ROGER WILLIAMS UNIVERSITY
(Not Including Law School)
RECORDS RETENTION SCHEDULE
Type of Record
Office Repository
Period of Time Retained
Principal Office in which Record is
Created and Retained Until No
Longer Needed by Principal Office
Period of Timed During Which
Record is Retained by the
University Before Being
Destroyed, in the Case of Certain
Records, or Permanently Retained,
either in the University Records
Repository or in University
Archives, in the Case of Other
Records
SECTION I – CORPORATE RECORDS/BOARD RELATIONSHIP TO PRESIDENT
Articles of Incorporation,
Secretary of the Board
Permanent
Amendments
Board of Trustee Minutes and
Secretary of the Board
Permanent
Approved Resolutions
(including Board Committee
Resolutions and Minutes)
Bylaws and Amendments
Secretary to the Board
Permanent
Annual Reports Filed with
General Counsel
Permanent
State
Appointment Letter/Contract
Secretary to the Board
Permanent
Pertaining to the President
Evaluations and Evaluation
Secretary to the Board
3 Years After Appointment as
President is Concluded
Reports Pertaining to the
President
Search Files for President
General Counsel
3 Years After Appointment of
President
SECTION II – OFFICE OF THE PRESIDENT
Institutional Accreditation
President
(NEASC and Others)
President’s Calendar,
President
Appointment Books, Daily
Schedules, Telephone Logs
Submissions for Institutional
President
Accreditation
President’s Communications to
President
Board of Trustees
President’s Communications to
President
Other Constituent Bodies or
Individuals (including
student(s)/Parent(s), faculty,
senate, union, etc.)
President’s Internal Directives
President
President’s Communications to
President
University Community
President’s OPEDs, Letters to
President
the Editor, Blogs, etc.
President’s Report
President
President’s General
President
Correspondence
Directives/Policies/Procedure
President
s/Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by President
Directives/Policies/Procedure
Issuing Authority (see below)
s/
Guidelines Issued by Other
Authority
Cabinet Meeting Minutes
President
Permanent
3 years
7 years
Permanent
5-‐ years
SECTION III – DIVISION OF ACADEMIC AFFAIRS
SECTION III(A) – ACADEMIC AFFAIRS – OFFICE OF THE PROVOST
5 years
5 years
2 years
Permanent
1 year
Permanent
Permanent
3 years
Directives/Policies/Procedure
s/Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by Provost
Provost’s Calendar,
Appointment Books, Daily
Schedules and Telephone Logs
Faculty Personnel Files
(including hire paperwork,
appointment letters/contracts,
salary records, status changes,
tenure/promotion,
retirement/termination and
appointment recommendations
Articulation Agreements
Grade Reports (grades
released to students)
Examinations, Answer Sheets,
Grade Books, Papers and
Projects
Theses and Dissertations
Sabbatical Leave file (including
application material, approval
letter and Report)
Self-‐Study Binder for Tenure
or Promotion (faculty)
Provost
Permanent
Provost
3 Years
Provost (Professional File)
7 Years after Separation
Human Resources (Personnel
File)
Provost
Faculty Member
Faculty Member
Permanent
1 Year After Distribution (final
grades); End of Term (interim
grades)
1 Year After End of Academic
Term
University Library
Provost
Permanent
7 Years After Separation from
Employment at University
Binder Returned to Faculty
Member. Copies of
Recommendations by UFRC,
FRC, Dean, Provost and
President to Professional File
with Provost
Dean
7 Years After Separation from
Employment at University
(Copies)
Academic Program
7 Years after Evaluation
Evaluation/Reports
Accreditation Reports
Provost
Permanent
(including submissions)
Academic School,
Departments, Programs
Directives/Policies/Procedure
Dean or Director
Permanent
s/Guidelines/Interpretations of
Policies/Decisions Issued by
Dean or Director
Faculty Senate Meetings and
Faculty Senate
10 years
Committee agendas,
resolutions and minutes
(includes documentation of
curriculum approval)
SECTION III(B) – ACADEMIC AFFAIRS – OFFICE OF ACADEMIC ADVISEMENT
Faculty Member (Advisor)-‐
2 Years after Graduation or
Academic Advisement Records
Until Graduation or Last
Last Attendance of Student
Attendance of Student, then to
Dean
SECTION III(C) – OFFICE OF REGISTRAR/STUDENT ACADEMIC RECORDS
Directives/Policies/Procedure
Registrar
Permanent
s/Guidelines/Interpretation of
Policies/Decisions Issued or
Transmitted by Registrar or
Registrar of Law School
Academic Discipline (warning,
Registrar
Permanent
suspension, dismissal)
Academic Calendar
Registrar
Permanent
Academic Integrity Code
Registrar
Record of Final Disposition for
Actions -‐ Violations Found
Offenses that Result in
Suspension or Expulsion:
Permanent. All Other Records:
7 Years.
Academic Integrity Code
Provost
Permanent
Actions – No Violations Found
Academic Personnel Actions –
7 Years After Separation from
Provost (Professional File)
Employment
Personnel Files (faculty
Human Resources
and other employees
(Personnel File)
in Division of Academic
Affairs)
Applications for Graduation
Registrar
Permanent
(degree or other credential)
Academic Audit Authorizations
and Records
University Catalogs
Change of Course Forms-‐
Continuing Education, Summer
Sessions, and Extramural
Studies
Change to Student University
ID number (UID)
Class Lists (original)
Class Schedules (individual
students)
Consent to Release Personally
Identifiable Information
(Requests for Non-‐Disclosure)
Correspondence Relating to
Student Admissions (accepted
students)
Course Offerings (institution)
Credit / no credit approvals
(Audit, Pass/Fail, etc.)
Classroom Assignment
Requests
Credit by Examination Records
(CLEP)
Curriculum Change
Authorizations
Diplomas Returned
Degree, Grade, and Enrollment
Statistics
Disciplinary Records -‐
Students (findings of violation
and related case files)
Registrar (On-‐Line)
1 Year After Date Submitted
Registrar
Registrar
Permanent
Until Graduation
Registrar
Permanent
Registrar
Registrar
Permanent
1 Year After Graduation or Last
Date of Enrollment
5 Years from Graduation of
Date of Last Attendance
Registrar
Registrar
5 Years from Graduation or
Date of Last Attendance
Registrar
Registrar
Permanent
1 Year after Date Submitted
Registrar
1 Year after Date Submitted
Registrar
Permanent
Registrar
Registrar
Registrar
5 Years from Graduation or
Date of Last Attendance
5 Years
Permanent
Vice President for Student
Affairs (non-‐academic);
Registrar (academic
discipline),
Disciplinary Records – Student
Exonerated
Enrollment Verifications
Student Academic Appeals
Vice President for Student
Affairs
Registrar
Registrar
Grade Change Forms
Grade Reports (Grades
Released to Students)
Registrar
Registrar (final)
Faculty Member (interim
grades)
Professor
Grade Books/Sheets
(Professors)
Graduation Lists
Name Changes
Recruitment Materials
(enrolled students)
History of Development of
School, College, Department,
Program or Course
Residency Certificates
(enrolled students)
Residency Change Documents
(Non-‐resident to Resident)
Individual ROTC Records
Schedule of Classes
(institutional)
Student Teacher (Credential)
Files
Student Waivers for Right of
Access (enrolled students)
Suspensions and Dismissals –
Academic
Students’ Academic
Transcripts
Continuing Education Course
Records
Transfer Credit Evaluations
Veteran Administration
Registrar
Registrar
Registrar
Record of Final Disposition for
Offenses that Result in
Suspension or Expulsion:
Permanent. All Other Records:
7 Years.
Destroyed Immediately After
Exoneration
1 Year from Enrollment Date
Record of Final Disposition that
Results in Academic
Suspension or Expulsion:
Permanent. All Other Records 7
years
Permanent
1 Year After Distribution (final
grades); End of Term (interim
grades)
5 years
Registrar
Permanent
Permanent
5 Years After Graduation or
Date of Last Attendance
Permanent
Registrar
Until Date of Enrollment
Registrar
5 Years from Graduation or
Date of Last Attendance
Permanent
Permanent
Registrar
Registrar
Permanent
Registrar
Registrar
Registrar
Registrar
Registrar
Registrar
Until Graduation or Date of
Last Attendance
5 Years from Graduation or
Date of Last Attendance
Permanent
7 Years After Course
Completed
5 Years from Graduation
5 Years from Graduation or
Certifications
Veterans Benefits
Withdrawal
Authorizations/Leaves of
Absence -‐Graduate and
Professional School Students
Withdrawal
Authorizations/Leaves of
Absence –Undergraduate
Students
University Catalogs
Commencement Programs
Student Academic Advisor’s
Files
Registrar
Registrar
Date of Last Attendance
Permanent
After Graduation or Date of
Last Attendance
Registrar
2 Years
Registrar
Registrar
Faculty Member (Advisor)
Permanent
Permanent
1 Year After Student
Graduated or Date of Last
Attendance
2 Years from Completion of
Field Trip Waivers
School/College/Department
Field Trip
SECTION III(D) – OFFICE OF SPONSORED PROGRAMS, GRANTS AND CONTRACTS
Directives/Policies/Procedure
Sponsored Programs
Permanent
s/Guidelines/Interpretation of
Policies/Decisions Issued or
Transmitted by Director
Grant Effort Reporting a/k/a
Finance
7 Years
Time and Efforts Reports)
Grant Reports (Including
Sponsored Programs
7 years
progress and final reports)
Indirect Cost Rate Calculations
Finance
7 Years
Grant and Contract
Sponsored Programs
7 Years After Close of Grant or
Applications, Proposals, and
Longer if Required by Granting
Supporting Documentation
Agency
Conflict of Interest Forms for
7 Years After Close of Grant or
Sponsored Programs
Grants/Contracts
Contract
Records Concerning Human
IACUC and HSRB Committees
7 Years After Completion of
and Animal Subjects
Programs
Study
Award Documents and
Sponsored Programs (Official
7 Years After Close of Grant or
Amendments
Copies with OGC)
Contract
Grant Progress and Final
7 Years After Close of Grant or
Sponsored Programs
Reports
Contract
7 Years After Close of Grant or
Time and Effort Reports
Finance
Contract
SECTION III(E) – LIBRARY
rectives/Policies/Procedures/
Dean
Permanent
Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by Dean
Circulation Records
University Library
3 Years
Collection Records
University Library
3 Years
Exhibit and Event Records
University Library
Permanent
Inter-‐Library Loans
University Library
3 Years
Annual Report
Dean
Permanent
Gifts-‐in-‐Kind
University Library
Permanent
Consortium and Integrated
Dean
Permanent
Library System Agreements
Survey Findings
University Library
5 Years
Theses and Dissertations
University Library
Permanent
SECTION III(F) – LEARNING CENTER
3 Years After Graduation or
Learning Disability Records
Student Accessibility Services
Date of Last Attendance
SECTION IV – DIVISION OF ENROLLMENT MANAGEMENT AND FINANCIAL AID
SECTION IV(A) – OFFICE OF VICE PRESIDENT FOR ENROLLMENT MANAGEMENT
Directives/Policies/Procedure
Vice President
Permanent
s/Guidelines/Interpretation of
Policies/Decisions Issued or
Transmitted by Vice President
SECTION IV(B) – OFFICE OF ADMISSIONS
Admissions Documents for
Until Graduation or Date of
Registrar
Domestic Applicants Who
Last Attendance
Enroll (includes admission
letters, relevant
correspondence, letters of
recommendation, test reports,
medical records, military
documents, residency
classification, transcripts)
Admission Documents for
5 Years form Graduation or
Registrar
International Applicants Who
Date of Last Attendance
Enroll (includes documents
listed for domestic applicants
and Alien Registration Card,
work permit, I-‐20, I-‐94,
passport number, statement of
financial responsibility and
DS-‐2019)
Visit Cards
Admissions
1 Year
SECTION IV(C) – OFFICE OF FINANCIAL AID
Financial Aid Records
5 Years After the End of the
Student Financial Aid
(applicants who enroll),
Award Period
including Federal Perkins Loan
Records
Student Financial Aid Program
Student Financial Aid
3 Years After Award Year
Records (including accrediting
and licensing agency review,
approvals and reports; audit
reports and University
responses; reports related to
financial responsibility and
administrative capability;
Program Participation
Agreement; self-‐evaluation
and State agency reports)
Student Financial Aid Fiscal
Student Financial Aid
3 Years After Award Year
Records (including bank
statements; federal work-‐
study payroll records; ledgers
identifying student financial
aid transactions; records of
student accounts; records
supporting data on required
reports)
Student Financial Aid
Student Financial Aid
3 Years After Award Year
Recipient Records (including
applications made to Dept. of
Education or lender on behalf
of student; data used to
establish student’s status at
University; date and amounts of
disbursements; documentation
of student’s eligibility for
assistance and academic
program and progress;
documentation as to amount of
grant and calculations used to
determine amount of grant;
initial or exit loan counseling;
documents used to verify data;
history of support for transfer
students; SAR and ISIR reports)
Student Financial Aid
Student Financial Aid
3 Years After Date of Award
Requirements for Specific Aid
(including borrower’s eligibility
records; campus based aid
[Perkins Loan, SEOG, Federal
Work Study] FFEL and Direct
Loans; Fiscal Operations
Report; Pell Grant)
SECTION V – DIVISION OF STUDENT AFFAIRS
SECTION V(A) – OFFICE OF VICE PRESIDENT FOR STUDENT AFFAIRS
Directives/Policies/Procedure
Vice President for Student
Permanent
s/Guidelines/Interpretation of
Affairs
Policies/Decisions Issued or
Transmitted by the Vice
President
Directives/Policies/Procedure
Vice President for Student
Permanent
s/Guidelines/Interpretation of
Affairs
Policies/Decisions Issued or
Transmitted by the Dean of
Students or Directors
Vice President for Student
Annual Report
Permanent
Affairs
FERPA Records (requests for
Permanent -‐ As Long as the
Dean of Students
formal hearings, requests for
Underlying Record is
disclosure/non-‐disclosure and
Maintained
disclosure of personally
identifiable information,
student statement on contents
of record of results of hearing,
consents for records
disclosure, waiver of right
access, written decisions of
hearing panels)
SECTION V(B) – OFFICE OF STUDENT CONDUCT
Disciplinary Records -‐
Student Conduct & Community
Record of Final Disposition and
Students (findings and related
Standards (non-‐academic);
case files for Offenses that
case files)
Registrar (academic)
Result in Suspension or
Expulsion: Permanent. All
Other Records: 7 Years.
Student Conduct & Community
Student Disciplinary Records
See Above
Standards
5 Years After Graduation or
Housing Records
Student Housing
Date of Last Attendance
SECTION V(C) – STUDENT HEALTH RECORDS
Patient Medical Records
Student Health Services
7 Years After Final Treatment
Patient Medical Records
Counseling Center
7 Years After Final Treatment
5 Years After Graduation or
Patient Medical Records
Athletic Training Room
Date of Last Attendance
SECTION V(D) – ATHLETICS
Admissions Data for Athletes
Coach of Team
1 Year After Graduation or
who enroll
Date of Last Attendance
Admissions Data for Athletes
Coach of Team
3 years
who do not enroll, whether
accepted or rejected
Athletics, Intramural and
Athletic Eligibility Documents
1 Year After Certification
Recreation
Athletic Participation (EADA
Athletics, Intramural and
3 Years From Date of
Documents) (Fed Disclosure
Recreation
Disclosure
requirement)
Competition Records
Athletics, Intramural and
Permanent
(intercollegiate)
Recreation
Competition Records
Athletics, Intramural and
3 Years
(intramural)
Recreation
NCAA Reports (including
Athletics, Intramural and
Permanent
athletic aid eligibility,
Recreation
preseason paperwork)
Athletics, Intramural and
Gender Equity Reports
Permanent
Recreation
Athletics, Intramural and
Racial/Ethnic Statistics
Permanent
Recreation
Sports Information
Athletics, Intramural and
3 Years
Recreation
SECTION V(E) – STUDENT ADVISING AND COUNSELING RECORDS (HEALTH RELATED)
Individual Counseling and
Counseling Office
7 Years After Final Session
Advising Records
(Confidential)
SECTION V(F) – CONFERENCES AND SUMMER PROGRAMS
Use of University Facilities by
Director of Conferences
7 years
Outside Entities, Requests and
Contracts
SECTION VI – DIVISION OF FINANCE AND ADMINISTRATION
SECTION VI(A) – OFFICE OF EXECUTIVE VICE PRESIDENT
Directives/Policies/Procedure
Executive Vice President for
Permanent
s/Guidelines/Interpretation of
Finance & Administration
Policies/Decisions Issued or
Transmitted by the Vice
President
Executive Vice President’s
Executive Vice President for
3 years
Calendar, Appointment Books,
Finance & Administration
Daily Schedules and Telephone
Logs
Annual Financial Reports and
Vice President for Accounting
7 Years
Work Papers
& Treasury Management
Vice President for Accounting
University Audit Work Papers
7 Years
& Treasury Management
University Audits (internal and
external)
Final Budget Documents
Bond Issue Books
Bond Books and Records
Necessary to Substantiate
Compliance
Property Tax and PILOT
Returns, payments filed with
taxing jurisdiction
Excise Tax Returns
Vice President for Accounting
& Treasury Management
Executive Vice President for
Finance & Administration
Executive Vice President for
Finance & Administration
Vice President for Accounting
& Treasury Management
Vice President for Accounting
& Treasury Management
Permanent
Permanent
Permanent
3 Years After Bond Satisfied
(Including the Life of Any Bond
Refunding the Bonds)
7 Years
Vice President for Accounting
7 Years
& Treasury Management
Property Taxes and PILOT
Vice President for Accounting
Permanent
payments
& Treasury Management
SECTION VI(B) – ACCOUNTING AND FINANCE
Account Reconciliations
Office of Accounting &
7 Years
(Balance Sheet)
Treasury Management
Accounts Payable Vouchers
Accounts Payable
7 Years
and Attachments
Accounts Receivable
Accounts Receivable
7 Years
Statements, Centrally
Generated
Accounts Receivable
Accounts Receivable
7 Years
Banking Records, Including
Vice President for Accounting
7 Years
Deposit and Withdrawal
& Treasury Management
Records, Bank Statements and
Reconciliation, Voided and
Canceled checks
Billing Records
Accounts Receivable
7 Years
Depreciation Records
Vice President for Accounting
Life of Asset Plus 7 Years
& Treasury Management
Journal Entries (including
Vice President for Accounting
7 Years
interdepartmental
& Treasury Management
billings/transfers)
New Account Records and
Vice President for Accounting
7 Years After Account Closing
Back-‐up Documentation
& Treasury Management
Procurement Card Charge
Vice President for Accounting
7 Years
Documentation
& Treasury Management
Travel Reimbursements and
Accounts Payable
7 Years
Attachments
Information Returns ( IRS
Vice President for Accounting
7 Years
Form 1099, etc.)
& Treasury Management
Annual Tax Filing for the
Vice President for Accounting
Permanent
Organization (IRS Form 990)
& Treasury Management
Sales Tax Returns
Vice President for Accounting
7 Years
& Treasury Management
SECTION VI(C) – OFFICE OF HUMAN RESOURCES
Human Resources
Assistant Vice President for
Permanent
Directives/Policies/Procedure
Human Resources
s/Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by Director
Academic Personnel Actions –
Office of the Provost
See Provost
Personnel Files (faculty and
(Professional File -‐ faculty)
other employees in Division of
Academic Affairs)
Human Resources
7 Years After Separation from
(Personnel File)
Employment
Certificates of Insurance,
Human Resources
Permanent
Indemnification agreements,
Contracts and Insurance
Policies for Benefits
Deceased Employee Claims
Human Resources
7 Years After Date of Death
Employee Personnel
7 Years After Separation from
Human Resources
Files,Faculty and Staff
Employment
(including application, resume,
appointment/salary forms,
performance appraisal forms
for staff, benefits enrollment
and application forms,
beneficiary designations and
benefit related communications,
leaves of absence, disability
related forms and
communications, retirement
plan distribution requests)
Faculty and Staff Benefits
Handbook
Federal Reporting
Requirements: Welfare Benefits
and other Fringe Benefit Plans
(i.e., 5500 filings)
Files for Disabled Employees
I–9 Forms (Faculty, Staff and
Students)
Human Resources
Permanent
Office of General Counsel
Permanent
Human Resources
Human Resources
7 Years After Benefits End
3 Years After Employment
Date, or 1 Year after
Termination (whichever is
greater)
7 Years After Separation from
Employment
1 Year from Date of
Employment
Records Covered Under HIPAA
Human Resources
Search Committee Records,
including
advertisements/postings,
employment applications,
resumes, and all applicant
search materials
Severance Agreements
(employees)
Human Resources
Office of General Counsel
7 Years After Separation from
Employment or Final Payment,
Whichever is Later
7 Years After Retirement Date
Retirement
Office of General Counsel
Applications/Agreements
SECTION VI(D) – EQUAL OPPORTUNITY/AFFIRMATIVE ACTION/DISABILITY
EEO/Diversity Statistics
Human Resources
7 Years
Annual Employee Notification
Human Resources
7 years
of Policies
Federal and State Required
Institutional Research
7 Years
Statistics and Reports
Regarding Employment
Search Materials and
1 Years from Date of
Human Resources
Documents Supporting Hiring
Appointment
Selection Decisions (Non-‐
Academic Personnel)
Search Materials and
Provost
1 Years from Date of
Documents Supporting Hiring
Appointment
Selection Decisions Academic
Personnel)
SECTION VI(E) – OFFICE OF PURCHASING
Warranties
Purchasing
At Date of Expiration
Purchase Orders, Contracts,
Until Contract Has Been Fully
Purchasing
Purchase Agreements
Performed Plus 4 Years
RFQ, RFP and Bids
Purchasing
7 years
SECTION VI(F) – PAYROLL OFFICE
Annual Payment Records
Payroll
7 Years
Information Returns filed with
Payroll
7 years
Federal and State authorities
(W-‐2, 941, 1042S, etc.)
Payroll Deduction
5 Years After Employment
Payroll
Authorization Forms (W4,
Ends
ACH, Bonds)
Payroll Vouchers
Payroll
7 years
Record of Payments and
Payroll
7 years
Deductions (payroll registers,
deductions lists, adjustments)
Employee Reporting Forms -‐
Appropriate Department
3 Years After Pay Date
Time Cards, electronic reports,
student employment time
records
Employee Reporting Forms -‐
Appropriate Department
3 Years
Time Cards, non-‐student
Garnishments/Wage
Payroll
Active + 6 Years
Levies/Child Support
Tax Reporting
Payroll
7 Years
SECTION VI(G) – OFFICE OF CONSTRUCTION AND FACILITIES MANAGEMENT
Life of Asset: records of
Capital Equipment Records
Facilities Management
equipment purchased on
federal funds must be retained
for three years after final
disposition
Inventories (Asset Control
Purchasing
Life of Asset
Sheets)
As–built Drawings
Facilities Management
Permanent
Contracts and Agreements
Office of General
Counsel/Facuilities
Management
Facilities Management
Life of Contract Plus 4 years
Records of Repairs
Life of Asset Plus 4 Years
(Maintenance /Service
Records)
Surplus Property Disposal
Purchasing/Purchasing
3 years
Work Orders
Facilities Management
3 years
SECTION VI(H) – OFFICE OF INFORMATION TECHNOLOGY
Software Inventory
Information Technology
Life of Asset Plus 4 Years
Computer/Software Licenses
Information Technology
Term of License and 4 Years
Computer System Access
Termination of Employment
Information Technology
Requests
plus 3 Years
Network, Server and
Information Technology
6 months
Application Access Logs
IT Contracts
Information Technology
Life of Contract plus 3 Years
Passwords/Telephone
Information Technology
3 years
Authorization
Disaster Recovery Plan
Information Technology
Test and Update Bi-‐Annually
Complete Set of Tapes at DR
Backup Plan
Information Technology
Location
Contractually with Each
Cloud –Based Services
Information Technology
Vendor
SECTION VI(I) – BURSAR OFFICE
Cash Receipts
Cashier
7 Years
SECTION VII – GENERAL COUNSEL, LEGAL AFFAIRS AND COLLECTIVE BARGAINING
SECTION VII(A) – OFFICE OF GENERAL COUNSEL
Annual Conflict of Interest
General Counsel
5 Years
Disclosure Statements
Annual Conflict of Interest
General Counsel
7 Years
Disclosure Statements
Formal Legal Opinions
General Counsel
Permanent
Correspondence Containing
General Counsel
Permanent
Significant Information
General or Routine
General Counsel
Need Not be Retained
Correspondence
Calendar, Appointment Books,
General Counsel
3 years
Daily Schedules, Telephone
Logs
SECTION VII(B) – CONTRACTS, AGREEMENTS AND LICENSES
Union Agreements
General Counsel
Permanent
FCC Licenses
General Counsel
Term of License and 3 Years
SECTION VII(C) – LITIGATION
Consent Orders
General Counsel
Permanent
Court Orders
General Counsel
Permanent
Judgments
General Counsel
Permanent
Releases
General Counsel
Permanent
Settlements (non-‐employee)
General Counsel
Permanent
Formal Contracts
General Counsel
Permanent
Litigation Files
General Counsel
Permanent
Subpoenas (Institutional)
General Counsel
2 years after conclusion of
litigation
Pre-‐Litigation Evidence Files
General Counsel
6 years
(No Litigation Filed)
SECTION VII(D) – GRIEVANCES AND ARBITRATIONS
Union Grievance Files
General Counsel
Permanent
SECTION VII(E) – WORKERS COMPENSATION, UNEMPLOYMENT CLAIMS
Disability, Liability, Personal
3 Years Unless Consolidated
General Counsel
Injury, Professional Liability,
into Formal Claim
Property Insurance Claims
Workers Compensation Claims
General Counsel
3 years After Final
Determination
Unemployment Insurance
3 years After Final
General Counsel
Claims
Determination
SECTION VII(F) – PATIENT, TRADEMARK AND COPYRIGHT
Copyright and Trademark
General Counsel
Permanent
Registrations
Invention Assignment Forms
General Counsel
Permanent
Licensing Agreements
General Counsel
Term of License and 3 Years
Original Patents and Related
General Counsel
Permanent
Work Papers
Life of Patent or TM plus 7
Royalty Records
General Counsel
years
Invention Disclosure Package
General Counsel
2 years
SECTION VII(G) – OFFICE OF RISK MANAGEMENT
Directives/Policies/Procedure
Risk Management
Permanent
s/Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by Risk Manager
Occupational Injury or Illness,
Risk Management
5 Years
Records Relating to
Employment
Certificates of Insurance,
Risk Management
7 Years After Expiration
Indemnification Agreements,
Hold Harmless Agreements,
Contracts
Insurance Policies (Liability,
Risk Management
Permanent
Property, and Other Policies)
Incident Reports, Accident
Risk Management
7 Years After Report Date
Reports
Insurance Policies (disability,
Risk Management
Permanent
liability, personal injury,
professional liability and
property)
Required Reports to Outside
Risk Management
6 Years
Agencies
SECTION VII(H)– COMPLAINTS AND DISPOSITION OF CASES – DISCRIMINATION AND
HARASSMENT
Complaints and Disposition of
General Counsel
Permanent
Cases of Unlawful
Discrimination and
Harassment
Investigation Reports Related
General Counsel
2 Years
to Claims of Discrimination and
Harassment (No Cause
Found)
SECTION VII(I)– REAL PROPERTY MATTERS
Permits
General Counsel
Life of Permit and 3 Years
Property Deeds, Easements,
General Counsel
Permanent
Licenses, Rights of Way, Leases,
Rights of First Refusal,
Remainder Interests,
Mortgages
SECTION VIII – DIVISION OF ADVANCEMENT & ALUMNI AFFAIRS
SECTION VIII(A) –OFFICE OF VICE PRESIDENT FOR ADVANCEMENT & ALUMNI AFFAIRS
Directives/Policies/Procedure
Advancement
Permanent
s/Guidelines/Interpretations
of Policies/Decisions Issued or
Transmitted by Vice President
Mailing and Distribution Lists
Advancement
2 Years After Superseded
SECTION VIII(B) – OFFICE OF ALUMNI RELATIONS
Alumni Records
Alumni
Permanent
SECTION VIII(C) –GIFT RECORDS
Gift Records
Advancement
7 years
Original Gift Letter
Advancement
Permanent
Agreements, All others
Donor Files
Advancement
2 Years After Superseded
Planned Gifts (trusts, life
Advancement
Permanent
income, agreements, annuities)
Real Estate Gifts
SECTION IX – DIVISION OF MARKETING AND COMMUNICATIONS
Directives/Policies/Procedure
Vice President for Marketing &
Permanent
s/Guidelines/interpretation of
Communications
Policies/Decisions Issued or
Transmitted by Vice President
Newsletters, Publications
Public Relations
3 Years
Public Relations Material
Public Relations
3 Years
(press releases, newspaper
clippings, promotional
material, brochures)
Advertising Copy
Public Relations
6 Months
Publications Regarding
Public Relations
6 Months After Use
Graduation, Homecoming,
Employee Recognition, etc.
Photos, Slides, Videotapes,
Audio Tapes, Etc.
Mailing or Distribution Lists
Public Relations
6 Months After Use
Public Relations
3 Years
SECTION X – DIVISION OF UNIVERSITY OUTREACH AND ENGAGEMENT
OFICE OF THE VICE PRESIDENT FOR UNIVERSITY OUTREACH & ENGAGEMENT
Directives/Policies/Procedure
Vice President
Permanent
s/ Guidelines/ Interpretation of
Policies/Decisions Issued or
Transmitted by the Vice
President
Contracts, Agreements,
General Counsel
Permanent
Partnerships and Memoranda
of Understanding with External
Entities
Career Counseling Record
Career Counseling Center
7 Years
SECTION XI – OFFICE OF INSTITUTIONAL RESEARCH
Directives/Policies/Procedure
Institutional Research
Permanent
s/Guidelines/Interpretations of
Policies/Decisions Issued or
Transmitted by Director
Institutional Reports
Institutional Research
Permanent
Surveys and Questionnaires
Institutional Research
10-‐ Years
Prepared for External
Audiences
Enrollment Statistics
Diversity Reporting
Documents Collected for
NEASC
Surveys, Questionnaires and
Data Collections Prepared by
University
Course Evaluations
Ad hoc Requests from
University Community
Institutional Research
Institutional Research
Institutional Research
Institutional Research and
Office Responsible for Subject
Matter
Institutional Research
Institutional Research
Permanent
Permanent
3 Years from Submission of
Self-‐Study
2 Years
Permanent
Permanent
SECTION XII – DEPARTMENT OF PUBLIC SAFETY
SECTION XII(A) – DEPARTMENT OF PUBLIC SAFETY – DIRECTOR OF PUBLIC SAFETY
Directives/Policies/Procedure
Public Safety
Permanent
s/Guidelines/Interpretation of
Policies/Decisions Issued or
Transmitted by Director
SECTION XII(B) – INCIDENT/CRIMINAL ACTIVITY
Accident/Incident Reports
Public Safety
7 Years After Report Date
Crime Statistics/Security
Public Safety
7 Years After Report Date
Reports – Clery Act (Fed
Required Disclosure)
Daily Log/Incident Reports
Public Safety
Permanent
Property Damage Reports
Public Safety
7 Years After Report Date
10 Years After Expiration of
Criminal Files -‐ Adults
Public Safety
Sentence or 5 Years After Case
is Closed
Criminal Files -‐ Juvenile
Public Safety
Until Subject is 20 Years Old
Lost and Found Logs
Public Safety
6 Months
SECTION XII(C) – TRAFFIC AND PARKING
Traffic Rules and Regulations
Public Safety
Permanent
Traffic Citations
Public Safety
3 Years
Traffic Registrations (vehicles
Public Safety
3 Years
registered by employees and
students, with parking lot
authorizations)
SECTION XII(D) – BUILDING KEY RECORDS
Building Key Records
Lock Shop
10 Years
(requests, assignments, lost
keys, etc.)
SECTION XIII – ENVIRONMENTAL HEALTH AND SAFETY (SEE ALSO RISK MANAGEMENT)
Directives / Policies /
Procedures / Guidelines /
Interpretation of Policies /
Decisions Issued or Transmitted
by Office
Environmental Health and Safety
Permanent
SECTION XIII(A) – REPORTS AND REQUIRED RECORDS
Agency Inspection Records
Annual Reports
Asbestos Survey Records
Confined Space Entry Permits
Employee Tenant Asbestos
Notification (Annual)
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Remediation
Records
Hazardous Waste Disposal
Manifests and Reports
Hazardous Waste Training
Records
Fume Hood Testing Records
Environmental Health and Safety
Inspection Reports and Incident
Reports
Laboratory Analysis for
Hazardous Waste
Determinations
Lead Notification and Disclosure
for employees residing in pre1978 buildings) (Annual)
Lead Survey Records
Medical Waste Generator
Records
Personal Exposure Monitoring
Environmental Health and Safety
Pesticide Private Applicator
License and Continuing
Education Records
Environmental Health and Safety
Pesticide Private Application
Reports (Yearly Application)
Respirator Fit Testing Records
Environmental Health and Safety
Student Training Records
Training Reports
Environmental Health and Safety
Environmental Health and Safety
Wastewater quarterly testing
results (Town of Bristol
Wastewater Permit)
Wastewater quarterly testing
and septic system inspection
and maintenance records
(Baypoint)
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
Environmental Health and Safety
3-5 Years
Permanent
For the life of the building
1 Year
As long as Asbestos
Containing Material
(ACM) is in building
10 Years
5 Years – 30 Years
(Asbestos)
3 Years after Last Date of
Employment
For life of Equipment
(OSHA Technical Manual
Best Practice)
5 Years
For 5 years after last
shipment of that waste
stream
3 Years
For the life of the building
375 days from shipment
date
30 Years after Last Date of
Employment
5 Years (submit records
to RIDEM at end of 5 year
period to receive new
license)
2 Years from Each
Application Date
Until next fit test is
administered (annually)
3 Years
As required by OSHA
(varies by standard)
As determined by Town of
Bristol
As determined by Town of
Portsmouth