Record Retention Policy
The goals of Alfred University's record retention policy are:
- To ensure that all non-critical records are retained for no longer than the minimum period required by law, thereby eliminating the storage space problem and minimizing expenses
- To ensure that all critical records, including those which may substantially affect the obligations of the University or document the University’s compliance with the law, are retained for a sufficient period of time as to be useful to that end; and
- To ensure that records are destroyed only pursuant to a standard policy which has been developed for business reasons
Contacts
Direct any questions about this policy to your department’s administrative manager. If you have questions about specific issues, call the following offices
Subject | Contact | Telephone |
---|---|---|
Electronic Media Storage | ITS | 607-871-2806 |
Archives | Herrick Library | 607-871-2184 |
Scholes Library | 607-871-2492 | |
Policy Clarification or Exceptions | Controller | 607-871-2128 |
Attached to this policy is a Records Retention Schedule. This Schedule sets forth the recommended minimum retention period for each category of records. The categories are intended to be general and should be interpreted as including all types of records relating to that category, including correspondence, notes, reports, etc. The schedule also lists the official repositories for University records. Departments that are not official repositories and that retain duplicate or multiple copies of these records, should dispose of them when they are no longer useful.
Records not identified should not be disposed of without first consulting with the Controller.
This policy shall apply to all records regardless of whether the records are stored on paper or on computer hard drives, floppy disks or other electronic media.
Departments that maintain University records are responsible for establishing appropriate record retention management practices. Each unit’s administrative manager or a designee must
- Implement the unit’s and/or office’s record management practices;
- Ensure that these management practices are consistent with this policy;
- Educate staff within the administrative unit in understanding sound record management practices;
- Preserve records of historic value and transfer those records to the Archives;
- Ensure that access to confidential files is restricted with long-term restrictions on access to records that are archived being established at the time records are placed in permanent storage; and
- Destroy inactive records that have no archival value upon completion of the applicable retention period
The Controller is responsible for the overall administration and enforcement of this policy. Either the Controller or another responsible person will monitor general compliance with this policy and is specifically charged with overseeing periodic reviews of records in accordance with the policy. Oversight shall include creation of an index of active and inactive records as well as maintaining records of all destroyed documents.
Following the minimum retention period, a determination of whether to preserve or dispose of the documents must be made. If there is a question regarding whether a record has historic value to the University, consult the University Archivist, who has authority to designate which records shall be archived.
Records to be destroyed in accordance with the attached retention schedule should be destroyed using a method that preserves the confidentially of the information, if applicable.
If records must be moved to an off-site storage location, the following considerations should be made when determining how such records will be stored
- Access and retrieval needs, including frequency of retrieval, emergency access needs and potential costs associated with retrieving the records
- Specific environmental conditions necessary to preserve the records
- Security requirements to prevent unauthorized access to the records
- Filing system to permit rapid retrieval of records
Documents that are sent to storage should be identified by category and should indicate a planned destruction date determined in accordance with the attached schedule. The individual responsible for carrying out this policy shall use these dates to identify records ready for destruction.
The University acknowledges its responsibility to preserve information relating to litigation, audits and investigations. The Sarbanes-Oxley Act of July 30, 2002, makes it a crime to alter, cover up, falsify, or destroy any document to prevent its use in an official proceeding. Failure on the part of employees to follow this policy can result in possible civil and criminal sanctions against the University and its employees and possible disciplinary action against responsible individuals (up to and including termination of employment). Each employee has an obligation to contact the VP for Business and Finance of potential or actual litigation, external audit, investigation or similar proceeding involving the University that may have an impact as well on the approved records retention schedule.
The legally-required retention periods set forth on the attached schedule presumes the operation of the University in the “ordinary course of business.” Destruction of records relating to litigation or governmental investigations may constitute a criminal offense. The VP for Business and Finance shall be responsible for suspending destruction of any University records as soon as litigation, federal government investigation, civil action, audit by a governmental agency or enforcement proceeding is suspected, reasonably anticipated or is commenced against the University, its officers, directors or employees. The VP for Business and Finance shall be responsible for notifying individuals at the University responsible for record retention activities to ensure that destruction of records is suspended until the litigation, investigation or proceeding is complete.
Work related electronic mail (“e-mail”) messages are corporate records and must be treated as such. It is the responsibility of the sender of the e-mail message and the recipient of messages from outside the University to manage e-mail messages according to this records retention policy. An e-mail message that does not meet the definition of a record (i.e., personal e-mail or junk e-mail) should be deleted immediately from the system.
The University’s e-mail servers are NOT intended for long-term record retention. E-mail messages and any associated attachment(s) with retention periods greater than three (3) years should be kept in similar fashion to paper records or electronically stored in an appropriate file on the network drive, so that it may be maintained and stored in accordance with the records retention policy. It is important to note that the e-mail messages should be kept with any attachment(s). The printed or electronic copy of the e-mail message must contain the following header information
- Who sent the message;
- Who the message was sent to;
- Date and time the message was sent; and
- The subject of the message
When e-mail is used as a transport mechanism for other record types, it is possible, based on the content, for the retention and disposition periods of the e-mail message and the transported record(s) to differ. In this case, the longest retention period shall apply.
An e-mail message can be deleted once a paper copy has been printed or the e-mail message has been stored electronically in a file on the network drive. The paper copy or the electronic copy must be retained for the correct time period as determined by this record retention policy.
It is Information Technology Services’ policy to keep three months of daily backups of active email accounts. When employees separate from service their email accounts are archived for one year.
In accordance with the Family Education Rights and Privacy Act (FERPA), students may inspect their education records. In addition, FERPA limits disclosure to others of personally identifiable information from education records without the student’s prior written consent. Finally, FERPA provides students the opportunity to seek correction of their education records where appropriate. For more information on FERPA and the release of students’ information, please refer to the FERPA policy set forth in the University’s Student Handbook.
Some student records contain private health information and are subject to the provisions of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”). For more information on HIPAA and the protection of private health information, please refer to the University’s HIPAA policy.
Item | Minimum Retention Period | Official Repository |
---|---|---|
Charter | Permanent | Vault |
Bylaws | Permanent | Vault |
Board meeting agendas & materials | 7 years | President |
Board and standing committee meeting minutes | Permanent | President |
Conflict of interest disclosure forms | 7 years | President |
Trustee files (info on individual trustees including correspondence) | Permanent | President |
Licenses | Permanent | Vault |
Accreditation Documents | Permanent | Provost and Chief Operating Officer |
Accreditation Supporting Documents | 10 years | Provost and Chief Operating Officer |
Campus Crime Reports | Permanent | Student Affairs |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Accounts payable ledger, vouchers and attachments | 7 years | Controller |
Purchasing Card statements & receipts | 7 years | Office Services |
Accounts receivable ledger and statements | 7 years | Controller |
Account Reconciliations (balance sheet) | 7 years | Controller |
Auditor management letters | Permanent | VP Bus & Finance |
Banking Records, including deposit and withdrawal records, bank statements and reconciliation, voided and canceled checks | 7 years | Controller |
Billing Records | 7 years | Controller |
Capital Equipment Records | Life of Asset; records of equipment purchased on federal funds must be retained for 3-years after final disposition | Controller |
Cash Receipts | 7 years | Controller |
Chart of accounts | 7 years | Controller |
Contracts & agreements | 7 years after all obligations end | VP Bus & Finance |
Correspondence – general | 1 year | Various |
Depreciation Records | Life of the Asset | Controller |
Equipment files & maintenance records | 7 years after disposition | Various |
Expense reports | 7 years | Controller |
Financial statements (audited) and work papers | Permanent | Controller |
Indirect Cost Rate Calculations | 7 years | Sponsored Research Adm |
Inventories | Life of the Assett | Controller |
Dept of Homeland Security Form I-9 (store separate from personnel file) | Greater of 1 year after end of service, or 3 years | Human Resources |
Ledgers & journals (includes bank reconciliations, fund accounting by month, payouts allocation, securities lending, single fund allocation, trust statements) | 7 years | Controller |
Investment performance reports | 7 years | Controller |
Investment manager correspondence | 7 years | Controller |
Investment manager contracts | 7 years after all obligations end | Controller |
Investment consultant reports | 7 years | Controller |
Bond proceeds expenditures | 3 years after the bond is retired | VP Bus & Finance |
Journal entries with backup | 7 years | Controller |
Detail General Ledger | Permanent | Controller |
Subsidiary Ledgers | 7 years | Controller |
Trial Balances | 7 years | Controller |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Certificates of Insurance, Indemnification Agreements, Hold Harmless Agreements, Contracts | 7 years after expiration | VP Bus & Finance |
Insurance Policies (liability, property and other policies) | Permanent | VP Bus & Finance |
Incident Reports and Accident Reports | 4 years after report date | VP Bus & Finance |
Fire inspection reports | 7 years | Physical Plant |
Safety (OSHA) reports | Permanent | Envir Health & Safety |
Claims (after settlement) | 7 years | VP Bus & Finance |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Deeds | Permanent | Vault |
Leases (expired) | 7 years after all obligations end | Vault |
Mortgages, security agreements | 7 years after all obligations end | Vault |
Purchase agreements | 7 years after disposition of property | Vault |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Excise Tax Returns | 7 years after return is filed | Controller |
Income Tax Returns | 7 years after return is filed | Controller |
Information Returns (990, 1099, 8282, etc.) | 7 years after return is filed | Controller |
IRS exemption determination & related correspondence | Permanent | Vault |
Sales Tax Returns | 7 years after return is filed | Controller |
Tax audit closing letters | Permanent | Controller |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Alumni Records | Permanent | Univ Relations |
Gift Records | 7 years for hard copy records; Permanent for electronic records | Univ Relations |
Original Gift Letter Agreements | Permanent | Vault |
Planned Gifts and Real Estate Gifts | Permanent | Vault |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Annual reports | Permanent | Various |
Other publications | Permanent | Univ Relations |
Photos | Permanent | Univ Relations |
Press clippings | N/A | Univ Relations |
Press releases | 7 years | Univ Relations |
Research reports/surveys | 3 years | Univ Relations |
Year-end reports | 10 years | Various |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Evacuation Drill Records | 5 years | Env Health & Saf |
Fire Protection Systems Records | 5 years | Physical Plant |
Hazardous Waste Disposal Manifests and Reports | 3 years | Env Health & Saf |
Incident Records | 5 years | Env Health & Saf |
Portable Extinguisher Training Records | 3 years | Env Health & Saf |
Radiation Dose Reports | Permanent | Env Health & Saf |
Radiation Safety Training Records | 3 years | Env Health & Saf |
Radioactive Materials License and Safety Committee Records | Permanent | Env Health & Saf |
Radioactive Material Receiving and Inventory Records | 3 years | Env Health & Saf |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Consultant contracts/files (expired) | 7 years after all obligations end | Human Resources |
Contracts with employees | 7 years after all obligations end | Human Resources |
Disability & sick-benefit records | 7 years from date of termination | Human Resources |
Employment applications and resumes – non-employees | 3 years | Various |
Employee handbooks | Permanent | Human Resources |
Employee orientation & training materials | Permanent | Human Resources |
Personnel files, appointment letters and forms | Permanent | Human Resources |
Federal Reporting Requirements: welfare benefits and other fringe benefit plans | Permanent | Human Resources |
Occupational Injury or Illness Records | 5 years | Human Resources |
Performance Appraisals | 3 years after termination | Human Resources |
Search Committee Records, including employment applications, resumes and all applicant search materials | 3 years | Various (Recruiting Dept) |
Union Agreements | Permanent | Human Resources |
Volunteer Registration Forms, Parental Consent Forms and Agreements | 3 years | Human Resources |
Workers compensation claims (after settlement) | 10 years | Human Resources |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Annual Payment Records | Permanent | Payroll |
Imputed Income Records (W2’s) | 10 years | Payroll |
Information Returns filed with Federal and State authorities | 10 years after returns filed | Payroll |
Leave Reporting Documents | 10 years | Human Resources |
Payroll Deduction Authorization Forms (W4’s) | 10 years after employment ends | Human Resources |
Payroll Vouchers (Personnel Action Forms) | 10 years | Payroll |
Record of Payments and Deductions | 10 years | Human Resources |
Time Cards, student | 10 years | Payroll |
Time Cards, other | 10 years | Payroll |
Wage Assignment Orders | 10 years after closed | Payroll |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Employee Eligibility for Pension | 6 years after death of eligible employee or beneficiary | Human Resources |
Employee Personal Information | 6 years after death of eligible employee or beneficiary | Human Resources |
Employee Service Records | 6 years after death of eligible employee or beneficiary | Human Resources |
Plan Administrator Setting Forth Authority to Pay (records of) | Permanent | Human Resources |
Pension Paid to Employees or Beneficiaries | 6 years after death of eligible employee or beneficiary | Human Resources |
Pension Plans and All Attached Amendments | Permanent | Human Resources |
Pensions or Pension Plans filed with Department of Labor and IRS | Permanent | Human Resources |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Health Center Services Patient Records | 10 years | Student Affairs |
Counseling Client Records | 10 years | Student Affairs |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Invention Assignment forms | Permanent | Sponsored Research Adm |
Licensing Agreements | 7 years | Sponsored Research Adm |
Original Patents, Trademarks and Related Work Papers | Permanent | Sponsored Research Adm |
Royalty Records | Life of Patent or TM plus 7 years | Sponsored Research Adm |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Software licenses & support agreements | 7 years after all obligations end | ITS and various departments |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Accident Repots | 4 years after report date or until claimant reaches the age of 22 | VP Bus & Finance |
Crime Reports | 4 years after report date | Student Affairs |
Property Damage Reports | 4 years after report date | VP Bus & Finance |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Grant and Contract Applications, Proposals and Supporting Documents award documents, contracts, MOUs, PO’s and documentation pertaining to the administration of gifts/grants/contracts through close-out. | After grant close 3 years for federal, 7 years for NYS, or as required by granting agency | Sponsored Research Adm |
Human Subject Records | 3 years or contract period | Sponsored Research Adm |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Consent Orders | Permanent | VP Bus & Finance |
Court Orders | Permanent | VP Bus & Finance |
Judgments | Permanent | VP Bus & Finance |
Releases | Permanent | VP Bus & Finance |
Settlements | Permanent | VP Bus & Finance |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Directories | 2 years | ITS |
Institutional Periodicals | 2 years | Univ Relations |
Correspondence - President & CEO | 7 years | President |
Correspondence – general | 7 years | Various |
Appointment calendars – President & CEO | 7 years | President |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Applications for Admission or Readmission, Correspondence that is relevant, Test Scores, Letters of Recommendation, Transcripts, Essay and Other Achievements | 3 years | Admissions |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Application, Acceptance letters, essay, and other achievements | 5 years after graduation/date of last attendance | Student Affairs or Department (Graduate) |
Letters of Recommendation, test scores, relevant correspondence, and copies of the application, acceptance letter, essay, transcript and other achievements | 3 years | Admissions |
Student Waivers for Right of Access | Until graduation/date of last attendance | Registrar |
Official Transcripts—high University, other college or other academic institution | 7 years after graduation/date of last attendance | Registrar |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Academic advisement files | 3 years after graduation/date of last attendance | Various |
Change of Grade Forms | Permanent | Registrar |
Course change records | 2 year after date submitted | Registrar |
Credit/no credit approvals (audit, pass/fail, etc.) | 2 year after date submitted | Registrar |
Certification of Graduation | 7 years after graduation/date of last attendance | Registrar |
Credit by Examination reports/scores (AP,CLEP, etc.) | 7 years after graduation/date of last attendance | Registrar |
Curriculum change authorization (change/declaration of program, major, minor) | 7 years after graduation/date of last attendance | Registrar |
Degree audit records | 7 years after graduation/date of last attendance | Registrar |
Disciplinary Records | 7 years after date of final obligation, Permanent if expelled | Judicial Affairs |
Academic Disciplinary Records | 7 years after date of final obligation, Permanent if expelled | Registrar |
Divisional transfer requests | 7 years after graduation/date of last attendance | Registrar |
Enrollment Verifications | 2 year from enrollment date | Registrar |
Final Grade Rosters | Permanent | Registrar |
Graduation Lists | Permanent | Registrar |
Hold or Encumbrance Authorizations | Until Released | Registrar |
Name change | 7 years after graduation/last date of enrollment | Registrar |
Student Class Schedules | 2 year from graduation/ date of last attendance | Registrar |
Student Registration Forms | 2 year from registration | Registrar |
Transcript requests | 2 year after date submitted | Registrar |
Alfred University Transcripts | Permanent | Registrar |
Transfer credit requests/reports | 7 years after graduation/date of last attendance | Registrar |
Veteran Administration Certifications | 7 years after graduation/date of last attendance | Registrar |
Withdrawal authorization/leave of absence authorization | 7 years after graduation/date of last attendance | Registrar |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Academic Search Records | 3 years | Various |
Annual Conflict of Interest Disclosure Statements | 4 years | Human Resources |
Grievances | No cause findings, 3 years from determination Cause findings, Permanent |
Provost and Chief Operating Officer |
Tenure or Promotion Reports | Until separation from service | Provost and Chief Operating Officer |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Student loan records | 3 years after loan repaid, canceled, or assigned to Dept. of Education if not being audited* | *Some records may be retained for shorter duration. However, specific record keeping requirements apply for certain records related to Federal Student Aid programs. 34 C.F.R. 668.24 Controller |
Financial Aid awards, grants, fellowships, scholarships (including Federal Work Study and Federal Supplemental Educational Opportunity Grants) |
Unsuccessful applicants: 3 years Successful applicants: 4 years after graduation/date of last attendance |
Office of Financial Aid |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Requests for formal hearings | Permanent | Registrar |
Requests and disclosures of personally identifiable information | Permanent | Registrar |
Student requests for nondisclosure of directory information | Permanent | Registrar |
Student statements on content of records regarding hearing panel decisions | Permanent | Registrar |
Student’s written consent for records disclosure | Permanent | Registrar |
Waiver for rights of access | Permanent | Registrar |
Written decisions of hearing panels | Permanent | Registrar |
Item | Minimum Retention Period | Official Repository |
---|---|---|
Degree statistics, Enrollment statistics, Grade statistics and Race/ethnicity statistics | Permanent | Registrar |
Schedule of classes and class lists (institutional) | Permanent | Registrar |
Institutional publications (catalogs, handbooks, programs, etc.) | Permanent | Registrar |
Advertising materials, other than catalogues | 5 years after compilation | Admissions |
Class standing reports | Permanent | Registrar |
Commencement Programs | Permanent | Registrar |
Tuition Fees and Schedules | Permanent | VP Bus & Finance |
IPEDS/NYSED reports | 7 years | Institutional Research |