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California State University - Los Angles Appendix 8.6.RECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE

Record Series

Identifier Record Series Name

1.0

Record Identifier Record Title

Custodian of Records Retention Source Authority Retention Period

O F L H V

1.1 Personnel Files - Typical Documents*:

29 U.S.C. Section 201-21929 CFR Section 1627.3 or28 U.S.C. Section 1658

See 1.1, 1.2 and 1.3 below for retention periods based upon type of separation

Employment Applications1

HRM - Workforce Planning Mgr./AA - all Departments X X " " " "

Resume/faculty biography

HRM - Workforce Planning Mgr./AA - all Deans X X " " " "

Appointment letters

HRM - workforce Planning Mgr./AA - all Deans X X " " " "

Required state forms (e.g., Oath of Allegiance, Designation of Person Authorized to Receive Warrants)

HRM - Workforce Planning Mgr. X X " " " "

Other new hire paperwork

HRM - Workforce Planning Mgr./AA - all Deans X X " " " "

Position descriptions

HRM - Mgr. Comp/Class, Benefits/AA - all Deans X X " " " "

Personal data information and changes, including name, address, education level (e.g., Request for Nondisclosure of Employee Address)

HRM - Workforce Planning Mgr. X X " " " "

Employee Personnel Transaction forms and supporting documentation for actions such as reclassification, reassignment, promotion/demotion, timebase changes, etc. (e.g., Employee Transaction forms, including CSU Personnel/Payroll Transaction and Student Employment Payroll Transaction forms)

HRM - Workforce Planning Mgr./ Payroll - Payroll Manager/AA - all Deans X X X " " " "

Court procedures (e.g., Notice of Judgment Against Wages)

HRM/Payroll - Payroll Manager/ Chancellor's Office University Counsel X X " " " "

Employee benefit enrollment and change documentation. Benefits include health and welfare programs, voluntary programs, retirement programs, and tax savings programs.

HRM - Mgr. Comp/Class, Benefits X X X " " " "

Permanent status lettersHRM - Workforce Planning Mgr. X X " " " "

Memoranda or letters of praise, counseling or reprimand

HRM - Workforce Planning Mgr./AVP /AA - all Deans X X " " " "

Notices of training completedHRM - Workforce Planning Mgr. X X " " " "

PERSONNEL/PAYROLLRecord Value:O - Operational

F - FiscalL - Legal

H - HistoricalV - Vital

Record Series


1.0



O F L H V


F - FiscalL - Legal


Performance evaluations (e.g., Student Performance Report)

HRM - AVP/AA - all Deans/Depts. X X " " " "

Salary adjustment documentationHRM - Workforce Planning Mgr. X X X " " " "

Separation forms and resignation letters (including FERP/Rehired Annuitant)

HRM - Workforce Planning Mgr./AA - all Deans X X X " " " "

Emergency contact informationHRM - Workforce Planning Mgr. X X " " " "

Other job-related personnel recordsHRM - Workforce Planning Mgr. X " " " "

Final disciplinary records, in accordance with collective bargaining agreement

HRM - AVP/AA - Faculty Affairs X X " " " "

1.2

Personnel Files for Separated Employees for the following Separation Types

Deceased

HRM - Mgr. Comp/Class, Benefits/AA - all Deans X X

29 U.S.C. Sections 201-21929 C.F.R. Section 1627.3

3 years after separation from CSU

Voluntary resignation (without fault)

HRM - Workforce Planning Mgr./AA - all Deans X X



Voluntary service retirement

HRM - Mgr. Comp/Class, Benefits/AA - all Deans X X



Rejection during probation HRM - AVP X X29 U.S.C. Sections 201-21929 C.F.R. Section 1627.3


End of temporary employment

HRM - Workforce Planning Mgr./AA - all Deans X X



1.3


Disability Retirement

HRM - Mgr. Comp/Class, Benefits X X 28 U.S.C. Section 1658

5 years after separation from the CSU or final payment, whichever is later

Disability Separation

HRM - Mgr. Comp/Class, Benefits X X 28 U.S.C. Section 1658

5 years after separation from the CSU or final payment, whichever is later

1.4


AWOL HRM - AVP X X 28 U.S.C. Section 16585 years after separation from CSU

Layoff HRM - AVP X X 28 U.S.C. Section 16585 years after separation from CSU

Non-retention (MPP Only) HRM - AVP X X 28 U.S.C. Section 16585 years after separation from CSU

Record Series


1.0



O F L H V


F - FiscalL - Legal


Resignation with fault HRM - AVP X X 28 U.S.C. Section 16585 years after separation from CSU

Involuntary Termination/DismissalHRM - AVP/AA - all Deans X X 28 U.S.C. Section 1658


1.5Employment Records NOT to be Kept in Personnel File

The following records should not be kept in the employee's personnel file because of privacy concerns or to prevent claims that others' access to certain information could expose an employee to retaliation:

1.6

Verification of right to work in the U.S. (e.g., Form I-9, Foreign National Information form)

HRM - Faculty Affairs X X 8 U.S.C. Section 1324a

3 years or 1 year after termination of employment, whichever is longer

1.7EEOC Charge of Discrimination and related documents

HRM - Equity and Diversity Specialist /Chancellor's Office X X 29 C.F.R. Section 1602.14


1.8DFEH Charge of Discrimination and related documents



1.9Workers' Compensation claims and related documents

HRM - Workers' Compensation Coordinator/ Payroll - Payroll Manager X X X

8 California Code of Regulations Section 10102

5 years after date of injury or date on which Workers' Compensation benefits were last provided, whichever occurs later. However, cases involving Permanent Disability should be kept permanently.

1.10

Return to Work documentation (May be either NDI (Nonindustrial Disability Insurance) or Workers' Compensation related)

HRM - Workers' Compensation Coordinator/Mgr. Comp/Class, Benefits X X 28 U.S.C. Section 1658

5 years after date of illness/injury or date on which benefits were last provided, whichever occurs later. If NDI converts to a Workers' Compensation claim, defer to Workers' Compensation claims and related documents retention period.

1.11

Unemployment records held by the campus (not the files of the Third-Party Administrator, which serves as the official Custodian of Records)

HRM - Workforce Planning Mgr./Third-Party Administrator X X

26 C.F.R. Section 301.6501(e)-1

Most unemployment tax records should be kept for at least 6 years.

1.12

Social Security, and Medicare Tax Records (e.g., deduction records for Social Security and Medicare)

HRM/Payroll - Payroll Manager/State Controller's Office X X X 26 U.S.C. Sections 3101-3128

Most social security and Medicare tax records should be kept for at least 4 years after the tax is due or paid, whichever occurs later.

Record Series


1.0



O F L H V


F - FiscalL - Legal


1.13American with Disabilities Act claim documentation



1.14

Medical information protected by the California Confidentiality of Medical Information Act

HRM - Mgr. Comp/Class, Benefits X 28 U.S.C. Section 1658

At least 4 years from the date of the document

1.15

Survey of ethnic or disabled or veteran status for reporting and recordkeeping purposes (e.g., data CSU is required to collect from the employee for state/federal agencies)

HRM - Equity and Diversity Specialist / Chancellor's Office X X 28 U.S.C. Section 1658


1.16

Any information that may be alleged to be defamatory (Campuses may consult with their campus counsel when determining whether a document contains defamatory information).

HRM - AVP; Equity and Diversity Specialist /Chancellor's Office X X X 28 U.S.C. Section 1658


1.17 Any information that is not job-related HRM - AVP X 28 U.S.C. Section 1658At least 4 years from the date of the document

1.18

Any documents related to grievances, faculty status disputes, litigation or complaints, both formal and informal (e.g., non-litigation settlement agreements)

HRM - AVP/AA - Faculty Affairs/ Chancellor's Office/University Counsel X X 28 U.S.C. Section 1658

Keep at least 5 years after separation from the CSU, or 5 years after resolution of matter, whichever is later.

1.19

Health Insurance Portability and Accountability Act (HIPAA) documentation (e.g., forms CSU is required to have employees sign regarding privacy, disclosure of personal health information)

HRM - Mgr. Comp/Class, Benefits/ Chancellor's Office X X 45 C.F.R. 164.530(j)(2)

At least 6 years from the date the document was created or was last in effect.

1.20 Whistleblower documentation

President's Office - Internal Auditor/ Chancellor's Office X

By analogy to the provisions of the Sarbanes-Oxley Act of 2002 (Section 802) regarding records retention (17 CFR 210)

7 years after the conclusion of the investigation

1.21Pay Related Records - Typical Documents*:

Records of hours worked (e.g., Time and Attendance Report, Monthly Attendance Summary, Student Assistant Attendance Report, Student Time Voucher and timesheets, Student Attendance Reporting Spreadsheet, Miscellaneous Payroll/Leave Actions)

HRM/Payroll - Payroll Manager X X X

29 U.S.C. Sections 201-209 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2)28 U.S.C. Section 1658 4 years

Leave accrual and usage recordsHRM/Payroll - Payroll Manager X X X


Record Series


1.0



O F L H V


F - FiscalL - Legal


Employee leave recordsHRM/Payroll - Payroll Manager X X X


Authorization for compensating time offHRM/Payroll - Payroll Manager X X X


Authorization for extra hours/Overtime documentation (e.g., Report of Extra Hours to be Paid)


29 U.S.C. Sections 201-209 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2)28 U.S.C. Section 1658CA Business & Profession Code Section 17200 4 years

Records of additions to or deductions from wages (e.g., Pay Adjustment Request, Payroll Adjustment Notice, Report of Extra Hours to be Paid, Salary Garnishment, Dock)



Work schedulesHRM/Payroll - Payroll Manager X X


Withholding documentation, (e.g., Employee Action Request form, Student Payroll Action Request form, Statement Concerning Your Employment in a Job Not Covered by Social Security)

HRM - Workforce Planning Mgr./Payroll - Payroll Manager X X X


W-4 forms (EAR)HRM - Workforce Planning Mgr. X X X

Continuing Education of the Bar, Advising California Employers (2d ed. 2004), Section 8.7726 C.F.R. Sections 31.6001-1 to 31.6001-6

As long as the documents are in effect plus 4 years

Record Series


1.0



O F L H V


F - FiscalL - Legal


W-2 forms returned by Post Office (can also order from the State Controller's Office)


Revenue and Taxation Code Section 19704

Most income tax documents should be kept for at least 6 years.

Income tax records (e.g., fee waiver tax liability and domestic tax liability forms, including Nonresident Alien Employee Federal Income Tax Withholding Authorization)

HRM/Payroll - Payroll Manager/State Controller's Office X X

Revenue and Taxation Code Section 19704

26 C.F.R. Section 301.6501

Most income tax documents should be kept for at least 6 years.

A 15-year records retention period may be necessary in cases where the Internal Revenue Service will undertake a collection action.

Miscellaneous pay related documents (e.g., Proof of Lost or Destroyed Payroll Warrant and Request for Issuance of Duplicate Warrant, Request for Duplicate Controller's Warrant/Stop Payment, Request for University Check (State Revolving Fund), Payroll Exceptions Report)

HRM/Payroll - Payroll Manager/State Controller's Office X X

Miscellaneous statutes including, but not limited to, 29 U.S.C. Sections 201-209 Unemployment Insurance Code Section 1085 (22 California Code of Regulations Section 1085-2)28 U.S.C. Section 1658 4 years

1.22 Conflict of Interest Statements (Form 700)

VPAF - Compliance Officer/ Chancellor's Office X

Government Code Section 81009 7 years

1.23 Family Medical Leave Act (FMLA) Records

HRM - Mgr. Comp/Class, Benefits X X X 29 C.F.R. Section 825.500

At least 3 years from the date of the document or the event, whichever is later.

1.24 Recruitment Records

A recruitment file typically includes applications, resumes, reference checks, writing samples, advertising records, rating sheets and recommendations

HRM - Workforce Planning Mgr./AA -- all Departments X X 29 C.F.R. Section 1602.48

When an applicant has been solicited, recruitment documents should be kept for 3 years (recruitment documents for the applicant hired should be transitioned to the Personnel File).

1.25 Fee Waiver Records

HRM - Mgr. Comp/Class, Benefits/ Chancellor's Office X X X 28 U.S.C. Section 1658

5 years after completion of the classes) for which the fee was waived.

1.26

Employment Retirement Income Security Act Records (ERISA) e.g., Qualified Medical Child Support Orders

HRM/Payroll - Payroll Manager X X

29 U.S.C. Sections 1001-138129 U.S.C. Section 1059

These records should be kept at least 6 years. However, records sufficient in detail to determine benefits due, or that may become due to employees, must be held an indefinite period of time.

Record Series


1.0



O F L H V


F - FiscalL - Legal


Notes: * Typical documents may include a variation of standard State forms.

When “Campus” is referenced as the Custodian of Records, it may also include the Chancellor’s Office acting in its “campus” capacity. When “Chancellor’s Office” is referenced as the Custodian of Records, it is being referenced in its CSU systemwide capacity.

1 Please refer to Coded Memorandum HR 2007-11 (http://www.calstate.edu/HRAdm/pdf2007/HR2007-11.pdf) for further information regarding the "Internet Applicant Rule." CSU's Record Retention policy of 3 or 5 years, depending upon the type of separation, exceeds the 2-year period required by the Office of Federal Contract Compliance Programs (OFCCP) regulations. Accordingly, these records should be retained pursuant to CSU's Record Retention policy.

California State University - Los AngelesRECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE

Record Series

Identifier Record Series Name2.0 FISCAL RECORDS

Record Identifier Record Title Custodian of Record Retention Authority Retention Period

O F L H V

CASH RECEIPTS

2.1 Cash adjustments/correctionsDirector of Student Financial Services X X

2.2Deposits, periodic statements of balance, canceled checks and reconciliation documentation

Director of Student Financial Services / University Controller X X

Section 103, Sarbanes-Oxley Act Cash receipt kept for seven (7) years.

2.3 Monthly Balancing

Director of Student Financial Services / University Controller X X Cash receipt kept for seven (7) years.

BUDGET DOCUMENTS

2.4 Allocations AVP Adm and Finance X X Budget ActSeven(7) years from the end of fiscal period.

2.5 Annual Plan AVP Adm and Finance X X Budget ActSeven(7) years from the end of fiscal period.

2.6 Final Budget Submission AVP Adm and Finance X X Budget ActSeven(7) years from the end of fiscal period.

2.7 Special Reports AVP Adm and Finance X X Budget ActSeven(7) years from the end of fiscal period.

CASH/VOUCHERS

2.8 Cash Deposit Vouchers (including deposit slips)

Director of Student Financial Services / University Controller X X

Section 103, Sarbanes-Oxley Act Cash receipt kept for seven (7) years.

2.9Cash Receipts (includes receipts for fees, permits, etc.)

Director of Student Financial Services X X

Section 103, Sarbanes-Oxley Act

Seven (7) years from the end of the fiscal period from which audit records are derived

2.10 Daily Cash Receipts Log/RegisterDirector of Student Financial Services X X



2.11Encumbrance Vouchers (orders, statements, change orders, etc.)

Director of Student Financial Services X X



2.12 General Journal Vouchers University Controller X XSection 103, Sarbanes-Oxley Act


DISBURSEMENTS/AP (not including financial aid)

2.13Expenditure voucher (invoice, fee refund, travel expense reports, utility bill, dishonored checks, etc.) University Controller X X



2.14 Procard statement (and supporting documentation) University Controller X XSection 103, Sarbanes-Oxley Act


2.15 Vendor data records University Controller XSection 103, Sarbanes-Oxley Act


JOURNALS or REGISTERS

2.16 CashDirector of Student Financial Services X X

Section 103, Sarbanes-Oxley Act Permanent

2.17 DisbursementsDirector of Student Financial Services X X



2.18 Warrants Register University Controller X XSection 103, Sarbanes-Oxley Act


LEDGERS

2.19 Accounts Payable Ledgers University Controller X XSection 103, Sarbanes-Oxley Act


2.20 Accounts Receivable Ledgers University Controller X XSection 103, Sarbanes-Oxley Act


2.21 General Ledgers University Controller X XSection 103, Sarbanes-Oxley Act


MISCELLANEOUS University Controller2.22 Tax returns University Controller X X IRS Section 26 CFR Part 301 Six (6) years.

2.23 Travel Request Approval University ControllerSection 103, Sarbanes-Oxley Act


2.24 Trust Agreements University Controller XSection 103, Sarbanes-Oxley Act


PROCUREMENT and CONTRACTS

2.25

Procurement contracts / purchase orders / interagency agreements / memorandum of understanding (includingall attending documents including successful bid response, bonds, requisitions, affidavits, bid sheets, receiving reports, etc.) Director of Procurement X Education Code 89045

Until audit or 5 years after completion /termination, whichever occurs first. If record is subject to audit during the first 2 years of retention, retain for a total of 2 years from the end of the fiscal year in which encumbrance is liquidated.

2.26 Real property leases, licenses and rental agreements Director of Procurement X Education Code 89045 7 years after termination of agreement2.27 Bid documents, unsuccessful Director of Procurement X Education Code 89045 5 years

Record Value:O - OperationalF- FiscalL- LegalH - HistoricalV - Vital

1


Record Series

Identifier Record Series Name2.0 FISCAL RECORDS

Record Identifier Record Title Custodian of Record Retention Authority Retention Period

O F L H V

Record Value:O - OperationalF- FiscalL- LegalH - HistoricalV - Vital

2.28Non-procurement-related contracts executed on behalf of the University Director of Procurement X Education Code 89045

3 years after ending term of the agreement

PROPERTY (LAND, BUILDINGS & IMPROVEMENTS OTHER THAN BUILDINGS)(See XXXXX schedule)

PROPERTY (EQUIPMENT)

2.29 Disposal University Controller X XSeven(7) years from the end of fiscal period.

2.30 Inventory University Controller X XSeven(7) years from the end of fiscal period.

REPORTS

2.31 FIRMS submissions University Controller X X XSection 103, Sarbanes-Oxley Act


2.32 GAAP Financial Statements University Controller X XSection 103, Sarbanes-Oxley Act


2.33 IPEDS Financial Report University Controller X

2

California State UniversityRECORDS/INFORMATION RETENTION AND DISPOSITION SCHEDULE

Record Series


3.0


Custodian of Records

Retention Source Authority Retention Period

O F L H V

3.1Hazardous Materials Shipping Papers - Shipper requirements

Procurement Director X

49 CFR §§ 172.201(e), 174.24, 176.24, 177.817(f)

2 years after the material is accepted by the initial carrier

3.2Hazardous Materials Shipping Papers - Receiver requirements

Procurement Director X

49 CFR §§ 172.201(e), 174.24, 176.24, 177.817(f) 1 year

3.3 Hazardous Waste Shipping papersChemical Safety Officer X

49 CFR §§ 172.201(e), 174.24, 176.24, 177.817(f)

3 years per 22 CCR 66262.40(9), 66264.71 (b) (6) (CSUF)

3.4 Hazardous Waste Facility InspectionsChemical Safety Officer X

22 CCR 66364.15 (d) (CSUF) 3 years

3.5 Hazardous Waste ManifestsChemical Safety Officer X

CCR Title 22 §66262.40(a) and 66264.71(b)(6) 3 Years

3.6Medical Waste Generator Records - Small Quantity Generators

Biological Safety Officer X CA HSC 117975 2 years

3.7Medical Waste Generator Records - Large Quantity Generators

Biological Safety Officer X CA HSC 117975 3 years

3.8 Environmental Remediation RecordsRM/EHS Director X

40 CFR, CCR Title 22, 23, 25, 27 (CSUF) 10 Years

3.9IH Equipment Records: purchase, repair, and calibration

RM/EHS Director X CSU Best Practice

Purchase and Repair Records - Duration of Equipment. Calibration Records - Permanent

3.10 Exposure Monitoring Data EHS Director XCCR Title 8 §3204 (b)(2 )& (d)(1)(b) Permanent

3.11

Medical Monitoring, such as those required for the hearing conservation program, respiratory protection, and asbestos and lead specific requirements. Typically comes as a confirmation/permission from a doctor.

SHC Director & Health & Safety Coordinator X CCR Title 8 §3204 (d)(1)(a)

30 years after the separation of the employee

3.12

Personal Exposure Monitoring (Associated with employee exposure to toxic substances or harmful physical agents).

RM/EHS Director X CCR Title 8 §3204 (d)(1)(b)


3.13

Radiation & Dosimetry Exposure Reports. Typically comes as a confirmation/permission from a doctor.

Radiation Safety Officer X X 10 CFR 20.2106


3.14Radioactive Material historical inventories; storage and use locations

Radiation Safety Officer X X 17 CCR 30293

Originals 3 Years after the transfer or disposal of the radioactive source

3.15Radioactive Material License and Amendments

Radiation Safety Officer X X 17 CCR 30194

Originals 30 Days after expiration

Record Value:O - Operational

F - FiscalL - Legal


ENVIRONMENTAL HEALTH & SAFETY

1


3.0




O F L H V


F - FiscalL - Legal



3.16Radioactive Material, Laser, and Controlled Substance Use Authorizations

Radiation Safety Officer X X

CSUF APM 527, 526; ANSI Z 136.1 Permanent

3.17 Agency Inspection Records RM/EHS Director X

40 CFR, CCR Title 22, 23, 25, 27 (CSUF)

3-5 years - dependent upon the agency

3.18 Confined Space Entry PermitsHealth & Safety X CCR Title 8 §5157(e)(6) 1 year

3.19 Pesticide Monthly Use ReportsFacilities Director X CCR Title 3 §6624 (f) 2 years

3.20 CPR Training RecordsSHC Director & Public X CSU Best Practice 1 year

3.21 Defensive Driver Training

Risk Management Analyst X

SAM MM07-05 CSU Use of University and Private Vehicles Policy Guidelines pp4-5 4 years

3.22 First Aid training recordsSHC Director & Public X 29 CFR 1910.1030 3 years

3.23 Hazardous waste training recordsRM/EHS Director X CCR Title 22 §66264.16 (e)

As long as employee remains at the facility or for three years following departure.

3.24Employee training records, excluding hazardous waste training records

RM/EHS Director X CCR Title 8 3 years

3.25 Student training recordsAcademic Affairs (Dept. X CSU Best Practice 3 years

3.26 Injury Reports (OSHA 300, 301, 300A)

Health & Safety Coordinator X X CCR Title 8 §14300.33(a)

5 years following the end of the calendar year the records cover

3.27 Injury Reports reported to PolicePublic Safety Director X CSU Best Practice 7 years

3.28 Air Pollution Control District requirementsRM/EHS Director X

Local APCD rules - citation numbers are dependent on the district 5 years

3.29 Respirator Fit Test Records

Health & Safety Coordinator X CCR Title 8 §5144(m)(2)(B)

Until next fit test is administered. Fit tests are required annually.

3.30Employee Tenant Asbestos Notifications (annual notification)

RM/EHS Director X CCR Title 8 §1529(n)(6)

As Long as the Asbestos Containing Material (ACM) is in the building

3.31Water quality data under Sanitary Sewer Permit

Facilities Director X

Non-industrial wastewater discharge permit issued by city 3 years

3.32Water quality data under Regional Water Quality Control Board Orders

RM/EHS Director X

Waste Discharge Order No. R3-2003-035 Not Specified

3.33 Hazardous Waste Exception ReportRM/EHS Director X

Title 22, CCR § 66262.40(b) 3 years

3.34 Biennial ReportRM/EHS Director X

Title 22, CCR § 66262.40(b) 3 years

3.35Laboratory analysis results for hazardous waste determinations

Chemical Safety Officer X

Title 22, CCR § 66262.40(c) 3 years

2


3.0




O F L H V


F - FiscalL - Legal



3.36 Employee "pull" notices (DMV Reports)Risk Management X CVC 1808.1 (CSUF) 4 years

3.37 Regulatory Agency required plansRM/EHS Director X

40 CFR, CCR Title 22, 23, 25, 27 (CSUF) 3 years

3.38 Regulatory Agency permitsRM/EHS Director X

Title 25: 40510 & 44344; Title 22, 23, 27 (CSUF) 3 years

3.39 IIPP periodic inspection recordsRM/EHS Director X X CCR, Title 8, 3202 (b)(1) 1 year

3.40 Asbestos survey recordsRM/EHS Director X X 40 CFR, Part 763 Life of the building

3.41 Lead inspection/risk assessment recordsRM/EHS Director X X CCR, Title 17, 36000 (b)

Required: 3 years Recommended: Life of the building.

3


1

Record Series


4.0 STUDENT RECORDS

RecordIdentifier Record Title



O F L H V

4.1 Admissions and Academic Records

Based on "American Association of Collegiate Registrars and Admissions Officers (AACRAO)" ©2000 Edition, unless otherwise indicated.

Notes:

4.1.1Academic action authorizations (dismissal, etc.) Registrar X AACRAO

5 years after graduation or date of last attendance

Admission Records for Students who do not enroll shall be retained for 1 year after the application term had concluded.


F - FiscalL - Legal


7. FERPA specifically requires institutions to maintain records of requests and disclosures of personally identifiable information except for defined "directory information" and requests from students for their own records. The records of disclosures and requests for disclosures are considered part of the students' educational records; therefore, they shall be retained as long as the education records

6. Although student records created and maintained by medical and dental schools are usually narrative assessments of academic progress or clinical practice, for purposes of this retention schedule, such records are in the same category as the academic record.

5. Immigration and Naturalization Service states that the school shall keep a record used to comply with the reporting requirements for at least one year. Since many items included in foreign students' records are to be retained for at least five years, INS documentation

1. The retention periods below are based on the following: a. The forms are maintained in individual student folders and are retained no longer than five years after graduation or date, term, or semester and year of last attendance. b. Uniform retention periods allow for the destruction of the entire folder which will save considerable sorting.

8. FERPA states that letters of recommendation not accompanied by waivers and retained beyond their intended use may be viewed by the student. Therefore, these letters shall be destroyed after admission of the student. Waivers of rights of access filed with letters of

2. The three-year retention periods noted should begin with the date of graduation or the date of last attendance, or the end of the term,

11. With regard to “records bundling”, where individual records/documents are not electronically identifiable within a “file”, campuses should adapt the following “interim” practice(s) a. Until such time as retrospective un-bundling can be accomplished, records should be destroyed as soon as the longest non- permanent retention period for any record within the “record/file” has expired. b. Effective no later than January 1, 2010, campuses should index records such that individual records are electronically separable from one another, i.e. files containing more than one record/document should be indexed in a manner that permits the identification, disposition or destruction of individual records/documents independently so that the applicable schedule for each record type can be followed. c. Retrospective indexing of records, which are currently electronically inseparable should be completed as soon as it is possible and cost- effective to do so. d. When retrospective indexing of currently inseparable records is accomplished, the requirements of the Information and Disposition

10. Records for applicants who do not enter are not covered by FERPA.

9. Whenever the retention period is the life of the affected record, the retention period of the FERPA document is meant to be the same as that of the student records to which it pertains: students waivers of rights to access to letters of recommendation, for example, should be retained until terminated or the letters themselves are destroyed. If the retention period for a record to which a FERPA document pertains is permanent, the FERPA document should also be permanently retained and a back-up copy shall be stored

4. Educational institutions which participate in federal, state, and private programs of low-interest loans to students shall retain student records of admission and placement for five years after graduation or withdrawal. In the event of an open audit, records shall be retained until all questions are resolved.

3. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace.


2

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.1.2

Academic records (including narrative evaluations, academic petitions, competency assessments, etc.) Registrar X X AACRAO Permanent

4.1.3 Acceptance lettersDirector of Admissions X AACRAO


4.1.4 Advancement to Candidacy Registrar X X CSU Business Practice Permanent

4.1.5Application for Admission (or Readmission)

Director of Admissions X AACRAO


4.1.6 Applications for graduation Graduation X AACRAO1 year after graduation or date of last attendance

4.1.7 Audit authorizations Registrar X AACRAO1 year after date submitted

4.1.8Change of grade forms (update documents) Registrar X X AACRAO Permanent

4.1.9 Changes of course (add/drop) Registrar X AACRAO1 year after date submitted

4.1.10 Class schedules (students) Registrar X AACRAO1 year after graduation or date of last attendance

4.1.11Credit/No Credit Approvals (audit, pass/fail, etc.) Registrar X AACRAO


4.1.12 Correspondence, relevant Registrar X AACRAO5 years after graduation or date of last attendance

4.1.13 Curriculum Change Authorizations Registrar X AACRAO5 years after graduation or date of last attendance

4.1.14 Degree audit records Graduation X AACRAO5 years after graduation or date of last attendance

4.1.15

Documentation for Credit by examination reports/scores (e.g., Advanced Placements, CLEP, PEP) Registrar X AACRAO


4.1.16

Documentation for Credit for demonstrated prior learning, knowledge, or skills based on experience. N/A X AACRAO


4.1.17

Documentation for Credit for formal instruction in non-collegial settings (military learning and ACE recommended credits)



4.1.18 Enrollment verifications Registrar X AACRAO 1 year after verification

4.1.19

Entrance examination, placement test, and other test scores (e.g., ASSET, Compass, Accuplacer, GRE/MAT, etc.)

Director of Admissions for entrance exam/ testing offices for placement test/ deans of colleges for other tests X AACRAO



3

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.1.20 Fee assessment forms

Director of Student Financial Services X AACRAO


4.1.21 FERPA documentsLegal Counsel X X AACRAO

FERPA specifically requires institutions to maintain records of requests and disclosures of personally identifiable information except for defined "directory information" and requests from students for their own records. The records of disclosures and requests for disclosures are considered part of the students' educational records; therefore, they shall be retained as long as the education records to which they refer are retained by the institution.

4.1.22 Grade reports (registrar's copies) Registrar X AACRAO1 year after date submitted

4.1.23 Graduation authorizations Registrar X AACRAO5 years after graduation or date of last attendance

4.1.24 Hold or encumbrance authorizationsAll departments X X AACRAO Until released

4.1.25 Letters of recommendationDeans, Colleges X AACRAO

Until admitted (See Note 8)

4.1.26 Medical records

Director of Student Health Services X AACRAO


4.1.27 Medical records (Academically based)

Director of Student Health Services X AACRAO

1 year after graduation or date of last attendance

4.1.28 Military DocumentsDirector of Admissions X AACRAO


4.1.29 Name change authorizationsDirector of Admissions X AACRAO


4.1.30 Pass/fail requests Registrar X AACRAO1 year after date submitted

4.1.31 Personal data information formsDirector of Admissions X AACRAO


4.1.32

Program Proposal/Adjustment Request (Graduate, Post-Graduate & Certificate Programs) Registrar X X CSU Business Practice Permanent


4

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.1.33 Readmission formsDirector of Admissions X AACRAO


4.1.34 Recruitment materials

Director of Outreach and Recruitment X AACRAO

May dispose of materials after enrollment

4.1.35 Registration forms Registrar X AACRAO1 year after date submitted

4.1.36Requests and disclosures of personally identifiable information Registrar X X AACRAO Permanent

4.1.37 Residency classification formsDirector of Admissions X 34 CFR 668.24

3 years from end of award year

4.1.38 Social security certificationsDirector of Admissions X AACRAO 1 year after certification

4.1.39Student requests for nondisclosure of directory information Registrar X X AACRAO

Until terminated by the student or permanent

4.1.40

Student waivers for rights of access to see letters of recommendation for admission

Director of Admissions X X AACRAO Until terminated

4.1.41Student's written consent for records disclosure Registrar X X AACRAO


4.1.42 Teacher credential certification records

Dean, Charter College of Education X

State of California, Commission on Teacher Credentialing

7 Years from date of certification

4.1.43 Teacher credential program records

Dean, Charter College of Education X

State of California, Commission on Teacher Credentialing

7 Years from date of last attendance

4.1.44

Thesis/Dissertation/Graduate Comprehensive Exam Records (i.e. Committee Assignment, Extensions, Clearance, etc.)

Deans, Colleges X X CSU Business Practice Permanent

4.1.45 Transcript requests (student) Registrar X AACRAO1 year after date submitted

4.1.46 Transcripts - high schoolDirector of Admissions X AACRAO

5 years after graduation or date of last attendance (See Note 3)

4.1.47 Transcripts - other collegesDirector of Admissions X AACRAO


4.1.48 Transfer credit evaluationsDirector of Admissions X AACRAO


4.1.49 Tuition and fee charges

Director of Student Financial Services X AACRAO


4.1.50Waivers for rights of access- international students

Director of Admissions X X AACRAO


4.1.51 Withdrawal authorizations Registrar X AACRAO2 years after graduation or date of last attendance


5

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.2 Financial Aid RecordsNotes:

4.2.1

Application data submitted to the Dept. of Education or lender by the school on behalf of the student

Director of Financial Aid X 34 CFR 668.24


4.2.2 Audit and review reportsDirector of Financial Aid X 34 CFR 668.24

Until audit/review questions are resolved or until the end of the retention period applicable to the records, whichever is later.

4.2.3Bank statements for accounts containing Student Financial Aid funds



4.2.4Campus-based aid (Perkins loan, SEOG, and Federal Work Study)



4.2.5

Data used to establish student's admission, enrollment status, period of enrollment



4.2.6 Date and amount of disbursementsDirector of Financial Aid X 34 CFR 668.24


4.2.7Documentation of initial or exit loan counseling



4.2.8 Documentation of students eligibilityDirector of Financial Aid X 34 CFR 668.24


4.2.9Documentation of student's program of study and courses enrolled in



4.2.10Documentation of student's satisfactory academic progress



4.2.11

Documentation related to the receipt of aid, such as: amount of grant, loan, Federal Work Study award; and calculations used to determine aid amounts



4.2.12

Documentation supporting the school's calculation of its completion/graduation or transfer-out rate



4.2.13Documents used to verify applicant's data



1. The three-year retention periods noted shall begin with the date of graduation or the date of last attendance, or the term, semester and

3. Educational institutions which participate in federal, state, and private programs of low-interest loans to students shall retain student records of admission and placement for five years after graduation or withdrawal. In the event of an open audit, records shall be retained until all questions are resolved.

2. Educational institutions which participate in federal, state, and private programs of low-interest loans to students shall retain for three years after graduation or withdrawal students' records of academic progress, attendance, and courses studied according to an amendment of the General Education Provisions Act amended by the Improving America's Schools Act of 1994 (Public Law 103-382).

4. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace.


6

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.2.14 Federal work-study payroll recordsDirector of Financial Aid X 34 CFR 668.24


4.2.15 FFEL and Direct Loans:Director of Financial Aid

4.2.16 -Borrower's eligibility recordsDirector of Financial Aid X 34 CFR 668.24

3 years from end of award year or year student last attended, whichever is later

4.2.17 -All other records/reportsDirector of Financial Aid X 34 CFR 668.24

3 years from end of award year or award year report submitted, whichever is later

4.2.18 Fiscal Operation Report (FISAP)Director of Financial Aid X 34 CFR 668.24


4.2.19Ledgers identifying Student Financial Aid transactions



4.2.20

Other records pertaining to financial responsibility and standards of administrative capability



4.2.21 Pell GrantDirector of Financial Aid X 34 CFR 668.24


4.2.22Perkins promissory notes and repayment schedules

Director of Financial Aid X 34 CFR 674.19 Until loan is satisfied

4.2.23 Perkins repayment recordsDirector of Financial Aid X 34 CFR 674.19

3 years from date loan assigned, cancelled, or repaid

4.2.24 Program Participation AgreementDirector of Financial Aid X 34 CFR 668.24


4.2.25 Records of student accountsDirector of Financial Aid X 34 CFR 668.24


4.2.26Records of Student Financial Aid program transactions



4.2.27

Records supporting data on required reports, such as: -Student Financial Aid program reconciliation reports, -Audit reports and school responses, -Pell grant statements of accounts, -Accrediting and licensing agency reports



4.2.28Reports and forms used for participation in the Student Financial Aid program



4.2.29 Self-evaluation reportsDirector of Financial Aid X 34 CFR 668.24


4.2.30 State agency reportsDirector of Financial Aid X 34 CFR 668.24



7

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.2.31The Student Aid Report or Institutional Student Information Record (ISIR)



4.2.32Scholarship Award Determination Materials

Appropriate Department, College, Organization, or Committee X CSU Best Practice

2 years from award determination

4.3 International Student EducationNotes:

4.3.1 Acceptance LetterDirector of Admissions X AACRAO


4.3.2Application for Admission (or Readmission)



4.3.3

Copy of Alien Registration Receipt Card (evidence of admissibility as a permanent resident)

Director of International Programs and Services X AACRAO

No upper limit for international students on student visas. For exchange visitor visas, 3 years after graduation or date of last attendance.

4.3.4Copy of Employment Authorization (Work Permit), if granted



4.3.5

Copy of I-94 Card (document issued to non-immigrants; also known as Arrival-Departure Record)



4.3.6 Correspondence, relevant

Director of Admissions and Director of International Programs and X AACRAO


4.3.7

p scores, Placement test scores and reports, and Other test scores (no entrance exam for undergraduate at CSULA) …1. graduation entrance exam, 2. placement test scores

1. Deans, Colleges, 2. Testing Centers X AACRAO


4.3.8I-20 (certificate of eligibility for F-1 visa status)

Admissions and Director of International Programs and Services X AACRAO


2. Records for applicants who do not enter are not covered by FERPA.

1. Some documents from institutions in other countries may be difficult or impossible for the applicant to replace. Records custodians may want to return these documents to the applicant rather than destroy them.


8

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.3.9 Passport number

Director of Admissions and Director of International Programs and Services X AACRAO


4.3.10Statement of Educational Costs (shows estimate of total school year costs)

Admissions and Director of International Programs and Services X AACRAO


4.3.11

Statement of Financial Responsibility (shows evidence of adequate financial resources)



4.3.12 Transcripts - high schoolDirector of Admissions X AACRAO


4.3.13 Transcripts - other collegesDirector of Admissions X AACRAO


4.4 Student Athlete Records

4.4.1 Academic Eligibility Review FormsDirector of Athletics X Best Practice

6 Years after initial CSU enrollment or 2 years from last enrollment, whichever is longer

4.4.2 Air Travel - Informed ConsentDirector of Athletics X Best Practice


4.4.3 Athlete Physicals/Athletic Injury ReportDirector of Athletics X Best Practice


4.4.4 Athletic Grant-In-Aid AgreementsDirector of Athletics X Best Practice


4.4.5Conference Student-Athlete Sportsmanship Agreement

Director of Athletics X Best Practice


4.4.6Complimentary Admissions for Student-Athletes



4.4.7 Drug-Testing Consent/ResultsDirector of Athletics X Best Practice



9

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.4.8 Historical ReportDirector of Athletics X Best Practice


4.4.9 Letter of Intent - ConferenceDirector of Athletics X Best Practice


4.4.10 Letter of Intent - National Director of Athletics X Best Practice


4.4.11 NCAA Student Athlete StatementDirector of Athletics X Best Practice


4.4.12Promotional Activities & Community Service



4.4.13 Student Host InstructionsDirector of Athletics X Best Practice


4.4.14 Student-Athlete Code of ConductDirector of Athletics X Best Practice


4.4.15 Student-Athlete Employment ApprovalDirector of Athletics X Best Practice


4.4.16 Student-Athlete Financial Aid ReportDirector of Athletics X Best Practice


4.4.17Student-Athlete Insurance information/claims/correspondence



4.5 Student Conduct RecordsNotes: Student Disciplinary Records Exceptions:

1. If student did not complete terms of sanction to return. Records retention requirements will restart once terms of sanction are completed.

8. Student accesses their conduct records, restarts the retention requirement period.7. Student agrees not to enroll as part of an agreement or resolution. Permanently retain records.6. Student is found to be a threat to life, has been found with, or used force with deadly weapons. Permanently retain records.5. Student agrees not to return to campus or grounds, freeze on records and registration. Permanently retain records.4. Records were frozen with registration hold. Records retention requirements will restart once registration hold is lifted.

2. Agreement (e.g. settlement, waiver, contract) with student not to sue in place. Seal records, permanently retain.3. Records to be retained according to a court order for a specified amount of time.


10

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.5.1 Actions warranting Clery ReportingJudicial Affairs Officer X X X 20 USC § 1092(f)

7 years from date of incident

4.5.2 Disciplinary ExpulsionJudicial Affairs Officer X X X Executive Order 970

Permanently noted on transcript. Permanently retain judicial case records.

4.5.3 Disciplinary ProbationJudicial Affairs Officer X X X Executive Order 970

Beginning and end date for the period of time that the probation is in effect is entered on student's transcript. Retain judicial case records seven years from the date the sanction was imposed, extending the period of retention in cases where the student is involved in a subsequent offense.

4.5.4Disciplinary Suspension, longer than one Academic Year

Judicial Affairs Officer X X X Executive Order 970

Permanently noted on transcript. Permanently retain judicial case records.

4.5.5Disciplinary Suspension, up to one Academic Year

Judicial Affairs Officer X X X Executive Order 970

Beginning and end date for the period of time that the suspension is in effect is entered on student's transcript. Retain judicial case records seven years from the date the sanction was imposed, extending the period of retention in cases where the student is involved in a subsequent offense.

4.5.6

Discipline resulting in less severe resolutions than "Disciplinary Probation" and/or do not require notation to student transcript

Judicial Affairs Officer X X X CSU Business Practice

Retain for the remainder of the student’s enrollment at the university or up to five years from the date the matter was resolved, whichever is shorter.

4.6 Student Health Records

4.6.1 Medical records

Director, Student Health Center X AACRAO


4.6.2 Personal data information forms

Director, Student Health Center X AACRAO


4.7 Veteran RecordsNotes: 1. Veteran's Administration (VA) regulations require that all recruitment materials be retained for three years.


11

4.0 STUDENT RECORDS




O F L H V


F - FiscalL - Legal


4.7.1 Veterans administration Registrar X AACRAO

3 years after graduation or date of last attendance certifications

5. The VA requires that all records and computations showing compliance with the requirements of the VA Regulation No. 14201 (the 85-15-percent ration of non-veteran/veteran students for each course) be retained for at least three years. Longer retention will not be required unless a written request is received from the VA not later than 30 dates prior to the end of the thee-year period.

4. The three-year retention periods noted shall begin with the date of graduation or the date of last attendance, or the term, semester and year of last attendance.

3. The VA regulations state that the following records shall be retained for at least three years after termination of enrollment: -Grade reports and/or statements of progress (academic records) -Change of course forms -Transfer credit evaluation -Degree audit records. VA regulations require that all advertising, sales and enrollment materials (e.g., catalogs) used by or on behalf of the institution be retained three years after the termination of a veteran's enrollment. In addition, records of tuition and fees charged to and collected from students, grade reports and statement of progress (academic records), and previous education and training documents (transfer credit evaluations) be retained for three years.

2. VA regulations state that the following student records shall be retained for at least three years after termination of enrollment: -Previous education or training (transcripts from other colleges and source documents for other nontraditional credit). -Evidence of formal admission (acceptance letters). The regulations state that longer retention will not be required unless a written request is received from the General Accounting Office or the VA no later than 30 days prior to the end of the three-year period.


Record Series


5.0


Custodian of Record

Retention Source of Authority Retention Period

O F L H V

5.1 Architecture & Engineering

Project Design & Architectural agreements, amendments, extra services

CSULA/FPC Director X

SUAM Section XII 9832 ; Latent Defects - "CA CCP 337.15"

10 years following issuance of Notice of Completion (of project); Latent Defects

Other project design agreementsCSULA/FPC Director X

SUAM Section XII 9832 ; Latent Defects - "CA CCP 337.15"

10 years following issuance of Notice of Completion (of project)

5.2 Construction Management

Contract Documents [includes construction documents]

CSULA/FPC Director X SUAM Section XII 9832


Other construction agreementsCSULA/FPC Director X SUAM Section XII 9832


AS-BUILTS and Operating & Maintenance Manuals

CSULA/FPC Director X CSU Practice

For the life of the building, facility, or system

5.3 Land Use Planning

EasementsChancellor's Office / CPDC X CSU Practice

Forever while owned by the CSU

Supporting correspondence to easements

Chancellor's Office / CPDC X CSU Practice


Deeds, title policy, PWB resolution authorizing the acquisition; transfer of jurisdiction from DGS to CSU

Chancellor's Office / CPDC X CSU Practice


5.4 Environmental Planning

CEQA DocumentsChancellor's Office / CPDC X X

Statute for 30-day limitation: PRC 21080.5(g) and Section 15075(f) of CEQA

Five years after BOT approval

5.5 Energy

Contracts (All) CSULA/FS Director CSU Practice

10 years from 'Effective Date' or Start Date Originals held by CS&P

Monthly energy reportsCSULA/FS Director X X CSU Practice

Electronically forever while owned by CSU

CAPITAL PLANNING, CONSTRUCTION AND FACILITIES MANAGEMENTRecord Value:O - Operational

F - FiscalL - Legal


1


Record Series


5.0


Custodian of Record


O F L H V


F - FiscalL - Legal


Energy Efficiency Partnership Agreement (06/08)

Chancellor's Office / CPDC X X X Partnership Agreement

10 years From 'Contract End Date' as determined by CPUC Ruling

Energy Efficiency Partnership 06/08 Project Files



Energy Efficiency Partnership Agreement (04/05)



Energy Efficiency Partnership 04/05 Project Files



5.6 Utilities

Utility billsCSULA/FS Director X X

Public Utilities Commission 10 years

5.7 Federal Disaster Assistance

Federal Disaster Assistance recordsCSULA/FPC Director X X

OMB A133; 44CFR 14.1, 14.2 and 206, 207(c); Stafford Act 318 and 705See also: FEMA 322 "Public Assistance Guide" and FEMA Policy Digest

3 years after date of OES letter transmitting FEMA's letter stating project is "Closed", OES letter will state the records are to be kept 3 years and that the Applicant (i.e. campus) is subject to audit during that time.

As-Builts associated with repairs and/or changes made with federal disaster assistance funds

CSULA/FPC Director X CSU Practice

For the life of the building or facility

Federal EPA, State CEQA, Costal Community, etc. documents associated with Federal Disaster Assistance

CSULA/FPC Director X X See CEQA above See CEQA above

5.8 Vehicle RecordsCSULA/FS Director

Vehicle Acquisition - Includes requisitions leases, purchase orders, contracts, quotes

CSULA/FS Director X

Ed Code 89048 / CSU Policy #207 (Contracting and Procurement Model)

5 years from the closing of the vehicle purchase file

Vehicle Maintenance Records - Includes campus and external maintenance, vehicle inspection, equipment modification and accessory purchases

CSULA/FS Director X Ed Code 89031.5

7 years after disposal of vehicle

2


Record Series


5.0


Custodian of Record


O F L H V


F - FiscalL - Legal


Vehicle Operations Records - Includes trip logs, mileage logs, driver approvals, driver usage logs, accident and incident records

CSULA/FS Director X Vehicle Code 24007


Vehicle Disposition - Includes transfer documents, notices to state, sales records, survey records

CSULA/FS Director X

Ed Code 89048 / CSU Policy #601 / 603 (Contracting and Procurement Model)


3


Record Series Identifier

Record Series Name

6.0 University Police




O F L H V

6.1 Daily Activity Records

911 CallsChief of Police X X CSU Practice

30 days active/2years inactive

All incoming calls not classifiedChief of Police X CSU Practice 120 days

ARMSChief of Police X X CSU Practice Indefinitely

CLETS/CORI LogsChief of Police X X

Peace Officers Standards and Training

Destroyed after annual CLETS audit.

Dispatch Telephone RecordingsChief of Police X X CSU Practice 120 Days

RIMS - FelonyChief of Police X X CSU Practice 7 years

RIMS - MisdemeanorChief of Police X X CSU Practice 3 years

Video Camera MediaChief of Police X X CSU Practice 120 Days

Daily Activity LogsChief of Police X X

Peace Officer Standards & Training 2 years

Daily Crime LogChief of Police X X

Crime Awareness & Campus Security Report (Jeanne Clery Act) 90 days

Dispatch LogsChief of Police X X


Evidence Room LogChief of Police X X

Peace Officer Standards & Training Indefinitely

Traffic Citation Book LogChief of Police X X


6.2 Sealed Records

Adult found factually innocentChief of Police X PC 851.8

Mandatory destruction uponand pursuant to Court Order

Adult, Completion of ProgramChief of Police X PC 1203.45


JuvenileChief of Police X

WIC 826(a) 7 (b) WIC 781(A)


6.3 Arrest Reports

Arrest/conviction H&S Sections 11357 (b), (c), (d), (e) or H&S Section 11360(b) violations

Chief of Police X X H&S 11361.5

2 years after date of conviction or arrest if not convicted


F - FiscalL - Legal


1






O F L H V


F - FiscalL - Legal


Arrest/conviction H&S section 11357(e) by a juvenile

Chief of Police X X H&S 11361.5

Record is destroyed when the juvenile attains the age of 18 years old

Arrests - 647(f) DrunkChief of Police X X


Arrests - later termed "detention only" under 849(b) PC

Chief of Police X X


Arrests - violation of local ordinancesChief of Police X X


Felony Arrest Reports - no disposition, no conviction

Chief of Police X X


Felony Arrest Reports reduced to misdemeanors

Chief of Police X X


Misdemeanor Arrests - no disposition, no conviction

Chief of Police X X


Misdemeanor Arrests sex and narcotics violations

Chief of Police X X


Misdemeanor arrests w/convictionChief of Police X X


Citations X X

Citation Transmittals, Adult and JuvenileChief of Police X X CSU Practice 2 years

Parking CitationsChief of Police X X CSU Practice

5 years (Listing of citations forwarded to court, filed for reference)

Traffic CitationsChief of Police X X CSU Practice

2 years (Originals are forwarded to court, includes citations electronically created.)

6.4Crime/Case/Supplemental Incident Reports & Records

Alarm Received RecordsChief of Police X X CSU Practice 6 months

Child abuse & Neglect ReportsChief of Police X X PC 11170(a)(3)

10 years from date of last incident

Citizen Complaint ReportChief of Police X X PC 832.5(b) 5 years

Criminal History Inquiry LogChief of Police X X CSU Practice 3 years

Detective Case Files Detectives X XPeace Officer Standards & Training 5 years

Evidence Disposal RecordsChief of Police X X CSU Practice Indefinitely

2






O F L H V


F - FiscalL - Legal


Evidence / PropertyChief of Police X X CSU Practice Case Active

Evidence - Body FluidsChief of Police X X CSU Practice Active/Minimum 10 Years

Evidence - Audio/VideoChief of Police X X

Peace Officer Standards & Training

Same Retention as Associated Crime Report

Field Interview RecordsChief of Police X X CSU Practice 2 years

Felony Crime Report w/out an arrest - PC Sections 799, 800, 801, 801.5

Chief of Police X X

PC 799, 800, 801, 801.5, 801.6, 802(a), 802(b), and 802(c)

Retention per Statue of Limitation

Felony Crime ReportsChief of Police X X


Felony Crime reports - murder, embezzlement of public monies; kidnapping for ransom, etc., falsification of public records

Chief of Police X X PC 799 Permanent

Misdemeanor Crime ReportsChief of Police X X


Misdemeanor Crime Reports w/out arrest - section PC 799 800, 801, 801.5

Chief of Police X X

PC 799, 800, 801, 801.5, 801.6, 802(a), 802(b), and 802(c)

Retention per Statue of Limitation

Incident Reports (Non-Criminal)Chief of Police X X CSU Practice 2 years

Incident Reports; found property; lost or missing property reports

Chief of Police X X CSU Practice 2 years

Miscellaneous Complaint ReportsChief of Police X X CSU Practice 2 years

Non-criminal OccurrencesChief of Police X X


Offenses where there are no statute of limitations

Chief of Police X X

Peace Officer Standards & Training Permanent

Fingerprint ApplicationsChief of Police X X CSU Practice 2 years

Key Issue LogChief of Police X X CSU Practice Permanent

Lost/Stolen Key ReportsChief of Police X X CSU Practice Indefinitely

NCIC ValidationChief of Police X X CSU Practice 2 years

Officer Involved Shooting ReportChief of Police X X

Peace Officer Standards & Training Permanent

Prisoner Detention LogsChief of Police X X CSU Practice 1 year

3






O F L H V


F - FiscalL - Legal


Property RecordsChief of Police X X CSU Practice 3 years

Restraining OrdersChief of Police X X

Peace Officer Standards & Training Until Expired

State Property Injury ReportsChief of Police X X


Stored/Impounded Vehicle Reports (not associated with arrests)

Chief of Police X X


Supplemental ReportsChief of Police X X CSU Practice Same as parent report

Traffic accident - fatal Chief of Police X X

CSU Police Departments Systemwide Operational Guidelines, Chapter 5 Permanent

Traffic accident report involving felony arrestChief of Police X X


Traffic accident reports - all othersChief of Police X X CHP Recommendation 2 years

UCRChief of Police X X CSU Practice 3 years

6.5 Metrics, Reports, Summaries

Crime StatsChief of Police X CSU Practice 7 years

Monthly Crime ReportsChief of Police X CSU Practice 7 years

SWITRS ReportsChief of Police X X CSU Practice 3 years

Weekly Media LogsChief of Police X CSU Practice

Alarm History FilesChief of Police X X CSU Practice 2 years

Administrative ReviewsChief of Police X X CSU Practice 2 years

Crime Awareness & Campus Security Report (Jeanne Clery Act)

Chief of Police X X Dept. of Education 7 years

CSU Chancellor's Office Statistical ReportChief of Police X X Chancellor's Office Permanent

Uniform Crime ReportingChief of Police X X Dept. of Justice Permanent

6.6 Office and Maintenance Records

Citizen Academy ClassesChief of Police X 3 Years

4






O F L H V


F - FiscalL - Legal


Evidence RecordsChief of Police X X CSU Practice Active

Live ScanChief of Police X X CSU Practice 1 year

Misc Events / PresentationsChief of Police X CSU Practice 3 Years

Property RecordsChief of Police X X CSU Practice 5 Years

RADChief of Police X CSU Practice 3 Years

Radar CalibrationChief of Police X X CSU Practice 1 Year

Range RecordsChief of Police X X CSU Practice Indefinitely

Ride-AlongsChief of Police X CSU Practice 1 Year

Vehicle MaintenanceChief of Police X DGS Recommendation Life of the vehicle

Weapons RecordsChief of Police X X CSU Practice Indefinitely

Work Order Requests/Fiscal/Payroll RecordChief of Police X CSU Practice 3 Years

6.7 Personnel Records

Background Files - Current Employees Chief of Police X XPeace Officer Standards & Training Indefinitely

Background Files - Former Employees Chief of Police X XPeace Officer Standards & Training

5 years after termination of employment

Background Files - Non-hires Chief of Police X XPeace Officer Standards & Training 2 Years

Community Service Assistant Interview Files Chief of Police X X CSU Practice 1 year plus current year

CSA Personnel Files Chief of Police X X CSU Practice 2 years

Internal Affairs FilesChief of Police X X PC 832.5 5 years

Personnel Files - Current EmployeesChief of Police X X


Personnel files - Former EmployeesChief of Police X X



Psych Suitability for Appointment Letter - Current Employees

Chief of Police X X


5






O F L H V


F - FiscalL - Legal


Psych Exams - Current EmployeesChief of Police X X


Greater of 2 years or on completion of probation

Psych Recommendation - Former EmployeesChief of Police X X


Psych Recommendation - Non-hiresChief of Police X X


Recruitment Process RecordsChief of Police X X


Rape & Aggression Defense Course Records

Chief of Police X X CSU Practice 2 years

Training files - current employees (including Peace Officer Standards & Training training)

Chief of Police X X


Training files - former employees (including Peace Officer Standards & Training training)

Chief of Police X X



Training Lesson PlansChief of Police X X


Until superseded by revision or revoked

Training - Range RecordsChief of Police X X


6


Record Series


7.0




O F L H V

7.1Solicitation Campaigns Using Commercial Fundraisers

Director of Advancement Services X X

Government Section 12599.7(a)

10 year retention. Law applies to commercial fundraisers and must be included as a provision of any contract.

7.2Date & Amount of each cash contribution




7.3Date, Amount, Name & Address of each non-cash contributor




7.4Name & Address of each employee or agent involved




7.5Documentation of all revenue received and all expenses incurred




7.6

The account number, name and location of bank or financial institution in which accounts were maintained




7.8

Namings of Colleges, Schools and other Academic Entities, documents supporting approval by the Board of Trustees

Director of Advancement Services X X X Permanent

7.9

Namings Facilities and Properties, documents supporting approval by the Board of Trustees

Director of Advancement Services X X X Permanent

7.1 Donor Profiles

Director of Advancement Services X Permanent

7.11 Substantive Contact Reports

Director of Advancement Services X

Until death of individual or settlement of estate

7.12 Alumni Database

Director of Advancement Services X Permanent

7.13 Affinity Solicitation Opt-Out


Until revoked or death of individual


F - FiscalL - Legal


UNIVERSITY ADVANCEMENT

1


7.0




O F L H V


F - FiscalL - Legal


UNIVERSITY ADVANCEMENT

7.14 FERPA Opt-Out


Until revoked or death of individual

7.15 Policies and Procedures

Director of Advancement Services X

Maintain most current in force. Historical policies and procedures should be retained until university internal audit or four years* whichever comes first.

2

California State UniversityRECORDS/INFORMATION RETENTION and DISPOSITION SCHEDULE

Record Series


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8.1Difference-in-Pay Applications & Responses

Asst VPAA- Academic Personnel X X X 28 U.S.C. Section 1658


8.2

Chancellor's Doctoral Incentive Program/Forgivable Loan Program Applications

Dean of Graduate Studies X X

6 years after loan repayment

8.3Faculty Early Retirement Program Applications and Assignments


5 years after separation from CSU (as a FERP participant)

8.4 Faculty Exchange

Asst VPAA- Academic Personnel X X 28 U.S.C. Section 1658


8.5 Faculty grant recordsDirector of UAS X X X 28 U.S.C. Section 2415(b)

6 years from the end of the grant

8.6 Faculty Merit Increase records



8.7Faculty non-reappointments & tenure denials



8.8 Intergovernmental Personnel Act RecordsAsst VP--HRM X 28 U.S.C. Section 1658


8.9Pre-Retirement Reduction in Timebase Applications and Assignments



8.10 Range elevation appeals



8.11 Retention, Tenure and Promotion Records



8.12Sabbatical Leave Applications & Responses



8.13 Service Salary Increase recordsAsst VP--HRM X X 28 U.S.C. Section 1658


8.14 Student Evaluations of TeachingCollege Dean or Equivalent X 28 U.S.C. Section 1658


8.15 Summer Quarter Triad Records



8.16 Union assigned time records



8.17 Visa and permanent recordsAsst VP--HRM X Public Law 106-313

10 years from the date of issuance


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ACADEMIC PERSONNEL

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Record Series


9.0

Record Identifier Record Title Custodian of Record


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9.1 Catalogs

9.1.1 General catalogDean of Undergraduate Studies X X X CSU Practice permanent

9.1.2 SupplementalDean of Undergraduate Studies X X X CSU Practice permanent

9.2 Class Schedules

9.2.1 Class schedule by term, final version Registrar X X CSU Practice permanent

9.2.2 Periodic reports Assoc Dir, IR X CSU Practice 7 years

9.2.3 APDB reports Assoc Dir, IR X X CSU Practice permanent

9.2.4 FAD reports Assoc Dir, IR X CSU Practice permanent

9.3 Course Related UG/GRAD/DOC

9.3.1Proposals: new degrees programs, courses, and changes

Dean of Undergraduate Studies X X CSU Practice permanent

9.3.2 Official course outline of recordDean of Undergraduate Studies X CSU Practice permanent

9.3.3 Grade rosters Registrar X X CSU Practice 7 years

9.3.4 Grade books Dept Chair X X CSU Practice 7 years

9.3.5Student portfolios (culminating experience project)--held by departments. Dept Chair X X CSU Practice 2 years

9.3.6

Certificates issued by certificate programs (credit-bearing and non-credit bearing programs) Registrar X X X CSU Practice 2 years

9.3.7 Certificates issued by departments Dept Chair X X X CSU Practice 2 years

9.4 Policy Memos Affecting Program Changes

9.4.1 Evaluation approvals Assoc VPAA X X CSU Practice permanent

9.4.2 Academic authorizations Assoc VPAA X X X CSU Practice permanent

9.4.3 Exception memos

Deans--Undergraduate Studies & Graduate Studies X X X CSU Practice permanent

9.4.4 Student academic petitions Registrar X X CSU Practice 10 years

9.4.5 Grade protests Assoc VPAA X X CSU Practice 5 years

9.5 Program Evaluation

9.5.1 Program Review Assoc VPAA X X CSU Practice 2 review cycles

9.5.2 Outcomes Assessment Assoc VPAA X X CSU Practice 2 review cycles

9.6 Academic Calendars Assoc VPAA X X X X CSU Practice permanent

9.7 Master Plan (for Academic Program Plans) Assoc VPAA X X X CSU Practice permanent

9.8 University Accreditation Materials

9.8.1 WASC accreditation records Assoc VPAA X X X CSU Practice 1 review cycle


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CURRICULUM & ACCREDITATION

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9.0

Record Identifier Record Title Custodian of Record


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CURRICULUM & ACCREDITATION

9.8.2 Department Dept Chair X X X CSU Practice permanent

9.8.2 Program accreditation Dept Chair X X X CSU Practice permanent

9.8.3

Records of student complaints (WASC Accreditation Manual p. 18, Guideline associated with Criterion for Review 1.7) Assoc VPAA X X X

2001 WASC Handbook of Accreditation 6 years

Notes:WASC maintains records for us (Page 110):Maintenance of Accreditation Records [§602.15(b)(1)]The Commission maintains for each institution the reports of all accreditation teams, including the last two full accreditation or preaccreditation reviews, including on-site evaluation team reports, interim reports, special visit and fact-finding reports, and theinstitution's formal responses to these reports, and the letters to the institution reporting the Commission's action following eachvisit. In addition, the Commission shall maintain a copy of the institution's most recent self-study report (or Institutional Review), and all decisions regarding the accreditation and preaccreditation of any institution, including all correspondence that is significantly related to those decisions.

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10.1 Administrative & Financial Records (see footnote A) (see footnote D)

10.1.1

All financial records, documentation and reports pertinent to an award (Federal, State, Private)

ORSP Director of Grants & Contracts Administration and University Controller X X X

2 CFR 215.53/ OMB Circular A-110 - subpart C-53

Three (3) years from date of submission of the final report.

10.1.2Supporting documents and statistical records pertinent to a federal, state or private award

ORSP Director of Grants & Contracts Administration and University Controller X X



10.1.3Grants, contracts, and cooperative agreements including funded proposals

ORSP Director of Grants & Contracts Administration X X



10.1.4

Unfunded pre-award files including a copy of the proposal and approvals submitted to the funding agency

ORSP Director of Grants & Contracts Administration X


Hold until proposal is awarded, rejected or withdrawn or 12 months after submission if no action from sponsor.

10.2

10.2.1

For NSF-funded Research: Records of all financial disclosures and of all actions taken to resolve conflicts on interest


NSF Grant Policy Manual - Chapter III section 350 regarding record retention and chapter V Section 510 regarding institutional conflict of interest rules

Three (3) years beyond the termination or completion of the grant to which they related or until the resolution of any NSF action involving those records.

10.2.2

For PHS-funded research which includes all NIH rewards: Records of all financial disclosures and all actions taken by the Institution with respect to each conflicting interest

ORSP Director of Grants & Contracts Administration X X 42 CFR 50.604 - Subpart F

Maintain records of all financial disclosures and all actions taken by the Institution with respect to each conflicting interest for three years from the date of submission of the final expenditures report or, where applicable, from other dates specified in 45 CFR 74.53(b) for different situations.

10.2.3

For research funded by non-governmental sponsors as covered by the California Political Reform Act section 18755, original reports or statements including 700-U forms


California Policy Reform Act paragraph 18755 and California Government Code 81009(e) and CSU policy HR 2005-38

Original reports and statements shall be retained by filing officers for a period of seven years.

10.3

Conflict of Interest Records (see footnote B)

IRB Records (see footnote C)

RESEARCH AND SPONSORED PROGRAMS


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10.3.1

Copies of all research proposals reviewed, including:- scientific evaluations, if any, that accompany the proposals;- approved sample consent documents;- progress reports submitted by investigators; and- reports of injuries to subjects ORAD Director X X

45 CFR 46.115 Protection of Human Subjects, IRB Records

Three (3) years; records that relate to ongoing activities shall be maintained for the duration of the activity and for an additional three years after completion.

10.3.2

Minutes of IRB meetings including: - attendance at the meetings; - actions taken by the IRB;- votes on these actions;- basis for requiring changes in or disapproving research; - written summary of the discussions and resolutions ORAD Director X X

45 CFR 46.115 Protection of Human Subjects and 21 CFR 56.115 IRB Records


10.3.3 Records of continuing review activities ORAD Director X X



10.3.4Copies of all correspondence between the IRB and the investigators ORAD Director X X



10.3.5

A list of IRB members in the same detail as described is Sec. 46.103(b)(3) ORAD Director X X



10.3.6

Written procedures for the IRB in the same detail as described in Sec. 46.103(b)(4) and Sec. 46.103(b)(5) ORAD Director X X



10.3.7

Statements of significant new findings provided to subjects, as required by Sec. 46.116(b)(5) ORAD Director X X



10.4 IACUC Records

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10.4.1

IACUC minutes, including:- records of attendance;- activities of the Committee;- Committee deliberations ORAD Director X X

Animal Welfare Act, 9 CFR 2.35; NIH/OLAW 2002, 2nd Edition, Institutional Animal Care and Use Committee Guidebook, Sec E.1.


10.4.2

IACUC protocols, including: - proposed activities involving animals;- proposed significant changes in activities involving animals; - approval given or withheld on above ORAD Director X X



10.4.3

Other records, including:- semiannual IACUC reports and recommendations;- OLAW Assurance; - reports of accrediting agencies ORAD Director X X



10.4.4

Information as specified in 9 CFR 2.35(b) concerning each live dog or cat acquired, transported, sold or euthanized ORAD Director X X



10.5 Research Misconduct Proceedings records

Dean of Extended Education & Research X X

42 CFR 93.317 and campus academic policy and procedures on research scientific misconduct

Seven (7) years after completion of the proceeding or the completion of any PHS proceeding involving the research misconduct allegation under subparts D and E of 42 CFR 93.317, whichever is later.

10.6 Research dataPrincipal Investigator X X

2 CFR 215.36 /Intangible PropertyOMB Circular a-110 Subpart C-36

Three (3) years after submission of the final report of the research to the sponsor, unless a longer retention period is specified by the sponsor.

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10.7F&A (Facilities and Administrative/ Indirect) cost rate proposals

University Controller and ORSP Director of Grants & Contracts Administration X X X 2 CFR 215.53

If submitted for negotiation: 3-years from date of submission. If not submitted for negotiation: 3-year retention period for the proposal, plan,or other computation and its supporting records starts at the end of the fiscal year covered by the proposal, plan, or other computation.

10.8Sponsored Programs Policies and Procedures

Dean of Research and ORSP Director of Grants & Contracts Administration X X X CSU Practice

Maintain most current in force. Historical policies andprocedures should be retained until university internal audit or three years, whichever comes first.

10.9 HIPAA HRM

45 CFR 164.530 and CSU Human Resources Policies (Sec 1.19 of CSU Personnel-Payroll Record Retention Schedule)

http://calstate.edu/recordsretention/documents/Personnel_Payroll.pdf

10.10 Environment Health & Safety Records

Risk Management Director

See Environmental Health and Safety Retention Schedule:

http://calstate.edu/recordsretention/documents/EHS.pdf

* Campus may be university or auxiliary office

Links: CFR (all) http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1OMB A110 http://www.whitehouse.gov/omb/circulars/a110/a110.html#53 2 CFR http://www.access.gpo.gov/nara/cfr/waisidx_09/2cfrv1_09.html#21542 CFR http://grants.nih.gov/grants/compliance/42_CFR_50_Subpart_F.htm45 CFR http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htmOLAW http://grants.nih.gov/grants/olaw/GuideBook.pdf

Footnotes A Footnote regarding Administrative and Financial Records- Section 10.1

B

C Footnote regarding IRB records - Section 10.3

Footnote regarding Conflict of Interest - Section 10.4

Financial records in 10.1.1 includes all records related to expenditures (including effort certifications and cost match), revenue and cash receipts. Refer also to the CSU Retention Schedule, Section 2 regarding fiscal records.

Requirements related to other funding agencies may vary. In all instances, individual agreements should be consulted to determine applicability of special requirements.

In accordance with the campus's federalwide assurance (FWA), the retention source authority may also reference 21 CFR 56.115 IRB Records (Food and Drug Administration) - records and retention requirements are virtually identical to those referenced in 45 CFR 46.115.

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D Footnote regarding Retention Period (general) – For federal research contracts 48 CFR 4.7 may be applicable, which requires retention for 3-years after final payment is received. – If sponsor guidelines require a different retention period, the longer retention requirement shall prevail. – If any litigation, claim, or audit is started before the expiration of the retention period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken. – Records for real property and equipment acquired with Federal funds shall be retained for 3 years after final disposition. – When records are transferred to or maintained by the Federal awarding agency, the 3-year retention requirement is not applicable to the recipient.

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Record Series


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O F L H V

11.1

Student Demographics Examples include: Statistics on Degrees, Enrollment, Grades, Race/Ethnicity…

Director, Institutional Research X X IPEDS Permanent

11.2Campus Policies and Presidential Executive Orders

Administrative Compliance Officer X X Best Practice

Retain as long as the policy is in effect, then transfer to campus archives or the appropriate records management authority.

11.3

Administrative Program Review (Pertains to records associated with campus periodic reviews of administrative units.)

University Auditor X Best Practice 1 Cycle (x years)

11.4

Campus Presidential Records Examples include: Delegations of Authority, calendars, schedules, videos, office subject files...

Confidential Administrative Assistant III in the Pres. Office X X Best Practice

Retain until no longer of administrative value; then transfer records of historical value, as determined by the record custodian, to campus archives or the appropriate records management authority.

11.5 Executive Business Calendars Executives X Best Practice 3 years or less

11.6 CA Public Records Act RequestsUniversity Counsel X Best Practice

Three years after receipt of the request.

11.7 Committees - Agendas & Minutes

11.7.1University Presidential Advisory Committees (Non-policy setting) N/A X X Best Practice

Retain 3 years or less and then transfer to campus archives or the appropriate records management authority to determine if the record(s) have historical value and will be archived.

11.7.2

University Standing Committees (Policy Setting) (A standing committee is a sub-unit of the university that facilitates consideration of the business and governance of the organization.)... 1. IAB, 2. Professional Ethic, 3. Honors, 4. IRB, 5. IACUC

1. Director of Athletics, 2. …, 3. AVP Cheryl Ney, 4 & 5. Director of Office of Research and Sponsored Programs X X Best Practice

Retain for 3 years and then transfer to campus archives or the appropriate records management authority to determine if the record(s) have historical value and will be archived.

11.7.3

University Standing Advisory Committees (Non-Policy Setting ) (A standing committee is a sub-unit of the university that facilitates consideration of the business and governance of the organization.) N/A X X Best Practice

Retain 3 years or less and then transfer to campus archives or the appropriate records management authority to determine if the record(s) have historical value and will be archived.

INSTITUTIONAL RECORDSRecord Value:O - Operational

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11.7.4

University Adhoc Committees (Non-policy setting) 1. Quarter to Semester Planning Task Force, 2. Honors College Advisory Committee, 3. Community Engagement Advisory Committee, 4. Graduate Initiative Delivery Team, 5. Alcohol and Other Drugs Advisory Committee

Items 1, 2, 3, -AVP Cheryl Ney; Item 4 - Provost, item 5 - VPSA X X Best Practice

Retain until no longer of administrative value and then transfer to campus archives or the appropriate records management authority to determine if the record(s) have historical value and will be archived.

11.8 Academic Senate Agendas & Minutes

VPAA Academic Senate Chair X X Best Practice


11.9 Internal Reports related to Policy Setting

Administrative Compliance Officer X X Best Practice


11.10 Campus Litigation FilesUniversity Counsel X Best Practice

Retain for 5 years after the ligation has been concluded.

11.11 Original litigation settlement agreementsUniversity Counsel X Best Practice

Retain for 10 years after complying with all the terms of the settlement agreement unless the litigation pertains to a CSU employee, then refer to the Personnel/Payroll schedule (sections 1.2 and 1.3)

11.12Subpoenas not related to ligation involving CSU policy

Employee Relations Coordinator X Best Practice 1 year

11.13 Correspondence

11.13.1

Ephemeral/Transient communications received or sent which do not contain significant information about an institution's programs, fiscal status or campus operations. Records include, but are not limited to, advertising circulars, desk notes, memoranda, and other records of an informational nature.

Individual Exec. Office Senior Staff X Best Practice Until read

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11.13.2

General - Correspondence received or sent which do not contain significant information about an institution's programs. Records include, but are not limited to, letters sent and received; memoranda; notes; transmittals; acknowledgments; community affair notices; routine requests for information or publications; enclosures and attachments.

Individual Exec. Office Senior Staff X Best Practice

Retain until no longer of administrative value, but no longer than 2 years.

11.13.3

Administrative - Correspondence received or sent which contain significant information about an institution's programs. Records include, but are not limited to, letters sent and received, policy memoranda, notes, enclosures, and attachments.

Executives, Exec. Office Senior Staff X X Best Practice

Retain until no longer of administrative value, and then transfer to campus archives or the appropriate records management authority to determine if the record(s) have historical value and will be archived.

11.13.4

Executive - Correspondence regarding significant events and the development of administrative structure, policies, and procedures of this office. It may also record the historical development of the office. Records may include: letters sent and received; notes; directives; acknowledgments; and memoranda.

Executives, Exec. Office Senior Staff X X Best Practice

Retain until no longer of administrative value; then transfer records of historical value, as determined by the record custodian, to campus archives or the appropriate records management authority.

11.14 Honorary Degree Records

Confidential Administrative Assistant III in the Pres. Office X Best Practice Permanent

11.15

University Communications Records Examples include: bulletins, publications, annual reports, university newsletters, commencement event records

Vice President for Institutional Advancement X X Best Practice


11.16

Media/Public Relations Records Examples include: press releases, student newspapers, public relations materials, commencement publicity…

Director of Public Affairs X X Best Practice


11.17 Trade Marks & Logos VPIA X X Best Practice Permanent

11.18 Art Inventory Records

Director of the Luckman/ Dean of Arts & Letters X X X Best Practice Permanent

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11.19Campus Managed Child Development Office Files

Director of Ana Bing Childcare Center X

Manual of Policies and Procedures COMMUNITY CARE LICENSING DIVISION CHILD CARE CENTER Division 12 Chapter 1 STATE OF CALIFORNIA HEALTH AND HUMAN SERVICES AGENCY DEPARTMENT OF SOCIAL SERVICES Section 101221 - Child's Records Section 101217 -Personnel Records 3 years

4