Information Technology Policies

X-99.07(A)

UMB Data Retention-Archival Policy

Information Technology


Responsible VP/AVP

Peter J. Murray, PhD


Applies to Faculty, Staff


Policy Statement

The University of Maryland, Baltimore (UMB) and the State of Maryland require that different types of records be retained for specific periods of time, and has designated official repositories for their maintenance. 

Purpose

The University is committed to effective record retention to preserve its history, meet legal standards, optimize the use of space and computer storage, optimize the cost of record retention, and ensure that outdated and useless records are destroyed.

Policy Development Process

UMB has researched relevant State document retention laws and sample archiving- retention policies from the University of Iowa, University of Massachusetts, and Cornell University.  UMB has also consulted with EDUCAUSE to determine best practices where they exist. What follows is a general listing of documents maintained by UMB departments and State of Maryland retention requirements.  If no requirements were found, an average retention length was derived from the policies of the three schools listed above.

Retention Rules

Accounting Records
General Accounting Records
 
 

CoD, Bank Deposit slips:                  

Distribution of Charges

Memorandum of Adjustments Monthly Report: State Funds

Retain for 3 yrs/audited, then destroy
Special Accounting Reports 
 
LA Audit Reports Retain for 10 years, then destroy
Non-LA Audits                                            Permanent
Books of Final Entry/GL                              Permanent
Budget and Fiscal Planning Records                     

Budget Estimates, Bud. Sched.         

Amendment, Materials & Supplies

Physical Inventory, Report of Fixed Assets, Report of Materials And Supplies, Request for Position Action

Retain 3 yrs/audited, destroy

Payroll Accounting Records       

Employee Roster, Payroll & Check   

Register, Payroll Exceptions Time, Payroll Transmittals, Payroll Warrants

Retain 3 yrs/audited, destroy

Misc. Accounting Records

Bank Books, Statements, Deposit Receipts,  

Budget papers & work sheets, Cancelled

Checks, Delivery Orders & Receipts, Gas Withdrawal & Mileage Reports, Memo Receipts & Condemnation Reports, Paid

Bills and Invoices, Paid Bonds & Coupons, Periodic Fin. Reports to State Agencies, Receipt Copies & Stubs, Receiving Reports, Reconciliation & Trial Balance, Renewable Licenses, Requisitions & POs, Stock Record Cards, Time Sheet, Withholding Tax Forms & Statements (local, state, and Federal)

Retain 3 yrs/audited, destroy

Purchasing Records

Actual Emergency & Repairs Report,           

Copy of Contract Awarded, Credit

Memorandum, Notice of Award of Contract, Out-of-schedule Requisition For Supplies, Purchase Order, Report of Partial Delivery, Requisition for Supplies

Retain 5 yrs/audited, then destroy

Vendor List

Retain until superseded, destroy

Correspondence

Retain 3 yr, then screen for need

Personnel Folders

Application, Appointment Letter, Correspondence  

Relating to New Appointment, Personnel Payroll     

Form, Personnel Position Action Request,

Personnel Recruitment Screening Report, Personnel Transaction Form, Retirement Form, Change of Address Forms, Clearance File, Charges for Removal, Commendations, Contractual Employment documents, Counseling Sessions, Disciplinary Actions, Efficiency Ratings, EOE Statistical Reports, General Correspondence, Grievance Actions, Health Insurance Benefits Forms, Leave Forms, Orientation Program, Position History, Probation, Promotions, Resumes, Suggestion File, Summer Employment, Suspension Actions, Training, Letter of Resignation, Retirement, Transfer, Dismissal

I-9 Forms (faculty, staff, students)

Retain 3 yrs after termination

I.D. Number (EMPL ID)

Permanent

History Data

Name, Address, Social Security Number,                 

Race, Sex, Birthdate, Increment Date,                      

Start Date, Classification, Effective Date Of Classification, Employment Status, Salary, Position ID Number for Employee

Retain 3 yrs, then destroy

Other Personnel Records

Worker’s Compensation 1st Report of Injuries          

Part-time Quarterly reports, Annual Reports,

Agency/Dept. Personnel Budget Reports

Retain 5 yrs, then destroy
Student & Financial Aid Records
 

Academic Actions (dismissal, etc.)

5 yrs from graduation or date of last attendance

Academic integrity code violation: (and related case files)

Permanent
Academic records (including narrative Evaluations, competency assess., etc.) Permanent
Change of Course documentation (Cont. Ed., Summer, Extramural Studies) 5 yrs from date of enrollment
Change of Grade documentation Permanent
Change to Student ID Number         Permanent
Class Lists (original) Permanent Consent to Release Personally Identifiable
Information (or non-disclosure requests) Kept until next academic year 
Course Offerings Permanent
Curriculum Change Authorizations 5 yrs. from graduation or date of last attendance
Disciplinary Records (findings of violation and related case files) Permanent where penalty imposed is               probation, suspension, or expulsion
Enrollment Verifications 1 year from enrollment date
Financial Aid Records (for applicants who Do not enroll) 3 yrs. from date of graduation
Financial Aid Records (applicants who Enroll) 5 years from graduation date
Grade Sheets Permanent
Graduation Lists Permanent
Hold or encumbrance authorization Until released
Name Changes Permanent
Original Grade Sheets  Permanent
Student Class Schedules  1 Year from graduation or date of last attendance
Student Registration forms 1 year from registration
Term Reports  5-7 years. depending on School
Transcripts Permanent
Transcript Requests 1 year from submission date
Transfer Credit Evaluations 5 years from graduation
Veteran Administration Certifications 5 years from graduation or date oflast attendance
Withdrawal Authorizations/Leaves of Absence 2 years
Admissions documents for Applicants who do not enroll 2 years from date of start of application term
Advanced Placement Records 5 years from date of graduation or date of last attendance
Letters of Recommendation Until date of admission
Recruitment Materials Until date of enrollment
Residency Certificates Until date of enrollment
Residency Change Documents (non- Resident to Resident) 5 years from graduation or date of last attendance
Student Waivers for Right of Access Until graduation or date of last attendance
Transcripts (high school and other college) 5 years from graduation or date of attendance
International Student Forms (visa documentation, etc.) 5 years
Degree, grade, enrollment, racial/ethnic stats Permanent
Schedule of Classes (institutional) Permanent
State Reports Permanent
Catalogs Permanent
Commencement Programs Permanent
Student Loan records 3 years after loan paid in full
Tuition and fee charges 6 years
Academic Personnel
 
Academic Search Records AA/EEO rules
Annual Conflict of Interest Disclosure Statements 3 years
Grievances No cause findings: 3 years from determination; cause findings: Permanent

Personnel files, appointment letters, forms

Same as HR
Tenure or promotion dossiers If approved, 3 years. If tenure denied, 3 years from end of term appointment

Trustee decisions regarding academic

Personnel & designated Execs.

Permanent
Alumni Affairs and Development
 
Alumni Records Permanent
Gift Records Permanent for electronic records
Gifts of Art Permanent

Original Gift Letter Agreements (signed By President and donor)

Permanent
Original gift letter (all others) Permanent
Planned gifts (trusts, life income, Agreements, annuities) real estate gifts Permanent
Affirmative Action/Equal Opportunity
 
Academic search plans/statements 3 years
Academic search waivers For permanent waivers, 3 years from date of appointment; for limited- term waivers, 3 years from satis- faction of subsequent search require- ments or appointment termination
Affirmative Action Programs Permanent
Conciliation Agreements/Orders on Consent Permanent
Documents supporting other academic or non-Academic selection decisions (e.g., Promotion, termination, compensation) 3 yrs after effective date of decision
Federal & State required statistics Permanent
Non-academic search/hiring documentation 3 years from date of appointment
Sexual harassment complaints, investigations, And findings                                               No-cause findings: 3 yrs. from determination, cause finding: Permanent
Construction
 
As-built drawings Permanent
Contracts and agreements 6 years
Environmental Health & Safety
 
Evacuation drill records 5 years
Fire protection systems records 5 years
Fume hood testing records 3 years
Hazardous waster disposal manifests/reports 3 years
Incident Records 5 years
Portable extinguisher training records 3 years
Radiation dose reports Permanent
Radiation safety training records 3 years

Radioactive materials license & Safety Committee reports

Permanent

Radioactive material receiving/inventory records

3 years
Corporate Records
 
Accreditation Records Permanent
Board of Regents Minutes Permanent
Bylaws Permanent
Charter  Permanent
Insurance
 

Certification of insurance, indemnification Agreements hold-harmless agreements, Contracts

6 years after expiration
Insurance Policies (liability, property, et al.) Permanent
Incident reports, Accident reports 4 years after report date
Legal
 
Consent orders Permanent
Court orders Permanent
Judgments Permanent
Releases Permanent
Settlements  Permanent
Patent and Trademarks
 
Original executed invention disclosure forms Permanent
Original executed United State Patent and Trademark Office assignment forms Permanent
Original Letters, Patents Permanent
U.S. patent/application correspondence papers Permanent
U.S. patent/application filing papers 1 yr after issuance of abandonment
Foreign patent/application-related work papers Permanent
Original registered Trademarks Permanent
Trademark-related work papers Permanent
Original executed licensing agreements Permanent
Licensing agreement-related work papers 6 yrs from expiration or termination of agreement
Royalty Records   Life of technology/patent or trademark plus 6 years
Real Property
 
Documents for leases, licenses, construction Contracts, other temporary contracts <$50K 6 years after expiration of leases or contract term

Property deeds, easements, licenses, rights of Way, leases, rights of first refusal, Remainder Interests, mortgages

Permanent
Title Insurance Policies 10 years after disposal of property
Public Safety
 
Accident Reports 4 years after report date
Crime Reports 4 years after report date
Property Damage Reports 4 years after report date
Sponsored Projects, Contracts, Grants
 
Animal welfare records  3 years or contract period
Grant and contract applications, proposals, And supporting documentation

6 years after close of grant

(for federal grants/ contracts)

Human Subject Records 3 years or contract period
Recombinant DNA research records Permanent

SOURCES

Fill out my online form.