FI0120 – Records Management

Effective: July 1, 2016
Revision No: 11
Topics:
General Policies Procedures
Confidential Records Forms
Electronic Recordkeeping Contacts
Disposal of Records Related Policies
Minimum Retention Periods For University Records
Objective:

To provide guidance for identifying, maintaining, preserving and destroying university records while complying with applicable laws and regulations.

Policy:

General Policies [top]

  1. All records created or received, by departments are the property of the university and must be retained and disposed of in accordance with this policy. No university record may be disposed of until the minimum retention period has elapsed. Retention periods should include time maintained in the department combined with retention in a university storage facility or computer system.

  2. Records mean all documents, papers, letters, maps, books, photographs, microfilms, electronic media, or other digital format.

  3. All university records must be maintained in a manner that provides the following: (1) Access for authorized faculty and staff to carry out their normal job responsibilities and (2) Reasonable protection against misplacement, loss, destruction, or theft.

  4. Unless authorized by the campus/institute Chief Business Officer or Chief Financial Officer, university records must be stored on the premises or an approved off-site storage facility at all times. If records are loaned to other departments or university employees, the department should document the loan (i.e., describe the records, and the dates of loan and the name of the borrowing department, and requestor).

  5. Records should be maintained in a secure environment that is free from vermin, flooding, fire hazards, and unusual amounts of moisture, heat, and dust.

Confidential Records [top]

  1. Many university records contain confidential information such as social security numbers, credit card information and bank account data. Furthermore, state and federal laws such as the Family Rights and Privacy Act, the Health Insurance Portability and Accountability Act, and the Gramm-Leach-Bliley Act require that various confidential records be protected from unauthorized access. Departments must implement practices that protects confidential information contained in university records in accordance with relevant laws and the University's Information Technology Policy. Such protections must be applied in maintaining paper records, electronical records, stored and archived records and in the destruction of records.

  2. Records containing social security numbers, credit card numbers, medical information or other sensitive information should not be stored electronically outside of one of the major computer systems, unless approval has been obtained by the campus/institute information security officials.

Electronic Recordkeeping [top]

  1. Whenever possible, any paper records should be scanned and uploaded to one of the university's centrally managed enterprise-wide computer systems. Electronic documents saved in one of these systems are considered original records and the paper versions are considered copies for purposes of this policy and the record retention periods. Departments should ensure that information from the paper version has been properly imaged and saved in the system before destroying it. These systems are scheduled for frequent back-ups, are protected by computer security experts and provide easy access to all authorized university personnel. They also reduce filing and storing requirements in the department. The university's major computer systems include:

    1. IRIS - Financial and human resources system

    2. ANDI - Fundraising

    3. Taleo - Employee recruitment

    4. E-Visions - Sponsored programs and award

    5. ESM - Procurement and UT Marketplace system

    6. Other campus systems including:

      1. ARCHIBUS - Facilities management systems

      2. Banner - Student Systems

      3. Systems approved by the campus/institute information technology departments.

  2. Departments storing records in an electronic format outside of one of these systems must ensure that the records stored are readable, easily retrievable, and are stored on university servers that are properly backed-up with adequate security measures. These records should not be solely stored on devices that are easily removable.

  3. All records stored electronically, including the records on enterprise-wide systems must comply with all university Information Technology Policies.

  4. Departments should establish and apply retention schedules for records in their custody that are not covered by this policy.

Disposal of Records [top]

  1. University records (regardless of the storage medium) may be disposed of provided that the minimum retention period stated below has elapsed and the department does not need the records for future administrative, legal, research/historical, or fiscal purposes.

  2. No documents should be destroyed during the pendency of threatened or active litigation, when a litigation hold has been issued by the Office of General Counsel or if any pending or actual federal, state or other audit is being conducted.

  3. The department head (or designee) is responsible for performing, at least annually, a review to determine the value or usefulness of the department's records. During this review, the department head (or designee) should identify all records that have met their relevant retention period (time in office plus time in storage) and are no longer needed for any purpose identified in this policy. He/she must designate each record as either an historical document to be transferred to University Archives or a document ready for destruction.

  4. The department head is responsible for authorizing the disposal of records. When the disposition is authorized, records containing social security numbers, credit card numbers, medical information or other sensitive information should be shredded or sanitized and not recycled. Records that do not have to be destroyed may be recycled if services are available.

  5. Records stored on computers, jump drives, CDs, etc, should be destroyed in a manner consistent with media sanitization methods. Campus information technology and/or surplus property departments can provide assistance on these methods.

Minimum Retention Periods for University Records [top]

  1. The minimum retention periods for most records are specified below. Individuals in the responsible office (official repository) who are responsible for the records specified in this policy must comply with all applicable laws and external agency regulations that may supersede the minimum retention periods in this policy. Questions concerning the minimum retention period for records not listed below should be addressed to the campus/institute Records Management office or the Chief Business Officer. In the following retention schedule, the responsible office must hold the official record or series of records for the stated time period.

    NOTE: For records associated with sponsored projects, The Responsible Office (as stated in the chart below) must comply with the sponsor's requirements for the destruction of the source documentation, unless the university's retention period is greater.



Business and Finance

Document (Includes paper and electronic media)

Responsible Office

Minimum Retention Period

Accounts Payable - Invoices Processed Centrally

Treasurer's Office

6 years after payment

Accounts Receivable and Supporting Documentation (includes customer account information, credit applications, fiscal year-end aging, returned check files, and other correspondence)

Department

6 years

Annual Report of the Treasurer

Treasurer's Office

Permanently

Assignment Records for Dormitories

Housing

6 years

Audit Reports - External

Department Audited

12 years

Audit Reports - Internal

Internal Audit

10 years

Audit Reports - Internal Investigation

Internal Audit

Permanently

Bank Statements and supporting documents including reconcilements, deposit slips, canceled checks and check register

Department

6 years

Budget Material - Campus

Business Office

10 years

Budget Materials - Official UT Budget

Treasurer's Office

Permanently

Capital Agreements (Construction/Renovation)

Treasurer's Office

Permanently

Cash Vouchers (CV's)

Bursar's Office

6 years

Claim Files

Risk Management

10 years

Collection Records ["ZK" document type  or Report of Departmental Collections (Form T-33)]

Department

6 years

Concession Sales Records

Department

6 years

Conference Rosters

Department

6 years

Contracts, Copies

Department

1 year after end of contract

Contracts, Originals

Treasurer's Office

6 years after termination

Deeds

Treasurer's Office

Permanently

Effort Certification Records

Treasurer's Office

6 years

Endowment and Living Trust Agreements

Treasurer's Office

Permanently

Equipment over $50,000

Purchasing

6 years after equipment retires

Expenditure documents attached in IRIS. Including invoices, miscellaneous reimbursements, credit memos, moving allowances documents, travel expenses, conference registrations, T-27s, T-29s and internal transfers.

Treasurer's Office

6 years after payment

Copies of expenditure documents attached in IRIS. Including invoices, miscellaneous reimbursements, credit memos, moving allowances documents, travel expenses, conference registrations, T-27s, T-29s and internal transfers.

Department

May be destroyed after ledger reconciliation

Facilities and Administrative Cost (formerly Indirect Cost) Study-Reports and Worksheets

Treasurer's Office

6 years

Financial Statements

Treasurer's Office

6 years

Housing Contracts

Housing Office

6 years after payment final payment or termination of the contract

Incident Reports

Risk Management

10 years

Internal Transfer (formerly Transfer Voucher) Supporting Documentation ("ZD" or "ZE" document type

Originating Department

6 years

Inventory Records

Department

6 years

Investment Records (includes trade tickets, broker statements, and general correspondence)

Treasurer's Office

6 years

Journal Voucher/Entry and SA Supporting Documentation

Treasurer's Office

6 years

Leases

Capital Projects

6 years after either final payment or termination of contract term

Ledgers (reconciled and reviewed)

Department

1 year

Minutes of Boards and Committees

General Counsel

Permanently

Mortgages/Debit Payment

Treasurer's Office

Permanently

Petty Cash - Receipts, duplicates (Form T-4)

Department

6 years

Policies and Procedures

Treasurer's Office

Maintain until superseded or obsolete

Procurement Credit Card Statements

Department

6 years

Procurement Credit Cards Receipts and Supporting Documents

Department

6 years

Purchasing - Purchase Orders,  Bid Documentation, Requisitions, Framework Purchase Orders , RFP, RFQ, Specifications, Bid Documentation, and Justification for Non-Competitive Purchases and Contracts forms

Purchasing Office

6 years after either final payment or termination of purchase order

Receipts for Funds Collected including -  Cash Register Tapes, Readings, and Reports

Department

6 years

Sales and Use Tax Records

Department

6 years

Sales Tax Exemption Certificates

Department

3 years

School Bond Authority Agreements

Treasurer's Office

Permanently

Service Center Rate Determination & Charges Backup

Department

Maintain until superseded

Surplus Sales Records

Campus Surplus Property

6 years after the sale

Surplus – Forms

Campus Surplus Property & Originating Department

6 years

Tickets, Ticket Stubs, and Reconcilements

Department

1 year

Vendor Request Documents, including W-9s

Treasurer's Office

Permanently

Workers' Compensation Records

Risk Management

5 years following end of year in which injury occurred, except when legal action is pending

Employee Records

Document

Responsible Office

Minimum Retention Period

Additional Pay Form

Treasurer's Office

Permanently

Applicant Statistics by Job Vacancy (name, sex, race, qualifications etc.) 

Human Resource

10 years

Direct Deposit Forms

Treasurer's Office

6 years after participation is terminated

Employee Earnings Records

Treasurer's Office

Permanently

Employment Applications

Human Resources

5 years

Employment Eligibility Verification (Form I-9)

Human Resources

Permanently

Flexible Benefits and Child Care Reimbursement Requests

University's Flexible Benefits Provider

6 years

FMLA Documents

Human Resources

5 years

Leave Records

Treasurer's Office

Permanently

Non-Exempt (Monthly and Biweekly) Time Records

Department

3 years

Payroll and Check Registers

Department

1 year

Payroll Deduction Cards

Campus Payroll Offices

3 years

Payroll Reduction Agreements

Benefits and Retirement Services

3 years

Personnel Files

Human Resources

Permanently

Personnel Requisitions

Human Resources

10 years

Retirement Records

Benefits and Retirement Services

Permanently

Return-to-work Releases and Working Restrictions

Department

5 years

Search Files (faculty and exempt staff)

Department or Head of Search Committee

5 years

Sick Leave Bank Requests

Sick Leave Bank Administrator

5 years

W-4 Forms

Payroll Offices

4 years

Student Records

Document

Responsible Office

Minimum Retention Period

Academic Records

Registrar

Permanently

Academic Second Opportunity Applications

Registrar

10 years

Admission Correspondence

Admissions

3 years

Admissions - completed international files

Admissions

5 years after graduation or date of last attendance

Advising Records

Advising Department

6 years from graduation or from date of last interaction

All records involved in any loan, claim, or expenditure questioned by a Title IV, HEA program audit, program review, investigation, or other review

Financial Aid

The later of (a) the resolution of that questioned loan, claim, or expenditure or (b) the end of the retention period applicable to the record.

Application - admitted and not enrolled

Admissions

2 years after application term

Application for Diploma

Registrar

1 year

Applications

Financial Aid

3 years from end of award year

Applications - admitted and enrolled

Admissions

5 years after graduation or date of last attendance

Applications - not admitted

Admissions

2 years after application term

Athletic Files

Department

10 years

Athletics Aid Files

Financial Aid

5 years from end of award year the student last attended

Athletics Eligibility and Student Files, NCAA

Registrar

Permanently

CEU's - Files – Non-credit courses (correspondence, catalogs, etc.)

Department

3 years

CEU's - Information –Non-credit courses (Rosters, payments, etc.)

Department

7 years unless longer by contract of governing body

Changes of Registration Forms (e.g., drop/add rolls, wp/wf forms)

Registrar

1 year

Correspondence (enrollment and degree verification)

Registrar

5 years after graduation or date of last attendance

Correspondence Grade Cards (courses taken through distance education)

Registrar

Permanently

Family Educational Rights and Privacy Act Documents (Academic Consent to Release)

Registrar

1 year

FERPA Privacy/Directory Exclusion Forms

Registrar

Permanently

Final Grade Rolls

Registrar

Permanently

Financial Aid Transcripts

Financial Aid

3 years from end of award year the student last attended

Fiscal Operations Report and Application to Participate (FISAP) in the Federal Perkins Loan, FSEOG, and FWS programs, and any records necessary to support the data contained in the FISAP, including the "income grid information"

Financial Aid

3 years after the end of the award year in which the FISAP was submitted

Graduation Files

Registrar

Permanently

Health Professions Student Award Records

Financial Aid

3 years from end of award year the student last attended

Incomplete application files

Admissions

1 year after application term

Loan Deferment Certifications

Registrar

1 year

Loans - Emergency Student Loan Agreements

Financial Aid

5 years after repayment

Loans - Guaranteed Student Loan Award Records 

Financial Aid

3 years from end of award year the student last attended

Loans - Health Education Assistance Loan Award 

Financial Aid

3 years from end of award year the student last attended

Loans - National Direct (Perkins) Loan Award Records 

Student Loans

3 years from date loan is assigned to the Department of Education, cancelled, or repaid

Loans - Nursing Student Loan Award Records 

Student Loans

3 years from end of award year the student last attended

Military Records

Registrar

5 years after graduation or date of last attendance

Nursing Student Loan Award Records

Financial Aid

5 years

Other records relating to the University's participation in the FFEL or Direct Loan Program

Financial Aid

3 years after the end of the award year in which the records were submitted

Readmissions applications

Admissions

5 years after graduation or date of last attendance

Records relating to a student or parent borrower's eligibility and participation in the FFEL or Direct Loan Program

Financial Aid

3 years from the end of the award year in which the student last attended

Registration Exceptions (late drop/add approvals, etc)

Registrar

1 year

Scholarships 

Financial Aid

5 years from end of award year the student last attended

SEOG, Pell Grant, Direct Student Loans, College Work Study Program, PLUS/SLS

Financial Aid

3 years from end of award year

Supplemental Grade Changes

Registrar

Permanently

Transcript Requests

Registrar

1 year

Transcripts (high school and non-university)

Admissions

5 years after application term

Veterans' Records

Registrar

3 years

Withdrawal Authorization

Registrar

2 years after graduation or date of last attendance

Transportation and Traffic

Document

Responsible Office

Minimum Retention Period

Motor Pool – Accident Reports Involving UT Vehicles

Campus Motor Pool

6 years

Motor Pool - Support for Departmental Charges

Preparing Office

6 years

Motor Pool - Authorizations to Drive UT Vehicles

Campus Motor Pool

1 year

Motor Pool - Depreciation Schedules

Campus Motor Pool

6 years

Motor Pool - Equipment Purchase Records

Campus Motor Pool

6 years

Motor Pool - Expense Folders by UT Vehicle

Campus Motor Pool

6 years

Motor Pool - Gasoline Tickets

Campus Motor Pool

6 years

Motor Pool - Internal Transfer Documentation

Campus Motor Pool

6 year

Parking - Registration Records

Campus Parking Office

6 years after payment

RESEARCH

Document

Responsible Office

Minimum Retention Period

Sponsored Project Files (Original)

Sponsored Projects Accounting or Post Award Office

6 years after termination and review by sponsor or by the contract clause

Sponsored Project Files (Original Documentation to Support Costs) [includes: effort certification documentation, invoices to vendors, payroll activity, transfer vouchers, cash receipts, cost sharing documentation, budget activity, travel, procurement card activity, journal vouchers, petty cash, purchase requisitions, etc]

Department

6 years after termination and review and review by sponsor or by the contract clause

Sponsored Project Proposals (Funded)

Research Office

6 years after termination of project and review by sponsor

Institutional Review Board (IRB) Minutes and other records

Research Office

3 years after completion of the study;  *all consent forms for clinical trials - 6 years after the date on which the subject signed the consent form containing a HIPAA authorization or the date when it was last in effect, whichever is later

Institutional Animal Care and Use Committees (IACUC) record (animal use protocols, meeting minutes, semi-annual program reviews and facility inspection records)

IACUC Office

The longer of 3 years or 3 years after the completion of IACUC protocol activities

IRB Study Records for all drug studies with an IND

HRRP/Research Office

2 years after (1) date a marketing  application is approved for the drug for the indication for which it is being investigated or (2) if no application is to be filed or if the application is not approved for such indication, the investigation is discontinued and FDA is notified

Intellectual Property Documentation, Including All Documents Relating to the Application for and Granting of All University Copyrights, Patents, and Trademarks

Research Foundation

Permanently

Research Conflict of Interest

3 years from the date of close of the related awards, date of final expenditures report to Public Health Service, or government action related involving these records.

Export Control

Export Control Officer

5 years after the end of the activity

Federal Grant Project Files

Business Office

6 years after award end date

Patients Records

Record or Document
(Includes all media types: paper, electronic, etc.)

Official Repository

Minimum Retention Period

Patient Medical  Records

Clinics

10 years

Patient Dental Records

Clinics

10 years

Patient Consent and Authorization Forms (Signed)

Clinics

6 years

Medical Logs (include but not limited to, Patient Check In, Admissions, Discharge, Transport, Patient Photo, Patient Service, Expired Drug Disposal

Clinics

3 years

Clinical Trials Patient Records

Department

2 years following the date a marketing application is approved; or after the investigation is discontinued and FDA is notified.

Disclosure of Protected Health Information (PHI) (may include the following forms: Restriction Request Form, Request for Confidential Communications Regarding Medical Information, Request for Accounting of Disclosures, Accounting of Disclosures of PHI, other HIPAA Forms.

Clinics

Current fiscal year plus 6 years

Patient Need Risk Assessment-Screening Forms (Forms for patients that are accepted as a teaching case. Otherwise, forms go into the patient record and are retained for that length of time.)

Clinics

1 year

Billing Detail (Provides itemized billing records for medical services rendered)

Clinics

7 years

Vet Med Medical Records – Radiographs

Vet Med

4 years


PROCEDURES [top]
Knoxville:  http://budget.utk.edu/fiscal-policy/
Health Science Center:  http://www.uthsc.edu/policies/w932_document_list.php?app=FSC
Institute of Agriculture:  https://ag.tennessee.edu/Pages/UTIApolicies.aspx
Martin:  http://www.utm.edu/departments/finadmin/procedures.php
Chattanooga: http://www.utc.edu/business-financial-affairs/fiscalpolicies.php

FORMS: [top]

FOR MORE INFORMATION: [top]

Debra Keck  (865) 974-6328  dkeck@tennessee.edu

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