4.10 Record Retention and Disposal Policy

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:

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

All admissions and financial aid documents are stored electronically.
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.