Information Technology Policies

X-99.07(A)

UMB Data Retention-Archival Policy

Responsible VP/AVP

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legal standards, optimize the use of space and computer storage, optimize the cost of record retention, and ensure that outdated and useless records are destroyed.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

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