UMB Data Retention-Archival Policy
X-99.07(A) | Information Technology | Approved | Last Reviewed April 30, 2024
Responsible VP/AVP: Peter J. Murray, PhD, CAS, MS
Applies to: Faculty, Staff
Policy Statement
The University of Maryland, Baltimore (UMB) and the State of Maryland require that different types of records be retained for specific periods of time, and has designated official repositories for their maintenance.
Purpose
The University is committed to effective record retention to preserve its history, meet legal standards, optimize the use of space and computer storage, optimize the cost of record retention, and ensure that outdated and useless records are destroyed.
Policy Development Process
UMB has researched relevant State document retention laws and sample archiving- retention policies from the University of Iowa, University of Massachusetts, and Cornell University. UMB has also consulted with EDUCAUSE to determine best practices where they exist. What follows is a general listing of documents maintained by UMB departments and State of Maryland retention requirements. If no requirements were found, an average retention length was derived from the policies of the three schools listed above.
Retention Rules
Accounting Records
General Accounting Records |
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|---|---|
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CoD, Bank Deposit slips: Distribution of Charges Memorandum of Adjustments Monthly Report: State Funds |
Retain for 3 yrs/audited, then destroy |
Special Accounting Reports |
|
| LA Audit Reports | Retain for 10 years, then destroy |
| Non-LA Audits | Permanent |
| Books of Final Entry/GL | Permanent |
| Budget and Fiscal Planning Records Budget Estimates, Bud. Sched. Amendment, Materials & Supplies Physical Inventory, Report of Fixed Assets, Report of Materials And Supplies, Request for Position Action |
Retain 3 yrs/audited, destroy |
|
Payroll Accounting Records Employee Roster, Payroll & Check Register, Payroll Exceptions Time, Payroll Transmittals, Payroll Warrants |
Retain 3 yrs/audited, destroy |
|
Misc. Accounting Records Bank Books, Statements, Deposit Receipts, Budget papers & work sheets, Cancelled Checks, Delivery Orders & Receipts, Gas Withdrawal & Mileage Reports, Memo Receipts & Condemnation Reports, Paid Bills and Invoices, Paid Bonds & Coupons, Periodic Fin. Reports to State Agencies, Receipt Copies & Stubs, Receiving Reports, Reconciliation & Trial Balance, Renewable Licenses, Requisitions & POs, Stock Record Cards, Time Sheet, Withholding Tax Forms & Statements (local, state, and Federal) |
Retain 3 yrs/audited, destroy |
|
Purchasing Records Actual Emergency & Repairs Report, Copy of Contract Awarded, Credit Memorandum, Notice of Award of Contract, Out-of-schedule Requisition For Supplies, Purchase Order, Report of Partial Delivery, Requisition for Supplies |
Retain 5 yrs/audited, then destroy |
|
Vendor List |
Retain until superseded, destroy |
|
Correspondence |
Retain 3 yr, then screen for need |
|
Personnel Folders Application, Appointment Letter, Correspondence Relating to New Appointment, Personnel Payroll Form, Personnel Position Action Request, Personnel Recruitment Screening Report, Personnel Transaction Form, Retirement Form, Change of Address Forms, Clearance File, Charges for Removal, Commendations, Contractual Employment documents, Counseling Sessions, Disciplinary Actions, Efficiency Ratings, EOE Statistical Reports, General Correspondence, Grievance Actions, Health Insurance Benefits Forms, Leave Forms, Orientation Program, Position History, Probation, Promotions, Resumes, Suggestion File, Summer Employment, Suspension Actions, Training, Letter of Resignation, Retirement, Transfer, Dismissal I-9 Forms (faculty, staff, students) |
Retain 3 yrs after termination |
|
I.D. Number (EMPL ID) |
Permanent |
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History Data Name, Address, Social Security Number, Race, Sex, Birthdate, Increment Date, Start Date, Classification, Effective Date Of Classification, Employment Status, Salary, Position ID Number for Employee |
Retain 3 yrs, then destroy |
|
Other Personnel Records Worker’s Compensation 1st Report of Injuries Part-time Quarterly reports, Annual Reports, Agency/Dept. Personnel Budget Reports |
Retain 5 yrs, then destroy |
Student & Financial Aid Records |
|
|
Academic Actions (dismissal, etc.) |
5 yrs from graduation or date of last attendance |
|
Academic integrity code violation: (and related case files) |
Permanent |
| Academic records (including narrative Evaluations, competency assess., etc.) | Permanent |
| Change of Course documentation (Cont. Ed., Summer, Extramural Studies) | 5 yrs from date of enrollment |
| Change of Grade documentation | Permanent |
| Change to Student ID Number | Permanent |
| Class Lists (original) | Permanent Consent to Release Personally Identifiable |
| Information (or non-disclosure requests) | Kept until next academic year |
| Course Offerings | Permanent |
| Curriculum Change Authorizations | 5 yrs. from graduation or date of last attendance |
| Disciplinary Records (findings of violation and related case files) | Permanent where penalty imposed is probation, suspension, or expulsion |
| Enrollment Verifications | 1 year from enrollment date |
| Financial Aid Records (for applicants who Do not enroll) | 3 yrs. from date of graduation |
| Financial Aid Records (applicants who Enroll) | 5 years from graduation date |
| Grade Sheets | Permanent |
| Graduation Lists | Permanent |
| Hold or encumbrance authorization | Until released |
| Name Changes | Permanent |
| Original Grade Sheets | Permanent |
| Student Class Schedules | 1 Year from graduation or date of last attendance |
| Student Registration forms | 1 year from registration |
| Term Reports | 5-7 years. depending on School |
| Transcripts | Permanent |
| Transcript Requests | 1 year from submission date |
| Transfer Credit Evaluations | 5 years from graduation |
| Veteran Administration Certifications | 5 years from graduation or date oflast attendance |
| Withdrawal Authorizations/Leaves of Absence | 2 years |
| Admissions documents for Applicants who do not enroll | 2 years from date of start of application term |
| Advanced Placement Records | 5 years from date of graduation or date of last attendance |
| Letters of Recommendation | Until date of admission |
| Recruitment Materials | Until date of enrollment |
| Residency Certificates | Until date of enrollment |
| Residency Change Documents (non- Resident to Resident) | 5 years from graduation or date of last attendance |
| Student Waivers for Right of Access | Until graduation or date of last attendance |
| Transcripts (high school and other college) | 5 years from graduation or date of attendance |
| International Student Forms (visa documentation, etc.) | 5 years |
| Degree, grade, enrollment, racial/ethnic stats | Permanent |
| Schedule of Classes (institutional) | Permanent |
| State Reports | Permanent |
| Catalogs | Permanent |
| Commencement Programs | Permanent |
| Student Loan records | 3 years after loan paid in full |
| Tuition and fee charges | 6 years |
Academic Personnel |
|
| Academic Search Records | AA/EEO rules |
| Annual Conflict of Interest Disclosure Statements | 3 years |
| Grievances | No cause findings: 3 years from determination; cause findings: Permanent |
|
Personnel files, appointment letters, forms |
Same as HR |
| Tenure or promotion dossiers | If approved, 3 years. If tenure denied, 3 years from end of term appointment |
|
Trustee decisions regarding academic Personnel & designated Execs. |
Permanent |
Alumni Affairs and Development |
|
| Alumni Records | Permanent |
| Gift Records | Permanent for electronic records |
| Gifts of Art | Permanent |
|
Original Gift Letter Agreements (signed By President and donor) |
Permanent |
| Original gift letter (all others) | Permanent |
| Planned gifts (trusts, life income, Agreements, annuities) real estate gifts | Permanent |
Affirmative Action/Equal Opportunity |
|
| Academic search plans/statements | 3 years |
| Academic search waivers | For permanent waivers, 3 years from date of appointment; for limited- term waivers, 3 years from satis- faction of subsequent search require- ments or appointment termination |
| Affirmative Action Programs | Permanent |
| Conciliation Agreements/Orders on Consent | Permanent |
| Documents supporting other academic or non-Academic selection decisions (e.g., Promotion, termination, compensation) | 3 yrs after effective date of decision |
| Federal & State required statistics | Permanent |
| Non-academic search/hiring documentation | 3 years from date of appointment |
| Sexual harassment complaints, investigations, And findings | No-cause findings: 3 yrs. from determination, cause finding: Permanent |
Construction |
|
| As-built drawings | Permanent |
| Contracts and agreements | 6 years |
Environmental Health & Safety |
|
| Evacuation drill records | 5 years |
| Fire protection systems records | 5 years |
| Fume hood testing records | 3 years |
| Hazardous waster disposal manifests/reports | 3 years |
| Incident Records | 5 years |
| Portable extinguisher training records | 3 years |
| Radiation dose reports | Permanent |
| Radiation safety training records | 3 years |
|
Radioactive materials license & Safety Committee reports |
Permanent |
|
Radioactive material receiving/inventory records |
3 years |
Corporate Records |
|
| Accreditation Records | Permanent |
| Board of Regents Minutes | Permanent |
| Bylaws | Permanent |
| Charter | Permanent |
Insurance |
|
|
Certification of insurance, indemnification Agreements hold-harmless agreements, Contracts |
6 years after expiration |
| Insurance Policies (liability, property, et al.) | Permanent |
| Incident reports, Accident reports | 4 years after report date |
Legal |
|
| Consent orders | Permanent |
| Court orders | Permanent |
| Judgments | Permanent |
| Releases | Permanent |
| Settlements | Permanent |
Patent and Trademarks |
|
| Original executed invention disclosure forms | Permanent |
| Original executed United State Patent and Trademark Office assignment forms | Permanent |
| Original Letters, Patents | Permanent |
| U.S. patent/application correspondence papers | Permanent |
| U.S. patent/application filing papers | 1 yr after issuance of abandonment |
| Foreign patent/application-related work papers | Permanent |
| Original registered Trademarks | Permanent |
| Trademark-related work papers | Permanent |
| Original executed licensing agreements | Permanent |
| Licensing agreement-related work papers | 6 yrs from expiration or termination of agreement |
| Royalty Records | Life of technology/patent or trademark plus 6 years |
Real Property |
|
| Documents for leases, licenses, construction Contracts, other temporary contracts <$50K | 6 years after expiration of leases or contract term |
|
Property deeds, easements, licenses, rights of Way, leases, rights of first refusal, Remainder Interests, mortgages |
Permanent |
| Title Insurance Policies | 10 years after disposal of property |
Public Safety |
|
| Accident Reports | 4 years after report date |
| Crime Reports | 4 years after report date |
| Property Damage Reports | 4 years after report date |
Sponsored Projects, Contracts, Grants |
|
| Animal welfare records | 3 years or contract period |
| Grant and contract applications, proposals, And supporting documentation |
6 years after close of grant (for federal grants/ contracts) |
| Human Subject Records | 3 years or contract period |
| Recombinant DNA research records | Permanent |
SOURCES
- Maryland State Department of Management and Budget, Maryland Manual
- Maryland State Records Management Guidance
- Tracy Mitrano, Director of IT Policy, Cornell University and EDUCAUSE Resource
- Cornell University Retention/Archival Policy
- University of Iowa Records Management Policy
- University of Massachusetts Record Management, Retention, and Disposition Policy
Guidelines