Records Retention Schedule January 13, 2015
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Records Retention Schedule January 13, 2015 American University Records Retention Schedule Table of Contents TYPE OF RECORD PAGE Athletics…………………………………………………………………………………...... 1 Budget……………………………………………………………………………………….1-2 College & University – Academic…………………………………………………………… 2-6 College & University – Student Life………………………………………………………… 6-7 Communications and Publications………………………………….………………………. 7 Institutional/Corporate……………………………………………..……………………..... 7-8 Development and Alumni Relations………………………………………………………...8-9 Facilities…………………………………………………………………..……………….... 9 Finance – Accounting & Finance, Contracts & Procurement…………………..………….... 9-11 Finance – Treasury Operations…………………………………………………….……….. 11-12 Human Resources………………………………………………………………………....... 12-13 Legal, Patent & Trademark, Inventions………………………………………………............ 13 Payroll……………………………………………………………………………….............. 13-14 Risk Management, Safety Services, Insurance………………………………………............... 14-15 Student Accounts……………………………………………………………………............. 15 University Library………………………………………………………………………........ 15-17 WAMU………………………………………………………………………………............ 17 American University Records Retention Schedule TYPE OF RECORD Athletics ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Athletic Eligibility Athletic Injury (catastrophic) Athletic Scholarship Award Claims Payment (secondary coverage) Club Sports waivers Competitive Record Fitness Center waivers Game Arrangement Records Game Officials' Evaluations Game Statistics Grant-In-Aid Scholarships Individual Athletic Record Insurance Records Intramural waivers Playbooks Player Records Positive Drug Test Practice Schedule Recruiting Scheduling Student Athlete Medical Student Athletic Academic Advising Records Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Fitness Center Athletics Fitness Center Athletics Athletics Athletics Athletics Athletics Athletics Fitness Center Athletics Athletics Athletics Athletics Athletics Athletics Athletics Athletics Tickets Athletics Athletics 5 years Permanent 5 years 5 years 3 years after signing 5 years 3 years after graduation 5 years 1 year Permanent 5 years 1 year after separation 10 years 3 years after session 5 years 5 years or end of eligibility 3 years or end of eligibility 5 years 5 years or end of eligibility 6 years after expiration of contract 10 years after student is last enrolled 5 years after degree completed or last enrollment 5 years Budget Office Budget Office Budget Office Budget Office Originating Units Budget Office Budget Office Budget Office Budget Office Budget Office Budget Office Budget Office/Individual Schools Originating Units Budget Office/Individual Schools Budget Office Budget Office Permanent 4 years 10 years 4 years 6 years 4 years 10 years 4 years Budget Approved AU Budget Budget Changes and Reports to Units Budget Formulation Documents Budget Submissions Budget Submissions Funding Allocation Memos May 1 Line-Item Budget Position Inventory Control/People Sheets January 13, 2015 Page 1 American University Records Retention Schedule TYPE OF RECORD Quarterly Budget Performance Review Tuition and Fee Schedule Unit Budget Preparation Instructions Year-End Budget Performance Review ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Budget Office Budget Office Budget Office Budget Office Budget Office Budget Office Budget Office Budget Office 4 years 10 years 4 years 10 years Academic Actions (dismissal, etc.) Originating Units Originating Units Academic Deficiency Reports: Probations, Dismissals and Early Warning Notices Academic Integrity Code Violations Academic Integrity Code Violations resulting in sanctions Academic Program Administration Academic Records (including narrative evaluations, competency assessments) Academic Search Plans & Statements Academic Search Records University Registrar University Registrar Originating Units Originating Units Originating Units Dean's Office & Registrar 5 years from graduation or date of last attendance 5 years from Graduation or date of last attendance 5 years after last registration Permanent Originating Units Originating Units Originating Units Originating Units Originating Units Originating Units Originating Units Originating Units Academic Search Waivers Dean of Academic Affairs Dean of Academic Affairs Accreditation Adjunct Instruction Originating Units Originating Units Office of the Provost Originating Units COLLEGE & UNIVERSITY Academic Admissions for Applicants who do not enroll, Enrollment Services whether accepted or rejected (advanced placement records, applications for admission or readmission, relevant correspondence, entrance exam reports (ACT, CEEB), residency classification forms, letters of recommendation, transcripts) Admissions Office January 13, 2015 1 year 2 years after graduation or date of last attendance 3 years Permanent for successful candidate, 3 years after search completed for others For Permanent waivers, 3 years from date of appointment & for limited term waivers, 3 years from satisfaction of subsequent search requirements or termination Permanent Permanent for successful candidate, 3 years for inquiries 5 years from date of start of application term Page 2 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Admissions for Applicants who enroll Enrollment Services (advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports (ACT, CEEB) Advising records Originating Units Admissions Office 5 years from Graduation or date of last attendance Originating Units Animal Welfare Records Borrower's Loan Records Borrower's Loan Records (cancelled) Sponsored Programs Student Accounts Student Accounts Sponsored Programs Student Accounts Student Accounts Catalogs Change Grade Forms Change Student ID Number Commencement Attendance Commencement Programs Consent to Release Personally Identifiable Information Correspondence and Subject Files University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar University Registrar Directors of Campus-wide Centers and Institutes Office of the Provost University Registrar University Registrar Originating Units Enrollment Services Originating Units Originating Units 2 years after graduation or date of last attendance 3 years after Completion of Project 5 years after loan repayment Permanent for assignment files, 5 years after cancellation for others Permanent Permanent Permanent 1 year Permanent 3 years from Graduation or date of last attendance Permanent University Registrar University Registrar Permanent Permanent Permanent 3 years after employee separation 4 years 5 years from graduation or date of last attendance Permanent University Registrar University Registrar Vice Provost Undergraduate Studies/ Graduate Studies University Registrar University Registrar University Registrar University Registrar 1 year 2 years from Enrollment date Permanent University Registrar Life of affected document or until student terminates waiver for written consent; 3 years from Graduation or date of last attendance Correspondence and Subject Files Course Offerings/Class Schedules Course Rosters Course/Teaching Evaluations Credit Bureau Reports Curriculum Change Authorizations Degree, Graduation, Enrollment and Racial/Ethnic Statistics Diploma Mailing Certification Enrollment Verification Exceptions to Academic Regulations FERPA Documents Office of the Provost University Registrar University Registrar Originating Units Financial Aid Originating Units January 13, 2015 Page 3 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Final Grade Rosters University Registrar Financial Aid Records (applicants who do not Enrollment Services enroll) Financial Aid Records (applicants who enroll) Enrollment Services University Registrar Financial Aid Permanent 3 years from date of graduation Financial Aid 5 years from date of graduation Financial Dismissals University Registrar/ Office of Student Accounts University Registrar Originating Units 1 year after release; OSA records permanent University Registrar Permanent University Registrar/ Office of Student Accounts University Registrar Originating Units FOPIA Requests Graduate Award Records (scholarships, fellowships) Graduate Comprehensive Examination Results Academic Units Life of affected document Permanent Graduate Student Tuition Remission Graduate Tool of Research Results Graduation Lists Grant and Contract Applications & Proposals (unfunded) Grant Project Contracts Enrollment Services Academic Units University Registrar Sponsored Programs Financial Aid University Registrar University Registrar Sponsored Programs 8 years Permanent Permanent 3 years Sponsored Programs Sponsored Programs Grant Projects Research Sponsored Programs Sponsored Programs Human Subject Records Independent Study Records Sponsored Programs Originating Units Research Compliance Originating Units Institutional Accreditation Institutional Planning Institutional Research Institutional Research Office of the Provost Institutional Research Intent to Attend Letters of Recommendation Loan Activity Mathematics Placement Examination Results Enrollment Services Originating Units Enrollment Services Mathematics Department Financial Aid Originating Units Financial Aid University Registrar 3 years after completion of project and receipt of final payment from sponsor, unless sponsor retention is longer 3 years upon completion of research project/program 3 years after completion of project 1 year from graduation or date of last attendance Permanent Permanent for Final reports 10 years for internal planning material 3 years after enrollment Until date of enrollment Permanent Permanent Meeting agendas, minutes and reports College, School and Universitywide Committees Faculty Senate Faculty Senate Committees Office of the Provost Permanent Office of the Provost Office of the Provost Permanent Permanent Meeting agendas, minutes and reports Meeting agendas, minutes and reports January 13, 2015 Page 4 American University Records Retention Schedule TYPE OF RECORD Merit Award applications, essays and supporting materials Merit Award winning applications and supporting materials Name Change/Authorization/Personal Information Changes Pell Grant Prevent Disclosure Requests ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Career Center Career Center 1 year after competition closes Career Center Career Center Permanent University Registrar University Registrar Permanent Enrollment Services University Registrar Financial Aid University Registrar 5 years after audit 5 years from graduation or date of last attendance Permanent Until Date of Enrollment 1 year after release; OSA records permanent Recombinant DNA Research Records Recruitment Materials Reinstatement Sponsored Programs Enrollment Services University Registrar/ Office of Student Accounts Room Scheduling (academic) University Registrar Schedule of Classes (institutional) University Registrar Sexual Harassment Complaints (investigations Dean of Academic Affairs and findings) Sponsored Programs Admissions Office University Registrar/ Office of Student Accounts University Registrar University Registrar Dean of Academic Affairs Special Academic Programs Originating Units Originating Units Stafford Loan Signature Cards Student Academic Grievances Student Class Schedules Enrollment Services Originating Units University Registrar Financial Aid Originating Units University Registrar Student Cumulative Financial Aid Records Student Promissory Notes Tenure/Promotion Reviews Enrollment Services Enrollment Services Originating Units Financial Aid Financial Aid Originating Units Term Reports Transcript Requests Transcripts Transcripts (high school and other colleges) Originating Units University Registrar University Registrar Enrollment Services Originating Units University Registrar University Registrar Admissions Office Transfer Credit Evaluations Enrollment Services Admissions Office Various Scholarships Enrollment Services Financial Aid January 13, 2015 1 year Permanent 3 years from determination for no cause findings and permanent for cause findings Permanent for policy/ development documents 5 years after last application 5 years after last matriculation 1 year from Graduation date or date of last attendance 5 years after last application 5 years after repayment If Action approved, 3 years w/ tenure denied, 3 years from end of appointment term 5 - 7 years 1 year from Submission date Permanent 5 years from graduation or date of last attendance 5 years from Graduation or date of last attendance 5 years after award notification for acceptation, 1 year for denials Page 5 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Veteran Administration Certifications AU Central AU Central Withdrawal Authorizations/Leaves of Absence Writing Proficiency Examination Results University Registrar University Registrar 5 years from Graduation or date of last attendance 2 years English Department University Registrar Permanent Appointment Database AUTO Records Award Recipients Award Recipients Contributing Faith Chaplains Counseling Records and database Daily Transaction Records Disability Records (paper) Disciplinary Records (paper & electronic) Student Health Center Student Activities GLBTA Resource Center Multicultural Affairs Kay Spiritual Life Center Counseling Center Student Health Center Academic Support Center Judicial Affairs & Mediation Svcs. Student Health Center UG Student Government GLBTA Resource Center Multicultural Affairs Kay Spiritual Life Center Counseling Center Student Health Center Academic Support Center Judicial Affairs & Mediation Svcs. Educational Counseling Records (paper) Facility Use Records Fraternity and Sorority Awards Frederick Douglas Scholar Rosters Health & Safety Inspection Forms HI-SCIP Rosters Housing & Meal Plan Termination Form Housing Applications ID Card Replacement Form/Billing Incident Forms/Judicial Action Taken Incident Forms/No Judicial Action Taken International Student Immigration Records for students who matriculate Academic Support Center Kay Spiritual Life Center Fraternity and Sorority Life Multicultural Affairs Housing & Dining Programs Multicultural Affairs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Inter. Student & Scholar Svcs. Academic Support Center Kay Spiritual Life Center Fraternity and Sorority Life Multicultural Affairs Housing & Dining Programs Multicultural Affairs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Inter. Student & Scholar Svcs. COLLEGE & UNIVERSITY Student Life LIFT Rosters Multicultural Affairs Meal Plan Enrollments and/or Change Forms Housing & Dining Programs Multicultural Affairs Housing & Dining Programs 7 years after graduation 5 years Permanent Permanent Permanent 7 years after last contact 5 years 7 years after last contact 7 years after last contact; suspensions and dismissals: permanent 7 years after last contact 3 years Permanent Permanent 1 year Permanent 1 year 1 year 1 year 1 year after sanction complete End of academic year 7 years after last enrollment; 1 year for students who are issued documents but do not enroll Permanent 1 year Medical Records Non-instructional Room Scheduling Student Health Center University Center 7 years after graduation 1 year Student Health Center University Center January 13, 2015 Page 6 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Park Bethesda Leases Registered Student Organizations Room Inventory Forms and/or Damage Billing Room Inventory Forms/No Billing Significant Student Issue Forms Staff Licensure STEP Rosters Student Contact Information database Student Handbook Text Student Housing Agreements Student Housing Registration Cards/Billing Housing & Dining Programs Student Activities Housing & Dining Programs Housing & Dining Programs Student Activities Housing & Dining Programs 1 year Permanent 1 year Housing & Dining Programs Dean of Students Student Health Center Multicultural Affairs Academic Support Center Dean of Students Housing & Dining Programs Housing & Dining Programs Housing & Dining Programs Dean of Students Student Health Center Multicultural Affairs Academic Support Center Dean of Students Housing & Dining Programs Housing & Dining Programs End of academic year 5 years after last contact Duration of employment Permanent 7 years after last contact Permanent 3 years after expiration of agreement 1 year Student Housing Registration Cards/No Billing Student Recommendations Student Recommendations Student Records Student staff personnel records Housing & Dining Programs Housing & Dining Programs End of academic year VP of Campus Life Dean of Students Disability Support Services Housing & Dining Programs VP of Campus Life Dean of Students Disability Support Services Human Resources 10 years after graduation 10 years after graduation 7 years after last contact 6 years after termination University Publications Office Permanent Communications and Publications Photography Publications University Publications Office University Publications Office Staff Photographer Admin Coordinator University Publications Office University Publications Transfer two copies to Archives Publications and Press Releases University Communications Office Media Relations / University Communications Office Transfer two copies of publications to University Archives; Transfer one copy of press Communications releases to Archives Publications not processed through University Publications Student Publications Institutional/Corporate All units Originating Units Permanent Student Media Student Media Transfer two copies to Archives January 13, 2015 Page 7 American University Records Retention Schedule TYPE OF RECORD Administrative Correspondence ORIGINATING DEPT / OFFICE Executive Level Positions, Deans, Department Heads RESPONSIBLE POSITION OFFICIAL REPOSITORY Originating Units DURATION Permanent Administrative Reports, Activity, Annual & Periodic Status Board of Trustees Records/Minutes By-Laws Charter Correspondence and Subject Files Institutional Addresses & Statements Originating Units President's Office Permanent for record copy of final annual report Permanent Permanent Permanent Permanent Permanent for final copy and audio/video recordings Permanent 4 years Permanent Permanent Permanent President's Office Secretary of the Corporation Secretary of the Corporation President's Office President's Office President's Office President's Office President's Office President's Office President's Office International MOAs Legislative Relations List of Contributing Faith Chaplains Policies President's Council Minutes Publications with American University imprint President' Office President's Office Kay Spiritual Life Center All units President's Office President's offce President's Office President's Office Kay Spiritual Life Center Originating Units President's Office President's Office Special Event Documents Trustee Decisions Regarding Academic Personnel and Designated Executives University Council Minutes Special Event Office President's Office Special Event Office President's Office Permanent Permanent President's Office President's Office Permanent Alumni Association Board Alumni Relations Alumni Relations Permanent for agenda, minutes and reports Alumni Association Services Alumni Information Records Alumni Mailing Lists Class Gift Development & Endowment Fees Gift Records Alumni Relations Alumni Relations Alumni Relations Gifts Gifts Gifts Alumni Relations Alumni Relations Alumni Relations Development Development Development Gifts of Art Original Gift Letter Agreements (signed by President and donor) Gifts Gifts Development Development 5 years Permanent Until superseded Permanent 4 years 6 years for hard copy, permanent for electronic records Permanent Permanent Development and Alumni Relations January 13, 2015 Page 8 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE Planned Gifts (trusts, life income, agreements, Gifts annuities) & Real Estate Gifts RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Development Permanent Facilities Bid Records University Architects Controller Building /Land Inventory Building Permits Certificates of Occupancy Permit drawings, record drawings Plats, surveys, utility location maps Space/Facilities Use University Architects University Architects University Architects University Architects University Architects University Architects Finance Office Facilities Resource Center Finance Office Facilities Resource Center Facilities Resource Center Facilities Resource Center Utilities System Operating & Maintenance Vehicle Inspection Vehicle Records Work Order Requests Facilities Management Facilities Management Facilities Management Facilities Management Facilities Resource Center Facilities Resource Center Finance Office Facilities Resource Center 6 years for accepted bids, 2 years for rejected bids Permanent Permanent/Life of facility Permanent/Life of facility Permanent/Life of facility Permanent/Life of facility 5 years for summary reports/Permanent for overall historical information Until equipment is no longer in service 4 years 4 years after disposal of vehicle 4 years Account Reconciliation (balance sheet) Account Request Documentation (new accounts) Accounting Reports (monthly reports, schedule department balances, transaction statements, account analysis, monthly and yearto-date salary and wage statements) Accounts Aging Accounts Payable Vouchers (attachments, claims, disbursements, expenses) Accounts Receivable Statements (centrally generated) Accounts Receivable Statements (originating units) Accounts Receivable Write-offs Agreements - Professional Service Agreements Controller Controller Controller Controller 6 years 3 years after account becomes inactive Controller Controller 20 years Controller Controller Controller Controller 20 years for year-ending listing 6 years Controller Controller 6 years Originating Units Originating Units 6 years Controller Originating Units Controller Originating Units Permanent 2 years Agreements and Contracts Controller/Originating Units Controller 6 years after expiration date FINANCE Accounting & Finance Contracts & Procurement January 13, 2015 Page 9 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Annual Financial Reports and Work Papers Athletic Event Cash Reconciliation Audit Reports AU's insurance policies Banking Records (deposit and withdrawal records, bank statements & reconciliation, voided & cancelled checks) Billing Records (originating units) Capital Equipment Records Controller Controller Internal and External Auditors Finance Office Controller Controller Controller Finance Office Finance Office Controller Permanent 4 years Permanent Permanent 6 years Originating Units Controller Originating Units Controller Cash Receipts Chart of Accounts Chron Files Collection Records (originating units) Commercial Insurance Policies Contracts, Leases and Agreements Credit Card Receipts Depreciation Records Documents for Licenses, Leases, Construction Contracts, and other Contracts Controller Controller Finance Office Originating Units Finance Office Originating Units Originating Units Controller Finance Office Controller Controller Finance Office Originating Units Finance Office Controller Originating Units Controller Finance Office 6 years Life of asset - records of equipment purchased by federal funds must be retained for 3 years after final disposition 6 years Permanent 3 years 3 years after account is paid in full Permanent 6 years after expiration 2 years Life of asset 6 years after expiration Effort Certifications Equipment Inventory Transfer Excise Tax Returns Fee Receipts (originating units) Fringe Benefit Tax Returns General Ledger Statements Gift and Estate Agreements Grant and Contract Accounting Records Income Tax Returns Indirect Cost Rate Calculations Inventories Journal Entries and Back-Up Monthly Reconciliation of General Ledger Controller Controller Controller Originating Units Controller Controller Finance Office Controller Controller Controller Originating Units Controller Controller Controller Finance Office Controller Originating Units Controller Controller Finance Office Controller Controller Controller Originating Units Controller Controller 6 years 7 years 6 years 5 years 6 years 5 years Permanent 7 years after final financial form submitted Permanent 6 years Life of asset 6 years 4 years January 13, 2015 Page 10 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION New Account Records and Back-Up Paid Invoices Pension Tax Returns Procurement Card Charge Documentation Property Deeds, Easements, Rights of Way, Rights of First Refusal, Remainder Interests, Mortgages, all for current and former property Controller Controller Controller Controller Finance Office Controller Controller Controller Controller Archives 6 years after account closing 6 years 6 years 6 years Permanent Property Disposition Property Tax Returns Filed with Taxing Jurisdiction Purchase Orders Returned Checks Safe Keeping In Trust Accounts Sales Tax Returns Subsidiary Ledger Summary Analysis Reports (end of year fund, source, function) Title Insurance Policies Transaction Authority/Signature Cards Travel Reimbursements and Attachments Trial Balances Vendor History Reports Zoning orders and supporting documents Originating Units Controller Originating Units Finance Office 4 Years 6 years Controller Controller Controller Controller Controller Controller Controller Controller Controller Controller Controller Controller 6 years 4 years 4 years 6 years 6 years 6 years Finance Office Controller Controller Controller Controller Finance Office Finance Office Controller Controller Controller Controller Archives 10 years after disposal of property 6 years after authority expires 6 years 6 years 2 years after superseded Permanent Account Documentation (signature cards, forms, etc.) Daily Cash Book detail (account balances, account activity, ACH, repetitive and nonrepetitive wire request forms with approvals) Treasury Operations Treasury Operations Permanent Treasury Operations Treasury Operations 2 years Bank and Working Capital Investment Statements Signatory Policy Reports Endowment Custodial Bank Statements Treasury Operations Treasury Operations 2 years Treasury Operations Treasury Operations Treasury Operations Treasury Operations 7 years 2 years FINANCE Treasury Operations January 13, 2015 Page 11 American University Records Retention Schedule TYPE OF RECORD Rating Agency Liquidity Schedules Endowment Manager Statements Commercial Paper note orders Interest rate swap statements (value and collateral) Debt Custodial Bank Statements Tax-Exempt Bond Documents ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Treasury Operations Treasury Operations Treasury Operations Treasury Operations Treasury Operations Treasury Operations Treasury Operations Treasury Operations 2 years 2 years 2 years 2 years Treasury Operations Treasury Operations Treasury Operations Treasury Operations Life of bonds +3 years Life of bonds +3 years Affirmative Action Programs and compliance records Benefit plan termination Benefit plans and all amendments Benefit Summary Plan Descriptions Benefits Policies & Procedures Human Resources Human Resources 2 years Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources 6 years Permanent 6 years Life of the program or contract plus 2 years Changes to benefit plans--notice or reportable events Conciliation Agreements/Consent Orders Employee Personnel Files (including, application, resume, payroll/salary, appointment forms, position description, performance evaluations) Involuntary termination Employee Personnel Files (including, application, resume, payroll/salary, appointment forms, position description, performance evaluations) Voluntary termination Employee Policies & Procedures Employment Verification Requests Federal reporting requirement--welfare benefits and other fringe benefit plans FMLA Records Human Resources Human Resources 6 years Human Resources Human Resources Human Resources Human Resources Permanent Permanent Human Resources Human Resources 6 years after voluntary termination Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources Permanent 3 years Permanent Human Resources Human Resources 6 years from date of employment termination HIPAA Documents Human Resources Human Resources I-9 Forms Originating Units Human Resources 6 years from date of creation or date on which document was last effective (whichever is later) 3 years or 1 year after termination Human Resources January 13, 2015 Page 12 American University Records Retention Schedule TYPE OF RECORD Individual Employment Letters Non-academic Search & Hiring Forms Performance Appraisals Record of benefit premium payments Requests for disability accommodation ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY Human Resources Human Resources Originating Units Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources Human Resources Sexual Harassment Complaints (investigations Human Resources and findings) Staff Complaints (Formal) Human Resources Visas - H-1 & J-1 Visa Records Originating Units Human Resources DURATION Human Resources Originating Units 6 years after termination 3 years from date of hire 3 years after separation 3 years 7 years after voluntary/involuntary employment termination 3 years from determination for no cause findings, permanent for cause findings 3 years after settled 6 years after expiration of visa Originating Units General Counsel General Counsel Archives General Counsel Finance Office Permanent Permanent Permanent General Counsel General Counsel General Counsel General Counsel Finance Office Finance Office Permanent Life of patent plus 6 years Permanent Annual Payment Records (W2, alpha lists, employee transaction lists) Deduction Authorization Payroll Office Payroll Office 15 years Payroll Office Payroll Office Imputed Income Records (auto usage) Information Returns Filed with Federal & State Authorities Leave Reporting Documents Paycheck Register Payroll Adjustments Payroll Advices (pay stubs) Payroll Check Delivery Payroll Register Payroll Tax Returns (W-2, social security) Payroll Office Payroll Office Payroll Office Payroll Office 4 years after authorization expires or is superseded 6 years 6 years Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll Office Payroll unemployment tax (DC) Payroll Office Payroll Office Legal, Patent & Trademark, Inventions Invention Assignment Forms Lawsuits Original Patents, Trademarks, and Related Work Papers Releases Royalty Records Settlements Payroll January 13, 2015 4 years 6 years 5 years 3 years 3 years 6 years 15 years after the actual due date of the returns 7 years Page 13 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Record of Payments & Deductions (deduction Payroll Office & adjustment lists) Tax Withholding Authorization Payroll Office Payroll Office 5 years Payroll Office Timesheets Unclaimed Property Records (Name and Address Data) Originating Units Payroll Office Payroll Office Payroll Office 5 years after authorization expires or is superseded 3 years 10 years Asbestos Bicycle License/Registration Certificates of Insurance & Hold Harmless/Indemnification Agreements Chemical Incidents Crime Reports DMV Lists Driver Certification Emergency Management and Business Continuity Plans Employee Acknowledgement of Safety Rules Risk Management Public Safety Risk Management Finance Office Public Safety Finance Office 30 years after termination 2 years 6 years after expiration Risk Management Public Safety Public Safety Risk Management Risk Management Finance Office Public Safety Public Safety Finance Office Finance Office Public Safety Public Safety 40 years after incident 7 years after report date Until Superseded 3 years Retain in office 10 years then transfer to Archives 4 years after employee separation Environmental Regulation Violations Evacuation Drill Records Fire Alarm & Drill Fire Protection Systems Records Fume Hood Testing Records Hazardous Waste Disposal Manifests and Reports Historical Policies (executive correspondence, policy statements, directives) Risk Management Risk Management Public Safety Risk Management Risk Management Risk Management Finance Office Finance Office Public Safety Finance Office Finance Office Finance Office 10 years 5 years 7 years 5 years 3 years 3 years Risk Management Finance Office Permanent Identification Cards Incident & Accident Reports Incident Records Inspection Cards Insurance Policies Public Safety Public Safety Risk Management Public Safety Risk Management Public Safety Public Safety Finance Office Public Safety Finance Office 2 years after last contract 7 years after report date 5 years 5 years Permanent Risk Management, Safety Services, Insurance January 13, 2015 Page 14 American University Records Retention Schedule TYPE OF RECORD Key Issuance Legal action insurance records Occupational Injury or Illness Parking Citations Parking Permits Portable Extinguisher Training Records Property Damage Reports RAD - Exposure Assessments: Landauer: 1991-1993 Proxtronics: Aug.-Sept 1989 RAD - Final status report: 2010 RAD - NRC License RAD - Termination & amendment requests for licenses RAD - Termination paperwork for license 0808371-05 Settled claims Vehicle Accident Worker's Compensation Claims ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Public Safety Risk Management Risk Management Public Safety Public Safety Risk Management Public Safety Risk Management Public Safety Finance Office Finance Office Public Safety Public Safety Finance Office Finance Office Finance Office 2 years after key is returned 10 years after resolution 5 years 2 years after resolution 2 years 3 years 4 years after report date 30 years Risk Management Risk Management Risk Management Finance Office Finance Office Finance Office After request made to USNRC After request made to USNRC After request made to USNRC Risk Management Finance Office After request made to USNRC Risk Management Public Safety Risk Management Finance Office Finance Office Finance Office 7 years after settled 4 years after report date 10 years Student Accounts Student Accounts Student Accounts Student Accounts 3 years after loan is paid in full 6 years Academic search plans and statements University Library University Library Accounting reports/deposit receipts from service desks ACT Donor Database Affirmative Action Search Faculty files American University Press Anonymous or aggregate assessment data Appraisal of Library Materials Artifact Acquisition Assessment data-personally identifying information Associate borrowers forms University Library University Library Permanent for successful candidates; 3 years for others 5 years University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library Permanent 7 years from search date Permanent Permanent Permanent Permanent Length of Project University Library University Library 1 year Student Accounts Tuition & Fee Charges University Library January 13, 2015 Page 15 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Building renovation files Circulation for books Circulation Records Circulation system user notes Circulation system user records CLS records for articles Collection & Acquisition Exchange Collection Control Collection or Artifact Loan Deaccession Donor files Exhibit Fine records University Library Council (agendas, correspondence, minutes, reports) ILL records for CONTU ILL records of request Initial order records for books, serials, and eresources Laptop borrowers agreements Library policies Library publications (e.g., manuals, handbooks, etc.) Library statistics Library websites and individual pages Locker agreements Materials checked out Meeting agendas, minutes, reports for teams and library-wide committees One Card-all receipts retained by department University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library Permanent Until withdrawn 90 days after Return of materials Permanent 3 years with no active fines 6 months Permanent Permanent 20 years after Termination of loan Permanent Permanent Permanent Permanent Permanent University Library University Library University Library University Library University Library University Library 5 years 3 years 6 years University Library University Library University Library University Library University Library University Library 1 semester Permanent Permanent University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library Permanent Permanent 1 year Not retained Permanent University Library University Library 5 fiscal years Personal faculty annual reports Proxy forms Reference Request Records Requests for items to be put on reserves University Library University Library University Library University Library University Library University Library University Library University Library Permanent 1 year 5 years 2 years January 13, 2015 Page 16 American University Records Retention Schedule TYPE OF RECORD ORIGINATING DEPT / OFFICE RESPONSIBLE POSITION OFFICIAL REPOSITORY DURATION Security incident reports Serial Records Signed part-time payroll cards Student employment records Surveys Team agendas, minutes, reports Tenure and Promotion Reviews Theses and Dissertations ULFC agendas, minutes, policies University Archives Researcher Forms University Librarian and Assistant/Associate University Librarians (UL chron file) University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library University Library Human Resources University Library University Library University Library University Library University Library University Library University Library 3 years Permanent 7 years from date of pay period 6 years after termination Permanent Permanent 3 years Permanent Permanent Permanent Permanent University Library budget University Library University Library Permanent WAMU January 13, 2015 Page 17
