Applies to: (examples; Faculty,Staff, Students, etc)
Faculty , Staff
Faculty , Staff
The policy establishes responsibility for oversight of Records retention administration and establishes procedures and timelines for retaining, archiving, and destroying Records.
Applies to any University staff or faculty member responsible for the maintenance of records in any format, as well as all University of Health Sciences and Pharmacy in St. Louis faculty and staff members who create, store, or use University records in any format.
Active Record: An original University Record currently used by the office, department or other areas of the University that generated it. Active Records remain active for varying numbers of years, depending on the purpose for which they were created and regulatory requirements. Active Records include Records in all formats including, but not limited to: paper, micro fiche, digitized or scanned documents, electronic documents, etc.
Archival Record: An original University Record that has permanent or historic value, is inactive, and is not required to be retained in the office in which it originated or was received. Archival Records are retained and preserved indefinitely in the University Archives. The University’s Records Administrator will make all final decisions concerning whether Records will be preserved in the University Archives.
College Record: The original or official copy of any record/document, including Electronic Records, in any format. Formats include but are not limited to: paper, micro fiche, and electronic. The Records Administrator or designee will make the final determination concerning the Official Repository for University Records and the Official Repository for these records are identified in the Record Retention Table. There is no need for offices and departments that are not the Official Repository for a University Record to retain copies of those records.
Electronic Record: A University Record kept in a non-tangible electronic format. Electronic Records include, but are not limited to: word processor documents, spreadsheets, databases, HTML documents, scanned or imaged documents, and any other type of file warehoused online, on a mainframe, on a computer hard drive, or on any external storage medium (including disks and thumb drives). The same retention standards that apply to tangible University Records also apply to Electronic Records, and the retention periods outlined in the Record Retention Table apply equally to University Records in all formats.
Inactive Record: An original University Record that is not an Active Record, but still must be maintained pursuant to the Record Retention Table set forth below. Inactive University Records are typically maintained at the University’s preferred Offsite Storage vendor or at other locations on campus; however, Inactive University Records of historical significance are maintained by the University Archives as directed by the Records Administrator or its designee(s).
Microfiche: A type of record format consisting of a flat sheet of microfilm, typically used for the purpose of maximizing space efficiency. University Records kept on fiche are bound by the same standards and retention periods as Records kept in paper or electronic formats.
Official Repository: The office or department designated as having responsibility for retention and timely destruction of particular types of official University Records. The University’s Records Administrator, or designee(s), will make the final determination concerning the Official Repository for University Records. For example: The Payroll Office is the Official Repository for annual employee payroll Records. There is no need for offices and departments that are not the Official Repository for a University Record to retain copies of those Records.
Offsite Storage: University Records that are in any format and are no longer needed may be stored with the University’s preferred vendor for Offsite Storage. The Offsite Storage vendor provides a fee based service for picking up and maintaining Inactive Records, and also delivering those Records if they are needed again on campus. See the Procedures section of this policy for instructions on how to store records at Offsite Storage.
Personal Information: Records that include an individual’s name together with that individual’s Social Security Number; driver’s license number or Missouri state identification card number; financial account number, or credit or debit card number, with or without any required security code, access code, personal identification number or password that would permit access to an individual’s financial account; or biometric indicator. Personal Information is highly sensitive, and must be safeguarded and secured at all times.
Records Administrator: The Records Administrator shall be appointed by the President and shall be initially the Assistant Vice President of College Services/Chief Compliance Officer. In consultation with the appropriate President’s Staff Member(s), the Records Administrator may designate certain policy implementation functions to other offices.
Records Committee: The University’s Records Administrator shall convene a Records Committee to develop procedures for the implementation of this Policy and to help ensure compliance. The Records Committee shall include representatives from the Office of the President, Information Technology Department, Business Office, College of Arts & Sciences, St. Louis College of Pharmacy, Human Resources, Marketing & Enrollment Services Unit, General Counsel, and any other office or department as the Records Administrator, in consultation with the President, deems appropriate, including representatives from the faculty.
University of Health Sciences and Pharmacy in St. Louis requires that University records be retained for specific periods of time, and has designated official repositories for their maintenance. These records must be managed according to procedures that are outlined in this document.
University of Health Sciences and Pharmacy in St. Louis is committed to effective records retention to preserve its history, ensure that critical records are available to meet business needs, comply with legal requirements, protect the privacy of constituents, optimize the use of space, minimize the cost of record retention, and ensure that outdated and useless records are destroyed.
The University Records Administrator is responsible for the implementation of this Policy across all departments and units that maintain University Records in any format. The University Records Administrator shall oversee, with the assistance of the Records Committee, the implementation of this Policy, including developing procedures concerning the review, oversight, and governance of this Policy, and any necessary training. Each unit manager or department head is responsible for implementing this Policy within his or her unit or department consistent with the procedures developed by the Records Administrator and the Records Committee.
In consultation with and under the direction of the Records Administrator or designee(s), each unit manager or department head, or designee(s), must:
• Determine the appropriate format for University Records under their area of responsibility;
• Implement the unit’s and/or office’s record management practices;
• Ensure that record management practices are consistent with this policy;
• Educate staff within the administrative unit on sound records management practices;
• Preserve Inactive University Records of historic value, and transfer those Records to the University Archives;
• Ensure that access to confidential files and documents or electronic media that contain Personal Information is restricted in accordance with all University policies and federal regulations. Long term restrictions on access to selected Archival Records should be noted at the time of their transfer to the University Archives; and
• Destroy Inactive University Records that have no archival value upon passage of the applicable retention period.
When the prescribed retention period (see the Record Retention Table) for University Records has passed, the unit’s administrative manager should ensure that the Records are properly disposed of unless the Records are of historic value to the University. The administrative manager should consult the Records Administrator to designate those Records that are archival.
Inactive University Records
If you have determined that Active Records are no longer needed for business reasons but the applicable retention period has not yet expired, the Inactive University Records may be transferred to one of the University’s preferred Offsite Storage vendors. Contact the Records Administrator or its designee(s) to:
1. Review Records to be sent to Offsite Storage.
2. Request storage boxes (1 full file drawer = 2 boxes).
3. Request a transfer form from the University’s preferred Offsite Storage vendor.
4. Schedule a time for boxes to be picked up.
Archival Records
If you, in consultation with the Records Administrator or its designee(s), have determined that you are in possession of Archival Records and the applicable retention period has expired, please forward those Records to the University Archives.
Non-Archival Records
If you have determined that Active Records are not Archival Records and the applicable retention period has expired, you should destroy those Records in one of the following ways:
1. Recycle non-confidential paper Records that do not contain Personal Information.
2. For Records that contain Personal Information:
a. Records must be redacted, burned, pulverized, or shredded so that Personal Information cannot practicably be read or reconstructed;
b. Electronic Records and other non-paper media containing Personal Information and metadata shall be destroyed or erased so that Personal Information or other sensitive data cannot practicably be read or reconstructed. Contact the Office of Information Technology to ensure that electronic media are destroyed appropriately.
Periodically review Records generated and maintained in University information systems or equipment (including mainframe, mini, and micro computing/storage systems) to ensure that these requirements are met.
The attached Record Retention Table lists the official repositories for University Records as well as how long these Records must be retained. These time periods have been reviewed for legal sufficiency by the General Counsel taking into account the minimum requirements of applicable laws and regulations and relevant statutes of limitations periods for filing complaints or claims.
Record retention periods may be increased by government regulation; judicial or administrative consent order, private or governmental contract, pending litigation or audit requirements. Such modifications supersede the requirements listed in this policy. The suspension of record destruction required by any of these reasons will be accomplished by a Legal Hold notice sent out to affected units by the General Counsel.
No document list can be exhaustive. Questions regarding the retention period for any specific document or class of documents not included in these tables should be addressed to the Records Administrator or the Office of the General Counsel.
Departments and units that are not Official Repositories and that retain duplicate or multiple copies of these University Records should dispose of them when the Records are no longer useful (no later than the duration noted in this Policy).
RECORD RETENTION TABLE
I. Academic / Student Records |
||
Type of Record |
Official Repository |
Duration |
Academic Integrity Code Violations |
Dean College of Arts & Sciences (undergraduate and professional) |
Records of final disposition that result in suspension or expulsion: permanent. All other records: 5 years from graduation or last date of attendance |
Academic Personnel |
Human Resources |
See Sections VI-VII |
Academic Probation |
Registrar |
Permanent |
Admissions Data for Applicants Who Enroll |
Admissions Office |
5 years from graduation or date of last attendance |
Admissions Data for Applicants Who Do Not Enroll, Whether Accepted or Rejected |
Admissions Office |
1 year after acceptance/rejection date |
Advanced Placement Records and other Placement Test Records/Scores |
Registrar |
5 years from graduation or date of last attendance |
Annual Conflict of Interest Disclosure Statements (Research) |
Office of Research Compliance |
5 years from date research project ends |
Applications for Admission, professional program (P1) final outcomes rating sheet, letters of reference, progression letter |
Admissions Office |
5 years after graduation or date of last attendance for students who enroll/1 year after acceptance/rejection for applicants who do not enroll |
Applications for Graduation |
Registrar |
1 year after graduation or date of last attendance |
Audit Authorizations and Records |
Registrar |
1 year after date submitted |
Academic Catalogs |
Registrar, Enrollment Services |
Permanent |
Board of Pharmacy Student Completion Reports |
Registrar, Experiential Education |
Permanent |
Change of Course Forms-Continuing Education, Summer Sessions, and Extramural Studies |
Registrar |
1 year after submission |
Change to Student College ID number |
Registrar |
Permanent |
Class Lists (original) |
Registrar |
Permanent |
Consent to Release Personally Identifiable Information (Requests for Non-Disclosure) |
Registrar |
Kept until next academic year; signatures kept 5 years |
Correspondence, relevant |
Registrar |
5 years from graduation or date of last attendance for students who enroll/1 year after acceptance/rejection for applicants who do not enroll |
Course syllabus, any graded student activity or assignment, quizzes, tests, etc. |
Faculty Member Experiential Education (IPPE/APPE assignments) |
End of semester after grade awarded to allow for grade appeals consistent with Academic Catalog |
Course Offerings |
Registrar |
Permanent |
Credit / no credit approvals (Audit, Pass/Fail, etc.) |
Registrar |
1 year after date submitted |
Credit by Examination Records |
Registrar |
5 years from graduation or date of last attendance |
Curriculum Change Authorizations |
Chairs, College of Arts & Sciences/Chairs, St. Louis College of Pharmacy |
5 years from graduation or date of last attendance |
Degree, Grade, and Enrollment Statistics |
Registrar |
Permanent |
Disciplinary Records – Students (findings of violation and related case files) |
Vice President Campus Life
|
Record of final disposition for offenses that result in suspension or expulsion: permanent. All other records: 5 years from graduation or last date of attendance |
Enrollment Verifications |
Registrar |
1 year from enrollment date |
Entrance Exam Reports |
Registrar |
5 years from graduation or date of last attendance/1 year after acceptance rejection for applicants who do not enroll |
Financial Aid Records (applicants who enroll), including Federal Perkins Loan Records |
Office of Financial Aid |
5 years after the end of the award period |
Grade and Dismissal Appeals |
Dean College of Arts & Sciences/Dean St. Louis College of Pharmacy |
Record of final disposition: permanent; All other records: 5 years after graduation or date of last attendance |
Grade Change Forms |
Registrar |
Permanent |
Grade Sheets |
Registrar |
Permanent |
Grade Books (Professors) |
Faculty Member |
5 years after grade entered |
Graduation Lists |
Registrar |
Permanent |
International Student Forms (visa documentation, etc.) |
International Programs Office/ Registrar |
5 years from graduation or date of last attendance/1 year after acceptance rejection for applicants who do not enroll |
Letters of Recommendation (enrolled students) |
Enrollment |
5 years after graduation or date of last attendance |
Medical Records, Immunizations, Vaccines, Drug Screens, Background Checks |
Enrollment Services (Undergraduate) Experiential Education (Professional) |
5 years after graduation or date of last attendance |
Name Changes |
Registrar |
Permanent |
Personnel Files, Appointment Letters and Forms |
See Human Resources Section |
See Human Resources Section |
Racial/Ethnic/Statistics |
Office of Institutional Research |
Permanent |
Recruitment Materials (enrolled students) |
Admissions Office |
5 years after graduation or date of last attendance |
Request for Non-Disclosure |
Registrar |
Permanent |
Residency Certificates (enrolled students) |
Director of Residency Programs |
Until date of enrollment |
Schedule of Classes (Institutional) |
Registrar |
Permanent |
Student accommodations (academic) |
Student Success Center |
5 years from graduation or last date of attendance |
Student accommodations (non-academic) |
Section 504 Coordinator or designee(s) |
5 years from graduation or last date of attendance |
Student Class Schedules |
Registrar |
1 year from graduation date or date of last attendance |
Student related codes, handbooks and policies |
Registrar |
Permanent |
Student FERPA Waivers/for Right of Access (enrolled students) |
Registrar |
Until graduation or date of last attendance |
Experiential Program Training Records (HIPAA, Bloodborne Pathogen) |
Experiential Education |
5 years after graduation or date of last attendance |
Transcripts |
Registrar |
Permanent |
Transcripts – High School and Other College (applicants who enroll) |
Registrar |
5 years from graduation or date of last attendance |
Transfer Credit Evaluations |
Registrar |
5 years from graduation |
Trustee Decisions Regarding Academic Personnel and Designated Executives |
President’s Office |
Permanent |
Veteran Administration Certifications |
Registrar |
5 years from graduation or date of last attendance |
Withdrawal Authorizations/Leave of Absence |
Registrar |
Permanent with student academic file |
II. Accounting & Finance |
||
Type of Record |
Official Repository |
Duration |
Account Reconciliations (Balance Sheet) |
Business Office |
7 years |
Accounts Payable Vouchers and Attachments |
Business Office |
7 years |
Accounts Receivable Statements, Centrally Generated |
Business Office |
7 years |
Annual Conflict of Interest Disclosure Statement |
President’s Office |
7 years |
Annual Financial Reports and Work Papers |
Business Office |
Permanent |
Banking Records, Including Deposit and Withdrawal Records, Bank Statements and Reconciliation, Voided and Canceled Checks |
Business Office |
7 years |
Billing Records |
Business Office |
7 years |
Capital Equipment Records |
Business Office |
List of Asset: records of equipment purchased on federal funds must be retained for three years after final disposition |
Cash Receipts |
Business Office |
7 years |
Contracts |
Business Office |
Duration of Contract plus 5 years |
Depreciation Records |
Business Office |
Life of Asset |
Effort Certifications |
Research Administration |
7 years |
Indirect Cost Rate Calculations |
Research Administration |
7 years |
Inventories |
College Services |
Life of Asset |
Journal Entries |
Business Office |
7 years |
New Account Records and Back-up Documentation |
Business Office |
7 years after account closing |
Procurement Card Charge Documentation |
Business Office |
7 years |
Travel Reimbursements and Attachments |
Business Office |
7 years |
College Audit Work Papers |
Business Office |
7 years |
III. Alumni Affairs & Development |
||
Type of Record |
Official Repository |
Duration |
Alumni records |
Development |
Permanent |
Gift Records |
Business Office |
7 years |
Original Gift Letter Agreements, All Others |
Business Office/Development |
Permanent |
Planned gifts (trusts, life income, agreements, annuities) Real Estate Gifts |
Business Office/Development |
Permanent |
IV. Athletics, Fitness, & Recreation |
||
Type of Record |
Official Repository |
Duration |
Athletic rosters |
Athletics Department |
Permanent |
Medical records; physical exams and medical history, primary insurance carrier, injury eval & treatment |
Athletics Department |
2 years after graduation or last date of attendance or injury whichever is longer |
Player photographs |
Athletics Department |
Permanent |
Eligibility Paperwork (certificates, clearance) |
Athletics Department/team physician |
5 years after graduation or last date of attendance |
Student-Athlete Advisory Committee Annual Report |
Athletics Department |
Permanent |
Alternate Transportation forms |
Athletic Department |
2 years after completion of season |
Supplemental insurance injury claims, back up, follow up submitted info (bills, EOB’s, etc.) |
Athletic Department |
2 years after graduation or last date of attendance or injury whichever is longer |
Disciplinary records |
Campus Life |
See Academic/Student Records |
Athletic Scholarship Allocations |
Financial Aid |
5 years after the end of the award period |
Student-Athlete scholarship agreement letters |
Athletics Department |
5 years after the end of the award period |
Leadership through Athletics grades |
Athletics Department |
Permanent |
Annual team records |
Athletics Department |
Permanent |
End of Season Surveys from S-A |
Athletics Department |
3 calendar years after year of survey |
Staff certification records (CPR, etc.) |
Athletics Department |
See Human Resources personnel file (staff) |
Inventory Records |
Athletics Department |
2 years after date of inventory |
Injury Reports (intercollegiate sports, intramurals, F&R) – need a standard form |
Athletics Department (Training Room) |
2 years after graduation or last date of attendance or date of report |
Equity in Athletics Disclosure Act survey |
Athletics Department |
3 calendar years after year of survey |
End of Season surveys (intramurals) |
Athletics Department (Fitness & Rec) |
3 calendar years after year of survey |
Fitness & Rec equipment/room check out logs |
Athletics Department (Fitness & Rec) |
1 calendar year |
Fitness Equipment daily cleaning /regular safety check logs |
Athletics Department (Fitness & Rec) |
Duration of possession or life of equipment plus 6 months unless injury report then 5 years from the date of report |
Fitness Equipment repairs |
College Services |
7 years from date of repair |
V. Construction and Facilities Management |
||
Type of Record |
Official Repository |
Duration |
As-built Drawings |
College Services |
Permanent |
Contracts and Agreements |
College Services |
10 years |
Record of repairs |
College Services |
5 years from date of repair |
VI. Corporate Records |
||
Type of Record |
Official Repository |
Duration |
Accreditation Records |
President, Deans |
Permanent |
Articles of Incorporation |
President’s Office |
Permanent |
Board of Trustee Minutes |
President’s Office |
Permanent |
Bylaws |
President’s Office |
Permanent |
Charter |
President’s Office |
Permanent |
Trustees’ Policies |
President’s Office |
Permanent |
VII. Equal Opportunity / Affirmative Action |
||
Type of Record |
Official Repository |
Duration |
Affirmative Action Plans |
Human Resources |
1 year |
Misc. Federal and State Required Statistics and Reports |
Human Resources |
2 years |
Non-Academic Search Materials and Documents Supporting Hiring Selection Decisions |
Human Resources |
3 years from date of appointment |
Academic Search Materials and Documents Supporting Hiring Selection Decisions |
Human Resources |
3 years from date of appointment |
Complaints of Unlawful Discrimination and Harassment |
Human Resources |
Permanent |
Title IX reports, formal complaints, supportive measures, investigations, evidence, informal processes and resolutions Title IX hearings, appeals, transcripts, evidence, and determinations including disciplinary sanctions and remedies Title IX training materials for investigators, decision-makers, and facilitators (informal process) |
Title IX Coordinator |
7 years from date of creation |
VIII. Human Resources |
||
Type of Record |
Official Repository |
Duration |
Certificates of Insurance, Indemnification agreements, Contracts and Insurance Policies for Benefits |
Human Resources |
Permanent |
Employee Personnel Files, Non-Faculty (including application, resume, appointment/salary forms, benefits enrollment and application forms, beneficiary designations) |
Human Resources |
7 years after separation |
Faculty Benefits Applications and Paperwork, including Long-Term Disability Forms |
Human Resources |
7 years after separation |
Faculty Handbooks and Policies |
Dean College of Arts & Sciences/Dean St. Louis College of Pharmacy/Human Resources |
Permanent |
Faculty Personnel Files (including hire paperwork, salary records, status changes, tenure/promotion, retirement/termination, and appointment recommendations) |
Dean College of Arts & Sciences/Dean St. Louis College of Pharmacy |
7 years after separation |
Faculty Rank & Tenure mid-review (third-year review) assessment dossier, teaching portfolios, evaluation summary |
Human Resources |
Retain evaluation summary in faculty member’s personnel file and return dossier and teaching portfolios to faculty member |
Faculty Rank & Tenure Final Application for Tenure and/or Promotion |
Human Resources |
Retain copies of all committee letters and related correspondence including peer review letters from outside sources; if tenure/promotion denied keep copies of dossier and teaching portfolio and related correspondence 7 years after separation and return original dossier/teaching portfolio to faculty member |
Faculty and Staff Benefits Handbook |
Human Resources |
Permanent |
Federal Reporting Requirements: Welfare Benefits and other Fringe Benefit Plans (i.e., 5500-s) |
Human Resources |
Permanent |
Files for Disabled Employees |
Human Resources |
7 years after benefits end |
I-9 Forms (Faculty and Staff) |
Human Resources |
3 years, or 1 year after separation (whichever is greater) |
I-9 forms (Students) |
Human Resources |
3 years after employment date, or 1 year after termination (whichever is greater) |
Individual Contracts of Employment |
Human Resources |
7 years after separation |
Occupational exposure, related employee medical records, monitoring, analysis, material safety data sheets |
Human Resources |
Duration of employment plus 30 years |
OSHA Form 300, Form 301 incident report & annual summary |
Human Resources |
5 years from end of calendar year covering the incidents |
Performance Appraisals |
Human Resources |
7 years after separation |
Records Covered Under HIPPA |
Human Resources |
7 years after employee’s termination |
Search Committee Records, including employment applications, resumes, and all applicant search materials |
Human Resources |
1 year after position is filled |
Severance Agreements |
Human Resources |
5 years after expiration |
Staff Handbooks and Policies |
Human Resources |
Permanent |
Union Agreements |
Human Resources |
Permanent |
Worker’s Compensation Claims and Insurance Policies |
Human Resources |
18 years |
IX. Insurance |
||
Type of Record |
Official Repository |
Duration |
Certificates of Insurance, Indemnification Agreements, Hold Harmless Agreements, Contracts |
Business Office |
5 years after expiration |
Insurance Policies (Liability, Property, and Other Policies) |
Business Office |
Permanent |
Incident Reports, Accident Reports |
College Services |
7 years after report date |
X. Legal |
||
Type of Record |
Official Repository |
Duration |
Consent Orders |
Office of the General Counsel |
Permanent |
Court Orders |
Office of the General Counsel |
Permanent |
Judgments |
Office of the General Counsel |
Permanent |
Releases |
Office of the General Counsel |
Permanent |
Settlements |
Office of the General Counsel |
Permanent |
XI. Marketing and Communications |
||
Type of Record |
Official Repository |
Duration |
News Releases |
Office of Marketing and Communications |
10 years |
Film, Video, Recordings |
Office of Marketing and Communications |
Permanent |
Photography Records |
Office of Marketing and Communications |
Permanent |
Work and Stationery Requests |
Office of Marketing and Communications |
5 years |
Publication Records |
Archives |
Permanent |
Photo and Video Releases |
Office of Marketing and Communications |
??? |
Brand Assets and Artwork (digital files) |
Office of Marketing and Communications |
Permanent |
XII. Patent, Trademark and Copyright Records |
||
Type of Record |
Official Repository |
Duration |
Copyright and Trademark Registrations |
Office of the General Counsel |
Permanent |
Invention Assignment Forms |
Office of the General Counsel |
Permanent |
Licensing Agreements |
Office of the General Counsel |
7 years after termination |
Original Patents and Related Work Papers |
Office of the General Counsel |
Permanent |
Royalty Records |
Business Office |
Life of Patent or TM plus 7 years |
XIII. Payroll |
||
Type of Record |
Official Repository |
Duration |
Information Returns filed with Federal and State authorities (W-2, 941, 1042S, etc.) |
Business Office |
7 tax years after filing |
Payroll Deduction Authorization Forms (W4, ACH, Bonds) |
Business Office |
5 years after employment ends |
Payroll Vouchers |
Business Office |
3 years after employment ends |
Record of Payments and Deductions (payroll registers, deductions lists, garnishments, adjustments) |
Business Office |
5 years after employment ends |
Time Cards, student |
Business Office |
3 years after pay date |
Time Cards, non-student |
Business Office |
3 years after employment ends |
XIV. Public Safety; Environmental Health and Safety |
||
Type of Record |
Official Repository |
Duration |
Accident Reports |
College Services |
7 years after report date |
Crime Reports |
College Services |
7 years after report date |
Daily Log |
College Services |
Permanent |
Employee exposure, monitoring, analysis |
Human Resources |
Duration of employment plus 30 years |
Property Damage Reports |
College Services |
7 years after report date |
Fume Hood Testing Records |
College Services |
3 years |
Hazardous Waste Disposal Manifests and Reports |
College Services |
3 years |
Incident Records |
College Services |
5 years |
Radiation Safety Training Records |
College Services |
3 years |
Controlled Substances Request Form: DEA Schedule II |
EH&S |
2 years |
Controlled Substances Request Form: DEA Schedule III-V |
EH&S |
2 years |
Controlled Substances Aliquot Log |
EH&S |
2 Years |
Controlled Substances Initial Inventory Form: DEA Schedule II |
EH&S |
Permanently |
Controlled Substances Initial Inventory Form: DEA Schedule III-V |
EH&S |
Permanently |
Controlled Substances Annual Inventory Form: DEA Schedule II |
EH&S |
2 Years |
Controlled Substances Annual Inventory Form: DEA Schedule III-V |
EH&S |
2 Years |
Copy of Invoice(s) Schedule II |
EH&S |
Permanently |
Disposal Form, DEA Form 41, |
EH&S |
2 Years |
DEA Inventory Transfer Form |
EH&S |
2 Years |
XV. Purchasing |
||
Type of Record |
Official Repository |
Duration |
Purchase Orders, Contracts, Agreements |
Business Office |
7 years |
XVI. Real Property |
||
Type of Record |
Official Repository |
Duration |
Property Deeds, Easements, Licenses, Rights of Way, Leases, Rights of First Refusal, Remainder Interests, Mortgages |
Office of the General Counsel |
Permanent |
Property 7 years after close of grant or longer if required by granting agency Tax Returns filed with taxing jurisdiction |
Business Office |
7 years |
XVII. Sponsored Projects, Contracts & Grants |
||
Type of Record |
Official Repository |
Duration |
Grant and contract Applications, Proposals, and Supporting Documentation |
Business Office |
7 years after close of grant or longer if required by granting agency or sponsor |
Sponsored research contracts, subcontracts, material transfer agreements |
Business Office |
7 years after close of grant or longer if required by granting agency or sponsor |
Records Concerning Animal or Human Subject Research |
Institutional Animal Care Use Committee (animals)/Institutional Review Board (human subjects) |
7 years from completion of study or longer if required by study sponsor |
XVIII. Taxes |
||
Type of Record |
Official Repository |
Duration |
Excise Tax Returns |
Business Office |
7 years |
Information Returns (990, 1099, Form PC, etc.) |
Business Office |
20 years |
Sales Tax Returns |
Business Office |
7 years |
Position/Office/Department |
Responsibility |
Vice President, Operations |
Oversight, coordination of Records retention policy administration |
General Counsel |
Supports Vice President of Operations to coordinate annual review and update of Records Retention Table |
Name |
Contact Information |
Eric Knoll Vice President, Operations |
Eric.Knoll@uhsp.edu |
Ken Fleischmann General Cousel |
Kenneth.Fleischmann@uhsp.edu |