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|Codes:||Retention in Office:||00 = years, U = useful life in office/period of reference value|
|Retention:||00 = years|
|Disposition:||Archives = University Archives, CAR = Center for Adventist Research, Destroy = discard/shred/erase, Review = review for disposition|
|Record Series||Retention in Office of Origin||Final Disposition||Comments|
|Academic Records: These include narrative evaluations, competency assessments, etc.||Permanent|
|Accident and Injury Report Records||6||Destroy|
|Accounting Statements, monthly||1||Destroy||One year plus current fiscal year.|
|Accounts Payable Invoices||6||Destroy|
|Accreditation Records: These include not only the final report but all of the files and support materials generated in the accreditation process.||Useful Life||Archives||Note: Send two copies of the final report and all of the files and support materials generated in the accreditation process|
|Advertising||Useful Life||2 copies to Archives|
|Affirmative Action Program Records Documentation of affirmative action plans and programs. It includes also support documentation and correspondence.||
|Maintain only final plans, reports, and substantive correspondence for the Archives.|
|Agendas, chair of committee||5||Archives|
|Agendas, committee members||Useful Life||Destroy||30 days after approval of minutes.|
|Alumni Directories||5||Archives||2 copies to Archives.|
|Alumni Organization Records||5||Review|
|Animal Subject Protection Records||5||Permanent|
|Annual Reports: These reports document yearly activities and accomplishments of programs, departments, and schools; growth, problems, and solutions, projections for the future, etc.||5||Archives||
Office of origin: Send one copy with other Subject/ Topical/ Reference Files.Other offices: Retain for period of reference only.
|From date of application.|
|Articles of Incorporation, Bylaws||Useful Life||Permanent|
|AU Bulletins||Permanent||Note: Send 2 copies to the Archives when first produced.|
|AU Research Statistics and Reports||5||Archives|
Audio-Visual Materials: This includes e.g. photos of department staff, events, programs, etc.DOES NOT include audio-visual materials prepared for course instruction or research unless of a unique nature.
|Audit Reports||6||Permanent||Auditor’s management letters.|
Awards, Honors, Fellowships, ScholarshipsStudent, faculty, and department.
|5||Archives||Included in Subject/Topical/Reference Files.|
|Ballots-Committee Actions||---||Destroy||Destroy after vote has been recorded.|
|Ballots-Election to Committees||1||Destroy|
|Bank Statements and Reconciliations||6||Destroy|
|Blank Forms||Useful Life||Destroy||Retain for 30 days after obsolescence.|
|Board of Trustees Meetings||Useful Life||Permanent||Closed for 25 years, 5 in office and 30 in Archives.|
|Budget Printout: This includes work sheets, memos, notes, and adjusted budget printouts.||1||Destroy||Destroy at the end of the fiscal year involved.|
|Budgets||4||Destroy||Note: See Ledgers, General for yearly budget.|
|Building Records||Useful Life +5||Destroy|
|Buildings and Facilities Data Records: This series provides a composite record of background information on buildings and facilities. Records include building surveys and audits, physical description of buildings, construction project reports, equipment inventories, and other related data.||Useful Life||Review|
Bulletins, Posters, and Notes:Information materials acquired for the purpose of informing University personnel of events and activities.
Office of origin: Send 2 copies with other Subject/ Topical/ Reference Files.Other offices: Retain for period of reference only.
|Campus Master Plan Records||Useful Life||Archives|
Campus Ministries RecordsThese consist primarily of topical files (week of prayer, vespers, and other spiritual programs), as well as files on Student Missionaries, Chapel reports, etc.
|Useful Life||Review||Note: Of special importance to the Archives/CAR are the records about Student Missionary activities, e.g. annual list of attendees, their correspondence, reports, etc.|
|Capital Asset Records||Useful Life +5||Permanent|
|Cash Operations Deposit Receipts/Tickets||1||Destroy||Retain for current fiscal year only.|
|Centers and Institutes Records||Useful Life||Archives||The recommended time of Retention in Office of Origin is 5 years.|
|Change of Grade Forms, update documents||Permanent||---|
|Check Sheets, degree audit records||5||Destroy||After graduation or date of last attendance.|
|Checks, General (canceled)||6||Destroy|
|Checks, Payroll (canceled)||4||Destroy|
|Class Lists, original grade sheets||Permanent|
|Class Lists, teachers||2||Destroy|
|Closing Reports||Useful Life||Archives||Statistical in nature|
|Commencement Program||Permanent||Note: Send 2 copies to the Archives when first produced.|
|Compensation Claim Records||Useful Life||Permanent|
|Compensation Committee||Useful Life||Permanent||Closed permanently|
Construction Project Administration RecordsThese include documents of all phases of the administration of construction and remodeling/renovation projects such as: project descriptions, proposals, bid requests, contracts, purchase orders, facilities use records, design proposals, meeting minutes, work forms, project programs, policy and legal discussion documents, check lists, specification books, videotapes, photographs, and related correspondence, including equal employment opportunity records pertaining to contractors and subcontractors.
|Useful Life||Review||Review 5 years after project account closing|
|Construction Project Drawings, Maps, and Plans||Useful Life||Archives||Note: Send two sets of the original drawings and maps, or best quality copies of the final version as built.|
Construction Project Planning and Proposal RecordsThese are for all new constructions and remodeling/ renovation work of existing buildings and facilities. Records include feasibility and needs studies, space planning documents, artist’s sketches, architects’ proposals, models, plans and proposals, and related correspondence.
|10||Review||Note: A copy of final studies, plans, and reports should go to the Archives for Permanent.|
|Contract Forms, teaching||6||Permanent|
|Corporate Papers||Useful Life||Permanent|
|Correspondence, non-essential: This includes incoming and outgoing correspondence of all offices/entities of the University.||5||Destroy||Non-essential correspondence addresses routine matters, such as travel arrangements, scheduling, and acknowledgements.|
|Correspondence, permanent: This includes correspondence received and sent; applies to all offices/entities of the University.||5||Permanent||Permanent correspondence refers to that pertaining to the business and operations of the University.|
|Counseling and Testing Client Files, Students and their Spouses: These are highly confidential and sealed files of the Counseling and Testing Center. They are kept sealed at the Center. These files do not include ACT, GRE, MCAT, and other testing scores and materials.||Useful Life + 7||Destroy|
|Course Catalogs and Bulletins||5||Archives||Office of origin: Send 2 copies with other Subject/Topical/Reference Files. Other offices: Retain for period of reference only.|
|Course Evaluations/Students’ Teacher Evaluations||5||5||Destroy|
|Course Handout : Original creation of faculty members only.||5||Archives||One set to the Archives.|
|Course Material Reproduced or Prepared by the Department or Teacher||5||Archives||One set to the Archives.|
|Course Syllabi||5||Archives||One set to the Archives.|
|Data Input and Verification Records; See the Andrews University Data Entry Standards Manual for specific instructions concerning this record series.||Useful Life||Review|
|Degree Audit Records: See: Check Sheets|
|Departmental Budget Files||Useful Life||Destroy||The recommended time of Retention in Office is 1 year.|
|Departmental Meetings, minutes; See Minutes|
|Deposit Books and Tickets||2||Destroy|
|Disability Records||Useful Life||Permanent|
|Dissertations, Masters Theses, Projects: These materials consist of the accepted dissertation, thesis, or project that has been completed in partial fulfillment of degree requirements. Materials also included here are final approval papers and project supplemental materials such as music scores, portfolios, and documentation of models.||5||Permanent||After graduation. After completion of the degree, send 2 bound copies of each dissertation or thesis to the James White Library. This also applies to Honors Projects.|
Drafts and Informal NotesDrafts or preliminary versions of memos, letters, reports, worksheets; working papers, informal notes, announcements of meetings, routing slips, letters and fax cover sheets; letters and memos scheduling appointments, directives and instructions received, telephone and electronic messages, used in preparation of recorded information, not documenting policy.
|Useful Life||Destroy||Destroy as soon as determined by office to have no more value.|
|Duplicate Copies of Records: Copies of documents created for administrative reference, information, or distribution only.||Useful Life||Destroy||Destroy as soon as determined by office to have no more value.|
|Electronic Forms and Media: Office copies of computer forms, disks, tapes, cards, CD’s, etc. used as preliminary input or temporary storage or output control, the result of which are produced or otherwise available, in paper reports, computer output, microfiche or online.||Useful Life||Review||Note: Those which have historical or long-range administrative value should go to the Archives.|
Electronic MailE-mail messages and their attachments regarding University business, sent or received via the University network, are considered University records; thus, they are subject to Andrews University records management policies and procedures. Most e-mail may fall into Record Series as listed in the Retention Schedules: agendas, informal notes/announcements, minutes, correspondence, etc.
|Useful Life||Review||Note: For e-mail relating to University business, before deleting the electronic copy, prepare a hard copy of the email messages and file it appropriately.|
|Employee Manual||Useful Life||Permanent||Note: Send 2 copies to the Archives when first produced.|
Employee Placement and Acknowledgment FormsThis form, signed by the employee, is a record that he/she recognizes the confidential nature of University information, including student records. It constitutes an agreement to comply with University policies and procedures regarding access, use, and security. It holds the employee responsible for any violation.
|U +2||Destroy||Retain 2 years after employment is terminated.|
|Employee’s Earning Records||Useful Life||Permanent|
Environmental Health and Safety RecordsRecords include Material Safety Data Sheets (MSDS), hazardous material purchases and manifests documentation, listings of generated waste, hazardous materials incident reports, certificates of destruction, and related correspondence.
|Useful Life||Permanent||Note: Asbestos and Lead Control Records are filed as topical record. Environmental Health and Safety Training Records are filed with the employees personnel records.|
|Equipment Inventory Lists||2||Destroy||Or after superseded.|
Equipment RecordsThese provide a record of equipment purchased and/or maintained by the office. It includes invoices, requisitions or purchase orders, vendor information, instruction manuals, maintenance agreements/contracts, warranties, repair and service documentation, inventories, and related correspondence.
|Useful Life+5||Destroy||Note: Maintain records five years after final disposition of item.|
Facilities Management/Maintenance RecordsIncludes records of routine management, maintenance, and repair of buildings/facilities, grounds, and mechanical systems. They also cover such areas as: security (security logs and reports), space planning, parking management, disabilities access documentation, as well as supply, equipment and key inventory management.
|Facilities Permit and Approval Records||Useful Life||Permanent|
Faculty Personnel RecordsThese files document individual faculty academic work history, including all academic ranks.
Useful Life +6
|Permanent||From date of termination or retirement|
|Faculty Research and Publication Reports||Useful Life||5||Confer with Associate Dean for Research|
|Faculty Research Files||5||Permanent|
|Faculty Research Grant Proposals||5||Permanent|
|Faculty Research Grant Reports||Useful Life||Permanent|
|Faculty Search Records||
Useful Life +3
|Note: Copies of successful candidate applications, resumes, and vitae are placed in their faculty personnel files.|
Faculty/Staff FilesSee Personal Professional Papers and Property, also Rank and Continuous Appointment Portfolio Application
|Personal office files|
|Faculty/Staff Files, current||Useful Life||After retirement or separation of an individual from the University, his/her folder must be filed with the Record Series: Faculty/Staff Files, former faculty/staff.|
|Faculty/Staff Files, former faculty/staff||5||Permanent|
Family and Medical Leave RecordsThese include sick leave and vacation leave requests.
|Family Educational Rights and Privacy Act Data/Documents. When applicable, a copy of the records in these folders is placed in the folder of the student. Whenever the recommended retention period is the life of the affected record, the retention period of the FERPA document is the same as that of the student records 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 FERPA document pertains is permanent, the FERPA document should also be permanently retained.|
FERPA DocumentsNote: 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. These records are part of the student’s educational records; therefore, they must be retained as long as the institution retains the educational records to which they refer.
|Financial Aid Records: These include documents about loans and grants.||5||Destroy||After graduation or date of last attendance|
|Financial Management Committee||Useful Life||Permanent||Closed permanently|
|Financial Statements, Audited||5||Permanent|
|Financial Statements, Interim||2||Destroy|
Foreign Student FilesSee International Students
|Graduate Student Files, application rejected||5||Destroy|
|Graduate Student Files, application referred to other programs||5||Destroy|
|Graduate Student Files, graduated||5||Permanent||After graduation.|
|Graduate Student Files, withdrawn/terminated||5||Permanent||After termination.|
|Graduate Student Records, attending: These student folders include documents such as acceptance letters, advanced placement records, applications for admission, relevant correspondence, entrance examination reports (GRE, GMAT), letters and forms of recommendations, placement scores, readmission forms, test scores, transcripts (other colleges, and high school)||Useful Life||Destroy||
Note: After matriculation, these records will be transferred to Academic Records. There they will be kept until five years after graduation or date of last attendance. Final disposition is D.Note: Regarding letters of recommendation follow AACRAO guidelines.
|Graduate Student Records, extension courses||5||Destroy|
|Graduate Student Records, non-entering: These student folders include documents such as acceptance letters, advanced placement records, applications for admission, relevant correspondences, entrance examination reports (GRE, GMAT), letters and forms of recommendation, placement scores, readmission forms, test scores, transcripts (other colleges, and high school)||Useful Life||Destroy||
5 years after application term
Note: Regarding letters of recommendation follow AACRAO guidelines.
Grant Resource OrganizationsSuch as: AUCO, GRC
|Grievances and Arbitration||Useful Life||Permanent||Closed permanently|
Health Insurance RecordsContracts and Relationships.
|Honor Societies: Many activities fall into a Record Series as listed in the Retention Schedule: agendas, informal notes/announcements, minutes, correspondence, etc. and should be treated accordingly.||5||Review||Note: J. N. Andrews Honors Scholar projects are sent to James White Library and become part of the permanent JWL collection.|
|Human Subject Review Board||5||Permanent|
|Institutes See Centers and Institutes|
|Instructional and Reference Materials||Useful Life||Review|
|Insurance Policies||Useful Life +6||Permanent|
|Interdepartmental Purchase Orders/Service Orders||2||Destroy|
International Student FilesI-20 and other immigration matters, etc
|5||Destroy||After graduation or date of last attendance.|
|Ledgers, Accounts Payable||10||Destroy|
|Ledgers, Accounts Receivable||10||Destroy|
|Ledgers, General||10||Permanent||Check with ST|
Legal Advice RecordsRecords which document advice, opinions, and background on legal concerns that may impact programs or functions.
|Useful Life||Review||The recommended time of Retention in Office is 5 years.|
Legal Proceeding and Investigation RecordsRecords relating to legal proceedings and investigations, purpose of litigation and/or court proceedings.
|Useful Life||Permanent||After a case is closed.|
Library MaterialReference information, book order material, and items acquired for individual use or exhibition.
|Useful Life||Destroy||Destroy as soon as determined to have no more value.|
Lists, Indices, SummariesUsed for internal administrative convenience or information.
|2||Review||Note: Office of origin may keep one copy for the Archives.|
|Manuals, Handbooks, Procedures, and Policies||Useful Life||Review||Office of Origin should consult with the Archives about retention|
Medical Insurance RecordsThese include statements and premium payments, etc.
|Minutes, committees: This includes minutes from all committees and sub-committees, boards and other decision-making bodies in all offices/entities of the University.||5||Permanent||Committee chair should retain one record copy for the Archives. Other members should retain a copy during the length of their committee tenure, and then destroy.|
Miscellaneous Special One-time Projects:Records related to special office projects that are not generally part of an office’s retention schedule: exhibitions, promotion/alumni campaigns, phonathon, etc.
|5||Review||Records about significant major exhibitions, conferences, and guest lectures should be transferred to the Archives.|
|Name Change Authorization||5||Destroy||After graduation or date of last attendance.|
|Non-AU Sponsored Project Administration Records: NSF, NEH. These records consist of the final report copies that are also filed with the sponsoring grant organization.||5||Permanent|
|Note Register/File||Useful Life +2||Destroy|
|Office Support Records||Useful Life||Destroy|
|Opening and Closing Reports||Useful Life||Permanent||Statistical with wide distribution|
|Patent and Trademark Records||Useful Life||Permanent||The recommended time of Retention in Office is 5 years|
|Payroll Registers||Useful Life||Destroy|
|Personal Professional Papers and Property: This includes certificates, honors, professional development activities and research, correspondence and other records related to professional activities.||5||Review||Individuals are strongly encouraged to consult with the Archives and the CAR to determine the archival value of their personal professional papers and property.|
|Personnel Service Records||Useful Life||Permanent|
|Position Description Records: The provide current job descriptions and classifications which are used for employee recruiting, position review, etc.||Useful Life||Destroy||An appropriate copy should be maintained in employee personnel file|
|Postal Records : Including returned registered or certified mail cards of receipts. Insurance receipts and packing slips.||1||Destroy|
|Potential Job Candidate Records||Useful Life||Destroy|
|Professional Organizations: University membership and all pertinent correspondence relating to policy, procedure or function should be retained for the Archives by the sponsor/campus officer of the organization. Many activities fall into one and/or the other Record Series as listed in this Retention Schedule: agendas, informal notes/ announcements, minutes, correspondence, etc. They must, therefore, be treated as such.||5||Permanent|
|Programs, Conferences, Seminars||Useful Life||Permanent||2 copies of materials to Archives|
|Publications - Non Andrews University Origin||Useful Life||Destroy|
Publications –Andrews University OriginThese include e.g. catalogs, calendars of special events, brochures, directories, handbooks, class schedules, etc.
|Useful Life||Review||Office of Origin should consult with the Archives about retention|
|Purchase Orders: The original only||7||Destroy|
Purchase Requisition OrdersUsed to purchase services, supplies, equipment, etc.
|Rank and Continuous Appointment Committee||Useful Life||Permanent||Closed permanently|
|Real-estate, Deeds and Titles||Useful Life||Permanent||The recommended time of Retention in Office is 5 years.|
|Reconciliations, Organizational Accounts||6||Destroy|
|Recruitment Materials||Useful Life||Review||VA regulations require that all recruitment materials be retained for 3 years. Send 2 copies of a complete set to the Archives when it is first produced.|
|Reference Files: See Subject Files|
|Requests and Disclosures of Personally Identifiable Information||5||Destroy||After life of affected record.|
|Requests for Formal Hearings||5||Destroy||After life of affected record|
|Research Projects||Useful Life||Review|
|Retirees and Death Claim Records||Useful Life||Permanent|
|Schedule of Classes, institutional||10||Destroy||Send 2 copies to the Archives when first produced.|
|Sick Leave Benefits||Useful Life||Permanent|
|Staff Employee Personnel Records||Useful Life +6||Permanent||From date of termination or retirement|
Student Accounts Records, activeIncluded are tuition and fee charges.
|Useful Life||Destroy||After graduation or date of last attendance. Note: Records of Student Accounts that have not been paid off by then are transferred to the Collections Office.|
Student Accounts Records, collectionsIncluded are tuition and fee charges.
|Useful Life||Destroy||These records are kept at the Collections Office. See above.|
Student Activities RecordsA mix of records dealing with special events, programs, promotional activities, club activities, etc.
|Useful Life||Review||Usually transferred after five years in office. Many of these records fall under other series and can be handled that way.|
|Student Disciplinary Files||Permanent||---||Do select purging after appropriate amount of time has passed.|
|Student Employment/Labor Records||Useful Life||Destroy||Retain 5 years after date of termination|
|Student Files, departmental||5||Review||Destroy after graduation or date of last attendance unless graduate or when professional accreditations require maintenance of files.|
|Student Files, attending: May include academic action authorizations (incl. dismissal, etc.), advanced placement records, application for graduation, applications for readmission (reentry), audit authorizations, change of course (drop/add), correspondence (relevant), credit by examination forms, curriculum change authorizations, degree audit records, FERPA documents, name change authorization, registration forms, transfer credit evaluations, withdrawal authorizations, enrollment verifications, teachers certifications, veterans administration certifications, etc.||5||Destroy||After graduation or date of last attendance. These include the Graduate and Undergraduate Student Records received from Admissions.|
|Student Records, historical||5||Permanent|
|Student Requests for Non-disclosure of Directory Information||Useful Life||Destroy||After date submitted if so indicated in the institution’s policy statement.|
|Student Statements on Content of Records Regarding Hearing Panel Decisions||5||Destroy||After life of affected record.|
|Student’s Written Consent for Records Disclosure||5||Destroy||Until terminated by student or life of affected record.|
|Subject Files: These files document the day-to-day activities of any University office, reflecting administrative activities, including policy decisions, action taken, events, committee involvement, involvement with outside organizations, etc. They are of value to future administrators, to understand the organizational culture, differing points of view, and decision- making processes.||Useful Life, 5||Permanent||Some records may be closed in RC permanently.|
|Syllabi See Course Syllabi||Useful Life||Permanent||The recommended time of Retention in Office is 5 years.|
|Systems Contingency Records||Useful Life||Review||Retain current and most recently developed plan records|
|Systems Data Storage/Back-up Records||Useful Life||Destroy||Retain storage media as specified in the backup cycle schedule|
|Systems Documentation Records||Useful Life||Review|
|Systems Support Records: Includes purchase records, system maintenance schedules, service orders, notes on significant failures and trouble shooting.||Useful Life||Destroy|
|Systems Technical Support Records||Useful Life||Destroy||Note: Machine-specific records should be kept as long as the machine is in use.|
|Teacher Certifications||5||Destroy||After certification|
|Telephone Billing Statements||1||Destroy|
|Tenure and Promotion Recommendations||5||Permanent||Recommendations are filed with the VP for Academic Administration and retained permanently.|
|Tenure and Promotion Reviews||5||Destroy|
|Time Sheets/Payroll Sheets: The official copy held in payroll office.||2||Destroy|
|Topical Files See Subject Files||Useful Life||Destroy|
Travel DocumentationTravel expense reports and back up documentation.
|Trial Balances||Useful Life||Destroy||Keep until audit.|
|Undergraduate Fellowships||Useful Life||Destroy|
Undergraduate Student Records, attendingThese student folders include documents such as acceptance letters, advanced placement records, applications for admission, relevant correspondence, entrance examination reports (ACT, CEEB), letters and forms of recommendation, placement scores, readmission forms, test scores, transcripts (other colleges, and high school)
|Useful Life||Destroy||After application and matriculation, these records will be transferred to Academic Records. There they will be kept until five years after graduation or date of last attendance. Final disposition is D. Regarding letters of recommendation follow AACRAO guidelines. (Redundant with Student Files?)|
Undergraduate Student Records, non-enteringThese student folders include documents such as acceptance letters, advanced placement records, applications for admission, relevant correspondence, entrance examination reports (ACT, CEEB), letters and forms of recommendation, placement scores, readmission forms, test scores, transcripts (other colleges, and high school)
5 years after application termRegarding letters of recommendation follow AACRAO guidelines.
|Unemployment Insurance Claims||Useful Life||Destroy|
|Veterans Administration Certifications||5||Destroy||After expiration|
|Vouchers, Journal and Check Registers||6||Destroy||After graduation or date of last attendance.|
|Waiver of Rights of Access||5||Destroy||Until terminated by student or life of affected record.|
|Wills and Trust||Useful Life||Permanent||The recommended time of Retention in Office is 5 years.|
Work Paper, AuditThis also includes all correspondence.
|Retain 5 years after date of termination|
|Written Decisions of Hearing Panels||5||Destroy||After life of affected record.|