Records Retention Schedule

Below is the UT Dallas Records Retention Schedule (RRS). You may search through records listed on the schedule by using the drop-down bars or keyword search. Please contact Records Management with any questions regarding the schedule.

Pursuant to policy, Records Management recertifies this schedule with TSLAC every five years. The UT Dallas RRS was last certified in November 2019 and was amended most recently in October 2021. Future amendments will be integrated into this schedule.

The UT Dallas RRS can be amended at any time. If you feel a records series needs to be added or removed, please contact us.

Category 1: Administrative Records
Section 1.1: General Administration Records
ADR1001	1.1	Academic Affairs – Teaching Load Files	5		O
ADR1002	1.1	Academic Affairs Faculty Handbook	PM			Only a single original copy needs to be kept permanently.
ADR1003	1.1	Affiliation Agreements	AC+7	AC = After agreement ends		Board office keeps for life of agreement.
ADR1004	1.1	Deeds and other documents reflecting legal title	LA		O
ADR1005	1.1	Easement Agreements and related documentation	AC+5	AC = After easement agreement ends	O
ADR1006	1.1	Degree Proposals	PM
ADR1007	1.1	Development of UT Dallas Synergy Park – These files are the history of the land development at UTD.	15		I
ADR1008	1.1	Excellence in Education Trust Land – These files are the history of the land development at UTD.	15		I
ADR1009	1.1	Gift Records – This series documents potential or realized private, corporate, or public agency funding to the institution, including endowments and trusts. This series includes letters and agreements of gift, copies of bequest instruments and wills from individuals or estates, and related documentation and correspondence.	PM		O	UTS Policy, security is open with restrictions.
ADR1010	1.1	Off-Campus Course Inventory	FE+3		I
ADR1011	1.1	Surveys, Reports, Questionnaires, Mandated	AC+5	AC = Date of report	O
ADR1012	1.1	Surveys, Reports, Questionnaires, Voluntary	AC+3	AC = Date of report	O
ADR1013	1.1	Texas Research Foundation Giftland – These files are the history of the land development at UTD.	15		I
ADR1014	1.1	Assessment Files – Data and reports from evaluations conducted to assess progress toward stated strategic and performance goals.	AC+3	AC = End of accreditation cycle or specified evaluation period
ADR1015	1.1.002	External Audits – Audits and reviews performed by or on behalf of an agency, including the working papers that support the audit.	AC+7	AC = Publication or release of final audit findings		The State Auditor's Office retains any copies of its audits performed on Texas state agencies.
ADR1016	1.1.002	Internal Audit Reports – Audits and reviews performed within the university, including the working papers that support the audit.	AC+7	AC = Publication or release of final audit findings
ADR1017	1.1.004	Legislative Appropriations Requests – Included are Biannual Budget Requests.	AC+6	AC = Passage of appropriations	I	The archival requirement is met by sending the required copies of the requests to the University Archives and the Texas State Publications Depository Program, Texas State Library and Archives Commission. Only copies of supporting documentation submitted to the Legislative Budget Board are archival.
ADR1018	1.1.006	Complaint Records – Complaints received by an agency from the public concerning the agency and records pertaining to the resolution of the complaint.	AC+2	AC = Final disposition of the complaint		Open unless clearly unwarranted invasion of personal privacy. CAUTION: If a complaint becomes the subject of litigation, it must be included in and is subject to the minimum retention period of item number ADR1036.
ADR1019	1.1.007	Correspondence, Administrative – Incoming/outgoing and internal correspondence pertaining to the formulation, planning, implementation, interpretation, modification, or redefinition of the programs, services, or projects of an agency and the administrative regulations, policies, and procedures that govern them.	4		O	ARCHIVES NOTE: Only the administrative correspondence of executive staff, board or commission members, division directors and program heads require archival review. Contact the State Archives when these records have met their retention periods. CAUTION: This record series and item number ADR1020 should be used only for correspondence that is not included in or directly related to another record series in this schedule. For example, a memorandum that documents an appropriations request must be retained for the minimum retention period prescribed by item number ADR1017; a letter concerning an audit for that prescribed by item number ADR1015, etc.
ADR1020	1.1.008	Correspondence, General – Non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of an agency.	2			SEE comment to item number ADR1019.
ADR1021	1.1.010	Directives – Any document that officially initiates, rescinds, or amends general office procedures.	US+1
ADR1022	1.1.011	Executive Orders – Any document that initiates, rescinds, or amends a regulation, policy, or procedure that governs the programs, services, or projects of an agency	US+3		I
ADR1023	1.1.013	Calendars, Appointment and Itinerary Records – Calendars, appointment books or programs and scheduling, or itinerary records, purchased with state funds or maintained by staff during business hours that document appointments, itineraries, and other activities of agency officials or employees.	CE+1		O	ARCHIVES NOTE: Only the calendars, appointment, and itinerary records of elected officials, executive staff, board or commission members, division directors, and program heads require archival review. Contact the State Archives when these records have met their retention periods. CAUTION: A record of this type purchase with personal funds but use by a state official or employee to document his or her work activities may be a state record and subject to this retention period. SEE Open Records Decision 635 issued on December 1995 by the Atty. Gen.
ADR1024	1.1.014	Legal Opinions and Advice – From agency legal counsel or the Attorney General, including any requests eliciting the opinions.	AV		O	CAUTION: Does not include legal opinions or advice rendered on a matter in litigation or with regard to pending litigation. SEE item number ADR1036.
ADR1025	1.1.019	Public Relations Records – News, press releases, or any public relations files maintained or issued by an agency. Includes print, electronic, audio, and audiovisual records.	2		O
ADR1026	1.1.020	Public Information Requests – Not Exempted – Includes all correspondence and documentation relating to requests for records that are furnished to the public under Public Information Act (Chapter 552, Government Code).	AC+1	AC = Date request for filled
ADR1027	1.1.021	Public Information Requests – Exempted – Includes all correspondence and documentation relating to requests for records that are exempt under the Public Information Act (Chapter 552, Government Code).	AC+2	AC = Date of notification that records are exempt or date request denied
ADR1028	1.1.023	Organizational Charts – Original	US		I
ADR1029	1.1.024	Plans and Planning Records – Plans and records relating to the process of planning new or redefined programs, services, or projects of an agency that are not included in or directly related to other records series in this schedule.	AC+3	AC = Decision made to implement or not to implement result of planning process	O	ARCHIVES NOTE: Data processing planning records are not archival.
ADR1030	1.1.026	Texas Register Submissions – Copies of all proposed, withdrawn, emergency, and adopted rules; open meetings notices; or any other documents required by law to be submitted to the Texas Register.	AC+1	AC = Date of publication in the Texas Register
ADR1031	1.1.027	Proposed Legislation – Drafts of Proposed Legislation and Related Correspondence	AV
ADR1032	1.1.038	Integrated Post-secondary Education Data System/Higher Education General Information Survey	AC+10	AC = Final disposition of summary report	I	Office of Institutional Research & Planning used for studies.
ADR1033	1.1.067	Office of Civil Rights Report OCR 12000 Report & OCR 13000 Report	AC+10	AC = Final Disposition of Summary Report	O	Office of Institutional Research & Planning Uses for Studies.
ADR1034	1.1.040	Speeches, Papers and Presentations – Notes or text of speeches, papers, presentations, or reports delivered in conjunction with agency work.	AC+2	AC= End of event, until superseded, or obsolete	O	ARCHIVES NOTE: Only speeches, papers, and presentations given by or on behalf of executive staff, board or commission members, division directors and program heads require archival review.
ADR1036	1.1.048	Litigation Files – Records created by or on behalf of an agency in anticipation of or in the adjudication of a lawsuit.	AC+1	AC = As applicable, decision of an agency not to file a lawsuit or decision that a lawsuit will not be filed against it on a matter; dismissal of a lawsuit for want of prosecution or on motion of the plaintiff; or final decision of a court (or of a court on appeal, if applicable) in a lawsuit	O	All Statute of Limitations must be met before file is closed. Review before disposal. ARCHIVES NOTE: Cases that set legal precedent or exhibit historical value will be evaluated by the Archives and Information Services Division of the Texas State Library and Archives Commission for archival preservation.
ADR1037	1.1.053	Registration Logs – Logs or similar records used to register persons appearing before state agencies as required by Chapter 2004, Government Code, including quarterly reports filed with the Texas Ethics Commission.	AC	AC = Report filed with the Texas Ethics Commission
ADR1038	1.1.055	Strategic Plans – Information resources and operational strategic plans prepared in accordance with §2054.095, and §2056.002, Government Code.	AC+6	AC = September 1 of odd-numbered calendar years	I	ARCHIVES NOTE: The archival requirement is met by sending required copies of the plans to the University Archives and to the Texas State Publications Depository Program, Texas State Library and Archives Commission.
ADR1039	1.1.056	ADA (Americans with Disabilities Act) Documentation – Self evaluations and plans documenting compliance with the requirements of the Americans With Disabilities Act.	3			28 CFR 35.105c.
ADR1040	1.1.057	Transitory Information – Records of temporary usefulness that are not an integral part of a record series of an agency, that are not regularly filed with an agency’s record-keeping system, and that are required only for a limited period time for the completion of an action by an official or employee of the agency or in the preparation of an ongoing record series. Transitory records are not essential to the film and statutory obligations documentation of agency functions. Some examples of transitory information, which can be in any medium (voicemail, fax, email, hardcopy, etc.) are routine messages; telephone message notification; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routing information used for communication, but not for the documentation, of a specific agency transaction.	AC	AC = Purpose of record has been fulfilled		CAUTION: Records management officers should use caution in assigning this record series item number to records of an agency to make certain they are not part of another record series listed in this schedule or, for record series unique to an agency, are not part of a record series that documents the government of the statutory obligations of the agency or the documentation of its functions.
ADR1041	1.1.058	Meeting Agenda and Minutes – Official Committees – Official agenda and minutes of state boards, committees, commissions and councils that conduct open meetings as required by Government Code, Chapter 551.	PM		I	Examples: Board Of Regents Minutes, Minutes and Notes of Faculty Senate and Council Meetings. CAUTION: This record series and item numbers ADR1042, ADR1043, ADR1044, and ADR1045 must be used for those state boards, committees, commissions, and councils, which by law or the biannual Appropriations Act, are administered by another state agency. These records and all other related to the functions of any of these dependent entities must be included in the records retention schedule of the administrating agency. ARCHIVES NOTE: Agency retains permanent record copy. The archival requirement will be met by sending a copy to the Archives and Information Services Division, Texas State Library and Archives Commission.
ADR1042	1.1.059	Meetings, Certified Agendas or Tape Recordings of Closed – Certified agendas or tape recordings of closed meetings of state boards, commissions, committees, and councils.	AC+2	AC = The date of meeting or completion of pending action involving the meeting, whichever is later		Government Code, 551.104(a)
ADR1043	1.1.060	Meetings, Audio or Videotapes of Open – Audio or videotapes of open meetings of state boards, commissions, committees, and councils.	AC+90 days	AC = Official approval of written minutes of the meeting by the governing body of the agency		CAUTION: Minutes of state agencies are permanent records. Audio and videotapes are not yet. State agencies may not retain audio or videotapes of the meeting of governing bodies in lieu of written minutes. The proceedings of all minutes of state boards, committees, commissions, and councils must be reduced to writing. SEE caution comment at item number ADR1041.
ADR1044	1.1.061	Meeting – Notes – Notes taken during open meetings of state boards, commissions, committees, and councils from which written minutes are prepared.	AC+90 days	AC = Approval of the formal minutes by the governing body		SEE caution comment at ADR1041.
ADR1045	1.1.062	Meeting – Supporting Documentation – Documents submitted at meetings of state boards, commissions, committees, and councils including exhibit items, documentation for agenda items, etc. Includes documents sent in advance of meetings for breeding purposes, some of which may not be submitted at an actual meeting.	2		I	SEE caution comment at ADR1041. Includes UT System Documents.
ADR1046	1.1.063	Staff Meeting Minutes and Notes – Minutes or notes, and supporting documentation, taken at internal agency staff meetings.	1
ADR1047	1.1.064	Agency Performance Measures Documentation – Any records of an agency needed for the documentation of output, outcome, efficiency, and explanatory measures in agencies appropriations request or strategic plan, and for performance measures used to manage the agency.	FE+3			CAUTION: The FE+3 retention period overrides any shorter retention for a record series in this schedule if the record series is needed for documentation of agency performance measures.
ADR1048	1.1.065	Reports and Studies (Non-Fiscal) – Raw Data – Information or data collected and compiled for the purpose of producing non-fiscal reports.	AV			CAUTION: Does not include source documentation used for information or data included in or directly related to another records series in this schedule.
ADR1049	1.1.066	Reports – Annual and Biannual (Non-Fiscal) – Biennial narrative reports to the governor and legislature as required by an agency’s enabling statutes, including annual narrative reports if they are required by statute.	AC+6	AC = September 1 of odd-numbered calendar years	I	ARCHIVES NOTE: The archival requirement is met by sending the required copies of the plans to the University Archives and to the Texas State Publications Depository Program, Texas State Library and Archives Commission.
ADR1050	1.1.067	Enrollment Census Reports (4th and 12th Class Day Rosters) – Attendance reports prepared by faculty on class census day and used as source documentation for enrollment reports submitted to the Texas Higher Education Coordinating Board.	PM		O	Retained by Strategic Planning and Analysis.
ADR1051	1.1.067	Semester and Annual Reports	5		O
ADR1052	1.1.068	Reports on Performance Measures – Quarterly and annual reports on agency performance measures submitted to executive and legislative offices.	AC+6	AC = September 1 of odd-numbered calendar years
ADR1053	1.1.069	Reports – Activity – Reports compiled by agency personnel on a daily or other periodic basis pertaining to workload monitoring, task completion times, number of public contacts, and similar activities.	1			SEE item number ADR1047.
ADR1054	1.1.070	Rules and Regulations – Internal Audit Manual	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1055	1.1.070	Board of Regents Rules and Regulations	AC+3	AC = Completion or termination of program, rules, policies or procedures	O	Board Office suggests Present's Office keep all earlier amendments.
ADR1056	1.1.070	Numbered Policy Memoranda – Policies & Procedures Manual and internal publication.	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1057	1.1.070	Police Policies and Procedures Manual	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1058	1.1.070	Policies and Procedures Manuals – UTD	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1059	1.1.070	Rules and Regulations – Parking / Traffic	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1060	1.1.070	Institutional Compliance Program Manual	AC+3	AC = Completion or termination of program, rules, policies or procedures	O
ADR1061	1.1.071	Agency Rules, Policies, and Procedures – Working Files – Working files used in the development of manuals, guidelines, administrative rules, or similar records distributed internally for the use of employees or externally to the public or those individuals or entities regulated by an agency that sets out the rules, policies, and procedures that govern an agency’s programs, services, or projects.	AC+3	AC = Completion or termination of program, rules, policies or procedures	O	SEE item number ADR1060.
ADR1062	1.1.072	Public Information Reports – Reports made to the Office of the Attorney General on an agency’s Public Information Act activities.	2
ADR1063	1.1.073	Administrative Hearings – Transcripts and final decisions of hearings conducted as part of the regulatory process, and hearings on proposed rules and changes. The records may be maintained with related information including meeting notices, proofs of publication, and meeting minutes.	AC+3	AC = Last action	O
ADR1064	1.1.074	Sunset Review Report and Documentation – Sunset Review Report, agency self study, and other correspondence and supporting documentation related to the Sunset Review Process for state agencies.	AC+3	AC = After the subsequent Sunset Review	O
ADR1065	1.1.075	Alternative Dispute Resolutions – Final Agreement – Final agreement described by Government Code 2009.054(c), associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state agency participated as a party on the agency’s behalf.	AC+4	AC = Date of final agreement		Texas Civil Practice and Remedies Code , Chapter 154.071.
ADR1066	2.1	Gateway Website Files	US
ADR1067	2.1	Interactive Web Application Files	US
ADR1068	2.1.001	Automated Files – Processing Files – Machine-readable files used in the creation, utilization, and updating of master files.	AC	AC = Completion of 3rd verification cycle, or audit completion confirming successful transaction processing, or required audit trail maintenance, or the ability to restore or migrate when errors are detected or when hardware or software changes occur.
ADR1069	2.1.002	Automated Files – Master Files – Relatively long-lived computer files containing organized and consistent sets of complete and accurate electronic records. Examples include, but are not limited to: data tables of relational databases used by applications or computer programs.	AC	AC = Completion of 3rd verification cycle, or audit completion confirming successful transaction processing, or required audit trail maintenance, or the ability to restore or migrate when errors are detected or when hardware or software changes occur.
ADR1070	2.1.007	Software Programs and Job Control Language – Automated software applications and operating system files including job control language, program listing/source code, etc.	AC	AC = Until electronic records are transferred to and made usable in a new software environment or there are no electronic records being retained to meet an approved retention period that require the software to be retrieved and read.		CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94
ADR1071	2.1.008	Hardware Documentation – Records documenting operational and maintenance requirements of computer hardware such as operating manuals, hardware/operating system requirements, hardware configurations, and equipment controls systems.	AC	AC = Until electronic records are transferred to and made usable in a new software environment or there are no electronic records being retained to meet an approved retention period that require the software to be retrieved and read. Documentation is superseded periodically by vendor. Latest version of documentation is maintained until successful migration to new software or hardware environment.		CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94
ADR1072	2.1.009	Technical Documentation – Records adequate to specify all technical characteristics necessary for reading or processing of electronic records and their timely, authorized disposition including documentation describing how a system operates and necessary for using the system such as user guides, system or sub-system definitions, system specifications, input and output specifications, and system flow charts; program descriptions and documentation such as program flowcharts, program maintenance logs, change notices, and other records that document modifications to computer programs; and data documentation necessary to access, retrieve, manipulate, and interpret data in an automated system such as a data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.	AC	"AC = Until electronic records are transferred to and made usable in a new hardware or software environment with new documentation or there are no electronic records being retained to meet an approved retention period that require the documentation to be retrieved and read. "		CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94
ADR1073	2.1.010	Audit Trail Records – Files needed for electronic data audits such as files or reports showing transactions accepted, rejected, suspended, and/or processed; history files/tapes; records of on-line updates to application files or security logs.	AC	AC = All audit requirements have been met.
ADR1074	2.2.002	Chargeback Records to Data Processing Service Users – “Includes Computer Utilization Records. Records used to document, calculate costs, and bill program units for computer usage and data processing services. These records are also used for cost recovery, budgeting, or administrative purposes.”	5
ADR1075	2.2.004	Computer Job Schedules and Reports – Schedules or similar records showing computer jobs to be run and other reports by computer operators or programmers of work performed.	3
ADR1076	2.2.010	Data Processing Policies and Procedures – Manuals, guidelines, or similar documents establishing data processing policies and procedures in an agency in such areas as access and security, systems development, data retention and disposition, data ownership, production control, system back-up, etc.	US+3			CAUTION: Does not include technical documentation of procedures necessary for reading or processing of electronic records. SEE item number ADR1072.
ADR1077	2.2.011	Batch Data Entry Control Records – Forms and logs used to reconcile batches submitted for processing against batches received and processed.	AC	AC = When reconciliation confirmed.
ADR1078	2.2.012	Output Records for Computer Production – Reports showing transactions that were accepted, rejected, suspended, and/or processed.	AV
ADR1079	2.2.013	Quality Assurance Records – Information verifying the quality of system, hardware, or software operations including records of errors or failures and the loss of data resulting from such failures, documentation of abnormal termination and of error free processing, checks of changes put into production, transaction histories, and other records needed as an audit trail to evaluate data accuracy.	AC	AC = No longer needed as an audit trail for any records modified.
ADR1080	2.2.016	Software Registrations, Warranties, and License Agreements – Records documenting the registration and licensing of a software application to activate the software for legal use by the end users of a state agency, along with warranties providing that the software will perform in accordance with functional specifications.	LA+3
ADR1081	11.1.002	Alumni Records – This series documents the activities of an institution or department’s alumni and may also provide alumni offices with information on alumni. This series may include, but is not limited to: memberships lists with names, addresses, employer names and addresses, and positions; promotional materials concerning annual gatherings; homecoming plans and programs; data cards and files for individual alumni; degree recipient lists; outstanding alumni lists; student leader lists; class officer lists; foreign student rosters; international alumni club records; and notes, memoranda, and related correspondence concerning general alumni affairs.	AV			Refer to item number SSR1016 for records used exclusively for contacting alumni.
ADR1083	11.1.006	Event Administration Records – Routine – This series documents facilities, services and other accommodations provided by the institution for events. Records may include: facilities reservation agreements; room reservation lists; customer and room occupancy lists; catering services orders; customer evaluations; summary reports; and related correspondence.	AC+1	AC = Completion of the event		SEE item SSR1001 for Special Event Risk Assessments
ADR1082	11.1003	Award Administration and History Records – This series documents the process of selecting institutional faculty, staff, students and alumni to receive awards, fellowships, and scholarships based on merit or achievement. Includes: eligibility terms and selection criteria, award history and information on funding sources, award notifications, summary lists of winners, and biographies of winners.	AC	AC = Termination of award	O	ARCHIVES NOTE: Only institutional awards merit archival review. Department-level awards recognizing employee or student achievement do not need to be reviewed for archival value. Refer to ADR1025 for press releases.
ADR1084	11.1.007	Event Administration Records – Special Events – This series documents the efforts of a college or unit to provide informative sessions, short-courses, workshops, training programs, excursions, and celebratory events for members of the institution and the communities it serves. This series may include, but is not limited to: materials on planning and arrangements; reports; promotional and publicity materials; press releases and news clippings; photographs; presentation materials and handouts; schedules of speakers and activities; registration and attendance lists; participant evaluations; and related documentation and correspondence.	AC+4	AC = Completion of the event	O	Refer to item number ADR1083 for routine event administration records.
ADR1085	11.1.009	Lecture and Lecture Series Records – This series documents the development and history of special lectures and continuing lectureships devoted to a variety of topics and disciplines sponsored by the institution.	5		O	CAUTION: Refer to item numbers ADR1083 and ADR1084 for records of event planning and administration.
ADR1086	11.1.014	Subject Files – Media and Communications – This series provides background information on institutional faculty and staff, buildings, events, traditions, and other special topics that document a university’s history and culture. The records may be used to support research, responses to inquiries, and other purposes. This series may include, but is not limited to: newspaper clippings; photographs; published and unpublished historical sketches; pamphlets; statistics; ephemera; biographical sketches; vitae; photographs; personal history data sheets; newspaper clippings; retirement notices; funeral programs; obituaries; and related documentation and correspondence.	AV		O	Refer to item number ADR1025 for press releases. Refer to item numbers ADR1026 and ADR1027 for Public Information Requests.
ADR1087	4.5	Data Warehouse Reports – Reports generated by the University Data Warehouse.	AV
ADR1088	4.7.008a	Grant Records – Grant/contract projects participated in or administered by state agencies. Includes grant/contract authorization records, which provide evidence of the award of grants/contracts to or by agencies; grant/project financial or performance reports, which are periodic reports of financial activity and/or program performance related to grants received or made by agencies, and research data to include final and interim research reports, working files, research data, protocols, laboratory notebooks, documentation, and any specimens produced for a granting agency or sponsor for funded research, studies, clinical trials, and non-clinical trials.	AC+3	AC= Satisfaction of all uniform administrative requirements for grants and cooperative agreements to state and local governments.		Caution: Retention requirements may vary depending on the specific funding agency. Records in this series may be subject to Government Code 441.1855. Agencies must ensure that records are retained for the appropriate retention period. NIH Guidelines, OMB Circular A: 110_.53, 2 CFR 200.334, 21 CFR 58.195(b), 40 CFR 160.195(b), 42 CFR 73.17(c). Grants beginning after December 26, 2014: 2 CFR 200 OMB Uniform Guidance Record Retention and Access (200.333, 200.334, 200.336, 200.337) Grants beginning prior to December 26, 2014: 45 CFR 46.115(b); NIH Guidelines; OMB Circular A: 110_.53; Circular A-110; 31 U.S.C. 503; 31 U.S.C. 1111; 41 U.S.C. 405
ADR1090	1.1.079	Copyright and Trademark Records – Documentation related to application and registration of copyright and trademark materials. Includes but not limited to a copy of the work itself and the corresponding copyright application, registration notice, and supplementary documents.	AC	AC = Expiration or abandonment of trademark or copyright	O	17 USC 302.
ADR1091	3.1.039	Ombudsman Records – Consultation records, notes, letters, memos, emails, reports and other documentation	AC	AC = One semester after final decision or matter closed/resolved		CAUTION: Does not include formal complaint filed with EEO. If matter becomes a grievance or the subject of counseling or litigation, or employee is subject to disciplinary action, the records are subject to retention in the appropriate records series. SEE item numbers ADR1036, PER1022, PER1023, PER1024, and PER1026.
ADR1092	17.3.012	Research Data – Non-Grant Funded Research – This series documents the routine research activities of research projects that are not funded by grants and are not subject to any state or federal guidelines. This series may include details of tests, client names, procedures performed, test results, evaluations, notebooks, binders, spreadsheets, or any other type of journal format, the care and proposed use of animals by the university for research purposes, institutional animal care and use forms, research proposal check-off forms, results of laboratory testing performed on agricultural products, case numbers, genetic trials, disease and pest management testing, and related data and correspondence.	AV			URRS-281 For research data related to grant-funded or sponsored research, please refer to ADR1088 or ADR1089.
ADR1093	1.1.076	Subpoenas – Subpoenas for production of evidence produced for litigation in which the state agency is not a party. Includes legal documents requiring recipient to appear in court to testify, or to produce records to be used in litigation.	AC	AC= Date request fulfilled		For subpoenas related to litigation in which the state agency is a party, see RSIN 1.1.048.
ADR1095	2.2.017	Help Desk Tickets – Records documenting the request for and response to help desk tickets received by divisions or units, such as information technology.	AV
ADR1096	2.2.018	Biennial Information Security Plan – Biennial information security plan for protecting the security of the agency’s information.	US			1 TAC 202.23; 1 TAC 202.73.
ADR1097	5.4.018	Annual Audit Plan – Includes working papers and agency risk assessment used to develop the plan, per Texas Internal Auditing Act requirement.	AC+7	AC= After final plan has been issued		See RSIN 1.1.002 for individual Audit records not related to the development of the Audit Plan. Government Code, 2102.013.
ADR1035	1.1.043	Training Manuals – Instructional materials developed by an agency for training entities or individuals it regulates or serves	US+1			See RSIN 3.3.030 for internal personnel training materials. CAUTION: Does not include hazardous material training records. See SSR7018.
ADR1094	11.1.004	Award Selection Records – The process of selecting institutional faculty, staff, students and alumni to receive awards based on merit or achievement. The series may include but is not limited to: applications; nomination letters; recommendations; transcripts; letters of award notification or denial; letters accepting or declining awards; demonstration of need documentation; vote tallies; ranking sheets; and related documentation and correspondence.	2			CAUTION: This records series documents the process of selecting an individual to receive an award. See PER1020 for records of an employee receiving an award, incentive, or tenure.
ADR1088b	4.7.008b	Grant Records – Non-Awarded – Non-awarded, denied, or unfunded grant applications and proposals.	AC+2	AC = Date of notification or date grant deemed non-awarded
ADR1099	11.1.015	University Committee Records – Records of standing, advisory, and ad hoc committees and councils made up of members from a department, a college, a variety of units, or an office where policies and procedures are set. May include but not limited to: agendas; meeting minutes; reports; discussion of research and raw data; working papers; and related documentation and correspondence.	3		O	CAUTION: Federal or state regulations may require longer retention periods. The university must consider any applicable federal or state regulations in establishing a retention period for each committee's records. See ADR1046 for Staff Meeting Minutes and Notes. See Section 6.3 (Research) for review board records related to research.
Section 1.2: Records Management
ADR2001	1.2.001	Destruction Authorizations – Agency level documents authorizing final disposition of records under a certified records retention schedule.	FE+3
ADR2002	1.2.003	Forms History and Maintenance – Master versions of all forms used internally and externally by the agency, including subsequent revisions to a form or any associated design or design modification requests. Also includes periodic listing of all forms used internally or externally.	AC+2	AC = Until superseded or form use discontinued
ADR2003	1.2.005	Records Retention Schedule (SLR 105) – Agency copy. Formerly RMD 105. Includes documentation of certification and approval – forms SLR 105C (formerly RMD 105C), and/or other forms designated by the State Records Administrator.	US			Original is retained by the State and Local Records Management Division, Texas State Library and Archives Commission.
ADR2004	1.2.006	Records Transmittal Forms – Agency copy (includes RMD 101, TxR-5, 306-58-1, and Agency Storage Forms). Forms indicate records transferred to storage or a transfer of legal custody.	AC+2	AC = Date of authorization for destruction, permanent transfer from storage, transfer to university storage, or transfer to Archives and Information Services Division, Texas State Library and Archives Commission, by the agency records management officer
ADR2005	1.2.008	Request for Authority to Dispose of State Records – (Texas State Library RMD Form 102) Agency copy of the request.	FE+3			Original is retained by the State and Local Records Management Division, Texas State Library and Archives Commission.
ADR2006	1.2.010	Records Disposition Logs – Logs or similar records listing records destroyed or transferred to the Archives and Information Services Division, Texas State Library and Archives Commission, showing records series title, dates of records, and date destroyed or transferred.	10
ADR2007	1.2.011	Record Center Storage Approval Forms – (RMD 106) Agency copy of form	US
ADR2008	1.1.012	Records Inventory Worksheets	US
ADR2009	1.2.014	Records Management Plans – Records management plans and similar records that establish the policies and procedures under which records and information are managed in an agency.	US+1
ADR2010	1.2.015	Disaster Recovery Service Transmittals – (RMD 109) Also Includes Documentation for Disaster Recovery Services Provided by Other Entities.	FE+1
ADR2011	1.2.016	Disaster Recovery Service Approval – Form (RMD 113) Agency copy of form	AC	AC = Until superseded or termination of service
Section 1.3: Publications
ADR3001	1.3.001	State Publications – Includes Student Record Catalogs	PM		I	One copy to be retained. One copy of each state publication as defined below, except a publication that is subject to a different retention period in this schedule. For example, a meeting agenda (SEE item number ADR1041) also meets the definition, but it must be retained permanently; item numbers ADR1017, ADR1038, ADR1049, ADR1052, and FIR5005, which also meet the definition, are closely associated with the appropriations process and must be retained AC + 6. CAUTION: Copies must be submitted to the Texas State Publications Depository Program, Texas State Library and Archives Commission, by Law (Government Code §441.101 – 441.106). A State Publication is defined as information in any format that is produced by the authority of or at the total or partial expense of a state agency or is required to be distributed under law by the university and is publicly distributed. The term does not include information the distribution of which is solely limited to contractors with or grantees of the agency, staff persons within the agency or within other government agencies, or members of the public under a request made under the Public Information Act, Government Code, Chapter 552. The term includes but is not limited to: a publication distributed in print; on microform; as audiovisual material; as interactive media or on electronic external storage device; as an on-line publication; which is an index to other on-line publications; as one or more text, graphic, or other digital files; or as a user interface to a computer database.
ADR3002	1.3.002	Publication Development Files – Includes Publication files such as the Student Newspaper and University Advancement. Background material, copy (drafts), original artwork, photo negatives, prints, flats, etc. This includes all work performed both inside and outside the agency.	AV		O

Category 1: Administrative Records

Section 1.1: General Administration Records

ADR1001

1.1

Academic Affairs – Teaching Load Files

ADR1002

1.1

Academic Affairs Faculty Handbook

Only a single original copy needs to be kept permanently.

ADR1003

1.1

Affiliation Agreements

AC+7

AC = After agreement ends

Board office keeps for life of agreement.

ADR1004

1.1

Deeds and other documents reflecting legal title

ADR1005

1.1

Easement Agreements and related documentation

AC+5

AC = After easement agreement ends

ADR1006

1.1

Degree Proposals

ADR1007

1.1

Development of UT Dallas Synergy Park – These files are the history of the land development at UTD.

ADR1008

1.1

Excellence in Education Trust Land – These files are the history of the land development at UTD.

ADR1009

1.1

Gift Records – This series documents potential or realized private, corporate, or public agency funding to the institution, including endowments and trusts. This series includes letters and agreements of gift, copies of bequest instruments and wills from individuals or estates, and related documentation and correspondence.

UTS Policy, security is open with restrictions.

ADR1010

1.1

Off-Campus Course Inventory

FE+3

ADR1011

1.1

Surveys, Reports, Questionnaires, Mandated

AC+5

AC = Date of report

ADR1012

1.1

Surveys, Reports, Questionnaires, Voluntary

AC+3

AC = Date of report

ADR1013

1.1

Texas Research Foundation Giftland – These files are the history of the land development at UTD.

ADR1014

1.1

Assessment Files – Data and reports from evaluations conducted to assess progress toward stated strategic and performance goals.

AC+3

AC = End of accreditation cycle or specified evaluation period

ADR1015

1.1.002

External Audits – Audits and reviews performed by or on behalf of an agency, including the working papers that support the audit.

AC+7

AC = Publication or release of final audit findings

The State Auditor's Office retains any copies of its audits performed on Texas state agencies.

ADR1016

1.1.002

Internal Audit Reports – Audits and reviews performed within the university, including the working papers that support the audit.

AC+7

AC = Publication or release of final audit findings

ADR1017

1.1.004

Legislative Appropriations Requests – Included are Biannual Budget Requests.

AC+6

AC = Passage of appropriations

The archival requirement is met by sending the required copies of the requests to the University Archives and the Texas State Publications Depository Program, Texas State Library and Archives Commission. Only copies of supporting documentation submitted to the Legislative Budget Board are archival.

ADR1018

1.1.006

Complaint Records – Complaints received by an agency from the public concerning the agency and records pertaining to the resolution of the complaint.

AC+2

AC = Final disposition of the complaint

Open unless clearly unwarranted invasion of personal privacy. CAUTION: If a complaint becomes the subject of litigation, it must be included in and is subject to the minimum retention period of item number ADR1036.

ADR1019

1.1.007

Correspondence, Administrative – Incoming/outgoing and internal correspondence pertaining to the formulation, planning, implementation, interpretation, modification, or redefinition of the programs, services, or projects of an agency and the administrative regulations, policies, and procedures that govern them.

ARCHIVES NOTE: Only the administrative correspondence of executive staff, board or commission members, division directors and program heads require archival review. Contact the State Archives when these records have met their retention periods. CAUTION: This record series and item number ADR1020 should be used only for correspondence that is not included in or directly related to another record series in this schedule. For example, a memorandum that documents an appropriations request must be retained for the minimum retention period prescribed by item number ADR1017; a letter concerning an audit for that prescribed by item number ADR1015, etc.

ADR1020

1.1.008

Correspondence, General – Non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of an agency.

SEE comment to item number ADR1019.

ADR1021

1.1.010

Directives – Any document that officially initiates, rescinds, or amends general office procedures.

US+1

ADR1022

1.1.011

Executive Orders – Any document that initiates, rescinds, or amends a regulation, policy, or procedure that governs the programs, services, or projects of an agency

US+3

ADR1023

1.1.013

Calendars, Appointment and Itinerary Records – Calendars, appointment books or programs and scheduling, or itinerary records, purchased with state funds or maintained by staff during business hours that document appointments, itineraries, and other activities of agency officials or employees.

CE+1

ARCHIVES NOTE: Only the calendars, appointment, and itinerary records of elected officials, executive staff, board or commission members, division directors, and program heads require archival review. Contact the State Archives when these records have met their retention periods. CAUTION: A record of this type purchase with personal funds but use by a state official or employee to document his or her work activities may be a state record and subject to this retention period. SEE Open Records Decision 635 issued on December 1995 by the Atty. Gen.

ADR1024

1.1.014

Legal Opinions and Advice – From agency legal counsel or the Attorney General, including any requests eliciting the opinions.

CAUTION: Does not include legal opinions or advice rendered on a matter in litigation or with regard to pending litigation. SEE item number ADR1036.

ADR1025

1.1.019

Public Relations Records – News, press releases, or any public relations files maintained or issued by an agency. Includes print, electronic, audio, and audiovisual records.

ADR1026

1.1.020

Public Information Requests – Not Exempted – Includes all correspondence and documentation relating to requests for records that are furnished to the public under Public Information Act (Chapter 552, Government Code).

AC+1

AC = Date request for filled

ADR1027

1.1.021

Public Information Requests – Exempted – Includes all correspondence and documentation relating to requests for records that are exempt under the Public Information Act (Chapter 552, Government Code).

AC+2

AC = Date of notification that records are exempt or date request denied

ADR1028

1.1.023

Organizational Charts – Original

ADR1029

1.1.024

Plans and Planning Records – Plans and records relating to the process of planning new or redefined programs, services, or projects of an agency that are not included in or directly related to other records series in this schedule.

AC+3

AC = Decision made to implement or not to implement result of planning process

ARCHIVES NOTE: Data processing planning records are not archival.

ADR1030

1.1.026

Texas Register Submissions – Copies of all proposed, withdrawn, emergency, and adopted rules; open meetings notices; or any other documents required by law to be submitted to the Texas Register.

AC+1

AC = Date of publication in the Texas Register

ADR1031

1.1.027

Proposed Legislation – Drafts of Proposed Legislation and Related Correspondence

ADR1032

1.1.038

Integrated Post-secondary Education Data System/Higher Education General Information Survey

AC+10

AC = Final disposition of summary report

Office of Institutional Research & Planning used for studies.

ADR1033

1.1.067

Office of Civil Rights Report OCR 12000 Report & OCR 13000 Report

AC+10

AC = Final Disposition of Summary Report

Office of Institutional Research & Planning Uses for Studies.

ADR1034

1.1.040

Speeches, Papers and Presentations – Notes or text of speeches, papers, presentations, or reports delivered in conjunction with agency work.

AC+2

AC= End of event, until superseded, or obsolete

ARCHIVES NOTE: Only speeches, papers, and presentations given by or on behalf of executive staff, board or commission members, division directors and program heads require archival review.

ADR1036

1.1.048

Litigation Files – Records created by or on behalf of an agency in anticipation of or in the adjudication of a lawsuit.

AC+1

AC = As applicable, decision of an agency not to file a lawsuit or decision that a lawsuit will not be filed against it on a matter; dismissal of a lawsuit for want of prosecution or on motion of the plaintiff; or final decision of a court (or of a court on appeal, if applicable) in a lawsuit

All Statute of Limitations must be met before file is closed. Review before disposal. ARCHIVES NOTE: Cases that set legal precedent or exhibit historical value will be evaluated by the Archives and Information Services Division of the Texas State Library and Archives Commission for archival preservation.

ADR1037

1.1.053

Registration Logs – Logs or similar records used to register persons appearing before state agencies as required by Chapter 2004, Government Code, including quarterly reports filed with the Texas Ethics Commission.

AC = Report filed with the Texas Ethics Commission

ADR1038

1.1.055

Strategic Plans – Information resources and operational strategic plans prepared in accordance with §2054.095, and §2056.002, Government Code.

AC+6

AC = September 1 of odd-numbered calendar years

ARCHIVES NOTE: The archival requirement is met by sending required copies of the plans to the University Archives and to the Texas State Publications Depository Program, Texas State Library and Archives Commission.

ADR1039

1.1.056

ADA (Americans with Disabilities Act) Documentation – Self evaluations and plans documenting compliance with the requirements of the Americans With Disabilities Act.

28 CFR 35.105c.

ADR1040

1.1.057

Transitory Information – Records of temporary usefulness that are not an integral part of a record series of an agency, that are not regularly filed with an agency’s record-keeping system, and that are required only for a limited period time for the completion of an action by an official or employee of the agency or in the preparation of an ongoing record series. Transitory records are not essential to the film and statutory obligations documentation of agency functions. Some examples of transitory information, which can be in any medium (voicemail, fax, email, hardcopy, etc.) are routine messages; telephone message notification; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routing information used for communication, but not for the documentation, of a specific agency transaction.

AC = Purpose of record has been fulfilled

CAUTION: Records management officers should use caution in assigning this record series item number to records of an agency to make certain they are not part of another record series listed in this schedule or, for record series unique to an agency, are not part of a record series that documents the government of the statutory obligations of the agency or the documentation of its functions.

ADR1041

1.1.058

Meeting Agenda and Minutes – Official Committees – Official agenda and minutes of state boards, committees, commissions and councils that conduct open meetings as required by Government Code, Chapter 551.

Examples: Board Of Regents Minutes, Minutes and Notes of Faculty Senate and Council Meetings. CAUTION: This record series and item numbers ADR1042, ADR1043, ADR1044, and ADR1045 must be used for those state boards, committees, commissions, and councils, which by law or the biannual Appropriations Act, are administered by another state agency. These records and all other related to the functions of any of these dependent entities must be included in the records retention schedule of the administrating agency. ARCHIVES NOTE: Agency retains permanent record copy. The archival requirement will be met by sending a copy to the Archives and Information Services Division, Texas State Library and Archives Commission.

ADR1042

1.1.059

Meetings, Certified Agendas or Tape Recordings of Closed – Certified agendas or tape recordings of closed meetings of state boards, commissions, committees, and councils.

AC+2

AC = The date of meeting or completion of pending action involving the meeting, whichever is later

Government Code, 551.104(a)

ADR1043

1.1.060

Meetings, Audio or Videotapes of Open – Audio or videotapes of open meetings of state boards, commissions, committees, and councils.

AC+90 days

AC = Official approval of written minutes of the meeting by the governing body of the agency

CAUTION: Minutes of state agencies are permanent records. Audio and videotapes are not yet. State agencies may not retain audio or videotapes of the meeting of governing bodies in lieu of written minutes. The proceedings of all minutes of state boards, committees, commissions, and councils must be reduced to writing. SEE caution comment at item number ADR1041.

ADR1044

1.1.061

Meeting – Notes – Notes taken during open meetings of state boards, commissions, committees, and councils from which written minutes are prepared.

AC+90 days

AC = Approval of the formal minutes by the governing body

SEE caution comment at ADR1041.

ADR1045

1.1.062

Meeting – Supporting Documentation – Documents submitted at meetings of state boards, commissions, committees, and councils including exhibit items, documentation for agenda items, etc. Includes documents sent in advance of meetings for breeding purposes, some of which may not be submitted at an actual meeting.

SEE caution comment at ADR1041. Includes UT System Documents.

ADR1046

1.1.063

Staff Meeting Minutes and Notes – Minutes or notes, and supporting documentation, taken at internal agency staff meetings.

ADR1047

1.1.064

Agency Performance Measures Documentation – Any records of an agency needed for the documentation of output, outcome, efficiency, and explanatory measures in agencies appropriations request or strategic plan, and for performance measures used to manage the agency.

FE+3

CAUTION: The FE+3 retention period overrides any shorter retention for a record series in this schedule if the record series is needed for documentation of agency performance measures.

ADR1048

1.1.065

Reports and Studies (Non-Fiscal) – Raw Data – Information or data collected and compiled for the purpose of producing non-fiscal reports.

CAUTION: Does not include source documentation used for information or data included in or directly related to another records series in this schedule.

ADR1049

1.1.066

Reports – Annual and Biannual (Non-Fiscal) – Biennial narrative reports to the governor and legislature as required by an agency’s enabling statutes, including annual narrative reports if they are required by statute.

AC+6

AC = September 1 of odd-numbered calendar years

ARCHIVES NOTE: The archival requirement is met by sending the required copies of the plans to the University Archives and to the Texas State Publications Depository Program, Texas State Library and Archives Commission.

ADR1050

1.1.067

Enrollment Census Reports (4th and 12th Class Day Rosters) – Attendance reports prepared by faculty on class census day and used as source documentation for enrollment reports submitted to the Texas Higher Education Coordinating Board.

Retained by Strategic Planning and Analysis.

ADR1051

1.1.067

Semester and Annual Reports

ADR1052

1.1.068

Reports on Performance Measures – Quarterly and annual reports on agency performance measures submitted to executive and legislative offices.

AC+6

AC = September 1 of odd-numbered calendar years

ADR1053

1.1.069

Reports – Activity – Reports compiled by agency personnel on a daily or other periodic basis pertaining to workload monitoring, task completion times, number of public contacts, and similar activities.

SEE item number ADR1047.

ADR1054

1.1.070

Rules and Regulations – Internal Audit Manual

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1055

1.1.070

Board of Regents Rules and Regulations

AC+3

AC = Completion or termination of program, rules, policies or procedures

Board Office suggests Present's Office keep all earlier amendments.

ADR1056

1.1.070

Numbered Policy Memoranda – Policies & Procedures Manual and internal publication.

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1057

1.1.070

Police Policies and Procedures Manual

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1058

1.1.070

Policies and Procedures Manuals – UTD

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1059

1.1.070

Rules and Regulations – Parking / Traffic

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1060

1.1.070

Institutional Compliance Program Manual

AC+3

AC = Completion or termination of program, rules, policies or procedures

ADR1061

1.1.071

Agency Rules, Policies, and Procedures – Working Files – Working files used in the development of manuals, guidelines, administrative rules, or similar records distributed internally for the use of employees or externally to the public or those individuals or entities regulated by an agency that sets out the rules, policies, and procedures that govern an agency’s programs, services, or projects.

AC+3

AC = Completion or termination of program, rules, policies or procedures

SEE item number ADR1060.

ADR1062

1.1.072

Public Information Reports – Reports made to the Office of the Attorney General on an agency’s Public Information Act activities.

ADR1063

1.1.073

Administrative Hearings – Transcripts and final decisions of hearings conducted as part of the regulatory process, and hearings on proposed rules and changes. The records may be maintained with related information including meeting notices, proofs of publication, and meeting minutes.

AC+3

AC = Last action

ADR1064

1.1.074

Sunset Review Report and Documentation – Sunset Review Report, agency self study, and other correspondence and supporting documentation related to the Sunset Review Process for state agencies.

AC+3

AC = After the subsequent Sunset Review

ADR1065

1.1.075

Alternative Dispute Resolutions – Final Agreement – Final agreement described by Government Code 2009.054(c), associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state agency participated as a party on the agency’s behalf.

AC+4

AC = Date of final agreement

Texas Civil Practice and Remedies Code , Chapter 154.071.

ADR1066

2.1

Gateway Website Files

ADR1067

2.1

Interactive Web Application Files

ADR1068

2.1.001

Automated Files – Processing Files – Machine-readable files used in the creation, utilization, and updating of master files.

AC = Completion of 3rd verification cycle, or audit completion confirming successful transaction processing, or required audit trail maintenance, or the ability to restore or migrate when errors are detected or when hardware or software changes occur.

ADR1069

2.1.002

Automated Files – Master Files – Relatively long-lived computer files containing organized and consistent sets of complete and accurate electronic records. Examples include, but are not limited to: data tables of relational databases used by applications or computer programs.

ADR1070

2.1.007

Software Programs and Job Control Language – Automated software applications and operating system files including job control language, program listing/source code, etc.

CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94

ADR1071

2.1.008

Hardware Documentation – Records documenting operational and maintenance requirements of computer hardware such as operating manuals, hardware/operating system requirements, hardware configurations, and equipment controls systems.

AC = Until electronic records are transferred to and made usable in a new software environment or there are no electronic records being retained to meet an approved retention period that require the software to be retrieved and read. Documentation is superseded periodically by vendor. Latest version of documentation is maintained until successful migration to new software or hardware environment.

CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94

ADR1072

2.1.009

Technical Documentation – Records adequate to specify all technical characteristics necessary for reading or processing of electronic records and their timely, authorized disposition including documentation describing how a system operates and necessary for using the system such as user guides, system or sub-system definitions, system specifications, input and output specifications, and system flow charts; program descriptions and documentation such as program flowcharts, program maintenance logs, change notices, and other records that document modifications to computer programs; and data documentation necessary to access, retrieve, manipulate, and interpret data in an automated system such as a data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.

"AC = Until electronic records are transferred to and made usable in a new hardware or software environment with new documentation or there are no electronic records being retained to meet an approved retention period that require the documentation to be retrieved and read. "

CAUTION: Software needed for access to electronic records must be retained for the period of time required to access the records. 13 TAC 6.94

ADR1073

2.1.010

Audit Trail Records – Files needed for electronic data audits such as files or reports showing transactions accepted, rejected, suspended, and/or processed; history files/tapes; records of on-line updates to application files or security logs.

AC = All audit requirements have been met.

ADR1074

2.2.002

Chargeback Records to Data Processing Service Users – “Includes Computer Utilization Records. Records used to document, calculate costs, and bill program
units for computer usage and data processing services. These records are also used for cost recovery, budgeting, or administrative purposes.”

ADR1075

2.2.004

Computer Job Schedules and Reports – Schedules or similar records showing computer jobs to be run and other reports by computer operators or programmers of work performed.

ADR1076

2.2.010

Data Processing Policies and Procedures – Manuals, guidelines, or similar documents establishing data processing policies and procedures in an agency in such areas as access and security, systems development, data retention and disposition, data ownership, production control, system back-up, etc.

US+3

CAUTION: Does not include technical documentation of procedures necessary for reading or processing of electronic records. SEE item number ADR1072.

ADR1077

2.2.011

Batch Data Entry Control Records – Forms and logs used to reconcile batches submitted for processing against batches received and processed.

AC = When reconciliation confirmed.

ADR1078

2.2.012

Output Records for Computer Production – Reports showing transactions that were accepted, rejected, suspended, and/or processed.

ADR1079

2.2.013

Quality Assurance Records – Information verifying the quality of system, hardware, or software operations including records of errors or failures and the loss of data resulting from such failures, documentation of abnormal termination and of error free processing, checks of changes put into production, transaction histories, and other records needed as an audit trail to evaluate data accuracy.

AC = No longer needed as an audit trail for any records modified.

ADR1080

2.2.016

Software Registrations, Warranties, and License Agreements – Records documenting the registration and licensing of a software application to activate the software for legal use by the end users of a state agency, along with warranties providing that the software will perform in accordance with functional specifications.

LA+3

ADR1081

11.1.002

Alumni Records – This series documents the activities of an institution or department’s alumni and may also provide alumni offices with information on alumni. This series may include, but is not limited to: memberships lists with names, addresses, employer names and addresses, and positions; promotional materials concerning annual gatherings; homecoming plans and programs; data cards and files for individual alumni; degree recipient lists; outstanding alumni lists; student leader lists; class officer lists; foreign student rosters; international alumni club records; and notes, memoranda, and related correspondence concerning general alumni affairs.

Refer to item number SSR1016 for records used exclusively for contacting alumni.

ADR1083

11.1.006

Event Administration Records – Routine – This series documents facilities, services and other accommodations provided by the institution for events. Records may include: facilities reservation agreements; room reservation lists; customer and room occupancy lists; catering services orders; customer evaluations; summary reports; and related correspondence.

AC+1

AC = Completion of the event

SEE item SSR1001 for Special Event Risk Assessments

ADR1082

11.1003

Award Administration and History Records – This series documents the process of selecting institutional faculty, staff, students and alumni to receive awards, fellowships, and scholarships based on merit or achievement. Includes: eligibility terms and selection criteria, award history and information on funding sources, award notifications, summary lists of winners, and biographies of winners.

AC = Termination of award

ARCHIVES NOTE: Only institutional awards merit archival review. Department-level awards recognizing employee or student achievement do not need to be reviewed for archival value. Refer to ADR1025 for press releases.

ADR1084

11.1.007

Event Administration Records – Special Events – This series documents the efforts of a college or unit to provide informative sessions, short-courses, workshops, training programs, excursions, and celebratory events for members of the institution and the communities it serves. This series may include, but is not limited to: materials on planning and arrangements; reports; promotional and publicity materials; press releases and news clippings; photographs; presentation materials and handouts; schedules of speakers and activities; registration and attendance lists; participant evaluations; and related documentation and correspondence.

AC+4

AC = Completion of the event

Refer to item number ADR1083 for routine event administration records.

ADR1085

11.1.009

Lecture and Lecture Series Records – This series documents the development and history of special lectures and continuing lectureships devoted to a variety of topics and disciplines sponsored by the institution.

CAUTION: Refer to item numbers ADR1083 and ADR1084 for records of event planning and administration.

ADR1086

11.1.014

Subject Files – Media and Communications – This series provides background information on institutional faculty and staff, buildings, events, traditions, and other special topics that document a university’s history and culture. The records may be used to support research, responses to inquiries, and other purposes. This series may include, but is not limited to: newspaper clippings; photographs; published and unpublished historical sketches; pamphlets; statistics; ephemera; biographical sketches; vitae; photographs; personal history data sheets; newspaper clippings; retirement notices; funeral programs; obituaries; and related documentation and correspondence.

Refer to item number ADR1025 for press releases. Refer to item numbers ADR1026 and ADR1027 for Public Information Requests.

ADR1087

4.5

Data Warehouse Reports – Reports generated by the University Data Warehouse.

ADR1088

4.7.008a

Grant Records – Grant/contract projects participated in or administered by state agencies. Includes grant/contract authorization records, which provide evidence of the award of grants/contracts to or by agencies; grant/project financial or performance reports, which are periodic reports of financial activity and/or program performance related to grants received or made by agencies, and research data to include final and interim research reports, working files, research data, protocols, laboratory notebooks, documentation, and any specimens produced for a granting agency or sponsor for funded research, studies, clinical trials, and non-clinical trials.

AC+3

AC= Satisfaction of all uniform administrative requirements for grants and cooperative agreements to state and local governments.

Caution: Retention requirements may vary depending on the specific funding agency. Records in this series may be subject to Government Code 441.1855. Agencies must ensure that records are retained for the appropriate retention period. NIH Guidelines, OMB Circular A: 110_.53, 2 CFR 200.334, 21 CFR 58.195(b), 40 CFR 160.195(b), 42 CFR 73.17(c). Grants beginning after December 26, 2014: 2 CFR 200 OMB Uniform Guidance Record Retention and Access (200.333, 200.334, 200.336, 200.337) Grants beginning prior to December 26, 2014: 45 CFR 46.115(b); NIH Guidelines; OMB Circular A: 110_.53; Circular A-110; 31 U.S.C. 503; 31 U.S.C. 1111; 41 U.S.C. 405

ADR1090

1.1.079

Copyright and Trademark Records – Documentation related to application and registration of copyright and trademark materials. Includes but not limited to a copy of the work itself and the corresponding copyright application, registration notice, and supplementary documents.

AC = Expiration or abandonment of trademark or copyright

17 USC 302.

ADR1091

3.1.039

Ombudsman Records – Consultation records, notes, letters, memos, emails, reports and other documentation

AC = One semester after final decision or matter closed/resolved

CAUTION: Does not include formal complaint filed with EEO. If matter becomes a grievance or the subject of counseling or litigation, or employee is subject to disciplinary action, the records are subject to retention in the appropriate records series. SEE item numbers ADR1036, PER1022, PER1023, PER1024, and PER1026.

ADR1092

17.3.012

Research Data – Non-Grant Funded Research – This series documents the routine research activities of research projects that are not funded by grants and are not subject to any state or federal guidelines. This series may include details of tests, client names, procedures performed, test results, evaluations, notebooks, binders, spreadsheets, or any other type of journal format, the care and proposed use of animals by the university for research purposes, institutional animal care and use forms, research proposal check-off forms, results of laboratory testing performed on agricultural products, case numbers, genetic trials, disease and pest management testing, and related data and correspondence.

URRS-281 For research data related to grant-funded or sponsored research, please refer to ADR1088 or ADR1089.

ADR1093

1.1.076

Subpoenas – Subpoenas for production of evidence produced for litigation in which the state agency is not a party. Includes legal documents requiring recipient to appear in court to testify, or to produce records to be used in litigation.

AC= Date request fulfilled

For subpoenas related to litigation in which the state agency is a party, see RSIN 1.1.048.

ADR1095

2.2.017

Help Desk Tickets – Records documenting the request for and response to help desk tickets received by divisions or units, such as information technology.

ADR1096

2.2.018

Biennial Information Security Plan – Biennial information security plan for protecting the security of the agency’s information.

1 TAC 202.23; 1 TAC 202.73.

ADR1097

5.4.018

Annual Audit Plan – Includes working papers and agency risk assessment used to develop the plan, per Texas Internal Auditing Act requirement.

AC+7

AC= After final plan has been issued

See RSIN 1.1.002 for individual Audit records not related to the development of the Audit Plan. Government Code, 2102.013.

ADR1035

1.1.043

Training Manuals – Instructional materials developed by an agency for training entities or individuals it regulates or serves

US+1

See RSIN 3.3.030 for internal personnel training materials. CAUTION: Does not include hazardous material training records. See SSR7018.

ADR1094

11.1.004

Award Selection Records – The process of selecting institutional faculty, staff, students and alumni to receive awards based on merit or achievement. The series may include but is not limited to: applications; nomination letters; recommendations; transcripts; letters of award notification or denial; letters accepting or declining awards; demonstration of need documentation; vote tallies; ranking sheets; and related documentation and correspondence.

CAUTION: This records series documents the process of selecting an individual to receive an award. See PER1020 for records of an employee receiving an award, incentive, or tenure.

ADR1088b

4.7.008b

Grant Records – Non-Awarded – Non-awarded, denied, or unfunded grant applications and proposals.

AC+2

AC = Date of notification or date grant deemed non-awarded

ADR1099

11.1.015

University Committee Records – Records of standing, advisory, and ad hoc committees and councils made up of members from a department, a college, a variety of units, or an office where policies and procedures are set. May include but not limited to: agendas; meeting minutes; reports; discussion of research and raw data; working papers; and related documentation and correspondence.

CAUTION: Federal or state regulations may require longer retention periods. The university must consider any applicable federal or state regulations in establishing a retention period for each committee's records. See ADR1046 for Staff Meeting Minutes and Notes. See Section 6.3 (Research) for review board records related to research.

Section 1.2: Records Management

ADR2001

1.2.001

Destruction Authorizations – Agency level documents authorizing final disposition of records under a certified records retention schedule.

FE+3

ADR2002

1.2.003

Forms History and Maintenance – Master versions of all forms used internally and externally by the agency, including subsequent revisions to a form or any associated design or design modification requests. Also includes periodic listing of all forms used internally or externally.

AC+2

AC = Until superseded or form use discontinued

ADR2003

1.2.005

Records Retention Schedule (SLR 105) – Agency copy. Formerly RMD 105. Includes documentation of certification and approval – forms SLR 105C (formerly RMD 105C), and/or other forms designated by the State Records Administrator.

Original is retained by the State and Local Records Management Division, Texas State Library and Archives Commission.

ADR2004

1.2.006

Records Transmittal Forms – Agency copy (includes RMD 101, TxR-5, 306-58-1, and Agency Storage Forms). Forms indicate records transferred to storage or a transfer of legal custody.

AC+2

AC = Date of authorization for destruction, permanent transfer from storage, transfer to university storage, or transfer to Archives and Information Services Division, Texas State Library and Archives Commission, by the agency records management officer

ADR2005

1.2.008

Request for Authority to Dispose of State Records – (Texas State Library RMD Form 102) Agency copy of the request.

FE+3

Original is retained by the State and Local Records Management Division, Texas State Library and Archives Commission.

ADR2006

1.2.010

Records Disposition Logs – Logs or similar records listing records destroyed or transferred to the Archives and Information Services Division, Texas State Library and Archives Commission, showing records series title, dates of records, and date destroyed or transferred.

ADR2007

1.2.011

Record Center Storage Approval Forms – (RMD 106) Agency copy of form

ADR2008

1.1.012

Records Inventory Worksheets

ADR2009

1.2.014

Records Management Plans – Records management plans and similar records that establish the policies and procedures under which records and information are managed in an agency.

US+1

ADR2010

1.2.015

Disaster Recovery Service Transmittals – (RMD 109) Also Includes Documentation for Disaster Recovery Services Provided by Other Entities.

FE+1

ADR2011

1.2.016

Disaster Recovery Service Approval – Form (RMD 113) Agency copy of form

AC = Until superseded or termination of service

Section 1.3: Publications

ADR3001

1.3.001

State Publications – Includes Student Record Catalogs

One copy to be retained. One copy of each state publication as defined below, except a publication that is subject to a different retention period in this schedule. For example, a meeting agenda (SEE item number ADR1041) also meets the definition, but it must be retained permanently; item numbers ADR1017, ADR1038, ADR1049, ADR1052, and FIR5005, which also meet the definition, are closely associated with the appropriations process and must be retained AC + 6. CAUTION: Copies must be submitted to the Texas State Publications Depository Program, Texas State Library and Archives Commission, by Law (Government Code §441.101 – 441.106). A State Publication is defined as information in any format that is produced by the authority of or at the total or partial expense of a state agency or is required to be distributed under law by the university and is publicly distributed. The term does not include information the distribution of which is solely limited to contractors with or grantees of the agency, staff persons within the agency or within other government agencies, or members of the public under a request made under the Public Information Act, Government Code, Chapter 552. The term includes but is not limited to: a publication distributed in print; on microform; as audiovisual material; as interactive media or on electronic external storage device; as an on-line publication; which is an index to other on-line publications; as one or more text, graphic, or other digital files; or as a user interface to a computer database.

ADR3002

1.3.002

Publication Development Files – Includes Publication files such as the Student Newspaper and University Advancement.
Background material, copy (drafts), original artwork, photo negatives, prints, flats, etc. This includes all work performed both inside and outside the agency.

Category 2: Personnel Records
Section 2.1: Employee Records
PER1001	3.1	Human Resources System (HRS) Electronic Reports from E-Print Mainframe – Records from HR and Payroll system of record from Summer 1999 to January 2011	AC	AC = confirmation the historical information has been moved to the current database
PER1002	3.1.023	Position/Job Descriptions – Job descriptions, including all associated task or skill statements, for positions in an agency	AC+4	AC = Until superseded or job eliminated	40 TAC 815.106 (i)
PER1003	3.1.002	Applications for Employment – Hired -Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or in the employment advertisement.	AC+5	AC = Termination of employment
PER1004	3.1.001	Applications for Employment – Not Hired – Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or the employment advertisement.	2		29 CFR 1602.49 (a).
PER1005	3.1.002	Peer Advisor Application	AC+5	AC = After termination of employment
PER1006	3.1.014	Employment Selections – Includes notes of interviews with candidates, questions asked of applicants, audio and videotapes of job interviews, driving record and previous injury checks, pre-employment physical examinations, and other records that document the selection process.	AC+2	AC = Date of the making of the record or the personnel action involved, whichever occurs later	CAUTION: Does not include criminal history checks. SEE item number PER1007. For skills and aptitude tests and answer sheets, see PER3017 and PER3018. For employment selection records of UTD Police Department Employees, see SSR2014, SSR2026, and SSR2027. 29 CFR 1602.49 (a).
PER1007	3.1.026	Criminal History Checks – Criminal history record information on job applicants or agency employees obtained from the Department of Public Safety (DPS)	AC	AC = The criminal history record has served the immediate purpose for which it was obtained	CAUTION: An agency that is authorized to obtain a criminal history record information from DPS must refer to its agency's legislation or see Subchapter F, Chapter 411, Government Code for appropriate retention and use of this information. § 441.094 (e), Government Code
PER1008	3.1.029	Employment Eligibility – Documentation or Verification of – Federal reporting form (INS I-9)	AC+1	AC = Termination of employment	CAUTION: Federal regulation requires that INS I-9 forms be retained for 3 years from date of hire or 1 year after separation of the employee, which ever is later. Agencies should make certain that the INS I-9 forms for employees who terminate from an agency less than 3 years the date of hire are kept for the 3 year retention period. 8 CFR 274a.2(b)(2)(i)(A) and (c)(2).
PER1009	3.1.013	Employment Contracts (on or after September 1, 2015) – Employment contracts that were executed, renewed, or amended on or after September 1, 2015.	AC+7	AC = Expiration or termination of the contract according to its terms	Previously 800.007 - Contracts for student athletic coaches and administrators. Government Code, 441.1855
PER1010	3.1.013	Employment Contracts (on or before August 31, 2015) – Employment contracts that were executed, renewed, or amended on or before August 31, 2015.	AC+4	AC = Expiration or termination of the contract according to its terms	Previously 800.007 - Contracts for student athletic coaches and administrators. Government Code, 441.1855
PER1011	3.1.011	Employees Insurance Enrollment Form(s) – University copies of information relating to the selection by employees/retirees of life, disability, health, and other types of insurance offered by the UT System to its employees.	AC	AC = Until superseded or termination of employment	UTS Policy. CAUTION: Documents that serve as payroll deduction authorizations must be maintained for the retention period prescribed for item number PER2002.
PER1012	3.1.031	Employee Benefits – Other than Insurance – Includes Optional Retirement. Agency copies of information relating to the selection of available benefit options other than insurance.	AC+10	AC = Until superseded or termination of employment	Open Records Decision 545, 3/20/90. Some records may be needed to provide verification to providers. CAUTION: Documents that serve as Payroll Deduction Authorizations must be retained for the retention period prescribed for item number PER2002.
PER1013	3.1.038	Public Access Option Form – Form completed and signed by employee or official, or former employee or official, electing to keep home address, home telephone number, social security number, and family information open or confidential under the Public Information Act, Government Code §552.024.	US		SEE item number PER3008.
PER1014	3.1	Personnel Files – Departmental – Individual personnel files for faculty, staff, and student employees. These records are maintained by the employee’s department.	AC + 5	AC = Termination of employment.	CAUTION: This item number should be used only for personnel files not included in or directly related to another record series in this schedule. Does not include files maintained by the office of Human Resources (for non-HR employees). SEE PER1015. Departmental folders of notable faculty and staff may possess archival value. Notify Records Management office of potential historical value when requesting disposition.
PER1015	3.1	Personnel Files – Human Resources – Individual personnel files for faculty, staff, and student employees. These records are maintained by the office of Human Resources (for non-HR employees).	AC + 5	AC = Termination of employment.	CAUTION: This item number should be used only for personnel files not included in or directly related to another record series in this schedule. Does not include files maintained by the employee's department. SEE PER1014. Departmental folders of notable faculty and staff may possess archival value. Notify Records Management office of potential historical value when requesting disposition.
PER1016	3.1.002	Academic Affairs – Faculty / Lecturer / Adjunct Files – Official faculty files. Includes appointment, promotion, and tenure records. Evaluations, recommendations, and similar documentation relating to the review process for promotion and tenure for all faculty or staff in the tenure track.	AC + 5	AC = After termination.	CAUTION: For records of staff employee recognition, SEE item number PER1020. 29 CFR 1602.49 for Promotion and Tenure Records
PER1017	3.1.002	Academic Affairs – Former Employees (Faculty) Files	AC+5	AC = After termination.
PER1018	3.1.012	Employment Opportunity Advertisements – Internal or external announcements or advertisements of job openings, promotions, training programs, or opportunities for overtime.	2		29 CFR 1602.49 (a).
PER1019	3.1.027	Training and Educational Achievement Records – Individual – Certificates of completion, transcripts, test scores, or similar records documenting the training, testing, or continuing education achievements of an employee.	AC + 5	AC = Termination of employment.
PER1020	3.1.037	Employee Recognition Records – Awards, incentives, etc.	AC + 5	AC = Termination of employment.
PER1021	3.1.019	Performance Appraisal Job evaluations, performance appraisals, or other similar documents used to evaluate the performance of an employee.	AC + 5	AC = Appraisal completed.	29 CFR 1620.32 (c).
PER1022	3.1.020	Personnel Corrective Action Documentation – Corrective actions are those actions which do not affect pay, status, or tenure and are imposed to correct or improve an employee’s job performance.	AC + 5	AC = Termination of corrective action.	CAUTION: If, during the retention period of this record series, any part of this series is used to document and support personnel disciplinary action under item number PER1023, all documentation from the series used to support disciplinary action must be retained for the minimum retention period described by item number PER1023.
PER1023	3.1.021	Personnel Disciplinary Action Documentation – Disciplinary actions are those actions which may affect pay, status, or tenure. They are imposed to discipline an employee whose conduct is harmful to the best interests of the state, the agency, or the employee work force; and for failure to improve performance or conduct following imposition of corrective action. May include cause for demotion, suspension, or dismissal, and the reasons for failure to give written notice or resignation. May also be used to document evidence of employee self-improvement efforts, as well as favorable and unfavorable communication.	AC + 5	AC = Termination of employment.
PER1024	3.1.006	Employee Counseling Records – Notes, memoranda, or reports relating to the counseling of an employee for work-related, personal, or substance abuse problems. Usually maintained at the supervisorial level except in those agencies with counseling staff.	AC+3	AC = Termination of counseling.
PER1025	3.1.022	Personnel Information or Action Forms – Forms are similar records used to create or change information concerning the records of an employee including paygrade, position, classification, employee number, evaluation date, and termination of employment.	4		This includes changes to University identification number and Social Security number. 29 CFR 1602.49(a)
PER1026	3.1.018	Grievance Records – Employees – Records relating to the review of employee grievances against personnel policies, working conditions, etc.	AC + 2	AC = Final decisions on the grievance.	CAUTION: Does not include formal complaints filed by an agency employee with the Equal Employment Office (EEO) of the US Department Of Labor. SEE item number ADR1036.
PER1027	3.1.035	Performance Bonds (on or after September 1, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or after September 1, 2015.	AC + 7	AC = Expiration or termination of the bond according to its terms.	Open Records Decision 545, 3/20/90. Some records may be needed to provide verification to providers. CAUTION: Documents that serve as Payroll Deduction Authorizations must be retained for the retention period prescribed for item number PER2002. SEE item number PER1028 for bonds executed, renewed, or amended on or before August 31, 2015. Government Code, 441.1855
PER1028	3.1.035	Performance Bonds (on or before August 31, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or before August 31, 2015.	AC + 4	AC = Expiration or termination of the bond according to its terms.	CAUTION: Does not include construction or architectural surety bonds. SEE item number SSR6033. SEE related item number SSR1002-SSR1009 (Contracts and Leases). SEE item number PER1027 for bonds executed, renewed, or amended on or after September 1, 2015. Government Code, 441.1855
PER1029	12.1.002	International Scholars Records – J-1 Exchange Visitor Files – This series documents the short-term appointment of nonimmigrant international scholars as visiting faculty, specialists, researchers, and trainees. Records may include, but are not limited to: Form DS-2019, Certificate of Eligibility for Exchange Visitor (J-1) Status; electronic files to Student Exchange Visitor Information System (SEVIS); descriptions of work to be performed; methods of financial support; copies of passports; check-in forms with personal data such as addresses, telephone numbers, and information concerning dependents; related correspondence, most often concerning eligibility of spouses and children to accompany or join the scholar; log sheets noting the nature of telephone calls concerning each scholar’s status; and related documentation.	AC+3	AC = End of participation in program.	22 CFR 62.10(g)
PER1030	12.1.003	International Scholars Records – Immigrant Petition – File Includes documentation of an institution’s sponsorship of an applicant using USCIS Form I-140 (Immigrant Petition for Alien Worker).	AC + 5	AC = Date applicant granted lawful permanent residence by USCIS or no longer employed by the institution, whichever is earlier.
PER1031	12.1.004	International Scholars Records – Labor Certification – This series documents the application and approval of international scholars for permanent immigrant status. Records may include, but are not limited to: Application for Permanent Employment Certifications (DOL Form ETA 9089); Application for Alien Employment Certification (DOL Form ETA 750); recruitment reports; copy of job advertisement in national professional journal; wage determinations; and related materials.	AC + 5	AC = Date of filing the 'Application for Permanent Employment Certification' (Form ETA 9089).	20 CFR 656.10(f)
PER1032	12.1.005	International Scholars Records – Nonimmigrant Visa Petition – File Includes both internal documents and forms submitted to the U.S. Citizenship and Immigration Services (USCIS), including Form I-129, Petition for a Nonimmigrant Worker.	AC+1	AC = Date individual no longer employed by the institution in sponsored nonimmigrant status.
PER1033	12.1.006	International Scholars Records – Nonimmigrant Visa Public Inspection – File This series documents the temporary employment of international exchange visitors (non-immigrants) by the institution and is used to monitor compliance with federal United States Citizenship and Immigration Services (USCIS) regulations. Includes Labor Condition Application (DOL Form 9035/9035E), wage rate documentation, benefits summaries, and related materials for H-1B, H-1B1, and E-3 visas.	AC+1	AC = Last date the institution employs any individual in H-1B nonimmigrant status under the Labor Condition Application for which the Public Inspection File was created. If no non-immigrants were employed under the labor condition application, one year from the date the labor condition application expired or was withdrawn.	20 CFR 655.760(c)
PER1034	12.1.007	International Scholars Records – Tax Documentation – This series documents international students’ and scholars’ acquisition of social security numbers. This series may include, but is not limited to: social security number applications; Statement of Information – Social Security Account Number forms (CO-204); photocopies of social security cards; Controllers Division reports; and related documentation and correspondence.	AC+3	AC = Date of application.
PER1035	12.2.001	International Scholars Records – Program Administration Records – This series documents a program which allows one or more visiting scholars to assume residence on campus for an academic year or a shorter duration. This series may include, but is not limited to: advertisements; applicant data; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; scholars’ vitae; scholars’ activities documentation including audio recordings; and related documentation and correspondence.	3		22 CFR 62.10(g)
PER1036	12.3.001	Time Cards and Time Sheets – Work-Study Students – This series documents hours worked by work-study student employees. The series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series may include, but is not limited to: Work-Study Time Certificates and referrals, time cards, and time sheets.	AC+3	AC = End of award year for which the aid was awarded and disbursed.	Refer to item number PER4006 for all other time cards and time sheets, including those of non-work-study student employees. CFR 668.24(e)(1), 34 CFR 675.19(b).
PER1037	3.1.042	ADA Accommodation Requests – Employee or applicant requests for reasonable accommodation under the ADA (Americans with Disabilities Act).	AC+2	AC= For employees, termination of employment; for job applicants who were not selected, date of application.	29 CFR 1602.31.
PER2012	3.2.009	State Deferred Compensation Records – Records documenting the amount of pension or deferred compensation earned by individual employees.	AC + 5	AC = All accounts with a vendor or vendors for the individual participant have been closed for instructions regarding the determination of the closure of accounts and for additional information regarding the retention period see the most current edition of the Benefits Coordinator Reference Manual issued by the Employees Retirement System of Texas.
Section 2.2: Payroll
PER2001	3.2	Authorization for Professional Services	AC+6	AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.
PER2002	3.2.001	Employee Deduction Authorizations – Documentation used to start, modify, or stop all voluntary or required deductions from payroll, including garnishment or other court-ordered attachments.	AC+6	AC = After termination of employee or after amendment, expiration, or termination of authorization, which ever sooner.
PER2003	3.2.002	Employee Earnings Records – Payroll records and registers documenting employee earnings, wages, and pay. This may include but is not limited to payroll input records, summary statements, payroll vouchers, payroll detail sheets, and payroll history.	4		40 TAC 815.106 (i).
PER2004	3.2.003	Alien Information Collection Form	AC+6	AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.
PER2005	3.2.003	Employees / Independent Contractor Checklist	AC+6	AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.
PER2006	3.2.003	Federal Tax Records – Includes 1099, W-2, FICA, and Other Tax Records	AC+4	AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.	UTS Policy 26 CFR §31.6001-1(e)(2).
PER2007	3.2.004	Income Adjustment Authorizations – Used to make increases or decreases to employee’s gross pay, FICA, retirement, or in the computation of taxes.	2		29 CFR 516.6 (C).
PER2008	3.2.005	W-4 Forms – Employer’s copy of “Employees’ Withholding Exemption Certificate”	AC + 5	AC = Until superseded, obsolete, or upon separation of the employee.	26 CFR 31.6001-1(e)(2) and 26 CFR 31.6001-5.
PER2009	3.2.006	Wage Rate Tables – Records defining the wage or salary rate for each position in the agency expressed in dollars, grades, or step numbers.	2		29 CFR 516.6 (a)(2).
PER2010	3.2.007	Unemployment Compensation Records – Records and documentation relating to unemployment compensation claims, including reimbursement of funds disbursed by Texas Workforce Commission.	AC + 5	AC = Termination of benefit.
PER2011	3.2.008	Direct Deposit Applications / Authorization – Forms used to deposit employee earnings into a specified personal account. Includes Mail Deposit Applications/Authorizations	US
PER2013	3.2.010	Human Resources Information System (HRIS) Reports – Reports sent to State Comptroller HRIS system. Includes supporting documentation	AC+4	AC = Transmitted and accepted by state HRIS system.
PER2014	3.3.011	Personnel – Payroll Masterfile	AC+75	AC = Termination of employment.
Section 2.3 Personnel Administration
PER3001	3.3	Request for Approval of Outside Employment	AC+2	AC = End date of outside employment.
PER3002	3.3	Special Facility Development Leave Files	AC + 5	AC = After termination.
PER3003	3.3	Faculty Endowments	PM
PER3004	3.3	Faculty Startup Funding	AC + 5	AC = After termination.
PER3005	3.3.001	Affirmative Action Plans – Affirmative action plans for regular employees.	5		29 CFR 30.8 (e).
PER3006	3.3.004	The UT System Benefit Plans – Working Copy – Employee benefit plans such as pension; life, health, and disability insurances; deferred compensation; etc. including amendments	US+5		29 CFR 1627.3 (b)(2).
PER3007	3.3.010	Labor Statistics Reports – Reports providing statistical information on labor force.	3
PER3008	3.3.011	Former Employee Verification Records – Minimum information needed to verify employment, includes name, social security number, exact dates of employment, last known address and most recent public access option form.	AC+75	AC = Termination of employment.	SEE item number PER1013.
PER3009	3.3	Verification of Employment Request (VOE) – Requests, verifications, and related documentation	AC+1	AC = Request filled
PER3010	3.3.015	Position/Job Classification Review File – Records relating to review and monitoring of job classifications within an agency.	US+3
PER3011	3.3.020	Work Schedules / Assignments – Work, duty, shift, crew, or case schedules, rosters, or assignments	1
PER3012	3.3.022	Texas Workforce Commission (TWC) Reports – Reports to the agency from TWC or its predecessor pertaining to employees.	3
PER3013	3.3.023	Reimbursable Activities, Requests and Authorizations to Engage in – Requests and authorizations for travel; participation in educational programs, workshops, or college classes; or for other work-related activities for which the expenses of the employee are defrayed or reimbursed.	FE+3		International Travel Authorizations: Beginning in 2021, the International Center maintains the record copy in BPL. Prior to 2021, the record copy is maintained by the President’s Designee (usually the Dean of the traveler’s School or the VP of the traveler’s Division). Domestic Travel Authorizations: the record copy is maintained by the traveler’s department. SEE Note 1.
PER3014	3.3.024	Personnel Policies and Procedures – Any internally distributed manuals, guidelines, or similar records that define agency wide policies and procedures concerning the personnel of an agency.	US+3
PER3015	3.3.025	Job Procedure Records – Any documents detailing the procedural duties and responsibilities of agency positions on a position-by-position basis.	US+3
PER3016	3.3.026	Agency Staffing Records – Any reports compiled by an agency on aspects of personnel staffing, including listings of all staff by program or name, staff hired during a month, detailed listings of employees within its organizational structure, position vacancies, analyses of turnover rates and seasonality of employment, etc.	US+3		Examples are: alphabetical employee listing, report of employees hired during a month, Quarterly FTE Reports to State Auditor.
PER3017	3.3.027	Aptitude and Skills Test – Aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer.	US+2		CAUTION: One copy of each different test (different in terms of either questions or administration procedures) should be retained for the period indicated. 29 CFR 1602.49
PER3018	3.3.028	Aptitude and Skills Test (Test Papers) – Aptitude and skills test papers of job applicants or of current personnel taking a test to qualify for promotion or transfer.	2		29 CFR 1602.49
PER3019	3.3.029	Aptitude and Skills Tests (Validation Records) – Records of the validation of aptitude and skills tests.	AC+2	AC = As long as the test is used by an agency.	29 CFR 1602.49
PER3020	3.3.030	Training Administration Records – Instructional materials and other records associated with in-house training of agency personnel on personnel policies and procedures and other policies and procedures that govern an agency’s programs, services, or projects.	US+2		CAUTION: Does not include hazardous material training records. SEE item number SSR7018.
PER3021	3.3.031	EEO Reports and Reporting Documentation – Includes documentation used to complete EEO reports.	3		29 CFR 1602.32, 1602.39, 1602.41, 1602.48, and 1602.50.
PER3022	3.3.032	Equal Pay Records – Reports, studies, aggregated or summary data, and similar documentation compiled to monitor and demonstrate compliance with the federal Equal Pay Act.	3		29 CFR 1620.32
PER3023	3.3.033	Recruitment Plans – Diversity and recruitment plans and related workforce analyses.	3		Texas Labor Code, 21.501 and 502.
Section 2.4: Time and Leave
PER4001	3.4.001	Accumulated Leave Adjustment Requests – Used to create employee leave balances, to transfer leave balances when an employee transfers positions, to correct errors on leave accumulation, and to close out leave accounts on separated employees.	FE+3
PER4002	3.4.002	Leave Status Report – Cumulative report is issued each pay cycle and provides employee leave status information for each position.	FE+3
PER4003	3.4.003	Less Than Full-Time Worked Reports – Dates and hours.	4		40 TAC 815.106(i).
PER4004	3.4.004	Overtime Authorizations – Records created to schedule time worked by employees outside of or in addition to their regular working hours, including approval authorizations.	2
PER4005	3.4.005	Overtime Schedules	2
PER4006	3.4.006	Time Cards and Time Sheets – Records documenting individual employee’s hours worked, including work schedules and documentation evidencing adherence to or deviation from normal hours for those employees working on fixed schedules.	FE+4		Refer to item number PER1036 for time cards and time sheets used for student work-study documentation. 40 TAC 815.106(i).
PER4007	3.4.007	Time off and/or Sick Leave Requests – Requests and authorizations for vacation, compensatory, sick, Family and Medical Leave Act (FMLA), sick pool leave, and other types of authorized leave, and supporting documentation.	FE+3
PER4008	3.4.008	Sick Leave Pool Documentation – Requests submitted, approvals, number of hours transferred in and out, etc.	FE+3		Open Record except for medical records that may exist in file.

Category 2: Personnel Records

Section 2.1: Employee Records

PER1001

3.1

Human Resources System (HRS) Electronic Reports from E-Print Mainframe – Records from HR and Payroll system of record from Summer 1999 to January 2011

AC = confirmation the historical information has been moved to the current database

PER1002

3.1.023

Position/Job Descriptions – Job descriptions, including all associated task or skill statements, for positions in an agency

AC+4

AC = Until superseded or job eliminated

40 TAC 815.106 (i)

PER1003

3.1.002

Applications for Employment – Hired -Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or in the employment advertisement.

AC+5

AC = Termination of employment

PER1004

3.1.001

Applications for Employment – Not Hired – Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or the employment advertisement.

29 CFR 1602.49 (a).

PER1005

3.1.002

Peer Advisor Application

AC+5

AC = After termination of employment

PER1006

3.1.014

Employment Selections – Includes notes of interviews with candidates, questions asked of applicants, audio and videotapes of job interviews, driving record and previous injury checks, pre-employment physical examinations, and other records that document the selection process.

AC+2

AC = Date of the making of the record or the personnel action involved, whichever occurs later

CAUTION: Does not include criminal history checks. SEE item number PER1007. For skills and aptitude tests and answer sheets, see PER3017 and PER3018. For employment selection records of UTD Police Department Employees, see SSR2014, SSR2026, and SSR2027. 29 CFR 1602.49 (a).

PER1007

3.1.026

Criminal History Checks – Criminal history record information on job applicants or agency employees obtained from the Department of Public Safety (DPS)

AC = The criminal history record has served the immediate purpose for which it was obtained

CAUTION: An agency that is authorized to obtain a criminal history record information from DPS must refer to its agency's legislation or see Subchapter F, Chapter 411, Government Code for appropriate retention and use of this information. § 441.094 (e), Government Code

PER1008

3.1.029

Employment Eligibility – Documentation or Verification of – Federal reporting form (INS I-9)

AC+1

AC = Termination of employment

CAUTION: Federal regulation requires that INS I-9 forms be retained for 3 years from date of hire or 1 year after separation of the employee, which ever is later. Agencies should make certain that the INS I-9 forms for employees who terminate from an agency less than 3 years the date of hire are kept for the 3 year retention period. 8 CFR 274a.2(b)(2)(i)(A) and (c)(2).

PER1009

3.1.013

Employment Contracts (on or after September 1, 2015) – Employment contracts that were executed, renewed, or amended on or after September 1, 2015.

AC+7

AC = Expiration or termination of the contract according to its terms

Previously 800.007 - Contracts for student athletic coaches and administrators. Government Code, 441.1855

PER1010

3.1.013

Employment Contracts (on or before August 31, 2015) – Employment contracts that were executed, renewed, or amended on or before August 31, 2015.

AC+4

AC = Expiration or termination of the contract according to its terms

Previously 800.007 - Contracts for student athletic coaches and administrators. Government Code, 441.1855

PER1011

3.1.011

Employees Insurance Enrollment Form(s) – University copies of information relating to the selection by employees/retirees of life, disability, health, and other types of insurance offered by the UT System to its employees.

AC = Until superseded or termination of employment

UTS Policy. CAUTION: Documents that serve as payroll deduction authorizations must be maintained for the retention period prescribed for item number PER2002.

PER1012

3.1.031

Employee Benefits – Other than Insurance – Includes Optional Retirement. Agency copies of information relating to the selection of available benefit options other than insurance.

AC+10

AC = Until superseded or termination of employment

PER1013

3.1.038

Public Access Option Form – Form completed and signed by employee or official, or former employee or official, electing to keep home address, home telephone number, social security number, and family information open or confidential under the Public Information Act, Government Code §552.024.

SEE item number PER3008.

PER1014

3.1

Personnel Files – Departmental – Individual personnel files for faculty, staff, and student employees. These records are maintained by the employee’s department.

AC + 5

AC = Termination of employment.

CAUTION: This item number should be used only for personnel files not included in or directly related to another record series in this schedule. Does not include files maintained by the office of Human Resources (for non-HR employees). SEE PER1015. Departmental folders of notable faculty and staff may possess archival value. Notify Records Management office of potential historical value when requesting disposition.

PER1015

3.1

Personnel Files – Human Resources – Individual personnel files for faculty, staff, and student employees. These records are maintained by the office of Human Resources (for non-HR employees).

AC + 5

AC = Termination of employment.

CAUTION: This item number should be used only for personnel files not included in or directly related to another record series in this schedule. Does not include files maintained by the employee's department. SEE PER1014. Departmental folders of notable faculty and staff may possess archival value. Notify Records Management office of potential historical value when requesting disposition.

PER1016

3.1.002

Academic Affairs – Faculty / Lecturer / Adjunct Files – Official faculty files. Includes appointment, promotion, and tenure records. Evaluations, recommendations, and similar documentation relating to the review process for promotion and tenure for all faculty or staff in the tenure track.

AC + 5

AC = After termination.

CAUTION: For records of staff employee recognition, SEE item number PER1020. 29 CFR 1602.49 for Promotion and Tenure Records

PER1017

3.1.002

Academic Affairs – Former Employees (Faculty) Files

AC+5

AC = After termination.

PER1018

3.1.012

Employment Opportunity Advertisements – Internal or external announcements or advertisements of job openings, promotions, training programs, or opportunities for overtime.

29 CFR 1602.49 (a).

PER1019

3.1.027

Training and Educational Achievement Records – Individual – Certificates of completion, transcripts, test scores, or similar records documenting the training, testing, or continuing education achievements of an employee.

AC + 5

AC = Termination of employment.

PER1020

3.1.037

Employee Recognition Records – Awards, incentives, etc.

AC + 5

AC = Termination of employment.

PER1021

3.1.019

Performance Appraisal Job evaluations, performance appraisals, or other similar documents used to evaluate the performance of an employee.

AC + 5

AC = Appraisal completed.

29 CFR 1620.32 (c).

PER1022

3.1.020

Personnel Corrective Action Documentation – Corrective actions are those actions which do not affect pay, status, or tenure and are imposed to correct or improve an employee’s job performance.

AC + 5

AC = Termination of corrective action.

CAUTION: If, during the retention period of this record series, any part of this series is used to document and support personnel disciplinary action under item number PER1023, all documentation from the series used to support disciplinary action must be retained for the minimum retention period described by item number PER1023.

PER1023

3.1.021

Personnel Disciplinary Action Documentation – Disciplinary actions are those actions which may affect pay, status, or tenure. They are imposed to discipline an employee whose conduct is harmful to the best interests of the state, the agency, or the employee work force; and for failure to improve performance or conduct following imposition of corrective action. May include cause for demotion, suspension, or dismissal, and the reasons for failure to give written notice or resignation. May also be used to document evidence of employee self-improvement efforts, as well as favorable and unfavorable communication.

AC + 5

AC = Termination of employment.

PER1024

3.1.006

Employee Counseling Records – Notes, memoranda, or reports relating to the counseling of an employee for work-related, personal, or substance abuse problems. Usually maintained at the supervisorial level except in those agencies with counseling staff.

AC+3

AC = Termination of counseling.

PER1025

3.1.022

Personnel Information or Action Forms – Forms are similar records used to create or change information concerning the records of an employee including paygrade, position, classification, employee number, evaluation date, and termination of employment.

This includes changes to University identification number and Social Security number. 29 CFR 1602.49(a)

PER1026

3.1.018

Grievance Records – Employees – Records relating to the review of employee grievances against personnel policies, working conditions, etc.

AC + 2

AC = Final decisions on the grievance.

CAUTION: Does not include formal complaints filed by an agency employee with the Equal Employment Office (EEO) of the US Department Of Labor. SEE item number ADR1036.

PER1027

3.1.035

Performance Bonds (on or after September 1, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or after September 1, 2015.

AC + 7

AC = Expiration or termination of the bond according to its terms.

Open Records Decision 545, 3/20/90. Some records may be needed to provide verification to providers. CAUTION: Documents that serve as Payroll Deduction Authorizations must be retained for the retention period prescribed for item number PER2002. SEE item number PER1028 for bonds executed, renewed, or amended on or before August 31, 2015. Government Code, 441.1855

PER1028

3.1.035

Performance Bonds (on or before August 31, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or before August 31, 2015.

AC + 4

AC = Expiration or termination of the bond according to its terms.

CAUTION: Does not include construction or architectural surety bonds. SEE item number SSR6033. SEE related item number SSR1002-SSR1009 (Contracts and Leases). SEE item number PER1027 for bonds executed, renewed, or amended on or after September 1, 2015. Government Code, 441.1855

PER1029

12.1.002

International Scholars Records – J-1 Exchange Visitor Files – This series documents the short-term appointment of nonimmigrant international scholars as visiting faculty, specialists, researchers, and trainees. Records may include, but are not limited to: Form DS-2019, Certificate of Eligibility for Exchange Visitor (J-1) Status; electronic files to Student Exchange Visitor Information System (SEVIS); descriptions of work to be performed; methods of financial support; copies of passports; check-in forms with personal data such as addresses, telephone numbers, and information concerning dependents; related correspondence, most often concerning eligibility of spouses and children to accompany or join the scholar; log sheets noting the nature of telephone calls concerning each scholar’s status; and related documentation.

AC+3

AC = End of participation in program.

22 CFR 62.10(g)

PER1030

12.1.003

International Scholars Records – Immigrant Petition – File Includes documentation of an institution’s sponsorship of an applicant using USCIS Form I-140 (Immigrant Petition for Alien Worker).

AC + 5

AC = Date applicant granted lawful permanent residence by USCIS or no longer employed by the institution, whichever is earlier.

PER1031

12.1.004

International Scholars Records – Labor Certification – This series documents the application and approval of international scholars for permanent immigrant status. Records may include, but are not limited to: Application for Permanent Employment Certifications (DOL Form ETA 9089); Application for Alien Employment Certification (DOL Form ETA 750); recruitment reports; copy of job advertisement in national professional journal; wage determinations; and related materials.

AC + 5

AC = Date of filing the 'Application for Permanent Employment Certification' (Form ETA 9089).

20 CFR 656.10(f)

PER1032

12.1.005

International Scholars Records – Nonimmigrant Visa Petition – File Includes both internal documents and forms submitted to the U.S. Citizenship and Immigration Services (USCIS), including Form I-129, Petition for a Nonimmigrant Worker.

AC+1

AC = Date individual no longer employed by the institution in sponsored nonimmigrant status.

PER1033

12.1.006

International Scholars Records – Nonimmigrant Visa Public Inspection – File This series documents the temporary employment of international exchange visitors (non-immigrants) by the institution and is used to monitor compliance with federal United States Citizenship and Immigration Services (USCIS) regulations. Includes Labor Condition Application (DOL Form 9035/9035E), wage rate documentation, benefits summaries, and related materials for H-1B, H-1B1, and E-3 visas.

AC+1

AC = Last date the institution employs any individual in H-1B nonimmigrant status under the Labor Condition Application for which the Public Inspection File was created. If no non-immigrants were employed under the labor condition application, one year from the date the labor condition application expired or was withdrawn.

20 CFR 655.760(c)

PER1034

12.1.007

International Scholars Records – Tax Documentation – This series documents international students’ and scholars’ acquisition of social security numbers. This series may include, but is not limited to: social security number applications; Statement of Information – Social Security Account Number forms (CO-204); photocopies of social security cards; Controllers Division reports; and related documentation and correspondence.

AC+3

AC = Date of application.

PER1035

12.2.001

International Scholars Records – Program Administration Records – This series documents a program which allows one or more visiting scholars to assume residence on campus for an academic year or a shorter duration. This series may include, but is not limited to: advertisements; applicant data; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; scholars’ vitae; scholars’ activities documentation including audio recordings; and related documentation and correspondence.

22 CFR 62.10(g)

PER1036

12.3.001

Time Cards and Time Sheets – Work-Study Students – This series documents hours worked by work-study student employees. The series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series may include, but is not limited to: Work-Study Time Certificates and referrals, time cards, and time sheets.

AC+3

AC = End of award year for which the aid was awarded and disbursed.

Refer to item number PER4006 for all other time cards and time sheets, including those of non-work-study student employees. CFR 668.24(e)(1), 34 CFR 675.19(b).

PER1037

3.1.042

ADA Accommodation Requests – Employee or applicant requests for reasonable accommodation under the ADA (Americans with Disabilities Act).

AC+2

AC= For employees, termination of employment; for job applicants who were not selected, date of application.

29 CFR 1602.31.

PER2012

3.2.009

State Deferred Compensation Records – Records documenting the amount of pension or deferred compensation earned by individual employees.

AC + 5

AC = All accounts with a vendor or vendors for the individual participant have been closed for instructions regarding the determination of the closure of accounts and for additional information regarding the retention period see the most current edition of the Benefits Coordinator Reference Manual issued by the Employees Retirement System of Texas.

Section 2.2: Payroll

PER2001

3.2

Authorization for Professional Services

AC+6

AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.

PER2002

3.2.001

Employee Deduction Authorizations – Documentation used to start, modify, or stop all voluntary or required deductions from payroll, including garnishment or other court-ordered attachments.

AC+6

AC = After termination of employee or after amendment, expiration, or termination of authorization, which ever sooner.

PER2003

3.2.002

Employee Earnings Records – Payroll records and registers documenting employee earnings, wages, and pay. This may include but is not limited to payroll input records, summary statements, payroll vouchers, payroll detail sheets, and payroll history.

40 TAC 815.106 (i).

PER2004

3.2.003

Alien Information Collection Form

AC+6

AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.

PER2005

3.2.003

Employees / Independent Contractor Checklist

AC+6

AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.

PER2006

3.2.003

Federal Tax Records – Includes 1099, W-2, FICA, and Other Tax Records

AC+4

AC = Tax due date, date the claim is filed, or date tax is paid whichever is later.

UTS Policy 26 CFR §31.6001-1(e)(2).

PER2007

3.2.004

Income Adjustment Authorizations – Used to make increases or decreases to employee’s gross pay, FICA, retirement, or in the computation of taxes.

29 CFR 516.6 (C).

PER2008

3.2.005

W-4 Forms – Employer’s copy of “Employees’ Withholding Exemption Certificate”

AC + 5

AC = Until superseded, obsolete, or upon separation of the employee.

26 CFR 31.6001-1(e)(2) and 26 CFR 31.6001-5.

PER2009

3.2.006

Wage Rate Tables – Records defining the wage or salary rate for each position in the agency expressed in dollars, grades, or step numbers.

29 CFR 516.6 (a)(2).

PER2010

3.2.007

Unemployment Compensation Records – Records and documentation relating to unemployment compensation claims, including reimbursement of funds disbursed by Texas Workforce Commission.

AC + 5

AC = Termination of benefit.

PER2011

3.2.008

Direct Deposit Applications / Authorization – Forms used to deposit employee earnings into a specified personal account.
Includes Mail Deposit Applications/Authorizations

PER2013

3.2.010

Human Resources Information System (HRIS) Reports – Reports sent to State Comptroller HRIS system. Includes supporting documentation

AC+4

AC = Transmitted and accepted by state HRIS system.

PER2014

3.3.011

Personnel – Payroll Masterfile

AC+75

AC = Termination of employment.

Section 2.3 Personnel Administration

PER3001

3.3

Request for Approval of Outside Employment

AC+2

AC = End date of outside employment.

PER3002

3.3

Special Facility Development Leave Files

AC + 5

AC = After termination.

PER3003

3.3

Faculty Endowments

PER3004

3.3

Faculty Startup Funding

AC + 5

AC = After termination.

PER3005

3.3.001

Affirmative Action Plans – Affirmative action plans for regular employees.

29 CFR 30.8 (e).

PER3006

3.3.004

The UT System Benefit Plans – Working Copy – Employee benefit plans such as pension; life, health, and disability insurances; deferred compensation; etc. including amendments

US+5

29 CFR 1627.3 (b)(2).

PER3007

3.3.010

Labor Statistics Reports – Reports providing statistical information on labor force.

PER3008

3.3.011

Former Employee Verification Records – Minimum information needed to verify employment, includes name, social security number, exact dates of employment, last known address and most recent public access option form.

AC+75

AC = Termination of employment.

SEE item number PER1013.

PER3009

3.3

Verification of Employment Request (VOE) – Requests, verifications, and related documentation

AC+1

AC = Request filled

PER3010

3.3.015

Position/Job Classification Review File – Records relating to review and monitoring of job classifications within an agency.

US+3

PER3011

3.3.020

Work Schedules / Assignments – Work, duty, shift, crew, or case schedules, rosters, or assignments

PER3012

3.3.022

Texas Workforce Commission (TWC) Reports – Reports to the agency from TWC or its predecessor pertaining to employees.

PER3013

3.3.023

Reimbursable Activities, Requests and Authorizations to Engage in – Requests and authorizations for travel; participation in educational programs, workshops, or college classes; or for other work-related activities for which the expenses of the employee are defrayed or reimbursed.

FE+3

International Travel Authorizations: Beginning in 2021, the International Center maintains the record copy in BPL. Prior to 2021, the record copy is maintained by the President’s Designee (usually the Dean of the traveler’s School or the VP of the traveler’s Division). Domestic Travel Authorizations: the record copy is maintained by the traveler’s department. SEE Note 1.

PER3014

3.3.024

Personnel Policies and Procedures – Any internally distributed manuals, guidelines, or similar records that define agency wide policies and procedures concerning the personnel of an agency.

US+3

PER3015

3.3.025

Job Procedure Records – Any documents detailing the procedural duties and responsibilities of agency positions on a position-by-position basis.

US+3

PER3016

3.3.026

Agency Staffing Records – Any reports compiled by an agency on aspects of personnel staffing, including listings of all staff by program or name, staff hired during a month, detailed listings of employees within its organizational structure, position vacancies, analyses of turnover rates and seasonality of employment, etc.

US+3

Examples are: alphabetical employee listing, report of employees hired during a month, Quarterly FTE Reports to State Auditor.

PER3017

3.3.027

Aptitude and Skills Test – Aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer.

US+2

CAUTION: One copy of each different test (different in terms of either questions or administration procedures) should be retained for the period indicated. 29 CFR 1602.49

PER3018

3.3.028

Aptitude and Skills Test (Test Papers) – Aptitude and skills test papers of job applicants or of current personnel taking a test to qualify for promotion or transfer.

29 CFR 1602.49

PER3019

3.3.029

Aptitude and Skills Tests (Validation Records) – Records of the validation of aptitude and skills tests.

AC+2

AC = As long as the test is used by an agency.

29 CFR 1602.49

PER3020

3.3.030

Training Administration Records – Instructional materials and other records associated with in-house training of agency personnel on personnel policies and procedures and other policies and procedures that govern an agency’s programs, services, or projects.

US+2

CAUTION: Does not include hazardous material training records. SEE item number SSR7018.

PER3021

3.3.031

EEO Reports and Reporting Documentation – Includes documentation used to complete EEO reports.

29 CFR 1602.32, 1602.39, 1602.41, 1602.48, and 1602.50.

PER3022

3.3.032

Equal Pay Records – Reports, studies, aggregated or summary data, and similar documentation compiled to monitor and demonstrate compliance with the federal Equal Pay Act.

29 CFR 1620.32

PER3023

3.3.033

Recruitment Plans – Diversity and recruitment plans and related workforce analyses.

Texas Labor Code, 21.501 and 502.

Section 2.4: Time and Leave

PER4001

3.4.001

Accumulated Leave Adjustment Requests – Used to create employee leave balances, to transfer leave balances when an employee transfers positions, to correct errors on leave accumulation, and to close out leave accounts on separated employees.

FE+3

PER4002

3.4.002

Leave Status Report – Cumulative report is issued each pay cycle and provides employee leave status information for each position.

FE+3

PER4003

3.4.003

Less Than Full-Time Worked Reports – Dates and hours.

40 TAC 815.106(i).

PER4004

3.4.004

Overtime Authorizations – Records created to schedule time worked by employees outside of or in addition to their regular working hours, including approval authorizations.

PER4005

3.4.005

Overtime Schedules

PER4006

3.4.006

Time Cards and Time Sheets – Records documenting individual employee’s hours worked, including work schedules and documentation evidencing adherence to or deviation from normal hours for those employees working on fixed schedules.

FE+4

Refer to item number PER1036 for time cards and time sheets used for student work-study documentation. 40 TAC 815.106(i).

PER4007

3.4.007

Time off and/or Sick Leave Requests – Requests and authorizations for vacation, compensatory, sick, Family and Medical Leave Act (FMLA), sick pool leave, and other types of authorized leave, and supporting documentation.

FE+3

PER4008

3.4.008

Sick Leave Pool Documentation – Requests submitted, approvals, number of hours transferred in and out, etc.

FE+3

Open Record except for medical records that may exist in file.

Category 3: Fiscal Records
Section 3.1: Worksheets, Detail Information on Financial Event or Transaction
FIR1001	4.1.001	Accounts Payable Information – Claims; invoices; statements; copies of checks and purchase orders; expenditure authorizations; ledgers; encumbrance, purchase, general journal, expenditure, and special vouchers; and similar records that serve to document disbursements, including those documenting claims for and reimbursement to employees for travel and other expenses.	FE+3			SEE Note 1.
FIR1002	4.1.002	Billing Detail	FE+3			SEE Note 1. CAUTION: Does not include long distance telephone billing detail. SEE item numbers SSR8001, SSR8002, SSR8004, and SSR8006.
FIR1005	4.1.003	Canceled Checks / Stubs / Warrants / Drafts	FE+3			SEE Note 1.
FIR1006	4.1.003	Check Registers	FE+3			SEE Note 1.
FIR1007	4.1.004	Encumbrance Detail	FE+3			SEE Note 1.
FIR1003	4.1.002	Comet Cash Declining Balance Accounts	FE+3
FIR1008	4.1.005	Inventory and Other Costs Files – Production, Job Labor, Quotes, Pricing, Specifications, etc.	FE+3			SEE Note 1.
FIR1004	4.1.002	Data Entry Documents	FE+3
FIR1010	4.1.007	Transfers or Budget Revisions – Includes Budget Adjustment Form (BAF) and transmittal of funds/ cost center transfers	FE+3
FIR1011	4.1.008	Electronic Fund Transfers – Direct Deposit Registers	FE+3
FIR1009	4.1.006	Investment Transaction Files – Records documenting the investment of any public funds that evidence the investment of such funds, the cancellation or withdrawal of investments, and similar activities.	FE+5			See RSIN 4.5.002 for reports associated with investments.
FIR1012	4.1.009	Accounts Receiveable Information – Bill copies or stubs, statements, billing registers, account cards, deposit warrants, cash receipts, credit card receipts, receipts books, cash transfers, daily cash reports, reconciliations, general journal vouchers, special vouchers, and similar records that serve to document money owed to or received by a state agency and its collection or receipt.	FE+3			NOTE: Records of past-due or delinquent accounts may be kept longer.
Section 3.2: Documents of Original Entry
FIR2001	4.2	Human Resource System (HRS) Form – New Position Requests	FE+3
FIR2002	4.2	HRS Form – Position Funding Change	FE+3
FIR2008	4.2.004	Encumbrance Vouchers – Orders, statements, change orders, etc.	FE+3
FIR2003	4.2.001	Check Deposit Record / Cash Deposit Vouchers – Check deposit slips and cash deposit slips.	FE+3			SEE Note 1.
FIR2004	4.2.002	Cash Receipts – Includes receipts for fees (permits, licenses, renewals, etc.)	FE+3			SEE Note 1.
FIR2005	4.2.003	Daily Cash Receipts Log	FE+3			SEE Note 1.
FIR2009	4.2.005	Purchase Vouchers – Requisitions, receiving reports, invoices, or statements, change orders, best value determinations, etc.	FE+3			SEE Note 1.
FIR2010	4.2.006	General Journal Vouchers – This includes Interdepartmental Transfers	FE+3			SEE Note 1.
FIR2011	4.2.007	Expenditure Vouchers – Employee travel expenses, payroll vouchers, non-travel reimbursements, etc.	FE+3			SEE Note 1.
FIR2006	4.2.003	Monthly Balancing	FE+3			Only to be used by Copy Center.
FIR2007	4.2.003	Cash Count	FE+3			Only to be used by Copy Center.
Section 3.3: Journals or Registers
FIR3001	4.3.001	Sales Journals or Registers	FE+3			SEE Note 1.
FIR3002	4.3.002	Receipts Journals or Registers	FE+3			SEE Note 1.
FIR3003	4.3.003	Expenditure Journals or Registers	FE+3			SEE Note 1.
Section 3.4: Ledgers
FIR4001	4.4.001	General Ledger	10			See Note 1.
FIR4002	4.4.002	Accounts Receivable Ledgers	FE+3			See Note 1.
FIR4003	4.4.003	Accounts Payable Ledgers	FE+3			See Note 1.
FIR4004	4.4.004	Employee Savings Bond Ledgers	FE+3			See Note 1.
Section 3.5: Reports
FIR5003	4.5.001	Worksheets for Preparing Financial Reports – Includes Annual Financial Report workpapers (i.e., 13 Month Post- Closing Report)	FE+3			See Note 1.
FIR5001	4.5	Budget Information Systems (BIS) E-Print Electronic Records	FE+3
FIR5002	4.5	Financial Reporting System (FRS) E-Print Electronic Records	FE+3
FIR5004	4.5.002	Fiscal Management Reports – Internal and external periodic fiscal management reports and associated worksheets, including federal financial reports, salary reports, HUB reports, investment performance reports, etc.	FE+5			CAUTION: This series does not include fiscal reports created to fulfill grant requirements. See RSIN 4.7.008.
FIR5005	4.5.003	Annual Financial Reports	AC+6	AC = September 1 of odd-numbered calendar years.	I	Required by the General Appropriations Act (100 Day Report). CAUTION: If an agency does not produce a biennial or annual narrative report as described in item number ADR1049, then these annual financial reports must be marked with Archival Code A. The archival requirement, when a biennial or annual narrative report is not produced, is met by sending the required copies of the reports to the Texas State Publications Depository Program, Texas State Library and Archives Commission.
FIR5006	4.5.005	External Fiscal Reports – Special purpose reports such as federal financial reports, salary reports, etc. Includes HUB Reports.	FE+3			SEE Note 1.
FIR5007	4.5.006	Annual Operating Budgets – Agency Monthly Budget Reports. Required by the General Appropriations Act.	AC+3
FIR5008	4.5.006	Budget Presentations	FE+3
FIR5009	4.5.007	USAS Reports – Daily – Periodic reports compiled from information entered into the Uniform Statewide Accounting System (USAS)	AC	AC = Receipt and reconciliation of monthly report.
FIR5010	4.5.008	USAS Reports – Monthly	AC	AC = Receipt and reconciliation of annual report.
FIR5011	4.5.009	USAS Report – Annual – Yearly report compiled from information entered into the Uniform Statewide Accounting System (USAS).	FE+3
FIR5012	4.5.010	Unclaimed Property Reports and Documentation – Sufficient records to verify information on unclaimed property previously reported to the State Comptroller showing the name and last known address of the apparent owner of reportable unclaimed property, a brief description of the property, and the balance of each unclaimed account, if appropriate.	AC+10	AC= Date on which property is reportable.		Property Code, Section 74.103(b).
Section 3.6: Documents Showing Compliance with System of Internal Control
FIR6001	4.6	Compliance Program Files	FE+3
FIR6003	4.6.001	Balancing Records	FE+3			See Note 1.
FIR6004	4.6.002	Reconciliations	FE+3			See Note 1.
FIR6005	4.6.003	Cash Counts	FE+3			See Note 1.
FIR6006	4.6.003	Petty Cash Reimbursement	FE+3			See Note 1.
FIR6002	4.6	General Compliance Training Records	US+5
Section 3.7: Purchasing
FIR7001	5.3.002	Freight Bills Paid	FE+3
FIR7002	5.3.003	Freight Claims – Freight or cargo claims against carrier for damage or loss to a shipment.	AC+2	AC = Resolution of claim.
FIR7003	5.3.004	Order – Acknowledgments – Shipping information, including order acknowledgements, packing slips, and related documentation.	AV
FIR7005	5.3.007	Bid Documentation – Successful Bids (on or after September 1, 2015) – For successful bids executed, renewed, or amended on or after September 1, 2015. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.	AC+7	AC = Expiration or termination of the instrument according to its terms or decision not to proceed with the bid.		CAUTION: If a formal written contract is the result of a successful bid or request for proposal, the successful bid or request for proposal is supporting documentation and must be retained for the same period as the contract. SEE SSR1002-1009 and item number SSR6033.
FIR7006	5.3.007	Bid Documentation – Successful Bids (on or before August 31, 2015) – For successful bids executed, renewed, or amended on or before August 31, 2015. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.	FE+3			CAUTION: If a formal written contract is the result of a successful bid or request for proposal, the successful bid or request for proposal is supporting documentation and must be retained for the same period as the contract. SEE SSR1002-1009 and item number SSR6033.
FIR7007	5.3.007	Bid Documentation – Unsuccessful Bids – For unsuccessful bids. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.	AC+2	AC = Date of notification of denial or date of withdrawal, as applicable.
FIR7008	5.3.008	Purchasing Card Log – Log, register, etc., providing a record of purchase orders issued, orders received, and similar data on procurement status.	FE+3
FIR7009	5.3.008	Purchasing Card Cardholder Activity Report – Includes OneCard reconciliations	FE+3			OneCard Office maintains the record copy.
FIR7010	5.3.009	Requests for Information – Requests for information preliminary to the procurement of goods or services by direct purchase or bid.	AC	AC = Decision not to proceed with the procurement		CAUTION: If the request for information leads to request for proposal or bid, the request for information documentation should be retained in accordance with FIR7005, FIR7006, and/or FIR7007.
FIR7011	5.3.010	Vendor Records/W-9 – W-9 IRS Form used to request a taxpayer identification number (TIN) for reporting information to the Internal Revenue Service (IRS). This includes W-9 forms received by a state agency from vendors.	AC+3	AC= Date account is opened or date instrument purchased.		26 CFR 31.3406(h)-3(g).
Section 3.8: Other Fiscal Records
FIR8001	4.7	Account History Files	AC + 5	AC = Closure of accounts.		SEE Note 1.
FIR8002	4.7	Bank Collateral Records	FE+5			SEE Note 1.
FIR8003	4.7.001	Accounting Policies and Procedures Manual – Records documenting the internal and external procedural requirements with respect to the accounting department of a state agency	US+3
FIR8004	4.7.002	Bank and Appropriations Statements and Reconciliation Data	5			SEE Note 1.
FIR8005	4.7.003	Returned Checks / Warrants / Drafts (Uncollectable) – Records of accounts deemed uncollectible, including write-off authorizations and returned checks, warrants, and drafts	AC+3	AC = After deemed uncollectible.		SEE Note 1.
FIR8006	4.7.004	Capital Asset Records – Documentation relating to the capital and fixed assets of a state agency, including equipment or property history cards containing data on initial cost, depreciation schedules or summaries used for capital outlay budgeting, and property sale, auction, or disposal records of agency owned equipment and property.	LA+3			SEE Note 1.
FIR8007	4.7.005	Claim Files – Records documenting requests for payment of a sum of money according to the terms of a policy or contract.	AC+3	AC = Resolution of claim.
FIR8008	4.7.006	Comptroller Statements	FE+3			SEE Note 1.
FIR8009	4.7.007	Detailed Chart of Accounts – One for all accounts in use for a fiscal year.	FE+3			SEE Note 1.
FIR8015	4.7.011	Texas Facilities Commission Statements (TFC) – Charge or bill statements received by agencies from the TFC for services provided.	FE+3			SEE Note 1.
FIR8012	4.7.008	Indirect Cost Calculations	AC+7	AC = Data rate issued by federal agency having oversight of our grant development.		SEE Note 1.
FIR8014	4.7.010	Long-Term Viability Records – Includes Bond Issuances and Debt Service Records	AC+3	AC = Retirement of debt.		SEE Note 1.
FIR8016	4.7.012	Signature Authority – Signature cards or similar records establishing authority of an agency employee to initiate or authorize financial transactions on behalf of an agency.	AC+4	AC= Until superseded, date of expiration, or termination of employee, whichever sooner.
FIR8013	4.7.009	Fixed Asset Sequential Number Logs	US+3
FIR8017	4.7.010	Capital Expenditures – Funded with Tax-Exempt Bond Proceeds The Internal Revenue Service requires that invoice documentation supporting capital expenditures, including LERR, Faculty STARs and similar programs funded with proceeds of tax-exempt bonds, be maintained for a period ending three (3) years after the complete extinguishment of the bonds. Pursuant to the Texas Constitution, PUF bonds may be structured with a maximum maturity of 30 years.	AC+35	AC = Issuance of debt.		In order to comply with the IRS requirement and UTS 181 Policy for Post Bond Issuance Federal Tax Compliance, U. T. institutions shall maintain invoice documentation for 35 years for any capital expenditures funded with tax-exempt proceeds.
FIR8018	13.2.001	Donor Files – Includes individual donor and prospective donor files.	AC	AC = Prospect ceases to be viable.	I	CAUTION: Includes donor or prospective donor information only. For records of gifts, refer to item number ADR1009. CAUTION: The name or other identifying information about a donor may be withheld from public disclosure under the Public Information Act. Government Code Sec. 552.1235." Government Code, Chapter 552.1235 (EXCEPTION: IDENTITY OF PRIVATE DONOR TO INSTITUTION OF HIGHER EDUCATION) - donors to higher education institutions may be anonymous; identity may be withheld.
FIR8019	13.2.002	Fundraising Records – This series documents institutional efforts to raise funds to support program functions and facilities. This series may include, but is not limited to: requests for fund-raising; gift history reports; background on previous donations; pledges; and related documentation and correspondence.	7			CAUTION: Does not include financial records. Refer to item number ADR1009. CAUTION: For donor files, refer to item number FIR8018. For public relations records, refer to item number ADR1025. CAUTION: The name or other identifying information about a donor may be withheld from public disclosure under the Public Information Act. Government Code Sec. 552.1235.
FIR8020	4.7.013	Federal Tax Information (FTI) – Audit Logs Logs documenting requests and receipt of FTI, including any information created by the recipient that is derived from federal return or return information received from the IRS or obtained through a secondary source.	5			IRS Publication 1075.
FIR8021	4.7.014	Indirect Cost Plans – Indirect cost plan and supporting documentation created or maintained in the development of the plan.	AC+3	AC= If submitted for negotiation of rate, date of submission; if not submitted for negotiation, the end of the fiscal year covered by the proposal, plan, or other computation.		2 CFR 200.333(f)(1) and (2).

Category 3: Fiscal Records

Section 3.1: Worksheets, Detail Information on Financial Event or Transaction

FIR1001

4.1.001

Accounts Payable Information – Claims; invoices; statements; copies of checks and purchase orders; expenditure authorizations; ledgers; encumbrance, purchase, general journal, expenditure, and special vouchers; and similar records that serve to document disbursements, including those documenting claims for and reimbursement to employees for travel and other expenses.

FE+3

SEE Note 1.

FIR1002

4.1.002

Billing Detail

FE+3

SEE Note 1. CAUTION: Does not include long distance telephone billing detail. SEE item numbers SSR8001, SSR8002, SSR8004, and SSR8006.

FIR1005

4.1.003

Canceled Checks / Stubs / Warrants / Drafts

FE+3

SEE Note 1.

FIR1006

4.1.003

Check Registers

FE+3

SEE Note 1.

FIR1007

4.1.004

Encumbrance Detail

FE+3

SEE Note 1.

FIR1003

4.1.002

Comet Cash Declining Balance Accounts

FE+3

FIR1008

4.1.005

Inventory and Other Costs Files – Production, Job Labor, Quotes, Pricing, Specifications, etc.

FE+3

SEE Note 1.

FIR1004

4.1.002

Data Entry Documents

FE+3

FIR1010

4.1.007

Transfers or Budget Revisions – Includes Budget Adjustment Form (BAF) and transmittal of funds/ cost center transfers

FE+3

FIR1011

4.1.008

Electronic Fund Transfers – Direct Deposit Registers

FE+3

FIR1009

4.1.006

Investment Transaction Files – Records documenting the investment of any public funds that evidence the investment of such funds, the cancellation or withdrawal of investments, and similar activities.

FE+5

See RSIN 4.5.002 for reports associated with investments.

FIR1012

4.1.009

Accounts Receiveable Information – Bill copies or stubs, statements, billing registers, account cards, deposit warrants, cash receipts, credit card receipts, receipts books, cash transfers, daily cash reports, reconciliations, general journal vouchers, special vouchers, and similar records that serve to document money owed to or received by a state agency and its collection or receipt.

FE+3

NOTE: Records of past-due or delinquent accounts may be kept longer.

Section 3.2: Documents of Original Entry

FIR2001

4.2

Human Resource System (HRS) Form – New Position Requests

FE+3

FIR2002

4.2

HRS Form – Position Funding Change

FE+3

FIR2008

4.2.004

Encumbrance Vouchers – Orders, statements, change orders, etc.

FE+3

FIR2003

4.2.001

Check Deposit Record / Cash Deposit Vouchers – Check deposit slips and cash deposit slips.

FE+3

SEE Note 1.

FIR2004

4.2.002

Cash Receipts – Includes receipts for fees (permits, licenses, renewals, etc.)

FE+3

SEE Note 1.

FIR2005

4.2.003

Daily Cash Receipts Log

FE+3

SEE Note 1.

FIR2009

4.2.005

Purchase Vouchers – Requisitions, receiving reports, invoices, or statements, change orders, best value determinations, etc.

FE+3

SEE Note 1.

FIR2010

4.2.006

General Journal Vouchers – This includes Interdepartmental Transfers

FE+3

SEE Note 1.

FIR2011

4.2.007

Expenditure Vouchers – Employee travel expenses, payroll vouchers, non-travel reimbursements, etc.

FE+3

SEE Note 1.

FIR2006

4.2.003

Monthly Balancing

FE+3

Only to be used by Copy Center.

FIR2007

4.2.003

Cash Count

FE+3

Only to be used by Copy Center.

Section 3.3: Journals or Registers

FIR3001

4.3.001

Sales Journals or Registers

FE+3

SEE Note 1.

FIR3002

4.3.002

Receipts Journals or Registers

FE+3

SEE Note 1.

FIR3003

4.3.003

Expenditure Journals or Registers

FE+3

SEE Note 1.

Section 3.4: Ledgers

FIR4001

4.4.001

General Ledger

See Note 1.

FIR4002

4.4.002

Accounts Receivable Ledgers

FE+3

See Note 1.

FIR4003

4.4.003

Accounts Payable Ledgers

FE+3

See Note 1.

FIR4004

4.4.004

Employee Savings Bond Ledgers

FE+3

See Note 1.

Section 3.5: Reports

FIR5003

4.5.001

Worksheets for Preparing Financial Reports – Includes Annual Financial Report workpapers (i.e., 13 Month Post- Closing Report)

FE+3

See Note 1.

FIR5001

4.5

Budget Information Systems (BIS) E-Print Electronic Records

FE+3

FIR5002

4.5

Financial Reporting System (FRS) E-Print Electronic Records

FE+3

FIR5004

4.5.002

Fiscal Management Reports – Internal and external periodic fiscal management reports and associated worksheets, including federal financial reports, salary reports, HUB reports, investment performance reports, etc.

FE+5

CAUTION: This series does not include fiscal reports created to fulfill grant requirements. See RSIN 4.7.008.

FIR5005

4.5.003

Annual Financial Reports

AC+6

AC = September 1 of odd-numbered calendar years.

Required by the General Appropriations Act (100 Day Report). CAUTION: If an agency does not produce a biennial or annual narrative report as described in item number ADR1049, then these annual financial reports must be marked with Archival Code A. The archival requirement, when a biennial or annual narrative report is not produced, is met by sending the required copies of the reports to the Texas State Publications Depository Program, Texas State Library and Archives Commission.

FIR5006

4.5.005

External Fiscal Reports – Special purpose reports such as federal financial reports, salary reports, etc. Includes HUB Reports.

FE+3

SEE Note 1.

FIR5007

4.5.006

Annual Operating Budgets – Agency Monthly Budget Reports. Required by the General Appropriations Act.

AC+3

FIR5008

4.5.006

Budget Presentations

FE+3

FIR5009

4.5.007

USAS Reports – Daily – Periodic reports compiled from information entered into the Uniform Statewide Accounting System (USAS)

AC = Receipt and reconciliation of monthly report.

FIR5010

4.5.008

USAS Reports – Monthly

AC = Receipt and reconciliation of annual report.

FIR5011

4.5.009

USAS Report – Annual – Yearly report compiled from information entered into the Uniform Statewide Accounting System (USAS).

FE+3

FIR5012

4.5.010

Unclaimed Property Reports and Documentation – Sufficient records to verify information on unclaimed property previously reported to the State Comptroller showing the name and last known address of the apparent owner of reportable unclaimed property, a brief description of the property, and the balance of each unclaimed account, if appropriate.

AC+10

AC= Date on which property is reportable.

Property Code, Section 74.103(b).

Section 3.6: Documents Showing Compliance with System of Internal Control

FIR6001

4.6

Compliance Program Files

FE+3

FIR6003

4.6.001

Balancing Records

FE+3

See Note 1.

FIR6004

4.6.002

Reconciliations

FE+3

See Note 1.

FIR6005

4.6.003

Cash Counts

FE+3

See Note 1.

FIR6006

4.6.003

Petty Cash Reimbursement

FE+3

See Note 1.

FIR6002

4.6

General Compliance Training Records

US+5

Section 3.7: Purchasing

FIR7001

5.3.002

Freight Bills Paid

FE+3

FIR7002

5.3.003

Freight Claims – Freight or cargo claims against carrier for damage or loss to a shipment.

AC+2

AC = Resolution of claim.

FIR7003

5.3.004

Order – Acknowledgments – Shipping information, including order acknowledgements, packing slips, and related documentation.

FIR7005

5.3.007

Bid Documentation – Successful Bids (on or after September 1, 2015) – For successful bids executed, renewed, or amended on or after September 1, 2015. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

AC+7

AC = Expiration or termination of the instrument according to its terms or decision not to proceed with the bid.

CAUTION: If a formal written contract is the result of a successful bid or request for proposal, the successful bid or request for proposal is supporting documentation and must be retained for the same period as the contract. SEE SSR1002-1009 and item number SSR6033.

FIR7006

5.3.007

Bid Documentation – Successful Bids (on or before August 31, 2015) – For successful bids executed, renewed, or amended on or before August 31, 2015. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

FE+3

FIR7007

5.3.007

Bid Documentation – Unsuccessful Bids – For unsuccessful bids. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

AC+2

AC = Date of notification of denial or date of withdrawal, as applicable.

FIR7008

5.3.008

Purchasing Card Log – Log, register, etc., providing a record of purchase orders issued, orders received, and similar data on procurement status.

FE+3

FIR7009

5.3.008

Purchasing Card Cardholder Activity Report – Includes OneCard reconciliations

FE+3

OneCard Office maintains the record copy.

FIR7010

5.3.009

Requests for Information – Requests for information preliminary to the procurement of goods or services by direct purchase or bid.

AC = Decision not to proceed with the procurement

CAUTION: If the request for information leads to request for proposal or bid, the request for information documentation should be retained in accordance with FIR7005, FIR7006, and/or FIR7007.

FIR7011

5.3.010

Vendor Records/W-9 – W-9 IRS Form used to request a taxpayer identification number (TIN) for reporting information to the Internal Revenue Service (IRS). This includes W-9 forms received by a state agency from vendors.

AC+3

AC= Date account is opened or date instrument purchased.

26 CFR 31.3406(h)-3(g).

Section 3.8: Other Fiscal Records

FIR8001

4.7

Account History Files

AC + 5

AC = Closure of accounts.

SEE Note 1.

FIR8002

4.7

Bank Collateral Records

FE+5

SEE Note 1.

FIR8003

4.7.001

Accounting Policies and Procedures Manual – Records documenting the internal and external procedural requirements with respect to the accounting department of a state agency

US+3

FIR8004

4.7.002

Bank and Appropriations Statements and Reconciliation Data

SEE Note 1.

FIR8005

4.7.003

Returned Checks / Warrants / Drafts (Uncollectable) – Records of accounts deemed uncollectible, including write-off authorizations and returned checks, warrants, and drafts

AC+3

AC = After deemed uncollectible.

SEE Note 1.

FIR8006

4.7.004

Capital Asset Records – Documentation relating to the capital and fixed assets of a state agency, including equipment or property history cards containing data on initial cost, depreciation schedules or summaries used for capital outlay budgeting, and property sale, auction, or disposal records of agency owned equipment and property.

LA+3

SEE Note 1.

FIR8007

4.7.005

Claim Files – Records documenting requests for payment of a sum of money according to the terms of a policy or contract.

AC+3

AC = Resolution of claim.

FIR8008

4.7.006

Comptroller Statements

FE+3

SEE Note 1.

FIR8009

4.7.007

Detailed Chart of Accounts – One for all accounts in use for a fiscal year.

FE+3

SEE Note 1.

FIR8015

4.7.011

Texas Facilities Commission Statements (TFC) – Charge or bill statements received by agencies from the TFC for services provided.

FE+3

SEE Note 1.

FIR8012

4.7.008

Indirect Cost Calculations

AC+7

AC = Data rate issued by federal agency having oversight of our grant development.

SEE Note 1.

FIR8014

4.7.010

Long-Term Viability Records – Includes Bond Issuances and Debt Service Records

AC+3

AC = Retirement of debt.

SEE Note 1.

FIR8016

4.7.012

Signature Authority – Signature cards or similar records establishing authority of an agency employee to initiate or authorize financial transactions on behalf of an agency.

AC+4

AC= Until superseded, date of expiration, or termination of employee, whichever sooner.

FIR8013

4.7.009

Fixed Asset Sequential Number Logs

US+3

FIR8017

4.7.010

Capital Expenditures – Funded with Tax-Exempt Bond Proceeds The Internal Revenue Service requires that invoice documentation supporting capital expenditures, including LERR, Faculty STARs and similar programs funded with proceeds of tax-exempt bonds, be maintained for a period ending three (3) years after the complete extinguishment of the bonds. Pursuant to the Texas Constitution, PUF bonds may be structured with a maximum maturity of 30 years.

AC+35

AC = Issuance of debt.

In order to comply with the IRS requirement and UTS 181 Policy for Post Bond Issuance Federal Tax Compliance, U. T. institutions shall maintain invoice documentation for 35 years for any capital expenditures funded with tax-exempt proceeds.

FIR8018

13.2.001

Donor Files – Includes individual donor and prospective donor files.

AC = Prospect ceases to be viable.

CAUTION: Includes donor or prospective donor information only. For records of gifts, refer to item number ADR1009. CAUTION: The name or other identifying information about a donor may be withheld from public disclosure under the Public Information Act. Government Code Sec. 552.1235." Government Code, Chapter 552.1235 (EXCEPTION: IDENTITY OF PRIVATE DONOR TO INSTITUTION OF HIGHER EDUCATION) - donors to higher education institutions may be anonymous; identity may be withheld.

FIR8019

13.2.002

Fundraising Records – This series documents institutional efforts to raise funds to support program functions and facilities. This series may include, but is not limited to: requests for fund-raising; gift history reports; background on previous donations; pledges; and related documentation and correspondence.

CAUTION: Does not include financial records. Refer to item number ADR1009. CAUTION: For donor files, refer to item number FIR8018. For public relations records, refer to item number ADR1025. CAUTION: The name or other identifying information about a donor may be withheld from public disclosure under the Public Information Act. Government Code Sec. 552.1235.

FIR8020

4.7.013

Federal Tax Information (FTI) – Audit Logs Logs documenting requests and receipt of FTI, including any information created by the recipient that is derived from federal return or return information received from the IRS or obtained through a secondary source.

IRS Publication 1075.

FIR8021

4.7.014

Indirect Cost Plans – Indirect cost plan and supporting documentation created or maintained in the development of the plan.

AC+3

AC= If submitted for negotiation of rate, date of submission; if not submitted for negotiation, the end of the fiscal year covered by the proposal, plan, or other computation.

2 CFR 200.333(f)(1) and (2).

Category 4: Support and Services Records
Section 4.1: General
SSR1001	5.1	Special Event Risk Assessment	AC+1	AC = Completion of an event.		NOTE: The Office of Legal Affairs keeps the record copy of this form. Event Planners' copies are duplicates.
SSR1002	5.1.001	Contracts & Leases – Lateral Agreements / Contracts (on or after September 1, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or after September 1, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+7	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1003	5.1.001	Contracts & Leases – Lateral Agreements / Contracts (on or before August 31, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or before August 31, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+4	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1004	5.1.001	Contracts & Leases – Equipment Leases (on or after September 1, 2015) – Equipment Leases that were executed, renewed, or amended on or after September 1, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+7	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1005	5.1.001	Contracts & Leases – Equipment Leases (on or before August 31, 2015) – Equipment Leases that were executed, renewed, or amended on or before August 31, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+4	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1006	5.1.001	Contracts & Leases – Space Leases/Property Leases (on or after September 1, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or after September 1, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+7	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1007	5.1.001	Contracts & Leases – Space Leases/Property Leases (on or before August 31, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or before August 31, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+4	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855
SSR1009	5.1.001	Contract & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or before August 31, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+4	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs.
SSR1008	5.1.001	Contracts & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or after September 1, 2015. Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.	AC+7	AC = Expiration or termination of the instrument according to its terms.		SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs.
SSR1010	5.1.001	Catering Contract / Authorization for Food Service (on or after September 1, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or after September 1, 2015.	AC+7	AC = Expiration or termination of the instrument according to its terms.		Government Code, 441.1855
SSR1011	5.1.001	Catering Contract / Authorization for Food Service (on or before August 31, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or before August 31, 2015.	AC+4	AC = Expiration or termination of the instrument according to its terms.		Government Code, 441.1855
SSR1012	5.1	Outside Catering Requests – Requests to use non-University caterer services for an event.	FE+3
SSR1013	5.1.017	Contract Log – List of agency contracts, leases, and agreements including general obligation, land lease, utilities, and construction contracts.	FE+3
SSR1014	5.1	Course Book Information Requests	AC+2	AC = After current semester.
SSR1015	5.1.003	Delivery Reports – Receiving Reports – Records documenting incoming or outgoing deliveries, including through private courier services.	2
SSR1016	5.1.004	Mail and Telecommunications Listings – Any mailing address, telephone or fax number, or e-mail address records maintained by an agency on its employees or on entities or persons it serves.	US
SSR1017	5.1.005	Postage Records – Records and reports of postage expenses, including postal meter usage.	FE+3			SEE Note 1.
SSR1018	5.1.015	Correspondence Tracking Records – Any record created by an agency to track any type of incoming and outgoing correspondence or packages by the U.S. Postal Service or by private couriers.	1
SSR1019	5.1.007	Requisition for In-House or Inter-Agency Copy/Printing Service – Includes word processing and data processing.	AV
SSR1020	5.1.011	Photocopier and Telefax Usage Logs & Reports – Registers or logs of print copies and fax transmissions made by user or in total. Includes monthly usage reports and such reports that are maintained by the UTD Copy Center.	AV
SSR1021	5.1.010	Licenses and Permits for Non-vehicles – Does not include licenses and permits issued by the university as part of its statutory responsibilities.	AC+2	AC = Expiration date of license or permit.
SSR1022	5.1.013	Insurance Policies – Insurance policies for vehicles, equipment, etc. Includes Comprehensive Property Protection Program (CPPP).	AC+20	AC = Expiration or termination of the policy according to its terms.		UTS Policy. Government Code, 441.1855
SSR1023	5.1.012	Charge Schedules / Price Lists – Schedules of prices charged by an agency for services to the public or other agencies, including any documentation used to determine the charges.	US+3
SSR1024	5.1.014	Office Procedures – Any internally distributed manual, guidelines, or similar records that establish standard office procedures for an agency; for example, agency style manuals, telephone protocols, mail room procedures, print shop and photocopy ordering instructions.	US+1
Section 4.10: Other University Services
SSR1101		Comet Card Requests – All cards issued except registered students	1
SSR1102		Comet Cardholder Photos	AC+1	AC= After graduation or date of last attendance.
SSR1103		Photo Releases (Non FERPA)	AV			Photo/talent release form authorizations.
SSR1104	16.5.003	Child and Youth Program Participant Records – This series documents the participation of children and youth in programs sponsored by the institution. The series may include: applications; enrollment records; progress reports and assessments; immunization records; parental consent forms; activity records; lists of attendees; and related correspondence.	AC+3	AC = End of program session or student separation from program, as applicable.
SSR1105	16.5.009	Non-Institution Student Records – This series documents and tracks the application, selection, and progress in special instructional programs of elementary through high school and non-institution students belonging to special, minority, or disadvantaged groups. Examples of programs to which this series applies are Science and Mathematics Investigative Learning Experiences (SMILE), Upward Bound, High School Equivalency, and other non-institution programs.	AC+3	AC = Student separation from program.		Records series may include, but is not limited to: application and admission documentation; personal and family information; medical and health documentation; selection and decision making documentation; Educational Opportunity Program (EOP) documentation; notification of admission and non-admission; recommendations and evaluative materials; copies of academic records; counseling and advising notes and documentation; housing and conduct documentation; federal student aid reports; risk release and insurance forms; immigration and citizenship documentation; financial responsibility records; reports; and related documentation and correspondence.
SSR1106		Callier Center Daycare – Child Enrollment	FE+4
SSR1107		Callier Center Daycare – Tracking Roster	AC+7	AC = Last day of attendance
SSR1108		Callier Center Daycare – Volunteer File	AC+5	AC = Last day of attendance
SSR1109		Callier Center Daycare – National School Breakfast / Lunch	FE+4
SSR1110		Gym Membership Registration and Information Records – Records related to UTD gym memberships. Includes membership registration or application forms and supporting documentation.	AC+4	AC = Expiration of membership term.		Does not include membership payment transactions. SEE Category 3: Fiscal Records.
Section 4.2: Police
SSR2001	5.4	Police Operations Log	1
SSR2002		Activity Logs, Dockets, and Reports – Logs or equivalent records, usually arranged chronologically or by case, court, or citation number, providing summary data on complaints investigated by law enforcement officers, arrests made, citations issued, accidents investigated, court arraignments, court appearances by officers, and similar activities relating to the arrest or citation of persons or the investigation of offenses.	2		O	Activity logs, dockets, or reports that are kept in a bound volume shall be retained 2 years after the last entry. These records will be appraised by the records management officer for historical value, and those determined by the records management officer to merit retention for historical reasons must be retained PERMANENTLY.
SSR2003		Municipal Citations	6
SSR2004		Evidence Records	AV
SSR2005		Campus Crime Alert	PM
SSR2006		Incident Reports – Police	AC	AC = Statute of limitations.		The retention period for incident reports is a minimum of 3 years per Local Schedule PS (Records of Public Safety Agencies). 20 U.S.C. 1092(f)
SSR2007		Police Case Reports	PM
SSR2008		UT System Police Memos	FE+3
SSR2009		Call Box Documents	FE+10
SSR2010		Found Property Log	AV
SSR2011		Patrol Car/Motorcycle Checklist	FE+5
SSR2012		Ride-Along Waiver of Liability	FE+3
SSR2013		Release of Liability	FE+5			Does not include indemnification forms related to campus activities or travel. SEE item numbers SSR3004 and SSR7011.
SSR2014	3.1	Personnel Background Information and Employment Selections for Police – Not Hired – Records that document the selection process for applicants that were not hired by the UTD Police Department. Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results.	AC+5	AC = Date of the making of the record or the personnel action involved, whichever occurs later		CAUTION: Does not include ADA Accommodation Requests. See PER1037. 29 CFR 1602.49(a) 29 CFR 801
SSR2015		Security Sensitive Forms	AV
SSR2016		Police Department Warning Form	FE+5
SSR2017		Internal Affairs Investigations – Complaints Leading to Investigation – Written complaints and records of complaints received from the public concerning the conduct of law enforcement personnel that lead to an internal affairs investigation.	FE+10
SSR2018		Internal Affairs Investigations – Unfounded Complaints – Written complaints and records of oral complaints received from the public concerning the conduct of law enforcement personnel that do not lead to an internal affairs investigation.	AC+3	AC = Date of determination not to conduct an internal affairs investigation.		Provided a 1 year infraction-free period precedes the date of destruction.
SSR2019		Internal Affairs Investigations – Shooting Incidents – Records of investigation of law enforcement shooting incidents which result in death or injury to any person, including a police officer.	PM
SSR2020		Internal Affairs Investigations – Formal Discipline – Records of investigations that result in sustained formal discipline. The term “formal discipline” is disciplinary action at or above the level of a written reprimand.	AC+15	AC = Date investigation was completed.
SSR2021		Internal Affairs Investigations – Informal Discipline – Records of investigations that result in sustained informal discipline or of investigations whose findings are inconclusive. The term “informal discipline” is disciplinary action below the level of a written reprimand.	AC+5	AC = Date investigation was completed.		Provided a 1 year infraction-free period precedes the date of destruction.
SSR2022		Internal Affairs Investigations – Not Sustained – Records of investigations whose findings are not sustained, or in cases where accusations are determined to be unfounded or the accused is exonerated.	3			Provided a 1 year infraction-free period precedes the date of destruction.
SSR2023	5.1.018	Surveillance Videos – Surveillance videos of buildings, facilities, vehicles, or other state property.	AV			See RSIN 5.4.001 or 5.4.014 if video is needed for an accident investigation or RSIN 1.1.048 if the video is needed as evidence in litigation. The disposal of surveillance videos need not be documented through destruction signoffs (RSIN 1.2.001) or in records disposition logs (RSIN 1.2.010).
SSR2024	16.3.044	Police Audiovisual Recordings – Class C/Not Charged – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible Driving While Intoxicated (DWI) or other violations. Includes recordings of persons on whom either a Class C misdemeanor charge is filed, or on whom no charges are filed.	AC+90 days	AC = date of the stop		CAUTION: A recording created with a body worn camera and documenting an incident that involves the use of deadly force by a peace officer or that is otherwise related to an administrative or criminal investigation of an officer may not be deleted, destroyed, or released to the public until all criminal matters have been finally adjudicated and all related administrative investigations have concluded. The disposal of police audiovisual recordings need not be documented on a disposition log, but institutions should establish procedures governing disposal of these records as part of its records management plan. URRS-414 Code of Criminal Procedure, Section 2.135-2(b).
SSR2025	16.3.045	Police Audiovisual Recordings – Offense Greater than Class C – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible DWI or other violations. Includes recordings for offenses greater than Class C misdemeanors.	AC	AC = 30 days after entry of final judgment in the case, or 90 days after date of stop, whichever is later.		CAUTION: A recording created with a body worn camera and documenting an incident that involves the use of deadly force by a peace officer or that is otherwise related to an administrative or criminal investigation of an officer may not be deleted, destroyed, or released to the public until all criminal matters have been finally adjudicated and all related administrative investigations have concluded. The disposal of police audiovisual recordings need not be documented on a disposition log, but institutions should establish procedures governing disposal of these records as part of its records management plan. URRS-415 Code of Criminal Procedure, Section 2.135-2(b).
SSR2026	3.1	Personnel Background Information and Employment Selections for Police Department – Civilian Employees – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for civilian employees of the UTD Police Department.	AC+5	AC = Termination of employment		29 CFR 1602.49(a) 29 CFR 801
SSR2027	3.1	Personnel Background Information and Employment Selections for Police Department – Sworn Officers – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for sworn officers of the UTD Police Department.	AC+10	AC = Termination of employment		29 CFR 1602.49(a) 29 CFR 801
SSR2030	16.3.020	Emergency Protective Orders – Emergency protective orders issued by magistrates.	AC	AC = Period that the order is effective		Family Code, 85.025, Code of Criminal Procedure, 17.292(j).
SSR2031	16.3.028	Law Enforcement Information Dissemination, Inquiry, and Receipt Records – Reports, logs, and other records pertinent to documenting the dissemination and receipt of criminal histories and dissemination of other information to law enforcement or other agencies through crime information networks (e.g., Texas Crime Information Center [TCIC], National Crime Information Center [NCIC]).	AV			CAUTION: Departments other than campus law enforcement see PER1007 for criminal history checks.
SSR2032	16.3.055	Weapons Records —Issuance – Logs for issuing weapons and ammunition to officers.	AC+3	AC = Return of weapon or issuance of ammunition
Section 4.3: Health and Counseling
SSR3001		Callier Center for Communication Disorders – Patient Medical Records – Adults	AC+7	AC = After last visit treatment by the physician (adults).		22 TAC 165.1
SSR3002		Callier Center for Communication Disorders – Patient Medical Records – Minors	AC+5	AC = After child's 16th birthday.		Microfilming is mandatory. 22 TAC 165.1
SSR3003		Student / Patient Medical Records	AC+10	AC = last date of service or until the patient is 21 years of age, whichever is longer.
SSR3004		Medical Information and Release Forms – Medical Release and Indemnification forms completed for those who participate in campus activities or travel.	AC+7	AC = Date of last service. Or, retain until individual reaches age 21, whichever is longer.		For nonmedical release forms, refer to item number SSR7011. URRS-496 22 TAC 165.1(b)
SSR3005	16.1.009	Disclosure of Protected Health Information – This records series documents disclosure of Protected Health Information (PHI) in accordance with the Health Information Portability and Accountability Act compliance regulations.	FE+6
SSR3006		Student Health Insurance Files – Waivers and Enrollment Forms – Student health insurance waivers, list of waivers, and SOS enrollment forms.	AC+2	AC = After graduation or last date of attendance.		International Student Services Office maintained prior to FY 12. Health Center maintains effective FY 12.
SSR3007		Student Health Insurance Files – Complaints/Grievances	AC+7	AC = After graduation or last date of attendance.
SSR3008		Fitness Test, Personal Training, and Dietitian Files – Fitness test & files for students.	FE+3
SSR3009		UTD Student Health Center (SHC) Data Sheet	AV
SSR3010		Patient Office Visit Info (Superbill)	AC+10	AC = After graduation or date of last attendance.		Will become part of Electronic Medical Record (EMR) effective 1/1/2013.
SSR3011		Azusa Test Records	PM	AC = After graduation or date of last attendance.		School of Behavioral and Brain Sciences publication.
SSR3012		Mandatory TB Test Documentation Form	AC+10	AC = After graduation or date of last attendance.		Will become part of Electronic Medical Record (EMR) effective 1/1/2013. TX Dept. of State Health Services (TDSHS) Retention Schedule Agency Item # 3880.
SSR3013		Influenza Vaccine Injection Release	AC+1	AC = Last date of service.
SSR3014		Meningococcal Vaccine Injection Record	AC+5	AC = After graduation or date of last attendance.		Registrar's office maintains record of vaccination effective FY13.
SSR3015		Client Psychology Files – Client information, client consent forms and associated documentation. This records series may also contain counseling notes which are created during each patient session.	AC+10	AC = After graduation or date of last attendance.
SSR3016	16.1.008	UTD Counseling Center – Counseling Case Records – This series documents all clients who are provided counseling services by the institution’s counseling center. Clinicians provide treatment concerning personal problems, academic concerns, and career concerns. Records may include: extensive notes made by providers concerning the assessment, diagnosis, treatment and contacts (written, telephone, or in person) with each client; referral letters; release of information agreements; letters to agencies or others concerning the clients; and related documentation.	AC+5	AC = Last contact with client.		22 TAC 681.41(r)
SSR3017		Counseling Log – Lab Take In	AC+1	AC = Last date of service.
SSR3018		Clinical Supervision Files	AC+10	AC = End of internship or practicum.
SSR3019		Counseling Center Trainee Files	AC+10	AC = End of internship or practicum.
SSR3020		Guest Worker Files – Psychiatrists and practicum students in the counseling center	AC+5	AC = End of internship or practicum.
SSR3021		Explanation of Benefits – Student	AC+7	AC = After graduation or date of last attendance.
Section 4.4: Library, Archives, and Museum
SSR4001	1.3	Library Patron Applications – Applications/requests to checkout, view, or use library/archive materials, equipment, books, or artifacts	AC+4	AC = Date of application/agreement.		Include Research Applications for Special Collections, Community Users applications, and agreement forms for library laptops/cameras.
SSR4002		TexShare Cardholder Agreements – Applications/agreements for TSLAC TexShare Card Program	AC+2	AC = Date TexShare card is issued.
Section 4.5: Housing and Dining
SSR5001		Student Housing Applications – Freshman and Co-Signer	AC+1	AC = After graduation or last date of attendance.		CAUTION: If the institution obtains credit report information, then records created under this series must be retained 5 years beyond the application term. Fair Credit Reporting Act, 15 U.S.C. 1681(p).
SSR5002		Student Housing Resident Forms	AC+2	AC = After graduation or last date of attendance.
SSR5003		Student Housing Certificates of Eligibility – Student certificates of eligibility to live on campus.	AC+1	AC = After date submitted.
SSR5004		Student Housing Reports	AC+7	AC = After end of semester.
SSR5005		Residential Life Program Files	AC+2	AC = After end of program.
SSR5006		Residential Life Program Release Forms / Waivers	AC+7	AC = After end of program.
Section 4.6: Facilities Management
SSR6001	5.2	Physical Plant Maintenance Records – Outside Contractor	5
SSR6002	5.2	Physical Plant Maintenance Records – In-House Contractor	3
SSR6003	5.2	Safe Combinations Masterfile	LA
SSR6004	5.2	Service Calls – Administrative Reports	AC+2	AC = Completion of service call.
SSR6005	5.2.001	Appraisals – Building or Property – Assessments or evaluations of the value of state-owned buildings or property.	AV		O
SSR6006	5.2.002	Building Construction Project Files – Planning, design, and construction records; accepted and rejected bids; correspondence; etc.	AC+11	AC = Completion of project.	O	UTS Policy. SEE ALSO item numbers SSR6007, SSR6008, and SSR6033.
SSR6007	5.2.003	Building Plans and Specifications for New Construction Renovations, Rehabilitations, and Restorations – Owned – Includes architectural and engineering drawings, profiles, and blueprints; also includes buildings and facilities Master Plans	LA		O	SEE ALSO item numbers SSR6006 and SSR6033.
SSR6008	5.2.003	Building Plans and Specifications for Renovations, Rehabilitations, and Restorations – Leased – Includes architectural and engineering drawings, profiles, and blueprints.	AC+2	AC = Cancellation or termination of lease.		SEE ALSO item numbers SSR6006 and SSR6033.
SSR6009	5.2.004	Building Space Requests	1
SSR6010	5.2.005	Equipment / Instrument Calibration Records – Records documenting the determination, checking, or rectifying of any instrument giving quantitative measurements.	10
SSR6011	5.2.006	Property Destruction Certificates	FE+3
SSR6012	5.2.007	Damage Reports – Reports of damage to state property	FE+3
SSR6013	5.2.008	Equipment History File – Includes requests for installation, moves, service, etc.; and service/repair logbooks, etc.	LA+3			For service agreements or contracts related to equipment repairs and service, retain in accordance with SSR1004-SSR1005.
SSR6014	5.2.009	Equipment Inventory Detail Report Forms – Updates agency portion of the inventory listing and adds, changes, transfers, or deletes items from inventory. Includes Property Deletion Request/Transfer Notices (PA2 Forms & PA3 Forms)	FE+3			SEE Note 1.
SSR6015	5.2.010	Equipment Manuals	LA
SSR6016	5.2.011	Equipment Warranties	AC+1	AC = Termination or expiration of warranty.
SSR6017	5.2.012	Estimate Files (Supply and Repair Cost Estimates) – Quotes for minor construction and repair projects and supplies. Includes supporting documentation, as applicable.	1
SSR6018	5.2.014	Inventory – Annual Physical – Property, equipment, supply verification. Includes real property.	FE+3			SEE Note 1.
SSR6019	5.2.015	Inventory, Notices of Equipment Removed From	FE+3
SSR6020	5.2.016	Inventory System Update Listings – Listing shows all additions, changes, deletions, and transfer times for the monthly processing period.	AC	AC = Transfer of information into annual listing.
SSR6021	5.2.017	Lost / Stolen Property Report	FE+3
SSR6022	5.2.018	Quality Control Reports – Documentation and reporting on adherence to procedures that ensure quality of a process, product, or service.	2
SSR6023	5.2.019	Service Orders – Agency copy of forms completed by mechanical service personnel for installation or repair. Includes billing code, service, labor, parts, and remarks.	1
SSR6024	5.2.020	Supply Usage Records	FE+1
SSR6025	5.2.021	Surplus Property Sale Reports	FE+3			SEE Note 1.
SSR6026	5.2.022	Utility Usage Reports – Utility billing detail. Any type of usage report or log used to monitor utilities such as gas, electric, water, etc.	FE+4
SSR6027	5.2.023	Year-to-Date Activity (Inventory Listing) – Shows additions, changes, transfers, and deletions of information within the inventory system. Data include agency, division, tag number, batch, document, transaction date, location, item code, description, date, and cost.	FE+3
SSR6028	5.2.024	Material Specifications – Equipment and material descriptions and specifications that may include but are not limited to detailed descriptions; lists of raw materials and ingredients; physical characteristics of items; special handling procedures; or technical drawings.	AC+2	AC = Material is no longer in the agency.
SSR6029	5.2.025	Equipment Descriptions and Specifications	AC+2	AC = Material is no longer in the agency.
SSR6030	5.2.026	Facilities Reservation Logs – Reservation logs or similar records relating to the use of agency facilities such as meeting rooms, auditoriums, etc.	2
SSR6031	5.2.026	Locker Registration	2
SSR6032	5.2.027	Space Utilization Reports – Reports summarizing efficiency of facility space utilization, which may include data on room usage, demand, allocation, and capacity.	AV
SSR6033	5.2.028	Building Construction Contract and Inspection Records	LA+10		O	SEE ALSO item numbers SSR6006, SSR6007 and SSR6008.
Section 4.7: Safety and Risk Management
SSR7001	5.4	Asbestos Building Surveys	LA+30
SSR7002	5.4	Asbestos Monitoring	30			OSHA Standard 1926.1101 Part 5(n)(2)(iii).
SSR7003	5.4	Asbestos Sampling Results	LA+30
SSR7004	5.4	Chemical Inspection Reports	30
SSR7005	5.4	Radiation Tests and Monitoring	3			10 CFR 20.2106 and 25 TAC 289.202.
SSR7006	5.4	Radiation Purchase Records	AC + 5	AC = Termination of license.		25 TAC 289.202 (tt)(2).
SSR7007	5.4	Radiation Disposal Records	AC + 5	AC = Until termination of license or certificate of registration.		25 TAC 289.202 (tt)(2).
SSR7008	5.4.001	Safety Records – Records of Exposure to Asbestos, Tremolite, Anthophyllite, Actinolite, and other Hazardous Materials.	30			29 CFR 1904.33.
SSR7009	5.4.001	Accident Reports and Associated Documentation – Accident or occupational disease reports (for faculty/staff/visitors/students) and other associated reports required to be submitted to the Texas Department of Insurance or its predecessors or maintained internally on accident frequency.	CE+5			The Department Of Insurance retains copies of the reports submitted to it for 50 years. Retain records longer if residual effects are possible. 29 CFR 1904.33. 29 CFR 1904.6.
SSR7010	5.4.001	Worker’s Compensation Reports	CE+5			29 CFR 1904.6.
SSR7011		Release and Indemnification Forms – Activities / Travel – Non-medical release of liability agreement forms completed for those who participate in campus activities or travel.	AC+4	AC = End of activity, event, or program for which the waiver or release is issued.		For medical release forms, refer to item number SSR3004. CAUTION: If an incident occurs, liability waiver forms and documentation must be retained for the same period as accident forms.
SSR7012	5.4.002	Evacuation Plans – Plans for evacuation of agency facilities in cases of emergency.	US
SSR7013	5.4.003	Inspection Records – Fire, safety, and other inspection records of agency facilities and equipment. Includes, but is not limited to: testing records, fire alarm certificates (new buildings), and certification event asbestos-free building (new buildings).	AC+3	AC = Inspection or date of the correction of the deficiency, if the inspection report reveals the deficiency.		CAUTION: Does not include inspection reports of building construction. SEE item number SSR6033.
SSR7014	5.4.004	Fire Orders – Orders issued by Fire Marshal to correct deficiencies in compliance with the fire code	AC+3	AC = Deficiency corrected.
SSR7015	5.4.004	Fire Drills Log	FE+5
SSR7016	5.4.004	Fire Reports	LA
SSR7017	5.4.004	Fire Maintenance Reports	CE+5
SSR7018	5.4.007	Hazardous Materials Training Records – Hazardous Materials Training and Certification Records. Records of training given employees in an agency hazard communications program. Includes radiation safety, chemical safety, and biological safety/blood-borne pathogens.	US+5			Texas Health & Safety Code §502.009 (g).
SSR7019	5.4.008	Hazard Communication Plans – Plan that provides information to employees about the hazardous chemicals to which they may be exposed to in their workplace.	US+5			Texas Health & Safety Code §502.009 (g).
SSR7020	5.4.009	Chemical Transfer Records	LA+30
SSR7021	5.4.009	Chemical Recycling Records	LA+30
SSR7022	5.4.009	Chemical Waste – This series documents the receipt, shipment, and disposal of chemical material or hazardous wastes on campus. This series includes, but is not limited to: chemical and waste inspection forms; drum packing sheet; Uniform Hazardous Waste Manifest Forms (EPA 8700); Certificates of Disposal from vendors; land disposal notification form; waste disposal records; and related documentation and correspondence.	30
SSR7023	5.4.009	Workplace Chemical Lists – List of each hazardous chemical normally present in the workplace. Includes Controlled Substance Drug Logs/DEA Form/Chemical Inventories.	30			Texas Health & Safety Code, 502.005 (d) and 21 CFR 1304.04 (controlled substances).
SSR7024	5.4.009	Narcotics and Precursor Chemicals (All Related Records)	30
SSR7025	5.4.010	Material Safety Data Sheets – Safety Data Sheets (SDS) that list information relating to occupational safety and health for the use of various substances and products.	AC	AC = After sheets are updated or hazardous chemical no longer stored by agency, as applicable.
SSR7026	5.4.011	Visitor Control Registers – Logs, registers, or similar records documenting visitors to limited access or restricted areas of agency facilities.	3
SSR7027	5.4.012	Security Access Records – Records relating to the issuance of keys, identification cards, building passes, passwords, or similar instruments of access to agency facilities or equipment.	AC+2	AC = Until superseded, date of expiration or date of termination, which ever sooner.
SSR7028	5.4.013	Disaster Preparedness and Recovery Plans – Including Police Disaster Recovery Plan	US
SSR7029	5.4.017	Emergency Response and Recovery Records – This series documents the events and damages to institutional property due to storms, riots, fires, droughts, floods, and other events affecting citizens and facilities within the jurisdiction of the institution. This series may include but is not limited to: diaries; logs; reports; photographs; notes which indicate or document what happened, when, and where; and related documentation and correspondence.	3		R	See RSIN 5.4.013 for Continuity of Operations Plans (COOP). CAUTION: If grant monies are received to assist with the response or recovery, the retention requirements for this series may vary depending on the specific funding agency.
SSR7030		COVID Testing and Vaccination Status Records – Medical or physical examination consent forms, reports, or certificates created by third parties of students, employees, or visitors for whom periodic monitoring of health or fitness is required in response to the COVID-19 pandemic. Includes voluntary or involuntary disclosure of vaccinations.	AC+2	AC= Date of termination of the proactive and symptomatic testing program or vaccination disclosure program, as applicable
Section 4.8: Telecommunications
SSR8001	5.5.001	Billing Detail – Telecommunications – In addition to summary detail, includes any accompanying detailed listing of long distance calls.	FE+3			SEE Note 1.
SSR8002	5.5.002	Long Distance Telephone Logs – Long distance logs created by agencies for internal documentation purposes. Includes any similar logs created for long distance facsimile or electronic transmissions.	AV
SSR8003	5.5.004	System Activity Reports – Internal listing of all incoming/outgoing agency telephone activity.	AV
SSR8004	5.5.006	Billing Detail – Telephone Service Requests	FE+3
SSR8005	5.5.006	Wire / Equipment Charge (Internal)	FE+3
SSR8006	5.5.007	Disputed Call Documentation – Documentation relating to disputed long distance calls, including documents evidencing repayment by employees for personal long distance use.	FE+3
Section 4.9: Vehicles
SSR9001	5.6	Parking Violation Notices	AC+3	AC = Resolution
SSR9002	5.6	Vehicle Registration for Parking	AC+3	AC = Until superseded or permit expired
SSR9003	5.6.003	Inspection Repair and Maintenance Records – Vehicles – Records and documentation related to inspections, repairs, and maintenance for state vehicles.	LA+1
SSR9004	5.6.004	Motor Vehicle Driving Record (MVR) – License and driving record checks	AC	AC = Until superseded or until termination of employment.
SSR9005	5.6.005	Vehicle Use Reports – Includes mileage, fuel/oil consumption, operation log, passengers carried and other related operational information.	FE+3			SEE Note 1.
SSR9006	5.6.007	Vehicle Titles and Registrations – Vehicle titles, registration information, and owner manuals for state vehicles.	LA
SSR9007	5.6.009	Parking Permits or Assignments – Records documenting issuance of parking permits and assignments.	US

Category 4: Support and Services Records

Section 4.1: General

SSR1001

5.1

Special Event Risk Assessment

AC+1

AC = Completion of an event.

NOTE: The Office of Legal Affairs keeps the record copy of this form. Event Planners' copies are duplicates.

SSR1002

5.1.001

Contracts & Leases – Lateral Agreements / Contracts (on or after September 1, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+7

AC = Expiration or termination of the instrument according to its terms.

SEE related item numbers: PER1027 & PER1028 (Performance Bonds) and FIR7005, FIR7006, & FIR7007 (Bid Documentation). SEE item number SSR6033 for building construction contracts and SSR1013 for contract logs. Government Code, 441.1855

SSR1003

5.1.001

Contracts & Leases – Lateral Agreements / Contracts (on or before August 31, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+4

AC = Expiration or termination of the instrument according to its terms.

SSR1004

5.1.001

Contracts & Leases – Equipment Leases (on or after September 1, 2015) – Equipment Leases that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+7

AC = Expiration or termination of the instrument according to its terms.

SSR1005

5.1.001

Contracts & Leases – Equipment Leases (on or before August 31, 2015) – Equipment Leases that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+4

AC = Expiration or termination of the instrument according to its terms.

SSR1006

5.1.001

Contracts & Leases – Space Leases/Property Leases (on or after September 1, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+7

AC = Expiration or termination of the instrument according to its terms.

SSR1007

5.1.001

Contracts & Leases – Space Leases/Property Leases (on or before August 31, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+4

AC = Expiration or termination of the instrument according to its terms.

SSR1009

5.1.001

Contract & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+4

AC = Expiration or termination of the instrument according to its terms.

SSR1008

5.1.001

Contracts & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

AC+7

AC = Expiration or termination of the instrument according to its terms.

SSR1010

5.1.001

Catering Contract / Authorization for Food Service (on or after September 1, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or after September 1, 2015.

AC+7

AC = Expiration or termination of the instrument according to its terms.

Government Code, 441.1855

SSR1011

5.1.001

Catering Contract / Authorization for Food Service (on or before August 31, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or before August 31, 2015.

AC+4

AC = Expiration or termination of the instrument according to its terms.

Government Code, 441.1855

SSR1012

5.1

Outside Catering Requests – Requests to use non-University caterer services for an event.

FE+3

SSR1013

5.1.017

Contract Log – List of agency contracts, leases, and agreements including general obligation, land lease, utilities, and construction contracts.

FE+3

SSR1014

5.1

Course Book Information Requests

AC+2

AC = After current semester.

SSR1015

5.1.003

Delivery Reports – Receiving Reports – Records documenting incoming or outgoing deliveries, including through private courier services.

SSR1016

5.1.004

Mail and Telecommunications Listings – Any mailing address, telephone or fax number, or e-mail address records maintained by an agency on its employees or on entities or persons it serves.

SSR1017

5.1.005

Postage Records – Records and reports of postage expenses, including postal meter usage.

FE+3

SEE Note 1.

SSR1018

5.1.015

Correspondence Tracking Records – Any record created by an agency to track any type of incoming and outgoing correspondence or packages by the U.S. Postal Service or by private couriers.

SSR1019

5.1.007

Requisition for In-House or Inter-Agency Copy/Printing Service – Includes word processing and data processing.

SSR1020

5.1.011

Photocopier and Telefax Usage Logs & Reports – Registers or logs of print copies and fax transmissions made by user or in total. Includes monthly usage reports and such reports that are maintained by the UTD Copy Center.

SSR1021

5.1.010

Licenses and Permits for Non-vehicles – Does not include licenses and permits issued by the university as part of its statutory responsibilities.

AC+2

AC = Expiration date of license or permit.

SSR1022

5.1.013

Insurance Policies – Insurance policies for vehicles, equipment, etc. Includes Comprehensive Property Protection Program (CPPP).

AC+20

AC = Expiration or termination of the policy according to its terms.

UTS Policy. Government Code, 441.1855

SSR1023

5.1.012

Charge Schedules / Price Lists – Schedules of prices charged by an agency for services to the public or other agencies, including any documentation used to determine the charges.

US+3

SSR1024

5.1.014

Office Procedures – Any internally distributed manual, guidelines, or similar records that establish standard office procedures for an agency; for example, agency style manuals, telephone protocols, mail room procedures, print shop and photocopy ordering instructions.

US+1

Section 4.10: Other University Services

SSR1101

Comet Card Requests – All cards issued except registered students

SSR1102

Comet Cardholder Photos

AC+1

AC= After graduation or date of last attendance.

SSR1103

Photo Releases (Non FERPA)

Photo/talent release form authorizations.

SSR1104

16.5.003

Child and Youth Program Participant Records – This series documents the participation of children and youth in programs sponsored by the institution. The series may include: applications; enrollment records; progress reports and assessments; immunization records; parental consent forms; activity records; lists of attendees; and related correspondence.

AC+3

AC = End of program session or student separation from program, as applicable.

SSR1105

16.5.009

Non-Institution Student Records – This series documents and tracks the application, selection, and progress in special instructional programs of elementary through high school and non-institution students belonging to special, minority, or disadvantaged groups. Examples of programs to which this series applies are Science and Mathematics Investigative Learning Experiences (SMILE), Upward Bound, High School Equivalency, and other non-institution programs.

AC+3

AC = Student separation from program.

Records series may include, but is not limited to: application and admission documentation; personal and family information; medical and health documentation; selection and decision making documentation; Educational Opportunity Program (EOP) documentation; notification of admission and non-admission; recommendations and evaluative materials; copies of academic records; counseling and advising notes and documentation; housing and conduct documentation; federal student aid reports; risk release and insurance forms; immigration and citizenship documentation; financial responsibility records; reports; and related documentation and correspondence.

SSR1106

Callier Center Daycare – Child Enrollment

FE+4

SSR1107

Callier Center Daycare – Tracking Roster

AC+7

AC = Last day of attendance

SSR1108

Callier Center Daycare – Volunteer File

AC+5

AC = Last day of attendance

SSR1109

Callier Center Daycare – National School Breakfast / Lunch

FE+4

SSR1110

Gym Membership Registration and Information Records – Records related to UTD gym memberships. Includes membership registration or application forms and supporting documentation.

AC+4

AC = Expiration of membership term.

Does not include membership payment transactions. SEE Category 3: Fiscal Records.

Section 4.2: Police

SSR2001

5.4

Police Operations Log

SSR2002

Activity Logs, Dockets, and Reports – Logs or equivalent records, usually arranged chronologically or by case, court, or citation number, providing summary data on complaints investigated by law enforcement officers, arrests made, citations issued, accidents investigated, court arraignments, court appearances by officers, and similar activities relating to the arrest or citation of persons or the investigation of offenses.

Activity logs, dockets, or reports that are kept in a bound volume shall be retained 2 years after the last entry. These records will be appraised by the records management officer for historical value, and those determined by the records management officer to merit retention for historical reasons must be retained PERMANENTLY.

SSR2003

Municipal Citations

SSR2004

Evidence Records

SSR2005

Campus Crime Alert

SSR2006

Incident Reports – Police

AC = Statute of limitations.

The retention period for incident reports is a minimum of 3 years per Local Schedule PS (Records of Public Safety Agencies). 20 U.S.C. 1092(f)

SSR2007

Police Case Reports

SSR2008

UT System Police Memos

FE+3

SSR2009

Call Box Documents

FE+10

SSR2010

Found Property Log

SSR2011

Patrol Car/Motorcycle Checklist

FE+5

SSR2012

Ride-Along Waiver of Liability

FE+3

SSR2013

Release of Liability

FE+5

Does not include indemnification forms related to campus activities or travel. SEE item numbers SSR3004 and SSR7011.

SSR2014

3.1

Personnel Background Information and Employment Selections for Police – Not Hired – Records that document the selection process for applicants that were not hired by the UTD Police Department. Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results.

AC+5

AC = Date of the making of the record or the personnel action involved, whichever occurs later

CAUTION: Does not include ADA Accommodation Requests. See PER1037. 29 CFR 1602.49(a) 29 CFR 801

SSR2015

Security Sensitive Forms

SSR2016

Police Department Warning Form

FE+5

SSR2017

Internal Affairs Investigations – Complaints Leading to Investigation – Written complaints and records of complaints received from the public concerning the conduct of law enforcement personnel that lead to an internal affairs investigation.

FE+10

SSR2018

Internal Affairs Investigations – Unfounded Complaints – Written complaints and records of oral complaints received from the public concerning the conduct of law enforcement personnel that do not lead to an internal affairs investigation.

AC+3

AC = Date of determination not to conduct an internal affairs investigation.

Provided a 1 year infraction-free period precedes the date of destruction.

SSR2019

Internal Affairs Investigations – Shooting Incidents – Records of investigation of law enforcement shooting incidents which result in death or injury to any person, including a police officer.

SSR2020

Internal Affairs Investigations – Formal Discipline – Records of investigations that result in sustained formal discipline. The term “formal discipline” is disciplinary action at or above the level of a written reprimand.

AC+15

AC = Date investigation was completed.

SSR2021

Internal Affairs Investigations – Informal Discipline – Records of investigations that result in sustained informal discipline or of investigations whose findings are inconclusive. The term “informal discipline” is disciplinary action below the level of a written reprimand.

AC+5

AC = Date investigation was completed.

Provided a 1 year infraction-free period precedes the date of destruction.

SSR2022

Internal Affairs Investigations – Not Sustained – Records of investigations whose findings are not sustained, or in cases where accusations are determined to be unfounded or the accused is exonerated.

Provided a 1 year infraction-free period precedes the date of destruction.

SSR2023

5.1.018

Surveillance Videos – Surveillance videos of buildings, facilities, vehicles, or other state property.

See RSIN 5.4.001 or 5.4.014 if video is needed for an accident investigation or RSIN 1.1.048 if the video is needed as evidence in litigation. The disposal of surveillance videos need not be documented through destruction signoffs (RSIN 1.2.001) or in records disposition logs (RSIN 1.2.010).

SSR2024

16.3.044

Police Audiovisual Recordings – Class C/Not Charged – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible Driving While Intoxicated (DWI) or other violations. Includes recordings of persons on whom either a Class C misdemeanor charge is filed, or on whom no charges are filed.

AC+90 days

AC = date of the stop

CAUTION: A recording created with a body worn camera and documenting an incident that involves the use of deadly force by a peace officer or that is otherwise related to an administrative or criminal investigation of an officer may not be deleted, destroyed, or released to the public until all criminal matters have been finally adjudicated and all related administrative investigations have concluded. The disposal of police audiovisual recordings need not be documented on a disposition log, but institutions should establish procedures governing disposal of these records as part of its records management plan. URRS-414 Code of Criminal Procedure, Section 2.135-2(b).

SSR2025

16.3.045

Police Audiovisual Recordings – Offense Greater than Class C – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible DWI or other violations. Includes recordings for offenses greater than Class C misdemeanors.

AC = 30 days after entry of final judgment in the case, or 90 days after date of stop, whichever is later.

SSR2026

3.1

Personnel Background Information and Employment Selections for Police Department – Civilian Employees – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for civilian employees of the UTD Police Department.

AC+5

AC = Termination of employment

29 CFR 1602.49(a) 29 CFR 801

SSR2027

3.1

Personnel Background Information and Employment Selections for Police Department – Sworn Officers – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for sworn officers of the UTD Police Department.

AC+10

AC = Termination of employment

29 CFR 1602.49(a) 29 CFR 801

SSR2030

16.3.020

Emergency Protective Orders – Emergency protective orders issued by magistrates.

AC = Period that the order is effective

Family Code, 85.025, Code of Criminal Procedure, 17.292(j).

SSR2031

16.3.028

Law Enforcement Information Dissemination, Inquiry, and Receipt Records – Reports, logs, and other records pertinent to documenting the dissemination and receipt of criminal histories and dissemination of other information to law enforcement or other agencies through crime information networks (e.g., Texas Crime Information Center [TCIC], National Crime Information Center [NCIC]).

CAUTION: Departments other than campus law enforcement see PER1007 for criminal history checks.

SSR2032

16.3.055

Weapons Records —Issuance – Logs for issuing weapons and ammunition to officers.

AC+3

AC = Return of weapon or issuance of ammunition

Section 4.3: Health and Counseling

SSR3001

Callier Center for Communication Disorders – Patient Medical Records – Adults

AC+7

AC = After last visit treatment by the physician (adults).

22 TAC 165.1

SSR3002

Callier Center for Communication Disorders – Patient Medical Records – Minors

AC+5

AC = After child's 16th birthday.

Microfilming is mandatory. 22 TAC 165.1

SSR3003

Student / Patient Medical Records

AC+10

AC = last date of service or until the patient is 21 years of age, whichever is longer.

SSR3004

Medical Information and Release Forms – Medical Release and Indemnification forms completed for those who participate in campus activities or travel.

AC+7

AC = Date of last service. Or, retain until individual reaches age 21, whichever is longer.

For nonmedical release forms, refer to item number SSR7011. URRS-496 22 TAC 165.1(b)

SSR3005

16.1.009

Disclosure of Protected Health Information – This records series documents disclosure of Protected Health Information (PHI) in accordance with the Health Information Portability and Accountability Act compliance regulations.

FE+6

SSR3006

Student Health Insurance Files – Waivers and Enrollment Forms – Student health insurance waivers, list of waivers, and SOS enrollment forms.

AC+2

AC = After graduation or last date of attendance.

International Student Services Office maintained prior to FY 12. Health Center maintains effective FY 12.

SSR3007

Student Health Insurance Files – Complaints/Grievances

AC+7

AC = After graduation or last date of attendance.

SSR3008

Fitness Test, Personal Training, and Dietitian Files – Fitness test & files for students.

FE+3

SSR3009

UTD Student Health Center (SHC) Data Sheet

SSR3010

Patient Office Visit Info (Superbill)

AC+10

AC = After graduation or date of last attendance.

Will become part of Electronic Medical Record (EMR) effective 1/1/2013.

SSR3011

Azusa Test Records

AC = After graduation or date of last attendance.

School of Behavioral and Brain Sciences publication.

SSR3012

Mandatory TB Test Documentation Form

AC+10

AC = After graduation or date of last attendance.

Will become part of Electronic Medical Record (EMR) effective 1/1/2013. TX Dept. of State Health Services (TDSHS) Retention Schedule Agency Item # 3880.

SSR3013

Influenza Vaccine Injection Release

AC+1

AC = Last date of service.

SSR3014

Meningococcal Vaccine Injection Record

AC+5

AC = After graduation or date of last attendance.

Registrar's office maintains record of vaccination effective FY13.

SSR3015

Client Psychology Files – Client information, client consent forms and associated documentation. This records series may also contain counseling notes which are created during each patient session.

AC+10

AC = After graduation or date of last attendance.

SSR3016

16.1.008

UTD Counseling Center – Counseling Case Records – This series documents all clients who are provided counseling services by the institution’s counseling center. Clinicians provide treatment concerning personal problems, academic concerns, and career concerns. Records may include: extensive notes made by providers concerning the assessment, diagnosis, treatment and contacts (written, telephone, or in person) with each client; referral letters; release of information agreements; letters to agencies or others concerning the clients; and related documentation.

AC+5

AC = Last contact with client.

22 TAC 681.41(r)

SSR3017

Counseling Log – Lab Take In

AC+1

AC = Last date of service.

SSR3018

Clinical Supervision Files

AC+10

AC = End of internship or practicum.

SSR3019

Counseling Center Trainee Files

AC+10

AC = End of internship or practicum.

SSR3020

Guest Worker Files – Psychiatrists and practicum students in the counseling center

AC+5

AC = End of internship or practicum.

SSR3021

Explanation of Benefits – Student

AC+7

AC = After graduation or date of last attendance.

Section 4.4: Library, Archives, and Museum

SSR4001

1.3

Library Patron Applications – Applications/requests to checkout, view, or use library/archive materials, equipment, books, or artifacts

AC+4

AC = Date of application/agreement.

Include Research Applications for Special Collections, Community Users applications, and agreement forms for library laptops/cameras.

SSR4002

TexShare Cardholder Agreements – Applications/agreements for TSLAC TexShare Card Program

AC+2

AC = Date TexShare card is issued.

Section 4.5: Housing and Dining

SSR5001

Student Housing Applications – Freshman and Co-Signer

AC+1

AC = After graduation or last date of attendance.

CAUTION: If the institution obtains credit report information, then records created under this series must be retained 5 years beyond the application term. Fair Credit Reporting Act, 15 U.S.C. 1681(p).

SSR5002

Student Housing Resident Forms

AC+2

AC = After graduation or last date of attendance.

SSR5003

Student Housing Certificates of Eligibility – Student certificates of eligibility to live on campus.

AC+1

AC = After date submitted.

SSR5004

Student Housing Reports

AC+7

AC = After end of semester.

SSR5005

Residential Life Program Files

AC+2

AC = After end of program.

SSR5006

Residential Life Program Release Forms / Waivers

AC+7

AC = After end of program.

Section 4.6: Facilities Management

SSR6001

5.2

Physical Plant Maintenance Records – Outside Contractor

SSR6002

5.2

Physical Plant Maintenance Records – In-House Contractor

SSR6003

5.2

Safe Combinations Masterfile

SSR6004

5.2

Service Calls – Administrative Reports

AC+2

AC = Completion of service call.

SSR6005

5.2.001

Appraisals – Building or Property – Assessments or evaluations of the value of state-owned buildings or property.

SSR6006

5.2.002

Building Construction Project Files – Planning, design, and construction records; accepted and rejected bids; correspondence; etc.

AC+11

AC = Completion of project.

UTS Policy. SEE ALSO item numbers SSR6007, SSR6008, and SSR6033.

SSR6007

5.2.003

Building Plans and Specifications for New Construction Renovations, Rehabilitations, and Restorations – Owned – Includes architectural and engineering drawings, profiles, and blueprints; also includes buildings and facilities Master Plans

SEE ALSO item numbers SSR6006 and SSR6033.

SSR6008

5.2.003

Building Plans and Specifications for Renovations, Rehabilitations, and Restorations – Leased – Includes architectural and engineering drawings, profiles, and blueprints.

AC+2

AC = Cancellation or termination of lease.

SEE ALSO item numbers SSR6006 and SSR6033.

SSR6009

5.2.004

Building Space Requests

SSR6010

5.2.005

Equipment / Instrument Calibration Records – Records documenting the determination, checking, or rectifying of any instrument giving quantitative measurements.

SSR6011

5.2.006

Property Destruction Certificates

FE+3

SSR6012

5.2.007

Damage Reports – Reports of damage to state property

FE+3

SSR6013

5.2.008

Equipment History File – Includes requests for installation, moves, service, etc.; and service/repair logbooks, etc.

LA+3

For service agreements or contracts related to equipment repairs and service, retain in accordance with SSR1004-SSR1005.

SSR6014

5.2.009

Equipment Inventory Detail Report Forms – Updates agency portion of the inventory listing and adds, changes, transfers, or deletes items from inventory. Includes Property Deletion Request/Transfer Notices (PA2 Forms & PA3 Forms)

FE+3

SEE Note 1.

SSR6015

5.2.010

Equipment Manuals

SSR6016

5.2.011

Equipment Warranties

AC+1

AC = Termination or expiration of warranty.

SSR6017

5.2.012

Estimate Files (Supply and Repair Cost Estimates) – Quotes for minor construction and repair projects and supplies. Includes supporting documentation, as applicable.

SSR6018

5.2.014

Inventory – Annual Physical – Property, equipment, supply verification. Includes real property.

FE+3

SEE Note 1.

SSR6019

5.2.015

Inventory, Notices of Equipment Removed From

FE+3

SSR6020

5.2.016

Inventory System Update Listings – Listing shows all additions, changes, deletions, and transfer times for the monthly processing period.

AC = Transfer of information into annual listing.

SSR6021

5.2.017

Lost / Stolen Property Report

FE+3

SSR6022

5.2.018

Quality Control Reports – Documentation and reporting on adherence to procedures that ensure quality of a process, product, or service.

SSR6023

5.2.019

Service Orders – Agency copy of forms completed by mechanical service personnel for installation or repair. Includes billing code, service, labor, parts, and remarks.

SSR6024

5.2.020

Supply Usage Records

FE+1

SSR6025

5.2.021

Surplus Property Sale Reports

FE+3

SEE Note 1.

SSR6026

5.2.022

Utility Usage Reports – Utility billing detail. Any type of usage report or log used to monitor utilities such as gas, electric, water, etc.

FE+4

SSR6027

5.2.023

Year-to-Date Activity (Inventory Listing) – Shows additions, changes, transfers, and deletions of information within the inventory system. Data include agency, division, tag number, batch, document, transaction date, location, item code, description, date, and cost.

FE+3

SSR6028

5.2.024

Material Specifications – Equipment and material descriptions and specifications that may include but are not limited to detailed descriptions; lists of raw materials and ingredients; physical characteristics of items; special handling procedures; or technical drawings.

AC+2

AC = Material is no longer in the agency.

SSR6029

5.2.025

Equipment Descriptions and Specifications

AC+2

AC = Material is no longer in the agency.

SSR6030

5.2.026

Facilities Reservation Logs – Reservation logs or similar records relating to the use of agency facilities such as meeting rooms, auditoriums, etc.

SSR6031

5.2.026

Locker Registration

SSR6032

5.2.027

Space Utilization Reports – Reports summarizing efficiency of facility space utilization, which may include data on room usage, demand, allocation, and capacity.

SSR6033

5.2.028

Building Construction Contract and Inspection Records

LA+10

SEE ALSO item numbers SSR6006, SSR6007 and SSR6008.

Section 4.7: Safety and Risk Management

SSR7001

5.4

Asbestos Building Surveys

LA+30

SSR7002

5.4

Asbestos Monitoring

OSHA Standard 1926.1101 Part 5(n)(2)(iii).

SSR7003

5.4

Asbestos Sampling Results

LA+30

SSR7004

5.4

Chemical Inspection Reports

SSR7005

5.4

Radiation Tests and Monitoring

10 CFR 20.2106 and 25 TAC 289.202.

SSR7006

5.4

Radiation Purchase Records

AC + 5

AC = Termination of license.

25 TAC 289.202 (tt)(2).

SSR7007

5.4

Radiation Disposal Records

AC + 5

AC = Until termination of license or certificate of registration.

25 TAC 289.202 (tt)(2).

SSR7008

5.4.001

Safety Records – Records of Exposure to Asbestos, Tremolite, Anthophyllite, Actinolite, and other Hazardous Materials.

29 CFR 1904.33.

SSR7009

5.4.001

Accident Reports and Associated Documentation – Accident or occupational disease reports (for faculty/staff/visitors/students) and other associated reports required to be submitted to the Texas Department of Insurance or its predecessors or maintained internally on accident frequency.

CE+5

The Department Of Insurance retains copies of the reports submitted to it for 50 years. Retain records longer if residual effects are possible. 29 CFR 1904.33. 29 CFR 1904.6.

SSR7010

5.4.001

Worker’s Compensation Reports

CE+5

29 CFR 1904.6.

SSR7011

Release and Indemnification Forms – Activities / Travel – Non-medical release of liability agreement forms completed for those who participate in campus activities or travel.

AC+4

AC = End of activity, event, or program for which the waiver or release is issued.

For medical release forms, refer to item number SSR3004. CAUTION: If an incident occurs, liability waiver forms and documentation must be retained for the same period as accident forms.

SSR7012

5.4.002

Evacuation Plans – Plans for evacuation of agency facilities in cases of emergency.

SSR7013

5.4.003

Inspection Records – Fire, safety, and other inspection records of agency facilities and equipment. Includes, but is not limited to: testing records, fire alarm certificates (new buildings), and certification event asbestos-free building (new buildings).

AC+3

AC = Inspection or date of the correction of the deficiency, if the inspection report reveals the deficiency.

CAUTION: Does not include inspection reports of building construction. SEE item number SSR6033.

SSR7014

5.4.004

Fire Orders – Orders issued by Fire Marshal to correct deficiencies in compliance with the fire code

AC+3

AC = Deficiency corrected.

SSR7015

5.4.004

Fire Drills Log

FE+5

SSR7016

5.4.004

Fire Reports

SSR7017

5.4.004

Fire Maintenance Reports

CE+5

SSR7018

5.4.007

Hazardous Materials Training Records – Hazardous Materials Training and Certification Records. Records of training given employees in an agency hazard communications program. Includes radiation safety, chemical safety, and biological safety/blood-borne pathogens.

US+5

Texas Health & Safety Code §502.009 (g).

SSR7019

5.4.008

Hazard Communication Plans – Plan that provides information to employees about the hazardous chemicals to which they may be exposed to in their workplace.

US+5

Texas Health & Safety Code §502.009 (g).

SSR7020

5.4.009

Chemical Transfer Records

LA+30

SSR7021

5.4.009

Chemical Recycling Records

LA+30

SSR7022

5.4.009

Chemical Waste – This series documents the receipt, shipment, and disposal of chemical material or hazardous wastes on campus. This series includes, but is not limited to: chemical and waste inspection forms; drum packing sheet; Uniform Hazardous Waste Manifest Forms (EPA 8700); Certificates of Disposal from vendors; land disposal notification form; waste disposal records; and related documentation and correspondence.

SSR7023

5.4.009

Workplace Chemical Lists – List of each hazardous chemical normally present in the workplace. Includes Controlled Substance Drug Logs/DEA Form/Chemical Inventories.

Texas Health & Safety Code, 502.005 (d) and 21 CFR 1304.04 (controlled substances).

SSR7024

5.4.009

Narcotics and Precursor Chemicals (All Related Records)

SSR7025

5.4.010

Material Safety Data Sheets – Safety Data Sheets (SDS) that list information relating to occupational safety and health for the use of various substances and products.

AC = After sheets are updated or hazardous chemical no longer stored by agency, as applicable.

SSR7026

5.4.011

Visitor Control Registers – Logs, registers, or similar records documenting visitors to limited access or restricted areas of agency facilities.

SSR7027

5.4.012

Security Access Records – Records relating to the issuance of keys, identification cards, building passes, passwords, or similar instruments of access to agency facilities or equipment.

AC+2

AC = Until superseded, date of expiration or date of termination, which ever sooner.

SSR7028

5.4.013

Disaster Preparedness and Recovery Plans – Including Police Disaster Recovery Plan

SSR7029

5.4.017

Emergency Response and Recovery Records – This series documents the events and damages to institutional property due to storms, riots, fires, droughts, floods, and other events affecting citizens and facilities within the jurisdiction of the institution. This series may include but is not limited to: diaries; logs; reports; photographs; notes which indicate or document what happened, when, and where; and related documentation and correspondence.

See RSIN 5.4.013 for Continuity of Operations Plans (COOP). CAUTION: If grant monies are received to assist with the response or recovery, the retention requirements for this series may vary depending on the specific funding agency.

SSR7030

COVID Testing and Vaccination Status Records – Medical or physical examination consent forms, reports, or certificates created by third parties of students, employees, or visitors for whom periodic monitoring of health or fitness is required in response to the COVID-19 pandemic. Includes voluntary or involuntary disclosure of vaccinations.

AC+2

AC= Date of termination of the proactive and symptomatic testing program or vaccination disclosure program, as applicable

Section 4.8: Telecommunications

SSR8001

5.5.001

Billing Detail – Telecommunications – In addition to summary detail, includes any accompanying detailed listing of long distance calls.

FE+3

SEE Note 1.

SSR8002

5.5.002

Long Distance Telephone Logs – Long distance logs created by agencies for internal documentation purposes. Includes any similar logs created for long distance facsimile or electronic transmissions.

SSR8003

5.5.004

System Activity Reports – Internal listing of all incoming/outgoing agency telephone activity.

SSR8004

5.5.006

Billing Detail – Telephone Service Requests

FE+3

SSR8005

5.5.006

Wire / Equipment Charge (Internal)

FE+3

SSR8006

5.5.007

Disputed Call Documentation – Documentation relating to disputed long distance calls, including documents evidencing repayment by employees for personal long distance use.

FE+3

Section 4.9: Vehicles

SSR9001

5.6

Parking Violation Notices

AC+3

AC = Resolution

SSR9002

5.6

Vehicle Registration for Parking

AC+3

AC = Until superseded or permit expired

SSR9003

5.6.003

Inspection Repair and Maintenance Records – Vehicles – Records and documentation related to inspections, repairs, and maintenance for state vehicles.

LA+1

SSR9004

5.6.004

Motor Vehicle Driving Record (MVR) – License and driving record checks

AC = Until superseded or until termination of employment.

SSR9005

5.6.005

Vehicle Use Reports – Includes mileage, fuel/oil consumption, operation log, passengers carried and other related operational information.

FE+3

SEE Note 1.

SSR9006

5.6.007

Vehicle Titles and Registrations – Vehicle titles, registration information, and owner manuals for state vehicles.

SSR9007

5.6.009

Parking Permits or Assignments – Records documenting issuance of parking permits and assignments.

Category 5: Student Records
Section 5.1: Admissions and Assessment
STR1001		Admissions Records – Enrolled/Accepted – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.	AC+5	AC = After graduation or date of last attendance.		CAUTION: International student academic records must be retained at least 1 year after final notice to Immigration and Naturalization Service. SEE item number STR2002.
STR1002		Admissions Records – Not Enrolled/Denied – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.	AC+1	AC = After application term.		CAUTION: International student academic records must be retained at least 1 year after final notice to Immigration and Naturalization Service. FERPA applies, but record is subject to Texas Open Records Law.
STR1003		International Student Records – Not Enrolled/Denied – This series documents institution assistance to international students who are considering attendance at the institution. Records may include, but are not limited to: letters of inquiry from prospective students; official replies to inquiries; completed applications and admittance forms; local data sheets; advisory notes; and related documentation and correspondence.	AC+1	AC = Failure to enroll.
STR1004		Advanced Placement and Credit Records for Student Applicants Who Enroll – Transfer credit evaluations, national or state standardized test scores and reports (e.g., CLEP, AP, Departmental, IB, SAT II), credit by examination authorizations and reports, military course documentation (e.g., DSST, USAFI) and evaluations, non-traditional transcripts and credentials, life experience records, requests for advanced credit, and similar documentation used by a university to evaluate and determine award of credit by advanced placement.	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1005		Entrance Examination Reports (ACT, CEEB) for Student Applicants Who Enroll	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1006		Placement Scores for Student Applicants Who Enroll	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1007		Test Scores for Student Applicants Who Enroll	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1008		Correspondence, Relevant for Student Applicants Who Enroll	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1010		Residency Classification Forms for Student Applicants Who Enroll	AC+5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1009		Letters of Recommendation for Student Applicants Who Enroll	AC	AC = Until admitted		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.
STR1011		Residency Affidavits and Documentation – This series documents declarations filed by students regarding state residency status which is critical for determining tuition status. Records may include, but are not limited to: affidavits; correspondence regarding residency; and related documentation.	AC+6	AC = Date of submission		Not for residency classification forms submitted by applicants as part of the admissions process. SEE item number STR1010. Texas Education Code §54.052
STR1012		Comet Connection Forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.	AV			Comet Connection forms for applicants who do enroll are included in item number STR1001.
STR1013		STEP (Select Transfer Enrollment Program) forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.	AV			Step forms for applicants who do enroll are included in item number STR1001.
STR1014		Applications for Admissions and Supplemental Application Materials for Applicants Who Do Not Enroll – Supplemental documents include, but are not limited to: Letters of Recommendation, placement scored, advanced placement records, and entrance exam reports. Applies only to records for applicants who do not remain enrolled after census day.	AC+1	AC = After application term
STR1015		Pre-Application Documents – Documents include orphaned documents, not on system, or without accompanied application.	AC+1	AC = After term of submission
STR1016		Recruitment Materials for Student Applicants	3			The federal legislation which governs these records is as follows: Veterans Administration regulations require that all recruitment materials be retained 3 years.
STR1017		Acceptance Letters for Student Applicants Who Enroll	AC + 5	AC = After graduation or date of last attendance.		Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day
Section 5.2: Academic Records
STR2001		Academic Records of Students – Including transcripts, narrative evaluations, competency assessments, etc.	PM		I
STR2002		International Student Records – Enrolled/Accepted – This series documents nonacademic institution assistance to international students who have been admitted to academic programs. These records primarily concern institution admissions, immigration issues, and other nonacademic matters. Records may include, but are not limited to: copies of visas; scholarship information; institution admissions forms; graduate school applications; transcripts of previous college work; grade reports of prior college work; grade reports from institutional courses; international student advisors’ notes; degree completion certificates; explanations for student withdrawals; recommendations and evaluations of students; and related documentation and correspondence.	AC+7	AC = After graduation or date of last attendance.		CAUTION: Must be retained at least 1 year after final notice to Immigration and Naturalization Service. 8 CFR 214.3(g), 22 CFR
STR2003	15.2.034	Veterans Records – This series documents the entitlement status and enrollment of veterans in the institution. Records include, but are not limited to: individual veteran student records that certify to the U.S. Department of Veterans Affairs that the student is eligible for educational benefits, is currently enrolled at the institution in a qualifying curriculum, and is maintaining standards required to receive entitlements; veterans attendance reports; and related forms, documentation and correspondence.	AC+3	AC = Graduation or date of last attendance		38 CFR 21.4209
STR2004	15.2.026	Student Advising Records – This series includes records of academic advisement to students. Series may include advisors’ notes and advising checklists.	AC+3	AC = Student separation from the department or institution
STR2005		Individual Service Plans	AC+7	AC = After graduation or date of last attendance.
STR2006		Documentation of Accommodation – Student File	AC+7	AC = After graduation or date of last attendance.
STR2007		Correspondence, Relevant – Student Records	AC+5	AC = After graduation or date of last attendance.
STR2008		Academic Action Authorizations – Authorizations for academic actions, such as academic probation, suspensions, dismissals, reinstatements, etc. Does not include disciplinary action records.	AC+5	AC = After graduation or date of last attendance.
STR2009		Disciplinary Action Documents – Students (Separate Confidential Record) – This series documents academic dishonesty and conduct violations among students. Records may include, but are not limited to: incidents reports; final reports; evidence; notification of allegation; disciplinary reports; informal discussion notes; formal hearing notes; final summary statements; decision statements; appeals documentation; and related documentation and correspondence.	AC+5	AC = After incident		SEE Regents' Rules and Regulations 50101, Section 2 and UT Dallas Handbook of Operation Procedures, Chapter 49, section 49.18. Retention dependent on penalty assessed. Penalties of suspension, expulsion, denial or revocation of degree, and/or withdrawal of diploma are retained permanently. Buckley Amendment, confidential record.
STR2010		Hold or Encumbrance Authorizations – Student Records – Documents used to place and remove holds on registration, student services, or the release of transcripts or other academic data until the subject of the hold/encumbrance takes a specific action.	AC	AC = Date of release
STR2011		Class Schedules of Students – This series provides a list of the classes registered for by an individual student for a particular semester.	AC+1	AC = After graduation or date of last attendance.
STR2012		Course Registration and Status Records – Registration forms, class rosters, and similar records providing information on which courses student are registered for at the beginning of an academic term, including documentation evidencing the conditions under which courses are undertaken (e.g., audit, pass/fail, and credit/no credit authorizations or approvals) or evidencing changes to registration status during the term (e.g., add/drop forms by student or instructor).	AC+1	AC = After date submitted.		CAUTION: Not to be confused with withdrawal records. SEE item number STR2015.
STR2013	15.2.020	Independent Study Records – This series documents departmental approval for students to enroll in independent study courses. Records may include, but are not limited to: permission sheets with students’ names; course names; number of credits; and faculty signatures.	AC+2	AC = Student separation from the department.
STR2014		Change of Course (Add / Drop) – Student Records	AC+1	AC = After date submitted		Buckley Amendment, confidential record.
STR2015		Withdrawal Forms and Authorization – Students – Requests and authorizations for a student to withdraw from classes after calendar deadlines without academic penalty for reasons acceptable to a university.	AC+2	AC = After graduation or date of last attendance.
STR2016		Original Grade Sheets (Class Lists) – The series reflects grades awarded by instructors and serves as the basis for students’ official academic records. Also called Permanent Record Cards, Grade Cards, Grade Sheets. Records usually include: student names and social security numbers or ID numbers; course titles and numbers; sections; grades awarded; and instructors’ signatures.	PM			Buckley Amendment, confidential record. CAUTION: This retention period applies to records of the Registrar. Departmental copies of grade sheets are convenience copies.
STR2017		Change of Grade Forms – This series documents grade changes submitted by instructors through the academic departments to the Registrar.	PM		I	Retention period based on AACRAO guidelines for change of grade forms.
STR2018		Credit by Examination Forms – Student Records	AC+5	AC = After graduation or date of last attendance.
STR2019		Credit / No Credit Approvals – Student Records	AC+1	AC = After date submitted
STR2020		Pass / Fail Requests – Students	AC+1	AC = End of term the transaction occurred		Buckley Amendment, confidential record.
STR2021		Grade Reports (Registrar’s Copy) – The series documents grades received by students for the term. This is the record copy of reports distributed to students at the end of each term. Individual forms include: course numbers and titles; grades awarded; grade point average; student name; and social security number or student ID number.	AC+1	AC = After date distributed		Buckley Amendment, confidential record.
STR2022		Curriculum Change Authorizations – This series documents student requests to change their field of major study, add or remove a simultaneous major, or add or change a minor.	AC+5	AC = After graduation or date of last attendance.
STR2023		Transfer Credit Evaluations – Student Records	AC+5	AC = After graduation or date of last attendance.
STR2024		Degree Audit Requirements – This series documents student completion of degree requirements, including authorizations certifying completion of degree requirements. The series may include official graduation audit forms that list students’ names; colleges; majors; degrees; minors; the breakdown of institutional degree requirements and how the applicants have fulfilled them; grade point averages; deans’ recommendations/comments and signatures; and comprehensive examinations.	AC+5	AC = After graduation or date of last attendance.
STR2025	15.2.030	Thesis and Dissertation Records – This series documents the completion and academic acceptance of graduate theses and dissertations presented to colleges in fulfillment of requirements for graduate degrees. This series includes final and accepted copies of theses and dissertations.	PM		I
STR2026		Applications for Graduation – Student applications for graduation.	AC+5	AC = After graduation or date of last attendance.
STR2027		Graduation Authorizations – Student Records	AC+5	AC = After graduation or date of last attendance.
STR2028		Tuition and Fee Charges – Includes fee assessment forms. This series documents the payment of fees for course fees, lab time, diplomas, commencement exercises, etc.	AC+5	AC = After graduation or date of last attendance.
STR2029		Testing Logs	AC+3	AC = After graduation or date of last attendance.
STR2030		Provision for Alternative Testing Forms	AC+3	AC = After graduation or date of last attendance.
STR2031		Name Change Records – This series documents student or applicant name changes reported to the admissions or registrar’s offices by students. Records may include, but are not limited to: letters requesting change in name; name change authorizations; and related documentation and correspondence.	AC+5	AC = After graduation or date of last attendance.
STR2032		Personal Data Update Records – Student – Change of address forms, race/ethnicity questionnaires, requests and authorizations to change other demographic data, and similar source documentation used to update personal data information on transcripts or other student records.	AC+1	AC = Date of change		For name change records, SEE item number STR2031.
STR2033		Social Security Certifications – Student	AC+1	AC = After certification
STR2034		Enrollment Verifications	AC+1	AC = After verification
STR2035		Transcript Requests – Student – Requests for transcripts to be provided to student or sent to other institutions.	AC+1	AC = After date submitted
STR2036		Student Waivers for Rights of Access to Letters of Recommendation	AC	AC = Until terminated
STR2037		Student Information System (SIS) E-Print Electronic Reports	PM
STR2038	15.2.027	Student Certification Records – Academic – This series documents student completion of certificate programs offered by university academic programs.	AC+5	AC = Graduation or date of last attendance		CAUTION: Transcript notes regarding academic certifications awarded are maintained permanently by the Registrar.
STR2039	15.2.028	Student Certification Records – Professional – This series documents the preparation of students earning degrees and/or certification for licenses or certificates to enter a profession (e.g., teaching certificates) and forms the basis of the initial certification by external entities for various professions. Records may include: applications for admission to a program; registration for practicum hours and evidence of the completion of the practicum; transcripts; narrative evaluations on practicum; notice of completion of hours required for certification; recommendations and evaluations; and related correspondence.	AC+1	AC = End of certification period		CAUTION: Accrediting agencies may require longer retention periods for professional certification records. Refer to accrediting agency to determine the term of the certification period.
STR2040	15.2.022	Internship Program Records – This series is used to provide a record of the administration of student internship, practicum and cooperative education programs. Programs may be within the institution or off campus and for class credit and/or pay. Records may include, but are not limited to: applications for internships inside and external to the institution; agreements with departments; postings/notices; student resumes; transcripts; copies of contracts; proposed institution listings; notes; and related documentation and correspondence.	AC+5	AC = End of academic term in which internship occurred
STR2041	15.2.021	Internship Applications – Not Enrolled/Denied – Applications for internship programs for which student was denied or did not enroll in the internship.	AC+1	AC = End of academic term in which internship occurred
STR2042		Deans’ Student Discipline Certifications	AC+1	AC = After graduation or last attendance
STR2043		Discipline Log	PM
STR2045	15.2.009	Departmental Student Information Files – Up-to-date information on student’s activity from point of enrollment to graduation or date of last attendance. This series may include but not limited to: personal data, activity reports, graduate student qualifying examinations, copies of placement tests, copies of partial transcripts, correspondence, evidence of graduation or last date of attendance, and related information.	AC+3	AC=Student separation from the department or institution.		See STR2004 for student advising records. CAUTION: International student academic records must be retained at least 1 year after final notice to USCIS. CAUTION: See PER1029 and PER1031 for additional retention requirements for international student records.
STR2044	15.2.005	Applications for Admissions to Programs – Not Enrolled/Denied – Includes applications for admission to programs with admissions requirements separate and beyond those of the institution.	AC+1	AC= End of application term.		CAUTION: Not to be used for records of admissions to the institution. See STR1001 and STR1002.
Section 5.3: Financial Aid and Scholarships
STR3001		Financial Aid Assistance Records & Supporting Documents – Records documenting the financial aid assistance that students are receiving	AC+7	AC = Date the record is completed or expired		Record must be retained for seven (7) years due to revised language in Government Code 441.1855. Government Code 441.1855
STR3002		Federal Aid Participation Agreement	AC+10	AC = After graduation or date of last attendance
STR3003		Exemptions, State Mandated and Continuously Applicable – E.g. Blind and Deaf, Senior, Foster Care.	AV			Does not include Hazlewood Act.
STR3004	15.2.017	Hazlewood Act Documentation – Awarded – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.	PM			19 TAC 21.85 for loans made before fall 1971 19 TAC 21.54 for loans after fall 1971
STR3005	15.2.018	Hazlewood Act Documentation – Non-awarded Applicants – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.	AC+2	AC = Date loan denied		Texas Education Code §54.241 (Hazlewood Act), 19 TAC 21.85
STR3006		Tuition Exemption and Remission Records – Applications for and supporting documentation evidencing the grant of tuition exemptions or remissions. This series may include, but is not limited to: authorizations; reconciled lists; account summaries; and related documentation.	AC+3	AC = expiration of award
STR3007	15.3.027	Tuition Rebate Documentation – Includes tuition rebate form and any supporting documentation pertaining to college tuition rebate program under Texas Education Code Sec. 54.0065.	AC+5	AC = Graduation or date of last attendance		Texas Education Code Sec. 54.0065
STR3008		Ready to Award List	FE+1
Section 5.4: Student Privacy
STR4001		FERPA (Family Educational Rights and Privacy Act) Documents – This series documents the process of student information release requests and consent authorizations or denials in accordance with the Family Educational Rights and Privacy Act. Records may include, but are not limited to: requests for nondisclosure of directory information; records of disclosures made to third parties; written consent of the student to disclose records; and related documentation and correspondence.	AC+5	AC = After accepted or rejected		SEE Note 3, Supplement Page 4.
STR4002		FERPA – Request and Disclosure of Personally Identifiable Information – Record of each request for access to and each disclosure of personally identifiable information from the educational records of a student: documentation of requests from and disclosures to any party other than the student, an official of the district for what the district has determined are legitimate educational interests, a party with or without written consent from the student, or a party seeking directory information.	AC	AC = Life of affected records		34 CFR 99.32(a)(2)
STR4003		FERPA – Student’s Written Consent for Records Disclosure – Written consents for information disclosure from the eligible student or student’s parents.	AC	AC = Until terminated by the student or life of affected records.
STR4004		FERPA – Waivers for Rights of Access – Waivers of access by students to confidential letters and confidential statements of recommendation and revocations of such waivers.	AC	AC = Until terminated by the student or life of affected records.
STR4005		FERPA Data Documents – Requests for Formal Student Hearings	AC	AC = Life of affected records
STR4006		FERPA – Student Statements on Content of Records Regarding Hearing Panel Decisions	AC	AC = Life of affected records
STR4007		FERPA – Written Decisions of Hearing Panels	AC	AC = Life of affected records
Section 5.5: Other Records and Reports
STR5001		Enrollment Statistics – Statistics measuring student enrollment.	PM		I	Retention period based on AACRAO guidelines for statistical reports.
STR5002		Grade Statistics – Statistics measuring student grades.	PM		I
STR5003		Degree Statistics – Statistics measuring student degrees.	PM		I
STR5004		Racial/Ethnic Statistics – Statistics measuring student race/ethnicity.	PM		I
STR5005		Immigration Semester Audits	PM
STR5006		Veterans Administration Certifications – Students – This series documents institutional submission of Certification of Enrollment reports required by the U.S. Department of Veterans Affairs.	AC+3	AC = After graduation or date of last attendance.		US Department of Veterans Affairs School Certifying Official Handbook; 38 CFR 21.4209(f)
STR5007	15.5.008	Student Grievance Records – This series documents grievance brought forward by students against the institutions which do not result in litigation. Grievances may pertain to academic issues; housing; affirmative action and equal opportunity; student conduct; and other issues. Records include: notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio tapes); final summary statements; settlement agreements; appeals documentation; and related records. Portions of these records may be exempt from public disclosure.	AC+5	AC = Graduation or date of last attendance.		If mediated by student ombuds refer to ADR1091.
STR5008		American Southwest Conference Financial Aid Report	FE+5
STR5009		Fiscal Operations Report and Application to Participate (FISAP) – The Fiscal Operations Report and Application to Participate in the Federal Perkins Loan, Federal Supplemental Educational Opportunity Grant (FSEOG), and Federal Work-Study (FWS) Programs (FISAP) and any records necessary to support the data contained in the FISAP.	AC+3	AC = End of the award year in which the report was submitted.		34 CFR 668.24(e)(1)(i) for Federal Title IV, 674.19(e)(3)(i) for Federal Perkins Loan, 675.19(b)(1) for Federal Work Study (FWS), and 676.19(b) for Federal Supplemental Educational Opportunity Grant (FSEOG).

Category 5: Student Records

Section 5.1: Admissions and Assessment

STR1001

Admissions Records – Enrolled/Accepted – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.

AC+5

AC = After graduation or date of last attendance.

CAUTION: International student academic records must be retained at least 1 year after final notice to Immigration and Naturalization Service. SEE item number STR2002.

STR1002

Admissions Records – Not Enrolled/Denied – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.

AC+1

AC = After application term.

CAUTION: International student academic records must be retained at least 1 year after final notice to Immigration and Naturalization Service. FERPA applies, but record is subject to Texas Open Records Law.

STR1003

International Student Records – Not Enrolled/Denied – This series documents institution assistance to international students who are considering attendance at the institution. Records may include, but are not limited to: letters of inquiry from prospective students; official replies to inquiries; completed applications and admittance forms; local data sheets; advisory notes; and related documentation and correspondence.

AC+1

AC = Failure to enroll.

STR1004

Advanced Placement and Credit Records for Student Applicants Who Enroll – Transfer credit evaluations, national or state standardized test scores and reports (e.g., CLEP, AP, Departmental, IB, SAT II), credit by examination authorizations and reports, military course documentation (e.g., DSST, USAFI) and evaluations, non-traditional transcripts and credentials, life experience records, requests for advanced credit, and similar documentation used by a university to evaluate and determine award of credit by advanced placement.

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1005

Entrance Examination Reports (ACT, CEEB) for Student Applicants Who Enroll

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1006

Placement Scores for Student Applicants Who Enroll

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1007

Test Scores for Student Applicants Who Enroll

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1008

Correspondence, Relevant for Student Applicants Who Enroll

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1010

Residency Classification Forms for Student Applicants Who Enroll

AC+5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1009

Letters of Recommendation for Student Applicants Who Enroll

AC = Until admitted

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day.

STR1011

Residency Affidavits and Documentation – This series documents declarations filed by students regarding state residency status which is critical for determining tuition status. Records may include, but are not limited to: affidavits; correspondence regarding residency; and related documentation.

AC+6

AC = Date of submission

Not for residency classification forms submitted by applicants as part of the admissions process. SEE item number STR1010. Texas Education Code §54.052

STR1012

Comet Connection Forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.

Comet Connection forms for applicants who do enroll are included in item number STR1001.

STR1013

STEP (Select Transfer Enrollment Program) forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.

Step forms for applicants who do enroll are included in item number STR1001.

STR1014

Applications for Admissions and Supplemental Application Materials for Applicants Who Do Not Enroll – Supplemental documents include, but are not limited to: Letters of Recommendation, placement scored, advanced placement records, and entrance exam reports. Applies only to records for applicants who do not remain enrolled after census day.

AC+1

AC = After application term

STR1015

Pre-Application Documents – Documents include orphaned documents, not on system, or without accompanied application.

AC+1

AC = After term of submission

STR1016

Recruitment Materials for Student Applicants

The federal legislation which governs these records is as follows: Veterans Administration regulations require that all recruitment materials be retained 3 years.

STR1017

Acceptance Letters for Student Applicants Who Enroll

AC + 5

AC = After graduation or date of last attendance.

Applicants Who Enroll applies to applicants who have enrolled and remain enrolled after census day

Section 5.2: Academic Records

STR2001

Academic Records of Students – Including transcripts, narrative evaluations, competency assessments, etc.

STR2002

International Student Records – Enrolled/Accepted – This series documents nonacademic institution assistance to international students who have been admitted to academic programs. These records primarily concern institution admissions, immigration issues, and other nonacademic matters.
Records may include, but are not limited to: copies of visas; scholarship information; institution admissions forms; graduate school applications; transcripts of previous college work; grade reports of prior college work; grade reports from institutional courses; international student advisors’ notes; degree completion certificates; explanations for student withdrawals; recommendations and evaluations of students; and related documentation and correspondence.

AC+7

AC = After graduation or date of last attendance.

CAUTION: Must be retained at least 1 year after final notice to Immigration and Naturalization Service. 8 CFR 214.3(g), 22 CFR

STR2003

15.2.034

Veterans Records – This series documents the entitlement status and enrollment of veterans in the institution. Records include, but are not limited to: individual veteran student records that certify to the U.S. Department of Veterans Affairs that the student is eligible for educational benefits, is currently enrolled at the institution in a qualifying curriculum, and is maintaining standards required to receive entitlements; veterans attendance reports; and related forms, documentation and correspondence.

AC+3

AC = Graduation or date of last attendance

38 CFR 21.4209

STR2004

15.2.026

Student Advising Records – This series includes records of academic advisement to students. Series may include advisors’ notes and advising checklists.

AC+3

AC = Student separation from the department or institution

STR2005

Individual Service Plans

AC+7

AC = After graduation or date of last attendance.

STR2006

Documentation of Accommodation – Student File

AC+7

AC = After graduation or date of last attendance.

STR2007

Correspondence, Relevant – Student Records

AC+5

AC = After graduation or date of last attendance.

STR2008

Academic Action Authorizations – Authorizations for academic actions, such as academic probation, suspensions, dismissals, reinstatements, etc.
Does not include disciplinary action records.

AC+5

AC = After graduation or date of last attendance.

STR2009

Disciplinary Action Documents – Students (Separate Confidential Record) – This series documents academic dishonesty and conduct violations among students. Records may include, but are not limited to: incidents reports; final reports; evidence; notification of allegation; disciplinary reports; informal discussion notes; formal hearing notes; final summary statements; decision statements; appeals documentation; and related documentation and correspondence.

AC+5

AC = After incident

SEE Regents' Rules and Regulations 50101, Section 2 and UT Dallas Handbook of Operation Procedures, Chapter 49, section 49.18. Retention dependent on penalty assessed. Penalties of suspension, expulsion, denial or revocation of degree, and/or withdrawal of diploma are retained permanently. Buckley Amendment, confidential record.

STR2010

Hold or Encumbrance Authorizations – Student Records – Documents used to place and remove holds on registration, student services, or the release of transcripts or other academic data until the subject of the hold/encumbrance takes a specific action.

AC = Date of release

STR2011

Class Schedules of Students – This series provides a list of the classes registered for by an individual student for a particular semester.

AC+1

AC = After graduation or date of last attendance.

STR2012

Course Registration and Status Records – Registration forms, class rosters, and similar records providing information on which courses student are registered for at the beginning of an academic term, including documentation evidencing the conditions under which courses are undertaken (e.g., audit, pass/fail, and credit/no credit authorizations or approvals) or evidencing changes to registration status during the term (e.g., add/drop forms by student or instructor).

AC+1

AC = After date submitted.

CAUTION: Not to be confused with withdrawal records. SEE item number STR2015.

STR2013

15.2.020

Independent Study Records – This series documents departmental approval for students to enroll in independent study courses. Records may include, but are not limited to: permission sheets with students’ names; course names; number of credits; and faculty signatures.

AC+2

AC = Student separation from the department.

STR2014

Change of Course (Add / Drop) – Student Records

AC+1

AC = After date submitted

Buckley Amendment, confidential record.

STR2015

Withdrawal Forms and Authorization – Students – Requests and authorizations for a student to withdraw from classes after calendar deadlines without academic penalty for reasons acceptable to a university.

AC+2

AC = After graduation or date of last attendance.

STR2016

Original Grade Sheets (Class Lists) – The series reflects grades awarded by instructors and serves as the basis for students’ official academic records. Also called Permanent Record Cards, Grade Cards, Grade Sheets. Records usually include: student names and social security numbers or ID numbers; course titles and numbers; sections; grades awarded; and instructors’ signatures.

Buckley Amendment, confidential record. CAUTION: This retention period applies to records of the Registrar. Departmental copies of grade sheets are convenience copies.

STR2017

Change of Grade Forms – This series documents grade changes submitted by instructors through the academic departments to the Registrar.

Retention period based on AACRAO guidelines for change of grade forms.

STR2018

Credit by Examination Forms – Student Records

AC+5

AC = After graduation or date of last attendance.

STR2019

Credit / No Credit Approvals – Student Records

AC+1

AC = After date submitted

STR2020

Pass / Fail Requests – Students

AC+1

AC = End of term the transaction occurred

Buckley Amendment, confidential record.

STR2021

Grade Reports (Registrar’s Copy) – The series documents grades received by students for the term. This is the record copy of reports distributed to students at the end of each term. Individual forms include: course numbers and titles; grades awarded; grade point average; student name; and social security number or student ID number.

AC+1

AC = After date distributed

Buckley Amendment, confidential record.

STR2022

Curriculum Change Authorizations – This series documents student requests to change their field of major study, add or remove a simultaneous major, or add or change a minor.

AC+5

AC = After graduation or date of last attendance.

STR2023

Transfer Credit Evaluations – Student Records

AC+5

AC = After graduation or date of last attendance.

STR2024

Degree Audit Requirements – This series documents student completion of degree requirements, including authorizations certifying completion of degree requirements. The series may include official graduation audit forms that list students’ names; colleges; majors; degrees; minors; the breakdown of institutional degree requirements and how the applicants have fulfilled them; grade point averages; deans’ recommendations/comments and signatures; and comprehensive examinations.

AC+5

AC = After graduation or date of last attendance.

STR2025

15.2.030

Thesis and Dissertation Records – This series documents the completion and academic acceptance of graduate theses and dissertations presented to colleges in fulfillment of requirements for graduate degrees. This series includes final and accepted copies of theses and dissertations.

STR2026

Applications for Graduation – Student applications for graduation.

AC+5

AC = After graduation or date of last attendance.

STR2027

Graduation Authorizations – Student Records

AC+5

AC = After graduation or date of last attendance.

STR2028

Tuition and Fee Charges – Includes fee assessment forms. This series documents the payment of fees for course fees, lab time, diplomas, commencement exercises, etc.

AC+5

AC = After graduation or date of last attendance.

STR2029

Testing Logs

AC+3

AC = After graduation or date of last attendance.

STR2030

Provision for Alternative Testing Forms

AC+3

AC = After graduation or date of last attendance.

STR2031

Name Change Records – This series documents student or applicant name changes reported to the admissions or registrar’s offices by students. Records may include, but are not limited to: letters requesting change in name; name change authorizations; and related documentation and correspondence.

AC+5

AC = After graduation or date of last attendance.

STR2032

Personal Data Update Records – Student – Change of address forms, race/ethnicity questionnaires, requests and authorizations to change other demographic data, and similar source documentation used to update personal data information on transcripts or other student records.

AC+1

AC = Date of change

For name change records, SEE item number STR2031.

STR2033

Social Security Certifications – Student

AC+1

AC = After certification

STR2034

Enrollment Verifications

AC+1

AC = After verification

STR2035

Transcript Requests – Student – Requests for transcripts to be provided to student or sent to other institutions.

AC+1

AC = After date submitted

STR2036

Student Waivers for Rights of Access to Letters of Recommendation

AC = Until terminated

STR2037

Student Information System (SIS) E-Print Electronic Reports

STR2038

15.2.027

Student Certification Records – Academic – This series documents student completion of certificate programs offered by university academic programs.

AC+5

AC = Graduation or date of last attendance

CAUTION: Transcript notes regarding academic certifications awarded are maintained permanently by the Registrar.

STR2039

15.2.028

Student Certification Records – Professional – This series documents the preparation of students earning degrees and/or certification for licenses or certificates to enter a profession (e.g., teaching certificates) and forms the basis of the initial certification by external entities for various professions. Records may include: applications for admission to a program; registration for practicum hours and evidence of the completion of the practicum; transcripts; narrative evaluations on practicum; notice of completion of hours required for certification; recommendations and evaluations; and related correspondence.

AC+1

AC = End of certification period

CAUTION: Accrediting agencies may require longer retention periods for professional certification records. Refer to accrediting agency to determine the term of the certification period.

STR2040

15.2.022

Internship Program Records – This series is used to provide a record of the administration of student internship, practicum and cooperative education programs. Programs may be within the institution or off campus and for class credit and/or pay. Records may include, but are not limited to: applications for internships inside and external to the institution; agreements with departments; postings/notices; student resumes; transcripts; copies of contracts; proposed institution listings; notes; and related documentation and correspondence.

AC+5

AC = End of academic term in which internship occurred

STR2041

15.2.021

Internship Applications – Not Enrolled/Denied – Applications for internship programs for which student was denied or did not enroll in the internship.

AC+1

AC = End of academic term in which internship occurred

STR2042

Deans’ Student Discipline Certifications

AC+1

AC = After graduation or last attendance

STR2043

Discipline Log

STR2045

15.2.009

Departmental Student Information Files – Up-to-date information on student’s activity from point of enrollment to graduation or date of last attendance. This series may include but not limited to: personal data, activity reports, graduate student qualifying examinations, copies of placement tests, copies of partial transcripts, correspondence, evidence of graduation or last date of attendance, and related information.

AC+3

AC=Student separation from the department or institution.

See STR2004 for student advising records. CAUTION: International student academic records must be retained at least 1 year after final notice to USCIS. CAUTION: See PER1029 and PER1031 for additional retention requirements for international student records.

STR2044

15.2.005

Applications for Admissions to Programs – Not Enrolled/Denied – Includes applications for admission to programs with admissions requirements separate and beyond those of the institution.

AC+1

AC= End of application term.

CAUTION: Not to be used for records of admissions to the institution. See STR1001 and STR1002.

Section 5.3: Financial Aid and Scholarships

STR3001

Financial Aid Assistance Records & Supporting Documents – Records documenting the financial aid assistance that students are receiving

AC+7

AC = Date the record is completed or expired

Record must be retained for seven (7) years due to revised language in Government Code 441.1855. Government Code 441.1855

STR3002

Federal Aid Participation Agreement

AC+10

AC = After graduation or date of last attendance

STR3003

Exemptions, State Mandated and Continuously Applicable – E.g. Blind and Deaf, Senior, Foster Care.

Does not include Hazlewood Act.

STR3004

15.2.017

Hazlewood Act Documentation – Awarded – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.

19 TAC 21.85 for loans made before fall 1971 19 TAC 21.54 for loans after fall 1971

STR3005

15.2.018

Hazlewood Act Documentation – Non-awarded Applicants – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.

AC+2

AC = Date loan denied

Texas Education Code §54.241 (Hazlewood Act), 19 TAC 21.85

STR3006

Tuition Exemption and Remission Records – Applications for and supporting documentation evidencing the grant of tuition exemptions or remissions. This series may include, but is not limited to: authorizations; reconciled lists; account summaries; and related documentation.

AC+3

AC = expiration of award

STR3007

15.3.027

Tuition Rebate Documentation – Includes tuition rebate form and any supporting documentation pertaining to college tuition rebate program under Texas Education Code Sec. 54.0065.

AC+5

AC = Graduation or date of last attendance

Texas Education Code Sec. 54.0065

STR3008

Ready to Award List

FE+1

Section 5.4: Student Privacy

STR4001

FERPA (Family Educational Rights and Privacy Act) Documents – This series documents the process of student information release requests and consent authorizations or denials in accordance with the Family Educational Rights and Privacy Act. Records may include, but are not limited to: requests for nondisclosure of directory information; records of disclosures made to third parties; written consent of the student to disclose records; and related documentation and correspondence.

AC+5

AC = After accepted or rejected

SEE Note 3, Supplement Page 4.

STR4002

FERPA – Request and Disclosure of Personally Identifiable Information – Record of each request for access to and each disclosure of personally identifiable information from the educational records of a student: documentation of requests from and disclosures to any party other than the student, an official of the district for what the district has determined are legitimate educational interests, a party with or without written consent from the student, or a party seeking directory information.

AC = Life of affected records

34 CFR 99.32(a)(2)

STR4003

FERPA – Student’s Written Consent for Records Disclosure – Written consents for information disclosure from the eligible student or student’s parents.

AC = Until terminated by the student or life of affected records.

STR4004

FERPA – Waivers for Rights of Access – Waivers of access by students to confidential letters and confidential statements of recommendation and revocations of such waivers.

AC = Until terminated by the student or life of affected records.

STR4005

FERPA Data Documents – Requests for Formal Student Hearings

AC = Life of affected records

STR4006

FERPA – Student Statements on Content of Records Regarding Hearing Panel Decisions

AC = Life of affected records

STR4007

FERPA – Written Decisions of Hearing Panels

AC = Life of affected records

Section 5.5: Other Records and Reports

STR5001

Enrollment Statistics – Statistics measuring student enrollment.

Retention period based on AACRAO guidelines for statistical reports.

STR5002

Grade Statistics – Statistics measuring student grades.

STR5003

Degree Statistics – Statistics measuring student degrees.

STR5004

Racial/Ethnic Statistics – Statistics measuring student race/ethnicity.

STR5005

Immigration Semester Audits

STR5006

Veterans Administration Certifications – Students – This series documents institutional submission of Certification of Enrollment reports required by the U.S. Department of Veterans Affairs.

AC+3

AC = After graduation or date of last attendance.

US Department of Veterans Affairs School Certifying Official Handbook; 38 CFR 21.4209(f)

STR5007

15.5.008

Student Grievance Records – This series documents grievance brought forward by students against the institutions which do not result in litigation. Grievances may pertain to academic issues; housing; affirmative action and equal opportunity; student conduct; and other issues. Records include: notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio tapes); final summary statements; settlement agreements; appeals documentation; and related records. Portions of these records may be exempt from public disclosure.

AC+5

AC = Graduation or date of last attendance.

If mediated by student ombuds refer to ADR1091.

STR5008

American Southwest Conference Financial Aid Report

FE+5

STR5009

Fiscal Operations Report and Application to Participate (FISAP) – The Fiscal Operations Report and Application to Participate in the Federal Perkins Loan, Federal Supplemental Educational Opportunity Grant (FSEOG), and Federal Work-Study (FWS) Programs (FISAP) and any records necessary to support the data contained in the FISAP.

AC+3

AC = End of the award year in which the report was submitted.

34 CFR 668.24(e)(1)(i) for Federal Title IV, 674.19(e)(3)(i) for Federal Perkins Loan, 675.19(b)(1) for Federal Work Study (FWS), and 676.19(b) for Federal Supplemental Educational Opportunity Grant (FSEOG).

Category 6: Academic Affairs
Section 6.1: General Academic Affairs
ACA1001		Course Records – Departmental course offerings and individual course contents. Includes, but is not limited to: course descriptions, course outlines, course summaries, course requests and proposals, curriculum approval lists, lists of classes by term, bibliographies, reading lists, course announcements, handout materials, and related documentation and correspondence.	AC+2	AC = End of semester in which course is taught.		Texas Education Code Sec. 51.974
ACA1002		Course Syllabi	AV
ACA1003		Test Papers and Exams – Test Questions, Exams, Quizzes, Term Papers. Records may include, but are not limited to: examinations and answers; quizzes and answers; course papers; term papers; and essay assignments. This series does not include graduate student qualifying or comprehensive examinations.	AC+1	AC = After semester test taken		Academic departments are not responsible for retaining copies of tests returned to students. CAUTION: Coursework under dispute may not be destroyed until the resolution of the dispute.
ACA1004		Faculty Grade Book – Record of students in course and work completed. Includes computer and non-computer-generated grade sheets, and other such materials that permit a reconstruction of a student’s graded performance in a course.	AC	AC = Expiration of grade appeal period.
ACA1005		Schedule of Classes – Institutional	PM		I
ACA1006		Graduation Lists / Commencement Records – This series documents commencement program planning and implementation at the institution. Records may include, but are not limited to: commencement attendance forms; planning records created by commencement committees or other planning groups; and related documentation and correspondence. Includes commencement programs. Graduation lists may be exempt from public disclosure.	PM
ACA1007		Commencement Programs	PM		I
ACA1008	17.1.012	Degree and Special Academic Program Proposal, Development and Review Records – Records documenting planning and discussions relating to the implementation of new undergraduate, advanced degree, and special academic programs and any major reorganization or changes to established programs. May include but not limited to: final reports; curriculum committee meeting minutes; curriculum proposals; reviews of individual degree programs by campus and off-campus sources; letters of support; review agendas; and related documentation.	AC	AC = Termination of degree program	O
ACA1009	17.1.018	Student Faculty/Course Evaluation Records—Non-Tenure Track Faculty – Student evaluations of non-tenure track teaching personnel, which provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.	AC+3	AC = After course is completed		See PER1021 for employee performance appraisals.
ACA1010	17.1.019	Student Faculty/Course Evaluation Records—Tenure Track Faculty – Student evaluations of tenure-track teaching personnel used to help determine faculty tenure, promotion, merit increases, and/or to review instructional courses and programs. These records provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.	7			CAUTION: Retention period should be longer if a university's tenure review cycle is longer than 7 years. See PER1021 for employee performance appraisals.
Section 6.2: Accreditation
ACA2002		Callier Center Daycare – Accreditation / Licensing Documentation	PM
ACA2001	1.1.038	Southern Association of Colleges and Schools Accreditation Reports	AC+10	AC = Final disposition of summary report	I	Office of Institutional Research & Planning uses for studies.
Section 6.3: Research
ACA3001	17.3.001	Animal Management Records – This series includes records relating to the care and management of animals for research and teaching purposes.	AC	AC = Life of animal or transfer of animal to another institution		CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the Animal and Plant Health Inspection Service of the United States Department of Agriculture. 7 USC 2131 B 2157 9 CFR 2.35 Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals (D.L. 99-158)
ACA3002	17.3.016	Scientific Misconduct Records – This series is used to provide a record of accusations of misconduct brought forward by or against university personnel and affiliates and relating to research projects. These records include: accusation statements; inquiry committee findings; and related correspondence.	AC+7	AC = Completion of proceeding involving the research misconduct allegation		42 CFR 93.317(b)
ACA3003	17.3.003	Institutional Animal Care and Use Committee (IACUC) Records – Committee Records – This series includes meeting minutes, records of attendance, activities of the Committee, Committee deliberations, records of proposed activities involving animals and proposed significant changes in activities involving animals, and whether IACUC approval was given or withheld, and semiannual IACUC reports and recommendations (including minority views).	AC+3	AC= completion of the activity		URRS-289 CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the Animal and Plant Health Inspection Service of the United States Department of Agriculture.
ACA3004	17.3.004	Institutional Biosafety Committee (RDNA Research) Minutes – This series includes meeting minutes of the Biosafety Committee	5			URRS-291
ACA3005	17.3.009	Patent and Invention Records—Auxiliary Files – This series documents the transfer of technology from the institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: patent applications; agreements giving permission for institutional researchers to use other patented inventions in their research; descriptions and titles of inventions; sources of funding to create the inventions; details of the provenance of the inventions and their documentation; suggested manufacturers; reports issued concerning the inventions; and signatures of inventors and technically qualified witnesses.	AC+7	AC = Expiration of the patent or child patent of the original patent, if one exists, or termination of the contract under which the transfer is made, whichever is later	O
ACA3006	17.3.010	Patent and Invention Records—Denied or Not Pursued – Records relating to disclosures or applications for patents that are either not filed or otherwise pursued by the university, or which are denied by the US Patent and Trademark Office (USPTO).	AC+7	AC = Date of last office action or related correspondence in file of original or child patent, if one exists	O	NOTE: Patent applications remain confidential unless published by the US Patent and Trademark Office or an international patent office.
ACA3007	17.3.011	Patent and Invention Records—Patents, Licensing, and Disclosure Records – This series documents the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: original patents; international licensing agreements; and invention disclosure forms that list the names of the inventors and to whom the inventions have been disclosed.	AC+6	AC = Expiration of the patent or child patent of the original patent, if one exists, or termination of the contract or license under which the transfer is made, whichever is later

Category 6: Academic Affairs

Section 6.1: General Academic Affairs

ACA1001

Course Records – Departmental course offerings and individual course contents. Includes, but is not limited to: course descriptions, course outlines, course summaries, course requests and proposals, curriculum approval lists, lists of classes by term, bibliographies, reading lists, course announcements, handout materials, and related documentation and correspondence.

AC+2

AC = End of semester in which course is taught.

Texas Education Code Sec. 51.974

ACA1002

Course Syllabi

ACA1003

Test Papers and Exams – Test Questions, Exams, Quizzes, Term Papers. Records may include, but are not limited to: examinations and answers; quizzes and answers; course papers; term papers; and essay assignments. This series does not include graduate student qualifying or comprehensive examinations.

AC+1

AC = After semester test taken

Academic departments are not responsible for retaining copies of tests returned to students. CAUTION: Coursework under dispute may not be destroyed until the resolution of the dispute.

ACA1004

Faculty Grade Book – Record of students in course and work completed. Includes computer and non-computer-generated grade sheets, and other such materials that permit a reconstruction of a student’s graded performance in a course.

AC = Expiration of grade appeal period.

ACA1005

Schedule of Classes – Institutional

ACA1006

Graduation Lists / Commencement Records – This series documents commencement program planning and implementation at the institution. Records may include, but are not limited to: commencement attendance forms; planning records created by commencement committees or other planning groups; and related documentation and correspondence. Includes commencement programs. Graduation lists may be exempt from public disclosure.

ACA1007

Commencement Programs

ACA1008

17.1.012

Degree and Special Academic Program Proposal, Development and Review Records – Records documenting planning and discussions relating to the implementation of new undergraduate, advanced degree, and special academic programs and any major reorganization or changes to established programs. May include but not limited to: final reports; curriculum committee meeting minutes; curriculum proposals; reviews of individual degree programs by campus and off-campus sources; letters of support; review agendas; and related documentation.

AC = Termination of degree program

ACA1009

17.1.018

Student Faculty/Course Evaluation Records—Non-Tenure Track Faculty – Student evaluations of non-tenure track teaching personnel, which provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.

AC+3

AC = After course is completed

See PER1021 for employee performance appraisals.

ACA1010

17.1.019

Student Faculty/Course Evaluation Records—Tenure Track Faculty – Student evaluations of tenure-track teaching personnel used to help determine faculty tenure, promotion, merit increases, and/or to review instructional courses and programs. These records provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.

CAUTION: Retention period should be longer if a university's tenure review cycle is longer than 7 years. See PER1021 for employee performance appraisals.

Section 6.2: Accreditation

ACA2002

Callier Center Daycare – Accreditation / Licensing Documentation

ACA2001

1.1.038

Southern Association of Colleges and Schools Accreditation Reports

AC+10

AC = Final disposition of summary report

Office of Institutional Research & Planning uses for studies.

Section 6.3: Research

ACA3001

17.3.001

Animal Management Records – This series includes records relating to the care and management of animals for research and teaching purposes.

AC = Life of animal or transfer of animal to another institution

CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the Animal and Plant Health Inspection Service of the United States Department of Agriculture. 7 USC 2131 B 2157 9 CFR 2.35 Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals (D.L. 99-158)

ACA3002

17.3.016

Scientific Misconduct Records – This series is used to provide a record of accusations of misconduct brought forward by or against university personnel and affiliates and relating to research projects. These records include: accusation statements; inquiry committee findings; and related correspondence.

AC+7

AC = Completion of proceeding involving the research misconduct allegation

42 CFR 93.317(b)

ACA3003

17.3.003

Institutional Animal Care and Use Committee (IACUC) Records – Committee Records – This series includes meeting minutes, records of attendance, activities of the Committee, Committee deliberations, records of proposed activities involving animals and proposed significant changes in activities involving animals, and whether IACUC approval was given or withheld, and semiannual IACUC reports and recommendations (including minority views).

AC+3

AC= completion of the activity

URRS-289 CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the Animal and Plant Health Inspection Service of the United States Department of Agriculture.

ACA3004

17.3.004

Institutional Biosafety Committee (RDNA Research) Minutes – This series includes meeting minutes of the Biosafety Committee

URRS-291

ACA3005

17.3.009

Patent and Invention Records—Auxiliary Files – This series documents the transfer of technology from the institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: patent applications; agreements giving permission for institutional researchers to use other patented inventions in their research; descriptions and titles of inventions; sources of funding to create the inventions; details of the provenance of the inventions and their documentation; suggested manufacturers; reports issued concerning the inventions; and signatures of inventors and technically qualified witnesses.

AC+7

AC = Expiration of the patent or child patent of the original patent, if one exists, or termination of the contract under which the transfer is made, whichever is later

ACA3006

17.3.010

Patent and Invention Records—Denied or Not Pursued – Records relating to disclosures or applications for patents that are either not filed or otherwise pursued by the university, or which are denied by the US Patent and Trademark Office (USPTO).

AC+7

AC = Date of last office action or related correspondence in file of original or child patent, if one exists

NOTE: Patent applications remain confidential unless published by the US Patent and Trademark Office or an international patent office.

ACA3007

17.3.011

Patent and Invention Records—Patents, Licensing, and Disclosure Records – This series documents the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: original patents; international licensing agreements; and invention disclosure forms that list the names of the inventors and to whom the inventions have been disclosed.

AC+6

AC = Expiration of the patent or child patent of the original patent, if one exists, or termination of the contract or license under which the transfer is made, whichever is later

Category 7: Campus Life
Section 7.1: Student Activities
CAL1001		Application / Renewals for Organization Registration	3
CAL1002		Student Organization Registrations	AC+5	AC = After graduation or last attendance
CAL1003		Student Organization Banner Requests	AC+4	AC = Removal of banner or completion of event
CAL1004		Marquee Requests	FE
CAL1005	3.3.023	Travel Authorizations for Students – Completed travel authorizations for students traveling through a university program (i.e., Education Abroad)	FE+3			International Travel Authorizations: Beginning in 2021, the International Center maintains the record copy in BPL. Prior to 2021, the record copy is maintained by the President’s Designee (usually the Dean of the traveler’s School or the VP of the traveler’s Division). Domestic Travel Authorizations: the record copy is maintained by the traveler’s department.
CAL1006		Student Life Co-Curricular Transcript Requests	FE+5
CAL1007		Student Government Candidate Applications	FE+2
CAL1008		Student Government Campaign Fliers	FE
CAL1009		Student Government Membership Lists	PM
CAL1010		Student Newspaper – Record Copy	AC+2	AC = Publication date	I	Copy retained in SU 2.416.
CAL1011		Student Newspaper Advertising and Billing Accounts	FE+5
CAL1012		Greek Life Electronic Database	US
CAL1013		Career Center Employer Recruiting Event Records	AC+2	AC = Completion of event
CAL1014		Career Center Job Postings	AC+1	AC = position filled or receipt of request to withdraw posting
CAL1015		Multicultural Center Program Files	AV
CAL1016		Orientation Registration Files	AC+1	AC = After graduation or last attendance
CAL1017		Orientation Participation Release Forms	PM
CAL1018		Who’s Who Recommendations	AC+1	AC = After graduation or last attendance
CAL1019		Cheer Squad Files	AC+5	AC = After graduation or last attendance
Section 7.2: Intercollegiate Athletics
CAL2001		Student Athlete Handbook	US
CAL2002		Student Athlete Compliance Agreement	FE+5
CAL2003		Student Athlete Medical Release and Indemnification Forms, Injury Report, and Medical Records	AC+7	AC = last date on which service was given or the patient's 21st birthday, whichever is later
CAL2004		Student Athlete Travel Schedules	FE+5
CAL2005		Public Relations Records pertaining to student athletics, News, Press Releases, and Sports Statistics – Includes Team Rosters, photographs and sports statistics.	PM			Maintained by 3rd party.
CAL2006		American Southwest Conference (ASC) Compliance Records – Medical hardships and transfer forms	6
CAL2007		NCAA (National Collegiate Athletic Association) Compliance Record – Includes Certification of Compliance Form, Student-Athlete Statement , Drug Testing Consent Form, Student-Athlete Affirmation	10
CAL2008		NCAA Provisional Compliance Reports – Including institutional self-study and third year provisional report.	PM
CAL2009		Yearly Reports – Including equity in Athletics Disclosure Act, graduation rates, and US News and World Report	PM

Category 7: Campus Life

Section 7.1: Student Activities

CAL1001

Application / Renewals for Organization Registration

CAL1002

Student Organization Registrations

AC+5

AC = After graduation or last attendance

CAL1003

Student Organization Banner Requests

AC+4

AC = Removal of banner or completion of event

CAL1004

Marquee Requests

CAL1005

3.3.023

Travel Authorizations for Students – Completed travel authorizations for students traveling through a university program (i.e., Education Abroad)

FE+3

CAL1006

Student Life Co-Curricular Transcript Requests

FE+5

CAL1007

Student Government Candidate Applications

FE+2

CAL1008

Student Government Campaign Fliers

CAL1009

Student Government Membership Lists

CAL1010

Student Newspaper – Record Copy

AC+2

AC = Publication date

Copy retained in SU 2.416.

CAL1011

Student Newspaper Advertising and Billing Accounts

FE+5

CAL1012

Greek Life Electronic Database

CAL1013

Career Center Employer Recruiting Event Records

AC+2

AC = Completion of event

CAL1014

Career Center Job Postings

AC+1

AC = position filled or receipt of request to withdraw posting

CAL1015

Multicultural Center Program Files

CAL1016

Orientation Registration Files

AC+1

AC = After graduation or last attendance

CAL1017

Orientation Participation Release Forms

CAL1018

Who’s Who Recommendations

AC+1

AC = After graduation or last attendance

CAL1019

Cheer Squad Files

AC+5

AC = After graduation or last attendance

Section 7.2: Intercollegiate Athletics

CAL2001

Student Athlete Handbook

CAL2002

Student Athlete Compliance Agreement

FE+5

CAL2003

Student Athlete Medical Release and Indemnification Forms, Injury Report, and Medical Records

AC+7

AC = last date on which service was given or the patient's 21st birthday, whichever is later

CAL2004

Student Athlete Travel Schedules

FE+5

CAL2005

Public Relations Records pertaining to student athletics, News, Press Releases, and Sports Statistics – Includes Team Rosters, photographs and sports statistics.

Maintained by 3rd party.

CAL2006

American Southwest Conference (ASC) Compliance Records – Medical hardships and transfer forms

CAL2007

NCAA (National Collegiate Athletic Association) Compliance Record – Includes Certification of Compliance Form, Student-Athlete Statement , Drug Testing Consent Form, Student-Athlete Affirmation

CAL2008

NCAA Provisional Compliance Reports – Including institutional self-study and third year provisional report.

CAL2009

Yearly Reports – Including equity in Athletics Disclosure Act, graduation rates, and US News and World Report

Office of Legal Affairs

Retention Codes

Archival Codes