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UNIVERSITY OF TENNESSEE SYSTEM POLICY
FISCAL

POLICY NO: FI0120 SUBJECT:  RECORDS MANAGEMENT  
EFFECTIVE: 09/01/2013 REVISION NO: 10

TOPICS:
General Policies Disposal Of Records
Maintenance Of University Records Minimum Retention Periods For University Records
Definitions Related Policies
Compact Storage Of Paper Records Procedures
Electronic Recordkeeping Forms
Filing Records In The Department Contacts
Central Storage Of Records

OBJECTIVE:

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To provide policies and guidelines on the storage, retention, and disposal of university records.


POLICY:

General Policies[top]

  1. The accumulation of non-current records retained for managerial or regulatory reasons results in considerable staff, maintenance, and storage expenses for the university. Storing these records effectively can reduce costs, reduce litigation exposure, improve services, and meet accountability commitments (e.g., audit).  The term "records" includes any unit of information, regardless of form, made or received by any administrative staff while transacting official business of The University of Tennessee.  Examples of records include books, papers, letters, memoranda, forms, charts, reports, maps, photographs, x-rays, microfilm, microfiche, scanned images, facsimiles, electronic files and data processing output in any media, and sound recordings.

    This policy reflects the minimum record retention requirements for: (1) complying with guidelines issued by the Tennessee Department of General Services, (2) providing maximum protection under the existing state statutes of limitations,* and (3) supporting general university business practices. These recommended periods are the minimum retention times.

  2. All records created, received, or maintained by departments during their operations are the property of the University and must be retained and disposed of in accordance with this policy. No University record may be disposed of until the minimum retention period has elapsed. Retention periods could include time maintained in the department combined with retention in a university storage facility. (See 19 for the university's retention schedule.) Records must be retained as long as they pertain to a pending legal claim or action or to any pending federal or state audit.

  3. In addition, departments should establish and apply retention schedules for records in their custody that are not covered by this policy statement. (Refer to campus/unit procedures for any necessary approval procedures for departmental retention schedules.)

Maintenance of University Records[top]

  1. All university records must be maintained in a manner that provides (1) access for faculty and staff to carry out their normal job responsibilities and (2) reasonable protection against misplacement, loss, destruction, or theft.  

  2. All records should be stored in a secure location accessible by authorized personnel. 

  3. Unless authorized by the campus Chief Business Officer or Chief Financial Officer university records must be stored on the premises (including officially approved off-site storage facilities) at all times.

    If records are loaned to other departments or university employees, the department should document the loan [See: form] (i.e., describe the records and their dates and record the name of the borrowing department, requestor, and expected date of return).

  4. Records should be maintained in an environment that is free from vermin, flooding, fire hazards, and unusual amounts of moisture, heat, and dust.

  5. The State of Tennessee requires each state agency to either adhere to the State’s electronic records policy (“e-records” policy) or to develop a policy based on their requirements.  The policy requires us to classify electronic records into critical or non-critical categories.  

    Critical (Records).  High accessibility to this record is required.  Includes records considered vital (essential) or of permanent value.                                              

    Non-Critical (Records).  All other records.

Definitions[top]

  1. Defining records management terminology:

    1. Active Records.  Records that are undergoing processing, referred to frequently, and readily accessible to the department.

    2. Confidential (Sensitive) Records.  Records indicating the level of sensitive data contained in them; records are designated confidential (sensitive) based on their type and status.  Records designated confidential by statue and includes information or matters or records considered to be privileged and any aspect of which access by the general public has been generally denied.   

    3. Critical (Essential) (Vital) Records. Records whose loss could result in significant material damage to the University and would be difficult to reconstruct if lost, stolen, or destroyed.  Include records essential to document the University’s legal and/or financial position and to preserve the University’s ongoing operation, commitments, and rights. If a department identifies vital records (whether paper, microform, or electronic),copies of such records must be stored in a separate location from the originals to minimize the potential for loss.     

    4. Destruction.  Methods of destroying or discarding obsolete records which are no longer needed by the University.    

    5. Disposal.  Transfer of records to their final state, either destruction or transfer to University Archives.  

    6. Disposition.  Actions taken regarding records no longer needed for current University business.  Actions include transfer to campus storage facility or approved off-site storage facility, transfer of permanent records to University Archives, and disposal of records.

    7. Electronic Records.  A University Record kept in a non-tangible electronic format (See Policy No: IT0115).  Electronic Records include but are not limited to:  word processor documents, spreadsheets, databases, PDF, HTML documents, scanned or imaged documents, and any other type of file warehoused online, on a mainframe, on a computer hard drive, or on any external storage medium (including disks and thumb drives).  The same retention standards that apply to tangible University Records also apply to Electric Records, and the retention periods outlined in the Record Retention Table apply equally to University Records in all formats.

    8. Microfiche.  A type of record format consisting of a flat sheet of microfilm, typically used for the purpose of maximizing space efficiency.  University records kept on fiche are bound by the same standards and retention periods as records kept in paper or electronic formats. 

    9. Inactive Records. Records no longer needed to conduct current business or  consulted infrequently (less than once per month), but are not eligible to be destroyed based on the retention period listed in this policy. Whenever feasible, these records should be converted to an electronic format.

    10. Microfilm.   A film on which printed materials or documents are photographed at greatly reduced size for ease of storage and long term preservation.

    11. Non-Critical (Records).  All other records, including those of three years (but not limited to) retention or less retention and timely destruction of particular types of official University Records.
    12. Non-Current. A record no longer required for the day-to-day conduct of an active business, also known as inactive.

    13. Non-Record. A document such as draft, worksheet, routine memo, or a copy created for convenience or distribution, that has no retention value and no filing need. Any recorded information which is original and unique is a record – if these qualities are absent, it is probably a non-record.

    14. Official Records. A document possessing public record status, created or received by a university officer or university employee, while conducting university business and serving the university in an official capacity. This document type may be referred to as the original record, primary copy or matter-of-record copy. A record that remains in the same context and structure that it was created.

    15. Official Repository.  The office or department designated as having responsibility for records.  The University’s CFO, or designee, will make the final determination concerning the Official Repository for University Records.  For example:  The Payroll Office is the official repository for annual employee payroll records.

    16. Permanent Records. Records identified as permanent to the university's ongoing and future operations and must be kept indefinitely. Include: (1) student academic records, (2) personnel and payroll records, i.e., earnings records, tax-deferred annuities, personnel files, and retirement records, (3) certain contracts, legal documents, and other records with legal value, (4) mortgages, (5) deeds, insurance policies, and other records of financial value, (6) original minutes of the Board, and (7) other records of archival or historical value, such as the minutes of departmental or board meetings, graduate and undergraduate councils, faculty senates, etc.

      Because all paper records deteriorate over time, permanent records must be, scanned, or otherwise stored electronically whenever possible (see 10). Records should be stored in a separate location from the originals to minimize the potential for loss.

    17. Records. Records shall mean all documents, papers, letters, maps, books, photographs, microfilms, electronic data processing files and output, sound recordings, or other material regardless of physical form or characteristics made or received pursuant to law or ordinance or in connection with the transaction of official business by the University.

Compact Storage of Paper Records[top]

  1. Compact storage methods provide a space-efficient and often cost-efficient means of storing records. Once records are transferred to a compact storage medium (e.g., a digital storage medium), it is usually not necessary to retain both the original paper copy and the stored record.  

    However, Critical Records should be reviewed to ensure preservation prior to disposal of paper copy.  Before discarding paper copies, however, a department must ensure that the records stored are readable. The stored records must be kept for the minimum retention period (time in office plus time in storage) specified in this policy.  Scanned documents attached to an approved IRIS transaction are considered original documents and the original paper documents are considered copies for purposes of this policy and the record retention periods.

Electronic Recordkeeping[top]

  1. Electronic recordkeeping is the storage and retrieval of information in digital form. This means of recordkeeping includes, but is not limited to, the use of tapes, disks, and optical disks and applies to all electronic records systems, such as emails, ANDI, Banner, IRIS, Taleo, and TERA-PAM for example. (Policy No: IT0115).

    Electronic or optical media, both fixed and removable, should be classified (critical or non-critical) with a retention, and disposition policies created for each system. Priority should be given to ensuring full compliance for Critical Records.  These media should be identified in a unique and standardized way, be maintained in a temperature-controlled and humidity-controlled environment determined by the medium, and be handled appropriately if the medium requires special care (e.g., a smoke-free, low-humidity environment). Also, a statistical sample should be taken and read annually to discover and correct any data loss. The department should follow up with their IT department to make sure this process is done.  Procedures for a preservation plan shall be prepared and maintained.   Procedures shall be developed to ensure that timely data backups are done. Tape rotation services should be considered for vital records. Vendors of backup media should be consulted to ascertain the maximum number of times a given tape may be used for backup purposes.

    Following the completion of an audit and/or the release of a litigation hold, Non-Critical Records may be destroyed in accordance with the retention schedule set forth in this policy.

    Before disposing of electronic media that contain any confidential information (i.e., student, medical, or personnel information), the information should be made inaccessible (See 19 for minimum retention periods).

    If data is used constantly, by a wide variety of people, is classified as Critical or is associated with a Records Retention that requires long-term storage by the laws or regulations, storage within the University’s system(s) shall be utilized and approved by the Public Records Commission (PRC) , per the State of Tennessee’s Electronic Records Recommendations approved by the PRC.

    The University’s Office of Information Technology (OIT) shall be responsible for data back-up and recovery.  The system(s) and file formats will be reviewed regularly according to the standard preservation plan established.  OIT will communicate updates, changes, and recommendations to the University Business Office(s).  System or Campus OIT is responsible based on ownership of ERP. Each employee, with the assistance of his or her supervisor as needed, is responsible for ascertaining and complying with the retention requirements for those electronic records in his or her custody, including but not limited to emails.

Filing Records in the Department[top]

  1. Official records should be stored in a consistent fashion within the department; in a manner that provides protection against misplacement, destruction, or theft; and in a way that allows quick identification and retrieval. For certain records, departments are the official repository and the minimum retention periods reflect this responsibility. Failure to retain proper documentation can result in disciplinary action, including termination and personal liability.

Central Storage of Records[top]

  1. Campuses and units may wish to establish a central location for records storage and maintenance. Such facilities provide economical and efficient means for storing and retrieving permanent records and inactive records that must be retained for more than one year.

Disposal of Records[top]

  1. University records (regardless of the storage medium) may be disposed of, provided the minimum retention period stated in 19 has elapsed and the department does not need the records for future administrative, legal, research/historical, or fiscal purposes. Records have administrative value if they contain information applicable to current or future university operations; legal value if they contain evidence of legally enforceable rights or obligations of the university or if they are subject to a litigation hold; research or historical value if they document the overall purpose, growth, history, services, programs, and character of the unit, and fiscal value if they are required for budget development, financial reporting, or audit purposes.

  2. Notwithstanding anything to the contrary in this policy, no documents should destroyed of during the pendency of active litigation or when such documents are being retained pursuant to a litigation hold issued by the Office of General Counsel.

  3. The department head (or designee) is responsible for performing, at least annually, a review to determine the value or usefulness of the department's records. During this review, the department head (or designee) should identify all records that have their relevant retention period (time in office plus time in storage) and no longer needed for any purpose identified in this policy.  He/she must designate each record as either an historical document to be transferred to University Archives or a document ready for destruction.

  4. The department head is responsible for authorizing the disposal of records. When the disposition is authorized, records containing sensitive and/or confidential information should be destroyed (i.e., shredded and not recycled). A list of the records destroyed should be signed by the department head and be maintained in the departmental files or as required by campus/unit procedures. Records that do not have to be destroyed may be recycled if services are available.
  5. In accordance with State of Tennessee Executive Order 38, at least annually, the department head (or designee) should also identify and dispose of all non-records. Non-records document no official university activities and include: extra copies of documents kept for convenience or reference; stock supplies of publications and extra copies of circulated materials where original materials are filed; reading files; follow-up correspondence copies; draft or work copies of finalized documents; letters of transmittal that do not alter the transmitted information; and tapes of transcribed documents.

    In accordance with the PRC (Public Records Commission) all records destruction requests should be reviewed within 60 days receipt. After the 60 day review period has expired all records that have met their retention schedule should be destroyed. The PRC has authorized this destruction upon approval of the university’s RDA schedule.

Minimum Retention Periods for University Records[top]

  1. The minimum retention periods for most university-wide records are specified below.

    Note: Individuals within the responsible departments (official repository ) who are responsible for the records mentioned in this policy should be aware of all applicable laws and external agency regulations that may supersede these minimum retention periods and must ensure that these laws and regulations are followed in the retention and disposition of university records.

    Questions concerning the minimum retention period for records not listed below should be addressed to the campus/unit Records Management office or the Senior Vice President & CFO.  In the following retention schedule, the Official Repository must hold the official record or series of records for the stated time period. These records, which can include paper copies and/or electronic data, are categorized below.

    • The statute of limitations in Tennessee is six years for open accounts and written contracts and ten years for judgments of record. The statutes govern the time after which rights cannot be enforced by civil action in the courts.

BUSINESS AND FINANCIAL

Record or Document
(Includes all media types: paper, electronic, etc.)

Official Repository
Minimum Retention Period
Accounts Receivable and Supporting Documentation (includes customer account information, credit applications, fiscal year-end aging, returned check files, and invoices paper and electronic generated) Department 6 years
Annual Report of the Treasurer Minimum Retention Period Treasurer's Office Permanently
Audit Reports
External Department Audited

6 years
12 years

Internal Office Performing Audit 10 years
Department Audited 1 year after audit
Investigative Internal Audit Permanently
Bank Deposit Slips Treasurer's Office 6 years
Department 6 years
Bank Statements & Correspondence (includes reconcilements and canceled checks) Department 6 years
Budget Materials Treasurer’s Office (official university budget) Permanently
Campus/Unit Budget Office 10 years
Bursar's Files (except unpaid fees) Bursar's Office 7 years
Receipts - Deposits Department 6 years
Receipts – Books Department 6 years
Fees – documentation of fees paid Department 6 years
Fees - Unpaid Department Permanently
Receipt - Cash Vouchers (CV’s) Bursar's Office 6 years
Collection Records ["ZK" document type  or Report of Departmental Collections (Form T-33)] *Electronic data is maintained in the IRIS system for at least six years Department 6 years

Contract and Grant Files, Originals

Treasurer’s Office or Appropriate Office or Department 6 years after termination and review by sponsor audit, if applicable
Contracts - Capital Agreements (Construction/Renovation) Treasurer's Office Permanently
Contracts - Correspondence Files (Legal/Administrative) Business Office 10 years
Contracts - Correspondence Files (General) Department 5 years
Deeds Treasurer’s Office Permanently
Endowment and Living Trust Agreements Treasurer’s Office Permanently
Federal Grant Project Files Business Office 6 years after award end date
Housing Contracts Housing Office 6 years after either final payment or termination of contract term
Institutional Review Board (IRB) Minutes Research Office 3 years after research
Intellectual Property Documentation, Including All Documents Relating to the Application for and Granting of All University Copyrights, Patents, and Trademarks Treasurer’s Office or Other Appropriate Office Permanently
Leases Capital Projects 6 years after either final payment or termination of contract term
Mortgages/Debit Payment Treasurer's Office Permanently
School Bond Authority Agreements Treasurer's Office Permanently
Service Center Rate Determination & Charges Backup Department Maintain until superseded

Sponsored Project Files (Original)

SPA or Post Award Office 6 years after termination and review by sponsor or by the contract clause
Sponsored Project Files (Original Documentation to Support Costs) [includes: effort certification documentation, invoices to vendors, payroll activity, transfer vouchers, cash receipts, cost sharing documentation, budget activity, travel, procurement card activity, journal vouchers, petty cash, purchase requisitions, etc] Department 6 years after termination and review and review by sponsor or by the contract clause
Sponsored Project Proposals (Funded) Research Office 6 years after termination of project and review by sponsor
Accounts Payable - Original Invoices and Bills Department 6 years after payment
Accounts Payable - Invoices Processed Centrally Treasurer’s Office 6 years after payment
Accounts Payable - Conference and Seminar Prepayment Form (Form T-30) Treasurer's Office 6 years after payment
Department 1 year after payment
Accounts Payable - Request for Special Payment (Form T-27) Treasurer's Office 6 years after payment
Department 1 years after payment
Accounts Payable - Special Remittance and Order Form (Form T-29) Treasurer's Office 6 years after payment

Travel Authorization (if needed) (Form T-18) This form is not used for processing on a regular basis any longer.  It is used in special instances.

Treasurer's Office 6 years after payment
Travel Expense Report Treasurer’s Office 6 years after payment
Department 6 year after payment or reviewed by sponsor
Travel Expense Report (Non-IRIS)  (Form T-6) Treasurer's Office Treasurer's Office
Department 6 years

Effort Certification Records*
*Electronic data is maintained in the IRIS system for at least six years

Treasurer's Office 6 years
Facilities and Administrative Cost (formerly Indirect Cost) Study-Reports and Worksheets Treasurer's Office 6 years
Financial Statements Treasurer's Office 6 years

Internal Transfer (formerly Transfer Voucher) Supporting Documentation ("ZD" or "ZE" document type)*
*Electronic data is maintained in the IRIS system for at least six years

Originating Department 6 years
Inventory Records Department 6 years
Investment Records (includes trade tickets, broker statements, and general correspondence) Treasurer's Office 6 years

Journal Voucher/Entry* and SA Supporting Documentation
*Electronic data is maintained in the IRIS system for at least six years

Treasurer's Office 6 years
Ledgers (reconciled and reviewed) Department 1 year
Minutes of Boards and Committees General Counsel Permanently
Petty Cash - Bank Statements Department 6 years
Petty Cash - Canceled Checks Department 6 years
Petty Cash - Check Register Department 6 years
Petty Cash - Receipts, duplicates (Form T-4) Department 6 years
Petty Cash -  Reimbursement Request, duplicates (Form T-44) Originals in Treasurer’s Office or Campus Business Offices Department 6 years or until reviewed by sponsor, if applicable
Reconciliation of Fund Balances Department 6 years
Policies and Procedures General Counsel Maintain until superseded or obsolete
Procurement Credit Cards Receipts and Supporting Documents Department 6 years
Procurement Credit Card Statements Department 6 years
Assignment Records for Dormitories Housing 6 years
Cash Register Tapes, Readings, and Reports Department 6 years
Concession Sales Records Department 6 years
Conference Rosters Department 6 years
Dormitory Rosters Department 6 years
Football Game Audits Department 6 years
Job Logs and Job Jackets Department 6 years
Lab Work Order Tickets Department 6 years
Sales and Use Tax Records Department 6 years
Sales Tax Exemption Certificates Department 3 years

Tickets, Ticket Stubs, and Reconcilements
**Must be audited prior to disposal and all unused tickets verified

Department 1 year**
Computer Printouts of Paid Fees Department 4 years
Registration Files and Records Department 6 years
Unpaid Fees Department Permanently
Cash Receipt Vouchers Treasurer's Office 7 years
Collection Records ["ZK" document type * or Report of Departmental Collections (Form T-33)] Treasurer's Office 6 years
Preparing Office 6 years
Contracts
Contract and Grant Files, Originals Appropriate Office or Department 6 years after termination and review**
Contract and Grant Files, Copies Appropriate Office or Department 1 year after end of contract or grant period
Capital Agreements (Construction/Renovation) Treasurer's Office Permanently
Deeds Treasurer's Office Permanently
Endowment and Living Trust Agreements Treasurer's Office Permanently
Housing Contracts Treasurer's Office 6 years after payment
Justification for Non-Competitive Purchases and Contracts form Campus/Unit Contract or Business Office 5 years after payment
Requesting Department 1 year after payment
Leases Treasurer's Office 6 years after termination
Mortgages Treasurer's Office Permanently
School Bond Authority Agreements Treasurer's Office Permanently
Student Loan Agreements Bursar's Office 5 years after repayment
*Electronic data is maintained in the IRIS system for at least six years.
**Review refers to an examination by the Responsible Office to ensure that the work defined in the contract has been performed.
Disbursement Supporting Documentation
Original Invoices and Bills Campus Business Office or Designee 6 years
Invoices Processed Centrally Department (copy) 1 year after payment
Conference and Seminar Prepayment Form (Form T-30) Treasurer's Office 6 years
Department (copy) 1 year after payment
Request for Special Payment (Form T-27) Treasurer's Office 6 years
Department (copy) 1 year after completion of services
Special Remittance and Order Form (Form T-29) Treasurer's Office 6 years
Department (copy) 1 year after payment
Travel Authorization (Form T-18) Treasurer's Office 6 years
Departmen t (copy) 1 year
Travel Reimbursement (Form T-3) Treasurer's Office 6 years
Department (copy) 1 year
Effort Certification Records* Treasurer's Office 6 years
Facilities and Administrative Cost (formerly Indirect Cost) Study-Reports and Worksheets Treasurer's Office 6 years
Financial Statements Treasurer's Office 6 years
Internal Transfer (formerly Transfer Voucher) Supporting Documentation ("ZD" or "ZE" document type)* Originating Department 6 years
Inventory Records Department 6 years
Investment Records (includes trade tickets, broker statements, and general correspondence) Treasurer's Office 6 years
Journal Voucher/Entry* and Supporting Information Treasurer's Office 6 years
Ledgers (reconciled and reviewed) Department 1 year
Minutes of Boards and Committees General Counsel Permanently
Petty Cash Items Department
Bank Statements 6 years
Canceled Checks 6 years
Check Register 6 years
Petty Cash Receipts, duplicates (Form T-4) 6 years
Petty Cash Reimbursement Request, duplicates (Form T-44) 6 years
Reconciliation of Fund Balances 6 years
Procurement Credit Cards Department
Credit Card Receipts 6 years
Credit Card Statements 6 years
Receipts and Supporting Documents Department
Assignment Records for Dormitories 6 years
Cash Register Tapes, Readings, and Reports 6 years
Concession Sales Records 6 years
Conference Rosters 6 years
Dormitory Rosters 6 years
Football Game Audits 6 years
Job Logs and Job Jackets 6 years
Lab Work Order Tickets 6 years
Receipt Books 6 years
Sales and Use Tax Records 6 years
Sales Tax Exemption Certificates 3 years
Tickets, Ticket Stubs, and Reconcilements
**Must be audited prior to disposal and all unused tickets verified
1 year**
*Electronic data is maintained in the IRIS system for at least six years.
**Must be audited prior o disposal and all unused tickets verified.


Retirement Records
EMPLOYEE RECORDS
Record or Document
Responsible Office
Minimum Retention Period
Additional Pay Form Campus/Unit Payroll Office Permanently
Supporting Information Department 1 year
Direct Deposit Enrollment and Change Forms Treasurer's Office 6 years after participation is terminated
Employee Earnings Records Treasurer's Office Permanently
Applicant Statistics by Job Vacancy (name, sex,
race, qualifications, etc.)
Campus Unit/Human Resources 10 years
Employment Applications Human Resources 5 years
Employment Eligibility Verification (Form I-9) Campus/Unit Human Resources Permanently
FMLA Campus/Unit Human Resources 5 years
Leave Records Treasurer's Office Permanently
Longevity Payroll Register Printouts & Rosters and Check Register Treasurer's Office

Permanently

Department 3 years
Medical Records (all medical records should be kept separate from other personnel files) Department 10 years
Flexible Benefits and Child Care Reimbursement Requests University Payroll Office Permanently
Return-to-work Releases and Working Restrictions Department 5 years
Sick Leave Bank Requests Department 5 years
Non-Exempt (Monthly and Biweekly) Time Records*
*Electronic data is maintained in the IRIS system for at least six years
Department 3 years
Supporting Information Department 3 years
Payroll Deduction Cards Treasurer's Office 3 years
Payroll Reduction Agreements Benefits and Retirement Services 3 years
Personnel Files active files are scanned and maintained in IRIS.  Inactive files are paper and will be scanned. Campus/Unit Human Resources Permanently
Personnel Requisitions Campus/Unit Human Resources 10 years
Preparing Office 1 year or until the position is filled, whichever is longer
Retirement Records Benefits and Retirement Services Permanently
Search Files (faculty and exempt staff) Department of Head of Search Committee 5 years
W-4 Forms Payroll Offices 4 years
ENVIRONMENTAL/RADIATION SAFETY (SEE:   UWA EHS records Retention Policy )
*Electronic data is maintained in the IRIS system for at least six years.


PURCHASING
Record or Document
Responsible Office
Minimum Retention Period
Bidder Applications Campus/Unit Purchasing Department 2 years and audit

Purchasing - Canceled Requisition File*
*Electronic data is maintained in the IRIS system for at least six years

Purchasing Office 3 years

Purchasing - Canceled RFQs (bids)*
*Electronic data is maintained in the IRIS system for at least six years

3 years
Purchasing - Contracts & Requests for Proposal (RFPs) 3 years/microfilm

Purchasing - Purchase Orders, Contracts, Bid Documentation, Requisitions, Framework Purchase Orders , RFP, RFQ, Specifications, Bid Documentation, Supporting Paperwork for Supplies, and Justification for Non-Competitive Purchases and Contracts forms*

*Electronic data is maintained in the IRIS system for at least six years
6 years after either final payment or termination of contract term
Requesting Department 6 year after receipt of merchandise

Major Equipment over $50,000

6 years after equipment retires
Surplus -  Sale Records Requesting Department 1 year after receipt of merchandise
Purchase Orders, Contracts, Specifications, Bid Documentation, etc., for Equipment Campus/Unit Purchasing Department 4 years
Purchasing - Vendors Removed from Qualified Bidders List 5 years or until restored to the active list
Surplus -  Form Treasurer’s Office 6 years
Originating Department 6 years
Vendors Removed from Qualified Bidders List 5 years or until restored to the active list
*Electronic data is maintained in the IRIS system for at least six years.
**Departments may microfilm these records after retaining the paper record a minimum of 10 years.


RISK MANAGEMENT
Record or Document
Responsible Office
Minimum Retention Period
Accident and Incident Reports (other than employee) Treasurer's Office
(Risk Management)
5 years following end of calendar year to which records refer, except when a litigation hold is in place
Accident Reports-OSHA reportable Risk Management
Claim Files Risk Management Permanently
Health Care Administrative (Incident) Reports 10 years
Insurance Policies, Records, Minutes, Committees, and Allocations Permanently
Other Incident Reports 7 years
Workers' Compensation (Federal) 5 years following end of year in which injury occurred, except when legal action is pending
Workers' Compensation (State of Tennessee)
-Initial report of accident and nature of injury
-Lost time information
-Claim adjudication information
-Correspondence
Permanently (except for medical information; medical information is retained permanently by the State Division of Claims.)
Note: Workers' Compensation records should be kept separate from other personnel files.


STUDENT RECORDS
Record or Document
Responsible Office
Minimum Retention Period
Admissions Correspondence Admissions 3 years
Applications-admitted and enrolled 5 years after graduation or date of last attendance
Applications-admitted but not enrolled 2 year after application term
Applications-not admitted 2 year after application term
Athletics Files

Department

10 years
Admissions - Completed International Files Admissions 5 years after graduation or date of last attendance
Incomplete Application Files 1 year after application term
Readmission Applications 5 years after graduation or date of last attendance
Transcripts (high school and non-university) 5 year after application term
Applications Financial Aid 3 years from end of award year
Athletics Aid Files 5 years from end of award year the student last attended
SEOG, Pell Grant, Direct Student Loans, College Work Study Program, PLUS/SLS *After date of graduation or withdrawal of student and audit 3 years from end of award year
Financial Aid Transcripts 3 years from end of award year the student last attended

Scholarships
*After date of graduation or withdrawal of student and audit

5 years from end of award year the student last attended *
Records relating to a student or parent borrower’s eligibility and participation in the FFEL or Direct Loan Program 3 years from the end of the award year in which the student last attended
Other records relating to the University’s participation in the FFEL or Direct Loan Program 3 years after the end of the award year in which the records were submitted
Fiscal Operations Report and Application to Participate (FISAP) in the Federal Perkins Loan, FSEOG, and FWS programs, and any records necessary to support the data contained in the FISAP, including the “income grid information” 3 years after the end of the award year in which the FISAP was submitted
All records involved in any loan, claim, or expenditure questioned by a Title IV, HEA program audit, program review, investigation, or other review The later of (a) the resolution of that questioned loan, claim, or expenditure or (b) the end of the retention period applicable to the record.
Loans - Emergency Student Loan Agreements 5 years after repayment

Loans - Guaranteed Student Loan Award Records
*After date of graduation or withdrawal of student and audit

3 years from end of award year the student last attended *

Loans - Health Education Assistance Loan Award
Records
*After date of graduation or withdrawal of student and audit

3 years from end of award year the student last attended *

Health Professions Student Award Records
**After submission of FISOP reports and applicable internal and external audits

3 years from end of award year the student last attended **
Nursing Student Loan Award Records 5 years**

Loans - National Direct (Perkins) Loan Award Records
*After date of graduation or withdrawal of student and audit

Student Loans 3 years from date loan is assigned to the Department of Education, cancelled, or repaid*

Loans - Nursing Student Loan Award Records
**After submission of FISOP reports and applicable internal and external audits

3 years from end of award year the student last attended **
Patient Records (Non-Active) Health Clinic 10 years after the last date of chart activity (unless legal action involvement)
Academic Records Registrar ermanently
Academic Second Opportunity Applications 10 years
Application for Diploma 1 year
Athletics Eligibility and Student Files, NCAA Permanently
Changes of Registration Forms (e.g., drop/add rolls, wp/wf forms) 1 year
Correspondence (enrollment and degree verification) 5 years after graduation or date of last attendance
Correspondence Grade Cards (courses taken through distance education) Permanently
Family Educational Rights and Privacy Act Documents (Academic Consent to Release) 1 year
FERPA Privacy/Directory Exclusion Forms Permanently
Final Grade Rolls Permanently
Graduation Files Permanently
Loan Deferment Certifications 1 year
Registration Exceptions (late drop/add approvals, etc) 1 year
Advising Records Advising Department 6 years from graduation or from date of last interaction
Supplemental Grade Changes Registrar Permanently
Transcript Requests 1 year
Military Records 5 years after graduation or date of last attendance
Veterans' Records 3 years
Withdrawal Authorization 2 years after graduation or date of last attendance

CEU’s - Information –Non-credit courses
(Rosters, payments, etc.)

Department 7 years unless longer by contract of governing body
CEU’s - Files – Non-credit courses (correspondence, catalogs, etc.) Department 3 years
*After date of graduation or withdrawal of student and audit.
**After submission of FISOP reports and applicable internal and external audits.


TRANSPORTATION AND TRAFFIC
Record or Document
Responsible Office
Minimum Retention Period
Motor Pool – Accident Reports Involving UT Vehicles Campus/Unit Motor Pool Permanently
Motor Pool - Authorizations to Drive UT Vehicles 6 years
Motor Pool - Authorizations to Drive UT Vehicles Preparing Office 1 year
Motor Pool - Depreciation Schedules Campus/Unit Motor Pool 6 years
Motor Pool - Equipment Purchase Records 6 years
Motor Pool - Expense Folders by UT Vehicle 6 years
Motor Pool - Gasoline Tickets 6 years
Motor Pool - Internal Transfer Documentation 6 year
Motor Pool - Internal Transfer Documentation Department (copy) 1 year
Stockroom Inventory Records 7 year
Parking - Revenue Supporting Records Campus/Unit Parking Office
Parking - Garage Tickets (to support cash register tapes) 3 years
Parking - Registration Records 6 years after payment
VET MED

Medical Records (Radiographs)
***Older radiographs are used for instructional and research purposes

4 years***

RELATED POLICIES
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PROCEDURES
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Knoxville:  http://web.utk.edu/~dfinance/fiscal-policy.shtml
Health Science Center:  http://www.uthsc.edu/policies/w932_document_list.php?app=FSC
Space Institute:   
Chattanooga:   
Martin:  http://www.utm.edu/departments/finadmin/procedures.php
FORMS
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FOR MORE INFORMATION
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  Debra Keck  (865) 974-6328  dkeck@tennessee.edu