MyBrookdale

2.3000R Records Storage, Retention, and Disposal

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I. Title of Regulation

Records Storage, Retention and Disposal

II. Objective of Regulation

To effect an efficient records environment at the College in accordance with State, Federal and local law so as to control the storage and disposal of official College records.

III. Authority

Bylaws of the Board of Trustees, Section 1.3034(g)

IV. Regulation Statement

In order to maintain an efficient records environment at the College, it is necessary to establish standards, schedules and procedures governing the storage and disposal of records that insure compliance with applicable State, Federal and local laws, follow sound business practices, and serve the best interests of the College.

To accomplish this, the following procedures and Records Retention Schedule are established concerning the required storage locations, disposal and retention periods of records.

A. Procedures

Holders of Original Records
The Records Retention Schedule will serve as the primary source for defining holders of original records, which will normally be the unit creating the record. There may be limited cases, especially in Personnel and Finance, where a record is so designated under two or more units to ensure back up for especially important records. In such cases, the Vice President, Administrative Services, will define the location of the original and annotate the Schedule accordingly.

Disposal of Original Records
Under no circumstances will an original record be disposed of or destroyed prior to the expiration of the stipulated retention period as set forth in the Records Retention Schedule.

Upon expiration of the retention period, the holder of record will submit the original to the Executive Vice President for Administration, Operations and Information Technology Services. The Executive Vice President will insure expiration of the retention period, consult with College Counsel, if necessary, and review potential historical value with the Executive Assistant to the President and/or the College Archivist.

After such review, the Executive Vice President will rule as to the disposition of the record. If the decision is to dispose of or destroy the record, the Executive Vice President will effect disposal. If the decision is to retain the record for historical value, the record will be forwarded to the appropriate party. Under no circumstances will the holder of an original record effect the actual disposal or destruction of an original record. This function is solely the responsibility of the Executive Vice President for Administration, Operations and Information Technology Services.

Disposal of Copies, Duplicates
Prior to the disposal of any copy or duplicate of a record, a unit head will refer to the Records Retention Schedule to determine the holder of the original and request oral confirmation that the original still resides there. Upon receipt of such confirmation, the unit head may proceed with the disposal of said copy. If confirmation cannot be given, the unit head will then contact the Office of the Executive Vice President for Administration, Operations and Information Technology Services, and request that a search for the original be initiated. If the search is successful, the Executive Vice President will insure that the original is forwarded to the holder of record as defined and so notify the unit head, thereby approving disposal of the copy in question. If the search is unsuccessful, the Executive Vice President will insure that a copy is forwarded to the holder of record for retention as a conditional original and notify the unit head approving or disapproving disposal of the copy.

Questions, Clarifications and Disputes
In cases regarding questions, clarifications or disputes, the Executive Vice President, Administration, Operations and Information Technology Services, will be the sole adjudicator.

B. Records Retention Schedule

See following Records Retention Schedule.

V. Responsibility for Implementation

Executive Vice President for Administration, Operations and Information Technology Services


Approval: President 11/15/79
Effective: 11/15/79
Updated: 2/09


 

GENERAL RECORDS

RECORD TITLE  RETENTION PERIOD
Correspondence – Internal Periodic Review
Correspondence – General 3 Years and Review for Archives
Inventories – Departmental As Updated
Budget Workpapers 1 Year
College Processing Forms – Copies*
(Work Orders, Purchase Orders, Personnel Requests, etc.)
2 Years
Minutes of Standing Committees Permanent
Minutes of Ad Hoc Committees 3 Years and Review for Archives

*Originals of all such documents will be retained as specified under the unit maintaining control of process.

 

PRESIDENT’S OFFICE

RECORD TITLE RETENTION PERIOD
Operating Manual of Board of Trustees As Updated
DHE Regulations, Standards, Approvals, Funding Notifications As Updated
Accreditation Reports & Awards Permanent
Annual Reports Permanent
College Management Documentation 2 Years & Review
Board Policies and College Regulations As Updated

BOARD OF TRUSTEES

RECORD TITLE RETENTION PERIOD
Minutes of Board of Trustees Permanent
Minutes of Executive Committees Permanent
Minutes of Standing committees Permanent
Minutes of Ad Hoc Committees Permanent
Board Correspondence Permanent
Committee Materials (Work Papers) 10 Years
Board Materials (Work Papers) 10 Years
Board of Trustees Membership List Permanent
Bylaws and Regulations of the Board of Trustees Permanent

BROOKDALE FOUNDATION TRUST

RECORD TITLE RETENTION PERIOD
Minutes of Meetings Permanent
Legal Documents Permanent
Financial Statements Permanent
Correspondence Permanent
Membership List Permanent

 BROOKDALE ALUMNI ASSOCIATION

RECORD TITLE RETENTION PERIOD
Minutes of Meetings Permanent
Legal Documents Permanent
Financial Statements Permanent
Correspondence Permanent
Membership List Permanent

 HUMAN RESOURCES

RECORD TITLE RETENTION PERIOD
Personnel Folder Permanent – Microfilm After 7 Years
Grievance Files Permanent
Employment Application & Resumes 1 Year After Selection
Personnel Policies Permanent
Employee Benefit Information Permanent
Negotiations Information 1 Year and Review After Contract Re-negotiations
Salary & Benefit Surveys 1 Year and Review
Job Descriptions Permanent
Personnel Advertisements 1 Year and Review
Organizational Chart As Updated
Affirmative Action Files Permanent
OSHA Records 5 Years
Time Exception Reports 7 Years After Termination of Employee
 Personnel Requests  3 Years and Review
Employee Schedules (including faculty) 3 Years
Staff Handbooks As Updated

RESEARCH

RECORD RETENTION PERIOD
DHE Research Advisory Committee/Slib As Updated
HEGIS Reports Permanent
External Reporting Forms & Reports 3 Years
Enrollment Projection 2 Years
Enrollment Statistics Permanent
Office of Research Reports Permanent
Original Survey Questionnaires 4 Years
Research Notes and Materials 1 Year
Fact Book As Updated

 GRANTS AND INSTITUTIONAL DEVELOPMENT

RECORD TITLE RETENTION PERIOD
 Grants – Successful  10 Years After Completion of Grant
 Grants – Unsuccessful  3 Years After Submission
 Press Releases  3 Years then Permanent in Arch.
 Official College Publications  Permanent
 College Catalog  Permanent
 Press Clippings; Other Publicity 3 Years then Permanent in Arch.
 Photographs, Negatives, Slides Permanent

EXECUTIVE VICE PRESIDENT FOR ADMINISTRATION, OPERATIONS
AND INFORMATION TECHNOLOGY SERVICES

RECORD TITLE RETENTION PERIOD
DHE Budget Submission Permanent
Official Audit Reports Permanent
Budget Manual As Updated
Forms Log As Updated
College Budget Permanent
Contracts – General 10 Years After Completion
Contracts – Building 10 Years
Request & Authorization for Record Disposal by
State, County or Municipal Agencies
Permanent

DIRECTOR OF ACCOUNTING

RECORD TITLE RETENTION PERIOD
Enrollment Registers – Back up File 10 Years
College Budget Permanent
Annual Audit Reports Permanent
Quarterly Reports 6 Years
Procurement Requisitions – Back up File 2 Years
Budget Revisions – Back up File 2 Years
Employment Recommendations – Back up File 2 Years
Personnel Requests – Back up File 2 Years
Trustee Reports 6 Years
Invoice Vouchers – Back Up File 2 Years
Minor Capital Requests 3 Years
General Correspondence 3 Years
Budget Correspondence 5 Years
Budget Schedules 5 Years
Copies of Check Register – Back Up File 2 Years
Mileage and Travel – Back Up File 2 Years
Personnel Files Permanent
F.T.E. Calculation Permanent

ACCOUNTS PAYABLE, GRANTS AND BUDGETS

RECORD TITLE RETENTION PERIOD 
Account Summary – Year End Permanent
Account Summary – Monthly 6 Years
Departmental Ledger – Year End Permanent
Departmental Ledger – Monthly 6 Years
Trustee Check Register 6 Years
In-House Check Register Permanent
Object Code Listing – Year End 6 Years
Open Purchase Order Listing 3 Years
Year to Date Check Register – Year End 6 Years
Vendor Expenditure Listing – Year End 3 Years
Vendor Books 1 Year
Journal Entries 6 Years
Budget Revisions 3 Years
Food Service Requisitions 6 Years
Vehicles Maintenance Charges 3 Years
Paid Vouchers (Includes check copy, receiving report,
purchase order, etc.)
 6 Years
Operating Bank Reconciliations 6 Years
Bank Statements 6 Years
Cancelled Checks 6 Years
Bookstore Requisition & Paid Out Reports 6 Years
Grant Files – Successful 6 Years (or Federal Reg.)
Grant Files – Unsuccessful 1 Year
Inventories of Auxiliary Services 6 Years

PAYROLL

RECORD TITLE          RETENTION PERIOD     
Payroll Register Permanent
Deduction Registers – Year End Permanent
Deduction Registers by Individual – Year End 10 Years
W-2 Register 10 Years
Employee History File As Updated
Supplemental Check Register Permanent
Encumbrance Ledger 10 Years
Object Code Listing 1 Year
Deduction Registers Per Pay 10 Years
Deduction Registers by Individual Per Pay 10 Years
941 10 Years
W – 2 6 Years
W – 4 Permanent or 7 Years
After Termination
Employment Recommendations 10 Years
Employee Time Sheets 6 Years
Coding Sheets 6 Years
Pension Reports – Monthly and Quarterly Permanent
Sick, Personal and Vacation Days Permanent or 7 Years
After Termination
Reconciliation Records of Gross Pay and Various Deductions 10 Years
Credit Union 6 Years
Garnishes 6 Years
Liquidation Per Pay Period 10 Years
Unemployment Records 10 Years
Transfer Summary 10 Years
Employee Data Files Permanent or 7 Years
After Termination
Job Description Permanent – Updated

ACCOUNTS RECEIVABLE

RECORD TITLE              RETENTION PERIOD         
Tuition Books Per Semester – Year End 10 Years
Financial Aid Journal – Year End Permanent
Cash Receipts Journal Permanent
Financial Aid Ledger Permanent
Financial Aid Detail by Semester – Year End 10 Years
Student Balance Due Report Per Semester – Year End 10 Years
Daily Cash Receipt Batches 5 Years
Student Registration Copies 5 Years
Financial Aid Files – NDSL/NL Permanent or 6 Years
After Payment in Full
Accounts Receivable – Invoices 6 Years
Cashier Reports and Related Support 6 Years
Duplicate Check Copies of Financial Aid Disbursements 6 Years
Duplicate Check Copies of Tuition Refunds 6 Years
Restriction Copies Permanent or 6 Years
After Payment
Restriction Copies – Release Copies 6 Years
Collection Agency Files Permanent or 2 Years
After Payment in Full
Scholarship Files 6 Years
Computer Contracts 6 Years – After Completion
Chargeback Files 6 Years
Sales Tax File 6 Years 6 Years

CAMPUS SERVICES/BOOKSTORE

RECORD TITLE       RETENTION PERIOD         
Insurance Policies 6 Years After Expiration
Insurance Risk Management Manual As Updated
Accident Reports 5 Years
Bookstore Financial Reports 6 Years
Bookstore Inventory Reconciliation 3 Years
Bookstore Purchase Returns 3 Years
Bookstore Requisition 5 Years

PURCHASING/COMMON SERVICES

RECORD TITLE        RETENTION PERIOD       
Purchase Orders 6 Years or 2 Years and Microfilm
Bid Documents – Successful 5 Years After Completion/Receipt
Bid Documents – Unsuccessful 3 Years and Review
Advertisements for Bids 3 Years
Capital Inventory As Updated
Requisitions 6 Years or 2 Years and Microfilm

INFORMATION TECHNOLOGIES

RECORD TITLE        RETENTION PERIOD     
Systems & Procedures Documentation When Obsolete
Registration Files (Tapes) Permanent
Systems & Program Library Files (Tape/Disk) Permanent

PHYSICAL PLANT

RECORD TITLE       RETENTION PERIOD    
Blueprints & Specifications Permanent
HVAC, Electrical & Plumbing Data Permanent
Key Record for Door Locks As Updated
Vehicle Maintenance Report 7 Years After Disposition of Vehicle
Fire Alarm System Drawings Permanent
Elevator Service Order 10 Years
Building Safety Inspection 10 Years
Work Orders 1 Year
Utility Statistics 5 years

SAFETY AND SECURITY

RECORD TITLE      RETENTION PERIOD     
Traffic Regulations, Laws As Updated
Parking Violations 2 Years
Procedure Manual As Updated
Activity Reports, Incident Reports Permanent

EXECUTIVE VICE PRESIDENT EDUCATIONAL SERVICES

RECORD TITLE     RETENTION PERIOD   
Curriculum Approval Documents 2 Years and Review
Faculty-wide Projects 2 Years and Review
Faculty Development Files 2 Years and Review
College Calendar 3 Years and Review
Organizational Chart As Updated

ACADEMIC DIVISION DEANS

RECORD TITLE  RETENTION PERIOD
Curriculum Development Files 2 Years and Review
Instructional Staff Development Files 2 Years and Review
Division Projects  2 Years and Review

BUSINESS AND COMMUNITY DEVELOPMENT

RECORD TITLE  RETENTION PERIOD   
Active Student Folders 1 Year
Community Development Course/Program Files 3 Years
Registry of Cultural Events 3 Years
Course Development Project Files 2 Years

LIBRARY

RECORD TITLE  RETENTION PERIOD    
Reference Activity – Estimates  As Updated
Circulation Statistics As updated
Acquisition Statistics As updated
Periodicals Received Files  As updated
Shelf List As updated
Card Catalog  As updated
Inventory of Library & A/V Equipment  As Updated
Books and Order File  As Updated
Production Files  3 years
Request for Media Service 1 Year
Production Release Forms Permanent
Materials Requested and Received by Staff 1 Year
Copyright Records Permanent

STUDENT DEVELOPMENT/COUNSELING

RECORD TITLE RETENTION PERIOD
Student Counseling and Placement Files 2 Years After Termination of Enrollment
Student Evaluation Test Results 2 Years

FINANCIAL AID

RECORD TITLE       RETENTION PERIOD
Financial Aid Award Letters 10 Years After Termination of  Enrollment
Institutional Allocations & Funding 10 Years
E.O.F. Student Summary Sheets 10 Years
Loan Files 10 Years
Financial Aid Reports 10 Years
Scholarships 6 Years
Roster of Financial Aid Recipients 10 Years
Guaranteed Student Loans 10 Years
Outside Contracts for College Work Study 10 Years

EDUCATIONAL OPPORTUNITY FUND

RECORD TITLE   RETENTION PERIOD
E.O.F. Proposals 3 Years
Program Evaluations 3 Years
Financial Reports 3 Years
Counselor Evaluations 3 Years

ADMISSIONS AND RECORDS

RECORD TITLE        RETENTION PERIOD    
Application for Admission, Student Who Does Not Enroll 1 Year
Application Form for Enrolled Student 2 Years after Last Term of Enrollment
Registration Form 2 Years after Last Term of Enrollment
Add/Drop Form 2 Years after Last Term of Enrollment
Student Correspondence 2 Years after Last Term of Enrollment
High School Transcripts 2 Years after Last Term of Enrollment
College Transcripts 2 Years after Last Term of Enrollment
Health Inventory 2 Years after Last Term of Enrollment
Change of Program and Counselor Form 2 Years after Last Term of Enrollment
Matriculation Application 2 Years after Last Term of Enrollment
Escrow/Fast Start Approval Form 2 Years after Last Term of Enrollment
Credit by Examination Application Form 2 Years after Last Term of Enrollment
Authorization for Refund 2 Years after Last Term of Enrollment
Change of Grade Form Permanent
Request to Review Educational Records Permanent
Record of Educational Records Released Permanent
Special Project Contracts Permanent
Deferred Credit Completion Form Permanent
Term Enrollment Rosters Permanent
Term Master Schedule Permanent
Term Listing of Faculty Teaching Sections Permanent
Course Substitution Forms Permanent
Graduation Evaluations Permanent
Student Grade Reports Permanent
External Transcript Permanent
Cumulative Log: 5.0028R Permanent
Transfer Credit Evaluations Permanent
Course Master File Permanent
Catalog Permanent
Monitoring System (Individual Faculty Referral Form) Permanent

TESTING SERVICES

RECORD TITLE       RETENTION PERIOD    
Pre-Registration Test Scores Permanent
College-Level Examination Program Scores Permanent
Career & Psychological Test Results for Students 3 Years
Course Tests in Testing Center As Updated by Faculty
Course Test Answer Sheets in Testing Center As Updated by Faculty
Course Test Answer Keys in Testing Center As Updated by Faculty
Course Test Item Analyses 6 Months
Career Testing Results for Career Clinic Clients Permanent

STUDENT ACTIVITIES

RECORD TITLE        RETENTION PERIOD   
Student Handbook As Updated
Constitutions and Rosters, Student Clubs and Organizations As Updated, Review for Archive
Awards Day Recipients 2 years
Calendar of Events As Updated
Student Government; Charters, Constitutions Permanent
Informational Material 1 Year
Alcohol Policy and Events As Updated
Commencement Information As Updated
Contracts – Student Activities 6 Years after Termination of Contract
Evaluation of Events Forms 1 Year
Student Election Petitions and Results 2 Years
Student Disciplinary Files 3 Years After Termination
of Enrollment
Intercollegiate Athletics
Eligibility Lists 1 Year
Athletic Records (Won – Lost) Permanent
Team Rosters Permanent
Scholar Athlete Awards Permanent
Other Awards Permanent

HEALTH SERVICES

RECORD TITLE RETENTION PERIOD     
Student Accident and Health Records  7 Years
Employees Accident and Health Records  7 Years
Blood Bank Program  1 Year

VETERANS AFFAIRS

RECORD TITLE       RETENTION PERIOD     
Student Veterans Roster 10 Years
Veteran Affairs Forms 10 Years
Veteran Student Enrollment 10 Years
Application for Veteran’s Benefits 10 Years
Federal Guidelines on Veterans Affairs Regulations As Updated
Military Evaluation – Inactive 1 Year