored. The data management plan is crucial in providing background documentation of research and results.	University Procedure	Permanent
Administration/Business Records	Davis-Bacon Records	Consists of documents supporting University’s compliance with the Davis-Bacon Act such as certified payroll, on-site interviews, and U.S. Department of Labor email responses to requests for a wage determination on a classification not listed.	29 CFR 5.5 (a)(3)(i) 29 CFR 5.5 (a)(3)(ii)	Retain for 30 years after termination of employment
Employment Records	Department/Unit Personnel Files	Records created by supervisors to document employee performance. They may be duplicated in the employee’s work file.	RDA 9.15	Retain these records as follows: A. Records of final leave status, documentation of salary and employment dates: 25 years after employee separates from University. B. Faculty tenure and promotion files (Not including letter): Retain until completion of formal action and appeal period. C. Other (including faculty tenure and promotion letters): 6 years after employee separates from University.
Employment Records	Disability -Voluntary Self-Identification	Records document and measure the effectiveness of the University’s outreach, recruitment, and other employment practices of persons with disabilities.	OMB No 1250-005	Retain the records specified by these regulations for no less than three years. A. Periodic activity reports: retain for useful life. B. Employee Administrative Hearings: retain 6 years after employee separates from University. C. Training and Professional Develpment files: retain 3 years D. Department/Unit Personnel Files (this series created by supervisors to document employee performance): Retain until employee separates fro University.
Employment Records	Disciplinary Letters-STAFF	This series consists of letters sent or given to employees documenting discipline and may include but is not limited to written warnings, verbal notices, and final letters of discipline.	University Procedure	Maintain in employee personnel file.
Public Safety	Dispatch Records	Documents the dispatch of campus police officers to investigate disturbances or possible crimes	RDA 5.35	Retain 3 years
Academic Affairs	Distance Education Student Record Retention Plans	This agreement between a university and a designated repository may be required by other states for universities that have distance education programs to ensure that students would have access to their records in case the university closes.	University Procedure	Retain until superseded.
Academic Affairs	Documentation of Attendance	These records include last date of attendance reports or similar documentation used to determine compliance with federal loan guidelines.	University Procedure	Retain for 2 calendar years after the end of the semester.
Academic Affairs	Documentation of Grades (Instructor’s Copy)	These records include class rolls, grade sheets, unreturned graded exams, unreturned papers, student e-mail related to grades, and other unreturned student work.	RDA 2.05	Retain for life of appeals process.
Advancement	Donation Files	This series documents the source and amounts of donations.	RDA 8.21	The longest retention period will apply. A. Reports of individual donors: Retain 5 years after last donation. B. Financial information: Retain for 1 year after the fiscal year in which the transaction occurred.
Public Safety	Driving and Criminal History Communication Logs	Documents communications regarding driving and criminal histories	RDA 5.25	Retain 3 years
Intercollegiate Athletics	Drug Dispensing Records	These records document the daily dispensing of drugs by athletic department staff.	RDA 4.24, University Procedure	Retain 6 years
Intercollegiate Athletics	Drug Test Results	These records document the results of drug tests.	RDA 4.32	Retain 6 years.
Equal Opportunity	Employee Administrative Hearing Files	Records document employee administrative hearings	RDA 9.18	Retain 25 years after separation of the employee from the university.
Employment Records	Employee Benefit File – ACTIVE AND TERMINATED	This series of records documents employees benefits, and may include but is not limited to administration of plan, dates employee may be off plan, insurance forms, benefits enrollment and change forms, dependent documentation (birth certificates, bills/bank statements certifying joint residency, marriage licenses, adoption/guardianship paperwork, & divorce decrees), summary of contributions, restoration of benefits, disability information and waivers.	29 USC 1027	Retain 7 years after termination of employment
Employment Records	Employee Benefits Plan Files (applications and correspondence)	Records document employee enrollment in benefits plans.	RDA 9.17	Retain 6 years after termination of participation in program.
Health and Safety	Employee Exposure Medical Record	This series may include but is not limited to hepatitis B status documents, records of hepatitis B exams/testing/correspondence and follow-up, Hepatitis B Vaccination Declination form, HIB and HIV status and exposure forms.	29 CFR 1910.20	Retain 30 years after termination of employment
Employment Records	Employee Leave Records	Documents relating to employee hours worked, leave earned, leave taken, and leave donation.	RDA 9.13	Retain 1 year after completion of audit.
Academic Affairs	Employee Personnel File – FACULTY	This series consists of the master record, held at the Office of the Provost, for the personnel file for academic employees, including faculty, academic professional and administrative staff, professionals in training, and graduate assistants. May include but is not limited to copies of PAF’s (hires, change of status, termination), terminal agreement, sabbatical forms, single quarter or semester forms, notice of appointments, application for employment, recommendations, and promotion and tenure final decision.	University Procedure	Maintained at Office of the Provost: A. Retain the following information for 7 years of employment: -Employee Performance Appraisals -Formal Letters of Discipline (unless purged according to contracts or agreements & including oral warnings, written warnings, and suspensions) -PAFS -Phased Retirement Information -Special Awards and Recognition -Temporary Appointment Letters -Vitas and Letters of Application B. Retain the following information for 30 years after termination of employment: -Employee Earnings Reports
Academic Affairs	Employee Personnel File – FACULTY continued	This series consists of the master record, held at the Office of the Provost, for the personnel file for academic employees, including faculty, academic professional and administrative staff, professionals in training, and graduate assistants. May include but is not limited to copies of PAF’s (hires, change of status, termination), terminal agreement, sabbatical forms, single quarter or semester forms, notice of appointments, application for employment, recommendations, and promotion and tenure final decision.	University Procedure	Maintained at Office of the Provost: A. Retain the following information for 7 years of employment: -Employee Performance Appraisals -Formal Letters of Discipline (unless purged according to contracts or agreements & including oral warnings, written warnings, and suspensions) -PAFS -Phased Retirement Information -Special Awards and Recognition -Temporary Appointment Letters -Vitas and Letters of Application B. Retain the following information for 30 years after termination of employment: -Employee Earnings Reports
Employment Records	Employee Personnel File – FACULTY	The only personnel related file maintained by the Office of Human Resources for FACULTY is the Personnel Action Form. All other personnel related records is the responsibility of the Office of Academic Affairs. (Payroll Records for Faculty are maintained by the Office of Payroll)	University Procedure	Retain 7 years after termination of employment
Employment Records	Employee Personnel File – STAFF	A master file is maintained by the Office of Human Resources for staff employees. May include but is not limited to personnel action forms (hires, transfers, change in status, terminations) performance appraisals, disciplinary letters, corrective counseling forms, W-4s, A-4s.	University Procedure	Retain 7 years after termination of employment
Employment Records	Employee Personnel File-General for all Departments	Series consists of departmental files and includes copies of hiring documents and PAFs. It also may include but is not limited to letters of commendation or recommendation, disciplinary letters and other correspondence.	University Procedure	Retains 7 years after termination of employment
Academic Affairs	Employee Work History-FACULTY	Series consists of the employee’s work history and is generally maintained as a case file and includes records of final leave status, faculty tenure and promotion letters, and faculty service reports).	RDA 9.14	A. Medical Resident’s File: Retain 75 years. B. Records of final leave status, documentation of salary and employment dates: 25 years after employee separates from University. C. Faculty tenure and promotion files (not including letter): Retain until completion of formal action and appeal period. D. Other (including faculty tenure and promotion letters): 6 years after employee separates from University.
Academic Affairs	Employee Work History-FACULTY	Series consists of the employee’s work history and is generally maintained as a case file and includes records of final leave status, faculty tenure and promotion letters, and faculty service reports).	University Procedure	A. Periodic activity reports: Retain for useful life B. Employee Administrative Hearings: 6 years after employee separates from University. C. Training and professional development files: 3 years D. Department/Unit Personnel Files (this series created by supervisors to document employee performance): Retain until employee separates from University.
Academic Affairs	Employee Work History-FACULTY – Medical Residents	Series consists of the employee’s work history and is generally maintained as a case file and includes records of final leave status, faculty tenure and promotion letters, and faculty service reports).	RDA 9.14	Medical Resident’s File: 75 years
Employment Records	Employee Work History-STAFF	Series consists of the employee’s work history and is generally maintained as a case file (includes records of final leave status)	RDA 9.14	Records of final leave status and documentation of salary and employment dates: 25 years after separation of employee from the University.
Academic Affairs	Employment Application Materials – FACULTY (Hired and Not Hired)	Series consists of employment applications received from individuals seeking employment at the University of Alabama through the University’s online application system. May consist of but is not limited to applications for employment, resumes, application supplements, correspondence, background investigations and recommendations.	RDA 9.06 and 29 CFR Pt. 1602	A. Unsolicited resumes/applications: Retain for useful life B. Unqualified applications for open positions: Retain 2 years (29CFR Pt. 1602) C. Application materials for individuals considered for employment but not hired, including background checks: Retain 3 years D. Application materials for hired individuals: File with personnel file. E. Background Checks: If hired, file with personnel file. If not hired, retain 3 years. F. Employment Eligibility Verification Form: Retain 3 years.
Employment Records	Employment Application Materials (Hired and Not Hired)	Series consists of employment applications received from individuals seeking employment at the University of Alabama through the University’s online application system. May consist of but is not limited to applications for employment, resumes, application supplements, correspondence, background investigations and recommendations.	RDA 9.06 and 29 CFR Pt. 1602	A. Unsolicited resumes/applications: Retain for useful life B. Unqualified applications for open positions: Retain 2 years (29CFR Pt. 1602) C. Application materials for individuals considered for employment but not hired, including background checks: Retain 3 years D. Application materials for hired individuals: File with personnel file. E. Background Checks: If hired, file with personnel file. If not hired, retain 3 years. F. Employment Eligibility Verification Form: Retain 3 years.
Employment Records	Employment Eligibility Verification Form: I-9-FACULTY, STAFF & STUDENT EMPLOYEES	Records document the employment eligibility of employees	OMB No. 1615-0047	Retain completed I-9 for all employees for 3 years after the date the employee is hired OR 1 year after the date employment is terminated, whichever is later.
Advancement	Endowment/ Contribution Files	Series documents financial contributions received from donors.	University Procedure	Retain 5 fiscal years
Equal Opportunity	Equal Employment Opportunity Commission (EOC) and Racial/Ethnic Records	Consists of annual and other periodic reports and records provided to the federal and/or state government to ensure equal employment opportunities and to provide racial/ethnic statistical information.	RDA 9.04	A. Review Records: Retain 10 years B. Other Records: Retain 5 years
Administration/Business Records	Equipment Buy-Out/Transfer Records	Series consists of documents detailing the purchase and lease of capital equipment and the transfer of capital and on-capital surplus equipment.	UA University Procedure	Retain 3 fiscal years after the disposal or disposition of the equipment or until no administrative value exists, whichever is greater.
Financial Records	Equipment Capital Leases	Series consists of capital equipment lease agreements as defined by GASB. Non-capital equipment leases for minor equipment (i.e. copiers, printers and other miscellaneous equipment) are maintained as part of the requisition and purchase order documentation in the imaging system.	UA University Procedure	Retain 3 years after the termination of the lease agreement
Administration/Business Records	Equipment Inventory Records	Series consists of annual reports and property disposal forms.	University Procedure	A. Unit copy: 6 fiscal years provided no litigation is pending and no administrative value exists. B. External Sales Contracts: Contracts maintained by University Contracts Office until no administrative value exists.
Administration/Business Records	Facility Maintenance and Upkeep Records	These records document facility maintenance and upkeep activities	RDA 10.06	A. Records for expendable items: 3 years. B. Records for capital items: retain for the life of the building or item.
Employment Records	Family Medical Leave – STAFF	Series consists of the Family and Medical Leave Request Form, Certification of Health Provider for Employee’s Serious Health Condition and the Certification of Health Care Provider for Family Member’s Serious Health Condition	29 CFR 825.500	Retain records specified by these regulations for no less than 3 years.
Research	Federal Appropriation Draws	Documentation supporting the draw down on federal funds used to replenish accounts after expenditures have been incurred.	University Procedure	Retain 5 fiscal years provided applicable audits have been released
Financial Aid	Federal Student Loan Files	These records are created to establish a student’s eligibility for federal loan program awards.	RDA 4.09	Retain 3 years after termination of enrollment.
Financial Aid	Federal Work Study (FWS) and Supplemental Educational Opportunity Grants (SEOG) Records	These records document FWS and SEOG program monies awarded to university students.	RDA 4.10	Retain 3 years after submission of the Fiscal Operations Reports for the award year.
Financial Records	Financial Reports	Consists of copies of computer generated budget and financial reports	University Procedure	Retain until no administrative value remains
Administration/Business Records	First Report of Injury	This series consists of the copy of the First Report of Injury filed by employees who have been injured on the job. Master record maintained at University Worker’s Compensation Department	University Procedure	Retain 3 years beyond the last date of medical treatment on injuries that are superficial in nature and require limited medical care. UA retains 5 years beyond the last date of medical treatment on injuries that involve lost time, surgery, etc., but no disability. UA upon death or 10 years beyond the last date of medical treatment on injuries involving disability.
Financial Aid	Fiscal Operation Reports	Documents the institution’s eligibility to disburse Title IV funds and consists of fiscal operations reports, agreements to participate, and related correspondence	RDA 8.15	7 years
Auxiliary Services	Fleet Activity Reports	These records document activities of university-owned vehicles.	RDA 10.12	Retain 2 years
Student Affairs	Fraternities, Sororities, Greek Council, and Student Organizations/Government Files (does not include financial records or routine correspondence that are listed elsewhere)	These records document the university’s involvement with fraternities, sororities, intramural sports, scholastic teams, and other student organizations including their creation, discipline, and dissolution.	RDA 4.17	Retain for useful life. Prior to disposition, check with University Archives for possible extended retention.
Auxiliary Services	Fuel Records	Consists of federal excise and state tax records and inventory reports pertaining to gasoline, propane, diesel and compressed natural gas dispensed at fleet services	26 CFR 48.041-6 and 7	8 calendar years
Intercollegiate Athletics	Game Videography (films)	Consists of university produced films of university sporting events.	RDA 4.25 and University Procedure	Retain for useful life. Prior to disposition, check with University Archives for possible extended retention.
Academic Affairs	Grade Statistics	These reports are created to provide statistical information on student grade point or quality point averages.	RDA 3.03	Retain for useful life.
Academic Affairs	Grades Grade Sheets submitted by Instructors/Class Lists	These records document the grades given by an instructor to the members of a particular class.	RDA 3.02	Permanent
Academic Affairs	Graduation Applications	These records document the application for graduation.	RDA 3.12	Retain 1 year after date of student’s last attendance.
Academic Affairs	Graduation Authorizations	These records document graduation authorizations to verify degree requirements.	RDA 3.11	Retain 5 years after date of student’s last attendance.
Academic Affairs	Graduation Lists	These records are lists of individuals who have successfully completed degree requirements and have been graduated from the university. Note: This list may be part of the Board of Trustees minutes.	RDA 3.04	Permanent
Research	Grant Records-Externally Funded	These records include documents created when university faculty and staff apply for grants for funding from entities outside the university.	RDA 8.13	A. Records of unfunded grant applications: 1 year after application denied B. Records of Funded Grants(may include, but not limited to, completed applications, agency agreed upon periodic reporting, and financial documentation): 6 years after submission of final report C. Data Management Plan-Permanent (see separate record listing above) D. Research Data/Findings: Retain as specified by the Data Management Plan E. Final Reports/Publications: Permanent
Research	Grant Records-Internally Funded	Faculty and staff have opportunities to apply for competitively funded internal grants that may relate to research, teaching, outreach, administrative development, or service at the university, college, department, or center level within the university.	RDA 8.14 University Procedure	A. Records of unfunded grant applications: 1 year B. Records of Funded Grants:1 year after audit. E. Final Reports/Product: Retain 5 years
Equal Opportunity	Grievance Files	Series documents grievances, and may include but is not limited to correspondence, background information, appeals and decisions, and disciplinary letters.	University Procedure	Retain A. 7 years after close provided no litigation is pending. B. 1 year after final decision has been made and all appeals have lapsed.
Employment Records	Health Care/Dependent Care Form	Documents health care or dependent care forms files on-line by employees for pre-tax benefits.	University Procedure	Retain for 4 calendar years
Auxiliary Services	Hold Harmless Agreement	Documents agreement between the University and outside landowners in which landowner agrees to release University employees from liability for changes or damage to land while taking soil or water samples in connection with research projects.	University Procedure	Retain 6 years after completion of project
Administration/Business Records	Identification Records	Documents employee identification information and is also used for security personnel and/or facility access.	RDA 10.08	1 year
Financial Records	Income Summary Report	Daily report contains the detail records of all income and deferred income	University Procedure	A. Retain for 3 fiscal years after the fiscal year in which the daily report was generated. B. Duplicates: Retain until obsolete, superseded, or administrative value is lost.
Academic Affairs	Individual Student Academic Records	These records consist of the official student record of an individual student for his/her period of enrollment at a university and include all academic documentation for an individual student, including transcripts, narrative evaluations, competency assessments and academic action.	RDA 3.05	A. Continuing Education Records not required to produce a transcript – Retain 1 year after date of last attendance B. OTHER INDIVIDUAL STUDENT ACADEMIC RECORDS – Permanent Record
Administration/Business Records	Information Systems Documentation	This series includes hardware/software manuals and diskettes, and warranties. Disposition: Temporary Record.	RDA 7.26	Retain documentation of former system 1 year after audit in the fiscal year in which the former hardware and software no longer exists anywhere in the agency and all PERMANENT records have been migrated to a new system. UA requires 3 years.
Intercollegiate Athletics	Injury Surveillance Forms	These records provide information on the frequency and types of injuries in each sport.	RDA 4.29	Retain 1 year after end of the year in which the record was created.
Financial Aid	Institutional Loan Records	These records document the award of institutional loans to eligible students.	RDA 4.11	Retain until final disposition of the loan.
Financial Aid	Institutional Scholarship Records	These records document the award of institutional scholarships to eligible students.	RDA 4.12	Retain for 5 years after expiration of scholarship.
Administration/Business Records	Insurance Certificates	Consists of proof of personal injury insurance and building damage deposit by conference users and residence hall facilities	University Procedure	Retain 5 fiscal years after event completed provided no litigation is pending
Academic Affairs	Internship Records	These records document activities of interns as part of class curriculum.	RDA 2.07 and University Procedure	Retain for life of appeals process. UA Retain for life of appeals process OR 1 year after grade changed provided no litigation is pending.
Public Safety	Investigation Files	Documents investigations by the department	RDA 5.27	Records of Felonies: Retain 25 years after final disposition of the case. Records of Misdemeanors: Retain 10 years after final disposition of the case
Employment Records	Job Questionnaires	Consists of job evaluation questionnaires and job requisitions used to determine classification job codes and titles for a specific person or for a specific position.	University Procedure	Retain 5 fiscal years.
Employment Records	Job Recruitment Materials	These records document the recruitment of employees by the university.	RDA 9.01	A. Retain 1 year after completion of audit. UA also requires B. 30 months after job is filled and C. 5 years after posting.
Auxiliary Services	Lease Records	Consists of all University property leases and includes description of property leased	University Procedure	Retain Duplicates: 1 fiscal year
Academic Affairs	Lesson Plans/Syllabi	These records are created to document what the teacher expects of the students and to outline assignments and due dates.	RDA 2.03	Retain for life of appeals process. UA recommends 1 year unless ongoing appeal.
Intercollegiate Athletics	Letters of Intent	These records document student athletes’ intentions of attending a specific university.	RDA 4.27	Retain 6 years or until resolution of all official actions, whichever is longer.
Academic Affairs	Library/Archives Records	These are records created in the management of the library and/or archives.	RDA 2.12	A. Accession/deaccession records, collection catalog information, and control files for manuscripts and artifacts: Permanent B. Accession/deaccession Records, Collection Catalog Info, and Control Files for Books: Retain for useful life. C. Control Worksheets/Logs (Archives Manuscripts Control [AMC], Book Cataloging Forms, and Inventory Control Records): Retain 1 year after data verification. D. Condition Reports of Non-permanent Records, Finding Aides, and Holdings Inventory Records: Retain until superseded or obsolete. E. Recording Hygrothermograph Charts: Retain 1 year
Academic Affairs	LMS Course Retention Policy – Academic Courses	Blackboard Learn courses are subject to removal from the system two (2) years following the end of the semester in which they are taught. Blackboard’s export course feature is one method by which instructors can back up content; it creates a ZIP file of your course content that can be used to create a new course. CIT recommends storing these files in Box or OneDrive. These should be deleted two (2) years following the end of the semester in which they are taught.	University Procedure	Retain for Two (2) years following the end of the semester in which they are taught.
Administration/Business Records	Mailing Lists	These records are created to enable distribution of information.	RDA 7.23	Retain for useful life
Academic Affairs	Master Copy of Exams	These records are the master copy of every exam given in the conduct of a class in the curriculum of the university.	RDA 2.06	Retain for life of appeals process. UA adds to this with OR 1 year after grade change provided no appeal is pending.
Administration/Business Records	Motorist Assistance Records (MAP)	Documents assistance of motorists by officers and includes waivers of liability.	RDA 5.22	RDA says retain for 1 year, but UA retains for 2 years for most records. Parking Services retains all paper waivers for one year. All MAP recorded calls are maintained indefinitely.
Employment Records	Name Change Records-Employee	Documents requests to change names by employees	University Procedure	Retain for 1 fiscal year
Administration/Business Records	Notices of Claim and Requests for Separation	These records provide information to the State Department of Industrial Relations relating to unemployment compensation.	RDA 9.05	Retain 5 years
Intercollegiate Athletics	Official Squad Lists (Not Intramural)	These records document the members of each sports squad.	RDA 4.30	Permanent
Public Safety	Owner’s Requests for Wrecker	Documents the request by a vehicle’s owner for a wrecker	RDA 5.31	Retain 3 years
Academic Affairs	Patient Records	These records document medical care provided at the institution’s health center.	RDA 4.15	Retain 10 years after last visit
Financial Records	Payment Card Transactions Data and Reports	PCI Records/Credit Card Records-Consists of any record related to transactions executed with a payment card (i.e. credit, debit, flex, or any other payment card containing personally identifiable information) used for payment of goods or services. This record may include but is not limited to merchant receipts, and other transaction information identifying the cardholders name, account number, expiration date, and authorization code.	University Procedure	A. 3 fiscal years provided applicable audits have been released. The Payment Card Industry (PCI) technical guidelines for stored payment card data states that a merchant’s data retention and storage policy should strictly limit storage and retention time to that which required for business, legal, and/or regulatory purposes. A merchant should notify Purchasing Card Services if it is determined that a longer storage/retention period is required. B. According to Payment Card Industry (PCI) Standards, we are prohibited from storing magnetic stripe data, CAV2/CVC2/CVV2/CID and PIN numbers used to authenticate the transaction.
Employment Records	Payroll Deduction Authorizations	Documents authorization of payroll deductions.	RDA 9.11	Retain 6 years after separation of employee from the University.
Employment Records	Payroll Deduction Records	Records document payroll deductions for tax purposes and include Form 941.	RDA 9.12	RDA says retain 1 year after completion of audit, but UA retains for 3 years after the end of the fiscal year in which the records were created.
Employment Records	Payroll Records-FACULTY, STAFF, & STUDENTS	There records document payroll and include pre=payroll reports and payroll check registers.	RDA 9.10	A. Payroll Deduction Authorizations: 6 years after separation of employee from the University. B. Payroll Deduction Tax Forms, including Form 941: 3 years after the end of the fiscal year in which the records were created. Duplicates: Current plus one fiscal year out.
Employment Records	Payroll Reports-FACULTY, STAFF & STUDENTS	Consists of year-to-date and leave-to-date reports, including, but not limited to pre-payroll reports and payroll check registers. Master record maintained at Payroll.	University Procedure	Retain Payroll Copy: 3 fiscal years after the end of the fiscal year in which record was completed. Duplicates: Retain until obsolete, superseded or administrative value is lost.
Financial Aid	Pell Grant Records	These records document Pell Grants awarded to university students and are used to establish and verify a student’s eligibility for Title IV financial aid program funds.	RDA 4.13	Retain for 5 years after the award year.
Academic Affairs	Periodic Activity Reports	These records are reports to document activities performed by staff.	RDA 9.16	Retain for useful life.
Financial Records	Permanent Financial Documentation	Financial documentation that is required by/of the University for permanent retention and includes: tuition and fee schedules, annual endowment fund reports, chart of accounts, general ledgers, and annual financial statements, and annual payroll earnings records.	RDA 8.01	Permanent
Administration/Business Records	Policies and Faculty Handbooks	Document university guidelines, policies, and procedures	RDA 7.07	Permanent record
Employment Records	Position Classification Records	Documents position classifications.	RDA 9.07	Retain for 3 years after reclassification/ elimination of the position.
Administration/Business Records	President’s/Chancellor’s/Vice President’s/ Athletic Director’s Files	These records, which do not include routine correspondence, document the policies of the university.These files may, however, include admininistrative correspondence.	RDA 7.06	Permanent
Academic Affairs	Promotion and Tenure Records	This series consists of documentation for the review process on promotions and tenure. May contain but is not limited to forms, letters and accompanying data. The letter granting promotion and/or tenure is kept in the Personnel File by the Department/School/College/OAA/Human Resources	Human Resources	University Procedure – Retain until completion of formal action and appeal period.
Administration/Business Records	Property Inventory Files – EQUIPMENT AND OTHER INVENTORIED ITEMS	These records document the central property inventory of the university	RDA 10.02	University must maintain PERMANENT records of all property (i.e. land, buildings, and capital equipment) until the sale or disposition of the property. Reports created for administrative purposes must be maintained 3 years after the end of the fiscal year in which the records were audited.
Auxiliary Services	Property Inventory Files – LAND AND BUILDINGS	Documentation related to the inventory for land and buildings.	University Procedure	Land and Buildings: Permanent until sale or disposition of the property. Reports: Records created for administrative purposes must be maintained 3 years after the end of the fiscal year in which the records were audited.
Advancement	Publications and Publicity Materials	These records include publications concerning the university and its work and are issued for distribution to the public. Publicity materials document university activities and may include newsletters, programs, speeches, photographs, contact prints, negatives, enlargements from negatives, audio and video tapes, and transparencies. Note: for each item there should be an identification that includes the subject, the occasion, the place, and the date.	University Procedure	Retain for useful life. Prior to disposition check with University Legal/Compliance/Archives for possible extended retention. Retain one copy permanently.
Administration/Business Records	Radio Equipment Requisitions and Letters of Insurance Coverage	The United States Department of Commerce requires documentation of requisitions and insurance for radio equipment used in radio wave broadcasts to be kept 10 years.	RDA 4.22	Retain 10 years
Administration/Business Records	Radio/Television Station Files and Logs	These records document the administration and activities of university-funded radio and television stations.	RDA 4.21	Retain 3 years
Administration/Business Records	Real Estate Capital Improvements Contract Records	Includes contractual documents related to capital improvements	RDA 10.01	Retain 6 years after expiration of the contract
Administration/Business Records	Real Estate Files	Documentation consists of abstracts, appraisals, environmental reports, all appropriate inquiries, memos, correspondence, surveys and deeds documenting all property owned by the University.	University Procedure	Retain 7 years after sale or disposal of property provided no litigation is pending.
Administration/Business Records	Real Estate Not Under University Control	Documents the individual responsibility of property, i.e. Ground Leases, not under the University’s immediate control	University Procedure	Retain until return of item/end of lease to property manager
Administration/Business Records	Real Estate Purchase Files	Consists of all the property purchased by the University and may include but is not limited to building management files, purchase agreements, and correspondence.	University Procedure	Retain 7 years after purchase provided no litigation is pending
Administration/Business Records	Real Property Leasing/Rental Files	Consists of all property leased and rented by the University and may include but is not limited to building management files, lease/rental agreements, and correspondence.	RDA 10.04	Retain 6 years after expiration of lease
Administration/Business Records	Receipts of Responsibility for Property	These records document the individual responsible for property not under the university’s immediate control.	RDA 10.03	Retain 3 years after the end of the fiscal year in which the records were created.
Administration/Business Records	Recordings of Meetings of Board of Trustees and Standing and Ad Hoc Committees	This series is created during meetings to assist in the creation of minutes	RDA 7.04	Retain until the official minutes are adopted and signed.
System Records	Recordings of Meetings of Board of Trustees and Standing and Ad Hoc Committees	These records are created to document decisions reached at a meeting.	RDA 7.05	Retain until the official minutes are approved and/or signed at the next meeting.
Public Safety	Recordings of Police Communications and Actions	Documents calls for emergency assistance and/or recordings of radio communications and/or police activities	RDA 5.26	Retain recorded information until final disposition of all cases for which it provides evidence
Administration/Business Records	Recordings of University Radio/Television Broadcasts	These records document the programs provided by the university operated stations.	RDA 4.20	Retain for useful life. Prior to disposition, check with university archives for possible extended retention.
Equal Opportunity	Records Documenting Legal Cases	These records document legal cases involving the university.	RDA 7.19	Retain 6 years after final settlement. Prior to disposition, check with University Archives for possible extended retention.
Administration/Business Records	Records documenting the implementation of the university’s approved RDA	These records include copies of transmittal forms to Archives or the State Records Center, evidence of obsolete records destroyed, and annual reports to the State Records Commission.	RDA 7.24	Retain for 1 year after completion of audit
Public Safety	Records of Driving Violations	This series documents driving violations and includes records of suspension of driving privileges, warning tickets, violations of use of driver license, and sobriety examination reports.	RDA 5.01	Retain 3 years
Administration/Business Records	Records of Other Committees	These records are created by committees other than university-wide standing committees, also known as “ad hoc committees,” such as those formed to create or examine policies affecting university students, faculty, and staff.	RDA 7.03	Committee conclusions not reported in Standing Committee minutes or packets – PERMANENT record. ALL other records – Retain for useful life.
Research	Records of Research Presentations	Records document presentations of research findings	RDA 6.02	Retain 3 years, unless desired by Archives
Academic Affairs	Records of Supplemental Learning Centers	These records document the activities of supplemental learning centers, which some universities establish to assist in the learning process through tutoring in specific subject matter or skills. These records do not include records of libraries/learning centers.	RDA 2.08	Retain 3 years
Administration/Business Records	Records of University-Wide Standing Committees	These records are created by university-wide standing committees and may include minutes and recommendations.	RDA 7.02	A. University-wide Standing Committee minutes, Agendas, Packets, and Recommendations – PERMANENT RECORD B. University-wide Standing Committee Administrative Records – This series encompasses records generated in the course of organizinf and administering university-wide standing committees. This may include, but is not limited top, committee attendance records and leadership ballots. -Retain for useful life.
Academic Affairs	Recruitment Materials and Records	Recruitment materials are used to recruit students to attend the university and include videos, publications, posters, correspondence, advertisements, flyers or buttons/pins. Files also may be created for the recruitment of specific students.	RDA 1.01	Reports and Procedures: Permanent Other Records: Retain for useful life. Prior to disposition, check with University Archives for possible extended retention.
Academic Affairs	Requests for Disclosure/Non-disclosure of Personally Identifiable Information	These records document student requests that their personally identifiable information, which generally consists of name, address, and telephone number, be/not be released. Also includes requests to forward student academic transcripts to other agencies, educational institutions, or to the student.	RDA 1.04	Retain 1 year or until no longer applicable, whichever is longer.
Financial Records	Requisitions and Purchase Records (Orders)	Series documents the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products.	A. RDA 8.06	A. Retain 1 year after audit. B. Grant funded: Retain 6 years.
Research	Research Agreements	Records document agreements regarding research projects	RDA 6.04	Retain 6 years after expiration of agreement
Research	Research Policies	Records document the policies of a university regarding research at a given time.	RDA 6.03	Permanent
Research	Research Project Records	See grant records under administering internal operations, managing finances.	RDA 6.01	A. Final Reports and Publications: Permanent B. Research Data/findings: Retain until completion of final report. Prior to disposition, check with staff members of the Office of Research, Legal/Compliance/Archives for possible extended retention. Examples of records requiring a longer retention are those associated with patents. For projects associated with grants see “Grant Records” under “Administering Internal Operations: Managing Finances.” C. Other records: Retain until completion of final report.
Administration/Business Records	Routine Correspondence (includes requests for information)	These records are correspondence regarding routine matters.	RDA 7.22	Correspondence related to finances; retain for 3 years. Correspondence not related to finance; retain for useful life.
Advancement	Routine Correspondence (includes requests for information)	These records are correspondence regarding routine matters.	RDA 7.22	Correspondence related to finances; retain for 3 years. Correspondence not related to finance; retain for useful life.
Administration/Business Records	Routine Correspondence (includes requests for information)	These records are correspondence regarding routine matters.	RDA 7.22	Correspondence related to finances; retain for 3 years. Correspondence not related to finance; retain for useful life.
	Salary Schedules	University’s salary pay grade range structure	University Procedure	Retain until updated
Administration/Business Records	Search Committee Files	These records are search files created during the process of advertising, interviewing, selecting and hiring an individual to fill a faculty vacancy within the university.	RDA 9.08	President/Chancellor Search Committee Files: Permanent Other Records: Retain 3 years UA Retains for 7 years after search provided no litigation or compliance is pending
Administration/Business Records	Search Committee Records	These records are search files created during the process of advertising, interviewing, selecting and hiring an individual to fill a faculty vacancy within the university.	RDA 9.08 and University Procedure	Retains for 7 years after search provided no litigation or complaint is pending.
Equal Opportunity	Sexual Harassment Board Records	Documents the meetings of the University’ sexual harassment board.	University Procedure	Prior to destruction, offer to University Archives UA The Title IX Coordinator, Human Resources, and/or the applicable grievance body will maintain for a period of 7 years (at a minimum) all records related to the following: all Formal Compliants, including the investigation and disposition, any disciplinary sanctions imposed, any remedies and/or supportive measures provided to the Complianant, any audio or audio/visual recording or transcript of the lilve hearing, any appeal and results, any information resolution and the results therefrom, and all materials used to train Title IX Coordinators, Title IX Investigators, Decision-Makers, members of a Conduct Body, and any person who facilitates a voluntary resolution process.
Employment Records	Social Security Payment Files	Documentation supporting the payments made by the University into the Social Security Fund.	RDA 8.17	Retain for 50 years after fiscal year in which transaction occurred.
Employment Records	Social Security Reports and Deposits	Series documents the monthly report of wages and social security contributions paid by the University to each employee.	RDA 8.18	Retain for 7 years after the fiscal year in which the transaction occurred.
Research	Sponsored Project Records-Financial	Series documents grants received by departments and units through Sponsored Projects and may include copies of proposals, budget sheets, appropriations documents, authorizations and other finance and accounting and purchasing documents.	Uniform Guidance	A. Sponsored Programs: 6 years after close of grant provided no litigation is pending and all audits have been completed. B. Financial: 10 fiscal years
Employment Records	Student Biweekly Payroll Document	Consists of biweekly payroll documents for student employees.	29 CFR 675.19 and University Procedure	A. Payroll: 3 fiscal years B. Duplicates: Current fiscal year
Student Affairs	Student Disciplinary Files	These records document investigations and disciplinary actions taken against students for violations of university rules and regulations.	RDA 1.03	Retain 5 years after closure of case file or until the student leaves the university, whichever is longer.
Financial Aid	Student Employment Community Service Program	Series documents the federal program designed for need-based employment of students. May include but is not limited to bills for reimbursement of wages, contracts, or supporting documents, correspondence, and time cards	34 CFR 675.19	Retain 5 fiscal years
Financial Aid	Student Employment Waivers	Series documents waivers sent to student employment by departments or units to hire nonstudents for jobs of less than 29 hours.	University Procedure	Retain 5 fiscal years
Student Affairs	Student Handbooks	These handbooks are produced by the university to provide information to students about the university and its operation.	RDA 1.05	Permanent
Student Affairs	Student Housing Records (Dorm Records)	These records document the application for, awarding of, and use of student housing facilities by students. Records may include applications, credit reports, references, sign-up sheets, photographs, and inspection reports.	RDA 4.14	Retain until student account closed.
Student Affairs	Student Publications	University-wide student publications, which may include newspapers, magazines, game programs, and media guides, document the university and its students.	RDA 4.18	University wide: permanent Non-university wide: Retain for useful life. Prior to disposition, check with University Archives for possible extended retention.
Academic Affairs	Students’ Admission Files	These files consists of application records for admission into the university degree program and are created for undergraduate, graduate, and transfer students. The file may include acceptance letters, placement records, medical records, test scores, test profiles, or reports of prospective university applicants. Statistical information on test score averages (GRE, ACT, SAT, CEEB files) may also be included.	RDA 1.02	A. Accepted applicants who enroll – Retain 5 years B. Accepted Applicants Who Do Not Enroll: Retain 1 year after application term. C. Applicants Not Accepted: Retain 1 year after application term. D. Residency Reclassification Records: Retain for useful life. Note: Foreign students may request the return of some of this records.
Student Affairs	Students’ Admission Files	These files consist of application records for admission into the university degree program and are created for undergraduate, graduate, and transfer students. The files may include acceptance letters, placement records, medical recurs, test scores, test profiles, or reports of prospective university applicants. Statistical information on test score averages (GRE, ACT, SAT, CEEB files) may also be included.	RDA 1.02	A. Accepted applicants who enroll – Retain 5 years B. Accepted Applicants Who Do Not Enroll: Retain 1 year after application term. C. Applicants Not Accepted: Retain 1 year after application term. D. Residency Reclassification Records: Retain for useful life. Note: Foreign students may request the return of some of this records.
Academic Affairs	Student’s Advisor Records	These records document academic advisors’ performance of their duties with their assigned students.	RDA 4.03	Retain for 5 years after termination of enrollment
Employment Records	Tax Records	These records document the university’s compliance with tax filing requirements.	RDA 8.02	Retain 1 year after audit or for period during which assessment and collection may be made under the applicable statute, whichever is longer. UA Retain 3 years after end of the year in which the records were created or for period during which assessment and collection may be made under the applicable statute, whichever is longer.
Intercollegiate Athletics	Team Scouting Reports	These records document opposing teams’ strengths and weaknesses prior to a sporting event.	RDA 4.31	Retain for useful life.
Intercollegiate Athletics	Trademarks Licensing Records and Samples	This series documents the legal authority for non-system agencies to use the logos and other symbols constituting the registered trademarks of the institution. The records consist of folders for each vendor or individual seeking legal use of institutional trademarks for any reason. This series may include but is not limited to: application; sample submitted as part of the application process; names and addresses of approved licensees; their annual gross dollar sales of institutionally trademarked items; invoices showing royalties paid to the institution for use of the trademarks; licensing agreements; samples of the requesting licensees’ art work; and related documentation and correspondence.	RDA 7.15	Trademarks Licensing Records and Samples Approved: Retain 6 years after expiration of licensing agreement. Trademarks Licensing Records and Samples Denied: Retain one year.
Employment Records	Training and Professional Development Records	Records document university provided training and professional development.	RDA 9.19	Retain 3 years
Academic Affairs	Transfer Equivalents Files (Articulation)	These records document the process for transferring credit from other institutions of higher education accepted by a university.	RDA 3.10	Individual Student Transfer Evaluations: File with individual student academic records. Other: Retain for useful life.
Student Affairs	U.S. G.I. and Dependents’ Educational Benefit Records	These records document the educational training of students entitled to benefits administered through the U.S. Veterans Administration. Contains certification, discharge papers, course of study information, correspondence, certificates of training, marriage licenses, birth certificates, registration forms, transcripts, and other related records.	RDA 4.07	Retain for 3 years after termination of enrollment
Administration/Business Records	Unclaimed Property	Consists of reports filed with the State of Alabama on unclaimed property.	State of Alabama Unclaimed Property Law: Code of Alabama 1975 35-12-90	UA does not have an unclaimed property policy
Administration/Business Records	Unemployment Compensation Benefits Files and Reports	Series informs the University that former employees are eligible for unemployment benefits and when these employees receive compensation charged against the University’s account. Also included are periodic reports and statements received from the State Department of Industrial Relations (DIR) advising the University of the status of its fund account and of any monies due DIR and reports documenting the quarterly submission of payroll and statistical information to DIR.	RDA 8.19	5 years after the end of the year in which the records were created. UA retains for a minimum of 5 years.
Public Safety	Uniform Arrest Reports	Documents the date and time of arrest, arrestee’s name, personal information, location of arrest, and cause of arrest, which may include non-traffic related arrests and driving violations such as suspension of driving privileges, violations of use of drivers license, and sobriety examination reports.	RDA 5.08	Retain 2 years after disposition of case
Public Safety	Uniform Incident/Offense Reports, Supplements, and Logs	Documents incidents/offenses and accidents that occur on the university campus and surrounding streets that violate university and/or local laws and regulations. They contain case number, type of report, date, time, complainant or victim, address and details of report.	RDA 5.14	A. Records of Felonies: Retain 25 years after final disposition of the case. B. Records of Misdemeanors: Retain 10 years after final disposition of the case.
Public Safety	Uniform Traffic Ticket and Complaint (UTTC) Records	Series documents traffic offenses that occur within the university police’s jurisdiction and contain date and time of traffic stop, driver and vehicle information, violation, and court date	RDA 5.05	Retain until final disposition of the case
Public Safety	Uniform Traffic Ticket and Complaint (UTTC) Transmittal Forms and Receipt Books	Transmittal forms document each traffic ticket given and its receipt by the appropriate court. The receipt books document the issuance of UTTC books to each officer.	RDA 5.06	Retain 5 years
Equal Opportunity	University Grievance Files	These records document grievances initiated by faculty, staff, and students and may contain grievance committee meeting minutes.	RDA 7.20	Retain for 3 years after action taken on case and settlement of all claims due.
Employment Records	University Tax Records, including Form 941 and W-2	These records document the university’s compliance with tax filing requirements applicable to IRS Form 941 and annual W-2.	RDA 8.02	Retain 1 year after audit or for period during which assessment and collection may be made under the applicable statute, whichever is longer. UA retain IRS Form 990/990-T for 7 years and all other tax forms for 4 years.
Financial Records	University Tax Records – Other	These records document the university’s compliance with tax filing requirements and includes: IRS Form 990/990-T, Form 1042/1042-S, Form 8233, and Form W8BEN as well as sales, lodging, rental and utility tax documentation. Also includes records applicable to taxable fringe benefits.	RDA 8.02	Retain 1 year after audit or for period during which assessment and collection may be made under the applicable statute, whichever is longer. UA retain IRS Form 990/990-T for 7 years and all other tax forms for 4 years.
Student Affairs	University/Student Newspaper and Magazine Files	These records document the day-to-day operation of the school newspaper and/or magazine , but do not include financial records.	RDA 4.19	Retain 3 years
Public Safety	Use of Force Reports	Documents the use of force by officers	RDA 5.19	Retain 5 years
Intercollegiate Athletics	Vehicle Aircraft Records	These records document the use, maintenance, ownership, insurance and disposition of vehicles, including aircraft, owned by the University.	RDA 10.10	Retain 1 year after audit after the end of the fiscal year in which the vehicle was removed from property inventory.
Auxiliary Services	Vehicle Records	These records document the use, maintenance, ownership, insurance and disposition of vehicles, including aircraft, owned by the University.	RDA 10.10	Retain 1 year after audit after the end of the fiscal year in which the vehicle was removed from property inventory.
Auxiliary Services	Vehicle Tag Records	These records document application and receipt of tags for vehicles.	RDA 10.11	Retain 1 year after the end of the fiscal year in which the vehicle was removed from property inventory.
Employment Records	W-2 Files/Reports	Series document salaries paid and taxes withheld.	RDA 8.20	5 years after the end of the tax year
Public Safety	Weapons Registration Forms (ATF 5 and ATF 10) and Weapon Retirement Forms	These records document custody of weapons.	RDA 10.09	Retain 3 years after the end of the fiscal year in which the weapon was removed from the property inventory.
Administration/Business Records	Website and Social Media Site(s)	The university is responsible for capturing and preserving the university website as often as significant changes are made.	RDA 7.16	Permanent Record
Financial Aid	Work-Study/Student Worker Records	These records are maintained in individual departments and offices on work-study students and include time reports.	RDA 9.09	Retain 3 years after last date of employment
Public Safety	Wrecker and Wrecker Driver Information Sheets	Provides information on the wrecker services utilized by the police.	RDA 5.32	Retain for useful life
Public Safety	Wrecker Logs	Documents the use of wrecker services.	RDA 5.30	Retain 3 years
Disability Services	Records related to services provided by the Office of Disability Services	Records may include, but are not limited to Disability Services intake materials and documentation of services, documentation from qualifying professional confirming need for services, registration form, registration agreement, case notes, class schedules, accommodation requests and notes, release forms, student name, and directory information.	RDA 4.16	Temporary Record: Retain 5 years after student’s last day of attendance.
Biometrics	Biometric Data	These records could include finger prints, voice prints, facial recognition or any other physical characteristic used to identify a specific individual.	University Procedure	Retain for useful life and then destroy 1 year after last use

If you would like to submit information that should be added or edited in the Retention Schedule, or if you would like to request assistance, please contact Kathy Brunot at kpbrunot@ua.edu.