Retention ScheduleStep 2 Determine from the alphabetical list below whether the record is permanent and should be transferred to the Archives. If it is not permanent, determine whether the record should be destroyed at this time. If the record does not appear on this schedule, please contact the Archives at 2-1792. P=Permanent (Only permanent records are sent to Archives) | I=Indefinate | 1, 2, 5, etc=years to retain |
|||
|
Item #
|
Title of Records
|
Disposal Instructions
|
Total Retention
|
| U0400 | Academic Action Authorization File - (Dismissals, etc.) | Destroy five years after graduation or last date of attendance | 5 |
| U0401 | Academic Records - (Includes narrative evaluations, competency assessments, admissions, enrollment and academic documentation) - (Master or official student record) | Retain in creating unit or transfer to the University Archives | P |
| U0467 | Academic Records - (Correspondence/independent study) - (High school) Series contains: Receipt number; full name of student; student address (street, city, state, zip code); record of correspondence courses taken; date of enrollment; date of completion; grade(s) received; number of credits; comments (date, high school and school official receiving academic information) | Retain in creating unit or transfer to the University Archives | P |
| U0402 | Acceptance Letters (Enrolled Students) | Destroy five years after graduation or last date of attendance | 5 |
| U0403 | Acceptance Letters (Retention based on Veteran's Administration policy) - (Individuals who do not enter whether accepted or rejected) | Destroy three years after application term | 3 |
| U0600 | Accident Report File (Original) - (For which no litigation, claim, or other official action has occurred) | Destroy | 3 |
| U0300 | Accident Report File (Duplicate) - (Original in Personnel Office) - (For which no litigation, claim, or other official action has occurred) | Destroy | 2 |
| U0800 | Account Reconciliation File | Destroy after audit | 3 |
| U1400 | Adjustment Form (Used to debit or credit student account) | Destroy after audit | 3 |
| U0405 | Advanced Placement Records (Individuals who do not enter whether accepted or rejected) | Destroy three years after application term | 3 |
| U0404 | Advanced Placement Records - (Enrolled Students) | Destroy five years after graduation or last date of attendance | 5 |
| U0313 | Affirmative Action/Equal Opportunity Form (Departmental or unit copy) - (Record copy maintained by the Affirmative Action/Employee Relations or similar unit) Series contains: Name of applicant; e-mail address; position applied for; position control number; age of applicant, sex, race, ethnic category, physical impairments, veteran status, disabilities | Destroy | 2 |
| U0635 | Affirmative Action/Equal Opportunity Form (Used to collect demographic data on job applicants) Series contains: Name of applicant, e-mail address, position applied for, position control number; age of applicant, sex, race, ethnic category, physical impairments, veteran status, disabilities | Destroy | 3 |
| U1401 | Agency Fund Receipts File | Destroy after audit | 3 |
| U1402 | Agency Fund Voucher | Destroy after audit | 3 |
| U0601 | Agreement for Salary Reduction (Employee) - (If filed separate from the Master Personnel File) | Destroy after audit | 3 |
| U0478 | Appeals File - Students Series contains: Date appeal filed; name of appellant, address, phone number; basis for the appeal; supporting witness information; signature of appellant; committee action; date of hearing; signature of chairperson; and related correspondence | Destroy | 3 |
| U0602 | Applicant Referral Log Series contains: Position referred to; applicant name; department or administrative unit name (where vacancy has occurred); date of referral. May contain interview results, i.e., whether hired or not | Destroy | 2 |
| U0407 | Applications for Admission or Readmission (Enrolled Students) | Destroy five years after graduation or last date of attendance | 5 |
| U0406 | Applications for Admissions (Individuals who do not enter whether accepted or rejected | Destroy three years after application term | I |
| U0408 | Applications for Graduation | Destroy one year after graduation or last date of attendance | 1 |
| U0472 | Applications for Scholarships File - Accepted Series contains: Application and supporting documentation (high school transcripts, essays, etc.); notification letter; type of scholarship awarded; amount; and award period | Destroy three years after expiration of award period | 3 |
| U0473 | Applications for Scholarships File - Declined Series contains: Application and supporting documentation (high school transcripts, essays, etc.); and notification letter | Destroy one year after issuance of notification letter | 1 |
| U0700 | Applications/Awards to Construct University Buildings | Destroy three years after construction is completed, and audit | 3 |
| U1903 | Assessment Record File (Documents the assessment of agency systems to determine year 2000 compliancy) Series contains: Information related to the inventory and assessment of agency systems; plans for resolution of problems; related correspondence | Destroy | 5 |
| U0801 | Bank Statements | Destroy after audit | 3 |
| U0900 | Bid File | Destroy after audit | 3 |
| U0701 | Blueprints, Plans and Specifications for Buildings, Grounds and Landscapes File | Transfer to the University Archives when no longer needed administratively | P |
| U0802 | Bond Documentation File | Transfer to the University Archives after all financial transactions are completed, and audit | P |
| U1200 | Bookstore Charge Slip (Faculty and staff) - (Duplicate) - (Original in Payroll Unit for deduction purposes) | Destroy | 1 |
| U0603 | Bookstore Charge Slip (Faculty) - (Duplicate in Bookstore) | Destroy after audit | 3 |
| U0803 | Bookstore Daily Reports (Duplicate) - (Original in bookstore) | Destroy after audit | 3 |
| U0202 | Budget - Departmental Operating (Duplicate) | Destroy | 5 |
| U0205 | Budget - Research Projects (Departmental copy) - (Record copy in specific research unit) | Destroy | 5 |
| U0203 | Budget - University Operating (Record copy) | Retain one copy in the university archives | P |
| U0200 | Budget Allocations File | Destroy | 5 |
| U0201 | Budget Change Forms File | Destroy | 2 |
| U0204 | Budget Requests - Annual or Biennial (Departmental copy) - (Record copy in business office or similar unit) | Destroy | 2 |
| U0804 | Budget Requests - Biennial | Destroy | 5 |
| U0238 | Budget Work papers (Used in compiling final operating budget) - (May be maintained in either manual or electronic formats) Series contains: Duplicate budget forms; statistical information; reports of expenditures, disbursements and encumbrances; and related correspondence | Destroy | 5 |
| U0702 | Building Inspection File | Destroy | 2 |
| U0604 | Bureau of Labor Statistics Log and Summary of Occupational Injuries and Illnesses | Destroy | 5 |
| U0805 | Cancelled Checks | Destroy after audit | 3 |
| U0806 | Capital Construction Disbursements and Receipts File | Retain in creating unit | P |
| U0807 | Capital Construction Encumbrance File | Destroy after audit | 3 |
| U0703 | Capital Construction/Building File (Includes renovations and new construction) | Transfer to the University Archives three years after building project is closed | P |
| U0808 | Cash Register Detail Tapes | Destroy after audit | 3 |
| U0809 | Cash Register Receipts | Destroy after audit | 3 |
| U0206 | Cash Transmittal Letters (Departmental copy) | Destroy | 1 |
| U0810 | Cash Transmittal Letters (Record Copy) | Destroy after audit | 3 |
| U1102 | Catering Records File Series contains: Order form, production form, invoices or billing forms | Destroy after audit | 3 |
| U0409 | Change of Grade File (Update documents) | Retain in creating unit | P |
| U0811 | Check Registers | Destroy after audit | 3 |
| U0812 | Check Stubs | Destroy after audit | 3 |
| U1302 | Citation Receipt File (For parking and traffic violations) | Destroy after audit | 3 |
| U0605 | City Tax Reports | Destroy after audit | 4 |
| U0410 | Class Rosters (Contains student names only) | Destroy | 1 |
| U0412 | Class Schedules (Institutional record copy) - (Maintained by chief academic officer) | Transfer one copy of each schedule to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U0411 | Class Schedules (Faculty) | Destroy when obsolete | I |
| U1902 | Contract Record File (Documents contracts entered into for purchase of specialized year 2000 services) Series contains: Contracts and supporting documentation; correspondence; possibly, requests for information and requests for proposals | Destroy after audit | 5 |
| U0207 | Contracts, Agreements and Related Papers (Departmental copy) | Destroy three years after expiration or termination | I |
| U0208 | Contracts, Agreements and Related Papers (Record copy) | Destroy three years after expiration or termination, and audit | I |
| U0101 | Correspondence - General (It is of a non-policy nature and deals only with general operations which are better documented by other records) | Retain no longer than two years | 2 |
| U0100 | Correspondence - Official (Documents the major activities, functions and programs of the university and important events in its history) | Transfer to the University Archives after administrative use has ceased | P |
| U0413 | Counseling Files - (Academic) (Created by university counseling offices) | Destroy five years after graduation or last date of attendance | 5 |
| U0414 | Course Change File (Add/drop) | Destroy one year after date submitted | 1 |
| U0470 | Course Proposal File - Approved (Departmental copy) Series contains: Information necessary to explain and justify the proposed changes. Included are course descriptions; course outline or syllabus; bibliography; reading list; and related correspondence | Destroy one year after notification of approval | 1 |
| U0471 | Course Proposal File - Not Approved (Departmental copy) Series contains: Information necessary to explain and justify the proposed changes. Included are course descriptions, course outline or syllabus, bibliography, reading list, and related correspondence | Destroy after notification of non-approval | I |
| U0415 | Course Syllabuses (Faculty copy) - (Policies and objectives) | Transfer to the University Archives when no longer needed for current classroom activity. Duplicate copies may be destroyed when no longer useful | P |
| U0416 | Credit by Examination File (Master Student File (U0401), contains equivalent grade information) | Destroy five years after graduation or last date of attendance | 5 |
| U0417 | Credit/No Credit Approval File | Destroy one year after date submitted | 1 |
| U0418 | Curriculum and Instruction File (Faculty) | Destroy when obsolete | I |
| U1403 | Daily Cash Distribution File | Destroy after audit | 3 |
| U1201 | Daily Reports | Destroy after audit | 3 |
| U0606 | Deduction Listings (Faculty and staff) | Destroy | 4 |
| U1601 | Deed Files (Property which is sold by the University or conveyed to others) | Transfer to the University Archives when no longer needed administratively | P |
| U1600 | Deed Files (Property which is for use and benefit of the University; conveyed to the Commonwealth) | Transfer to the University Archives when no longer needed administratively | P |
| U0419 | Degree Audit Records | Destroy five years after graduation or last date of attendance | 5 |
| U0420 | Degree Statistical Reports (Reports documenting number, type, as well as demographic data relating to degrees awarded) | Transfer one copy of each report to the University Archives. Destroy excess copies when no longer useful | P |
| U0421 | Degrees Awarded Files (Includes Associate, Undergraduate, Graduate) | Transfer permanent documentation to Master Student File (U0401). Destroy remainder five years after graduation or last date of attendance | 5 |
| U1701 | Dental Records - Adults (Documents services provided through clinics operated by the universities) Series contains: Treatment plan; record of consultation with dentist regarding risk factors associated with dental treatment; record of x-rays; documentation of services rendered; payment notations and receipts; and consent form | Destroy five years after last date of service | 5 |
| U1702 | Dental Records - Children (Documents services provided through clinics operated by the universities) Series contains: Treatment plan; record of consultation with dentists regarding risk factors associated with dental treatment; record of x-rays; documentation of services rendered; payment notations and receipts; and consent form | Destroy five years after child reaches the age of majority | 5 |
| U0477 | Dental Records - Students Series contains: Treatment plan; record of consultation with dentist regarding risk factors associated with dental treatment; record of x-rays; documentation of services rendered; payment notations and receipts; and consent form | Destroy ten years after graduation, or last date of attendance | 10 |
| U0813 | Deposit Slips | Destroy after audit | 3 |
| U0634 | Description of Available Position (Series is used to write advertisements for vacant positions) Series contains: Position number; title; description of teaching, research and administrative responsibilities; required education and experience; actions specified by the Search Committee on Affirmative Action in filling the position; advertising or professional organizations to be contacted; name and e-mail address of search committee chairperson; department name and phone number; and the name and e-mail address of the person submitting the form | Destroy five years after inactivation of position, and audit | 5 |
| U1703 | Diagnostic Files (Evaluations of minors done at the request of respective school systems through the Diagnostic Network Coordination Center, or similar unit) Series contains: Referral from respective school system; test protocols (completed by personnel during testing); reports generated for school system; individual education plans prepared by school system; relevant medical records; related reports, usually psychological, prepared by other agencies; social history updates; behavioral observation reports; related school forms | Destroy five years after child reaches the age of majority | 5 |
| U0422 | Disciplinary Action Documents (Enrolled students) - (NOTE: Series should be maintained separate from academic record per Academic Record and Transcript Guide, 1984 Edition) | Destroy five years after graduation or last date of attendance | 5 |
| U1905 | Documentation Checklist File (Identifies the physical location of year 2000 records within each university) Series contains: The identification of the physical locations of year 2000 documentation; additional comments; and signatures | Destroy. NOTE: A copy of the checklists should be transferred to the University Archives | 5 |
| U0607 | Earnings Records (Faculty and staff) | Destroy | 4 |
| U0608 | Earnings Records - Students | Destroy thirty years after graduation or last date of attendance | 30 |
| U0609 | Employee Exit Interviews | Destroy five years after termination of employment with the University | 5 |
| U0610 | Employee Insurance File (If filed separate from the Master Personnel File) - (Contains information on enrollments/cancellations) | Maintain current file. Destroy balance when obsolete | I |
| U0301 | Employee Personnel Roster | Destroy | 2 |
| U0423 | Enrollment Statistical Reports (Reports documenting student enrollment for budget/planning purposes and to support enrollment trends) | Transfer one copy of each report to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U0424 | Enrollment Verifications File | Destroy one year after verification | 1 |
| U0425 | Entrance Examination Reports (Enrolled students) - (ACT, CEEB, GRE, SAT, etc.) - (May include test scores, profiles) | Destroy five years after graduation or last date of attendance | 5 |
| U0426 | Entrance Examination Reports (Individuals who do not enter whether accepted or rejected) - (ACT, CEEB, GRE, SAT, etc.) | Destroy one year after application term | 1 |
| U0426 | Family and Medical Leave Case File (C) KRS 61.878(1)(a) Change Date: 9/13/2007 Function and Use: This record series documents those who apply for leave under the Family and Medical Leave Act (FMLA). Covered employers must grant an eligible employee up to a total of 12 workweeks of unpaid leave during any 12 month period for maternity, for adoption, to care for an immediate family member, or because of a serious health condition. Contents: (1) Basic payroll and identifying employee data, including name, address, and occupation; rate or basis of pay and terms of compensation; daily and weekly hours worked per pay period; additions to or deductions from wages; and total compensation paid. (2) Dates FMLA leave is taken by FMLA eligible employees (e.g., available from time records, requests for leave, etc., if so designated). Leave must be designated in records as FMLA leave; leave so designated may not include leave required under State law or an employer plan which is not also covered by FMLA. (3) If FMLA leave is taken by eligible employees in increments of less than one full day, the hours of the leave. (4) Copies of employee notices of leave furnished to the employer under FMLA, if in writing, and copies of all general and specific written notices given to employees as required under FMLA and these regulations. Copies may be maintained in employee personnel files. (5) Any documents (including written and electronic records) describing employee benefits or employer policies and practices regarding the taking of paid and unpaid leaves. (6) Premium payments of employee benefits. (7) Records of any dispute between the employer and an eligible employee regarding designation of leave as FMLA leave, including any written statement from the employer or employee of the reasons for the designation and for the disagreement. |
Destroy after audit | 3 |
| U0611 | Federal Tax Reports | Destroy after audit | 4 |
| U0427 | Fee Assessment Forms File (Enrolled students) | Destroy five years after graduation or last date of attendance | 5 |
| U0429 | Final Examination Schedule (Duplicate) - (Faculty) | Destroy | 6 mos. |
| U0428 | Financial Aid Documents (Supporting documentation such as applications and other records used to make a determination of financial need) | Destroy five years after annual audit has been accepted by the federal Department of Education | 5 |
| U0237 | Financial Records (Subunit or office copies of financial records not subject to audit, such as vouchers, requisitions, purchase orders) | Destroy | 2 |
| U0612 | First Report of Injury or Illness File (Original) | Destroy files which do not result in a claim three years after report date. Those which result in a claim should be transferred to Workers' Claims (Compensation) File (U0631) | 3 |
| U0302 | First Report of Injury or Illness File (Duplicate) - (Record copy in Personnel Office) | Destroy | 2 |
| U1901 | Fiscal Records (Documents expenditure of funds for purchase of equipment supplies, and travel) Series contains: Purchase orders; travel vouchers; invoices for equipment purchases, etc.; purchase requisitions; and supporting documentation | Destroy after audit | 5 |
| U0430 | Foreign Student File (May include immigration and naturalization documents) - (NOTE: Some documents from institutions in other countries may be originals. The Records Custodian may want to return these to the student rather than destroy them.) | Destroy five years after graduation or last date of attendance | 5 |
| U0431 | Grade Information File - (Individual colleges, study areas) (NOTE: Permanent information may be found in Master Student File (U0401)) | Destroy one year after date distributed | 1 |
| U0432 | Grade Sheets (Original) - (May be known as class lists) | Retain in creating unit | P |
| U0433 | Grade Statistical Report (Record Copy) | Transfer one copy of each report to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U0434 | Graduation Authorization File | Destroy five years after graduation or last date of attendance | 5 |
| U0435 | Graduation Lists (Contains names of students completing degree requirements) | Transfer one copy of each list to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U1800 | Grant Proposal File - Funded Series contains: Documents pertaining to the application for, and receipt and administration of grant funds, including grant proposal and supporting documentation; applicable grant contract or agreement; budget information; receipt and disbursement records; bank statements; financial statements; and reports to granting agency | Destroy three years after submission of final financial report, closure of account, and audit, unless otherwise specified by the terms of the grant contract | 3 |
| U1801 | Grant Proposal File - Not Funded Series contains: Documents pertaining to the application for grant funds, including grant proposal and supporting documentation; suggested revisions; final proposal; and related correspondence | Destroy when administrative value has ceased | 3 |
| U0474 | Health and Fitness Record File Series contains: Questionnaires related to general health and specific health conditions; consent forms; release forms; screening results; and diagnostic reports | Destroy | 2 |
| U0209 | Imprest Cash - Bank Statements | Destroy after audit | 3 |
| U0210 | Imprest Cash - Cancelled Checks | Destroy after audit | 3 |
| U0211 | Imprest Cash - Deposit Slips | Destroy after audit | 3 |
| U0213 | Imprest Cash - Reconciliation Statements | Destroy after audit | 3 |
| U0214 | Imprest Cash - Summary of Disbursements/Requests for Reimbursements | Destroy after audit | 3 |
| U0212 | Imprest Cash Listings | Destroy after audit | 3 |
| U0215 | Imprest Cash Vouchers | Destroy after audit | 3 |
| U1300 | Incident Report (Duplicate) - (Original to president) | Destroy | 1 |
| U0704 | Insurance File - Building and Equipment (Includes insurance policies and support documents) | Destroy three years after expiration of agreement or policy, and audit | 3 |
| U0814 | Interaccount Bills (Record copy) | Destroy after audit | 3 |
| U0216 | Interaccount Bills - (Departmental copy) | Destroy | 3 |
| U0639 | Interim Affirmative Action Report (Documents that search to fill a position is proceeding and compliance with Affirmative Action procedures) Series contains: Title of position and department; utilization analysis and goals for the year, with regard to female and minority positions; number of the present workforce in the affected unit; number of applications received; list of the candidates under serious consideration; and the names of individuals who recommended the candidates under consideration | Destroy three years after search is concluded | 3 |
| U0121 | Interlibrary Loan Request File Series contains: Request form, which documents borrower's name; department; daytime phone number; classification; bibliographic citation of material requested; copyright warning | Destroy | 3 |
| U0218 | Inventory File - Vehicle (Departmental copy) | Destroy after disposing of vehicle | I |
| U0706 | Inventory File of State-Owned Vehicles | Destroy three years after disposal of vehicles, and audit | 3 |
| U0217 | Inventory Forms/Lists (Departmental copy) - (Original in Physical Plant or similar unit) | Destroy after disposal of equipment | I |
| U0705 | Inventory Forms/Lists Series contains: Name of unit; type of equipment; inventory number | Destroy when superseded | I |
| U1202 | Inventory Return File (Contains correspondence, invoices, credit memos) | Destroy after reimbursement has been received, or credit has been applied to subsequent orders | I |
| U1301 | Investigative File | Destroy five years after closure of case | 5 |
| U0219 | Invoices | Destroy | 3 |
| U0815 | Invoices - (Paid) | Destroy after audit | 3 |
| U0613 | Job Classification File | Retain in creating unit | P |
| U0614 | Job Description File (Original) | Retain in creating unit | P |
| U0303 | Job Description File (Duplicate) - (Original in Personnel Office) | Destroy when superseded | I |
| U0636 | Justification of Waiver Request File (Used to receive permission to waive recruitment process to hire an identified candidate) Series contains: Position title; name and e-mail address of person requesting waiver; name of the recommended candidate; sex and race identifiers; a listing of the procedures followed in the selection process; copy of the resume or curriculum vita of the identified candidate; the name and e-mail address of person submitting the request (can be different from the requester); and the name of the person who will receive the request | Destroy three years after position is filled | 3 |
| U0117 | Kentucky State Agency University Cooperative Publications (For state agency funded university research projects/programs for which publications are produced) Series contains: Published reports, regardless of format | Forward three copies to the Publications Section of KDLA's Public Records Division when issued. Transfer one copy to the University Archives for permanent retention. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U0816 | Lease Agreement File - (All types) (Record copy) | Destroy three years after expiration of lease, and audit | I |
| U0220 | Leases (Departmental copy) - (Record copy in business/accounting office) | Destroy three years after termination or expiration | I |
| U0615 | Leave Accrual Reports (Contains balances of sick and vacation leave) | Destroy five years after termination of employment with the University | 5 |
| U0304 | Leave Request Form (Office or unit copy) | Destroy | 1 |
| U0817 | Ledgers/Journals (Which provide a history of financial transactions, including investments) | Transfer to the University Archives when no longer needed administratively | P |
| U0102 | Legislative File (Pertaining to Kentucky General Assembly) - (May contain draft proposals, recommended legislation, correspondence) | Destroy | 5 |
| U0102 | Litigation File (C)
KRS 61.878 (1)((l)- Atty Client Priv/Work Product
Change Date: 6/12/2008 (V) Function and Use: This record series is used to document the litigation process that may arise from a university's being sued or suits brought by a university against others. This material is a working file maintained by the university's attorney. The suits may represent individuals or groups bringing suit for a number of reasons including discrimination, sexual harassment, program liability, personal injury, non-compliance with state and federal law, or others. These files also contain suits brought by the university against individuals and groups. The case file of record is maintained in the court of jurisdiction. Contents: Correspondence; Pleadings; Client File; Expenses; Attorney Notes; Medical Records; Government Agency Filings; Discovery [for example Interrogatories, Request for Production of Documents]; Deposition Transcripts; Evidence [for example photos, statements, etc.]. |
Destroy after all litigation has ceased. | 10 |
| U0707 | Maintenance File (Contains information on continuing maintenance of facilities) | Destroy three years after expiration of maintenance agreement or disposal of equipment | 3 |
| U0103 | Manuals, Operating - (Which document university activities, functions) - (Record copy) - (Duplicate in administrative units) | Retain one copy of each manual permanently. Destroy excess copies when no longer needed | P |
| U0437 | Medical Records (Individuals who do not enter whether accepted or rejected) | Destroy three years after application term | 3 |
| U0436 | Medical Records (Enrolled Students) | Destroy ten years after graduation or last date of attendance | 10 |
| U0104 | Minutes (Examples include: Board of Trustees, Board of Regents, faculty senate, faculty meetings, other policy making bodies) | Transfer one copy to the University Archives. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U0105 | Minutes - Tapes or Stenographic Notes - (From which written minutes are prepared) | Transfer to the University Archives after minutes have been created and approved by appropriate authority | P |
| U0438 | Name Change Authorization File | Destroy five years after graduation or last date of attendance | 5 |
| U0106 | Newspaper Clipping File | Destroy when no longer useful | I |
| U0616 | Non-Injury Accident Report Series contains: Specific information about the type of accident, names of individuals involved, and insurance coverage | Destroy | 3 |
| U0305 | Notification of Personnel Action File (All copies other than record copy retained in the Personnel Office) Series contains: Date of action; name of employee; type of action; date approved | Destroy three years after termination of employee | 3 |
| U1404 | Official Receipt (Used for all types of fees) | Destroy after audit | 3 |
| U0901 | Orders - Purchase and Related Documents (Record copy) | Destroy after audit | 3 |
| U0221 | Orders - Purchase and Related Documents (Departmental copy) - (Original in business/accounting office) | Destroy | 3 |
| U0222 | Orders - Work (Departmental copy) - (Original in Physical Plant, maintenance or similar unit) | Destroy when maintenance approved and completed | I |
| U1303 | Parking Permit File (Includes application) | Destroy after audit | 3 |
| U0439 | Pass/Fail Request File | Destroy one year after date submitted | 1 |
| U1700 | Patient File (Emergency psychiatric services) Series contains: Admitting forms; referral forms; consent forms; data sheets; yellow face sheets; psychiatrist's notes; nurses notes; laboratory test results; hospital transfer forms; prescription information; clinical assessment for holding bed unit; holding bed unit nursing assessment; treatment notes; minimum data sheets; copies of 72-hour holding forms; initial intake information; and discharge summary | Destroy five years after last date of service, or in the case of a minor, three years after patient reaches the age of majority, whichever is the longer period | 5 |
| U0708 | Payroll File - Hourly Employees | Destroy after audit | 3 |
| U0617 | Payroll Source Document File (Contains documentation to support individual pay deductions) | Destroy | 4 |
| U0618 | Payroll Vouchers | Destroy after audit | 3 |
| U0619 | Performance Evaluations (Faculty and staff) - (If filed separate from the Master Personnel File) | Destroy five years after termination of employment with the university | 5 |
| U0306 | Personnel Applications and Resumes File (For persons not hired) - (Legal retention requirement two years per 29 CFR 1602.48) Series contains: Application for employment and resumes | Destroy | 2 |
| U0620 | Personnel File (Master) - (Faculty and Staff) (Contains, performance evaluations, requests for tenure, personnel actions, etc.) | Transfer to the university archives upon termination of employment or retain in the unit | P |
| U0307 | Personnel Policies and Procedures (Duplicate) - (Record copy in Personnel Office) | Destroy when superseded | I |
| U0621 | Personnel Policies and Procedures (Original) - (Includes hiring policies, tenure/promotion, disciplinary and performance evaluation procedures) | Retain one copy of each revision in the Unit. Destroy excess copies at time of re-issue | P |
| U0309 | Personnel Records (Subunit or office copy) | Destroy two years after termination of employment in office or unit | 2 |
| U0308 | Personnel Records - Departmental Copy - Faculty and Staff (Master file in Personnel Office) | Destroy five years after termination of employment in office or unit | I |
| U0468 | Personnel Records - Students Series contains: Applications; evaluations; and termination documents completed by student employees and their supervisors | Destroy five years after termination of employment | 5 |
| U0223 | Photocopy Machine User Documentation | Destroy | 1 |
| U0107 | Photographic File (Photographs which document university activities) | Transfer to the University Archives | P |
| U0441 | Placement Scores (Individuals who do not enter whether accepted or rejected) | Destroy three years after application term | 3 |
| U0440 | Placement Scores (Enrolled students) | Destroy five years after graduation or last date of attendance | 5 |
| U1304 | Policy/Procedure File | Retain one copy of each revision permanently. Destroy balance of file when obsolete | P |
| U0633 | Position Control Form Series contains: Name of position; salary; department in which position is located; name and e-mail address of individual submitting the form; and name and title of person authorizing the position | Destroy after audit. NOTE: Destroy unit copies when superseded | 4 |
| U0641 | Preferred Candidate Identified Form (Documents the selection of a candidate to fill a vacant position) Series contains: Position title; requisition number; name and social security number of the candidate; recommended salary; e-mail address of the person sending the report; and the name and e-mail address of the person receiving the report | Destroy three years after search is concluded | 3 |
| U0108 | Press Releases (Record copy) | Retain one copy of each release in the University Archives. Destroy excess copies when no longer useful | P |
| U1900 | Project Management Records Series contains: Project plans, policies, and procedures; minutes, agendas, presentation materials; project status reports; and outreach documents | Destroy | 5 |
| U1602 | Property Appraisal File (Acquisition or sale of property) | Destroy five years after final acquisition, and audit | I |
| U1603 | Property Files (Property acquired on behalf of the University) | Transfer to the University Archives when no longer needed administratively | P |
| U0109 | Publications (Record copy of university-related functions/activities, including catalogs, and commencement programs) | Transfer one copy of each publication to the University Archives. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U0110 | Racial/Ethnic/Gender Statistical Reports (Reports regarding compliance with federal/state civil rights regulations and equal employment laws) | Transfer one copy of each report to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U0442 | Readmission File - (Individuals who do not enter whether accepted or rejected) | Destroy one year after application term | 1 |
| U0902 | Receiving/Shipping Reports | Destroy after audit | 3 |
| U0818 | Reconciliation Documents | Destroy after audit | 3 |
| U0443 | Recruitment Materials (For a specific term) - (Veteran's Administration requires series be retained for three years) | Destroy three years after application term, graduation, or last date of attendance, whichever is appropriate. NOTE: Reports, statistical information, if created, should be transferred to the University Archives for permanent retention | 3 |
| U0111 | Reference/Informational Materials (Materials not needed to conduct current business) | Destroy when no longer useful | I |
| U0819 | Refund Authorizations | Destroy after audit | 3 |
| U0444 | Registration Forms | Destroy one year after date submitted | 1 |
| U0820 | Reimbursement Forms File | Destroy after audit | 3 |
| U0821 | Report of Sales Tax - Monthly (Original) - (Duplicate in appropriate administrative unit) | Destroy after audit | 3 |
| U0230 | Reports - Annual Financial (Record copy) | Transfer one copy to the University Archives. Destroy excess copies when no longer useful | P |
| U0112 | Reports - Annual or Summary (Record copy) | Transfer one copy to the University Archives. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U0229 | Reports - Audit (Record copy) - (Internal audits and Formal audits completed by independent auditors or the Auditor of Public Accounts) | Transfer one copy to the University Archives. Retain one copy in the Business or Accounting Office. Destroy excess copies when no longer useful | P |
| U0113 | Reports - Periodic Activity (Serve as support documents for annual or summary reports) | Destroy when annual or summary reports are accepted, and when no longer useful to the creating unit. NOTE: Retain if annual or summary reports are not created | I |
| U0231 | Reports - Receiving (Duplicate) - (Original in business/accounting office) | Destroy | 1 |
| U0114 | Reports/Special Studies (Record copy) | Transfer one copy to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U1405 | Request and Authorization for Refund (Duplicate) - (Original to State Treasurer) | Destroy after audit | 3 |
| U1406 | Request for Authorization of Honorarium | Destroy after audit | 3 |
| U0622 | Request for Payroll Refund File (Duplicate) - (Original in Kentucky State Treasurer's Office) | Destroy after audit | 3 |
| U0623 | Request for Tuition Waiver File (For employees who attend classes) | Destroy after audit | 3 |
| U0314 | Request to Interview Candidate (Departmental or unit copy) - (Record copy is maintained by the Affirmative Action/Employee Relations or similar unit) Series contains: Position title; requisition number; position control number; name of each candidate being considered; ethnicity of each candidate; gender of each candidate; and the name and e-mail address of the person submitting the form | Destroy | 2 |
| U0638 | Request to Interview Candidate (Documents that the search committee has received permission to interview certain candidates for specific positions) Series contains: Position title; requisition number; position control number; name of each candidate being considered; ethnicity of each candidate; gender of each candidate; and the name and e-mail address of the person submitting the form | Destroy | 3 |
| U0445 | Requests/Disclosures of Personally Identifiable Information File | Destroy when affected record is destroyed | I |
| U0903 | Requisitions (Purchase, forms, supplies, all types) - (Record copy) | Destroy after audit | 3 |
| U0224 | Requisitions - Central Stores | Destroy | 3 |
| U0226 | Requisitions - Purchase (Departmental copy) - (Original in business/accounting office) | Destroy | 3 |
| U0228 | Requisitions - Telephone (Departmental copy) - (Original in business/accounting office) | Destroy | 1 |
| U0225 | Requisitions for Forms (Departmental copy) - (Original in business/accounting office) | Destroy | 3 |
| U0227 | Requisitions for Supplies | Destroy | 2 |
| U0120 | Research Data (Contains data which are the result of activities of a research project) Series contains: Technical data; computer software; laboratory worksheets; memoranda; notes or exact copies that are the result of original observations and activities of a study; case history records; and study protocols (synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, plants, animals and spectroscopic data.) | Destroy five years after submission or publication of the final project report for which the data were collected, whichever is longer, and audit. NOTE: If retention requirements specified in funding agency's regulations are longer, the agency requirements will apply. Also, at the discretion of the university, some data may be retained longer for use in subsequent projects | 5 |
| U1803 | Research Files - Animal Subjects Series contains: Documents pertaining to approval of the use of animal subjects of research, including research proposals, correspondence and supporting documentation; Animal Subject Committee minutes and decisions; and appointment letters | Destroy three years after completion of research, unless otherwise specified by the terms of the grant contract | 3 |
| U1802 | Research Files - Human Subjects Series contains: Documents pertaining to university approval of the use of human subjects of research, including research proposals, sample consent documents, correspondence regarding revisions, and reports of investigator(s) | Destroy three years after completion of research, unless otherwise specified by the terms of the grant contract | 3 |
| U0115 | Research Projects (Final Report) - (Record copy) Series contains: Summaries and analyses of data created during research projects (generally in the form of a report or publication) | Transfer one copy to the University Archives. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U0446 | Residency Classification Forms File | Destroy five years after graduation or last date of attendance | 5 |
| U0624 | Retirement Reports (Provides status of accounts such as amounts paid in, years of service, to substantiate retirement claims) | Retain in creating unit | P |
| U1407 | Returned Check Notice | Destroy after audit | 3 |
| U0822 | Salary Distribution File (Original) - (Duplicate in Payroll) | Destroy after audit | 3 |
| U0625 | Salary Distribution File (Duplicate) - (Original in Accounts) | Destroy | 2 |
| U0637 | Search Committee Form (Documents that affirmative action policies were followed during search process) Series contains: Position number; requisition number; name and e-mail address of the interviewer or search committee chairperson; name of the department conducting the search; names of proposed members of the committee; ethnicity and gender of proposed committee members | Destroy three years after search is concluded | 3 |
| U1305 | Shift Change File | Destroy after assignment is completed | I |
| U0447 | Social Security Certification File | Destroy one year after certification | 1 |
| U0626 | Social Security Reports | Destroy after audit | 3 |
| U1203 | Special Book Order File | Destroy after book is received and sold | I |
| U0116 | Speeches/Papers (Presented by President, faculty, administrative heads when written/recorded as a function or in behalf of the university) | Transfer one copy to the University Archives. Retain one copy in the creating unit. Destroy excess copies when no longer useful | P |
| U1000 | Stock Status List (Periodic report of stock on hand and its value) | Destroy after audit | 3 |
| U1204 | Student Charge File | Destroy | 1 |
| U0448 | Student Class Schedules | Destroy one year after graduation or last date of attendance | 1 |
| U0476 | Student Credential File (Provides documentation for use by potential employers) Series contains: Application, including release form; resumes; transcripts; reference letters; national test scores; state's teaching internship eligibility form; co-op paperwork, including coordinator's notes, learning plan, final work report narrative, and address and housing report; philosophy of teaching statements; generic cover letters; certificates or licenses; medical release forms; credentials mailing record; billing statements; correspondence requesting access to file; confidential reference form (access denied to student); record of copies distributed to potential employers; cooperating teacher reference form; supervising teacher reference form; and similar documentation received from other universities attended | Destroy five years after last date of activity | 5 |
| U0475 | Student Disability Services File (Documents rendering of services and provisions for special accommodations) Series contains: Application for service; disability disclosure form; release of information forms; documentation of disability; accommodation letters; referral information; medical information and correspondence from health professionals; copies of admissions forms; interview notes; and related correspondence | Destroy five years after graduation, or last date of attendance | 5 |
| U0451 | Student File (Masters Degree Program) - (Declined and denied) | Destroy | 2 |
| U0449 | Student File - (Active) (College or department copy) - (Includes Continuing Education, Foreign Student Files, Associate, Undergraduate, Masters) | Transfer permanent information to Master Student Record (U0401). Destroy remainder five years after graduation or last date of attendance | 5 |
| U0450 | Student File - (Inactive) - (College or department copy) (Includes Continuing Education, Foreign Student Files, Associate, Undergraduate, Masters) | Transfer permanent information to Master Student Record (U0401). Destroy remainder five years after graduation or last date of attendance | 5 |
| U0452 | Student Government Files (Contains by-laws, minutes, correspondence, agendas, etc.) | Transfer to the University Archives | P |
| U0469 | Student Learning Contract File (Internship agreements) Series contains: Student information, such as college, major, social security number, address; hours claimed for credit; method for assessing grades; beginning and ending dates of internship; faculty information; internship site information; description (duties) of internship; learning objectives; faculty assignment descriptions; dates and times for reflection and evaluation of student and internship experience; student signature; faculty signature; department chair signature; and Experiential Education signature | Destroy five years after completion of internship period | 5 |
| U1500 | Student Loan Documentation File (Statement of rights and responsibilities, postponements, repayment agreement and history) - (Retention is established under the terms of 34 CFR 674.19) Series contains: Repayment history (date and amount of each repayment over the life of the loan; amount of each repayment credited to principal, interest, collection costs, and penalties/late charges; date, nature and result of each contact with the borrower in the collection of an overdue loan); application; correspondence | Destroy three years after repayment, cancellation, or assignment to the Federal Department of Education. NOTE: The Promissory note should be returned to student upon repayment | 3 |
| U0453 | Student Requests for Nondisclosure of Directory Information File (that University not provide access to directory information) | Destroy one year after termination of request | 1 |
| U0454 | Student Waivers for Rights of Access to See Letters of Recommendation for Admission File | Destroy when affected record is destroyed. NOTE: Students who revoke their waivers may not see letters of recommendation submitted during the time waivers were in force, per Family Educational Rights and Privacy Act | I |
| U0455 | Student Worker Time Sheets | Destroy after audit | 3 |
| U0456 | Student's Written Consent for Records Disclosure File | Destroy upon termination of consent or destruction of affected record | I |
| U0823 | Subsidiary Accounts File (Includes income and expenditures) | Destroy after audit | 3 |
| U0640 | Summary of Affirmative Action Process (Documents efforts to follow Affirmative Action commitments) Series contains: Name of candidate; candidate's race and gender; position title; salary; appointment period; tenure status; description of the search process; results of the search and selection process (the number of applicants broken down by race and gender); names of committee members recommending the preferred candidate; and the name of the person submitting the form | Destroy three years after search is concluded | 3 |
| U0904 | Surplus Property File (Sale documents) | Destroy after audit | 3 |
| U1904 | Systems Record File (Documents the process involved to achieve and verify year 2000 readiness) Series contains: System analyses; project authorizations; problem logs; requests for proposals; contracts; testing guidelines; testing criteria; procedures used for each test; test results; signoff forms; verification guidelines; business continuity plans; and rollover plans | Destroy | 5 |
| U0457 | Teacher Certifications File | Destroy one year after certification period | 1 |
| U0905 | Telephone Bills/Printouts of Charges | Destroy after audit | 3 |
| U0232 | Telephone Listing of Charges | Destroy when obsolete | I |
| U0627 | Tenure/Track Applications - Not Accepted (Record copy) - (For individuals not currently on staff) - (Legal retention requirement two years per 29 CFR 1602.48) Series contains: Applications and resumes, plus any other information deemed necessary to evaluate an individual's appropriateness for a tenured position | Destroy | 2 |
| U0310 | Tenure/Track Applications - Not Accepted (For individuals not currently on staff) - (Legal retention requirement 2 years per 29 CFR 1602.48) (Departmental copy) | Destroy. NOTE: If complaint is filed, series must be retained until final disposition | 2 |
| U0458 | Test Scores (Enrolled Students) | Destroy five years after graduation or last date of attendance | 5 |
| U1205 | Textbook Information File (Includes prices, course number, edition, author, title, publisher) | Destroy | 3 |
| U1206 | Textbook Order Requisition File (Duplicate) - (Original in Purchasing or similar unit) | Destroy after audit | 3 |
| U0118 | Theses/Dissertations (Record copy) | Transfer one copy to the University Archives. Destroy excess copies when no longer needed administratively | P |
| U0311 | Time and Attendance Report (Unit or office copy) - (Record copy in Personnel Office) | Destroy | 3 |
| U0628 | Time and Attendance Reports (Record copy) | Destroy after audit | 3 |
| U0709 | Time Cards | Destroy after audit | 3 |
| U1207 | Total Daily Receipts File (Includes cash register tapes, refund slips, overring charges, cash transmittal form, daily register receipts) | Destroy after audit | 3 |
| U1306 | Traffic Ticket File | Destroy after ticket has been paid, and audit | I |
| U0459 | Transcript Request File (Student) | Destroy one year after date submitted | 1 |
| U0460 | Transcripts (Enrolled students) - (Copies from other high schools/colleges) | Destroy five years after graduation or last date of attendance. NOTE: Some documents from other institutions in other countries may be originals. The records custodian may want to return these to the student rather than destroy them | 5 |
| U0461 | Transcripts (Individuals who do not enter whether accepted or rejected) - (Copies from other high schools/colleges) | Destroy three years after application term. NOTE: Some documents from other institutions in other countries may be originals. The records custodian may want to return these to the student rather than destroy them | 3 |
| U0462 | Transfer Credit Evaluations | Destroy five years after graduation or last date of attendance | 5 |
| U0233 | Travel Authorizations (Departmental copy) | Destroy | 3 |
| U0824 | Travel Requests - In State and Out of State (Duplicate in administrative units) | Destroy after audit | 3 |
| U0234 | Travel Requests - In-State or Out-of-State (Departmental copy) | Destroy | 3 |
| U0235 | Travel Vouchers (Departmental copy) - (Record copy in business/accounting office) | Destroy | 3 |
| U0463 | Tuition and Fee Change File | Destroy five years after graduation or last date of attendance | 5 |
| U1307 | Uniform Accident Report | Destroy | 3 |
| U1308 | Uniform Citation | Destroy | 3 |
| U1309 | Uniform Offense Report (Includes crimes against persons or property) | Destroy | 3 |
| U0629 | Vacancy Reporting Form (Original) - (Duplicate in respective department or administrative unit) Series contains: The name of the department where vacancy has occurred, position title, salary, respective department account number. May also contain a brief description of qualifications needed to fill position. | Destroy three years after vacancy is filled | 3 |
| U0312 | Vacancy Reporting Form (Duplicate) - (Original in Personnel Office) - (Legal retention requirement three years per 29 CFR 1602.48) Series contains: Name of the department where vacancy has occurred; position title; salary range; respective department account number. May also contain a brief description of qualifications needed to fill position | Destroy | 3 |
| U0632 | Vacant Faculty Position Retention Form (Used to justify retention of faculty positions) Series contains: Name of unit; department; date of position vacancy; rank; salary requirements; a statement on the impact of the loss of the position; anticipated problems, if the position is lost; enrollment information; trends in the number of majors and graduates affected by the position; teaching load figures; affects on accreditation, if the position is lost; justification for continuing position; and ways in which the position enhances the university academic excellence and affirmative action goals; name of person submitting request; date submitted; approval date and signature | Destroy after position is approved, filled or denied, and audit | 2 |
| U0906 | Vehicle Inventory File (Original) | Destroy three years after vehicles are disposed of, and audit | I |
| U0907 | Vehicle Maintenance File | Destroy three years after vehicles are disposed of, and audit | I |
| U1310 | Vehicle Usage Schedule | Destroy | 90 days |
| U0908 | Vendor Lists | Maintain current file, destroy non-current lists when obsolete | I |
| U0464 | Veteran's Administration Certification File (NOTE: Retention meets VA requirements for compliance with 85/15% ratio of non-veteran/veteran students for each course) | Destroy three years after graduation or last date of attendance | 3 |
| U0119 | Videotape File (Videotapes which document university activities) | Transfer master to the University Archives. Destroy excess copies when no longer needed administratively, or erase and reuse | P |
| U0236 | Vouchers (Includes departmental authorizations, departmental invoices, pay-in and journal) - (Record copy in business office) | Destroy | 3 |
| U0825 | Vouchers (Duplicate in administrative units) - (journal, travel, pay-In, all types) | Destroy after audit | |
| U0630 | W4/K4 File - (Students) (Tax withholding and exemption information) | Destroy five years after graduation or last date of attendance | 5 |
| U1100 | Warehouse Inventory File | Destroy | 2 |
| U0465 | Withdrawal Authorization File | Destroy two years after graduation or last date of attendance | 2 |
| U0826 | Withdrawal Request File - Agency Funds | Destroy after audit | 3 |
| U0710 | Work Orders (Details requests for repairs on equipment/buildings) | Destroy after audit | 3 |
| U1311 | Work Schedules | Destroy after new schedule is prepared | I |
| U1101 | Work Schedules | Destroy | 1 |
| U0466 | Work Study Files | Destroy five years after graduation or last date of attendance | 5 |
| U0631 | Workers' Claims (Compensation) File - Duplicate (Record copy in the Department of Workers' Claims) - (Results from work-related injury/illness) | Destroy three years after case closure | 3 |
|
Records Management Procedures | University Archives | EKU Libraries | EKU Send comments and corrections to archive@acs.eku.edu
|
|||