STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
THE UNIVERSITY OF TEXAS AT DALLAS RECORDS RETENTION SCHEDULE
CAUTION A state record may not be destroyed if any litigation, claim, negotiation, audit, open records request, administrative review, or other action involving the record is initiated before the expiration of a retention period for the record set by the commission or I the approved records retention schedule of the agency until the completion of the action and the resolution of all issues that arise from it, or until the expiration of the retention period, whichever is later.
Section 441.187(b), Government Code
TABLE OF CONTENTS Category 1: Administration Records
Section 1.1 - General.............................................................................................................. 1 Section 1.2 - Records Management , 9 Section 1.3 - Publications 10 Category 2: Automation Records
Section 2.1 - Automated Applications Section 2.2 - Computer Center
11 13
Category 3: Employment Records
Section Section Section Section
3.1 3.2 3.3 3.4
- Employee Records - Payroll - Personnel Administration - Time and Leave Records
'"
13 17 18 20
Category 4: Fiscal Records
Section Section Section Section Section Section Section
4.1 4.2 4.3 4.4 4.5 4.6 4.7
- Worksheets, Detail Information on Economic Event or Transaction - Documents of Original Entry - Journals or Registers - Ledgers - Reports - Documents Showing Compliance with System of Internal Control - Other Fiscal Records
ii
21 22 23 23 24 25 25
Category 5: Support Services Records Section Section Section Section Section Section
5.1 5.2 5.3 5.4 5.5 5.6
-
General Facility Management Records Purchasing Safety Telecommunications Vehicles
27 28 30 31 33 34
Category: Patient Records Patient Records
34
Category: Police Records Police Records
35
Category: Student Records Student Records
36
Category: Student Life, Organizations, Activities Student Life, Organizations, Activities Records
46
Category: Callier Center Day Care Callier Center Day Care Records
48
Supplemental
S1
iii
Agency Code: 738 SLR-1 05 (Rev 6/07)
Agency: The University of Texas at Dallas
Original Submission
Recertification II
Replacement Page II
Addendum I!
page 1 of 48
SLR 105 Form SLR 105C must accompany this form.
STATE OF TEXAS
Records Retention Schedule 1.Page 1
2. Agency Code 4.
738 5.
The University of Texas at Dallas
3. Agency Name 6.
Records Series Item No.
1.1
Agency Item No.
Retention Period Record Series Title
ADMINISTRATION RECORDS: 2
ACADEMIC AFFAIRS - TEACHING LOAD FILES
1.1
3
ACADEMIC AFFAIRS FACULTY HANDBOOK
1.1
4
AFFILIATION AGREEMENTS
5
DEEDS AND OTHER DOCUMENTS REFLECTING LEGAL TITLE
5a
EASEMENT DOCUMENTS
1.1
Agency
Total
5
5
PM
PM
AC+2
AC+2
LA
LA
0
AC+5
AC+5
0
RETENTION CODES
AC • After Closed AV - As long as valuable
9. Remarks
GENERAL
1.1
1.1
10. 106 No.
8. Archival
7.
0 1 copy of original· PM AC = After agreement ends. Board office keeps for life of agreement
AC
= After agreement ends.
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I· Retain in University Archives o . Review by University Archivist
a=
48
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
Agency: The University of Texas at Dallas
Original Submission I
Recertification II
6.
5. Agency Item No.
Addendum! .
page 2 of 48
10. 106 No.
8. Archival
7. Records Series Item No.
Replacement Page
Retention Period Record Series Title
I
i<
'Yl
Agency
1.1
6
DEGREE PROPOSALS
Storage
PM
Total
9. Remarks
}\ i<
PM
7
DEVELOPMENT OF UT DALLAS SYNERGY PARK
15
15
I
These files are the history of the land development at UTD
1.1
8
EXCELLENCE IN EDUCATION TRUST LAND
15
15
I
These files are the history of the land development at UTD
1.1
9
GIFT RECORDS
PM
PM
0
UTS Policy, security is open with restrictions
1.1
10
FE+3
FE+3
I
AC+20
AC+20
0
1.1
1.1
1.1
11
12
OF~CAMPUSCOURSEINVENTORY
PATENTS, TRADEMARKS, COPYRIGHTS AND DOCUMENTATION (E.G., RESEARCH RECORDS, REFLECTING USAGE AND THE LIKE) SEE REMARKS PRESS CLIPPINGS
. .·.·(i..•·
«'
.i
.• •.• <•• .• •
...
..)
..... 1<· ......
2
2
0
Review prior to transfer
=
SPONSORED GRANTS AND CONTRACTS
AC+5
AC+5
AC After closed by awarding agency kept in Office of Research & Sponsored Programs
1.1
14
SURVEYS, REPORTS, QUESTIONNAIRES, MANDATED
AC+5
AC+5
AC
=Date of report
1.1
15
SURVEYS, REPORTS, QUESTIONNAIRES, VOLUNTARY
AC+1
AC+1
AC
=Date of report
Ii .• •
ii< . . .·i···· i ..... i <} • •.• • • . (•.•. •<•• • • • <•.• . ( .. /
. .•.· . ·.·.i .i•.·i.(//..·'. i:
iii/
RETENTION CODES
ARCHIVAL CODES LA • Life of Asset MO-Months
(i <
i.·.i««
13
CE· Calendar Year End FE· Fiscal Year End
Y.
... . .
...•........
=
AC Term of agreement, trademark, or patent includes underlying patents, trademarks & copyrights. 3U .S.C.lSEC.15
1.1
AC • After Closed AV - As long as valuable
i
PM - Permanent US - Until Superseded
I· Retain in University Archives 0- Review by University Archivist
Agency Code: 738 SLR-105 (Rev 6/07)
5.
4.
Agency: The University of Texas at Dallas
Original Submission
Recertification.
6.
Agency Item No.
Addendum
Retention Period Record Series Title Agency
Storage
Total
9. Remarks
1.1
16
TEXAS RESEARCH FOUNDATION GIFT LAND
15
15
These files are the history of the land development atUTD
1.1
16a
ASSESSMENT FILES
AC
AC
AC End of accreditation cycle or specified evaluation period.
AC+7
AC+7
=
Data and reports from evaluations conducted to assess progress toward stated strategic and performance goals.
1.1.002
17
AUDITS
18
INTERNAL AUDIT REPORTS
= Publication or release of final audit findings.
The State Auditor's Office retains any copies of its audits performed on Texas state agencies
Audits and reviews performed by or on behalf of an agency, including the working papers that support the audit. Also includes audits conducted on the agency.
1.1.002
AC
AC+14
AC+14
AC
= Publication or release offinal audit findings.
The State Auditor's Office retains any copies of its audits performed on Texas state agencies
1.1.004
19
BIENNIAL BUDGET REQUESTS
AC+6
AC+6
AC
=Passage of appropriations
1.1.006
19a
COMPLAINT RECORDS
AC+2
AC+2
AC
= Final disposition of the complaint
CAUTION: If a complaint becomes the subject of litigation, it must be included in and is SUbject to the minimum retention period of item number 1.1.048
RETENTION CODES
AC • After Closed AV - As long as valuable
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
page 3 of 48
10. 106 No.
8. Archival
7. Records Series Item No.
Replacement Page
I· Retain In University Archives O· Review by University Archivist
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
Agency: The University of Texas at Dallas
Original Submission
Recertification III
Replacement Page
i.
i
Addendum!
page 4 of 48
6.
5.
7. Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
1.1.007
1.1.008
1.1.013
1.1.014
20
21
21.001
21.002
CORRESPONDENCE, ADMINISTRATIVE (INCOMING/OUTGOING LETTERS REGARDING POLICIES, PROCEDURES & OTHER MAJOR TRANSACTIONS)
Storage
3
CAUTION: This record series and item number 1.1.008 should be used only for correspondence that is not included in or directly related to another records series in this schedule. For example, a memorandum that documents an appropriations request must be retained for the minimum retention period prescribed by item number 1.1.004; a letter concerning an audit for that prescribed by item number 1.1.002, etc. Evaluate After 3 years
3
CALENDARS, APPOINTMENT AND ITINERARY RECORDS
LEGAL OPINIONS AND ADVICE
· ..
..
..
CE+1
AV
CE+1
AV
o
o
CAUTION: A record of this type purchased with personal funds, but used by a state official or employee to document his or her work activities may be a state record and subject to this retention period. See Open Records Decision 635 issued in December 1995 by the Attorney General CAUTION: Does not include legal opinions or advice rendered on a matter in litigation or with regard to pending litigation. SEE item number 1.1.048.
.......... .................:.
........... ....
....
.
. .
· ·
. .
.........
ARCHIVAL CODES LA - Life of Asset MO- Months
..
..
. . . . . .:
RETENTION CODES
CE - Calendar Year End FE - Fiscal Year End
....... ·
SEE comment on item number 1.1.007.
CORRESPONDENCE,GENERAL (INCOMING/OUTGOING LEITERS, GENERAL INQUIRIES AND REQUESTS)
From agency legal counce lor the Attorney General, including any requests eliciting the opinion.
AC - After Closed AV - As long as valuable
Total
PM - Permanent US - Until Superseded
I - Retain in University Archives Review by University Archivist
o
Agency Code: 738 SLR·1 05 (Rev 6/07)
4.
Agency: The University of Texas at Dallas
Original Submission i
Recertification II
6.
5. Agency Item No.
Addendum
8. 7.
Records Series Item No.
Replacement Page
10. 106 No.
Archival Retention Period
Record Series Title Agency
1.1.019
22
NEWS OR PRESS RELEASES
1.1.020
23
1.1.021
Storage
Total
9. Remarks 0
2
2
OPEN RECORDS REQUESTS· APPROVED
AC+1
AC+1
24
OPEN RECORDS REQUESTS· DENIED
AC+1
AC+2
1.1.023
25
ORGANIZATION CHARTS· ORIGINAL
US
US
1.1.024
26
PLANS AND PLANNING RECORDS
AC+3
AC+3
1.1.025
28a
Record Series Item Number changed to 1.1.070.
1.1.027
35a
UT SYSTEM DOCKET
AV
AV
o =Paper & Electronic
1.1.038
36
INTEGRATED POST SECONDARY EDUCATION DATA SYSTEM/HIGHER EDUCATiON GENERAL INFORMATION SURVEY
10
10
Office of Institutional Research & Planning uses for studies
1.1.038
37
OFFICE OF CIVIL RIGHTS REPORTS OCR 12000 REPORT & OCR 13000 REPORT
10
10
1.1.038
38
SOUTHERN ASSOCIATION OF COLLEGES AND SCHOOLS ACCREDITATION REPORTS
10
10
1.1.043
39
STUDENT COUNSELING INTERN TRAINING MANUALS
US+1
US+1
1.1.043
40
TRAINING MANUALS
US/AV+ 1
US/AV+ 1
RETENTION CODES
AC - After Closed AV - As long as valuable
=Date request fulfilled AC =Date request denied AC
0
0
=
AC Decision made to implement or not to Implement result of planning process
Office of Institutional Research & Planning uses for studies Office of Institutional Research & Planning uses for studies
ARCHIVAL CODES
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US - Until Superseded
page 5 of 48
I - Retain In University Archives 0- Review by University Archivist
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
5.
Agency: The University of Texas at Dallas
Original Submission:
Recertification II
6.
Agency Item No.
1.1.055
42
42a
i
10. 106 No.
Record Series Title
LITIGATION FILES
Storage
AC+1
STRATEGIC PLANS
AC+6
Total
AC+1
AC+6
9. Remarks
o
I
=
1.1.056
43
ADA DOCUMENTATION
1.1.057
41
TRANSITORY INFORMATION
3
AC
AC
Records of temporary usefulness that are not an integral part of a records series of an agency, that are not regularly filed within an agency's recordkeeping system, and that are required only for a limited period of time for the completion of an action by an official or employee of the agency or in the preparation of an ongoing series.
,
"
',,,
"
,
,
,':
':",
'
AC = September 1 of odd-numbered calendar years.
,
'
28 CFR 35.1 05c.
'
"",
=
AC Purpose of record has been fulfilled. Examples: Casual e-mail, non-routine correspondence
'
',: :."', .',':'
,
,,'.
'
"
',',
The disposal of transitory information need not be documented through destruction authorizations (1.2.001) or in records disposition logs (1.2.010). but agencies should establish procedures governing disposal of these recors as part of its rrecords management plan (1.2.014).
ARCHIVAL CODES I· Retain In University Archives
o . Review by University Archivist
'
.'
,
.
"
,'"
,
"
'" ,
PM - Permanent US· Until Superseded
,
,
,
"
,.
RETENTION CODES LA • Life of Asset MO-Months
",,'
",'
CAUTION: Use caution when assigning this records series item number to ensure they are not part of another records series listed in this schedule or are not part of a records series that documents the fulfillment of the statutory obligations of the agency or the documentation of its function.
Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of agency functioins. Some examples of transitory information, which can be in any medium (voice mail, fax, email, hard copy, etc.) are routine messages; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routing information used for communication, but not for the documentation, of a specific agency transaction.
CE • Calendar Year End FE· Fiscal Year End
,
,
3
'"
"
i
"
AC After suit is settled. All Statutes of limitation must be met before file is closed. Review before disposal. Some cases that set legal precedent may merit a review by University Archivist for historical reasons.
Information resources and operational strategic plans prepared in accordance with § 2054.095, Government Code and § 2056.002, Government Code.
AC • After Closed AV - As long as valuable
page 6 of 48
Retention Period
Agency
1.1.048
Addendum
8. Archival
7. Records Series Item No.
Replacement Page
"
"
,
", ','
': :",
,:<, ",.
,
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
5.
Agency: The University of Texas at Dallas
Original Submission
Recertification II
6.
Agency Item No.
Record Series Title
44
MEETING AGENDA AND MINUTES
Storage
PM
Total
PM
9. Remarks Examples: Board of Regents' Minutes, Minutes and Notes of Faculty Senate and Council Meetings. CAUTION: This record series and item numbers 1.1.059, 1.1.060, 1.1.061, and 1.1.062 must be used for those state boards, committees, commissions, and councils, which by law or the biennial Appropriations Act, are administered by another state agency. These records and all others related to the functions of any of these dependent entities must be included in the records retention schedule of the administering agency.
1.1.059
44a
MEETINGS, CERTIFIED AGENDAS OR TAPE RECORDINGS OF CLOSED
AC+2
AC+2
1.1.060
44b
MEETINGS, AUDIO OR VIDEOTAPES OF OPEN
AC+90 DAYS
AC+90 DAYS
AC = The date of the meeting or completion of pending action involving the meeting, whichever is later. AC = Official approval of written minutes of the meeting by the governing body of an agency. CAUTION: Minutes of sstate agencies are permanent records. Audio and videotapes are not permanent media. State agencies may not retain audio or videotapes of the meetings of governing bodies in lieu of written minutes. The proceedings of all meetings of state boards, committees, commissions, and councils must be reduced to writing. SEE caution comments at item number 1.1.058.
RETENTION CODES
AC • After Closed AV - As long as valuable
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
page 7 of 48
10. 106 No.
Retention Period
Agency
1.1.058
Addendum
8. Archival
7. Records Series Item No.
Replacement Page Ii
I • Retain in University Archives
a . Review by University Archivist
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
Agency: The University of Texas at Dallas
Recertification.
Original Submission I!
6.
5. Agency Item No.
Record Series Title Storage
Total
9. Remarks
45
MEETING MINUTES/NOTES - STAFF
1.1.064
45a
AGENCY PERFORMANCE MEASURES DOCUMENTATION Any records of an agency needed for the documentation of output, outcome, efficiency, and explanatory measures in an agency's appropriations request or strategic plan, and for performance measures used to manage the agency.
FE+3
FE+3
CAUTION: The FE + 3 retention period overrides any shorter retention period for a records series in this schedule if the records series is needed for documentation of agency performance measures.
1.1.066
46
REPORTS - ANNUAL & BIENNIAL (NONFISCAL)
AC+6
AC+6
AC
1.1.067
47
COORDINATING BOARD ENROLLMENT REPORTS
PM
1.1.067
48
SEMESTER AND ANNUAL REPORTS
1.1.068
49
1.1.070
1.1.070 1.1.070
Minutes and notes of Internal staff meetings
PM
5
5
PERFORMANCE REPORTS TO THE LEGISLATURE (SEMI-ANNUAL & ANNUAL)
AC+6
AC+6
28
RULES AND REGULATIONS -INTERNAL AUDIT MANUAL
US+3
US+3
29
ACCOUNTING POLICIES AND PROCEDURES MANUAL
US+3
US+3
30
BOARD OF REGENTS' RULES AND REGULATIONS
US+3
US+3
AC
0
= Sept 1 of odd numbered calendar years
Board Office suggests President's Office keep all earlier amendments
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
= Sept 1 of odd numbered calendar years
Strategic Planning & Analysis
PM
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
page 8 of 48
10. 106 No.
Retention Period
Agency 1.1.063
Addendum iI
8. Archival
7. Records Series Item No.
Replacement Page Ii
I· Retain in University Archives O· Review by University Archivist
Agency Code: 738 SLR-1 05 (Rev 6/07)
4.
Agency: The University of Texas at Dallas
Original Submission i I
Recertification II
6.
5. Agency Item No.
Retention Period Record Series Title
1.1.070 1.1.070 1.1.070 1.1.070
Total
9. Remarks
31
NUMBERED POLICY MEMORANDA
US+3
US+3
32
POLICE POLICIES AND PROCEDURES MANUAL
US+3
US+3
33
POLICIES AND PROCEDURES MANUALS - UT SYSTEM
US+AV+ 3
US+AV+ 3
0
34
POLICIES AND PROCEDURES MANUALS - UTD
US+AV+ 3
US+AV+ 3
0
35
RULES AND REGULATIONSPARKING/TRAFFIC
US+3
US+3
49a
AGENCY RULES, POLICIES, AND PROCEDURES - WORKING FILES
AC+3
AC+3
FE+3
FE+3
US
US
FE+3
FE+3
1.1.071
1.2
Storage
0
Policies & Procedures Manual - an internal publication
AC = Completion or termination of program, rules, policies or procedures. See also item number 1.1.070.
RECORDS MANAGEMENT DESTRUCTION SIGN-OFFS.
1.2.001
49b
Agency level documents authorizing destruction of records under a certified retention schedule.
1.2.005
50
RECORDS RETENTION SCHEDULE
51
REQUEST FOR AUTHORITY TO DISPOSE OF STATE RECORDS (Texas State Library RMD Form 102)
1.2.008
= Until su erseded
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
US
CE - Calendar Year End FE· Fiscal Year End
LA - Life of Asset MO- Months
PM - Permanent US - Until Superseded
page 9 of 48
10. 106 No.
Archival
Agency
1.1.070
Addendum
8. 7.
Records Series Item No.
Replacement Page
I- Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission I
Recertification II
Replacement Page Ii
Addendum i',
page 10 of 48
SLR·1 05 (Rev 6/07)
4.
6.
5.
8. 7.
Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
Storage
Total
10
52
LOG OF RECORDS DESTROYED (INCLUDING APPROPRIATE APPROVALS AND DATE OF DESTRUCTION)
10
1.2.010
1.2.011
52a
UNIVERSITY RECORDS MANAGEMENT STORAGE FORMS
AC
AC
1.2.012
52b
RECORDS INVENTORY WORKSHEETS
US
US
FE+1
FE+1
US+5
US+5
1.2.015 52c
1.3
10. 106 No.
Archival
DISASTER RECOVERY SERVICE TRANSMITTALS (RMD 109) Also includes documentation for disaster recovery services provided by other entities.
9. Remarks
=
AC Until records are destroyed at the time s ecified in the certified retention schedule.
PUBLICATIONS Copy retained in SU2.416
1.3.001
53
STUDENT NEWSPAPER - RECORD COpy
1.3.001
53a
AZUSA TEST RECORDS
PM
PM
1.3.002
54
PUBLICATION FILES - STUDENT NEWSPAPER
AV
AV
0
55
PUBLICATION FILES - UNIVERSITY ADVANCEMENT
AV
AV
0
1.3.002
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
School of Behavioral and Brain Sciences ublication.
CE - Calendar Year End FE - Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
1- Retain In University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission:
Recertification.
Replacement Page i
Addendum
page 11 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title
Agency
Total
9. Remarks
2.1
AUTOMATION RECORDS:
AUTOMATED APPLICATIONS
2.1
56.001
GATEWAY WEBSITE FILES
US
US
2.1
56.002
INTERACTIVE WEB APPLICATION FILES
US
US
AUTOMATED FILES - PROCESSING FILES
AC
AC
2.1.001
56
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
AC = Dispose of After completion of 3 rd update cycle except for: a) Raw data input or source file which replaces or serves as the basic source document in lieu of a textural or other source document - Follow the retention period approved for the equivalent type of textural record or as long as administratively valuable, whichever longer. b) Routine or benchmark data file used in testing a system of program - As long as administratively valuable. c) File which facilitates processing of a particular job or system run, but which does not add to, delete from, or substantially modify information in a master file - As long as administratively valuable.
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO - Months
PM - Permanent US - Until Superseded
I - Retain ill University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification.
Replacement Page
Addendum l
page 12 of 48
SLR-1 05 (Rev 6/07)
4.
6.
5.
8.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
57
AUTOMATED FILES - MASTER FILES
AC
AC
AC - Dispose of After completion of 3 rd update cycle except for: a) Data file which replaces or serves in lieu of a textural record - Follow the retention period approved for the equivalent type of textural record. b) Output data file extracted from system solely to produce printed reports or other publicationsDispose of when no longer needed to create publication.
2.1.007
58
SOFTWARE PROGRAMS AND JOB CONTROL LANGUAGE
AC
AC
AC Software required to retrieve and read any electronic records maintained by the computer system must be retained as long as the approved retention period for the electronic records. 13 TAC 6.97(a). Caution: If an electronic record is scheduled for permanent retention, software needed for access to the record must also be retained permanently.
2.1.008
59
HARDWARE DOCUMENTATION
AC
AC
AC Documentation is superceded periodically by vendor. Latest version of documentation is maintained until successful migration to the new software or hardware environment.
2.1.009
60
TECHNICAL DOCUMENTATION
AC
AC
AC Documentation is superceded periodically by vendor. Latest version of software documentation is maintained until successful transfer of the information to the new software or hardware environment.
2.1.002
=
=
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
=
CE - Calendar Year End FE· Fiscal Year End
LA - Life of Asset MO- Months
PM - Permanent US - Until Superseded
I - Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission!
Recertification.
Replacement Page Ii
Addendum II
page 13 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. Archival
7. Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
2.2
10. 106 No.
Storage
Total
9. Remarks
COMPUTER CENTER
2.2.001
61
ACTIVITY MONITORING RECORDS - CONSOLE LOG
2.2.002
62
COMPUTER UTILIZATION RECORDS
2.2.004
63
COMPUTER JOB SCHEDULES AND REPORTS
2.2.011
64
COMPUTER PRODUCED OUTPUT DEPARTMENT WORK ORDER
AV+1
AV+1
... 5
5
3 MO.
3MO.
AC
AC
. .: . .
.
.
.
AC
=When reconciliation confirmed.
..
:
..........
EMPLOYMENT RECORDS:
3.1
65
3.1
66
EMPLOYEE RECORDS
INDIVIDUAL PERSONNEL FILES (MAINTAINED IN PERSONNEL OFFICE OF COMPONENT INSTITUTION) HUMAN RESOURCE SYSTEM (HRS) E-PRINT ELECTRONIC REPORTS
3.1.001
67
APPLICATIONS OF EMPLOYEES NOT HIRED
3.1.002
68
3.1.002 3.1.011
69 70
AC+5
AC+5
AC
=Termination of employment
PM
:.
.. . .. ..........
PM
AC+5
AC+5
PEER ADVISER APPLICATION
AC+5
29 CFR 1602.31 (a) State Agencies 29 CFR 1602.9(a) State Universities
AC
= Termination of employment
.
.
.
.....
.......
AC
AC+5 AC
AC
= After termination of employee
UTS Polley. AC
= After termination of employee
:
....... ..
..........
ARCHIVAL CODES PM - Permanent US • Until Superseded
I - Retain In University Archives o - Review by University Archivist
..
.
:.
APPLICATIONS FOR EMPLOYMENT - PERSONS HIRED
LA - Life of Asset MO-Months
.
:
2
CE - Calendar Year End FE - Fiscal Year End
.. :
RETENTION CODES
AC - After Closed AV - As long as valuable
.
..:
2
EMPLOYEE'S INSURANCE ENROLLMENT FORM(S)
.
.
.
:....
3.1
.
...
.
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification II
Replacement Page II
Addendum
page 14 of 48
SLR-1 05 (Rev 6/07)
4.
6.
5.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
3.1.012
71
EMPLOYMENT ADVERTISEMENTS
2
2
29 CFR 1602.49(A)
3.1.014
72
EMPLOYMENT SELECTIONS
2
2
29 CFR 1602.49(A)
3.1.018
72a
AC+2
AC+2
GRIEVANCE RECORDS
AC
=Final decision on the grievance.
CAUTION: Does not include formal complaints filed by an agency employee with the Equal Employment Office (EEO) of the U.S. Department of Labor. SEE item number 1.1.048.
3.1.019
73
PERFORMANCE APPRAISAL
AC+5
AC+5
29 CFR 1620.32(c)
3.1.020
74
PERSONNEL CORRECTIVE ACTION DOCUMENTATION
AC+5
AC+5
AC
PERSONNEL DISCIPLINARY ACTION DOCUMENTATION
AC+5
3.1.021
75
CAUTION: If, during the retention period of this record series, any part of this series is used to document and support personnel disciplinary action under item number 3.1.021, all documentation from this series used to support disciplinary action must be retained for the minimum retention period described by item number 3.1.021.
AC+5
AC
=Termination of employment
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
=Termination of corrective action.
CE· Calendar Year End FE· Fiscal Year End
LA - Ufe of Asset MO-Months
PM - Permanent US - Until Superseded
I· Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification.
Replacement Page LI
Addendum
page 15 of 48
SLR·1 05 (Rev 6/07)
4.
6.
5.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Storage
Total
9. Remarks
3.1.022
77
PERSONNEL INFORMATION OR ACTION FORMS.
4
4
This includes changes to university identification number and social security number.
Forms or similar records used to create or change information concerning the records of an employee including pay grade, position classification, employee number, evaluation date, and termination of employment. EMPLOYEE 10 CHANGE & RECORD DELETION 3.1.023
78
POSITION/JOB DESCRIPTIONS
US
3.1.026
79
SECURITY CLEARANCES
AV
AV
3.1.027
80
TRAINING RECORDS
AC+5
AC+5
4
US+4 CAUTION: Some agencies that are authorized to obtain criminal history record information from DPS are required to destroy the information After it is used for the immediate purpose for which it was obtained. See Subchapter F, Chapter 411, Government Code. AC
= After termination
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
29 CFR 1602.49
CE • Calendar Year End FE· Fiscal Year End
LA· Life of Asset MO - Months
PM - Permanent US· Until Superseded
I • Retain in University Archives O· Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission L.!
Recertification II
Replacement Page II
Addendum
page 16 of 48
SLR-10S (Rev 6/07)
4.
6.
5.
Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
3.1.027
80a
3.1.029
81
10. 106 No.
8. Archival
7.
Storage
Total
9. Remarks AC
=After termination
AC
= After termination
NOTARY RECORDS
AC+S
AC+S
EMPLOYMENT ELIGIBILITY VERIFICATION
AC+1
AC+1
CAUTION: Federal regulation requires that INS 19 forms be retained for 3 years from date of hire or 1 year after separation of the employee, whichever is later. Agencies should make certain that the INS 1-9 forms for employees who terminate from an agency less than 3 years from the date of hire are kept for the 3 year retention period. 8 CFR 274a.2(b)(2)(i)(A) and (c)(2).
3.1.029
81a
3.1.031
82
ELECTRONIC FILES TO SEVIS
AC+S
AC+S
EMPLOYEE BENEFITS - OTHER THAN INSURANCE (e.g. OPTIONAL RETIREMENT)
AC+10
AC+10
=
AC Until employment terminated. Open Records Decision 545, 3/20/90. Some records may be needed to provide verification to providers. CAUTION; Documents that serve as payroll deduction authorizations must be retained for the retention period prescribed for item number 3.2.001.
RETENTION CODES
AC - After Closed AV - As long as valuable
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
I· Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission i '
Replacement Page II
Addendum II
page 17 of 48
SLR-1 05 (Rev 6/07)
4.
5.
8.
6.
7. Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Total
9. Remarks
PAYROLL
3.2
=
3.2
84
AUTHORIZATION FOR PROFESSIONAL SERVICES
AC+6
AC+6
AC Tax due date, date the claim is filed, or date tax is paid whichever is later
3.2.001
85
EMPLOYEE DEDUCTION AUTHORIZATION
AC+6
AC+6
AC After termination of employee or amendment of authorization.
3.2.002
86
EMPLOYEE EARNING RECORDS
4
4
3.2.003
87
ALIEN INFORMATION COLLECTION FORM
AC+6
AC+6
AC Tax due date, date the claim is filed, or date tax is paid whichever is later
3.2.003
88
EMPLOYEEIINDEPENDENT CONTRACTOR CHECKLIST
AC+6
AC+6
AC Tax due date, date the claim is filed, or date tax is paid whichever is later
3.2.003
89
FEDERAL TAX RECORDS, (INCLUDES FICA AND OTHER TAX RECORDS)
AC+6
AC+6
UTS Policy 26 CFR SEC.31.6001-1 (E)(2) ac Tax due date, date the claim is filed, or date tax is paid whichever is later
3.2.004
90
INCOME ADJUSTMENT AUTHORIZATION DOCUMENT USED -INCREASES/DECREASES TO EMP. GROSS PAY, FICA, RETRMNT, OR COMPo OF TAXES
2
2
3.2.005
91
W-4 FORMS, EMPLOYER'S COPY OF "EMPLOYEE'S WITHHOLDING EXEMPTION CERTIFICATE"
AC+5
AC+5
3.2.006
92
PAY PLAN
2
2
40 TAC 815.106(i).
= =
=
29 CFR 516.6(C)
26 CFR 31.6001-5 AC Termination of employment
=
29 CFR 516.6 (A) (2)
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
=
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO - Months
PM - Permanent US - Until Superseded
I - Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission
Replacement Page
Addendum:!
page 18 of 48
SLR-1 05 (Rev 6/07)
4.
6.
5.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
AC+5
AC+5
AC = Termination of benefit. Computer printout separates UCI earnings between state and local funding categories
US
US
3.2.007
93
UNEMPLOYMENT COMPENSATION
3.2.008
94
DIRECT DEPOSIT (OR MAIL DEPOSIT) APPLICATION/AUTHORIZATION
3.2.009
95
STATE DEFERRED COMPENSATION
AC+5
AC+5
AC = All accounts with a vendor or vendors for the individual participant have been closed for instructions regarding the determination of the closure of accounts and for additional information regarding the retention period see the most current edition of the Agency Coordinator Procedures Manual issued by the Employees Retirement System of Texas
3.2.010
96
HRIS REPORTS AND DOCUMENTATION
AC+4
AC+4
AC = Transmitted and accepted by state HRIS system
5
5
AC+5
AC+5
3.3
PERSONNEL ADMINISTRATION
3.3
97
ACADEMIC AFFAIRS - AFFIRM ACTION FILES FACULTY AND ADMINISTRATIVE & PROFESSIONAL EMPLOYEES
3.3
98
ACADEMIC AFFAIRSFACULTY/LECTURER/ADJUNCT FILES
29 CFR 30.8(e)
AC
= After termination
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
0
CE· Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO - Months
PM - Permanent US - Until Superseded
I - Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission
Replacement Page
Addendum !'
page 19 of 48
SLR-1 05 (Rev 6/07)
4.
5.
Archival
7. Records Series Item No.
Agency Item No.
10. 106 No.
8.
6. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
3.3
99
ACADEMIC AFFAIRS - FORMER EMPLOYEES (FACULTY)
AC+5
AC+5
AC = After termination
3.3
99a
REQUEST FOR APPROVAL OF OUTSIDE EMPLOYMENT
AC+2
AC+2
AC = End date of outside employment
3.3
99b
SPECIAL FACULTY DEVELOPMENT LEAVE FILES
AC+5
AC+5
AC = After termination
3.3
99c
FACULTY ENDOWMENTS
PM
PM
3.3
99d
FACULTY START-UP FUNDING
AC+5
AC+5
3.3.001
100
AFFIRMATIVE ACTION PLANS
5
5
3.3.004
101
UT SYSTEM BENEFIT PLANS - WORKING COpy
US+5
US+5
3.3.011
102
PERSONNEL - PAYROLL MASTER FILE
AC+75
AC+75
AC = Termination of employment
3.3.011
103
FORMER EMPLOYEE VERIFICATION RECORDS
AC+75
AC+75
AC = Termination of employment
3.3.015
105
POSITIONI JOB CLASSIFICATION REVIEW FILE
US+3
US+3
29 CFR 30.8(e). 29 CFR 1637.3(b)(2).
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
AC = After termination
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US - Until Superseded
I - Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission
Replacement Page i :
Addendum II
page 20 of 48
SLR·1 05 (Rev 6/07)
4.
7. Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
6.
5.
Retention Period Record Series Title Agency
3.3.022
106
TEXAS WORKFORCE COMMISSION (TWC) REPORTS
3.3.023
107
3.3.024
107a
Storage
Total
3
3
TRAVEL AUTHORIZATIONS
FE+3
FE+3
PERSONNEL POLICIES AND PROCEDURES
US+3
US+3
US+3
US+3
3
3
9. Remarks
See Note 1.
Any internally distributed manuals, guidelines, or similar records that define agency wide policies and procedures concerning the personnel of an agency. 3.3.026
108
STAFFING RECORDS
3.3.031
109
EEO REPORTS AND SUPPORTING DOCUMENTATION
3.4
Examples are: alpha employee listing, report of employees hired during month, Quarterly FTE Reports to State Auditor o =Electronic & Microfilm 29 CFR 1602.32, 1602.39, 1602.48, AND 1602.50.
TIME AND LEAVE RECORDS
3.4.001
112
ACCUMULATED LEAVE ADJUSTMENT REQUESTS
FE+3
FE+3
3.4.002
113
LEAVE STATUS REPORT
FE+3
FE+3
3.4.004
113a
2
2
OVERTIME AUTHORIZATONS
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I· Retain in University Archives O· Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification.
Original Submission
Replacement Page
Addendum:
page 21 of 48
SLR-1 05 (Rev 6/07)
4.
5.
Archival
7. Records Series Item No.
10. 106 No.
8.
6. Retention Period
Agency Item No.
Record Series Title Agency
Storage
Total
9. Remarks
3.4.006
114
TIME CARDS AND TIME ROSTERS
FE+4
FE+4
3.4.007
114a
TIME OFF AND/OR SICK LEAVE REQUESTS
FE+3
FE+3
3.4.008
115
SICK LEAVE POOL DOCUMENTATION
FE+3
FE+3
4.1
FISCAL RECORDS:
40 TAC 815.6(i)
Open Record except for medical records that ma exist in file
WORKSHEETS, DETAIL INFORMATION ON ECONOMIC EVENT OR TRANSACTION
4.1.001
116a
ACCOUNTS PAYABLE INFORMATION
FE+3
FE+3
See Note 1.
4.1.002
117
BILLING DETAIL
FE+3
FE+3
See Note 1.
4.1.002
117a
COMET CASH DECLINING BALANCE ACCOUNTS
FE+3
FE+3
4.1.002
117b
DATA ENTRY DOCUMENTS
FE+3
FE+3
4.1.003
118
CANCELLED CHECKS
FE+3
FE+3
See Note 1.
4.1.003
119
CHECK REGISTERS
FE+3
FE+3
See Note 1.
4.1.004
120
ENCUMBRANCE DETAIL
FE+3
FE+3
See Note 1.
4.1.005
121
INVENTORY AND OTHER COST FILES PRODUCTION, JOB LABOR, QUOTES, PRICING, SPECIFICATIONS, ETC.
FE+3
FE+3
See Note 1.
4.1.007
122
TRANSMITTAL OF FUNDS/COST CENTER TRANSFERS
FE+3
FE+3
See Note 1.
4.1.008
122a
ELECTRONIC FUND TRANSFERS
FE+3
FE+3
Direct Deposit Registers
RETENTION CODES
AC - After Closed AV - As long as valuable
ARCHIVAL CODES
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US - Until Superseded
I • Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification III
Original Submission
Replacement Page i :
Addendum
page 22 of 48
SLR-1 05 (Rev 6/07)
7. Records Series Item No.
4.2
Agency Item No.
10. 106 No.
8. Archival
6.
5.
4.
Retention Period Record Series Title Agency
Total
9. Remarks
Budget change form
DOCUMENTS OF ORIGINAL ENTRY
4.2
123
BUDGET ADJUSTMENT FORM (BAF)
CE+4
CE+4
4.2
123a
HUMAN RESOURCE SYSTEM (HRS) FORM - NEW POSITION REQUEST
FE+3
FE+3
4.2
123b
HRS FORM - POSITION FUNDING CHANGE
FE+3
FE+3
4.2
123c
CATERING CONTRACT / AUTHORIZATION FOR FOOD SERVICE
FE+3
FE+3
CHECK DEPOSIT RECORD
FE+3
FE+3
See Note 1.
4.2.001
123d
4.2.002
124
CASH RECEIPTS
FE+3
FE+3
See Note 1.
4.2.003
125
DAILY CASH RECEIPTS LOG
FE+3
FE+3
See Note 1.
4.2.003
125a
MONTHLY BALANCING / COpy CENTER
FE+3
FE+3
RETENTION CODES
AC • After Closed AV - As long as valuable
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
I· Retain in University Archives O· Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification.
Original Submission
Replacement Page L!
Addendum II
page 23 of 48
SLR-1 05 (Rev 6/07)
4.
Archival
7. Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
4.2.003
125b
4.2.005
10. 106 No.
8.
6.
5.
Storage
Total
9. Remarks
CASH COUNTS / COPY CENTER
FE+3
FE+3
126
PURCHASE ORDERS, PURCHASE VOUCHERS, RECEIVING REPORTS, REQUISITIONS, & BIDS
FE+3
FE+3
See Note 1.
4.2.006
127
JOURNAL VOUCHERS (INCLUDING INTERDEPARTMENTAL TRANSFERS)
FE+3
FE+3
See Note 1.
4.2.007
128
EMPLOYEE TRAVEL EXPENSES
FE+3
FE+3
See Note 1.
4.3
JOURNALS OR REGISTERS
4.3.001
129
SALES JOURNALS OR REGISTERS
FE+3
FE+3
See Note 1.
4.3.002
130
RECEIPTS JOURNALS OR REGISTERS
FE+3
FE+3
See Note 1.
4.3.003
131
EXPENDITURE JOURNALS OR REGISTERS
FE+3
FE+3
See Note 1.
10
10
See Note 1.
4.4
LEDGERS
4.4.001
132
GENERAL LEDGER
4.4.002
133
ACCOUNTS RECEIVABLE LEDGERS
FE+3
FE+3
See Note 1.
4.4.003
134
ACCOUNTS PAYABLE LEDGERS
FE+3
FE+3
See Note 1.
4.4.004
135
EMPLOYEE SAVINGS BOND LEDGERS
FE+3
FE+3
See Note 1.
RETENTION CODES
AC • After Closed AV - As long as valuable
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO -Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification 11
Original Submission
Replacement Page l i
Addendum
page 24 of 48
SLR-1 05 (Rev 6/07)
4.
Archival
7. Records Series Item No.
Agency Item No.
10. 106 No.
8.
6.
5.
Retention Period Record Series Title Agency
Total
9. Remarks
4.5
REPORTS
4.5
135a
BUDGET INFORMATION SYSTEM (BIS) E-PRINT ELECTRONIC REPORTS
FE+3
FE+3
4.5
135b
FINANCIAL REPORTING SYSTEM (FRS) E-PRINT ELECTRONIC REPORTS
FE+3
FE+3
4.5.001
136
ANNUAL FINANCIAL REPORT WORKPAPERS (INCLUDING 13TH MONTH POST - CLOSING REPORT)
FE+5
FE+5
See Note 1.
4.5.001
137
WORKSHEETS FOR PREPARING REPORTS
FE+3
FE+3
See Note 1.
4.5.002
138
MONTHLY FINANCIAL REPORTS
FE+3
FE+3
See Note 1.
4.5.002
139
INTERNAL MANAGEMENT REPORTS (INCLUDES REPORTS TO U.T. SYSTEM)
FE+3
FE+3
4.5.003
140
ANNUAL FINANCIAL REPORTS
PM
PM
4.5.005
141
EXTERNAL REPORTS - SPECIAL PURPOSE -I.E. FEDERAL FINANCIAL REPORTS, SALARY REPORTS, ETC.
FE+3
FE+3
4.5.006
142
ANNUAL OPERATING BUDGET AGENCY MONTHLY BUDGET REPORTS
FE+3
FE+3
4.5.006
142.001
BUDGET PRESENTATIONS
FE+3
FE+3
RETENTION CODES
AC • After Closed AV - As long as valuable
See Note 1.
o = Paper & Electronic See Note 1. Required copies sent to TSL Pubc. See Note 1.
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I • Retain in University Archives O· Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission
Replacement Page
Addendum
page 25 of 48
SLR-1 05 (Rev 6/07)
4.
7. Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
4.6
10. 106 No.
8. Archival
6.
5.
Total
9. Remarks
DOCUMENTS SHOWING COMPLIANCE WITH SYSTEM OF INTERNAL CONTROL
4.6
142a
COMPLIANCE PROGRAM FILES
FE+3
FE+3
4.6
142b
INSTITUTIONAL COMPLIANCE PROGRAM MANUAL
FE+3
FE+3
4.6
142c
GENERAL COMPLIANCE TRAINING RECORDS
US+5
US+5
BALANCING RECORDS
FE+3
FE+3
See Note 1.
RECONCILIATIONS
FE+3
FE+3
See Note 1.
4.6.001
143
4.6.002
143a
4.6.003
144
CASH COUNTS
FE+3
FE+3
See Note 1.
4.6.003
144a
PETTY CASH REIMBURSEMENT
FE+3
FE+3
See Note 1.
4.7
OTHER FISCAL RECORDS
=
4.7
145
ACCOUNT HISTORY FILES
AC+5
AC+5
AC Closure of account See Note 1.
4.7
146
BANK COLLATERAL RECORDS
FE+5
FE+5
See Note 1.
4.7
147
BOND ISSUANCES AND DEBT SERVICE RECORDS
AC+3
AC+3
4.7.002
148
BANK AND APPROPRIATION STATEMENTS AND RECONCILIATION DATA
5
5
4.7.003
149
RETURNED CHECKS/WARRANTS/DRAFTS
AC+3
AC+3
RETENTION CODES
AC • After Closed AV - As long as valuable
0
See Note 1. AC Until maturity of issue
=
See Note 1.
See Note 1. AC After deemed uncollectible.
=
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US • Until Superseded
I· Retain in University Archives o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission I!
Replacement Page
Addendum Ii
page 26 of 48
SLR-1 05 (Rev 6/07)
4.
6.
5.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7.
..• •. •.
Retention Period Record Series Title Agency
Storage
Total
9. Remarks
.
...
... .:..:.,
4.7.004
150
CAPITAL ASSET RECORDS
LA+3
LA+3
See Note 1.
4.7.006
151
COMPTROLLER STATEMENTS
FE+3
FE+3
See Note 1.
4.7.007
152
CHART OF ACCOUNTS (DETAILED)
FE+3
FE+3
See Note 1.
4.7.008
153
TIME AND EFFORT REPORT I CONTRACT & GRANT CERTIFICATION
7
7
See Note 1.
4.7.008
154
GRANT & CONTRACTS FILES
AC+5
AC+5
See Note 1. UTS Policy AC = Satisfaction of all uniform administrative requirements for grants and cooperative agreements to state and local governments (the common rule). Caution: Retention requirements may vary depending on the specific federal funding agency.
4.7.008
155
INDIRECT COST CALCULATIONS
AC+7
AC+7
See Note 1. AC = Date rate issued by cognizant federal agency
4.7.011
4.7.012
156 156a
TEXAS BUILDING AND PROCUREMENT SERVICES COMMISSION STATEMENTS (TBPC) SIGNATURE AUTHORITY
FE+3
See Note 1.
US+FE+ 3
LA • Life of Asset MO- Months
.
3
PM - Permanent US· Until Superseded
I· Retain In University Archives o . Review by University Archivist
....
.
. .
..
..
... ..
...
.
..
. ..
. .
•
US+FE+
ARCHIVAL CODES CE· Calendar Year End FE· Fiscal Year End
.....
:.
RETENTION CODES
AC • After Closed AV - As long as valuable
FE+3
......
.
...
.
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission!
Recertification.
Replacement Page II
Addendum:1
page 27 of 48
SLR-1 05 (Rev 6/07)
4.
7. Records Series Item No.
5.1
Agency Item No.
157
5.1
157a
5.1
157b
Record Series Title Agency
Storage
Total
9. Remarks
COURSE BOOK INFORMATION REQUEST
AC
2
AC+2
AC
GENERAL = After current semester
=
5.1.001
158
CONTRACTS & LEASES BI-LATERAL AGREEMENTS/CONTRACTS
AC+4
AC+4
AC Expiration or termination of the instrument according to its terms
5.1.001
159
CONTRACTS & LEASES EQUIPMENT LEASES
AC+4
AC+4
AC = Expiration or termination of the instrument according to its terms
CONTRACTS & LEASES SPACE LEASES/PROPERTY LEASES
AC+4
5.1.001
160
.11.· ...
Retention Period
SUPPORT SERVICES RECORDS:
5.1
10. 106 No.
8. Archival
6.
5.
AC+4
5.1.003
161
DELIVERY REPORTS - RECEIVING REPORTS
5.1.004
162
ADDRESS AND TELEPHONE LISTING
US
US
5.1.004
163
MAILING LISTS
US
US
1
1
.:
..
...
. .
=
AC Expiration or termination of the instrument according to Its terms
.. .:.
..
..
: .> . .: ...:.:.
.......
2
.::
t--5-.-1-.0-0-5-+---1-64--+-P-O-S-T-A-G-E-E-X-P-E-N-S-E-R-E-PO-R-T-S-------+-F-E-+-3-+----I--F-E-+3--+--~S-ee-N-o-t-e-1-.
------------+------j.
ii :::: ......
5.1.005
165
POSTAGE METER RECORDS
FE+3
FE+3
5.1.007
166
REQUISITION FOR COPY/PRINTING SERVICE IN-HOUSE
AV
AV
5.1.007
167b
REQUISITION FOR COPY/PRINTING SERVICE
AV
AV
RETENTION CODES
AC • After Closed AV - As long as valuable
See Note1 . / / i ] ' / : (
I(i.:(
Ifi
I: ARCHIVAL CODES
CE·Ca~ndarYearEnd
FE - Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US· Until Superseded
I • Retain in University Archives
o . Review by University Archivist
if
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification.
Original Submission i
Replacement Page I i
Addendum i :
page 28 of 48
SLR-1 05 (Rev 6/07)
4.
Archival
7. Records Series Item No.
10. 106 No.
8.
6.
5. Agency Item No.
Retention Period Record Series Title Agency
5.1.011
167c
MONTHLY USAGE REPORTS / COpy CENTER
5.1.012
168
PRICE LISTS
5.1.013
169
INSURANCE POLICIES
Storage
Total
AV
AV
US+3
US+3
AC+20
AC+20
9. Remarks
=
AC Expiration or termination of the policy according to its terms. UTS Policy. Includes Comprehensive Property Protection Program (CPPP).
5.2
FACILITY MANAGEMENT RECORDS
5.2
170
PHYSICAL PLANT MAINTENANCE RECORDSOUTSIDE CONTRACTOR
5
5
5.2
171
PHYSICAL PLANT MAINTENANCE RECORDSIN-HOUSE CONTRACTOR
3
3
5.2
172
SAFE COMBINATIONS MASTER FILE
LA
LA
5.2
173
REPORTS - ADMINISTRATIVE - SERVICE CALLS
AC+2
AC+2
5.2.002
174
BUILDING CONSTRUCTION PROJECT FILES
AC+11
AC+11
0
5.2.003
175
BUILDING PLANS AND SPECIFICATIONSOWNED
LA
LA
0
5.2.003
175a
BUILDING PLANS AND SPECIFICATIONSLEASED
AC+2
AC+2
0
RETENTION CODES
AC - After Closed AV - As long as valuable
AC
=Completion of service call
UTS Policy AC Completion of Project
=
AC
=Cancellation or termination of lease
ARCHIVAL CODES CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO- Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o - Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission i !
Recertification.
Replacement Page II
Addendum
page 29 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
5.2.003
176
BUILDINGS AND FACILITIES - MASTER PLANS
LA
LA
5.2.003
177
PLANS & SPECIFICATIONS FOR NEW CONSTRUCTION RENOVATIONS, REHABILITATIONS, AND RESTORATIONS
LA
LA
5.2.008
179
EQUIPMENT HISTORY FILE
LA+3
LA+3
5.2.009
181
PROPERTY DELETION REQUESTS/TRANSFER NOTICES PA2 FORMS & PA3 FORMS
FE+3
FE+3
See Note 1.
5.2.010
182
EQUIPMENT MANUALS
LA
LA
Life of asset
5.2.011
183
EQUIPMENT WARRANTIES
AC+1
AC+1
AC
5.2.012
184
ESTIMATE FILES (SUPPLY & REPAIR COST EST)
5.2.014
185
INVENTORY ANNUAL PHYSICAL EQUIPMENT & REAL PROPERTY
FE+3
FE+3
See Note 1.
5.2.014
186
INVENTORY OF EQUIPMENT AND BUILDINGS
FE+3
FE+3
See Note 1.
5.2.017
188
LOSTISTOLENPROPERTYREPORT
FE+3
FE+3
5.2.019
189
SERVICE ORDERS
5.2.021
191
SURPLUS PROPERTY SALE
FE+3
FE+3
5.2.022
192
UTILITY BILLING DETAIL
FE+4
FE+4
5.2.026
193
FACILITIES RESERVATION LOGS
2
2
5.2.026
194
LOCKER REGISTRATION
2
2
RETENTION CODES
AC • After Closed AV - As long as valuable
0
= Termination of warranty
See Note 1.
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification.
Replacement Page
Addendum
page 30 of48
SLR-1 05 (Rev 6/07)
4.
5.
8.
6.
Records Series Item No.
Agency Item No.
I >11 • . .
Retention Period Record Series Title Agency
5.2.027
195
SPACE UTILIZATION REPORTS
5.2.028
196
BUILDING CONSTRUCTION CONTRACT & INSPECTION RECORDS ($300,000 OR LESS)
5.3
10. 106 No.
Archival
7.
Storage
Total
AV
AV
LA+10
LA+10
9. Remarks ..............
o
...
....
PURCHASING FE
3
FE+3
FREIGHT CLAIMS
AC+2
3
AC+2
199
PURCHASE ORDERS
FE+3
FE+3
5.3.005
200
PACKING SLIPS
AV
AV
5.3.007
201
BID DOCUMENTATION
FE+3
FE+3
5.3.002
197
FREIGHT BILLS PAID
5.3.003
198
5.3.004
. ...
..
......
AC
= Resolution of claim
............. .
..
5.3.008
202
PURCHASING CARD LOG
FE+3
FE+3
5.3.008
203
PURCHASING CARD CARDHOLDER ACTIVITY REPORT
FE+3
FE+3
RETENTION CODES
AC • After Closed AV - As long as valuable
CAUTION: If a formal written contract is the result of a successful bid or request for proposal, the successful bid or request for proposal and its supporting documentation must be retained for the same period as the contract. SEE item number 5.1.001 and 5.2.028
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
.
.
I· Retain in University Archives O· Review by University Archivist
..
:
....: .. .
.
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission i
Recertification III
Replacement Page
Addendum Ii
page 31 of48
SLR-1 05 (Rev 6/07)
4.
7. Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
6.
5.
Retention Period Record Series Title Agency
5.4
SAFETY
5.4
204
POLICE OPERATIONS LOG
5.4.001
205
SAFETY RECORDS - RECORDS OF EXPOSURE TO ASBESTOS, TREMOLlTE, ANTHOPHYLLITE, ACTINOLITE, AND OTHER HAZARDOUS MATERIALS
Storage
Total
9. Remarks
...... :.
'.'
.
."
5.4.001
206
....
30
30
'.
29 Code of Federal Regulations, Chapter XVII, filming recommended.
:
'.
.
ACCIDENT REPORTS AND ASSOCIATED DOCUMENTATION
CE+5
CE+5
29 CFR 1904.33. The Texas Workers' Compensation Commission retains copies of the reports submitted to it for 50 years.
. .:
"
....
207
ACCIDENT REPORT -INDIVIDUAL
CE+5
CE+5
29 CFR 1904.6. Retain records longer if residual effects possible.
5.4.001
208
WORKERS COMPENSATION REPORTS
CE+5
CE+5
29 CFR 1904.6
5.4.003
209
INSPECTION, REPAIR AND MAINTENANCE RECORDS
AC+3
AC+3
AC = Inspection or date of the correction of the deficiency, if the inspection report reveals a deficiency.
5.4.003
210
SAFETY INSPECTIONS
CE+5
CE+5
5.4.003
211
ASBESTOS BUILDING SURVEYS
LA+30
LA+30
5.4.003
212
ASBESTOS MONITORING
30
30
5.4.003
213
ASBESTOS SAMPLING RESULTS
LA+30
LA+30
.......
5.4.003
214
CHEMICAL INSPECTION REPORTS
30
30
........
5.4.003
215
FIRE DRILLS
5
5
RETENTION CODES
OSHA Standard 1926.1101 pert5 (n)(2)(iii)
LA • Life of Asset MO-Months
PM - Permanent US • Until Superseded
I· Retain in University Archives 0- Review by University Archivist
'.
.
.
'.
'.
:.'
.
.
...
ARCHIVAL CODES CE· Calendar Year End FE· Fiscal Year End
.
:
5.4.001
AC • After Closed AV - As long as valuable
.
'
:
.
.'. ....
'
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification.
Original Submission
Replacement Page II
Addendum
page 32 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
5.4.003
216
FIRE REPORTS
LA
LA
5.4.003
217
FIRE INSPECTIONS
LA
LA
5.4.003
218
FIRE MAINTENANCE REPORTS
CE+5
CE+5
5.4.003
219
RADIATION TESTS AND MONITORING
3
3
5.4.003
220
RADIATION PURCHASE RECORDS
AC+5
AC+5
25 TAC 289.202(ggg)(5) AC = Termination of license.
5.4.003
221
RADIATION DISPOSAL RECORDS
AC+5
AC+5
25 TAC 289.202(ggg)(5) AC = Termination of license.
5.4.007
222
HAZARDOUS MATERIALS TRAINING RECORDS
US+5
US+5
Texas Health & Safety Code § 502.009(g)
5.4.008
223
HAZARD COMMUNICATION PLANS
US+5
US+5
Texas Health & Safety Code § 502.009(g)
5.4.009
224
CHEMICALS INVENTORY
30
30
5.4.009
225
CHEMICAL TRANSFER RECORDS
LA+30
LA+30
5.4.009
226
CHEMICAL RECYCLING RECORD
LA+30
LA+30
5.4.009
227
CHEMICAL WASTE
30
30
5.4.009
228
CHEMICALS HAZ-COM
30
30
5.4.009
229
NARCOTICS & PRECURSOR CHEMICALS (ALL RELATED RECORDS)
30
30
RETENTION CODES
AC • After Closed AV - As long as valuable
10 CFR 20.2106
Texas Health and Safety Cde, 502.005(d).
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
I· Retain In University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission II
Recertification.
Replacement Page [I
Addendum II
page 33 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7.
Retention Period Record Series Title Agency
Storage
Total
9. Remarks
5.4.009
230
WORKPLACE CHEMICAL LISTS
30
30
Texas Health and Safety Cde, 502.005(d).
5.4.010
231
MATERIAL SAFETY DATA SHEETS
AC
AC
AC =After sheets are updated or hazardous chemical no longer stored by agency, as applicable.
5.4.011
231.001
VISITOR CONTROL REGISTERS
3
3
5.4.012
232
SECURITY ACCESS RECORDS
AC+2
AC+2
..... :.
....... ..
5.5
233
DiSASTER PREPAREDNESS & RECOVERY PLANS
...
.
..
AC = Until superseded, date of expiration or date of termination, whichever sooner.
......
Records relating to the issuance of keys, identification cards" building passes, passwords, or similar instruments of access to agency facilities or equipment
5.4.013
.
.
.
:
.
:
:
.
I
US
US
FE+3
FE+3
:
.
I·
.
.
TELECOMMUNICATIONS
5.5.001
234
BILLING DETAIL - VENDORS
5.5.006
235
BILLING DETAIL- TELEPHONE SERVICE REQUESTS
FE+3
FE+3
5.5.006
236
LONG DISTANCE DETAIL (INTERNAL)
FE+3
FE+3
r-_5_.5_._0_06_r-_2_3_7_-t-_L_IN_E_I_E_Q_U_IP_M_E_N_T_C_H_A_R_G_E_{_IN_T_E_R_N_A_L_) 5.5.007
238
DISPUTED CALL DOCUMENTATION
RETENTION CODES
AC • After Closed AV - As long as valuable
....
LA • Life of Asset MO -Months
PM - Permanent US· Until Superseded
;.;..
.
-l-
FE+3
ARCHIVAL CODES
CE • Calendar Year End FE· Fiscal Year End
.
......•......
r-_F_E_+_3_r-_ _+-_F_E_+_3_r--lFE+3
.....
See Note 1.
I - Retain in University Archives
o . Review by University Archivist
1"
):11
:.
.. .
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission!
Recertification.
i
Replacement Page
Addendum
page 34 of 48
SLR·1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
5.6
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Total
9. Remarks
VEHICLES
5.6
239
POLICE REPORTS· PARKING VIOLATION NOTICES
5.6.003
239a
INSPECTION REPAIR AND MAINTENANCE RECORDS'
LA+1
LA+1
5.6.004
240
MOTOR VEHICLE DRIVING RECORD (MVR)
AC
AC
5.6.005
241
MILEAGE REPORTS
FE+3
FE+3
5.6.005
241.001
VEHICLE OPERATION LOG
FE+1
FE+1
5.6.006
243
VEHICLE REGISTRATION FOR PARKING
CE+1
5.6.007
242
TITLES - VEHICLES
2
=
AC Until superceded or until termination of employment See Note 1.
CE+3
AC
AC
AC
=Disposal of vehicle
PATIENT RECORDS
=
300
PATIENT RECORDS· MEDICAL· ADULTS CALLIER CENTER FOR COMMUNICATION DISORDERS
AC+5
AC+5
AC After last visit (adults) microfilming is mandatory
301
PATIENT RECORDS· MEDICAL· CHILDREN CALLIER CENTER FOR COMMUNICATION DISORDERS
AC+5
AC+5
AC After child's 16th birthday microfilming is mandatory
RETENTION CODES
AC • After Closed AV - As long as valuable
=
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA· Life of Asset MO- Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification III
Replacement Page
Addendum
page 35 of 48
SLR-1 05 (Rev 6/07)
5.
4.
6.
8. Archival
7. Records Series Item No.
Agency Item No.
10. 106 No.
Retention Period Record Series Title Agency
Total
9. Remarks
POLICE RECORDS 400
EVIDENCE RECORDS
AV
AV
401
INCIDENT REPORTS - POLICE
-AC
AC
AC
= Statue of limitations
402
RACIAL PROFILING
AC
AC
AC
=Statue of limitations
403
PERSONNEL BACKGROUND INFORMATION FOR POLICE
3
3
404
POLICE CASE REPORTS
PM
PM
405
POLICE DISASTER RECOVERY PLAN
US
US
AC
=After graduation or date of last attendance
406
SECURITY SENSITIVE FORMS
AV
AV
407
COMPLAINTS AGAINST POLICE DEPARTMENT
FE+10
FE+10
408
POLICE DEPARTMENT WARNING FORM
FE+5
FE+5
409
PATROL CAR / MOTORCYCLE CHECKLIST
FE+5
FE+5
410
MUNICIPAL CITATIONS
AV
AV
411
INTERNAL AFFAIRS INVESTIGATIONS
AV
AV
412
FOUND PROPERTY LOG
AV
AV
413
RIDE-ALONG WAIVER OF LIABILITY
FE+3
FE+3
RETENTION CODES
AC • After Closed AV - As long as valuable
ARCHIVAL CODES CE • Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO- Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification 18
Replacement Page:
i
Addendum
page 36 of 48
SLR·105 (Rev 6/07)
4.
5.
6.
8.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival
7. Retention Period Record Series Title Agency
Storage
Total
414
CAMPUS CRIME ALERT
PM
PM
415
RELEASE OF LIABILITY
FE+5
FE+5
416
UT SYSTEM POLICE MEMOS
FE+3
FE+3
417
CALL BOX DOCUMENTS
FE+10
FE+10
AC+5
AC+5
PM
PM
9. Remarks
STUDENT RECORDS AC
=After graduation or date of last attendance
AC+5
AC
=After graduation or date of last attendance
AC+5
AC+5
AC
=After graduation or date of last attendance
ADVANCED PLACEMENT RECORDS OF STUDENTS
AC+5
AC+5
AC
=After application term
APPLICATION FOR ADMISSION OR READMISSION (REENTRY) OF STUDENTS
AC+5
AC+5
AC
=After graduation or date of last attendance
700
ACADEMIC ACTION AUTHORIZATIONS (DISMISSAL, ETC.)
701
ACADEMIC RECORDS (INCLUDING NARRATIVE EVALUATIONS, COMPETENCY ASSESSMENTS, ETC.) OF STUDENTS
702
ACCEPTANCE LETTERS FOR STUDENT APPLICANTS WHO ENTER
AC+5
703
ADVANCED PLACEMENT RECORDS FOR STUDENT APPLICANTS WHO ENTER
704
705
RETENTION CODES
AC - After Closed AV - As long as valuable
ARCHIVAL CODES
CE - Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US - Until Superseded
1- Retain In University Archives
o - Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification II
Replacement Page
Addendum
page 37 of 48
SLR-105 (Rev 6/07)
4.
5.
6.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
706
APPLICATIONS FOR ADMISSION OR READMISSION (REENTRY) FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC
=After graduation or date of last attendance
707
APPLICATIONS FOR ADMISSIONS FOR APPLICANTS WHO DO NOT ENTER (FERPA APPLIES, BUT RECORD IS SUBJECT TO TEXAS OPEN RECORDS LAW)
AC+1
AC+1
AC
=After application term
708
APPLICATIONS FOR GRADUATION - STUDENT RECORDS
AC+1
AC+1
AC
=After graduation or date of last attendance
710
CATALOGS-STUDENT RECORDS
PM
PM
711
CHANGE OF COURSE (ADD/DROP) • STUDENT RECORDS
AC+1
AC+1
712
CHANGE OF GRADE FORMS (UPDATE DOCUMENTS)
PM
PM
713
CLASS LISTS (ORIGINAL GRADE SHEETS)
PM
PM
714
CLASS SCHEDULES (STUDENTS')
AC+1
AC+1
715
COMMENCEMENT PROGRAMS
PM
PM
716
CORRESPONDENCE,RELEVANTFOR APPLICANTS WHO DO NOT ENTER
AC+1
AC+1
=
AC
=After date submitted
=
AC One year After graduation or date of last attendance
AC
=After application term
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
One copy to be retained I Internal archives
CE· Calendar Year End FE - Fiscal Year End
LA - Life of Asset MO-Months
PM Permanent US - Until Superseded
I - Retain in University Archives 0- Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission i
Recertification II
Replacement Page i !
Addendum II
page 38 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Storage
Total
9. Remarks
717
CORRESPONDENCE,RELEVANTFOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC
= After graduation or date of last attendance
718
CORRESPONDENCE,RELEVANT-STUDENT RECORDS
AC+5
AC+5
AC
= After graduation or date of last attendance
719
COURSE SYLLABI
AV
AV
720
CREDIT BY EXAMINATION FORMS, STUDENT RECORDS
AC+5
AC+5
AC
= After graduation or date of last attendance
721
CREDIT/NO CREDIT APPROVALS - STUDENT RECORDS
AC+1
AC+1
AC
= After date submitted
722
CURRICULUM CHANGE AUTHORIZATIONS
AC+5
AC+5
AC
= After graduation or date of last attendance
723
DEGREE AUDIT REQUIREMENTS - STUDENT RECORDS
AC+5
AC+5
AC
= After graduation or date of last attendance
724
DEGREE STATISTICS - STUDENT RECORDS
PM
PM
725
DISCIPLINARY ACTION DOCUMENTSSTUDENTS (SEPARATE CONFIDENTIAL RECORD)
AC+5 or PM
AC+5 or PM
726
ENROLLMENT STATISTICS - STUDENTS
PM
PM
727
ENROLLMENT VERIFICATIONS
AC+1
AC+1
Retention Dde[endant on penalty assessed.
RETENTION CODES
AC • After Closed AV - As long as valuable
See Regents' Rules and Regulations Part One, Chapter VI, Section 3.8
AC
= After verification
ARCHIVAL CODES
CE • Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO- Months
PM - Permanent US • Until Superseded
I • Retain in University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission [I
Recertification.
Replacement Page Li
Addendum
page 39 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. Archival
7. Records Series Item No.
Agency Item No.
10. 106 No.
Retention Period Record Series Title Agency
Storage
Total
9. Remarks = After application term
728
ENTRANCE EXAMINATION REPORTS (ACT, CEEB) FOR APPLICANTS WHO DO NOT ENTER
AC+1
AC+1
AC
729
ENTRANCE EXAMINATION REPORTS (ACT, CEEB) FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC = 5 years After graduation or date of last attendance
730
FERPA - DOCUMENTS (FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT)
AC+5
AC+5
See Note 3, Supple. Page 4 AC = After accepted or rejected
731
FERPA-DATADOCUMENTS-REQUESTSFOR FORMAL HEARINGS - STUDENTS
AC
AC
AC
732
FERPA - REQUEST AND DISCLOSURES OF PERSONALLY IDENTIFIABLE INFORMATION
AC
AC
See FERPA note from AACRAO AC = Life of affected record
733
FERPA - STUDENT STATEMENTS ON CONTENT OF RECORDS REGARDING HEARING PANEL DECISIONS
AC
AC
See FERPA note from ACCROA AC = Life of affected record
734
FERPA - STUDENT'S WRITTEN CONSENT FOR RECORDS DISCLOSURE
AC
AC
AC = Until terminated by the student or life of affected records*
735
FERPA - WAIVERS FOR RIGHTS OF ACCESS
AC
AC
AC = Until terminated by the student or life of affected records*
736
FERPA - WRITTEN DECISIONS OF HEARING PANELS
AC
AC
AC
= life of affected records*
737
FINANCIAL AID ASSISTANCE RECORDS
AC+5
AC+5
AC
= After graduation or date of last attendance
RETENTION CODES AC • After Closed AV - As long as valuable
= Life of affected records
ARCHIVAL CODES
CE· Calendar Year End FE· Fiscal Year End
LA· Life of Asset MO - Months
PM - Permanent US • Until Superseded
I· Retain In University Archives O· Review by University Archivist
Agency Code: 738 SLR~1 05
4.
Agency: The University of Texas at Dallas
Original Submission 11
Recertification II
Addendum
page 40 of 48
(Rev 6/07)
5.
6.
8. Archival
7. Records Series Item No.
Replacement Page
Agency Item No.
Retention Period Record Series Title Agency
Storage
Total
737a
AMERICAN SOUTHWEST CONFERENCE FINANCIAL AID REPORT
FE+5
FE+5
738
FINANCIAL AID DOCUMENTS - STUDENTS
AC+7
AC+7
738.001
FEDERAL AID PARTICIPATION AGREEMENT
AC+10
AC+10
738.002
EXEMPTIONS, STATE MANDATED AND CONTINUOUSLY APPLICABLE
AV
AV
738.003
EXEMPTIONS, LIMITED BY SEMESTER OR ACADEMIC YEAR
AC+3
AC+3
738.004
FISCAL OPERATIONS REPORT AND APPLICATION TO PARTICIPATE FISAP
FE+1
FE+1
738.005
READY TO AWARD LIST
FE+1
FE+1
739
GRADE REPORTS (REGISTRAR'S COPY)
AC+1
AC+1
740
GRADE STATISTICS - STUDENTS
PM
PM
741
GRADEBOOKS
AV
AV
742
GRADUATION AUTHORIZATIONSSTUDENT RECORDS
AC+5
AC+5
743
GRADUATION LISTS
PM
PM
9. Remarks
=
AC After annual audit has been accepted by U.S. Dept. of Education AC
= After graduation or date of last attendance
e.g. Hazelwood, Blind and Deaf, Senior, Foster Care.
AC
=expiration of award.
AC
= After date distributed
AC
= After graduation or date of last attendance
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
10. 106 No.
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US • Until Superseded
I· Retain in University Archives o • Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification.
Replacement Page [j
Addendum II
page 41 of48
SLR-105 (Rev 6/07)
4.
5.
6.
8.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival
7. Retention Period Record Series Title Agency
Storage
Total
9. Remarks
744
HOLD OR ENCUMBRANCE AUTHORIZATIONSSTUDENT RECORDS
AC
AC
AC
=Until released
745
LETTERS OF RECOMMENDATION FOR APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
AC
=After application term
746
LETTERS OF RECOMMENDATiON FOR STUDENT APPLICANTS WHO ENTER
AC
AC
AC
=Until admitted
747
NAME CHANGE AUTHORIZATIONSSTUDENTS
AC+5
AC+5
AC
=After graduation or date of last attendance
748
PASS/FAIL REQUESTS - STUDENTS
AC+1
AC+1
AC
749
PERSONAL DATA INFORMATION FORMSSTUDENT RECORDS
AC+1
AC+1
=After closing date AC =After date submitted
STUDENT DOCUMENTATION OF ACCOMMODATION STUDENT FILE PROVISION FOR ALTERNATIVE TESTING FORMS
AC+7
AC+7
AC
AC+3
AC+3
AC
749.003
TESTING LOGS
AC+3
AC+3
749.004
INDIVIDUAL SERVICE PLANS
AC+7
AC+7
750
PLACEMENT SCORES FOR STUDENT APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
=After graduation or date of last attendance AC =After graduation or date of last attendance AC =After graduation or date of last attendance AC =After application term
751
PLACEMENT SCORES FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC
749.001 749.002
=After graduation or date of last attendance
ARCHIVAL CODES
RETENTION CODES AC • After Closed AV - As long as valuable
=After graduation or date of last attendance
CE· Calendar Year End FE· Fiscal Year End
LA - Life of Asset MO-Months
PM - Permanent US· Until Superseded
I - Retain in University Archives o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission LI
Recertification.
Replacement Page II
Addendum II
page 42 of 48
SLR·1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
752
RACIAL/ETHNIC STATISTICS - STUDENTS
753
READMISSION SCORES FOR STUDENT APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
754
RECRUITMENT MATERIALS FOR STUDENT APPLICANTS WHO ENTER
755
Storage
Total
9. Remarks
PM
PM
AC+1
AC+1
AC
=After application term
AC
AC
AC
=May dispose of materials After enrollment
RECRUITMENT MATERIALS TO APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
AC
=After application term
756
REGISTRATION FORMS - STUDENTS
AC+1
AC+1
AC
757
RESIDENCY CLASSIFICATION FORMS FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
758
SCHEDULE OF CLASSES (INSTITUTIONAL)
PM
PM
759
SOCIAL SECURITY CERTIFICATIONS (STUDENTS)
AC+1
AC+1
AC
=After certification
760
STUDENT RECORDS-ADVANCED PLACEMENT RECORDS OF APPLICANTS WHO DO NOT ENTER
AC+1
AC+1
AC
=After application term
761
STUDENT WAIVERS FOR RIGHTS OF ACCESS TO LETTERS OF RECOMMENDATION
AC
AC
AC
= Until terminated
attendance
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
=After date submitted AC =5 years After graduation or date of last
CE • Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO -Months
PM - Permanent US· Until Superseded
I· Retain In University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission I :
Recertification II
Replacement Page Ii
Addendum Li
page 43 of 48
SLR·1 05 (Rev 6/07)
4.
5.
6.
8. Archival
7. Records Series Item No.
Agency Item No.
10. 106 No.
Retention Period Record Series Title Agency
Storage
Total
9. Remarks
762
TEST PAPERS AND EXAMS
763
TEST SCORES FOR STUDENT APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
AC
= After application term
764
TEST SCORES FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC
= After graduation or date of last attendance
765
TRANSCRIPT REQUESTS (STUDENT)
AC+1
AC+1
AC
= After date submitted
766
TRANSCRIPTS· HIGH SCHOOL FOR STUDENT APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
AC
= After application term
767
TRANSCRIPTS· OTHER COLLEGES FOR STUDENT APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
AC+1
AC+1
AC
= After application term
768
TRANSCRIPTS FROM HIGH SCHOOL FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC = 5 years After graduation or date of last attendance
769
TRANSCRIPTS FROM OTHER COLLEGES FOR STUDENT APPLICANTS WHO ENTER
AC+5
AC+5
AC = 5 years After graduation or date of last attendance
770
TRANSFER CREDIT EVALUATIONS -STUDENT RECORDS
AC+5
AC+5
AC
= After graduation or date of last attendance
771
TUITION AND FEE CHARGES
AC+5
AC+5
AC
= After graduation or date of last attendance
772
VETERANS ADMINISTRATION CERTIFICATIONS (STUDENTS)
AC+3
AC+3
AC
= After graduation or date of last attendance
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO - Months
PM - Permanent US· Until Superseded
I· Retain In University Archives
o . Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission i
Recertification II
Replacement Page
Addendum
page 44 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
Records Series Item No.
Agency Item No.
10. 106 No.
8. Archival
7. Retention Period Record Series Title Agency
773
WITHDRAWAL AUTHORIZATiONS (STUDENTS)
774
STUDENT INFORMATION SYSTEM (SIS) E-PRINT ELECTRONIC REPORTS
775
APPLICATION / RENEWALS FOR ORGANIZATION REGISTRATION
776
IMMIGRATION SEMESTER AUDITS
777
EXPLANATION OF BENEFITS
778
Storage
Total
9. Remarks
AC+2
AC+2
AC
= After graduation or date of last attendance
PM
PM 2
3
PM
PM
AC+10
AC+10
AC
= After graduation or date of last attendance
IMMIGRATION STUDENT FILE ON APPLICANT WHO ENTERS
AC+5
AC+5
AC
= After graduation or date of last attendance
779
IMMIGRATION STUDENT FILE ON APPLICANT WHO DOES NOT ENTER
FE+1
FE+1
780
STUDENT HEALTH INSURANCE WAIVERS, LIST OF WAIVERS, SOS ENROLLMENT FORMS
AC+2
AC+2
AC
= After graduation or date of last attendance
782
HEALTH INSURANCE STUDENT FILES; COMPLAINTS / GRIEVANCES
AC+7
AC+7
AC
= After graduation or date of last attendance
783
FRESHMAN HOUSING APPLICATIONS / COSIGNER APPLICATIONS
AC+1
AC+1
AC
= After graduation or date of last attendance
783.001
STUDENT HOUSING RESIDENT FORMS
AV+2
AV+2
783.002
RESIDENTAL LIFE PROGRAMS FILES
AV+2
AV+2
ARCHIVAL CODES
RETENTION CODES AC • After Closed AV - As long as valuable
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I· Retain In University Archives
a - Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission I i
Recertification.
Replacement Page
Addendum II
page 45 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Storage
Total
9. Remarks
783.003
RESIDENTIAL LIFE PROGRAM RELEASE FORMS/WAIVERS
AV+7
AV+7
783.004
STUDENT HOUSING REPORTS
AV+7
AV+7
784
CERTIFICATE OF ELIGIBILITY (TO LIVE ON CAMPUS)
AC+1
AC+1
AC
= After date submitted
785
CLIENT PSYCHOLOGICAL FILES
AC+10
AC+10
AC
=After graduation or date of last attendance
786
STUDENT / PATIENT MEDICAL RECORDS
AC+7
AC+7
AC
=After graduation or date of last attendance
786.001
UTD STUDENT HEALTH CENTER (SHC) DATA SHEET
FE+1
FE+1
786.002
PATIENT OFFICE VISIT INFORMATION TALLY
FE+1
FE+1
786.003
PATIENT OFFICE VISIT INFO (SUPERBILL)
AC+1
AC+1
AC
=After graduation or date of last attendance
786.004
MANDATORY TB TEST DOCUMENTATION FORM
AC+7
AC+7
AC
= After graduation or date of last attendance
786.005
INFLUENZA VACCINE INJECTiON RELEASE
AC+1
AC+1
AC
= After graduation or date of last attendance
786.006
STUDENT HEALTH CENTER (SHC) ACCIDENT REPORT
AC+5
AC+5
AC
= After graduation or date of last attendance
786.007
COUNSELING LOG - LAB TAKE IN
AC+1
AC+1
AC
= After graduation or date of last attendance
786.008
MENINGOCOCCAL VACINE INJECTION FORM
AC+7
AC+7
AC
= After graduation or date of last attendance
786.009
NON-ENROLLED STUDENT REQUEST FOR SERVICE
FE+1
FE+1
786.010
IMMUNIZATION PREPAYMENT FORM
FE+1
FE+1
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
CE· Calendar Year End FE· Fiscal Year End
LA • Life of Asset MO-Months
PM - Permanent US· Until Superseded
I· Retain in University Archives O· Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification 11
Replacement Page
Addendum
page 46 of 48
SLR·105 (Rev 6/07)
4.
8.
6.
5.
Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
787
10. 106 No.
Archival
7.
CLIENT COUNSELING RECORDS
Storage
Total
10
10
787.001
GUEST WORKER FILES (PSYCHIARTRISTS & PRACTICUM STUDENTS IN THE COUNSELING CENTER
AC+5
AC+5
787.002
CLiNICIAL SUPERVISION FILES
AC+10
AC+10
787.003
COUNSELING CENTER TRAINEE FILES
AC+10
AC+10
788
COMET CARDHOLDER'S PHOTOS
AC+1
AC+1
789
COMET CARD REQUESTS (ALL CARDS ISSUED EXCEPT REGISTERED STUDENTS
790
PHOTO RELEASES (NON FERPA RELEASES)
AV
AV
STUDENT ATHLETE HANDBOOK
US
US
800.001
AMERICAN SOUTHWEST CONFERENCE MEMORANDA
US
US
800.002
NCAA FILES
FE+5
FE+5
800.003
STUDENT ATHLETE COMPLIANCE AGREEMENT
FE+5
FE+5
9. Remarks AC
= End of internship or practicum.
AC
= End of internship or practicum.
AC
= End of internship or practicum.
AC
= After graduation or date of last attendance
STUDENT LIFE, ORGANIZATIONS, ACTIVITIES 800
ARCHIVAL CODES
RETENTION CODES
AC - After Closed AV - As long as valuable
Includes Statement Forms, Reports
CE - Calendar Year End FE· Fiscal Year End
LA - Life of Asset MO -Months
PM - Permanent US - Until Superseded
I· Retain in University Archives
o - Review by University Archivist
Agency Code: 738
Agency: The University of Texas at Dallas
Original Submission
Recertification III
Replacement Page:
Addendum!
page 47 of 48
SLR-1 05 (Rev 6/07)
4.
5.
6.
8. 7.
Records Series Item No.
Agency Item No.
10. 106 No.
Archival Retention Period
Record Series Title Agency
Storage
Total
9. Remarks
800.004
STUDENT ATHLETE INDEMNIFICATIONI MEDICAL FORMS
FE+5
FE+5
800.005
STUDENT ATHLETE TRAVEL SCHEDULES
FE+5
FE+5
800.006
STUDENT ATHLETE ADVISORY REPORT
FE+5
FE+5
800.007
CONTRACTS FOR STUDENT ATHLETICS A&P EMPLOYEES
AC+5
AC+5
800.008
ATHLETIC TOURNAMENT RESULTS
PM
PM
CAREER CENTER EMPLOYER RECRUITING EVENTS
AC+2
AC+2
AC
CAREER CENTER JOB POSTINGS
AC+1
AC+1
AC position filled or receipt of request to withdraw posting.
802
802.001
AC
=Termination of employment ···
=Completion of event =
••• <•. •.• •. .>'. . . . . . . . .,'<.• •••••••••••••
••••••• .,
..................
,,.... ,..' ,
i .•
"' ..
.
803
MULTICULTURAL CENTER PROGRAM FILES
804
STUDENT GOVERNMENT CANDIDATE APPLICATIONS
AV
AV
FE+2
FE+2
804.001
STUDENT GOVERNMENT CAMPAIGN FLIERS
FE
FE
804.002
STUDENT GOVERNMENT MEMBERSHIP LISTS
PM
PM
STUDENT ORGANIZATION REGISTRATIONS
AC+5
AC+5
805.001
CHEER SQUAD FILES
AC+5
AC+5
805.002
STUDENT NEWSPAPER ADVERTISING AND BILLING ACCOUNTS
FE+5
FE+5
805
RETENTION CODES
AC - After Closed AV - As long as valuable
LA - Life of Asset MO-Months
PM - Permanent US - Until Superseded
..
.
i{.·\ . • •. • .• »
••
....
=After graduation or date of last attendance AC =After graduation or date of last attendance AC
ARCHIVAL CODES
CE· Calendar Year End FE - Fiscal Year End
i.
i·.···
I- Retain in University Archives 0- Review by University Archivist
"i
i······· ii
••• .•..
II
Agency Code: 738
Agency: The University of Texas at Dallas
Recertification II
Original Submission
Replacement Page i !
Addendum i !
page 48 of 48
SLR-1 05 (Rev 6/07)
4.
6.
5.
8. 7.
Records Series Item No.
Agency Item No.
Retention Period Record Series Title Agency
805.003
GREEK LIFE ELECTRONIC DATABASE
805.004
STUDENT LIFE CO-CURRICULAR TRANSCRIPT REQUESTS
805.005
MARQUEE REQUESTS
805.006 807 807.001 808
10. 106 No.
Archival
Storage
Total
9. Remarks
US
US
FE+5
FE+5
FE
FE
STUDENT ORGANIZATION BANNER REQUESTS
AC+4
AC+4
AC
= Removal of banner or completion of event.
ORIENTATION REGISTRATION FILES-
AC+1
AC+1
AC
= After graduation or date of last attendance.
PM
PM
AC
=Completion of program or travel.
AC+1
AC+1
AC
= After graduation or date of last attendance.
PM
PM
AC+1
AC+1
AC
=After graduation or date of last attendance.
FE+4
FE+4
PM
PM
ORIENTATION PARTICIPANT RELEASE FORMS DEANS' STUDENT DISCIPLINE CERTI FICATIONS
808.001
DISCIPLINE LOG
808.002
WHO'S WHO RECOMMENDATIONS
CALLIER CENTER DAY CARE 900
CHILD ENROLLMENT
901
ACCREDIATION 1 LICENSING DOCUMENTATION
902
TRACKING ROSTER
AC+ 7
AC+ 7
AC
= Last day of attendance.
903
VOLUNTEER FILE
AC+5
AC+5
AC
= Last day of participation.
904
NATIONAL SCHOOL BREAKFASTI LUNCH
FE+4
FE+4
ARCHIVAL CODES
RETENTION CODES
AC • After Closed AV - As long as valuable
CE· Calendar Year End FE - Fiscal Year End
LA • Life of Asset MO- Months
PM - Permanent US· Until Superseded
I· Retain in University Archives
o . Review by University Archivist
STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
SUPPLEMENTAL * Whenever the recommended
retention period is the "life of the affected record," the retention period of the FERPA document is meant to be the same as that of the student record to which it pertains: students' waivers of rights to access to letters of recommendation, for example, should be retained until terminated or the letters themselves are destroyed. If the retention period for a record to which a Family Educational Rights and Privacy Act (FERPA) document pertains is permanent, the FERPA document should also be permanently retained and microfilmed for added security.
NOTES NOTE 1. - The University of Texas at Dallas must insure that all audit requirements (both state and federal) have been fulfilled prior to final disposition.
Sl
STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
STUDENT RECORDS - ADMISSIONS DATA/DOCUMENTS FOR APPLICANTS WHO DO NOT ENTER WHETHER ACCEPTED OR REJECTED
1. Although the retention period recommended for the documents listed above is one year, federal legislation, state statutes, or institutional policy may dictate otherwise. The federal legislation which governs these records is as follows: Veterans Administration regulations require that all recruitment materials be retained three years. 2. Records for applicants who do not enter are not covered by FERPA. 3. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant rather than destroying them.
82
STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
STUDENTS RECORDS -ADMISSIONS DATA/DOCUMENTS FOR APPLICANTS WHO ENTER
1. The retention periods recommended are based on the following: a. The forms are maintained in individual student folders and are retained no longer than five years after graduation or date, term, or semester and year of last attendance. b. Uniform retention periods allow for the destruction of the entire folder which will save considerable sorting. c. Essential data will be recorded on academic records which are retained permanently. 2. Family Educational Rights and Privacy Act (FERPA) states that letters of recommendation not accompanied by waivers and retained beyond their intended use may be viewed by the student. As a consequence, it is recommended that these letters be destroyed after admission of the student. Waivers of rights of access filed with letters of recommendations should be retained as long as the file is retained. Students who revoke their waivers of rights of access may not see letters of recommendation during the time the waivers were in force. 3. The Veterans Administration (VA) regulations state that the following student records must be retained for at least three years after termination of enrollment: a. Previous education or training (transcripts from other colleges). b. Evidence of formal admission (acceptance letters). The regulations state that longer retention will not be required unless a written request is received from the General Accounting Office or the VA no later than 30 days prior to the end of the three-year period. 4. Educational institutions which participate in federal, state, and private programs of low-interest loans to students must retain student records of admission and placement for five years after graduation or withdrawal. In the event of an open audit, records must be retained until all questions are resolved. 5. Some documents from institutions in other countries might be originals and therefore difficult for the applicant to replace. The records custodian may want to return these documents to the applicant rather than destroying them.
STUDENT RECORDS - REGISTRATION AND RECORDS DATA/DOCUMENTS S3
STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
1. Any record recommended for permanent retention should be microfilmed for security even if the originals are retained. The original microfilm should be stored and secured in an off-site location. 2. The recommended five-year retention period noted in the schedule begins with the date of graduation or the date, term, or semester and year of last attendance. 3. The Family Educational Rights and Privacy Act (FERPA) specifically requires institutions to maintain records of requests and disclosures of personally identifiable information except for defined "directory information" and requests from students for their own records. The records of disclosures and requests for disclosures are considered part of the students' educational records; therefore, they must be retained as long as the educational records to which they refer are retained by the institution. 4. The Veterans Administration (VA) regulations state that the following records must be retained for at least three years after termination of enrollment: a. b. c. d.
Grade reports and/or statements of progress (academic records) Change of course forms Transfer credit evaluations Degree audit records
VA regulations require that all advertising, sales, and enrollment materials (e.g. catalogs and brochures) used by or on behalf of the institution be retained three years after the termination of a veteran's enrollment. In addition, records of tuition and fees charged to and collected from students, grade reports and statements of progress (academic records), and previous education and training documents (transfer credit evaluations) must be retained for three years. 5. Educational institutions which participate in federal, state, and private programs of low-interest loans to students must retain for five years after graduation or withdrawal students' records of academic progress, attendance, and courses studied. In the event of an open audit, records must be retained until all questions are resolved. 6. Although student records created and maintained by medical and dental schools are usually narrative assessments of academic progress or clinical practice, for purposes of this retention schedule, such records are in the same category as the academic record. STUDENT RECORDS - REGISTRATION AND RECORDS DATA/DOCUMENTS, Continued
S4
STATE OF TEXAS RECORDS RETENTION SCHEDULE Agency: The University of Texas at Dallas
7. The Immigration and Naturalization Service (INS) states that the school must keep a record used to comply with the reporting requirements for at least one year. Since many items included in foreign students' records are to be retained at least five years, it is recommended that INS documentation also be retained five years.
S5
