20.23 / Retention of University Records

  1. Purpose

    The purpose of this statement is to set forth University policy on the retention and disposal of University records.

  2. Preamble

    It is necessary and appropriate that Wichita State University requires that different types of records be retained for specific periods of time and that it designate official repositories for maintenance and retention of records. University records must be managed in accordance with this policy.

  3. Policy

    The University is committed to effective record retention to meet legal standards, optimize the use of space, ensure security of confidential information, minimize the cost of record retention, preserve institutional history and ensure that outdated and useless records are destroyed.

  4. Definitions

    1. Active Record

      A University record with current administrative use for the department that generated it. Records remain active for varying numbers of years, depending on the purpose for which they were created.

    2. Archival Record

      A University record that is inactive, not required to be retained in the office in which it originated or was received, and has permanent or historic value. Archival records are retained and preserved indefinitely in the appropriate archival repository (i.e. Special Collections, salt mines, etc.).

    3. Custodian/Electronic Record

      The originator of an email message or the creator of an electronic document if that person is a University employee; otherwise it is the University employee to whom the message is addressed or to whom the electronic document is sent. If the record is transferred, by agreement or policy, to another person for archival purposes, then that person becomes the Custodian/Electronic Record.

    4. Electronic Record

      Any record that is created, received, maintained or stored on University local workstations or central servers. Examples include, but are not limited to:

      1. Electronic mail (email)
      2. Word processing documents and spreadsheets
      3. Databases - both static and those that are transactional in nature (i.e. tables in Banner with multiple user access and modification capabilities)
    5. Inactive Record

      A University record that is inactive, not required to be retained in the office in which it originated or was received.

    6. Official Repository

      The department designated as having responsibility for retention and/or timely destruction of particular types of official University records. Such responsibility is assigned to the department head or a designee.

    7. University Archives

      A component of the Special Collections Department of University Libraries that promotes knowledge and understanding of the University's origins, aims, programs, and goals. This work includes permanent retention of records and reports of the University, its officers and component parts; maps and architectural records; audiovisual materials, including still photographs and negatives, motion picture film, oral history interviews, audio and videotapes; and artifacts and ephemera documenting the University's history.

    8. University Record

      The original copy of any record in printed or electronic format. Official Repositories and retention schedules for these records are identified in the University's Records Retention Schedule located here

  5. Procedures

    1. Responsibilities for Managing Official University Records

      Departments that maintain any University Records are the Official Repository of such records and each department head or designee must:

      1. Implement the department's record management practices consistent with this policy.

      2. Educate staff within the department in understanding sound record management practices, including a system for efficient retrieval of Active Records.

      3. Transfer Inactive Records that may have historic value to the University Archives.

      4. Ensure that access to confidential files is restricted. Long-term restrictions on access to selected Archival Records should be negotiated at the time of their transfer to the University Archives.

      5. Destroy Inactive Records that have no historic value upon passage of the applicable retention period. If in doubt as to the potential historic value, consult with the Curator of Special Collections and University Archivist (hereinafter University Archivist) before destroying the Inactive Records.

    2. Preserving or Disposing of Official University Records

      When the prescribed retention period (see University Records Retention Schedule) for official University records has passed, a determination of whether to preserve or dispose of the documents must be made. To decide if a University Record is of historic value to the University, consult the University Archivist who has the authority to designate which University Records are archival.

      1. Archival Records

        If it has been determined that the University Records are Archival Records, they may be transferred to Special Collections. Call the University Archivist to initiate the following:

        1. Review records to be sent to University Archives;
        2. Request a transfer form;
        3. Depending on the amount of material to be transferred and staff availability, the Special Collections staff may make a site visit and pick up the records. If staff is unavailable to pick up the material, the department of origin may take the material to Special Collections at a prearranged time; and
        4. Small quantities may be sent through campus mail.

        University Records that are transferred to Special Collections are not in storage. The transfer is permanent and the University Records become part of the University Archives (see definition G above).

      2. Inactive Records

        If it has been determined that University Records are Inactive Records, and therefore, not of permanent historic value, they, consistent with K.S.A. 45-403, should be destroyed in one of the following ways:

        1. Recycle non-confidential paper records; or
        2. Shred or otherwise render unreadable confidential records; or
        3. Erase or destroy Electronic Records (periodically review records generated and maintained in University information systems or equipment to ensure that these requirements are met).
    3. Location and Duration for Record Retention

      1. The University Records Retention Schedule lists the Official Repositories for University Records, as well as how long these records must be maintained.

      2. 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. Any suspension of record destruction required will be accomplished by a notice sent out to the affected units or individuals by the General Counsel's Office.

      3. Questions regarding the retention period for any specific document or class of documents not included in the schedule should be addressed to the General Counsel's Office.

      4. Departments that are not Official Repositories, and that retain duplicate or multiple copies of University Records, should dispose of the records when they are deemed to be no longer useful.

    4. Electronic Records

      1. Maintenance and disposal of Electronic Records, as determined by the content, is the responsibility of the Custodian/Electronic Record and must be in compliance with the University Records Retention Schedule. Work related email is a University Record and must be treated as such.

      2. Email messages and any associated attachment(s) with retention periods greater than three (3) years are to be maintained according to the University Records Retention Schedule in a format capable of reproduction. It is important to note that the email message should be kept with the attachment(s). If emails are printed and filed in similar fashion to paper records for retention purposes, the printed copy of the email must contain the following header information:

        1. Who sent message
        2. Who message was sent to
        3. Date and time message was sent
        4. Subject
      3. When email is used as a transport mechanism for other record types, it is possible, based on the content, for the retention and disposition periods of the email and the transported record(s) to differ. In this case the longest retention period shall apply.

      4. Information Technology Services (ITS) performs backups on a regular schedule of the email and electronic files stored on central servers for disaster recovery. These backups are to be used for system restoration purposes only. The information technology system administrator is not the Custodian/Electronic Record of messages or records which may be included in such backups.

      5. When litigation against the University or its employees is filed or threatened, the law imposes a duty upon the University to preserve all documents and records that pertain to the issues. As soon as the General Counsel is made aware of pending or threatened litigation, a litigation hold directive will be issued to the appropriate individuals. The litigation hold directive overrides any records retention schedule that may have otherwise called for the transfer, disposal or destruction of the relevant documents, until the hold has been cleared by the General Counsel. Email and computer accounts of separated employees that have been placed on a litigation hold by the General Counsel will be maintained by ITS until the hold is released. No employee who has been notified by the General Counsel of a litigation hold may alter or delete an electronic record that falls within the scope of that hold. Violation of the litigation hold request may subject the employee to disciplinary action, up to and including dismissal, as well as personal liability for civil and/or criminal sanctions by the courts or law enforcement agencies.

  6. Implementation

    This policy shall be included in the WSU Policies and Procedures Manual and shared with appropriate constituencies of the University.

    The General Counsel shall have primary responsibility for publication, dissemination and implementation of this University policy.

Records Retention Schedule

Record Type Description Schedule Repository

Accounts Payable Records

Documents related to payment for goods and services: vouchers, correspondence, invoices, ledger books and cards, etc.

Comments: See also Ledgers — General, Vouchers and Requisitions — Purchase, Vendor Files, Bid Records, and Purchasing Records.

Retain three fiscal years and then destroy.

Financial Operations

Accounts Receivable Records

Documents related to the collection of payments due the agency: copies of invoices, correspondence, DA forms 32, etc.

Comments: See also Vouchers, Receipts.

Retain three fiscal years and then destroy.

Financial Operations

Activity Report Records

Internal documents used to compile statistics on agency activities: traffic reports, activity logs, etc.

Comments: See also Employee Time Report Records.

Retain two fiscal years and then destroy.

Department of Origin

Adding Machine or Calculator Tapes

Master tapes produced on business machines during bookkeeping.

May be destroyed immediately unless required to document associated records — then retain in conjunction with those associated records.

Department of Origin

Advertising contracts

Agencies; newspapers; media

 

University Relations

Agency Director’s Files

Correspondence, reports, budgets, etc. relating to the administration and operation of the agency.

Retain until no longer useful, and then transfer to the archives for purging.

Administration and Finance

Alarm Reports (Riders?)

   

Police Department

Annual and Special Reports

General and specific reports on agency activities.

 

University Relations &/or Department of Origin

Applications for Examination

Standardized form developed by the Department of Administration-Division of Personnel to determine if an applicant to take an application is qualified to take an examination for a specific classified position.

Retain three calendar years and then destroy.

Human Resources

Architectural Plans, Drawings, Maps, and Specifications

Records documenting the physical plant of the agency.

Retain until no longer useful, then transfer to the archives.

Physical Plant

Attorney General Opinions

Opinions, letters of advice, copies of legislative bills, correspondence, etc relating to the legal interpretations written at the request of an agency seeking guidance in enforcing, obeying, or interpreting the law.

Retain in office five calendar years, and then transfer to the archives for purging.

Vice President & General Counsel

Audit Reports

Results of internal audit reports

Retain minimum five fiscal years or as needed thereafter, then destroy.

Internal Auditors

Automated Program Listing / Source Code

Automated program code which generates the machine-language instructions used to operate an automated information system.

Retain three system update cycles after code is superseded or replaced. Destroy.

UCATS

Banking Records

Bank statements, deposit books and slips, check registers.

Retain three fiscal years and then destroy.

Financial Operations

Batch Transmittal Forms

Completed forms used to transmit documents for mass computer input — includes both DA forms 199 and/or equivalent internal documents.

Retain in conjunction with transmitted documents, then destroy.

UCATS

Bid Records

Documents related to request for proposals, bids, quotations, or estimates.

Comments: See also Vouchers and Requisitions, Contracts, and Vendor Files.

Retain five fiscal years and then destroy.

Purchasing

Board Packets

Agenda, minutes, background information, etc. relating to meetings or a board or commission.

Retain until no longer useful, then transfer one packet to the archives and destroy the remainder.

Office of President

Budget Preparation Files, Annual

Documents used in the preparation of the annual agency budget: correspondence, draft budget requests, computer records, notes, and other miscellaneous materials.

Retain five fiscal years. Contact the archives for appraisals — if not accepted for transfer to the archives, then destroy.

Administration & Finance

Budget Requests and Appeals, Annual

Copies of budgets submitted yearly to the state legislature for approval and subsequent appeals: DA forms 400 through 518 and associated supporting documents.

Retain five fiscal years and then deposit in archives.

Administration & Finance

Building and Grounds Maintenance Records

Documents associated with repairs and other maintenance to the physical plant of agency — does not include Work Orders and Logs (q.v.).

Retain records of minor maintenance activities for three fiscal years, then destroy. Retain records of major maintenance activities for ten fiscal years, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

Physical Plant

Business Procure Card Documentation

Original statements, receipts, logs, etc, detailing the types of purchases made by an agency through business procurement card procedure.

Five fiscal years then destroy.

Financial Operations

Call Logs

 

One yr – archive according to year

Police Department

Capital Improvement Projects Files

Records related to construction projects: correspondence, bids, specifications, plans, drawings, reports, notes, etc.

Comments: See also Architectural Plans, Drawings, and Specifications.

See comments. Retain until no longer useful, then transfer to the archives.

Physical Plant

Case Logs

 

Indefinitely – Bobby Drive

Police Department

Case Photos

 

Archive to CD’s

Police Department

Cleary Act Logs

 

Current plus two yrs – elect web server

Police Department

Clippings Files

Newspaper clippings compiled regarding agency activities.

Retain until no longer useful then contact the archives for appraisal – if not accepted, then destroy.

Special Collections, Library

Command Logs (radio)

 

One yr – archive according to year

Police Department – Support Division Communications

Committee and Conference Files

Records relating to the establishment, organization, membership, policies, activities and accomplishments of internal, interagency, and advisory committees and conferences.

See comments. Retain three calendar years, then transfer to archives.

With the committee or group

Complaint logs

 

In office for two days then to records section of archive

Police Department

Computer Run Scheduling Records

Records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run

Retain until no longer of administrative value to the agency then destroy

UCATS

Computer Software Licensing Files

Documents proving the licensure and implementation of computer software programs by the agency.

Retain five calendar years after the contract or end user license agreement (EULA) has expired, or five years after the software is no longer installed, then destroy

UCATS

Computer System Documentation

Records related to the development, implementation, modification, and use of computer programs and systems.

Retain and dispose of in conjunction with associated computer programs and systems.

UCATS

Computer Usage Logs

Logs documenting computer system usage including but not limited to log-in files, system usage files, data entry logs, and records of individual computer program usage.

Retain until no longer of administrative use to agency then destroy.

UCATS

Contracts

Legal agreements with individuals and organizations. Includes all association documents, eg. DA-146 series.

Retain until expiration of contract plus five calendar years, then destroy. See also: Purchasing Records, Vendor Files, Accounts Payable Records, Bid Records, and Vouchers and Requisitions.

Department of Origin

Copy of Cases

 

Five yrs - destroy

Police Department

Correspondence — Policy related

Incoming and outgoing letters and memoranda that state or form the basis for policy, set precedent, or record important events in the operational and organizational history of the agency.

Retain in office five calendar years, then transfer to the archives for purging.

President’s Office or Vice President & General Counsel, Internal Audit

Correspondence — Routine

Incoming and outgoing letters and memoranda which pertain only to routine matters handled in accordance with existing policy and procedures: requests for information, letters of transmittal, etc.

Retain until no longer useful, then destroy.

Department of Origin

Crime Logs

 

Current plus two yrs – hard copy – dispatch area

Police Department

Criminal Cases

Murder and/or firearms solved

80 yrs destroy- hard copy prior to 1989; elect & hard copy 1990 to present

Police Department

Criminal Cases

Murder and/or firearms unsolved

Permanent Archive

Police Department

Criminal Cases

Felony Cases - convictions

Archive till statute of limitations expires plus 20 yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Criminal Cases

Felony Cases - unsolved

Archive till statute of limitations expires plus 20 yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Criminal Cases

Felony Cases - solved

Archive till statute of limitations expires plus 20 yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Criminal Cases

Misdemeanor conviction

Archive till statute of limitations plus five yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Cases

Misdemeanor unsolved

Archive till statute of limitations plus five yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Criminal Department

Criminal Cases

Misdemeanor solved

Archive till statute of limitations plus five yrs - hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Customer Survey Forms

Surveys compiled on customer satisfaction with the quality of service provided

Three calendar years then destroy.

Department of Origin

Daily Bulletins

 

Three years then destroy

Police Department

Data Documentation / Data Dictionary Records

Records generally created during system development or modification and necessary to access, retrieve, manipulate and interpret data in an automated system including data element dictionary, file layout, code book or table, and records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements

Retain three years after discontinuance of system and until all system data is destroyed or transferred to the new operating environment.

UCATS

Data Systems Specifications

Records necessary for using the system: user guides, system or subsystem definitions, system flowcharts, program descriptions and documentation, job control or workflow records, system specifications, and input and output specifications.

Retain three years after discontinuance of system and until all system data is destroyed or transferred to new operating system then destroy

UCATS

Employee Notary Files

Notary certification documents compiled on employees.

Proof of certification is part of the Employee Personnel File. These files are the office copy.

Retain information until superseded or three calendar years, and then destroy.

Department of Origin

Employee Personnel Files

Documents associated with the employment of specific personnel: employee evaluation forms, applications for employment, INS Residence Status forms, and other personnel materials.

Retain original file or abstracted work history for length of employee's tenure, plus ten years, then transfer files to archives. Deposit in archives.

Human Resources – Classified, and Unclassified;

Division – Unclassified; Academic Affairs - Faculty

Employee Personnel Files — Office Copies

Copies of documents in agency's Employee Personnel Files associated with employment of specific personnel (applications, evaluations, etc.) maintained for convenience of reference.

Retain for length of employee's tenure plus five calendar years, then destroy.

Department of Origin

Employee Position Descriptions

Formal descriptions of duties and other characteristics of particular employment positions: DA forms 281- 2 and supporting documents.

Retain until superseded plus three years, then destroy.

Human Resources

Employee Time Report Records

Recording documenting time worked by individual employees on a daily, weekly, or monthly basis: time sheets, time cards, attendance reports, absence reports, sign- in/out sheets, etc.

Comments: Internal agency forms. See also Leave Requests.

Retain five fiscal years and then destroy. (Revised 5/21/2004 per WSU General Counsel.)

Department

Employee Training Course Materials

Record copy of manuals, syllabi, textbooks and other training aids created for agency sponsored employee training programs

Retain until training program is obsolete, then transfer one copy of each manual, syllabus, and textbook to the archives, destroy the remainder.

See also Employee Training Records

Human Resources or department conducting the training.

Employee Training Records

Correspondence, reports, and other records relating to the operation of agency sponsored training programs and to employee participation in training programs sponsored by external organizations

Retain five calendar years or until superseded, whichever is sooner, then destroy. See also Employee Training Course Materials.

Human Resources or department conducting the training

Employee Withholding Allowance Certificates

Internal Revenue Service W-4 forms completed by employees to establish rate of tax to be withheld from paychecks.

Retain until no longer in effect, then destroy provided four years have passed since date tax was due or paid (whichever is later.)

Human Resources

Employment Applications — Not Hired

DA forms 203 and supplementary materials submitted by unsuccessful applicants for employment.

Retain three calendar years and then destroy.

Human Resources / Academic Affairs – faculty; Unclassified - Division

Employment Eligibility Verification Form

Immigration and Naturalization Service (INS) form I-9 completed by the employee verifying eligibility to work in the United States.

Retain for length of employee tenure plus three years, and then destroy.

Human Resources

Equal Employment Opportunity Grievance Files

Documents related to discrimination charges concerning employment made against an agency and subsequent investigations.

Retain five years after grievance is settled, then transfer to the archives.

Director of EEO

Equal Employment Opportunity Plans

Documents related to agency compliance with laws regulations concerning EEO/AA plans including the agency characteristics plan.

Retain five calendar years and then deposit in archives.

Director of EEO

Equipment Maintenance and Ownership Records

Documents related to the legal ownership and maintenance of agency equipment: legal titles, warranties, maintenance logs, etc.

Retain for the life of the equipment, then transfer to the new owner of the equipment or destroy as appropriate. See also Equipment Operation Records, and Vehicle Ownership and Maintenance Records.

Department of Origin

Equipment Operation Records

Documents related to the use of agency equipment (ie. photocopy logs, check-out forms, use requests forms, etc.), including photocopiers, typewriters, computers, calculators, adding machines, etc.

Comments: See also Equipment Ownership and Maintenance Records.

Retain three fiscal years and then destroy.

Administration & Finance

Expendable Items Supply Requests, Internal

Documents used by subordinate organizations to order expendable supplies form central supply rooms.

Retain three fiscal years and then destroy.

Administration & Finance

Governor’s Proclamations

Copies of proclamations issued by the Governor’s Office related to various agency activities and functions

Five calendar years then destroy.

President’s Office

Grant Files (Funded)

Variety of documents dealing with applications for federal, state, and private grants and the implementation of those received.

Retain five years after the end of the grant period, transfer original applications and annual and final performance reports to the archives for purging, and destroy remaining documents.

Department of Origin or Office of Research Administration

Hardware and Software Documentation

Records documenting the use, operation, and maintenance of an agency’s computer equipment including operating manuals, hardware/software operating system requirements, hardware/software configurations, and equipment control systems.

Retain until the agency no longer uses related hardware or software and all data is transferred to and made useable in the new hardware/software environment.

UCATS

Hearing and Meeting Transcripts and Electronic Media Recordings

Records of agency hearings and other meetings: Transcripts, audiotapes, videotapes, notes, etc.

Retain until no longer useful, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

Department of Origin

Imprest Fund

Documents related to the administration and accounting of the imprest fund which allows an agency to use a local bank account as authorized by statute: DA form 152 — 'Checkbook Record — Imprest Fund.'

Retain three fiscal years and then destroy.

Financial Operations

Income Tax Monitoring Files

Work papers, logs, reconciliations and payment logs possibly through accounting software and payment vouchers to ensure proper accounting and compliance of income tax reported to federal and state governments.

Retain four calendar years after the tax date was due or paid then destroy.

Administration & Finance

Information Resources Management and Data Processing

Agency IT plans, data processing services plans, strategic plans, and related records used to plan for information systems development, technology acquisitions, data processing services provision or related areas.

Retain until superseded, obsolete, or replaced. Then transfer to Archives.

UCATS

Information Technology Disaster Preparedness and Recovery Plans

Records related to the protection and reestablishment of information technology services, equipment and data (back-up files).

Retain until superseded by revised plan, then transfer to the archives.

UCATS

Inter-Agency Work Orders

Forms used to request and record the performance of services from another state agency.

One fiscal year then destroy.

Department of Origin

Internal Investigations Log

   

Police Department

Internal Memos – Policy Related

Internal memos, e-mail and other correspondence that state or form the basis for policy, set precedent, or records important events in the operational and organizational history of the agency

Retain in office five calendar years, and then transfer to the archives for purging. Print out all electronic versions as issued and transfer to the archives for purging.

President’s Office or Vice President & General Counsel

Internal memos – Routine

Internal memos, e-mail and other correspondence which pertain to routine matters.

Retain until no longer useful, then destroy

Department of Origin

Inventory Records, Expendable Property

Records of receipts, disbursements, and balances of office supplies and other expendable inventory materials.

Retain for three fiscal years and then destroy.

Financial Operations

Inventory Records, Non-Expendable Property

Records related to capital equipment inventory management: DA forms 80 through 83, computer reports from the Department of Administration, internal documents, correspondence, etc.

Retain until superseded by new inventory plus three fiscal years, then destroy.

Financial Operations

Investigative files – Felony

 

20 yrs – destroy

Police Department

Investigative Files – Misdemeanor

 

Ten yrs – destroy

Police Department

Investigative Files – Traffic

 

Two yrs – destroy

Police Department

Juvenile Cases

 

Until offender reaches age 21 – destroy – hard copy prior to 1989; elect and hard copy 1990 to present.

Police Department

Kansas Public Disclosure Commission Statements of Substantial Interest

Agency copies of statements of substantial interest requested on a yearly basis and filed with the Secretary of State's office.

Retain one calendar year and then destroy.

Office of the President

Kansas Quality management (KQM) Files

Variety of documents relating to the planning and implementation of KQM for the agency

Retain until no longer useful, then transfer to the archives for purging.

 

Kansas Register Submissions

Copies of proposed, withdrawn, emergency and adopted rules, open meeting notices or other documents required by law to be submitted to the Kansas Register for publication.

Retain one year after publication, then destroy.

 

Key Accountability Files

Records relating to the issuance of keys, identification cards, building passes or similar instruments of access to agency facilities or equipment and maintained for accountability purposes.

Retain three years after superseded, date of termination or date of expiration, and then destroy.

Department of Origin

KORA

Open records request

 

University Relations

Leases, Real Property and Capital Equipment

Documents related to the leasing of real estate and equipment.

Retain until superseded or inactive plus five calendar years, then destroy.

Vice President & General Counsel

Leave Requests

Internal forms used to request and authorize the taking of leave by employees.

Comments: See also Employee Time Report Records.

Retain five fiscal years and then destroy.

Department of Origin

Ledgers, General

General records maintained by agencies of financial reports and expenditures normally used to monitor, manage, and verify agency budget.

Comments: This series includes only internal documents.

Retain three fiscal years and then transfer to archives.

Administration & Finance; President’s Office

Legislation Reference Files

Copies of bills, drafts of legislation, copies of statutes, notes, correspondence, and other miscellaneous documents related to various legislative activities.

Retain until no longer useful, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

President’s Office/ Governmental Relations; Vice President & General Counsel; Provost

Litigation Case Files

Correspondence, court documents, research materials, reports, press releases, etc.

Documenting agency litigation activities.

Retain precedent- setting litigation records no scheduled by agency specific schedule five years after case is closed then transfer to the archives for purging. Retain other litigation records five years after case is closed, then destroy.

Vice President & General Counsel

Mailing Lists

Lists of names and addresses to whom mail is regularly sent.

Retain until updated, then destroy.

Department of Origin

Material Safety Data Sheets (MSDS)

Documents relating to the precautions taken for the safe handling of the various hazardous chemicals used in the routine operation of the facility.

Retain until superseded or hazardous chemical is no longer on site, then destroy as required by 29 CFR 1910.1200

Office of Environmental Health & Safety

Memoranda of Understanding or Agreement, Inter- Agency

Formal agreements reached between state, local, and/or federal agencies.

Retain until agreement becomes inactive plus five calendar years, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

Vice President & General Counsel; Department of Origin

Minutes

Proceedings of regular or special meetings of committees, commissions, and other standing or ad hoc organizations.

Retain until no longer useful, then transfer to the archives.

With Committee

Miscellaneous & Accident cases

Accident Reports

Five yrs – destroy – hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Miscellaneous & Accident cases

Miscellaneous Cases

Three yrs – destroy – hard copy prior to 1989; elect and hard copy 1990 to present

Police Department

Miscellaneous & Accident cases

Sick and Cared for Cases

Three yrs – destroy – hard copy prior to 1989; elect and hard copy 1990 to 2006; hard copy only to present

Police Department

NCIC

 

Destroy based on criminal case schedule – hard copy prior to 1989; elect and hard copy 1990 to present.

Police Department

Operating System and Hardware Conversion Plans

Records relating to the replacement of equipment or computer operating systems.

Retain one year after successful conversion, and then destroy.

UCAT

Organizational Charts and Reorganization Studies

Records documenting planned and actual changes in an agency’s organizational structure over time.

three calendar years and then archive.

President’s Office

Outstanding Debt

Copies of debt due to the University by students, vendors, or other organizations.

Retain until paid in full plus one year.

Financial Operations Collection Department

Outstanding Obligations, Lists of

Copies of DA forms 118 submitted to Divisions of Accounts and Reports to encumber funds from current fiscal year to pay for goods or services to be received during the following fiscal year.

Two fiscal years then destroy. This series does not apply to Division of Accounts and Reports.

Financial Operations

Payroll Adjustment Records

Copies of documents and supporting materials used to make adjustments in agency payroll accounts: forms AR-9, AR-10, DA-10, DA10A, DA-21 series, DA-171 through 177, DA-251 through 262. Comments: This schedule does not apply to copies of these records maintained by the Division of Accounts and Reports. See also Payroll Deduction Authorization Records.

Retain three fiscal years and then destroy.

Financial Operations Payroll Department

Payroll Deduction Authorization Records, General.

Documents used to authorize various deductions from an employee's pay: insurance enrollments, GHI enrollments, KPERS enrollments, KPERS Annual Account Statements, dues deductions forms, etc.

Retain until superseded or no longer in effect plus one calendar year, then destroy. This schedule does not apply to W-4 forms (q.v.) or Payroll Direct Deposit Authorization Record (q.v.)

Financial Operations Payroll Department

Payroll Direct Deposit Authorization Records

Completed forms used to authorize direct deposits of payroll checks in employee bank accounts.

Retain until no longer in effect plus two years, then destroy.

Financial Operations Payroll Department

Payroll Warrant Registers

Monthly listing of warrant checks issued to state agency employees for payroll purposes.

Retain three fiscal years and then destroy.

Financial Operations

Petty Cash Records

Documents related to petty cash accounting: DA-71 through 73.

Retain three fiscal years and then destroy.

Department of Origin

Photocopy Meter Reading Statements

Forms completed listing the number of copies made, dates readings were taken, etc. relating to the leases on photocopy machines.

One fiscal year then destroy.

Department of Origin; Library/Special Collections

Photographic and Video Materials

Photo-prints, negatives, slides, films, and videotapes.

Retain until no longer useful, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

Department of Origin; Library/Special Collections (Archives)

Photos & Photo releases

 

Permanent

University Relations

Policy and Procedures Manuals and Statements

Original copies of formal explanations of agency polices and procedures issued in collective manual or individual statement formats.

Retain until superseded or no longer in effect, then transfer to the archives.

Internal Auditor

Postal Records

Records concerning the use of the U.S. Postal Service and express companies: Mailing logs, postage purchase reports, registered mail receipts, express company receipts, mailing permits, etc.

Retain for three fiscal years and then destroy.

Post Office

Press Releases

Public information issued to the news media.

Retain until no longer useful, then transfer to archives.

University Relations

Procedures Manuals

Original copies of agency procedures issued in a collective manual.

Retain until superseded or no longer in effect, then transfer one copy to the archives, destroy the remainder.

Library/Special Collections (Archives)

Professional Organizations files

Documents relating to membership/participation in professional organizations.

Two calendar years then destroy.

Organization

Programs and Invitations

Documents related to official agency functions.

Retain until no longer useful, then transfer to the archives.

University Relations; President’s Office; Department of Origin

Property Disposition Records, Non- Expendable

Copies of DA forms 83 and supporting documents used to remove capital equipment from the agency inventory.

Retain three fiscal years and then destroy.

Financial Operations

Publications

Internally produced newsletters, pamphlets, leaflets, and brochures distributed to inform a constituency about the activities of the agency.

Retain in office one year, then transfer two copies to the archives and destroy the remainder.

University Relations

Receipts Records, Cash

Records of cash received by the agency: receipt slips, receipt books, receipts ledgers, etc.

Retain three fiscal years and then destroy.

Financial Operations; Dept of Origin

Records Management Records

Documents related to the management of agency records including completed survey forms, inventories, and other miscellaneous materials such as correspondence or reference materials.

Retain survey forms and inventories until superseded, then contact the archives for appraisal of other documents — if not accepted for transfer to the archives, then destroy.

Dept of Origin; Library/Special Collections

Recruitment Files

Variety of documents relating to the recruitment process for hiring employees to fill vacant positions.

Three calendar years then destroy.

Human Resources/classified; Division/unclassified; Academic Affairs/faculty

Registered Offender notification

 

Indefinitely

Police Department

Reorganization Studies

Records documenting actual and proposed agency organizational structure.

Retain in office three calendar years, and then transfer to the archives for purging.

President’s Office; Academic Affairs & Research

Request for Access to Records

Documents related to requests for access to state agency records and agency responses prepared pursuant to KSA 45-218.

Retain until no longer useful, then destroy.

Vice President & General Counsel; Human Resources

Schedules, Office Activities

Internal forms and calendars used to schedule employee or office activities (calendars and appointment books, etc.)

Retain until no longer useful, then destroy.

Department of Origin

Scrapbooks and Albums

Collection of miscellaneous documents regarding agency activities.

Comments: Retain until no longer useful, then contact the archives for appraisal — if not accepted for transfer to the archives, then destroy.

See comments.

Department; Library/Special Collections; University Relations

Security Records

Security logs, sign-in sheets, security activity reports, incident reports, etc. relating to security provided for agency buildings and grounds.

Five calendar years then destroy.

Department of Origin

Security Reports – Routine

Reports relating to routine incidents that do not require further investigation

Retain two years after the date issued, then destroy.

Department of Origin

SHARP Reports

Computer reports concerning agency payroll issued on a periodic basis from the Division of Accounts and Reports to agencies in the Statewide Human Resources Project.

Retain electronic or paper copy three fiscal years, and then destroy. Not applicable to the Division of Accounts and Reports.

Payroll; Human Resources

Speeches and Writings

Notes, drafts, and final versions of agency related speeches, articles, talks, and other formal public communications published or given at meetings and conferences.

Retain until no longer useful, than transfer to archives.

Department of Origin

STARS Reports: Daily Financial

Computer reports regarding agency financial status issued on a daily basis from the Division of Accounts and Reports to agencies in the Statewide Accounting and Reporting Systems.

Comments: Schedule does not apply to originals maintained at Accounts and Reports. Replaces the old CASK Reports. Includes: DAFR8010, DAFR8120, DAFR8210, DAFR8420, DAFR8101, etc.

Retain until no longer useful, then destroy.

Financial Operations

STARS Reports: Monthly Financial

Computer reports regarding agency financial status issued on a monthly basis from the Division of Accounts and Reports to agencies in the Statewide Accounting and Reporting Systems.

Comments: Schedule does not apply to originals maintained at Accounts and Reports. Replaces the old CASK Reports. Includes: DAFR8290, DAFR8300, DAFR8280, DAFR8070, DAFR8101, etc

Retain until no longer useful, then destroy.

Financial Operations

STARS Reports: Yearly Financial

Computer reports regarding agency financial status issued on a yearly basis from the Division of Accounts and Reports to the Statewide Accounting and Reporting Systems.

Comments: Schedule does not apply to originals maintained at Accounts and Reports. Replaces the old CASK Reports. Includes: DAFR8290. DAFR8101, DAFR7680, DAFR8120, DAFR8210, etc.

Retain until no longer useful, then destroy.

Financial Operations

Strategic Planning Files

Variety of documents relating to the strategic planning process for the agency

Retain until no longer useful or superseded, then transfer to the archives for purging.

President’s Office; Academic Affairs & Research

Summary Computer Usage Reports

Summary reports and other paper records created to document computer usage.

Retain until no longer of administrative value to the agency, and then destroy.

UCATS

Supply Requests – Internal

Documents used by subordinate organizations to order expendable supplies from central supply room.

Three fiscal years then destroy.

Department of Origin

System Backup Files

Copies of master files or databases, application software, logs, directories, and other records needed to

Retain a minimum of 12 system backup cycles, then destroy.

UCATS

System Users Access Records

Electronic or textual records created to control or monitor individual access to a system and its data for security purposes, including but not limited to, user account records, security logs, and password files.

Retain until no longer of administrative use to the agency, and then destroy.

UCATS

Tape Library Control Records

Records used to control the location, maintenance, and disposition of magnetic media in a tape library including a list of holdings, control logs, and other data regarding the destruction of the tape library electronic files.

Retain until superseded, then destroy.

Library

Technical Program Documentation

Copy of program/code/program flowcharts, program maintenance log, system change notices, original design documents, specifications, requirements, acceptance tests, and other records that document computer programs and the modifications made to the computer programs.

Retain until all data in system has been migrated or destroyed, then destroy.

UCATS

Technical Reference Files

Copies of documents retained strictly for convenience of reference that are not part of official files: copies of external reports, studies, periodicals, books, brochures, catalogs, vendor lists, etc.

Retain until no longer useful, and then destroy.

Library

Telecommunications logs

Registers recording incoming and outgoing telephone calls and fax transmissions

Six months and then destroy.

Department of Origin

Telephone Accounting System Reports

Computer generated reports listing all telephone calls made or received individual extensions within the agency

Three fiscal years then destroy.

Information may be in either paper or digital format.

Telecommunications; Department of Origin

Telephone Billing Records, KANS-A- N

Copies of computer billings received from the Department of Administration and supporting documents concerning the use of the KANS-A-N telephone service.

Retain three fiscal years and then destroy.

Telecommunications

Test Database Files

Routine or benchmark datasets, related documentation, and test results constructed or used to test or develop a system

Retain until the version of the system tested is no longer in use, and then destroy.

UCATS

Travel Request and Authorization Records

Records related to employee travel: DA forms 25 (Request for Out of State Travel) and various internal documents.

Comments: See also Travel Vouchers and Vehicle Operation Records.

Retain three fiscal years and then destroy.

Financial Operations

Vehicle Maintenance and Ownership Records

Documents related to the legal ownership and maintenance of agency vehicles: maintenance logs, legal titles, warranties, etc.

Comments: Retain for the life of the vehicle, then transfer to subsequent owner or destroy as appropriate. See also Equipment Ownership and Maintenance Records.

See comments.

Department the vehicle is assigned.

Vehicle Operation Records

Documents related to the use of state-owned motor vehicles: MP forms 1a, 2c, 3a, 3b, 10, 20, and internal agency forms.

Retain three fiscal years and then destroy.

Department the vehicle is assigned.

Vendor Files

Records concerning purchases from specific vendors: invoices, correspondence, vouchers, ledger books and cards, etc.

Comments: See also Vouchers and Requisitions, Purchasing Records, Bid Records, Contracts, and Accounts Payable Records.

Retain five fiscal years and then destroy.

Financial Operations

Visitors Logs

Registers or logs used to record names of employees, outside contractors, service personnel, and other visitors admitted to agency facilities.

Retain until no longer useful, and then destroy.

Library, Ulrich Museum

Voice Mail Messages

Sound recordings produced by a voice mail system designed to leave messages for the receiver.

Retain until no longer useful, then destroy.

Department of Origin.

Vouchers and Requisitions, Purchase

Copies of documents used to order and pay for goods and services: DA forms 100 through 109 and DA 120. Comments: This schedule includes all variations of the above forms mentions, eg. DA- 120 and DA-120P.

Retain five fiscal years and then destroy.

Financial Operations

Vouchers, Journal

DA forms 35 series used to adjust financial account balances.

Retain three fiscal years and then destroy.

Financial Operations

Vouchers, Receipts

Copies of documents used to transfer funds received by agencies from individuals and organizations into their particular accounts: forms DA-3 series.

Retain three fiscal years and then destroy.

Financial Operations

Vouchers, Travel

Copies of documents used to certify the validity of claims for the reimbursement of travel expenses: DA forms 121, 122, and 123.

Comments: Includes all variations of forms, eg. DA-121E and 121R, etc.

Retain three fiscal years and then destroy.

Financial Operations Travel Section

Web Server Aggregate Reports

Reports periodically generated from the Web transaction log data to indicate aggregate values and trends.

Two fiscal years then destroy.

UCATS

Web Server Transaction Logs

Raw data captured from the hypertext transfer protocol (HTTP) header during a Web transaction and stored in a log file.

Six months then destroy.

UCATS

Word Processing Files

Electronic copies of documents produced with word processing programs.

When electric documents are only copy, disposition must be on an approved schedule. When used to produce hard copy that is maintained according to approved schedule — delete when no longer useful.

Department of Origin

Work Orders and Logs

Internal documents used to request and record requests for the performance of maintenance or other services.

Retain three fiscal years then destroy.

Physical Plant; Department of Origin

 

STUDENT RECORDS

   

Academic Actions

Dismissal, exception reports, etc.

Five years from graduation or date of last attendance.

Registrar’s Office

Academic Honesty Code Violations

Case file with findings of violation

Permanent

Campus Life & University Relations; Director of Student Conduct and Community Standards

Academic records

Includes narrative evaluations, competency assessments, etc.

Permanent

Registrar

Change of Course Forms

 

Five years from date of enrollment

Registrar

Change of grade forms

 

Permanent

Registrar

Change to Student ID Number

 

Permanent

Registrar

Class lists

Original

Permanent

Registrar

Consent to Release Personally Identifiable Information

 

Kept until next academic year; signatures kept five years

Registrar

Course Offerings

 

Permanent

Registrar

Curriculum Change Authorizations

 

Five years from graduation or date of last attendance.

Registrar

Disciplinary records

Findings of violation and related case files

Permanent where penalty imposed is probation, suspension or expulsion (dismissal); otherwise five years from finding.

Campus Life and University Relations; Director of Student Conduct and Community Standards

Enrollment Verifications

 

One year from enrollment date.

Registrar

Financial Aid Records

Applicants who do not enroll

Three years from date of graduation.

Financial Aid

Financial Aid Records

Applicants who enroll

Five years from graduation date.

Financial Aid

Grade Sheets

 

Permanent

Faculty staff

Graduation Lists

 

Permanent

Registrar

Hold or Encumbrance Authorizations

 

Until released.

Registrar; Campus Life and University Relations

Name Changes

 

Permanent

Registrar

Student class Schedules

 

One year from graduation date or date of last attendance.

Registrar

Student Registration Forms

Continuing Education, summer sessions and extramural studies

One year from registration.

Registrar; (Graduate School)

Term reports

 

Five to seven years

Registrar; Faculty staff

Transcripts

 

Permanent

Registrar

Transcript requests

 

One year from submission date.

Registrar

Transfer Credit Evaluations

 

Five years from graduation.

Registrar

Veteran Administration Certifications

 

Five years from graduation or date of attendance.

Office of Veterans Service

Withdrawal Authorizations

Includes leaves of absence

Two years

Registrar

Admissions for Applicants Who Do not Enroll, Whether Accepted or Rejected

Record Type Description Schedule Repository

Advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports (ACT, CEEB, et.al.) residency classification forms, letters of recommendation, transcripts – high school and other college

 

Two years from Date of start or application term.

Registrar

Admission for Applicants Who Do

Record Type Description Schedule Repository

Advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports (ACT, CEEB, et.al.) residency classification forms, letters of recommendation, transcripts – high school and other college

 

Five years from graduation or date of last attendance.

Registrar

Admission for Applicants Who Enroll

Record Type Description Schedule Repository

Advanced placement records, applications for admission or readmission, correspondence that is relevant, entrance exam reports

 

Five years from graduation or date of last attendance.

Registrar

Letters of recommendation

 

Until date of admission.

Registrar

Recruitment materials

 

Until date of enrollment

Admissions

Residency certifications

 

Until date of enrollment

 

Residency change documents

Non-resident to resident

Five years from graduation or date of last attendance

Registrar

Student Waiver for Right of Access

 

Until graduation or date of last attendance.

Registrar

Transcripts – high school and other college

 

Five years from graduation or date of last attendance.

Registrar

International Student Forms

Visa documentation, etc.

Five years

Registrar; International Education

Publications, Statistical Data/Documents, and Reports

Record Type Description Schedule Repository

Degree, grade, enrollment, and racial/ethnic statistics

 

Permanent

Registrar

Schedule of Classes

Institutional

Permanent

Registrar

SUNY reports

 

Permanent

 

Catalogs

 

Permanent

Admissions

Commencement Programs

 

Permanent

University Conferences

Academic Personnel

Record Type Description Schedule Repository

Academic Search Records

 

Three years from date of appointment.

Academic Affairs

Annual Conflict of interest Disclosure Statements

 

Three years

Academic Affairs

Grievances

 

No Cause findings: three years from determination

Cause findings, Permanent

Academic Affairs; Vice President & General Counsel

Personnel files, appointment letters and forms

 

Six years after appointment.

Academic Affairs

Tenure or promotion dossiers

 

If action approved, three years

If tenure denied, three years from end of term appointment.

Academic Affairs

Trustee decisions regarding academic personnel designated executives

 

Permanent

Academic Affairs