Montana University System General Record Retention Schedule
General Record Retention Schedule Overview
PDF version of MUS General Record Retention Schedule
I. Introduction.
The General Records Retention Schedule (General Schedule) of the Montana University
System governs the management and disposition of university records.
The majority of records listed on this General Schedule are common to many units across
campuses.
II. Purpose.
The purpose of General Schedule is to create a uniform set of schedules for the retention and disposition of records, created or maintained in the course of university business, that document each institution and its functions, policies and procedures, decisions and other activities.
III. Records and Public Records.
A record is defined as information in any form or medium (including electronic records
and electronic mail) that is within the campus’s control and relates to its activity
or business. Recorded information that is personal and not related to the business
of the unit is not a record.
As public institutions of the state of Montana, many of the records of Montana University
System campuses may also meet the definition of a public record under Montana law.
A “public record” is "any paper, correspondence, form, book, photograph, microfilm,
magnetic tape, computer storage media, map, drawing or other document, including all
copies thereof, regardless of physical form or characteristics" that has been created
or received by a campus "in connection with the transaction of official business."
It includes "all other records or documents required by law to be filed with or kept"
by a state agency or local government. Records that are “for reference purposes only,
a preliminary draft, telephone messages, routing slips are not considered public records
and need not be maintained. General Records Retention Schedule 9 at provides a detailed
list of documents that are not considered public records.” From Montana Secretary
of State website. (sos.mt.gov/Portals/142/Records/forms/State_Schedule 9.pdf).
Electronic mail, or e-mail, "sent or received in connection with the transaction of
official business" may also be considered a public record. For more information about
managing e-mail, see E-Mail Guidelines: sos.mt.gov?Portals/142/Records/forms/MT_EMAIL_Guidelines_06.pdf).
IV. Campus responsibilities.
All campuses should familiarize themselves with the General Schedule, and have an
understanding of what records—paper-based and electronic—they create and/or receive
and are required to manage.
Individual departments or units within a campus may wish to conduct an inventory of
their records and map them to the General Schedule. If a unit identifies records that
do not map to the General Schedule, the unit may need to develop a unique record retention
schedule for those records. All new and unit unique schedules must be in writing and
approved by the legal counsel for the campus.
V. Rules of Application.
• The office of origin/creation is responsible for retention of the record series for the minimum length of retention, unless the campus assigns responsibility for certain records to another office.
• If a record appears to fit in more than one category, apply the narrowest category.
• If no category fits, look for an analogous category and follow its guidance.
• When in doubt, err toward a longer retention period.
• The retention periods in the schedule are minimums and also recommended as appropriate maximum retention periods.
• If a federal or state statute or regulation specifies a longer retention period
for any type of record received, created, or maintained by MUS campuses, the
statute or regulation or litigation hold overrides this schedule. The official
record holder for the record should be familiar with any statutes or regulations that
may apply to the unit’s records. If any record holder is unsure of the applicability
of any statute or regulation, he or she may contact Legal Counsel.
• Upon notice of a legal investigation, audit, dispute, or claim; receipt of a litigation
hold or upon service of legal process through subpoena, summons or other
means for delivery of records, all scheduled destruction of records related to
the matter shall be immediately suspended and destruction of the records
would not occur until the matter is fully resolved and finalized.
VI. Retention and Disposition Terminology.
• Active = Retain while in active use.
• Archival Review = Record series that have content of value to documenting the institution’s
history should be considered for permanent retention. If retention
is warranted, files may be maintained by office of origin or designated archival
repository. Records that contain authentic evidence of a campuses
organization, function, policies, decisions, procedures, operations, or other activities
are examples of records with historical value. This type of information
may be found in policy records, organizational documents, memos, correspondence,
and reports. If a series is not marked for archival review, it still may be
appropriate to consider review if the records have unique or important historical
value.
• CY = Current Fiscal Year. The fiscal year begins July 1st and ends the following June 30th.
• T/S/D = Toss/Shred/Delete at end of retention period. If the series or item contains
restricted information, the records must be destroyed in a secure manner
such as incineration, shredding or secure electronic destruction. If the material
does not contain restricted information the records may be destroyed by
placing in trash or recycle (preferred), or via electronic destruction, or by a
secure method.
• Record Retention Schedule = A record retention schedule provides the framework for
an effective record management program. It provides the basis for
decisions related to minimum record retention and approved dispositions of records.
The General Schedule is intended to provide guidance for consistent
record keeping across the campuses of the MUS.
• Permanent = Record series determined to have demonstrated historical, legal or administrative
value to a particular unit on campus that will be maintained
permanently.
• Until Superseded = Retain until superseded or obsolete. This retention period pertains
to documents that are routinely updated and therefore superseded by
the current version.
VII. Resources Consulted:
American Association of Registrars and Admissions Officers. Retention, Disposal, and Archive of Student Records. (2013) Montana Code Annotated. http://leg.mt.gov/BILLS/MCA. Accessed December 22, 2015. State of Montana General Record Retention Schedules. http://sos.mt.gov/records/State/index.asp. Accessed December 22, 2015.
Montana University System General Record Retention Schedule
Table of Contents ACADEMIC RECORDS........................................................................................................................................................................
6
ACCOUNTING AND FINANCIAL RECORDS ..................................................................................................................................................................... 6
ADMINISTRATIVE RECORDS ............................................................................................................................................................................................ 8
FACILITIES, EQUIPMENT AND PROPERTY RECORDS .................................................................................................................................................... 10
FEDERAL STUDENT FINANCIAL AID (SFA) RECORDS .................................................................................................................................................... 11
Student Financial Aid - Program Records ..................................................................................................................................................................... 11
Student Financial Aid - Fiscal Records ........................................................................................................................................................................... 12
Student Financial Aid - Recipient Records .................................................................................................................................................................... 13
Student Financial Aid - Requirements for Specific Aid ................................................................................................................................................ 15
GRANTS AND RESEARCH RECORDS ............................................................................................................................................................................... 16
HEALTH SERVICES RECORDS .......................................................................................................................................................................................... 17
HUMAN RESOURCE RECORDS ....................................................................................................................................................................................... 18
INFORMATION MANAGEMENT RECORDS .................................................................................................................................................................... 20
INSTITUTIONAL SERVICES RECORDS ............................................................................................................................................................................. 21
INTERCOLLEGIATE ATHLETICS RECORDS ..................................................................................................................................................................... 21
LIBRARIES, ARCHIVES, MUSEUMS, AND OTHER COLLECTIONS RECORDS ............................................................................................................... 23
SAFETY AND SECURITY RECORDS ................................................................................................................................................................................. 23
STUDENT RECORDS ........................................................................................................................................................................................................ 23
Documents for Applicants Who Do Not Enroll - Admission Documents ................................................................................................................. 23
Documents for Applicants Who Do Not Enroll - Application Materials ....................................................................................................................
24
Documents for Applicants Who Do Not Enroll - International Student Documents ..............................................................................................
25
Admissions Records for Applicants Who Enroll - Admission Documents ................................................................................................................ 26
Admissions Records for Applicants Who Enroll - Application Materials .................................................................................................................. 26
Admissions Records for Applicants Who Enroll - International Student Documents ............................................................................................. 28
Student Academic Records - Academic Program Records ......................................................................................................................................... 28
Student Academic Records - Certification/Verification Records ................................................................................................................................ 30
Student Academic Records - Degree and Certificate Records ................................................................................................................................... 30
Student Academic Records - Grade and Scholarship/ Deficiency Records .............................................................................................................. 31
Student Academic Records - Miscellaneous Records ................................................................................................................................................. 31
Student Academic Records - Registration and Enrollment Records ......................................................................................................................... 32
Publications, Statistical Data, and Institutional Reports ............................................................................................................................................. 32
FERPA Records ................................................................................................................................................................................................................. 33
Federal Disclosure Records ............................................................................................................................................................................................ 34
Miscellaneous...................................................................................................................................................................................................................
35
Note: within this General Schedule the acronym GRRS refers to the General Records
Retention Schedule maintained by the Montana Secretary of State [http://sos.mt.gov/records/State/index.asp#general].
The acronym MCA refers to the Montana Code Annotated [http://leg.mt.gov/BILLS/MCA.]
ACADEMIC RECORDS
Program Code: 5102
Item Number Record Description
Retention Disposition
1 Course Catalog / Bulletin Course catalogs
or bulletins that include course Active
Permanent
offerings, program requirements, and related policies
and procedures.
2 Course Evaluation Records Records of
students’ evaluations of teaching personnel CY + 10 yrs. Toss/Shred/Delete
and courses.
3 Course Schedule Record
of courses actually held / given by the institution CY + 1 yr.
Archival Review
4 Course Syllabi
Syllabi of offered courses.
CY + 10 yrs. Toss/Shred/Delete
5 New Degree Program and Records of the
development of new degree programs, CY + 5 yrs. Archival Review
Course Proposal Records courses and
related curricula.
6 Program Review and Internal and external review of academic programs CY + 5 yrs. Archival Review
Development Records
7 Student Handbooks Records
of the requirements, policies, and offerings of Active Archival Review
specific instructional units for use by current or potential
students.
ACCOUNTING AND FINANCIAL RECORDS
Program Code: 5102
Item Number Record Description
Retention Disposition
8 Accounts Payable and Records related to payment of financial obligations. CY + 5 yrs.
(GRRS 2) Toss/Shred/Delete Receivable Documentation
No RM-5 Required
(OCHE ONLY)
9 Annual Financial Reports Consolidated
year-end report of financial documentation CY + 4 yrs. Archival Review
showing assets and liabilities.
10 Budgets
Approved annual or other periodic budgets for the CY + 5 yrs. Archival Review
institution.
11 Cash, Check and Credit Card Records of payments, including forms and receipts. CY + 5 yrs. Toss/Shred/Delete
Transactions
12 Credit Card (Procurement Records of administration of credit cards issued to CY + 6 yrs. Toss/Shred/Delete
Card) Administration Records institutional staff and units.
13 Delivery Slips
Documents sent with purchased goods indicating CY + 3 yrs. Toss/Shred/Delete
items shipped
14 Hold or encumbrance Registration and transcript holds
Last year of Toss/Shred/Delete
authorizations
enrollment + 3
15 Interdepartmental Billing Records
of charges owed by internal institutional CY + 5 yrs. Toss/Shred/Delete
departments and functions to other departments.
16 Miscellaneous Accounting Records of the production of various accounting CY + 6 yrs.
Toss/Shred/Delete
Reports
reports made by individual offices or departments
on a periodic basis.
17 Procurement Records Purchase
orders and contracts for successful Contract expiration Toss/Shred/Delete
procurement / awarding of bids.
+ 8 yrs. (GRRS 4) No RM-5 Needed
OCHE Only
18 Procurement Solicitations Records of
the process and completion of solicitation. CY + 4 yrs. (GRRS 4)
Toss/Shred/Delete
No RM-5 Needed
OCHE Only
19 Ticket Sales and Event Cash Records of
the printing, selling, distribution, and CY + 5 yrs. Toss/Shred/Delete
Reconciliation Records accounting of tickets for institution-sponsored athletic,
performing arts, and other events where a price is charged
for admission.
20 Travel Reimbursement Documentation maintained in support of reimbursement to CY + 4 yrs.
Toss/Shred/Delete
Documentation university employees for university related travel.
ADMINISTRATIVE RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
21 Accreditation Files University,
college or department files documenting CY + 10 yrs. Archival Review
accreditation review by accrediting agencies.
22 Administrative and Annual Reports on the institution and its subdivisions. CY + 3
yrs. Archival Review
(This category does not include audits or annual financial
reports.)
23 Audit Records
Reports on internal and external audits of various CY + 4 yrs. Archival Review
institutional functions, including fiscal, performance,
academic, athletic, and compliance audits.
24 Awards Records Records
of the process of selecting institutional faculty, CY + 3 yrs. Archival Review
staff, students, and alumni to receive awards, scholarships,
and merit-based fellowships, including list of award
recipients.
25 Contracts and Agreements Legal contracts
or agreements that the institution or its Contract expiration
units enter into with other entities.
+ 8 yrs. (MCA 27-2-20 2) Toss/Shred/Delete
26 Delegation of Authority Records
of the certification of the institution’s employees
who are authorized to sign fiscal and contractual documents. End
of autho rization Toss/Shred/Delete
+ 1 yr.
27 Election Records
Records of elections held by institutional organizations. CY + 3 yrs.
Toss/Shred/Delete
28 General Files, Upper Files of presidents, chancellors, upper-level administrators, CY + 3 yrs.
Archival Review
Administration
deans, directors, and chairs.
29 Gift Records
Records of realized funding of the institution, whether Active Permanent
from private individual or corporate sources.
30 Grievance Records Records
of grievances against the institution which are CY + 3 yrs. Toss/Shred/Delete
resolved without litigation. (This category does not
include grievances by students.)
31 Insurance Policy Records Records
of insurance maintained by the institution. Active + 3 yrs.
Toss/Shred/Delete
(GRRS 3-7)
No RM-5 Needed
OCHE Only
32 Legal Case Records Records
of legal disputes involving the institution. Final decision
Archival Review
33 Minutes and Agendas Minutes
and agendas of boards, committees, councils, CY + 3 yrs. Archival Review
senates, major committees, task forces, and other
institutional units and organizations.
34 Organizational Charts Organizational
Charts Active
+ 10 yrs. Archival Review
35 Policies and Procedures Records
of institutional and unit policies and
Records
procedures and the sources and process of policy Until
Superseded Permanent
creation.
36 Public Records Requests Records
of public requests for information. Last action
+ 3 yrs. Toss/Shred/Delete
37 Publications
Includes newsletters, news releases, publicity Active + 1 yr. Archival Review
photographs and brochures.
38 Radio and Television Records of licensing of institutional radio stations and License expiration Toss/Shred/Delete
License Records
television channels with the Federal Communications + 3 yrs.
Commission.
39 Strategic and Institutional Records
of the development of short-term or Until Superseded Permanent
Plans
long-term plans for the institution.
40 Trademark Records Records documenting campus-owned trademarks Active Permanent
41 Transient Materials Documents,
including telephone messages, notes, Active Toss/Shred/Delete
drafts and other materials, which serve to convey
information of temporary value.
42 Unit/Institution/ Organization Records of the historical development of the institution, Active
Archival Review
History
its units, or organizations associated with it.
43 Video and Sound Recordings Records in video
or audio format of institutional activities Active Archival Review
and events with significant relevance to the mission of the
institution or an individual unit.
FACILITIES, EQUIPMENT AND PROPERTY RECORDS
Program Code: 5102
Item Number Record Description
Retention Disposition
44 Building and Construction Records of construction of the institution’s building Active
Permanent
Documentation
and grounds.
45 Equipment Inventory Records Inventories of major equipment. Active + 3 yrs. Toss/Shred/Delete
45 Government Property Records Records of “agency-owned”
(usually federal) properties Active + 3 yrs. Toss/Shred/Delete
loaned to the institution, or agency-owned property
purchased with (usually federal) non-institutional state funds
for research contract use. Records may include copies of
federal form DD 1419; memoranda of understanding or
agreements, and other related documentation.
46 Motor Vehicle Records Records
of titles, maintenance and usage. Active + 6
yrs. Toss/Shred/Delete
47 Operating and Maintenance Records of the operations and maintenance of institutional CY + 10 yrs.
Toss/Shred/Delete
Records
utilities.
48 Real Estate Records Records of real property acquired and sold by the institution. Active + 8 yrs. Permanent
49 Real Property Leases Records of real property leased by the institution. Active + 8 yrs. Toss/Shred/Delete
50 Surplus Property Records Records
of changes in institution-owned property; CY + 6 yrs. Toss/Shred/Delete
requests to declare items surplus, salvage, or scrap;
removal and sale or disposal of excess equipment and
other surplus items including proceeds from sales.
51 Work Orders Records Records
of requests and authorizations for needed services CY + 2 yrs. Toss/Shred/Delete
and/or repairs to institutional property and equipment.
FEDERAL STUDENT FINANCIAL AID (SFA) RECORDS
Student Financial Aid
Program Code: 5102
Student Financial Aid - Program Records
Item Number Record Description
Retention Disposition
52 Accrediting and licensing
Award year + 3 Toss/Shred/Delete
agency review, approvals,
and reports
53 Audit reports and school
Award year + 3
responses
54 Records pertaining to financial
Award year +3 Toss/Shred/Delete
responsibility and standards of
administrative capability
55 Program Participation Agreement
Award year + 3 Toss/Shred/Delete
56 Self-evaluation reports
Award year + 3 Toss/Shred/Delete
57 State agency reports
Award year + 3 Toss/Shred/Delete
Student Financial Aid - Fiscal Records
58 Bank statements for accounts containing SFA funds
Award year + 3 Toss/Shred/Delete
59 Federal workstudy payroll records
Award year + 3 Toss/Shred/Delete
60 Ledgers identifying SFA transactions
Award year + 3 Toss/Shred/Delete
61 Records of SFA program transactions
Award year + 3 Toss/Shred/Delete
62 Records of student accounts
Award year + 3 Toss/Shred/Delete
63 Records supporting data on required reports (SFA
program Award
year + 3 Toss/Shred/Delete
reconciliation reports, audit reports and school
responses,
Pell Grant statements of accounts, accrediting
and licensing
agency reports)
Student Financial Aid - Recipient Records
64 Application data submitted to the Dept. of Education
or lender Award year
+3 Toss/Shred/Delete
by the school on behalf of the student
65 Data used to establish student’s admission, enrollment
status, Award year
+3 Toss/Shred/Delete
and period of enrollment
66 Date and amount of disbursements
Award year + 3 Toss/Shred/Delete
67 Documentation of student’s eligibility
Award year + 3 Toss/Shred/Delete
68 Documentation of student’s satisfactory academic
progress Award
year + 3 Toss/Shred/Delete
69 Documentation of student’s program of study and
enrolled courses Award year
+ 3 Toss/Shred/Delete
70 Documentation related to the receipt of aid, such
as the amount of Award year
+3 Toss/Shred/Delete
grant, loan or FWS award, and calculations used
to determine aid amounts
71 Documentation of initial or exit loan counseling
Award year + 3 Toss/Shred/Delete
72 Documentation supporting the school’s calculation
of its completion/ graduation Award year +3
Toss/Shred/Delete
or transfer-out rate
73 Documents used to verify applicant’s data
Award year + 3 Toss/Shred/Delete
74 Financial aid history for transfer students
Award year + 3 Toss/Shred/Delete
75 Reports and forms used for participation in the
SFA program Award
year + 3 Toss/Shred/Delete
76 Student Aid Report (SAR) or Institutional Student
Information Record (ISIR) Award year + 3
Toss/Shred/Delete
Student Financial Aid - Requirements for Specific Aid
Borrowers eligibility records
Last date of Toss/Shred/Delete
attendance + 3
77 Campus-based aid (Perkins loan, SEOG, and Federal
Work Study) End of award
Toss/Shred/Delete
year + 3
78 FFEL and Direct Loans
End of award year + 3 Toss/Shred/Delete
79 Fiscal Operations Report and Application to Participate
(FISAP) Date of report
Toss/Shred/Delete
submission + 3
80 Pell Grant
End of award year + 3 Toss/Shred/Delete
81 Perkins repayment records
Date loan assigned, Toss/Shred/Delete
cancelled or repaid + 3
82 Perkins original promissory notes
Until loan is satisfied or Toss/Shred/Delete
documents are needed
to enforce obligation
83 All other records/reports
End of award year or Toss/Shred/Delete
date of submission + 3
GRANTS AND RESEARCH RECORDS
Program Code: 5102
Item Number Record Description
Retention Disposition
84 Facilities and Administration Records
of the analysis of grant indirect costs in CY + 10 yrs.
Toss/Shred/Delete
Costs
preparation of the federal F&A rate
85 Grants - Funded
Records of funded grant proposals.
Account closed + 10 yrs. Toss/Shred/Delete
86 Grants - Unfunded Records
of unfunded grant proposals. Submission
+ 18 mos. Toss/Shred/Delete
87 Human Subjects Records Records
of the review of research proposals that Project completed
+ 3 yrs. Toss/Shred/Delete
involve any type of use of human subjects.
88 Institutional Animal Care Records document the care and proposed use of Activity completed
+ 3 yrs. Toss/Shred/Delete
and Use Records
animals by the institution for research purposes.
89 Laboratory Notebooks Records
of the routine research activities of non-grant Project completed+
6 yrs. Toss/Shred/Delete
funded research projects.
90 Laboratory Reports Records
of the results of laboratory testing performed Report date + 6 yrs. Toss/Shred/Delete
for clients.
91 Misconduct Records Records
of accusations of misconduct brought forward Term of project +7 yrs.
Toss/Shred/Delete
by or against faculty or students and relating to research
(MSU policy, sec. 800)
projects.
92 Payment Records Records
of requests and justification for transfers of CY + 10 yrs. Toss/Shred/Delete
direct payment funds from federal or other external
grantors.
93 Research Records Records
of the research activity associated with Account closed + 10 yrs. Toss/Shred/Delete
grantfunded projects.
94 Sponsored Programs Records Records of the
establishment and administration of Account closed + 10 yrs. Toss/Shred/Delete
individually sponsored grant/contract restricted funds
accounts and of compliance with fiscal reporting
requirements.
95 Technology Transfer Records Records of
the transfer of technology, patents, Active + 6 yrs. Archival Review
copyright, etc. from the institution to outside entities.
HEALTH SERVICES RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
96 Communicable Disease Records These records fulfill
the public health requirement CY + 5 yrs.
Toss/Shred/Delete
of reporting the discovery of communicable disease.
97 Counseling, Psychological, and Records of clients who are provided counseling, Last contact
+ 7 yrs. Toss/Shred/Delete
Psychiatric Case Records psychological,
and psychiatric services through
the institution’s counseling center.
98 Health History Forms Records
of a student’s medical history. Last service
+ 7 yrs. Toss/Shred/Delete
99 Licensure Records Records
of the professional and regulatory Later of CY
+ 4 yrs. Toss/Shred/Delete
issuance of credentials to individuals and
or until superseded
facilities providing services within the student
health center.
100 Medical Records Records
of the medical services history provided Later of last service
+ Toss/Shred/Delete
for patients.
7 yrs. or client reached
age 21
101 Patient Logs
Records of patients who visit the student health center. CY + 3 yrs.
Toss/Shred/Delete
102 Pharmacy Prescription Records of drug dispensations (initial and refills) CY
+ 5 yrs. Toss/Shred/Delete
Dispensation Records administered.
103 Student Health Insurance Records of students’ insurance coverage activity CY + 3
yrs. Toss/Shred/Delete
Records
under institution insurance policies.
104 X-rays
Records of student X-rays, including a log of X-rays
Last service + 7 yrs. Toss/Shred/Delete
going out and coming in for professional reference
and other related documentation.
HUMAN RESOURCE RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
105 Affirmative Action Plan Records of the campus Affirmative Action Plan Active
+ 3yrs. Archival Review
Records
and related records regarding application self-
identification, evaluations of effectiveness,
recruitment and outreach efforts , benchmark goals.
106 AntiDiscrimination Records
of internal complaints of discrimination, Active + 5 yrs. Archival Review
investigative records, and records related to the
incident complained of.
107 Background Check Records Background check
records related to employment and End of employment Toss/Shred/Delete
any other background check records required under
or date of background
campus policies
check (for
nonemployees)
+ 5 yrs.
108 Bargaining Unit Records Records
of negotiations and contractual agreements Active + 10 yrs. Archival Review
between the institution and a bargaining unit.
109 Employee Education and Records of employees’ continuing education and training. End of employment
Toss/Shred/Delete
Training Records
+ 10 yrs. (GRRS 5) No RM-5 Needed
OCHE Only
110 Payroll Records
Records of the administration of employee paychecks. End of employment Toss/Shred/Delete
Records may include payroll check registers, check
+ 10 yrs.
delivery logs, direct deposit authorization forms, payroll
request forms, pay action forms, pay reduction notices,
emergency payroll draw forms, and other related
documentation and correspondence.
111 Personnel Record Records
of employees’ work history at the institution, End of employment Archival Review
including formal evaluation and disciplinary records.
+ 10 yrs.
112 Position Descriptions Records
of job descriptions for staff and faculty Active + 2 yrs.
(GRRS 5) Toss/Shred Delete
positions, as well as reclassification of position
No RM-5 Needed
descriptions.
OCHE Only
113 Recruitment Records Records
of review of all stages of hiring by the institution. Active + 3 yrs. (GRRS
5) Toss/Shred/Delete
No RM-5 Needed
OCHE Only
114 Sabbatical Leave Records Records of
sabbatical leave activities of institution faculty. End of leave + 5 yrs.
Toss/Shred/Delete
INFORMATION MANAGEMENT RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
115 Computer System Security Records of the security of an institution, department, + 3 yrs.
Toss/Shred/Delete
Records
or office computer system. Until superseded
116 Help Desk Logs and Reports Records used
to document requests for assistance and 4 yrs. (GRRS 6) Toss/Shred/Delete
responses to those requests
No RM-5 Needed
OCHE Only
117 Information System User Records created to control individual access to a Active
+ 3 yrs. Toss/Shred/Delete
Access Records
system for administrative and security purposes. (GRRS 6) No RM-5 Needed
OCHE Only
118 Information Systems Backup Copies of master files or databases, application software, 90 days
Toss/Shred/Delete
Files
logs, directories, and other documentation maintained
solely for business continuity and disaster recovery
119 Information Systems Equipment Information on data processing equipment, software, and Active + 3 yrs.
Toss/Shred/Delete
Support Files
other products and their vendors.
120 Usage Files
Records created to monitor computer system and network 90 days
Toss/Shred/Delete
usage.
121 Bicycle Licenses / Permits Records
of the registration of bicycles on campus. Records
Records
may include registration cards, and other related Active + 3 yrs. Toss/Shred/Delete
documentation.
122 Child and Youth Program Records of the participation of children and youth in CY + 6 yrs.
Toss/Shred/Delete
Participant Records
programs sponsored by the institution.
123 Events Administration Records Records of planning,
facilities, services, and CY + 3 yrs. Toss/Shred/Delete
accommodations for major events on campus.
124 Key Issuance Records Key assignments
and deposits (if applicable) for Key returned + 1 yr. Toss/Shred/Delete
institutional faculty, staff, students, and others using the
institution’s facilities.
125 Parking Records Records
of the regulation of on-campus parking, Resolution + 1 yr. Toss/Shred/Delete
including citations.
126 Postal and Shipping Records Records of
items that are mailed by the department CY + 3 yrs. Toss/Shred/Delete
via UPS, U.S. Postal Service, Federal Express, or another
carrier.
INTERCOLLEGIATE ATHLETICS RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
127 Athletic Scholarship and Records
pertaining to player eligibility and receipt CY + 6 yrs.
Toss/Shred/Delete
Grant -in-Aid Award Records of financial
aid in the form of scholarships.
128 Athletic Eligibility Records Records
of verification by intercollegiate athletics of CY + 6 yrs.
Toss/Shred/Delete
student athletes' academic.
129 Competition Record Forms Records of individual games and competitions. CY + 6 yrs. Toss/Shred/Delete
130 Game Arrangement Records Records of arrangements
made for and the schedules CY + 5 yrs.
Toss/Shred/Delete
of past games.
131 Game Statistics
Records of playing and attendance statistics pertaining CY + 6 yrs.
Archival Review
to each game and the season for each sport by playing
year.
132 Individual Athletes Records Records of
the athletic history of each athlete who has CY + 6 yrs.
Archival Review
competed at the institution.
133 Insurance Records Records
of medical treatment services rendered off Last year of
Toss/Shred/Delete
campus for practice or playing related injuries or
enrollment + 7 yrs.
illnesses which are eligible for partial payment by
institutional athletic insurance.
134 NCAA / NAIA Compliance Athletics
compliance records CY
+ 6 Toss/Shred/Delete
Records
135 Sports Merchandising Records Records of the
sale of institutional and NCAA or NAIA CFY + 4 yrs.
Toss/Shred/Delete
licensed merchandise at sporting events.
136 Student Athletes Academic Records of
academic advising of prospective and current Last year of
Toss/Shred/Delete
Advising Records
Student athletes.
enrollment + 6 yrs.
137 Student Athletes Medical Records
of the medical history of each athlete before Last year of
Toss/Shred/Delete
Records
and during his/her attendance at the institution.
enrollment + 7 yrs.
LIBRARIES, ARCHIVES, MUSEUMS, AND OTHER COLLECTIONS RECORDS
Program Code: 5102
Item Number Record Description
Retention Disposition
138 Appraisal Records Records
of monetary value appraisals completed by Active
Permanent
private parties for artifacts, objects, and collections held
by the institution.
139 Collection Records Collection
records, including acquisition documentation, Active
Permanent
deeds of gift, and copyright information for items in
institutional repositories which are used for research
purposes.
SAFETY AND SECURITY RECORDS
Program Code: 5102
Item Number Record Description Retention Disposition
140 Incident and Injury Records Records maintained
by the institution of incident, Final disposition
Toss/Shred/Delete
injury or accident.
+ 3 yrs.
141 Chemical and Hazardous Records of
the receipt, shipment, and disposal of chemical Event + 30 yrs.
Toss/Shred/Delete
Waste Disposal Records chemical material
or hazardous wastes on campus.
142 Emergency Plans and Records
related to emergency planning, and to Until superseded
Toss/Shred/Delete
Procedures
response and recovery procedures, including reestablishment + 1 yr.
of data and other services.
143 Radiation Records Records
of the licensing of the institution by federal, state, Active
Permanent
and local agencies to receive, use, store, dispose of, and ship
radioactive materials. Records of receipt, handling and disposal
of radioactive materials.
STUDENT RECORDS
Program Code: 5102
Documents for Applicants Who Do Not Enroll - Admission Documents
Item Number Record Description Retention Disposition
144 Admission letters Notices
of admission, waitlist and denial Intended
Term of Toss/Shred/Delete
Enrollment + 1
Correspondence, relevant
Intended Term of Toss/Shred/Delete
Enrollment + 1
145 Waivers of rights of access Waiving
right of access to admission letters of Intended Term
of Toss/Shred/Delete
(admissions)
recommendation
Enrollment + 1
Documents for Applicants Who Do Not Enroll - Application Materials
Item Number Record Description
Retention Disposition
146 Applications for admission Admission
application such as undergraduate, graduate, Intended Term of
Toss/Shred/Delete
or readmission
international or non-degree/special admittance Enrollment
+ 1
147 Credit by examination Reports/scores
on Advanced Placement, CLEP, PEP, etc. Intended Term of
Toss/Shred/Delete
Enrollment + 1
148 Entrance examination Standardized
test scores, such as ACT/SAT,
reports/test scores
LSAT, MCAT, GRE, TOEFL
Intended Term of Toss/Shred/Delete
Enrollment + 1
149 Medical Records i.e.,
immunization records
Intended Term of Toss/Shred/Delete
Enrollment + 1
150 Letters of recommendation
Intended Term of Toss/Shred/Delete
(admissions)
Enrollment + 1
151 Military documents
Intended Term of Toss/Shred/Delete
Enrollment + 1
152 Placement test records/scores
Intended Term of Toss/Shred/Delete
Enrollment + 1
153 Residency classification forms
Intended Term of Toss/Shred/Delete
Enrollment + 1
154 Test scores (other)
Intended Term of Toss/Shred/Delete
Enrollment + 1
155 Transcripts (high school)
Intended Term of Toss/Shred/Delete
Enrollment
156 Transcripts (other colleges)
Intended Term of Toss/Shred/Delete
Enrollment + 1
Documents for Applicants Who Do Not Enroll-International Student Documents
Item Number Record Description
Retention Disposition
157 Alien Registration Evidence
of admissibility as a permanent residency Intended Term of
Toss/Shred/Delete
Receipt Card
Enrollment + 1
158 DS-2019
Certificate of eligibility for J1 visa status (formerly IAP66) Intended
Term of Toss/Shred/Delete
Enrollment + 1
159 Employment Authorization
Intended Term of Toss/Shred/Delete
(work permit), if granted
Enrollment + 1
160 I20
Certificate of eligibility for F-1 visa status
Intended Term of Toss/Shred/Delete
Enrollment + 1
161 I94 Card (copy)
Document issued to nonimmigrants; also known Intended Term
of Toss/Shred/Delete
as Arrival Departure Record
Enrollment + 1
162 Passport number
Intended Term of Toss/Shred/Delete
Enrollment + 1
163 Statement of Educational Estimate
of total school year costs Intended
Term of Toss/Shred/Delete
Costs
Enrollment + 1
164 Statement of Financial Evidence
of adequate financial resources Intended Term
of Toss/Shred/Delete
Responsibility
Enrollment + 1
Admissions Records for Applicants Who Enroll - Admission Documents
Item Number Record Description
Retention Disposition
165 Admissions letters Notice
of admission, denial, or waitlist Last
year of Toss/Shred/Delete
(including those programs
enrollment + 5
with a separate admissions
process from the general
application)
166 Correspondence (relevant)
Last year of Toss/Shred/Delete
enrollment + 5
167 Waivers of rights of Waiving
right of access to admission letters Last year of
Toss/Shred/Delete
access (admissions)
of recommendation
enrollment + 5
Admissions Records for Applicants Who Enroll - Application Materials
Item Number Record Description
Retention Disposition
168 Applications for admission Admission
application such as undergraduate, First year of
Toss/Shred/Delete
or readmission
graduate, international, or non-degree/special admittance. enrollment +
5
169 Credit by examination Reports/scores
on Advanced Placement, CLEP, PEP, etc. First year of
Toss/Shred/Delete
enrollment + 5
170 Entrance examination Standardized
test scores, such as ACT/SAT, Last year of
Toss/Shred/Delete
reports/test scores
LSAT, MCAT, GRE, TOEFL
enrollment + 5
171 Medical Records
i.e., immunization records
Last year of Toss/Shred/Delete
enrollment + 5
172 Letters of recommendation
Last year of Toss/Shred/Delete
(admissions)
enrollment + 5
173 Military documents
Last year of Toss/Shred/Delete
enrollment + 5
174 Placement test scores/reports
Last year of Toss/Shred/Delete
enrollment + 5
175 Release from high school
Last year of Toss/Shred/Delete
or dual enrollment forms
enrollment + 5
176 Residency classification forms
Last year of Toss/Shred/Delete
enrollment + 5
177 Test scores (other)
Last year of Toss/Shred/Delete
enrollment + 5
178 Transcripts (high school)
Last year of Toss/Shred/Delete
enrollment + 5
179 Transcripts (other colleges)
Last year of Toss/Shred/Delete
enrollment + 5
Admissions Records for Applicants Who Enroll - International Student Documents
Item Number Record Description Retention Disposition
180 Alien registration receipt card Evidence
of admissibility as a permanent Last year of
Toss/Shred/Delete
resident
enrollment + 5
181 DS-2019
Certificate of eligibility for J1 visa status
Last year of Toss/Shred/Delete
(formerly IAP66)
enrollment + 5
182 Employment Authorization
Last year of Toss/Shred/Delete
(work permit), if granted
enrollment + 5
183 I-20
Certificate of eligibility for F-1 visa status
Last year of Toss/Shred/Delete
enrollment + 5
184 I94 Card (copy)
Document issued to nonimmigrants; also Last
year of Toss/Shred/Delete
known as Arrival Departure Record
enrollment + 5
185 Passport number
Last year of Toss/Shred/Delete
enrollment + 5
186 Statement of Educational Costs Estimate of total
school year costs Last year of
Toss/Shred/Delete
enrollment + 5
187 Statement of Financial Evidence
of adequate financial resources Last year of
Toss/Shred/Delete
Responsiblity
enrollment + 5
Student Academic Records - Academic Program Records
Item Number Record Description
Retention Disposition
188 Academic advisement records
Last year of Toss/Shred/Delete
enrollment + 5
189 Academic warning Notice
of academic action related to academic Last year of
Toss/Shred/Delete
nonperformance/deficiency
enrollment + 5
190 Academic suspension Notice
of academic action related to academic Last year of
Toss/Shred/Delete
nonperformance/deficiency
enrollment + 5
191 Academic dismissal Notice
of academic action related to academic Last year of
Permanent
nonperformance/deficiency
enrollment + 5
192 Academic integrity code Notice
of violation of academic integrity policies Last year of
Permanent
violations (with sanctions) including
sanctions, if any
enrollment + 5
193 Academic Records Narrative
evaluations, competency assessments, etc. Last year of
Permanent
(miscellanoues)
enrollment + 5
194 Correspondence (student) Related to
academic records, inquiries Last year
of Toss/Shred/Delete
enrollment + 5
195 Disciplinary action records Grade or
program actions, notice of sanctions Last year of
Toss/Shred/Delete
related to personal conduct
enrollment + 5
196 Grievance/ complaint (by student) Various course/exam
related issues, not grade Last year of
Toss/Shred/Delete
or FERPA disputes.
enrollment + 5
197 Leave of absence
Last year of Toss/Shred/Delete
enrollment + 5
198 Major changes, certification
Current Term + 1 Toss/Shred/Delete
of 2nd majors, minors
199 Petitions (academic) Exceptions
to academic rules Last
year of Toss/Shred/Delete
enrollment + 5
200 Thesis/Dissertation
Active Permanent
201 Transcripts
Permanent academic record
Active Permanent
Student Academic Records - Certification/Verification Records
Item Number Record Description Retention Disposition
202 Enrollment verifications Verifications
of enrollment, graduation, GPA, Current Term + 1
Toss/Shred/Delete
and other related academics
203 Residency verification records Documents
in support of verifying residency in state Last year of
Toss/Shred/Delete
for tuition purposes
enrollment + 3
204 Teacher certifications
Last year of Toss/Shred/Delete
enrollment + 3
205 Transcript requests (student) Official transcript
requests by student Submission + 1
Toss/Shred/Delete
206 VA certification records Certifying
documents for federal VA benefits Last year of
Toss/Shred/Delete
enrollment + 3
Student Academic Records - Degree and Certificate Records
Item Number Record Description
Retention Disposition
207 Application for degree or Degree
application, record of degree name. etc. Last year of
Toss/Shred/Delete
other credential
enrollment + 3
208 Degree audit records Degree
audits in support of graduation clearing Last year of
Toss/Shred/Delete
enrollment + 3
209 Graduation lists
List of graduates for graduating class
Active Permanent
210 Substitution/ waivers Approvals
to meet program requirements with Last year of
Toss/Shred/Delete
administrative action
enrollment + 3
Student Academic Records - Grade and Scholarship/ Deficiency Records
Item Number Record Description Retention Disposition
211 Exams (final)/graded coursework
Date of course Toss/Shred/Delete
completion + 1
212 Grade appeal/complaint Student
final grade disputes
CY + 1 Toss/Shred/Delete
213 Grade book (faculty) Record
of students in course and work completed Date of course
Toss/Shred/Delete
completion + 5
214 Grade change forms Record
of authorization to change grade Last year
of Toss/Shred/Delete
enrollment + 5
215 Grade reports (midterm) Record of
midterm grades submitted by faculty Current term
Toss/Shred/Delete
216 Grade submission sheets/data Original record
of grades submitted at end of term Active
Permanent
Student Academic Records - Miscellaneous Records
Item Number Record Description Retention Disposition
217 Name change authorizations
Last year of Toss/Shred/Delete
enrollment + 5
218 Personal data information forms
Last year of Toss/Shred/Delete
Change of address, race/ethnicity
enrollment + 5
questionnaires, and other
demographic data
219 Transfer credit evaluations
Last year of Toss/Shred/Delete
enrollment + 5
Student Academic Records - Registration and Enrollment Records
Item Number Record Description Retention Disposition
220 Class Schedules (students) Student
schedules for each term Last
year of Toss/Shred/Delete
enrollment + 5
221 Class lists
Record of class rosters for each term
CY + 5 Toss/Shred/Delete
222 Course repeat form/approval
Last year of Toss/Shred/Delete
enrollment + 5
223 Credit/no credit, audit, or Authorization
for various enrollment options Submittal + 3
Toss/Shred/Delete
pass/no pass approvals
224 Enrollment changes Record
of student add/drop/withdraw from class Submittal + 3
Toss/Shred/Delete
225 Registration/ enrollment records Initial registration
forms, current enrollment records CY + 3
Toss/Shred/Delete
226 Withdrawal/ cancellation of Record of
request to withdraw from all classes CY + 3
Toss/Shred/Delete
enrollment records
Publications, Statistical Data, and Institutional Reports
Item Number Record Description Retention Disposition
227 Catalogs
Published annually or bi-annually, record of
Active Permanent
courses, degrees, and programs of study offered
228 Commencement programs Published record of graduates for public distribution Active Permanent
229 Degree statistics
Record of degrees granted by institution per Active
Permanent
graduation term and/or annually
230 Enrollment statistics Per
term report of enrolled students, e.g., by class, Active
Permanent
by course totals, headcount and FTE
231 Grade distribution and Report
of grades given, including summary grade point Active
Permanent
other grade statistics
statistics by class
232 Instructor evaluations (by students)
CY + 1 Toss/Shred/Delete
233 Race/ethnicity reporting Report
of student enrollment, graduation, and other Active
Permanent
metrics by race and ethnic origin
FERPA Records
Item Number Record Description
Retention Disposition
234 Requests for formal hearings Student-initiated
request for formal hearing regarding Same as education Same
as education
amendment of education record
record at issue record at issue
235 Requests for and disclosures Necessary
for compliance with recordkeeping Same as PII at issue
Same as PII at
of personally identifiable requirements
in FERPA
issue
information
236 Requests for nondisclosure of Student request
to opt-out of directory disclosure Active
Permanent, or
directory information
information
until the request
is terminated
by student
237 Statements on content of records If student request
for amendment of record is Same as education
Same as education
regarding hearing panel decisions not granted,
then student statement must be at issue
at issue
maintained in the record, and disclosed whenever
the record is disclosed
238 Written consent for records Student
signed (electronic or paper) authorization for Same as education
Same as education
disclosure
disclosure of education record
record at issue record at issue
239 Waivers for rights of access Covers
confidential letters and statements of Same as education
Same as education
recommendations related to the student’s admissions;
record at issue record at issue
application for employment; or receipt of an honor or
honorary recognition (section 99.12(b)(3))
240 Written decisions of hearing Decisions
resulting from formal hearings regarding Same as education
Same as education
panels
amendment of education records
record at issue record at issue
Federal Disclosure Records
Item Number Record Description
Retention Disposition
241 Athletic Participation/EAD
Date of required Toss/Shred/Delete
A documents
disclosure + 3
242 College Costs, accreditation, Complies
with Higher Education Opportunity Act Date of required
Toss/Shred/Delete
textbook information, transfer
disclosure + 3
credit policy
243 Crime Statistics/ Security Reports Complies with
Clery Act reporting requirements Date of required
Toss/Shred/Delete
disclosure + 3
244 Graduation/ completion, Complies
with Student Right-to-Know legislation Date of required
Toss/Shred/Delete
Transfer-out Data
disclosure + 3
245 Institutional information (Cost
Date of required Toss/Shred/Delete
of attendance, withdrawal
disclosure + 3
procedures, accreditation, etc.)
Miscellaneous
Item Number Record Description
Retention Disposition
246 Services to Students with Records
of student participation in the services Active
Permanent
Disabilities Records
to students with disabilities program.
247 Student Organization Records
of the history, development, and policies CY + 5 yrs.
Archival Review
Administrative Records of
campus student organizations.
Last update: November 29, 2017