Records Management Schedule, Appendix A

Record Title	Description	Retention Period Hardcopy/Electronic Records	Official Repository	Authority
Governance and Corporate Records	Board of Trustee Records	Articles of Incorporation, Bylaws, Amendments	Permanent	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Awards issued by the Board	Permanent – part of Board minutes	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Board of Trustee Member Records	Permanent	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Board of Trustees Meeting Agendas, Minutes, Resolutions, Communications	Permanent	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Board of Trustee Standing Committee Meeting Agendas, Minutes, Resolutions, Communications	Permanent	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Executed Conflicts of Interest Forms	Permanent	General Counsel (while current); Archives
Governance and Corporate Records	Board of Trustee Records	Honorary Degrees	Permanent	Marketing and Communication, Archives
Governance and Corporate Records	President’s Office Records	Presidential Records (e.g., calendars, speeches, videos, office subject files, invitations/announcements, etc.)	Retain until no longer of administrative value; then transfer records of historical value to Archives	President Office (while current); Archives
Governance and Corporate Records	President’s Office Records	Institutional Strategic Plan and Supporting Documents	Retain as long as active; then transfer to Archives	President Office (while current); Archives
Governance and Corporate Records	President’s Office Records	Institutional Strategic Planning Records	Permanent for final planning reports 10 years for internal planning committee materials	President Office (while current); Archives
Governance and Corporate Records	President’s Office Records	Legislative Relations Records	5 years; then transfer to Archives	President Office (while current); Archives
Governance and Corporate Records	President’s Office Records	Presidential Awards	Permanent	Archives
Governance and Corporate Records	General Institutional Records	Campus-wide Policies & Handbooks	Retain as long as active; then transfer to Archives	Applicable Office/Department
Governance and Corporate Records	General Institutional Records	Standing Committee Membership/Charters/Minutes	Retain as long as active; then transfer to Archives to determine historical value	President Office (while current); Archives
Governance and Corporate Records	General Institutional Records	Correspondence – General: Correspondence received or sent which do not contain significant information about a University programs. Records include, but are not limited to, letters sent and received; memoranda; notes; transmittals; acknowledgments; community affair notices; routine requests for information or publications; enclosures and attachments	Retain as long as administrative value, but not longer than 2 years	Applicable Office/Department
Governance and Corporate Records	General Institutional Records	Correspondence – Administrative: Correspondence received or sent which contain significant information about an institution’s programs. Records include, but are not limited to, letters sent and received, policy memoranda, notes, enclosures, and attachments.	Retain as long as administrative value; then transfer to Archives to determine historical value	Applicable Office/Department
Governance and Corporate Records	General Institutional Records	Correspondence – Ephemeral / Transient: communications received or sent which do not contain significant information about a University program, fiscal status or campus operations. Records include, but are not limited to, advertising circulars, desk notes, memoranda, and other records of an informational nature	Until Read	Applicable Office/Department
Governance and Corporate Records	General Institutional Records	Correspondence Executive: regarding significant events and the development of administrative structure, policies, and procedures of this office. It may also record the historical development of the office. Records may include: letters sent and received; notes; directives; acknowledgments; and memoranda.	Retain as long as administrative value; then transfer to Archives to determine historical value	Applicable Office/Department
Governance and Corporate Records	General Institutional Records	Organizational Charts	Retain as long as active; then transfer to Archives to determine historical value	President
Governance and Corporate Records	General Institutional Records	Mission Statement	Permanent	President Office (while current); Archives
Governance and Corporate Records	General Institutional Records	Non-Presidential Speeches	1 year; then transfer to Archives to determine historical value	Applicable Administrator Office; Archives
Student Records	Admissions Records for Applicants Who Are Not Accepted, Not Entered, or Application is Incomplete	Records of applicants who were either denied; who were accepted but not entered; or who never completed the application process	1 year after completion of admission process	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Admissions Letters (including admission, denial or waitlist)	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Correspondence, relevant	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Applications for Admissions or Re- admissions	1 year after first term of enrollment	Registrar’s Office	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Credit by Examination (Advanced Placement, CLEP, etc.)	1 year after first term of enrollment	Registrar’s Office	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Entrance Examination (Standardized text scores, such as ACT/SAT, MCAT, GRE, TOEFL, etc.)	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Supporting Documentations (e.g., Letters of Recommendation, Resumes and Essays)	Until Admitted	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	High School and Other College Transcripts	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Military Records	3 years after graduation or date of last attendance	Financial Aid	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Release from High School or Dual Enrollment forms	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Residency Classification forms	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Admissions Records for Applicants Who Enroll	Placement Test Scores/Reports	3 years after graduation or date of last attendance	Registrar	AACRAO
Student Records	Student Academic Records	Academic Advising Records	5 years after graduation or date of last attendance	Advisor	AACRAO
Student Records	Student Academic Records	Academic Warning (notice of academic action related to academic non-performance/deficiency)	5 years after graduation or date of last attendance	Registrar	AACRAO
Student Records	Student Academic Records	Academic Suspension (notice of academic action related to academic non-performance/deficiency)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Academic Integrity Violations – with sanctions	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Academic Records – miscellaneous (narrative evaluations, competency assessments, etc.)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Correspondence, student (related to academic records, inquiries)	5 years after graduation or date of last attendance	Registrar	AACRAO
Student Records	Student Academic Records	Grievance/complaint by student (various course/exam related issues, not grade or FERPA disputes)	Until administrative need satisfied	Academic Affairs	AACRAO
Student Records	Student Academic Records	Leave of Absence Forms	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Study Abroad Student Records	5 years after graduation or date of last attendance	Civic and Global Engagement	AACRAO
Student Records	Student Academic Records	Major changes, certification of 2nd majors, minors	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Petitions (exceptions to academic policies, regulation)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Thesis/Dissertation	Permanent	Academic Affairs	AACRAO
Student Records	Student Academic Records	Transcripts	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Enrollment Verifications (verifications of enrollment, graduation, GPA, and other related academics)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Teacher Certifications	Until administrative need satisfied	School of Education	AACRAO
Student Records	Student Academic Records	Application for degree or other credential (degree application, record of degree name, etc.	3 years after graduation or date of last attendance	Academic Program, Registrar	AACRAO
Student Records	Student Academic Records	Graduation lists (lists of graduates for graduating class)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Substitutions/waivers (approval to meet program requirements with administrative action)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Exams (final)/graded coursework	1 year after course completion	Course Instructor	AACRAO
Student Records	Student Academic Records	Grade appeal/complaint (student final grade dispute)	1 year after course completion	Course Instructor	AACRAO
Student Records	Student Academic Records	Grade book – faculty (record of students in course and work completed)	5 years after course completion	Course Instructor	AACRAO
Student Records	Student Academic Records	Grade change forms (Record of authorization to change grades)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Grade reports (midterm)	End of Term	Course Instructor	AACRAO
Student Records	Student Academic Records	Grade submission sheets/data (original records of grades submitted at end of term)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Name change authorizations	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Personal data information forms (change of address, race/ethnicity questionnaires, and other demographic forms)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Student Transfer Credit Evaluations	3 years after graduation	Registrar	AACRAO
Student Records	Student Academic Records	Class Schedules (student schedules for each semester)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Class lists (record of class rosters for each semester)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Course repeat form/approval	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Credit/no credit, audit, or pass/no pass approvals (authorization from various enrollment options)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Enrollment changes (record of student add/drop/withdraw from class)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Registration/enrollment records (initial registration forms, current enrollment records)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Withdrawal/cancellation of enrollment records (record of request to withdraw from all classes)	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Electronic Data – Data change logs (electronic log of changes to enrollment and other data, including date/time stamp information and user that changed data if that data is maintained separately in system)	10 years	Registrar	AACRAO
Student Records	Student Academic Records	Electronic Data – Emails and other electronic communications that authorize academic/enrollment actions and /or provide directory/non directory information about a student.	Until administrative need satisfied	Registrar	AACRAO
Student Records	Student Academic Records	Electronic Data – Enrollment data (Electronic records of enrollment is classes, including records of drop, add and enrollment change activity.	10 years	Registrar	AACRAO
Student Records	Student Academic Records	Electronic Data – Grade data (Electronic record of submitted grades and grade changes, including date/time stamp and user data)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Electronic Data – Student Demographic Information (electronic student data including student characteristics, date of birth, former names, address information, photo ID and ethnic	50 years	Registrar	AACRAO
Student Records	Student Academic Records	Catalogs (Published annually, record of courses, degrees, and programs of study offered)	Permanent	Registrar & Archives	AACRAO
Student Records	Student Academic Records	Commencement programs (Published record of graduates for public)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Degree Statistics (record of degrees granted by institution per graduation term and/or annually)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Enrollment Statistics (per semester report of enrolled by students, e.g. by class, by course, totals, headcount, and FTE)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Grade distribution and other grade statistics (Report of grades given, including summary grade point statistics by class)	Permanent	Registrar	AACRAO
Student Records	Student Academic Records	Instructor evaluations (by students)	one semester or until administrative need is satisfied	Institutional Research	AACRAO
Student Records	Student Academic Records	Race/ethnicity reporting (report of student enrollment, graduation, and other metrics by race and ethnic origin)	Permanent	Institutional Research	AACRAO
Student Records	Financial Aid Records (Note 1)	Application data submitted to the Dept. of Education or lender by AU on behalf of the student	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Audit and review reports	Until audit/review questions are resolved or until the end of the retention period applicable to the records, whichever is later	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Bank statements for accounts containing Student Financial Aid funds	3 years from end of award year	Office of Student Accounts	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Campus-based aid (Perkins loan, SEOG, and Federal Work Study)	3 years from end of award year	Financial Aid, Career Education (Federal Work Study)	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Data used to establish student’s admission, enrollment status, period of enrollment	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Date and amount of disbursements	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation of initial or exit loan counseling	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation of student’s eligibility	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation of student’s program of study and courses enrolled in	3 years from end of award year	Registrar	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation of student’s satisfactory academic progress	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation related to the receipt of aid, such as: amount of grant, loan, Federal Work Study award; and calculations used to determine aid amounts	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documentation supporting the school’s calculation of its completion/graduation or transfer-out rate	3 years from end of award year	Institutional Research	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Documents used to verify applicant’s data	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Federal work-study payroll records	3 years from end of award year	Human Resources, Career Education	34 C.F.R. § 668.24
Student Records	Financial Aid Records	FFEL and Direct Loans: -Student or Parent Borrower -Borrower’s eligibility records -All other records/reports	3 years from end of award year or 3 years from date of last attendance, whichever is later	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Fiscal Operation Report (FISAP)	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Ledgers identifying Student Financial Aid transactions	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Other records pertaining to financial responsibility and standards of administrative capability	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Pell Grant Reports	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Perkins promissory notes and repayment schedules	Until loan is satisfied	Financial Aid	34 CFR § 674.19
Student Records	Financial Aid Records	Perkins repayment records	3 years from date loan assigned, canceled, or repaid	Controller / Bursar	34 CFR § 674.19
Student Records	Financial Aid Records	Program Participation Agreement	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Records of student accounts	3 years from end of award year	Controller / Bursar	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Records of Student Financial Aid program transactions	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Records supporting data on required reports, such as: -Student Financial Aid program reconciliation reports, -Audit reports and school responses, -Pell grant statements of accounts, -Accrediting and licensing agency reports	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	Reports and forms used for participation in the Student Financial Aid program	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	State agency reports	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	Financial Aid Records	The Student Aid Report or Institutional Student Information Record (ISIR)	3 years from end of award year	Financial Aid	34 C.F.R. § 668.24
Student Records	International Student Documents	Permanent Resident Card (“Green Card” or Form I-551))	3 years after graduation or date of last attendance	Registrar	AACRAO
Student Records	International Student Documents	DS-2019 (certificate of eligibility for J1 visa status)	3 years after graduation or date of last attendance	Office of Civic and Global Engagement	AACRAO
Student Records	International Student Documents	Employment authorization	3 years after graduation or date of last attendance	Registrar	AACRAO
Student Records	International Student Documents	I-20 (Certificate of eligibility for F-1 visa)	3 years after graduation or date of last attendance	Office of Civic and Global Engagement	AACRAO
Student Records	International Student Documents	I-94 Card	3 years after graduation or date of last attendance	Office of Civic and Global Engagement	AACRAO
Student Records	International Student Documents	Passport Number	3 years after graduation or date of last attendance	Office of Civic and Global Engagement	AACRAO
Student Records	International Student Documents	Statement of educational costs	3 years after graduation or date of last attendance	Financial Aid	AACRAO
Student Records	International Student Documents	Statement of financial responsibility	3 years after graduation or date of last attendance	Office of Student Accounts	AACRAO
Student Records	International Student Documents	Transcripts – High School	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	International Student Documents	Transcripts – Other Colleges/Universities	3 years after graduation or date of last attendance	Enrollment Management	AACRAO
Student Records	Student Conduct Records	Actions warranting Clery Reporting or Title IX/VAWA Violations	7 years from date of incident; records for expelled students kept permanently	Student Affairs, Community Standards and Student Conduct	20 USC § 1092(f)
Student Records	Student Conduct Records	Code of Conduct Violations resulting in expulsion	Permanent	Student Affairs, Community Standards and Student Conduct	Best Practice
Student Records	Student Conduct Records	All other Code of Conduct Violations	7 years after the graduation date of the student or 4 years from the date of the incident for student organizations	Student Affairs, Community Standards and Student Conduct
Student Records	Student Conduct Records	Electronic recordings of University Code of Conduct hearings	Through the resolution of the conduct process or litigation; 7 years for Title IX hearings	Student Affairs, Community Standards and Student Conduct, Title IX	34 CFR Part 106
Student Records	Resident Life Records	University Housing Incident Reports	7 years after the graduation date of the student	Student Affairs, Campus Life
Student Records	Resident Life Records	University Housing Records (e.g., Room Condition Reports, Emergency Contacts, Check-out Paperwork, Incident Reports, Weekly Key Audit Reports, Phone Logs, Invoices and Receipts)	7 years after expiration of contract or room assignment	Student Affairs, Campus Life
Student Records	Veterans Records	Veterans administration records: – Grade reports and/or statements of progress (academic records) – Change of course forms – Transfer credit evaluations – Degree audit records – Tuition and fees charged to and collected	3 years after graduation or date of last attendance	Financial Aid	38 CFR 21.4209(f) AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Requests for formal hearings (Student-initiated request for formal hearing regarding amendment of education record)	Permanent, as long as the record is maintained	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Requests for and disclosures of personally identifiable information (Necessary for compliance with recordkeeping requirements in FERPA)	Permanent, as long as the record is maintained	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Requests for nondisclosure of directory information (Student request to opt-out of directory information disclosure)	Permanent, as long as the record is maintained	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Statements on consent of records regarding hearing panel decisions (If student request for amendment of record is not granted, then student statement must be maintained in the record, and disclosed whenever the record is disclosed)	Permanent, as long as the record is maintained	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Written consent for records disclosure (Student signed, electronic or paper, authorization for disclosure of education record)	Permanent, or 180 days for one-time disclosure consent	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Waivers for rights of access (Covers confidential letter and statements of recommendations related to the student’s admission, application for employment, or receipt of an honor or honorary recognition)	Permanent, or 180 days for one-time disclosure consent	Registrar	FERPA AACRAO
Student Records	Family Educational Rights & Privacy Act (FERPA) Records	Written decisions of hearing panels (Decisions resulting from formal hearings regarding amendment of education records)	Permanent, as long as the record is maintained	Registrar	FERPA AACRAO
Student Records	Federal Disclosure Records	College Costs, deamidation, textbook information, (Complies with the Higher Education Opportunity Act)	3 years from date of required disclosure	Financial Aid	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Federal Disclosure Records	Transfer credit policy (Complies with the Higher Education Opportunity Act)	3 years from date of required disclosure	Registrar	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Federal Disclosure Records	Crime Statistics/Security Reports (Complies with Clery Act reporting requirements)	3 years from date of required disclosure	Public Safety	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.46); AACRAO
Student Records	Federal Disclosure Records	Graduation/completion, Transfer Out Data (Complies with Student Right to Know legislation)	3 years from date of required disclosure	Institutional Research	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Federal Disclosure Records	Institutional information (Cost of attendance)	3 years from date of required disclosure/end of award year	Financial Aid	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Federal Disclosure Records	Institutional information (Cost of attendance)	3 years from date of required disclosure/end of award yea	Financial Aid	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Federal Disclosure Records	Institutional information (withdrawal procedures)	3 years from date of required disclosure/end of award year	Registrar	Higher Education Opportunity Act (20 U.S.C. 1092 and 34 CFR § 668.24); AACRAO
Student Records	Student ADA Records	ADA Student Accommodation Records File (e.g., Request for Accommodation, Supporting Documents, Letter of Accommodation, Signed Released Forms, Correspondence)	5 years from close of academic term	Disability Support Services
Student Records	Student ADA Records	ADA Accommodation Records for Testing	5 years from close of academic term	Disability Support Services
Student Records	Student Organization Records	Student Organization Event Records	5 years	Student Affairs
Student Records	Student Organization Records	Student Organization Governance Documents (Constitution, Bylaws, etc.)	Permanent	Student Affairs / Archives
Student Records	Student Organization Records	Anti-Hazing Forms	5 years after graduation or date of last attendance	Student Affairs
Student Records	Student Organization Records	Student Organization Tuition and Fee Charges	5 years	Student Affairs
Academic Affairs Records	Academic Administration Records	Institutional and Specialized / Program Accreditation Documents – Significant (e.g., Self-Study and Accreditation Letters)	Self-study reports are retained until the next review; Visiting team documents and report and the accreditation are retained permanently.	Academic Affairs
Academic Affairs Records	Academic Administration Records	Institutional Accreditation Documents – Routine (e.g., Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records)	6 years after accreditation approved or denied	Academic Affairs
Academic Affairs Records	Academic Administration Records	Specialized and/or Program Accreditation Documents – Routine (e.g., Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records)	6 years after accreditation approved or denied	College, Department, Program that is accredited
Academic Affairs Records	Academic Administration Records	Academic Program Audit Materials	11 years	Academic Affairs	22 Pa. Code § 31.51
Academic Affairs Records	Academic Administration Records	Articulation Agreements	5 years from expiration of agreement	General Counsel
Academic Affairs Records	Academic Administration Records	Academic Program Proposals (for successful registration of program)	Permanent	Academic Affairs, Archives
Academic Affairs Records	Academic Administration Records	Academic Program Proposals (for failed proposal)	0 after no longer needed	Academic Affairs
Academic Affairs Records	Academic Administration Records	Curriculum Proposals – Approved (Documentation of planning and development of approved academic course or program)	Permanent	Academic Affairs
Academic Affairs Records	Academic Administration Records	Class Schedules – schools, departments, and programs’ schedule of classes	Permanent	Registrar & Archives
Academic Affairs Records	Academic Administration Records	Course Materials – syllabi, course descriptions, course outlines, course summaries, lists of classes by term, bibliographies, reading lists, course announcements, handout materials, and related documents	Course Descriptions and Syllabi: Permanent All Other Materials: After Semester	Academic Affairs, Departments, Archives
Academic Affairs Records	Academic Administration Records	Faculty Senate: Agenda & Minutes	Permanent	Academic Affairs, Faculty Senate, Archives
Academic Affairs Records	Academic Administration Records	Faculty Handbook	Permanent	Academic Affairs, Archives
Athletic Department Records	Athletic Department Records	NCAA Eligibility and Compliance Records	6 Years after initial enrollment or last day of attendance, whichever is longer	Athletic Department
Athletic Department Records	Athletic Department Records	Game Statistics	Permanent	Athletic Department
Athletic Department Records	Athletic Department Records	Individual Student- Athletes Records: Academics, Equipment, Insurance, Forms, etc.	6 Years after initial enrollment or last day of attendance, whichever is longer	Athletic Department
Athletic Department Records	Athletic Department Records	Student Athlete Substance Abuse Testing Records	Positive Results: 6 yrs after last entry; Negative Results: 3 years after last entry	Athletic Department
Athletic Department Records	Athletic Department Records	Recruiting Records	6 Years	Athletic Department
Athletic Department Records	Athletic Department Records	Photographs (Student- Athletes, Coaches, Staff)	Permanent	Athletic Department, Archives
Athletic Department Records	Athletic Department Records	Student Athlete Medical Records; Sports Medicine Records; Physical	7 years	Athletic Department
Athletic Department Records	Athletic Department Records	Title IX & Demographic Records	7 years	Office of Equity & Civil Rights	34 CFR 106.41
Athletic Department Records	Athletic Department Records	Coach Certification Exam Results	7 years	Athletic Department
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Accounts Payable & Receivable Ledgers & Schedules	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 American Institute of Certified Public Accountants (“AICPA”) Guidance
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Annual Audit Reports	External Reports: Permanent Internal Reports: 3 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Bank Reconciliations	2 years	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Bank Statements after tax return is filed	3 years	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Cash Receipt Records	3 years	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Checks (canceled) / Electronic Payment Records (see exception below) or other documents that identify payee, amount and proof of payment/electronic funds transferred	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Checks (canceled) / Electronic Payment Records for important payments – i.e., taxes, purchases of property, special contracts, etc.	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Contracts and Leases & Related Correspondence	5 years after expiration	Financial & Administrative Services	42 Pa. C.S. § 5525
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Credit Card Receipts and Statements	3 years	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Credit Card Data	5 years	Financial & Administrative Services	Payment Card Industry’s Data Security Standard (PCI DSS)
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Deeds, mortgages, bill of sales for real estate	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Depreciation Schedules	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Determination Letters from IRS/PA Dept of Revenue & related correspondence	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Disclosure reports regarding contracts with foreign sources with a total value of at least $250,000 during a calendar year	7 years	Financial & Administrative Services	20 U.S.C. § 1011f(e)
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Expense analysis/expense distribution schedules	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Endowment	Permanent	Financial & Administrative Services
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Export Control Records	5 years from the later of the date of export or any re export or diversion or other termination of the transaction	Financial & Administrative Services	15 C.F.R. § 762.2 15 C.F.R. § 762.6
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Financial Statements (year-end)	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Financing (Debt) Records (e.g. records relating to bonds and debentures, letters of credit, loan agreements and applications, documentation that financing obligations have been paid off)	7 years	Financial & Administrative Services	26 C.F.R. § 1.167(A)-11,12 26 C.F.R. § 301.6501(a)-1
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Fixed Asset Purchases	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Insurance policies (expired)	3 years	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Insurance records, current accident reports, claims, policies, etc.	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Investment Records	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Invoices (to customers, from vendors)	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	IRS Form 990	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Journal Entries	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Notes receivable ledgers & schedules	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Petty Cash vouchers	3 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Property records, including costs, depreciation reserves, year-end balances, depreciation schedules, blueprints, and plans	Permanent	Financial & Administrative Services	AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Purchase Orders	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Sales Records	7 years	Financial & Administrative Services	IRS Publication 4221-PC IRS Publication 583 26 USC § 6501 AICPA
Business, Finance & Accounting Records	Business, Finance & Accounting Records	Tax Returns & worksheets, revenue agents’ reports, and other documents relation to determination of income tax liability	Permanent	Financial & Administrative Services	AICPA
Donor, Gift and Development Records	Development & Alumni Relations Records	Gift Receipts/Acknowledgements	7 years	Development & Alumni Relations	26 USC § 6501(e)(2)
Donor, Gift and Development Records	Development & Alumni Relations Records	Fundraising Records	Current year + 7 years	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Donor Records and Agreements – Endowment	Permanent as determined by needs of University	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Planned Giving Documents for endowment gifts, as well as gifts of art, historical artifacts or manuscripts	Permanent as determined by needs of University	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Donor Agreements Related to all other Gifts/Donations	Permanent as determined by needs of University	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Development and Alumni Relations Planning Records	Permanent as determined by needs of University	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Monthly Gifts and Grant Reports	3 years after the submission of the final financial report	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Giving Reports	7 years after report is created	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Donor & Development Records (Records that document the efforts to establish relationships with alumni, the community groups, individuals, and businesses, to gain their assistance with the development and coordination of institutional programs. File may include reports, brochures, newsletters or publications, agendas, minutes, correspondence, and other related records)	Retain agendas, minutes, publications, newsletters, brochures permanently. Retain all other records for current year + 7 years	Development & Alumni Relations
Donor, Gift and Development Records	Development & Alumni Relations Records	Disclosure reports regarding gifts from foreign sources with a total value of at least $250,000 during a calendar year	7 years	Development & Alumni Relations	20 USC §1011f(a)-(e)
Donor, Gift and Development Records	Development & Alumni Relations Records	Naming Gifts	Duration of the naming requirement plus 10 years	Development & Alumni Relations
Donor, Gift and Development Records	Alumni Records	Alumni Directory or other master summary records of alumni	Permanent	Development & Alumni Relations, Archives
Donor, Gift and Development Records	Alumni Records	Alumni contact records including, but not limited to, name, address, occupation, degree attained, marital status, and summary records of financial contributions of alumni	Until obsolete	Development & Alumni Relations
University Marketing & Communication Records	University Marketing & Communication Records	Photographs, video, other Images (Including Supporting Photography Consent Form, Release, Waiver, or Similar Necessary Authorizations)	Permanent as Determined by Historical Relevance – One Copy	Marketing and Communication, Archives
University Marketing & Communication Records	University Marketing & Communication Records	Advertising and Public Relations Materials	Permanent as Determined by Historical Relevance (One Copy) or 1 year as determined by University	Marketing and Communication, Archives
University Marketing & Communication Records	University Marketing & Communication Records	Media/Public Relations Records Examples include: press releases, student newspapers, public relations materials, commencement publicity	Retain as long as active; then transfer to Archives to determine historical value	Marketing and Communication, Archives
University Marketing & Communication Records	University Marketing & Communication Records	University Publications (non Catalog) -Brochures -Directories -Magazines -Media Guides -Newsletters	Retain as long as active; then transfer to Archives to determine historical value	Marketing and Communication, Archives
University Marketing & Communication Records	University Marketing & Communication Records	University Wide Events Event Records (e.g. Guest List, Invitations, Seating Charts, Brochures, Agenda and Other Materials Memorializing the Event)	Retain as long as active; then transfer to Archives to determine historical value	Marketing and Communication, Archives
University Marketing & Communication Records	University Marketing & Communication Records	Press Clippings	Permanent	Marketing and Communication, Archives
Government Relation Records	Government Relation Records	Government & Community Relations Records (e.g., Federal, State and Local Lobbying & Legislative Records, Reports and Correspondence with Government Agencies)	Permanent	General Counsel
Human Resources Records	Individual Applicants Who Are Not Hired	Employment Applications, Resumes, Other Replies to Job Advertisements	5 years from date record was made or human resources action is taken, whichever is later	Human Resources	28 U.S.C. § 1658; 29 CFR 1602.14; 29 CFR 1602.21
Human Resources Records	Individual Applicants Who Are Not Hired	Background Investigation Results	3 years after search completed	Human Resources	29 CFR 1602.14 29 CFR 1602.21
Human Resources Records	Individual Applicants Who Are Not Hired	Hiring Records	5 years from date record was made or human resources action is taken, whichever is later	Human Resources	28 U.S.C. § 1658; 29 CFR 1602.14; 29 CFR 1602.21
Human Resources Records	Current Employees	Employee Personnel Files	Separation of employment + 6 years	Human Resources	29 USC § 1027: 28 U.S.C. § 1658; 29 CFR § 1620.32 and 34 Pa. Code § 63.64
Human Resources Records	Current Employees	Employee Benefit Files	6 years after discontinuation or change of benefits	Human Resources	29 USC 1027; See also 34 Pa. Code § 63.64
Human Resources Records	Current Employees	Background Check Records	5 years	Human Resources	Fair Credit Reporting Act (FCRA)
Human Resources Records	Current Employees	403(b) Application Records and Retirement Plan Documents	Until the plan has paid all benefits & enough time has passed that the plan won’t be audited	Human Resources	ERISA §§ 107 and 209 (29 U.S. Code §§ 1027 & 1059)
Human Resources Records	Current Employees	Age Records	3 years	Human Resources	29 CFR § 516; 29 CFR § 1627.3
Human Resources Records	Current Employees	Employee ADA Records	3 years	Human Resources	29 C.F.R. 1602.14 42 U.S.C. § 2000e-8; 29 C.F.R. § 1627.3
Human Resources Records	Current Employees	Employee Grievance Action Case Files	2 years after the complaint is filed or the case is resolved for ADA, Title VII, and GINA complaints; 7 years for Title IX Complaints	Human Resources	29 CFR 1602.31; 20 U.S.C. 1681 et seq.
Human Resources Records	Current Employees	Continuation of Insurance Benefits (COBRA) Records	COBRA has no record-keeping requirements. However, many experts recommend that records be maintained for 6 years from the date of the record to remain consistent with ERISA requirements	Human Resources	29 USC 1027 (ERISA requirements); 42 USC 300bb-1 to 08 and 29 USC 1161 et seq
Human Resources Records	Current Employees	Family and Medical Leave Case Files	End of Leave + 3 years	Human Resources	29 C.F.R. §825.500
Human Resources Records	Current Employees	I-9 Forms and other Employment Verification Records (e.g., New Hire Report)	3 years after hire or 1 year after separation, whichever comes later	Human Resources	8 U.S.C. §1324; 8 C.F.R. § 274a.2
Human Resources Records	Current Employees	Military Leave Records	7 years; no statute of limitations under the Uniform Services Employment and Reemployment Rights Act (USERRA)	Human Resources	5 CFR § 1208
Human Resources Records	Current Employees	Job Descriptions	3 years	Human Resources	29 CFR § 516.6; 29 CFR § 1620.32
Human Resources Records	Current Employees	Promotion and Salary Increase Records	7 years after separation	Human Resources	29 USC 1027
Human Resources Records	Current Employees	Unemployment Compensation Records	End of calendar year in which contributions relating to the employee have been paid + 4 years	Human Resources	34 Pa. Code § 63.64
Human Resources Records	Current Employees	Workers’ Compensation Records	Close of case + 7 years	Human Resources	29 CFR 1904.33 (Labor, Regulations, OSHA, Recording and Reporting, Recordkeeping); PA Workers’ Compensation Act, 77 P.S. § 1–2708
Human Resources Records	Current Employees	Layoff Selection	5 years from date record made or personnel action taken	Human Resources	28 U.S.C. § 1658
Human Resources Records	Current Employees	Volunteer Registration, Waiver, & Release Forms	3 years after separation	Human Resources
Human Resources Records	Current Employees	Drug and Alcohol Testing Records: For any employees with commercial driver’s licenses employed to drive vehicles having a gross vehicle weight of at least 26,001 pounds and capable of transporting at least 16 passengers: records of all drug and alcohol tests, whether positive or negative; records of refusals to take such tests; records of canceled tests; driver evaluations and referrals; calibration documentation; annual summaries; all records related to the administration of such tests; records related to the education and training of breath alcohol technicians, screening test technicians, supervisors, and drivers	7 years beyond termination of employment	Human Resources	49 C.F.R. § 382.40
Human Resources Records	Payroll Records – Individual Employees	Payroll Records & Summaries	7 years	Human Resources	29 CFR §1627.3(a) 29 CFR §516.5 29 CFR §516.6 34 Pa. Code § 63.64 43 Pa. Stat. § 260.3
Human Resources Records	Payroll Records – Individual Employees	Payroll Additions/Deductions/ Overtime Authorization	7 years	Human Resources	FICA; 29 U.S.C. § 201-219; 28 U.S.C. § 1658; 29 CFR §516.5 29 CFR §516.6 See also 34 Pa. Code § 63.64: 43 Pa. Stat. § 260.3
Human Resources Records	Payroll Records – Individual Employees	Time Cards or Sheets	7 years	Human Resources	29 U.S.C. § 201-219; 28 § U.S.C. § 1658; 29 CFR § 1627.3 See also 34 Pa. Code § 63.64
Human Resources Records	Payroll Records – Individual Employees	Employment Tax Related Records (W-2, W-4, 1099, returns, schedules, etc.)	Until superseded or 7 years after separation	Human Resources	26 CFR §§ 31.6001-1-6; 29 CFR § 1620.32; See also 34 Pa. Code § 63.64
Human Resources Records	Payroll Records – Individual Employees	Garnishment Records	7 years	Human Resources	29 CFR § 516.5
Environmental Health & Safety Records	Environmental Health & Safety Records	Asbestos – Records identifying Asbestos-Containing Materials (ACM) in university-owned facilities	Permanent	Facilities Management	29 CFR 1910.1020
Environmental Health & Safety Records	Environmental Health & Safety Records	Asbestos – Records of asbestos/ACM waste disposal	2 years	Facilities Management	40 CFR 61.150(d)(5)
Environmental Health & Safety Records	Environmental Health & Safety Records	Asbestos Awareness Training	1 year past the date of last employment	Facilities Management	29 CFR 1910.1001 (m)(4)
Environmental Health & Safety Records	Environmental Health & Safety Records	Asbestos – Records documenting periodic surveillance, cleaning activities, operation and maintenance of university-owned facilities where asbestos/ACM is known or assumed to be present	3 years	Facilities Management	40 CFR 763.94(a)
Environmental Health & Safety Records	Environmental Health & Safety Records	Asbestos Medical Monitoring	30 years	Facilities Management	29 CFR 1910.1001 (m)(3)
Environmental Health & Safety Records	Environmental Health & Safety Records	Building Incident Reports – (Non Fire Related, Non-Exposure, Non-Environmental, Non-Radiation)	End of calendar year + 7 years	Facilities Management	Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act 20 U.S.C. § 1092(f)
Environmental Health & Safety Records	Environmental Health & Safety Records	Drug Screening, Employee Asbestos Monitoring, Employee Exposure Records, Employee Medical Records, Employee Medical and Exposure, and Accident Report Records	30 years after separation	Facilities Management	OSHA 1910.1001; OSHA 1910.20; OSHA 1910.1025
Environmental Health & Safety Records	Environmental Health & Safety Records	Chemical and Hazardous Waste Disposal Records	30 years	Facilities Management	40 CFR § 262.20
Environmental Health & Safety Records	Environmental Health & Safety Records	Confined Space – Completed Permits	3 years	Facilities Management	29 CFR § 1910.146 (e)(6)
Environmental Health & Safety Records	Environmental Health & Safety Records	Confined Space – Training Records	3 years	Facilities Management	29 CFR § 1910.146 (g)
Environmental Health & Safety Records	Environmental Health & Safety Records	Electrical Safety Work Practices – Training Records	3 years	Facilities Management	29 CFR § 1910.332
Environmental Health & Safety Records	Environmental Health & Safety Records	Emergency Action Plan Training Records	3 years	Facilities Management	29 CFR § 1910.38
Environmental Health & Safety Records	Environmental Health & Safety Records	Environmental Spill and Emergency Plans	Until superseded or outdated + 5 years	Facilities Management	25 Pa. Code 262a.100
Environmental Health & Safety Records	Environmental Health & Safety Records	Employee Exposure Records to toxic substances; Employee Exposure & Monitoring Records	30 years	Facilities Management	29 CFR § 1910.1020(d)
Environmental Health & Safety Records	Environmental Health & Safety Records	Fall Protection – Training Records	3 years	Facilities Management	29 CFR § 1926.503
Environmental Health & Safety Records	Environmental Health & Safety Records	Fire Prevention Plan – Training Records	3 years	Facilities Management	29 CFR § 1910.39
Environmental Health & Safety Records	Environmental Health & Safety Records	Fire Extinguisher Maintenance Records	1 year after the earlier of the last entry or the life of the shell	Facilities Management	29 CFR § 1910.157(e)
Environmental Health & Safety Records	Environmental Health & Safety Records	Records of Testing, Inspection and Repair of Fire Protection Equipment	7 years	Facilities Management	20 U.S.C. § 1092(f) (34 CFR § 668.46); 34 CFR § 668.49(c)
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazardous Building Materials Records	Transfer of ownership from AU + 30 years	Facilities Management	29 CFR Part 1910.20; Asbestos Standard For General Industry – OSHA 3095
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazard Communication Training Records	3 years	Facilities Management	29 CFR 1910.1200(g)
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazardous Waste – Annual Reports	3 years	Facilities Management	40 CFR 372 c
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazardous Waste Contingency Plan	5 years	Facilities Management	40 CFR 373-4
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazardous Waste Pickup Request Records	3 years	Facilities Management	40 CFR Section 262.40; PA 25 Section 284.703; Section 101 ESIGN Act
Environmental Health & Safety Records	Environmental Health & Safety Records	Hazardous Waste Management Training Records	3 years	Facilities Management	40 CFR 373-3.3
Environmental Health & Safety Records	Environmental Health & Safety Records	Hearing Conservation Training Records	3 years	Facilities Management	29 CFR 1910.95
Environmental Health & Safety Records	Environmental Health & Safety Records	Hot Work Permit	1 year	Facilities Management	OSHA General Safety
Environmental Health & Safety Records	Environmental Health & Safety Records	Lock-Out / Tag-Out Training Records	3 years	Facilities Management	29 CFR 1910.147
Environmental Health & Safety Records	Environmental Health & Safety Records	Noise Monitoring Records	2 years	Facilities Management	29 CFR 1910. 95(m)(3)
Environmental Health & Safety Records	Environmental Health & Safety Records	OSHA 300 Log and OSHA 301 Incident report Forms	5 years	Facilities Management	29 CFR 1904.33
Environmental Health & Safety Records	Environmental Health & Safety Records	Personal Protective Equipment – Training Records	3 years	Facilities Management	29 CFR 1910.132
Environmental Health & Safety Records	Environmental Health & Safety Records	Personal Protective Equipment – Assessment Records	10 years	Facilities Management	29 CFR 1910.132
Environmental Health & Safety Records	Environmental Health & Safety Records	Refrigerant Records	3 years	Facilities Management	40 CFR Part 82, Subpart F §82.154
Environmental Health & Safety Records	Environmental Health & Safety Records	Respirator Use – Training Records	3 years	Facilities Management	29 CFR 1910.134
Environmental Health & Safety Records	Environmental Health & Safety Records	Respirator Fit Testing Records	3 years	Facilities Management	29 CFR 1910.134
Environmental Health & Safety Records	Environmental Health & Safety Records	Safety Data Sheets Records	30 years from the date the substance was last received in the workplace	Facilities Management	29 CFR 1910.1020
Environmental Health & Safety Records	Environmental Health & Safety Records	Spill Prevention Control and Countermeasures Training Records – Training	3 years	Facilities Management	40 CFR 112
Environmental Health & Safety Records	Environmental Health & Safety Records	Work Related Illness and Injury Records	5 years	Facilities Management	29 CFR 1904.33
Equity and Civil Rights Records	Equity & Civil Rights Records	Title IX Records: -Each investigation including any determination regarding responsibility and any audio or audiovisual recording or transcript, any disciplinary sanctions imposed on the respondent, and any remedies provided to the complainant designed to restore or preserve equal access to the recipient’s education program or activity; -Any appeal and the result therefrom; -Any informal resolution and the result therefrom; -All materials used to train Title IX Coordinators, investigators, decision-makers, appeals officers, and any person who facilitates an informal resolution process; -Documentation of any supportive measures taken in response to a report or formal complaint of Sexual Harassment – Title IX, including documentation regarding the basis for any conclusion that the University’s response was not deliberately indifferent; -Documentation of why a complainant alleging Sexual Harassment – Title IX was not provided with supportive measures, including the reasons why such response was not clearly unreasonable in light of the known circumstances.	7 years; records for expelled students kept permanently	Office of Equity & Civil Rights	34 CFR § 106.45(b)(10)
Equity and Civil Rights Records	Equity & Civil Rights Records	Federal & State Required Statistics and Reports	7 years	Office of Equity & Civil Rights	29 CFR 1602.48
Equity and Civil Rights Records	Equity & Civil Rights Records	Self-Evaluation Reports	4 years	Office of Equity & Civil Rights	34 C.F.R. § 104.6(c)(2)
Facilities Management Records	Facilities Management Records	Building/Grounds Repair, Maintenance, Remodeling, and Construction Records	Permanent	Facilities Management
Facilities Management Records	Facilities Management Records	Construction – Building Plans, Blueprints and Design Plans	Permanent	Facilities Management
Facilities Management Records	Facilities Management Records	Construction – Engineering Studies and Reports	Permanent	Facilities Management
Facilities Management Records	Facilities Management Records	Construction – General File Materials	5 years from project completion	Facilities Management
Facilities Management Records	Facilities Management Records	Construction – Licenses and Permits	Permanent	Facilities Management
Facilities Management Records	Facilities Management Records	Equipment Maintenance Records	Life of Equipment	Facilities Management
Facilities Management Records	Facilities Management Records	Key Access Card Issuance Records	2 years after key is returned	Facilities Management
Facilities Management Records	Facilities Management Records	Key and Access Card Requests	Destroy after processing	Facilities Management
Facilities Management Records	Facilities Management Records	Vehicle Records (e.g., inventory, maintenance, etc.)	Life of Vehicle	Facilities Management
Facilities Management Records	Facilities Management Records	Work Orders	1 year	Facilities Management
Health Center and Counseling Records	Health Center and Counseling Records	Immunization Records	5 years	Student Health Services	AACROA
Health Center and Counseling Records	Health Center and Counseling Records	Health Insurance Records	Until student’s separation from University	Student Health Services
Health Center and Counseling Records	Health Center and Counseling Records	Medical Records	7 years from the last date-of-service or one year after the patient’s 18th birthday, whichever is longer	Student Health Services	49 Pa. Code § 16.95(e) 28 Pa. Code § 115.23
Health Center and Counseling Records	Health Center and Counseling Records	Patient Encounter Logs	2 years	Student Health Services
Health Center and Counseling Records	Health Center and Counseling Records	HIPAA (Health Insurance Portability and Accountability Act) Related Documentation	6 years	Student Health Services	45 CFR §164.316(b) (2)
Health Center and Counseling Records	Health Center and Counseling Records	Student Counseling Records	5 years from the last date-of-service or one year after the patient’s 18th birthday, whichever is longer	Counseling Center	49 Pa. Code § 41.57. Professional records; See Grossman v. State Board of Psychology, 825 A.2d 748 (Pa. Cmwlth. 2001)
Information Technology Records	Information Technology Records	Information System User Access Records	6 years	Information Technology
Information Technology Records	Information Technology Records	Information System Audit Records	3 years	Information Technology	See NIST 800-171 and 800-53 32 C.F.R. Part 2002
Information Technology Records	Information Technology Records	Information System Backup Files	Until Superseded	Information Technology
Information Technology Records	Information Technology Records	Information Security Records	Payment Card Industry Data – 1 year Personal Information as defined by the Gramm–Leach–Bliley Act (GLBA) – 5 years Health Insurance Portability and Accountability Act Data (HIPAA) – 6 years Less critical data should be maintained to support operational needs at the discretion of the service provider.	Information Technology	Payment Card Industry Data Security Standards (PCI-DSS) Gramm–Leach–Bliley Act (GLBA) 45 CFR 46.115(b) 21 CFR 56.115(b) 45 CFR 164.530(j)
Information Technology Records	Information Technology Records	Information System Planning and Development Records	For life of system for implemented systems; 3 years for unimplemented systems	Information Technology
Information Technology Records	Information Technology Records	Information System Documentation, Systems Maintenance Documents, Source Code Listings and Updates	Life of System +3 years	Information Technology
Information Technology Records	Information Technology Records	Information System Security Incident Records	5 years	Information Technology
Information Technology Records	Information Technology Records	Information System Sensitive Area Access Logs	30 days	Information Technology
Information Technology Records	Information Technology Records	Vendor Service Orders	5 years	Information Technology
Information Technology Records	Information Technology Records	Service Request Records	1 year	Information Technology
Information Technology Records	Information Technology Records	Software Management Records	Life of the license use or life of the system	Information Technology
Institutional Research	Institutional Research	Statistical Abstracts/Year in Reviews	Permanent	Institutional Research
Institutional Research	Institutional Research	Various Ad Hoc Reports	5 years	Institutional Research
Institutional Research	Institutional Research	Higher Ed Reporting/Filing (IPEDS, National Clearing House, etc.)	3 years after fiscal year; then to Archives for Permanent Storage	Institutional Research; Archives	20 USC 1094 § 487(a)(17) 29 CFR § 1602.48
Institutional Research	Institutional Research	State Ed Reports	Permanent	Institutional Research
Institutional Research	Institutional Research	Commercial Surveys (US News, etc.)	5 years	Institutional Research
Institutional Research	Institutional Research	Faculty Data	Permanent	Provost’s Office
Institutional Research	Institutional Research	Student Data	Permanent	Institutional Research
Institutional Research	Institutional Research	Course Data	Permanent	Institutional Research
Institutional Research	Institutional Research	IR Survey Data	Permanent	Institutional Research
Institutional Research	Institutional Research	Department Reviews	Permanent	Provost’s Office
Legal Records	Legal Records	Legal Agreements: employment contracts, leases, releases, settlements, debt instruments, maintenance/food services/independent contractor contracts, promissory notes, student agreements and termination agreements	7 years after expiration or termination of agreement or 7 years after final payment made under agreement (if applicable)	General Counsel
Legal Records	Legal Records	Case Files: notice of claim, attorney notes, complaints, court orders, pleadings, motions, briefs, releases and settlements	7 years after case closed	General Counsel
Legal Records	Legal Records	Incident Reports (Accidents)	7 Years from date of reported accident	General Counsel
Legal Records	Legal Records	Insurance case records, except worker’s compensation case records, including, but not limited to, notice of claim, copies of filed court documents, accident reports, medical reports, copy of check, correspondence and other supporting documentation	7 years after claim is closed	General Counsel
Legal Records	Legal Records	Insurance Policies	Permanent	General Counsel
Legal Records	Legal Records	Preservation Notices (Litigation Hold Notice)	1 year After Final Disposition of Claim	General Counsel
Legal Records	Legal Records	Property Damage Reports	4 years after report date or 3 years until case is closed	General Counsel
Legal Records	Legal Records	Real Estate Contracts, Closing Documents, Due Diligence Files	Permanent	General Counsel
Legal Records	Legal Records	Patent Files, Research Files, Trademark Registrations, Copyright Registrations	Permanent	General Counsel
Legal Records	Legal Records	Regulatory Filings, Government Investigation Files	Permanent	General Counsel
Legal Records	Legal Records	Subpoenas (if not part of a legal case file) & responses	6 months after date of response	General Counsel
Legal Records	Legal Records	Trademark registrations/copyrights and patents application and award materials	Permanent	General Counsel
Legal Records	Legal Records	Worker’s Compensation Files	10 Years from last activity in employee’s last reported claim	General Counsel
Library	Library	Requests for items to be put on reserves	Current semester	Library
Library	Library	ILL records of request	current semester	Library
Library	Library	Circulation for journals (not including patron record)	1 year	Library
Library	Library	Materials checked out (by patron)	Until returned	Library
Library	Library	Circulation system user records	While user is active	Library
Library	Library	Initial order records for books, serials, and e- resources	Permanent	Library
Library	Library	Library budget	10 years	Library
Library	Library	Library statistics	Permanent	Library
Library	Library	Library publications (e.g., manuals, handbooks, etc.)	While active; then transfer to Archives	Library
Library	Library	Appraisal of Library Materials	Permanent	Library
Library	Library	Artifact Acquisition/Special Collection Records	Permanent	Library
Library	Library	Collection & Acquisition Exchange	While active	Library
Library	Library	Serial Records	While active	Library
Public Safety Records	Public Safety Records	Accident Logs	7 years	Public Safety
Public Safety Records	Public Safety Records	Clery Records: Clery Act Crime and Fire Report and all supporting records (copies of crime reports; the daily crime / fire log(s); records for arrests and referrals for disciplinary action; timely warning and emergency notification reports; documentation, such as letters to and from local police having to do with Clery Act compliance; letters to and from campus security authorities; correspondence with the DOE regarding Clery Act compliance; and copies of notices to students and employees about the availability of the annual security report).	3 years from the latest publication of the report to which they apply (in effect 7 years)	Public Safety	USC 1092(f); 34 CFR 668.46
Public Safety Records	Public Safety Records	Disaster preparedness or crisis relocation records	3 years	Public Safety
Public Safety Records	Public Safety Records	Dispatcher’s Log	Date of last entry + 3 years	Public Safety
Public Safety Records	Public Safety Records	Memoranda of Understanding	7 years	Public Safety	USC 1092(f); 34 CFR 668.46
Public Safety Records	Public Safety Records	Parking Citations	2 years after resolution	Public Safety
Public Safety Records	Public Safety Records	Temporary Parking Permits	2 years	Public Safety
Public Safety Records	Public Safety Records	Permanent Parking Permits	2 years	Facilities Management
Public Safety Records	Public Safety Records	Property Damage Reports	4 years after report date or three years until case is closed	Public Safety
Public Safety Records	Public Safety Records	Records pertaining to officer activity, including assignment sheets, patrol logs, and work schedules	End of calendar year + 3 years	Public Safety
Public Safety Records	Public Safety Records	Surveillance Video	30 days (if not related to an alleged crime or code of conduct violation)	Public Safety
Public Safety Records	Public Safety Records	Vehicle Accident/Security Incident Records	7 years after event (unless litigation hold)	Public Safety
Research & Sponsored Programs/Grants Records	Administrative and Financial Records	Grants, contracts, and cooperative agreements including funded proposals	3 years from date of submission of the final report unless a longer retention period is specified under the agreement or grant rules	Office of Sponsored Research and Programs	OMB Circular No. A-110 § 53 34 C.F.R. § 74.53 42 C.F.R. § 86.21 42 C.F.R. § 87.9 42 C.F.R. § 124.11 42 C.F.R. § 430.2 32 C.F.R. § 32.53 10 C.F.R. § 600.153 45 C.F.R. § 602.42 OGAM at 99-1
Research & Sponsored Programs/Grants Records	Administrative and Financial Records	All financial records, documentation and reports pertinent to a grants award (Federal, State, Private)	3 years from date of submission of the final report unless a longer retention period is specified under the agreement or grant rules.	Office of Sponsored Research and Programs	OMB Circular No. A-110 § 53 34 C.F.R. § 74.53 42 C.F.R. § 86.21 42 C.F.R. § 87.9 42 C.F.R. § 124.11 42 C.F.R. § 430.2 32 C.F.R. § 32.53 10 C.F.R. § 600.153 45 C.F.R. § 602.42 OGAM at 99-1
Research & Sponsored Programs/Grants Records	Administrative and Financial Records	Supporting documents and statistical records pertinent to a federal, state or private award	3 years from date of submission of the final report unless a longer retention period is specified under the agreement or grant rules.	Office of Sponsored Research and Programs	OMB Circular No. A-110 § 53 34 C.F.R. § 74.53 42 C.F.R. § 86.21 42 C.F.R. § 87.9 42 C.F.R. § 124.11 42 C.F.R. § 430.2 32 C.F.R. § 32.53 10 C.F.R. § 600.153 45 C.F.R. § 602.42 OGAM at 99-1
Research & Sponsored Programs/Grants Records	Administrative and Financial Records	Unsuccessful Offers (Bids and Proposals)	3 years	Office of Sponsored Research and Programs	34 C.F.R. § 74.53
Research & Sponsored Programs/Grants Records	Basic Research Records	Research Data	3 years after submission of the final report of the research to the sponsor, unless a longer retention period is specified under the agreement or grant rules.* * Pediatric research, until the youngest subject turns twenty-five years old.	Office of Sponsored Research and Programs	OMB Circular No. A-110 § 53 34 C.F.R. § 74.53 42 C.F.R. § 86.21 42 C.F.R. § 87.9 42 C.F.R. § 124.11 42 C.F.R. § 430.2 32 C.F.R. § 32.53 10 C.F.R. § 600.153 45 C.F.R. § 602.42 OGAM at 99-1
Research & Sponsored Programs/Grants Records	Basic Research Records	Conflict of Interest Forms (NSF and PHS funded studies)	3 years or as determined by individual award agreement	Office of Sponsored Research and Programs	NSF Grant Policy Manual Chapter V, Section 510; 42 CFR 50.604
Research & Sponsored Programs/Grants Records	Basic Research Records	Research misconduct records	7 years after completion of the proceeding or the completion of any PHS proceeding involving the research misconduct allegation under subparts D and E of 42 CFR 93.317, whichever is later.	Office of Sponsored Research and Programs	42 CFR 93.317
Research & Sponsored Programs/Grants Records	Human Subject Research	Human Subject Research related records including research results, research and regulatory records, research proposals, publication, consent forms, etc.).	3 years after the completion of the research, either electronically or as hard copy. In accordance with federal HIPAA privacy regulations, records containing protected health information (PHI) are retained for at least six years after the completion of the research.	Office of Sponsored Research and Programs	45 CFR 46.115(b) 21 CFR 56.115(b) 45 CFR 164.530(j)
Research & Sponsored Programs/Grants Records	Human Subject Research	Research Ethics and Review Board Records, including membership lists, training materials, review and approval records, policies and procedures, investigations of non-compliance, etc.).	3 years after the completion of the research	Office of Sponsored Research and Programs	45 CFR 46.115(b) 21 CFR 56.115(b)
Research & Sponsored Programs/Grants Records	Institutional Animal Care and Use Records	Institutional Animal Care and Use Records: Approval/application forms, grant proposals. Protocols, etc.	3 years after the completion of the research	Office of Sponsored Research and Programs	9 C.F.R § 2.35(f)