University Archives

Records Retention Schedule: Legal Records

Accounting | Administrative | Education | Environmental | Financial
General | Legal | Marketing | Personnel

Record Series

A - B - C - D - E - F - G - H - I - J - K - L - M - N - O - P - Q - R - S - T - U - V - W - X - Y - Z - Numbers

A

Academic Grievance Files

  • Description: Files documenting grievances of students against faculty members.
  • Provost
  • Retention: Active + 6 years
  • IUC number: LEG4000

Accident Reports

  • Description: Reports created by university or college police for traffic accidents that occur on campus.
  • Retention: Active + 6 years
  • IUC number: LEG4000

Affirmative Action Plan Files

  • Description: Procedures and regulations to be followed, work force analysis, goals, timetables, statistics.
  • Equity, Diversity and Immigration Services
  • Retention: 6 years; transfer to Archives
  • IUC number: LEG5000

Affirmative Action Position Applicant Files

  • Description: Record of affirmative action procedures followed for university position openings. Files include Position Authorization Request, job description, Appointment Activity Record, proof of citizenship, chronological data on search and correspondence.
  • Equity, Diversity and Immigration Services
  • Retention: 6 years
  • IUC number: LEG5000

Alien Certification Files

  • Description: Records of employee requests made to the Department of Labor and Immigration and Naturalization for work certification. Also includes transcripts, letters of reference, resume and other pertinent documentation.
  • Equity, Diversity and Immigration Services
  • Retention: 6 years
  • IUC number: LEG5000

Applicant Flow Data File

  • Description: Statistical information, percentages dealing with race, religion, sex, etc.
  • Equity, Diversity and Immigration Services
  • Retention: 6 years
  • IUC number: LEG5000

Arrest Reports

  • Description: Report of arrest, criminal citation, or uniform traffic citation issued to offender
  • Police Department
  • Retention: Active + 6 years
  • IUC number: LEG4000

Awarded Grants Files

  • Description: Files containing proposal, budgets, accounting information on grants received by faculty members from federal and state agencies and private foundations.
  • Sponsored Programs and Research
  • Retention: Active + 5 years; transfer to Archives
  • IUC number: LEG2000

C

Campus Security Act Reports and Uniform Crime Statistics

  • Description: Reports produced in compliance with federal programs.
  • Police Department
  • Retention: 6 years; transfer to Archives
  • IUC number: LEG5000

Case Files

  • Description: Files developed in the course of consultation with clients of Student Legal Services and include documents filed in court, transcripts of depositions and court testimony, attorney work-products, and routine correspondence concerning the administration of the case.
  • Student Legal Services
  • Retention: 10 years after last activity
  • IUC Number: LEG6010
  • Notes: Retain cases having continuing historical and instructional value. Review these periodically for destruction. Destroy all case files in a way that protects confidentiality.

Category Summary - Classified Staff

  • Description: Computer printout listing breakdown by race, sex, civil service.
  • Retention: 6 years; transfer to Archives
  • IUC number: LEG5000

Change in Meal Plan

  • Description: Records of changes on board contracts.
  • Retention: Active + 5 years
  • IUC number: LEG2000

Child Care Licensing Agreements

  • Description: Records related to obtaining Food License, License to Run a Nursery/Day Care, and Building Operations License.
  • Retention: Active + 5 years
  • IUC number: LEG2000

Collective Bargaining Agreements

  • Human Resources
  • Retention: Active + 5 years; transfer to Archives
  • IUC number: LEG2000

Complaint Files

  • Description: Record of staff or student grievance based on equal opportunity and affirmative action regulations.
  • Human Resources
  • Retention: Active + 6 years
  • IUC number: LEG4000

Contracts - General

  • Description: Includes contracts for services, purchases and sales, transportation, leases, property and construction, exchange of property, etc. Includes government contracts and grants.
  • Retention: Active + 5 years
  • IUC number: LEG2000

Copyright, Trademark, Patents

  • Description: Records related to preparation, filing, maintenance, and rights
  • General Counsel
  • Retentions: Active + 6 years
  • IUC number: LEG7000

Crime Reports

  • Description: Reports created by university police on campus criminal activity.
  • Police Department
  • Retention: Active + 6 years; transfer to Archives
  • IUC number: LEG4000

E

EE-O6 Report

  • Description: Annual report required by the federal government, including information on race, sex, salary, tenure, etc. for different groups of employees.
  • Equity, Diversity and Immigration Services
  • Retention: 6 years; transfer to Archives
  • IUC number: LEG5000
  • Notes: Historical value

Elevator Certifications - Facilities

  • Retention: Active + 3 years
  • IUC number LEG5020

Environmental Impact Assessment - Construction Projects

  • Description: Used to determine potential environmental concerns existing at a site prior to demolition and construction.
  • Environmental Health and Safety
  • Retention: Life of a building + 6 years
  • IUC number: LEG5000

F

Faculty Grievance Files

  • Description: Correspondence, letters, reports and supporting documentation of an investigation pursuant to a letter of complaint or grievance. These files are typically created as the result of a formal review and/or appeal process, as in cases of promotion, tenure, and salary review.
  • Provost
  • Retention: 6 years
  • IUC Number: LEG4000
  • Disposition: destroy in a way that maintains confidentiality, provided that no legal action pending or in progress.

G

Garnishment Files

  • Description: Copies of court orders, pertinent employee data, computation data, employee acknowledgement forms, IRS notices of levy, and correspondence regarding employee garnishment cases.
  • Human Resources
  • Retention: Active + 3 years
  • IUC number: LEG5030

Grants Awarded

  • Description: Financial records of grant money awarded for research projects.
  • Sponsored Programs and Research
  • Retention: Active + 5 years
  • IUC number: LEG2000

Grant Proposal - Funded Records

  • Description: Contain proposal, budgets, accounting information on grants received by faculty members from federal and state agencies and private foundations.
  • Sponsored Programs and Research
  • Retention: Active + 5 years; transfer to Archives
  • IUC number: LEG2000

H

HUD Reports

  • Description: Annual reports filed with the federal government concerning operation of residence halls.
  • Residence Life
  • Retention: 6 years; transfer to Archives
  • IUC number LEG5000

I

Injury/Ill Person Reports

  • Description: Reports on ill or injured persons transported to local hospitals from campus.
  • Police Department
  • Retention: Active + 6 years
  • IUC number: LEG4000

Insurance - Future Liability

  • Description: Insurance coverage for product liability, exposure to hazardous substances, or other problems manifesting themselves long after the policy terminates. Includes liability policies.
  • Retention: Indefinite
  • IUC number: LEG3010

L

Laboratory Inspection Reports

  • Description: Periodic inspections of laboratories.
  • Retention: Active + 3 years
  • IUC number: LEG5030

Land Purchase Records

  • Description: Copies of deeds, leases, purchase agreements, appraisals, etc. documenting purchase of land by institution. Original deed maintained by Auditor of State.
  • Retention: Active + 5 years; transfer to Archives
  • IUC number: LEG2000

M

Meal Plan Changes

  • Description: Records of changes on board contracts
  • Dining Services
  • Retention: Active + 5 years
  • IUC number: LEG2000

P

Police Reports

  • Description: Reports of incidents or requests for service to include the officer's actions, referrals, and subsequent investigation.
  • Retention: Active + 6 years
  • IUC number: LEG4000

Pre-School Attendance Records

  • Description: Pre-School attendance and emergency sheets.
  • Retention: Active + 6 years
  • IUC number: LEG4000

Pre-School Children's Files

  • Description: Includes screening evaluation corms, contracts, parental and developmental information, reports from outside agencies, examples of student work, health records form physicians, and information from Social Services coordinator.
  • Retention: Indefinite
  • IUC number: LEG3010

R

Radioactive Materials Waste Records

  • Description: RAM use cards, specific use, and disposal information.
  • Retention: Active + 3 years
  • IUC number: LEG5020

Real Estate Records

  • Copies of deeds and leases, documenting real property purchased by the university or college.
  • Retention: Active + 5 years; transfer to Archives
  • IUC number: LEG2000

Research Protocol Records

  • Description: Includes protocol correspondence, grant information, approval forms, progress reports, prescription drug tracking forms, memos, history sheets, previously active protocol, and LAMS file.
  • Retention: Active + 3 years
  • IUC number: LEG5020

Residency Status Documents for Applicants Who Do Matriculate

  • Description: Documentation supporting determination of legal domicile.
  • Registration and Records
  • Retention: 6 years
  • IUC number: LEG5000

S

Student Disciplinary Files

  • Description: Files on students who have been accused of disciplinary violations.
  • Student Affairs
  • Retention: Active + 6 years
  • IUC number: LEG4000

T

Testing Reports - Construction

  • Description: Geotechnical and material testing and reports to insure strength of materials, compaction and construction acceptability.
  • Retention: Active + 6 years; transfer to Archives
  • IUC number: LEG5000

Trade Mark Registrations

  • Retention: Active + 6 years; transfer to Archives
  • IUC number: LEG7000

U

Unemployment Compensation Files

  • Description: Consolidated file listing all employees (classified, contract and faculty) to whom an unemployment claim has been paid. This includes copies of claim forms, correspondence, costs for the institution and amount of unemployment compensation paid.
  • Human Resources
  • Retention: Active + 6 years
  • IUC number: LEG4000

V

Vehicle Use Authorization and Request

  • Description: Filed annually by any employee driving on University business
  • Risk Management
  • Retention: until superseded
  • IUC number: LEG3000

W

W-2 Forms

  • Description: Federal form reporting salaries, wages, and tips for each employee to the IRS.
  • Payroll
  • Retention: 6 years
  • IUC number: LEG5000

Numbers

1099 Forms

  • Description: Federal form used to report salaries, wages, and tips of temporary employees.
  • Payroll
  • Retention: 6 years
  • IUC number: LEG5000