Document and Record Retention and Disposal Policy

document and record retention and disposal policy

Section 1.General

1.1Statement. SouthwesternChristianUniversity requires that University records, regardless of format, be retained in designated official repositories for specific periods of time before transfer to permanent archival or disposal. University record management and retention must be maintained in accordance to the procedures outlined in this document.

1.2Purpose. This policy is to ensure proper management and care of University records, both active and archival, by establishing procedures and guidelines for the retention and disposal of those records. The processes and guidelines are put in place to comply with State,regulatory, contractual, and accreditation standards; adhering to retention, privacy, and security of University records. This policy aims to ensure effective and efficient record retention in order to meet active institutional needs, promote cost-effectiveness, optimize usage of space, and aid in the preservation of University history.

1.3Scope. This policy applies to all departments, divisions, administrations, and agencies of SouthwesternChristianUniversity. All University staff and faculty are responsible for acting in accordance to this policy. Departments and divisions of SouthwesternChristianUniversity may implement internal department specific retention and disposal standards in addition to this policy, but must use this policy as the minimum requirement for retention. Departments or individuals that are not designated as official repositories for files but have obtained copies of records are not responsible for retention of those copies, and should dispose of the copies when the information is no longer needed.

1.4Effective Date:June 3, 2015 (Cabinet Approved)

Section 2.Policy

2.1The University and its employees will retain, maintain, create, use, and destroy University records in congruence with State, regulatory, contractual, and accreditation standards.

2.2University records containing personal, confidential, or academic information will be securely managed in order to protect against unauthorized/inappropriate use, removal, alteration, falsification, disclosure, or destruction of those files—the previously stated behavior is prohibited by all employees.

2.3Email accounts, including institutional assigned accounts, are not considered as an official repository for records. Any University record, action, or decision recorded through email shall be stored in the appropriate repository, either in hard copy or the electronic format designated by the responsible unit.

2.4University records retained for the required period will be disposed appropriately. University records containing personal, confidential, or academic information marked for disposal will be shredded to maintain the security of students, faculty, and employees.

2.5SouthwesternChristianUniversity’s Registrar in consultation with the Provost and Deans is responsible for the maintenance and implementation of this policy; any adjustments to this policy and the retention schedule must be reviewed and approved by Registrar.

Section 3.Retention Schedule

3.1The following tables contain the Official repositories and retention periods for University records.

3.2Retention Schedule

Section 4.Policy Review Cycle

4.1This policy will be reviewed every two years by the Registrar in consultation with the responsible units listed in this policy.

4.2The Registrar will change the effective date of policy to the current review year regardless of other changes.

4.3The Registrar will submit the policy to President's Cabinet for approval regardless of changes.

Academic Documents
*Note: Responsible Unit may delegate document retention responsibilities as appropriate.
Category / Type of Record / Retention Period / Responsible Unit*
(alpha order)
Academic Progress Records / Registration and Attendance / Advising Files / 3 years after graduation or last semester attended / Advisor
(copies to Registrar)
Academic Progress Records / Registration and Attendance / Class Curriculum Records / 2 years after superseded or obsolete, then transfer to permanent archive / Department Chair
Academic Progress Records / Registration and Attendance / Class Syllabus/Outlines / 5 Years after course last offered / Department Chair
Academic Progress Records / Registration and Attendance / Teacher Evaluations / 2 Years / Department Chair
Academic Progress Records / Registration and Attendance / Accreditation Information / Permanent / Provost
Academic Publications / Academic Calendar / Permanent / Provost
Academic Progress Records / Registration and Attendance / Advising waivers / 3 years after graduation or last semester attended / Registrar
Academic Progress Records / Registration and Attendance / Curriculum substitution/waiver forms / 3 years after graduation or last semester attended / Registrar
Academic Progress Records / Registration and Attendance / Academic Action Authorizations / 5 Years after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Academic Records (including narrative evaluations, competency assessments, etc.) / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Academic Suspension Record / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Academic Dismissal Record / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Academic Warning / 5 Years / Registrar
Academic Progress Records / Registration and Attendance / Applications for Graduation / Permanent
(void after 1 year if not graduated) / Registrar
Academic Progress Records / Registration and Attendance / Change of Grade Forms / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Correspondence with Students / 5 Years after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Credit by examination reports/ scores / 5 Years after credits transferred to permanent transcript / Registrar
Academic Progress Records / Registration and Attendance / Curriculum Change Authorizations / 5 Years after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Diplomas
(Diplomas and Ordering Information) / 1 Year after audits are complete / Registrar
Academic Progress Records / Registration and Attendance / Academic Disciplinary Action Documents / 5 Years after resolution / Registrar
Academic Progress Records / Registration and Attendance / Academic Grievances / 5 years after termination of enrollment / Registrar
Academic Progress Records / Registration and Attendance / Hold or Encumbrance Authorizations / Until Released / Registrar
Academic Progress Records / Registration and Attendance / Immigration Records for Students / 7 years after graduation or last date of attendance / Registrar
Academic Progress Records / Registration and Attendance / Master Course Record / Retain in office until superseded or obsolete, then transfer for permanent preservation / Registrar
Academic Progress Records / Registration and Attendance / Name Change Authorizations / 5 Years after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Pass/Fail Requests
used to request a course counted as pass/fail instead of for a grade. / 1 year after date submitted / Registrar
Academic Progress Records / Registration and Attendance / Personal Data Information Forms / 1 year after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Probation Record (Academic) / Retain until probation is terminated / Registrar
Academic Progress Records / Registration and Attendance / Registration Records / 1 year after date submitted / Registrar
Academic Progress Records / Registration and Attendance / Social Security Authorizations / 1 year after certification / Registrar
Academic Progress Records / Registration and Attendance / Student Awards and Honors / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Teacher Certifications / 1 year after certification / Registrar
Academic Progress Records / Registration and Attendance / Thesis/Dissertation / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Transcript Requests (student) / 1 year after date submitted / Registrar
Academic Progress Records / Registration and Attendance / Withdrawal Authorizations / 2 years after graduation or date of last attendance / Registrar
Academic Progress Records / Registration and Attendance / Withdrawal/cancellation of enrollment records (From all Classes) / 5 years / Registrar
Academic Progress Records / Registration and Attendance / Transcripts, Other Colleges / For Students who enroll, Permanent; For all Other Applicants, 1 year / Registrar
Academic Publications / Catalogs / Permanent / Registrar
Academic Publications / Commencement Programs / Permanent / Registrar
Academic Progress Records / Registration and Attendance / Class lists (original grade sheets) / Permanent / Registrar (After 1997 in CAMS)
Academic Progress Records / Registration and Attendance / Class Schedules / Permanent / Registrar (After 1997 in CAMS)
Academic Progress Records / Registration and Attendance / Student Data File / Permanent / Registrar (After 1997 in CAMS)
Academic Progress Records / Registration and Attendance / Transcript Records / Permanent / Registrar (After 1997 stored in CAMS)
Academic Progress Records / Registration and Attendance / Final Degree Audit for Graduation Record / Permanent / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Authorization of Graduation (Conferral) / Permanent / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Change of Course (Add/Drop) / Permanent / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Changes in Student Records / 2 Years / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Class Rosters / 2 Years / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Transcript Course Equivalencies/Substitutions / Permanent / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Transfer Credit Evaluations and Equivalencies / Permanent; applied to University transcript / Registrar (CAMS)
Academic Publications / Schedule of Classes (institutional) / Permanent / Registrar (CAMS)
Academic Progress Records / Registration and Attendance / Graduation Lists / Permanent / Registrar (Commencement Program)
Admissions Documents
Admissions / Medical Records Provided by Admitted Applicant / 5 Years after graduation or date of last attendance / VP for Student Life/Dean of Students
Health and Counseling Records / CAPS Counseling Records / 5 Years / VP for Student Life/Dean of Students
Admissions / Application files for students who are accepted but do not enroll / 1 Year after acceptance / Director of Admissions
Admissions / Letters of Recommendation / For Accepted Students who Enroll - Until Matriculated; For all other applicants, 1 year. / Director of Admissions
Admissions / Other Correspondence with Students Accepted who do not Enroll / 1 Year after date of correspondence / Director of Admissions
Admissions / Recruitment Materials / Permanent (at least one copy for archiving purposes) / Director of Admissions
Admissions / Acceptance letters for Students accepted who do not enroll (or drop before classes begin or no show) / 1 Year after acceptance / Registrar
Admissions / Acceptance letters for students accepted who enroll (or drop after classes begin) / 5 Years after graduation or date of last attendance / Registrar
Admissions / Application for Admission or Readmission / 5 Years after graduation or date of last attendance / Registrar
Admissions / Entrance Exams and Placement Scores / 5 Years after graduation or date of last attendance / Registrar
Admissions / International Student Documents / Permanent / Registrar
Admissions / Military Records / 5 Years after graduation or date of last attendance / Registrar
Admissions / Other Correspondence with Admitted Students / 5 Years after graduation or date of last attendance / Registrar
Admissions / Foreign/ International Student Records (e.g., I-20) / 5 Years after graduation or date of last attendance / Registrar
Admissions / Transcripts - High School / For Students who enroll, Permanent; For all Other Applicants, 1 year. / Registrar
Advancement Records
Grant Records / Grant Award Agreements, Governmental and Private / Term of Grant Award + 5 years / Provost
Advancement Records / Deeds of Gift / 5 years from date gift received and performance by University complete / Vice President for University Develop.
Advancement Records / Endowed Scholarship Agreements / Permanent / Vice President for University Develop.
Advancement Records / Endowments / Permanent / Vice President for University Develop.
Advancement Records / Gift Agreements / 5 Years from date gift is complete / Vice President for University Develop.
Advancement Records / Trusts and Bequests / Permanent / Vice President for University Develop.
Athletics
Athletics / Athlete Records / 10 Years / VP for Intercollegiate Athletics
Athletics / Eligibility Records / 6 Years / VP for Intercollegiate Athletics
Athletics / Recruitment Records / 6 Years / VP for Intercollegiate Athletics
Athletics / Recruiting Rules and Regulations: Reference copies of NCAA, NAIA, NJCAA and other's rules, regulations, and guidelines governing university athletics. / 2 years after superseded / VP for Intercollegiate Athletics
Athletics / Scouting Reports / Retain until no longer needed for administrative purposes / VP for Intercollegiate Athletics
Athletics / Coach's Records / Retain until no longer needed for administrative purposes / VP for Intercollegiate Athletics
Athletics / Schedules of Athletic Events / Retain until no longer needed for administrative purposes / VP for Intercollegiate Athletics
Athletics / Team Rosters / 6 Years / VP for Intercollegiate Athletics
Athletics / Student Athlete Drug Testing Consent Forms / 6 Years / VP for Intercollegiate Athletics
Athletics / Sports Program Records: Descriptions, reports, game tickets and related records / 2 Years / VP for Intercollegiate Athletics
Athletics / Rules and Regulations for Sports / Retain until superseded by new rules / VP for Intercollegiate Athletics
Athletics / Student Athlete Financial Aid/Scholarship Records / 4 years after graduation or date of last attendance / Financial Aid
Fiscal Records
Fiscal Records / Tuition and Fee Charges / 5 Years / Vice President of Fiscal Affairs and Site Planning
Fiscal Records / Account Ledgers / 10 years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Accounts Receivable / 5 years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Audit Reports
(including audited financial records and related correspondence, e.g., management letters) / Permanent / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Receipts / 7 Years if audits have been completed, resolved, and accepted / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Travel Reports/Requests / 7 Year after all audits have been completed, resolved, and accepted / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Bank Deposit Records / 7 Years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Bank Statements / 7 Years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Budgets / 7 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Canceled Checks / 5 Years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Returned Checks / 1 Year after settlement / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Cashiers’ Tapes from Bookkeeping Machines / 5 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Check Registers / 7 years after end of fiscal year and audits are completed / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Collection Records / 4 years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Correspondence with Taxing Agency (e.g., IRS) / 6 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Depreciation Schedules / Permanent / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Federal Income Tax Returns and Schedules / Permanent / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Financial Statements / 40 years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / General Ledger / 20 years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Gross Receipts Tax / 7 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Intellectual Property Licensing Agreements / 5 years after termination of licensing agreement / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Journals / 20 years after end of fiscal year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Personal Property Tax / 6 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Real Property Tax / Permanent / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Sales Tax / 6 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / State Income Tax Returns and Schedules / Permanent / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Student Account File / 2 Years after termination of enrollment if account is settled; 5 years after termination of enrollment if account is unsettled. / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Tax-Exempt Bond Financed Property Usage Records (including management contracts and research agreements) / Life of the Bonds, including life of refunding bonds (if any), plus 5 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Tax-exempt Bond Issuance and Refinancing Records (including trust indenture, official statement, loan agreements and bond counsel options) / Life of the Bonds, including life of refunding bonds (if any), plus 5 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Tax-Exempt Bond Payment or Security Records / Life of the Bonds, including life of refunding bonds (if any), plus 5 years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Tax-exempt Bond Proceed Expenditure Records / Life of the Bonds, including life of refunding bonds (if any), plus 5 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Tax-Exempt Bond Proceeds Investment Records / Life of the Bonds, including life of refunding bonds (if any), plus 5 Years / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Uncollected Accounts / Until collection - then see collection records / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Use Tax / 6 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Withholding Tax (e.g., FICA) / 6 Years after end of tax year / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / General Correspondence / Until annual review; 1 year maximum / Vice President for Fiscal Affairs and Site Planning
Fiscal Records / Records of Donations to Issues Advocacy Groups / 3 Years – per statute / Vice President for Fiscal Affairs and Site Planning
Contracts
Contracts – General / Articulation/Consortium Agreements / Permanent / Provost
Contracts - General / Consulting Agreements / Term of Agreement + 5 years / Vice President for Fiscal Affairs and Site Planning