Records Retention Schedule

Overview

The University Records Retention Schedule outlines the University's data retention periods and, where appropriate, any associated legal authority (e.g., law, statute, or governing authority) for different record types or categories. Refer to the Records Management Policy for additional guidance.

Please Note

To the extent that the Records Retention Schedule does not address a specific document, or if you have any questions regarding document retention, please contact your department manager or the Office of the General Counsel.

Guidelines for Retention of Correspondence

The retention periods below define the length of time to retain different University correspondence.

Up to One Year

Generally, correspondence, including memoranda and e-mail, should be retained for up to one year:

Routine letters, notes, and e-mail which require no acknowledgment or follow-up.
Notes of appreciation, congratulations, etc.
Letters of transmittal and plans for meetings.
Form letters which require no follow-up.
Letters of general inquiry and replies which complete a cycle of correspondence.
Correspondence requesting specific action which has no further value after changes are made or action has been taken.
Correspondence of inconsequential subject matter or to which no further reference is necessary.

One to Five Years

The following correspondence should be retained for one to five years or as defined within the appropriate department:

Correspondence explaining but not establishing University or departmental policy.
Correspondence related to establishing credit.
Collection letters after the account is paid.
Quotation letters where no contract results.

Indefinitely

The following are examples of correspondence to be kept indefinitely or for the life of the principal document which it supports. The specific retention period should be defined within the appropriate department.

Correspondence pertaining to patents, copyrights, bills of sale, permits, etc.
Correspondence regarding historic, vital, or archival records.
Correspondence denying liability.
Correspondence which constitutes all or part of a contract, or which are important in the clarification of certain points in a contract.

Guidelines for Retention of Records by Category

Administrative and/or Executive Records

**Retention Schedule for Administrative and/or Executive Records**
Record Category	Retention Period	Authority
Accreditation	Permanent.	N/A
Admissions statistics (degree, enrollment, grade, and race/ethnicity)	Permanent.	N/A
Articles of Incorporation and amendments	Permanent.	N/A
Audit Reports: Internal and External, Audit work papers and reports	Recommended permanent or as determined by the needs of the University.	N/A
Broadcast License: Station records of experimental broadcast stations, i.e., records explaining the nature and periods of the experiment, etc.	2 years.	N/A
Bylaws	Permanent.	N/A
Institutional policies, mission statement, and strategic plan	Permanent.	N/A
Licenses	Permanent.	N/A
Minutes, meeting notices, agendas, membership lists, and resolutions of the Board of Regents and all subcommittees (Minutes should include the names, addresses, & class of membership for each member)	Permanent.	Cal. Corp. Code § 1500; § 8320
Minutes of Student Organizations	Permanent or as determined by the needs of the University.	N/A
Public Relations Materials, i.e., direct mail pieces, brochures, printed literature, films, video tapes and audio tapes, leaflets, handbills, fliers, recruitment manuals, etc.	2 years.	38 USC § 3696
Tax-exemption documents, IRS determination letters, and any related documents	Permanent.	N/A
Trademark, copyright, patent, and royalty records	Permanent.	N/A

Building and Facility Records

**Retention Schedule for Building and Facility Records**
Record Category	Retention Period	Authority
Construction plans and blueprints, design and construction contracts, licenses, and permits	Permanent.	N/A
Engineering studies and reports	Permanent.	N/A
Commercial Leases	Term + 4 years.	Cal. Civ. Proc. § 337.2
Property Records, including costs, property appraisals, inspection reports, depreciation reserves and schedules, deeds, mortgages, easements, title insurance, and property tax returns	Recommended permanent or as determined by the needs of the University.	N/A

Clinic-Related Records, Clinics Managed by Graduate School of Education and Psychology

**Retention Schedule for Clinic-Related Records**
Record Category	Retention Period	Authority
Clinic Employee Records	3 years following termination of employment.	22 CCR § 75335; 75337
Health and Psychiatric Records: Adults	7 years after being discharged.	22 CCR § 75343
Health and Psychiatric Records: Minors	1 year after the minor has reached 18 and in no event less than 7 years after discharge.	22 CCR § 75343
Policies and procedures with respect to protected health information in compliance with HIPAA	6 years from the date of creation or the date when last in effect, whichever is later.	45 CFR § 164.530(j)

Federal Grant Records

**Retention Schedule for Federal Grant Records**
Record Category	Retention Period	Authority
Records which fully disclose the amount and disposition of those funds, total cost of the activity, share of the cost provided by other sources, records that facilitate a financial or programmatic audit, financial records, supporting documents, statistical records, and all other records pertinent to an award	3 years after completion of the activity for which the funds are used or 3 years from the date of submission of the final expenditure report, whichever is later.	20 USC § 1232f(a)

Financial Aid Records

**Retention Schedule for Financial Aid Records**
Record Category	Retention Period	Authority
Financial aid program records	5 years from the end of the award year for which the record was submitted or created.	N/A
Applications for financial aid and recipient's records (including loans, scholarships, grants, and fellowships)	5 years from the date of graduation or the last date of attendance.	N/A
Promissory notes	3 years after outstanding loan(s) are paid in full.	N/A
Athletically Related Student Aid Records: Number of students receiving aid Race & sex of the students organized by sport Graduation Rate	3 years.	20 USC § 1092(e), (g)
Federal Pell Grant Documents: Records related to administration of programs	3 years after the end of the award year.	34 CFR §§ 690.81, 690.82, 668.24, and 668.164
Federal Perkins Loan Documents: Repayment records Cancellation and deferment requests	3 years after the loan is repaid or canceled.	34 CFR §§ 674.19 and 668.24
Federal Family Education Loan (FFEL) audit report required under 34 CFR § 682.305(c)	5 years after report issued or 3 years after loan repaid by borrower or 5 years after repayment from any other source.	34 CFR § 682.414
Fiscal Operations Report and Application to Participate (FISAP) in Federal Perkins Loan, Federal Supplemental Educational Opportunity Grant Program (FSEOG), and Federal Work-Study (FWS) Programs	3 years after the end of the award year in which the FISAP is submitted.	34 CFR §§ 668.24, 674.19, 675.19, and 676.19
Any records necessary to support the data in the FISAP FSEOG; Pell Grant; Title IV/Higher Education Act (HEA): Stafford, PLUS; Federal Perkins; FWS; or Federal Pell Grant Program: Records demonstrating institutional eligibility University fiscal information related to participation Documentation showing parent's and student's eligibility Administration of program	3 years after the end of the award year.	34 CFR § 668.24(e)
Records relating to Federal Guaranteed Student Loan program lenders, including Title IV, HEA FFEL program loans: Application, deferment eligibility, collection history	5 years after the loan is repaid in full.	34 CFR § 682.515, 78 FR 65768, 65820

Financial Records

**Retention Schedule for Financial Records**
Record Category	Retention Period	Authority
Accounts Payable Contracts	Recommended permanent or as determined by the needs of the University.	N/A
Accounts Payable/Receivable	4 years.	Cal. Civ. Proc. § 337
Annual reports (year-end financial statements)	Permanent.	N/A
Bank records, statements, and reconciliations	3 years.	N/A
Budget Reports	5 years.	N/A
CA sales and use tax liability records, i.e., accounting books, schedules/working papers used in preparation of tax returns, bills, receipts, cash register tapes, etc.	4 years.	18 CCR § 1698(i)
Cash Books	7 years.	N/A
Charts of Accounts	3 years.	26 CFR § 1.6038A-3; 26 CFR § 1.6038A(a)
Check Requisitions	7 years.	N/A
Cancelled Checks	7 years.	N/A
Conflict of interest disclosure forms	7 years.	N/A
Deeds, Mortgages, and Bills of Sale	Recommended permanent (for historical purposes and proof of ownership).	N/A
Equipment Inventory	5 years after disposal of the equipment.	N/A
Expense Reports/Petty Cash vouchers	3 years	N/A
Fleet Management (i.e., University Vehicles)	5 years after disposal of the equipment.	N/A
Investment reports	7 years.	N/A
Invoices	7 years.	N/A
Notes Receivable Ledgers and Schedules	7 years.	N/A
Purchase Orders	7 years.	N/A
Sales & Purchase Records, i.e., record of total sales & volume purchased or received during such periods (weekly, monthly, quarterly, etc.)	3 years.	29 CFR § 516.5(c)
Receiving sheets	2 years.	N/A
Records of total volume of sales or business	3 years.	29 CFR § 516.5(c)
Vending Machine Records: Location of the machine Serial number Merchandise bought for the machine Prices charged Receipts	4 years.	Cal. Admin. Code, title 18 §§ 1574; 1698(d)

Gift and Estate Planning Records

**Retention Schedule for Gift and Estate Planning Records**
Record Category	Retention Period	Authority
Donor Files - Individual	Recommended permanent or as determined by the needs of the University.	N/A
Gift Receipts	6 years.	26 USC § 6501
Property Appraisal by Outside Appraisers	Recommended permanent or as determined by the needs of the University.	N/A
Support for endowment contributions	Recommended permanent or as determined by the needs of the University.	N/A
Wills and Trusts	Recommended permanent or as determined by the needs of the University.	N/A

Human Resources and Payroll Records

**Retention Schedule for Human Resources and Payroll Records**
Record Category	Retention Period	Authority
Advertisements or notices to the public or to employees relating to job openings, promotions, training programs, or opportunities for overtime work	1 year.	29 CFR § 1627.3(b)
Application materials for individuals hired (resumes, letters of recommendation, etc.)	4 years after the last date of employment.	N/A
Applications and employment inquiries, including records relating to failure or refusal to hire any individual	4 years.	Cal. Gov't Code § 12946; 2 CCR § 7287.0(c)
Basic employment and earnings records: Time cards Job classifications and descriptions Job evaluations Wage rate tables, wages paid to men and women, and any documents that describe or explain the basis for payment of any wage differential to employees of the opposite sex in the same establishment	2 to 3 years.	29 CFR § 516.6; 29 CFR § 1620.32; Cal. Labor Code § 1197.5; Cal. Labor Code § 1174, SB 807
Contracts	Term + 4 years.	N/A
Employee personnel files	4 years after the last date of employment.	SB 807; Cal. Gov. Code § 12946
Benefit Plans: Pension and insurance plans Seniority and merit system	Keep during the period of the plan and 1 year after termination of the plan.	29 CFR § 1627.3(b)(2)
Employee Personnel Records Required Under the Family & Medical Leave Act (FMLA): Basic payroll and identifying employee data (name, address, occupation, rate or basis of pay, terms of compensation, daily and weekly hours per pay period, total compensation paid, additions and deductions from wages) Dates FMLA leave is taken Documents related to employee benefits, copies of FMLA notices given to employees Records of any disputes with employees regarding FMLA leave	3 years.	29 CFR § 825.500
Employee Personnel Records Required Under Title VII and the Americans with Disabilities Act (ADA): Requests for reasonable accommodation Application forms submitted by applicants requesting accommodation Name, address, date of birth, rate of pay, weekly compensation Records having to do with hiring, promotion, layoff, termination, rates of pay or other terms of compensation and selection for training	2 years from making the personnel action or the record or 2 years after the date of involuntary termination, whichever is later; if discrimination charge, keep until final disposition.	29 CFR § 1602.49
Employment Development Department Records Requirement: Period of pay, name, social security number, date hired, place of work, remuneration paid to each worker, and disbursement records	8 years.	22 CCR § 1085-2
Employment Tax-related Records: Returns, schedules, statements indicating taxes withheld, refund claims, forms: W-2, W-4, 1099	4 years after the due date of such tax for the return period to which the records relate, or the date such tax is paid, whichever is the later.	26 CFR §§ 31.6001-1, 31.6001-2
Faculty Peer Review Materials, letters regarding appointment, reappointment, Performance Evaluations (excluding student evaluations), Tenure and Promotion Records, Merit Increases, Teaching Awards	Keep during employment and then 7 years after termination.	N/A
Faculty and Course Evaluations by Students (if not otherwise returned to faculty member)	7 years.	N/A
Grievance proceedings, complaints, investigations, and findings	7 years after the last date of employment.	N/A
Higher Education Staff Information Report EEO-6 Records and Information	3 years.	29 CFR § 1602.48
I-9 Employment Eligibility Verification Forms	3 years after hiring; 1 year after termination, whichever is later.	8 CFR § 274A.2
Insurance Claims	7 years after claim is resolved.	N/A
Medical records - Employees exposed to toxic substances or harmful physical agents	Maintain during employment and then for 30 years thereafter, except if the employee worked for less than one year and records given to the employee upon termination.	29 CFR § 1910.1020(d)(1)(i)
Medical records - Employees not exposed to toxic substances or harmful physical agents (Note: for exposures, see 29 CFR 1910)	3 years after termination.	N/A
Personnel actions (including all disciplinary actions and terminations)	7 years after the last date of employment.	N/A
Policy Records	Permanent.	N/A
Payroll & Related Personnel Records: All payroll records and identifying employee data, including name, address, date of birth, occupation, rate or basis of pay, terms of compensation, daily and weekly hours per pay period, total compensation paid, addition and deductions from wages (including garnishments)	3 to 4 years (3-year retention requirement under federal law, but recommended 4-year retention because statute of limitations for wage/hour claims is 4 years).	29 CFR § 516.2; 29 CFR § 516.3; 29 CFR § 1627.3; Cal. Labor Code § 1174
Records regarding claims of discrimination or a civil suit, including all personnel records of the individual(s) involved and all employees holding positions similar to that held or sought by the plaintiff	Retain until final disposition of the matter.	29 CFR § 1602.49
Retirement records: Annual report for benefit plan, welfare, vouchers, worksheets, receipts, and applicable resolutions, etc.	6 years.	29 USC § 1027
Worker's Compensation: Open and Closed Files	Maintain at least until the latest of the following dates: 5 years from the date of injury; 1 year from the date compensation was last provided; until all compensation has been paid; or if an audit has been conducted, until findings of an audit have become final.	8 CCR §§ 10101, 10101.1, and 10102
Worker's Compensation Claim Logs	5 years from the end of the year covered.	8 CCR § 10103.1

Insurance

**Retention Schedule for Insurance Records**
Record Category	Retention Period	Authority
Active and expired policies, certificates of insurance, indemnification and hold harmless agreements, and other similar documents	Permanent.	N/A
Insurance claim records, incident, accident, and medical reports	7 years after the conclusion of the claim.	N/A

Legal Records

**Retention Schedule for Legal Records**
Record Category	Retention Period	Authority
Litigation: Active and inactive files	Permanent.	N/A
Settlement agreements and releases	Permanent.	N/A

Safety/Environmental/Security Records

**Retention Schedule for Safety, Environmental, and Security Records**
Record Category	Retention Period	Authority
Accident, crime, and property damage reports and claims	7 years.	N/A
Annual Security Reports	3 years from the date the data is first available.	20 USC § 1092(f)(1)(F)
Asbestos records regarding hazardous exposure	30 years.	29 CFR §§ 1910.19; 1910.1001(m)(1)(iii); 1915.1001
California Occupational Safety and Health Act (Cal/OSHA) Records: Log and summary of occupational injuries and illnesses Forms, Cal/OSHA Form 300, privacy case list (if one exists), Cal/OSHA form 300A, and Cal/OSHA form 301 incident reports	5 years after the end of the calendar year that the record covers.	8 CCR § 14300.33; 29 CFR § 1904.33
OSHA Records - General: Records verifying information sent to Secretary such as vouchers, worksheets, receipts, applicable resolutions	5 years.	29 USC §§ 436, 651 et seq.

Student Records

Note: The American Association of Collegiate Registrars and Admissions Officers (AACRAO) provides a guide for retention and disposal of student records. Most of the retention periods cited in this section are based on the AACRAO guidance.

**Retention Schedule for Student Records**
Record Category	Retention Period	Authority
Acceptance letters, advanced placement records, applications for admission or readmission, entrance examination reports/test scores, transcripts from other colleges or high schools	5 years after graduation.	N/A
Admissions records for applicants who do not enroll	18 months from the date of start of application term.	N/A
Academic catalogs, class schedules, syllabi	Permanent.	N/A
Admissions records	Recommended permanent or as determined by the needs of the University.	N/A
Counseling/Medical Records	7 years after last visit.	N/A
Departmental Files	5 years after graduation.	N/A
Disciplinary Records (General) and Grievance Proceedings	7 years after graduation or last date of attendance.	N/A
Disciplinary Records Resulting in Expulsion or Dismissal	Permanent.	N/A
Exams/Papers (if not otherwise returned to student)	One semester or trimester after end of semester or trimester in which exam given or paper written for uncontested grade results, or until resolution of contested grade.	N/A
FERPA Requests and Hearing Records, e.g., request for formal hearing, student statements on content of records regarding hearing panel decisions, written decisions of hearing panels	Permanent.	N/A
Grade records, academic records (narrative evaluations and competency assessments), professional credentialing documents, and change of grade forms	Permanent.	N/A
Graduation lists	Permanent.	N/A
Residential Housing Contracts	Permanent.	N/A
Records of Exchange Visitors (those with J-1 visas)	Retain for period of enrollment and for 3 years thereafter.	22 CFR § 62.10(h); 514.10(h)
Records of Immigrant Students (those with F-1 & M-1 visas)	Retain for period of enrollment and for 3 years after notification to SEVP that the student is no longer pursuing a full course of study.	8 CFR § 214.3(g)
Student Requests for non-disclosure of directory information or student written consent for records disclosure	As long as records are maintained.	N/A
Student clinical training files and teacher portfolios	5 years after graduation.	N/A
Student created placement files	Retain in accordance with GSEP Career Center "Placement File Maintenance."	N/A
Third-party requests for disclosure of student personally identifiable information	Permanent.	N/A
Thesis and Dissertations (final, accepted copies)	Permanent.	N/A
Transcripts	Permanent.	N/A
Timesheets for Student Employees	3 years after the end of employment.	34 CFR § 668.24(e)

Tax Records

**Retention Schedule for Tax Records**
Record Category	Retention Period	Authority
CA Sales and Use Tax Liability Records: Normal book accounts, bills, receipts, invoices, cash register tapes, schedules or working papers used in tax preparation, etc.	Permanent (unless written authorization to destroy).	Publication 116 CA Dept. of Tax and Fee Admin.
Form 990T & CA 109 & 199 Return of Organization Exempt from Income Tax	Permanent.	N/A
Notice of disallowance of taxpayers claim by Secretary	Permanent.	N/A
Property tax records	Permanent.	N/A
Returns - Return & Assessment Dates for Many Different Taxes: Gift taxes, estate taxes, excise taxes, income taxes, personal holding company, constructive dividends etc.	Permanent.	N/A
Records related to overpayment of any tax for application of a tax refund or credit claim	Permanent.	N/A