4.10 - Record Retention and Disposal Policy

Last updated on April 3, 2023

POLICY: Spoon River College ensures a standard process for the retention and disposal of physical and electronic files.

SCOPE:

This policy applies to all Spoon River College employees.

DETAILS:

  1. The Supervising Administrator of each of the offices in the table below is responsible for retaining the physical and/or electronic documents/images listed below for the respective retention period. At the end of the retention period, the documents/images will be destroyed.
ADMINISTRATIVE SERVICES
RECORD TYPE DOCUMENT RETENTION PERIOD
Institutional & legal records Articles of incorporation Permanent
Institutional & legal records By-laws Permanent
Institutional & legal records Licenses Active
Institutional & legal records Expired licenses 6 years
Institutional & legal records Deeds & titles Permanent
Institutional & legal records Attorney opinion letters Active + 4 years
Institutional & legal records Leases Active + 6 years
Institutional & legal records Policy statements 10 years
Institutional & legal records Contracts Active + 4 years
Litigation records Claims Active
Litigation records Court documents & records Active
Litigation records Deposition transcripts Active
Litigation records Discovery materials Active
Litigation records Litigation files Active + 2 years
Litigation records Licenses Active
Litigation records Expired licenses 6 years
Litigation records Deeds & titles Permanent
Litigation records Attorney opinion letters Active + 4 years
Litigation records Leases Active + 6 years
Litigation records Policy statements 10 years
Litigation records Contracts Active + 4 years
Institutional records Incident Reports 5 years

 

BUSINESS OFFICE
RECORD TYPE DOCUMENT RETENTION PERIOD
Accounts Payable Purchase requisition 4 years
Accounts Payable Invoices 4 years
Accounts Payable Accounts payable ledgers 4 years
Accounts Payable Payment / disbursement records 4 years
Accounts Payable Expense reports 4 years
Accounts Receivable Accounts receivable 4 years
Accounts Receivable Accounts receivable ledgers 4 years
Accounts Receivable Receipts 4 years
Accounts Receivable Uncollected accounts Permanent
Accounts Receivable Collection Records Active
Accounts Receivable Tuition and fee charges 5 years after date of last attendance
Financial Aid Accounting closeouts Active + 4 years
Financial Aid Account ledgers Active + 4 years
Financial Aid Balance sheets Active + 4 years
Financial Aid General ledgers Active + 4 years
Financial Aid Auditors reports Active + 4 years
Financial Aid Bid files 10 years

 

FINANCIAL AID
RECORD TYPE DOCUMENT RETENTION PERIOD
Financial Aid DL and federal grant reporting End of award year report submitted + 3 years
Financial Aid FISAP records End of award year report submitted + 3 years
Reporting files and documentation ISAC gift assistance programs End of award year last attended + 3 years
Student Files Grant recipients End of award year + 3 years
Student Files ISAC gift assistance programs End of award year last attended +  3 years
Student Files Loan recipients End of last award year attended + 3 years

 

HUMAN RESOURCES
RECORD TYPE DOCUMENT RETENTION PERIOD
Applicant Records (not hired) Application 1 year
Applicant Records (not hired) Background investigation 1 year
Applicant Records (not hired) References and letters of recommendation 1 year
Applicant Records (not hired) Resume / Cover letter 1 year
Applicant Records (not hired) Transcripts 1 year
Benefits Incentive plans Permanent
Benefits Retirement benefits accrued Permanent
Benefits Retirement plans Permanent
Benefits Sick leave benefits Permanent
Benefits Summary plan descriptions Permanent
Benefits Vendor correspondence 4 years
Benefits Vesting Permanent
Blood borne pathogen records Employee exposure records Active + 30 years
Blood borne pathogen records Exposed employee medical records Active + 30 years
Blood borne pathogen records Training records Active + 30 years
Blood borne pathogen records Vaccination records Active + 30 years
Compensation Salary lists Permanent
Compensation Surveys 4 years
Compliance Regulatory agencies 4 years
Employee Relations Events 4 years
Employee Relations Exit interviews 4 years
Employment listings Position advertisement 4 years
Employment listings Position vacancy notice 4 years
Immigration Visa sponsorship, legal, etc. Active + 4 years
Job Descriptions Superseded job descriptions 4 years
Labor Relations Collective bargaining agreements Permanent
Labor Relations Correspondence with executive committee Permanent
Labor Relations Grievances Permanent
Labor Relations Layoffs Permanent
Labor Relations Legal counsel Permanent
Labor Relations Memorandum of agreement Permanent
Labor Relations Negotiation records Permanent
Labor Relations Seniority lists Permanent
Legal Investigations (non-civil rights discrimination/Title IX) 4 years OR

(Where a charge or lawsuit is filed, all relevant records must be kept until "final disposition.")
Legal Investigations (civil rights discrimination/Title IX) Permanent
Legal Litigation 4 years OR

(Where a charge or lawsuit is filed, all relevant records must be kept until "final disposition.")
Misc Employee Records Employee directories Active + 4 years
Personnel files (applicant) Employment applications Active + 4 years
Personnel files (applicant) Employment authorization Active + until retirement or death
Personnel files (applicant) Letters of recommendation Active + 4 years
Personnel files (applicant) Promotion authorization Active + until retirement or death
Personnel files (applicant) Resumes Active + 4 years
Personnel files (applicant) Transcripts Active + 4 years
Personnel files (compensation) Attendance Records Active + 4 years
Personnel files (compensation) Contracts Active + until retirement or death
Personnel files (compensation) Garnishments Active + 4 years
Personnel files (compensation) Payroll deductions Active + 4 years
Personnel files (compensation) Time sheets Active + 4 years
Personnel files (compensation) W-2 form Active + 4 years
Personnel files (compensation) W-4 form Active + 4 years
Personnel files (compensation) Wage or salary history Active + 4 years
Personnel files (confidential) Background investigation results Active + 4 years
Personnel files (confidential) Beneficiary designation Active + 6 years
Personnel files (confidential) Disability records Active + 6 years OR

(Where a charge or lawsuit is filed, all relevant records must be kept until "final disposition.")
Personnel files (confidential) Employment physical examinations Active + 4 years
Personnel files (confidential) FMLA records Active + 6 years
Personnel files (confidential) I-9 form and documents Active + 4 years
Personnel files (confidential) Medical records Active + 6 years
Personnel files (education/training) Education assistance Active + 6 years
Personnel files (education/training) Horizontal advancement documents (faculty only) Active + 4 years
Personnel files (education/training) Training certificates of completion Active + 4 years
Personnel files (misc) Acknowledgement forms Active + 4 years
Personnel files (misc) Correspondence Active + 4 years
Personnel files (misc) Emergency contacts Active + 4 years
Personnel files (misc) Employment history Active + until retirement or death
Personnel files (misc) Layoff / termination notice Active + until retirement or death
Personnel files (performance) Course evaluation forms Active + 4 years
Personnel files (performance) Disciplinary warnings / actions Active + 4 years
Personnel files (performance) Employee evaluations Active + 4 years
Personnel files (performance) Faculty committee evaluation reports Active + 4 years
Personnel files (performance) Peer review documents Active + 4 years
Personnel files (performance) Scholastic evaluation Active + 4 years
Personnel files (performance) Tenure records Active + 4 years
Policies and Procedures Manuals Permanent
Policies and Procedures Manuals (File of revisions - dated) Permanent
Safety Accident reports Active + 30 years
Safety Employee injury records Active + 30 years
Safety Workman’s compensation Active + 30 years
Training Training programs 4 years
Unemployment Unemployment claims 4 years

 

INSTITUTIONAL ADVANCEMENT
RECORD TYPE DOCUMENT RETENTION PERIOD
Foundation / Institutional publications Alumni newsletters 3 years
Foundation / Institutional publications Alumni directories 3 years
Foundation / Institutional publications Foundation board minutes Permanent
Grants Applications 5-7 years determined by grant
Grants Awards 5-7 years determined by grant
Grants Amendments to grants 5-7 years determined by grant
Grants Quarterly reports 5-7 years determined by grant
Grants Annual reports 5-7 years determined by grant

 

LEARNING RESOURCE CENTER (LRC)
RECORD TYPE DOCUMENT RETENTION PERIOD
Institutional records Board of Trustees meeting agendas / minutes Permanent
Institutional records College Senate CSB’s Permanent
Institutional records Institutional historical documents (college catalogs, photographs, negatives, yearbooks, media items) Permanent
Institutional records Institutional newspapers / newsletters 1 year for hard copy (central place for historical copies).  Archived copies located in Marketing office.
Institutional records North Central Report of Spoon River College Permanent
Institutional records Spoon River College self-study reports Permanent

 

PLANNING & INFORMATION SERVICES OFFICE
RECORD TYPE DOCUMENT RETENTION PERIOD
Institutional records EEO-6 reports 3 years
Institutional records IDES reports 1 quarter
Institutional records Payroll reports 4 years
Institutional records Unit cost 1 year
Institutional records W2’s 5 years
Institutional records A1’s 2 years on mainframe
Institutional records E1’s 3 years on mainframe
Institutional records RAMP 2 years on PC hard drive
Institutional records S2, S6, S7 3 years on mainframe
Institutional records Mid-term rosters 6 years (including current fiscal year) in hard copy format

 

PRESIDENT’S OFFICE
RECORD TYPE DOCUMENT RETENTION PERIOD
Institutional records Minutes of Board of Trustee meetings Permanent

 

STUDENT SERVICES OFFICE
RECORD TYPE DOCUMENT RETENTION PERIOD
Application materials for students who enter Applications Permanent
Application materials for students who enter Entrance exams & placement scores Permanent
Application materials for students who enter Course catalogs Permanent
Application materials for students who enter High School transcripts Permanent
Application materials for students who enter College transcripts & evaluation Permanent
Applications for students who are accepted but do not enter Applications 1 year after application term
Applications for students who are accepted but do not enter Transcripts 1 year after application term
Financial aid records Applications   3 years from last day of award year for which the aid was awarded
Financial aid records Financial aid awards and reports 3 years from last day of award year for which the aid was awarded
Financial aid records Loan Records 3 years from last day of award year
Individual student records Course add / drop slips 1 year
Individual student records Registration forms 1 year
Individual student records Transcript requests 1 year
Individual student records FERPA requests 1 year
Individual student records Academic records Permanent
Individual student records Advanced placement 5 years after date of last attendance
Individual student records Application for graduation 1 year after date of last attendance
Individual student records Foreign student (I-20) forms 5 years after date of last attendance
Individual student records Date of graduation / degree award Permanent
Individual student records Degree audit records 5 years after date of last attendance
Individual student records Transfer credit evaluations Permanent
Individual student records Personal data forms 1 year after date of last attendance
Individual student records Name change authorizations 5 years after date of last attendance
Individual student records Student athlete records / letters of interest 2 years after last day of attendance
Individual student records Student conduct records / adjudication documents 2 years after last day of attendance
Individual student records Student disability records / Intake and accommodation documents 5 years after date of last attendance
Misc. Student Records Student written complaints 1 year
  1. All admissions and financial aid documents are stored electronically.
  2. Retention of electronic mail (Email): To comply with federal and state laws, Spoon River College retains all incoming and outgoing email received on the College’s email system for a period of three years.  The emails older than three years will be automatically purged (deleted) from the system with no exceptions. This includes inbox and all the folders in the user account.Each office / department is expected to save any emails into a different format or removable media that must be retained beyond three years in order to comply with the federal, state or local laws, directives or for any other reasons.