Texas State University Records Retention Schedule (URRS)
View 1st Edition to 2nd Edition List of Changes Texas Administrative Code, Title 13, Chapter 6, Section 6.10(b) Texas State Library and Archives Commission |
See Also: |
Related: |
Table of ContentsCategory 11: University Administrative RecordsCategory 12: University Personnel Records
Category 13: University Fiscal Records
Category 14: University Support Services Records |
Category 15: Student Records
Category 16: University Services Records
Category 17: Academic AffairsCategory 18: Campus Life |
Introduction
The University Records Retention Schedule (URRS) is adopted as an administrative rule of the Texas State Library and Archives Commission (TSLAC) and supersedes the schedule of December 10, 2019.
This retention schedule indicates the minimum length of time records series must be retained by a public university or institution of higher education in the State of Texas before destruction or archival preservation. The URRS does not take the place of a university’s retention schedule but is to be used by the university to develop and update its schedule. Additionally, the URRS does not replace the Texas State Records Retention Schedule (RRS). Both the URRS and RRS are to be used by universities to develop and update their own schedules for approval by TSLAC. Records series listed on the URRS are those that are commonly found in most public universities.
The retention periods given in the URRS are required minimums; TSLAC also recommends them as appropriate maximum retention periods. Some agencies may need to keep some of the records listed for longer periods; agency legal staff should be consulted. For individual records series, there may be requirements in law or regulation for submitting copies of records to other state agencies. Each agency should determine any requirements for filing copies that may apply to the agency's specific records series.
In addition to the common records listed in the URRS, each agency has unique records series that must be included in its retention schedule. Each agency must submit a complete records retention schedule, entered on Form SLR 105, or an approved facsimile, to the State and Local Records Management Division of the Texas State Library and Archives Commission (Government Code, §441.185).
If a federal or state statute or regulation specifies a longer retention period for any records series received, created, or maintained by an agency, the statute or regulation overrides this schedule.
Explanation of Fields
- RECORDS SERIES ITEM NUMBER — Records series item numbers are assigned by the State and Local Records Management Division of the Texas State Library and Archives Commission.
- RECORDS SERIES TITLE — The most general titles possible have been chosen. Explanations are provided for those titles which are not self-explanatory.
- ARCHIVAL — Those records series that must be reviewed or transferred to the institutional/university archives for long-term preservation. Archival codes (I or O) are shown in the lower right corner of each page of the schedule.
- TOTAL RETENTION — Retention is expressed in years unless otherwise noted. Retention codes are listed in the lower left corner of each page of the schedule.
- REMARKS — This column contains citations additional information regarding records retention requirements.
- LEGAL CITATION - This column contains citations to applicable federal or state laws or regulations affecting retention.
Explanation of Codes
Archival Codes:
I – The records must be transferred to the institutional/university archives for long-term preservation.
O – The institutional/university archives must be contacted for an archival review of the records before disposition. Those records determined to be archival must be transferred to the institutional/university archives for long-term preservation.
Retention Codes:
All numbers used with retention periods are expressed in years unless otherwise indicated.
- AC – After Closed (or terminated, completed, expired, or settled): The record is related to a function or activity with a finite closure date.
- AV – As Long as Administratively Valuable: The immediate purpose for which the record was created has been fulfilled and any subsequent need for the record to conduct the operations of the university, if any, has been satisfied.
- CE – Calendar Year End: December 31.
- FE – Fiscal Year End: August 31.
- LA – Life of Asset: The record is retained until the deposit of the asset.
- PM – Permanent: A record that possesses enduring legal, fiscal, or administrative value and must be preserved permanently by the university.
- US – Until Superseded: The record is replaced by an updated version. If a record subject to this retention period is discontinued or is no longer required by law, the date of supersession is the date the decision to discontinue the record is made or the law takes effect. If the record relates to an employee, the date of supersession is the date of termination or the last date the record is needed with reference to the employee, as applicable.
Explanation of Terms
- ARCHIVES NOTE – Emphasizes the need for action/attention by university to ensure records with archival value are properly maintained/retained.
- CFR – Code of Federal Regulations. Regulations of federal agencies adopted under authority of laws enacted by the U.S. Congress.
- RECORD COPY – The document which is kept on file as an original or official record for the total retention period. It is distinct from a “working” or “convenience” copy, which is a duplicate used for reference purposes.
- Caution: Care must be taken by records management officers in determining if duplicate records are, indeed, convenience copies or if two or more copies of the same document must be considered record copies. It is very possible for the same document to be present in two or more units of a university and be the record copy in each unit if it serves a different function in each of those units.
- RECORDS SERIES – A group of identical or related records with the same function and the same retention period that is evaluated as a unit for retention scheduling purposes.
- RETENTION PERIOD – The amount of time a records series must be retained before destruction or archival preservation.
- RRS - State Records Retention Schedule, 13 TAC 6.10(a).
- STATE PUBLICATION – Information in any format that is produced by the authority of or at the total or partial expense of a state agency or is required to be distributed under law by the university and is publicly distributed. The term does not include information the distribution of which is solely limited to contractors with or grantees of the agency, staff persons within the agency or within other government agencies, or members of the public under a request made under the Public Information Act, Government Code, Chapter 552. The term includes but is not limited to: a publication distributed in print; on microform; as audiovisual material; as interactive media or on electronic external storage device; as an on-line publication; which is an index to other on-line publications; as one or more text, graphic, or other digital files; or as a user interface to a computer database.
- TAC - Texas Administrative Code. Regulations of state agencies adopted under authority of laws enacted by the Texas Legislature.
- URRS - University Records Retention Schedule 13 TAC 6.10(b).
Occasionally, a records series will be deleted from this schedule because it has been determined that it is not a record maintained in most agencies, but it may remain a specialized record in some agencies.
Missing numbers in the Records Series Item Number sequence indicate that in prior editions of this schedule a records series was eliminated, combined with another records series, or was re-numbered.
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Category 11: University Administrative Records
Section 11.1 – General University Administrative Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
Alumni Association Program Records |
Records documenting the implementation of programs administered by the office such as marketing products, credit cards, insurance, dues information, and football tickets. |
5 |
O |
|
|
|
Alumni Records |
Alumni affair records. May include but not limited to: lists of alumni club members, degree recipients, or class officers; minutes, bylaws and directories of clubs; and promotional materials concerning annual gatherings, homecoming, and alumni services. |
AV |
I |
See RRS 5.1.004 for alumni mailing list. |
|
|
Award Administration and History Records |
Records documenting the administration, rules, and history of awards, fellowships, and scholarships based on merit or achievement. May include but not limited to: eligibility terms and selection criteria; award history and information on funding sources; award notifications; summary lists of winners, and biographies of winners. |
AC |
O |
AC = Termination of award. ARCHIVES NOTE: Only institutional awards merit archival review. Department-level awards recognizing employee or student achievement do not need to be reviewed for archival value. See RRS 1.1.019 for press releases. |
|
|
Award Selection Records |
Selection committee records for institutional faculty, staff, students, and alumni considered for awards, fellowships, and scholarships based on merit or achievement. May include but not limited to: applications and supporting documents; letters of award notification, acceptance, or denial; vote tallies and ranking sheets. |
2 |
|
See RSIN 3.1.037 for records of an employee receiving an award. |
|
|
Event Administration Records - Routine |
Records created in the planning or administration of routine events, such as: reports; promotional materials; press releases and news clippings; photographs; presentation materials; schedules of speakers and activities; registration and attendance lists; participant evaluations; room reservation lists; and catering services orders. |
AC+1 |
|
AC = Completion of the event. CAUTION: Use this record series in conjunction with RRS Section 4.1 for financial records, RRS 5.1.001a/b for contracts, and RRS Section 5.3 for purchasing records. See RSIN 11.1.007 for records of special events. |
|
|
Event Administration Records - University Special Events |
Materials related to the planning and arrangement of informative sessions, special lecture series, lectureships, short-courses, workshops, training programs, excursions, and celebratory events for members of the institution and the communities it serves. May include but not limited to: promotional and publicity materials; press releases and news clippings; photographs; presentation materials and handouts; honoraria records; schedules of speakers and activities; registration and attendance lists; participant evaluations; and related documentation and correspondence. |
AC+4 |
O |
AC = Completion of the event. See RSIN 11.1.006 for routine event administration records. |
|
|
Permit and License Issuance |
Issuance of permits and licenses by the institution for sales, solicitation, facility usage, and similar activities. |
AC+2 |
|
AC = Expiration, cancellation, revocation, or denial. CAUTION: See RSIN 5.6.009 for parking permits. |
|
|
11.1.013 |
Subject Files — Executive |
Subject files documenting the executive actions of a state university. The series includes information in the form of correspondence and memoranda, policy statements, organization and program development records, reports concerning accreditation requirements, budget material, faculty and student relations, personnel matters, tenure and salary issues, physical plant development, grant awards, research programs, foundation endowments, fiscal accountability, academic requirements, student athletic issues, and other related topics. These records reflect administration of policies, coordination of institution functions, and overall management of major divisions and departments of a state university. |
4 |
I |
|
|
11.1.014 |
Subject Files — Media and Communications |
Subject files providing background information on institutional faculty and staff, buildings, events, traditions, and other special topics that document a university's history and culture. The records may be used to support research, in responses to inquiries, and other purposes. May include but not limited to: newspaper clippings; photographs; published and unpublished historical sketches; pamphlets; statistics; ephemera; biographical sketches; vitae; videos; personal history data sheets; newspaper clippings; retirement notices; funeral programs; and obituaries. |
AV |
O |
See RSIN 1.1.019 for press releases. See RSIN 1.1.020/1.1.021 for Public Information Requests. |
|
11.1.015 |
University Committee Records |
Records of standing, advisory, and ad hoc committees and councils made up of members from a department, a college, a variety of units, or an office where policies and procedures are set. May include but not limited to: agendas; meeting minutes; reports; discussion of research and raw data; working papers; and related documentation and correspondence. |
3 |
O |
CAUTION: Federal or state regulations may require longer retention periods. The university must consider any applicable federal or state regulations in establishing a retention period for each committee's records. See RSIN 1.1.063 for Staff Meeting Minutes and Notes. |
|
Category 12: University Personnel Records
Section 12.1 – Employee Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
12.1.001 |
Faculty Tenure Records |
Evaluations, recommendations, and similar documentation relating to the review process for tenure for all faculty or staff in the tenure track. |
AC+2 |
O |
AC = Date of the making of the record or the personnel action involved, whichever occurs later. CAUTION: Retention period should be longer if a university's tenure review cycle requires it. For employment performance and appraisal records, see RRS Section 3.1. |
29 CFR 1602.49. |
12.1.002 |
International Scholars Records — J-1 Exchange Visitor Files |
Documentation of the short-term appointment of nonimmigrant international scholars as visiting faculty, specialists, researchers, and trainees. May include but not limited to: Form DS-2019, and related documentation such as: descriptions of work to be performed; methods of financial support; copies of passports; check-in forms; and telephone log sheets. |
AC+3 |
|
AC = End of participation in program. |
22 CFR 62.10(g). |
12.1.003 |
International Scholars Records — Immigrant Petition File |
Includes documentation of an institution’s sponsorship of an applicant using United States Citizenship and Immigration Services (USCIS) Form I-140 (Immigrant Petition for Alien Worker). |
AC+5 |
|
AC = Date applicant granted lawful permanent residence by USCIS or no longer employed by the institution, whichever earlier. |
8 CFR 204.5. |
12.1.004 |
International Scholars Records – Labor Certification (PERM) |
Application and approval of international scholars for permanent immigrant status. May include but not limited to: Application for Permanent Employment Certifications (Department of Labor (DOL) Form ETA 9089); Application for Alien Employment Certification (DOL Form ETA 750); recruitment reports; copy of job advertisement in national professional journal; and wage determinations. |
AC+5 |
|
AC = Date of filing. |
20 CFR 656.10(f), 29 CFR 1602.49. |
12.1.005 |
International Scholars Records – Nonimmigrant Visa Petition Files |
Includes both internal documents and forms submitted and inspected by the U.S. Citizenship and Immigration Services (USCIS), including Form I-129, Petition for a Nonimmigrant Worker and related materials for H1-B, H-1B1, and E-3 visas. |
AC+1 |
|
AC = Date individual no longer employed by the institution in sponsored nonimmigrant status or application is withdrawn |
20 CFR 655.760(c), 8 USC 1184. |
12.1.007 |
Tax Documentation for International Scholars |
Tax documentation for international students' and scholars' acquisition of social security numbers. May include but not limited to: social security number applications; statements of information; photocopies of social security cards; and related documentation. |
AC+3 |
|
AC = Date of application. |
|
Section 12.2 – Personnel Administration
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
12.2.001 |
International Scholars Program Administration Records |
International exchange visitor selection records, pre‐arrival information provided to visitors, program orientation materials, and monitoring of visitors and their dependents. |
3 |
|
|
22 CFR 62.10(g). |
Section 12.3 – Time and Leave
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
12.3.001 |
Time Cards and Time Sheets—Work-Study Students |
Timecards, time sheets, and work-study time certificates documenting hours worked by work-study student employees. The series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. |
AC+3 |
|
AC = End of award year for which the aid was awarded and disbursed. See RSIN 3.4.006 for all other time cards and time sheets, including those of non-work-study student employees. |
34 CFR 668.24(e)(1), 34 CFR 675.19(b). |
Category 13: University Fiscal Records
Section 13.1 – Worksheets, Detail Information on Financial Event or Transaction
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
13.1.001 |
Ticket Sales Management |
Logistics and management of ticket disbursement for university-sponsored performing arts and other non-athletic events where tickets are sold for admission. May include but not limited to: ticket stock orders; ticket type reports; total ticket sales summaries and reports; ticket printing and control records; season ticket sales lists; free ticket sign-up sheets; and reports of free ticket disbursement. |
FE+3 |
|
See RSIN 4.1.009 for records of financial deposits or receipts. |
|
Section 13.2 – Other Fiscal
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
13.2.001 |
Donor Files |
Includes individual donor and prospective donor files. |
AC |
I |
AC = Prospect ceases to be viable. CAUTION: Includes donor or prospective donor information only. For records of gifts, see RSIN 13.2.003 and RSIN 13.2.005. |
|
Gift and Fundraising Records |
Records of gifts given to the agency. May include but not limited to: gift and donor lists; gift histories; gift placement arrangements; departmental endowments and trusts raised by support and “friends” groups; fundraising efforts; pledges; and background on previous donations. |
7 |
O |
See RSIN 13.2.005 for records documenting potential or realized major funding to the institution such as endowments and trusts. |
|
|
Gift Records—Institutional |
Potential or realized private, corporate, or public agency funding to the institution, including major endowments and trusts. May include but not limited to: letters and agreements of gift, copies of bequest instruments and wills from individuals or estates, and related documentation and correspondence. |
PM |
I |
|
|
Category 14: University Support Services Records
Section 14.1 – [withdrawn]
Category 15: Student Records
Section 15.1 – Admissions and Assessment
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
15.1.001 |
Admissions Records—Enrolled/Accepted |
Applications and supplemental materials submitted by individuals, including international students, seeking admission and enrolling in the institution or a university program. May include but not limited to: acceptance letters; applications for admission; entrance exam reports; letters of recommendation; health history forms; readmission forms; recruitment materials; test scores; residency classification forms; transcripts from other colleges; and transcripts from high school. |
AC+3 |
|
CAUTION: International student academic records must be retained at least 1 year after final notice to USCIS. |
8 CFR 214.3(g). |
Admissions Records—Not Enrolled/Denied |
Denied applications or applications that were approved but applicant did not enroll in institution or program (includes international applicants). May include but not limited to: acceptance letters; applications for admission; entrance exam reports; letters of recommendation; health history forms; readmission forms; recruitment materials; test scores; residency classification forms; transcripts from other colleges; and transcripts from high school. |
AC+1 |
|
AC = End of application term. CAUTION: International student academic records must be retained at least 1 year after final notice to USCIS. |
|
|
15.1.006 |
Standardized Test Administration Records |
Records of the services rendered to clients for standardized tests and admissions exams for partner organizations, such as SAT, ACT, GRE, MCAT, PCAT, GMAT, NTE, VCAT, and TOEFL. May include but not limited to: testing rules and regulations; rosters of test takers; seating charts; and supervisors' reports. |
AC+1 |
|
AC = End of testing period. CAUTION: Testing centers must retain records of testing according to the procedures and requirements established by the contracting organization. CAUTION: This series does not include test scores. See RSIN 4.1.009 for testing payment vouchers |
|
15.1.007 |
Residency Affidavits and Documentation |
Affidavits and declarations filed by students regarding state residency status which is critical for determining tuition status. |
AC+3 |
|
See RSIN 15.1.002 for residency classification forms submitted by applicants who did not enroll. |
Texas Education Code, 54.052.
|
Section 15.2 – Academic Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
15.2.001 |
Academic Action Authorizations |
Authorizations for academic actions, such as academic probation, suspensions, dismissals, reinstatements, etc. |
AC+3 |
|
AC = Graduation or date of last attendance. See RSIN 15.5.007 for disciplinary action records. |
|
15.2.002 |
Advanced Placement and Credit Records—Awarded |
Transfer credit evaluations, national or state standardized test scores and reports (e.g., CLEP, AP, Departmental, IB, SAT II, DSST), credit by examination authorizations and reports, military course documentation (e.g., USAFI) and evaluations, non-traditional transcripts and credentials, life experience records, requests for advanced credit, and similar documentation used by a university to evaluate and determine award of credit by advanced placement. |
AC+3 |
|
AC = Graduation or date of last attendance. |
|
15.2.003 |
Advanced Placement and Credit Records—Not Awarded |
Denied requests for transfer credits and/or advanced placement. |
AC+1 |
|
AC = End of academic year in which decision made. |
|
15.2.007 |
Course Registration and Status Records |
Registration forms, class rosters, class schedules, and similar records providing information on which courses students are registered for at the beginning of an academic term, including documentation evidencing the conditions under which courses are undertaken (e.g., audit, pass/fail, and credit/no credit authorizations or approvals) or evidencing changes to registration status during the term (e.g., add/drop forms and withdrawal authorizations by student or instructor). |
AV |
|
|
|
15.2.008 |
Curriculum Change Authorizations |
Student requests to change their field of major study, add or remove a simultaneous major, or add or change a minor. |
AV |
|
|
|
Departmental Student Information Files |
Up-to-date departmental information on students’ activity from point of enrollment to graduation or date of last attendance. May include but not limited to: personal data, graduate student qualifying examinations, placement tests, partial transcripts, and evidence of graduation or last date of attendance. |
AC+3 |
|
CAUTION: International student academic records must be retained at least 1 year after final notice to USCIS. See RSIN 15.2.026 for student advising records. See RSIN 15.5.007 for disciplinary action records. |
|
|
15.2.010 |
Enrollment Census Reports (4th and 12th Class Day Rosters) |
Attendance reports prepared by faculty on class census day and used as source documentation for enrollment reports submitted to the Texas Higher Education Coordinating Board (THECB). |
FE+3 |
|
|
|
Faculty Grade Book |
Faculty grade books showing students’ performance in the course and work completed. Includes grade sheets and other materials that permit a reconstruction of a student’s graded performance in a course. |
AC |
|
AC = Expiration of grade appeal period. See RSIN 15.2.012 for official Registrar copies of grades. |
|
|
Original Grade Sheets and Grade Changes |
Permanent record cards, grade cards, grade sheets, and grade change forms serving as the basis for students' official academic records. Grade sheets may include student names and social security numbers or ID numbers; course titles and numbers; sections; grades awarded; and instructors' signatures. |
PM |
|
CAUTION: This retention period applies to records of the Registrar. See RSIN 15.2.011 for departmental copies of grade sheets. |
|
|
15.2.013 |
Student Coursework and Grade Reports |
Student coursework (e.g., examinations, quizzes, papers) in custody of institution that is needed as supporting documentation for grade books and grade report cards distributed to students. |
AC+1 |
|
CAUTION: Coursework under dispute may not be destroyed until the resolution of the dispute. See RSIN 15.2.009 for graduate student qualifying examinations. See RSIN 15.2.011 for grade book. See RSIN 15.2.030 for theses and dissertations. |
|
15.2.014 |
Graduation and Diploma Administration |
Student applications for graduation, degree audit forms, graduation authorizations, and diploma distribution records. |
AC+1 |
|
AC = Graduation or last date of attendance. |
|
Hazlewood Act Documentation |
Applications and student eligibility determinations to claim the Hazlewood exemption and institutional records to track benefit hours claimed. |
AC+3 |
|
AC = Last date of attendance, or date application denied, as applicable. See RSIN 15.2.033 forVeterans Affairs Records. |
40 TAC 461.130. |
|
15.2.019 |
Holds and Encumbrances |
Documents used to place and remove holds on registration, student services, or the release of transcripts or other academic data until the subject of the hold/encumbrance takes a specific action. |
AC |
|
AC = Date of release. |
|
15.2.020 |
Independent Study Records |
Departmental approval for students to enroll in independent study courses. May include but not limited to: permission sheets with students' names; course names; number of credits; and faculty signatures. |
AC+2 |
|
AC = Student separation from the department or institution. |
|
Internship Applications—Not Enrolled/Denied |
Applications for internship programs for which student was denied or did not enroll. |
AC+1 |
|
AC = End of academic term in which internship occurred. See RSIN 15.2.022 for other internship program records. |
|
|
Internship Program Records |
Administration of student internship, practicum, and cooperative education programs. May include but not limited to: applications for internships inside and external to the institution; agreements with departments; postings/notices; student resumes; and proposed institution listings. |
AC+3 |
|
AC = End of academic term in which internship occurred. See RSIN 15.2.021 for internship applications for which student was denied or did not enroll. |
|
|
15.2.023 |
Personal Data and Name Change Records |
Student or applicant name changes, change of address forms, race/ethnicity questionnaires, and similar source documentation used to update personal data information on transcripts or other student records. |
AV |
|
|
|
Student Advising Records |
Academic advising records, including advisors' notes, advising checklists, and unofficial or partial copies of grade reports. |
AC+3 |
|
AC = Student separation from the department or institution. |
|
|
Student Certification Records—Academic |
Student completion of certificate programs offered by university academic programs. |
AC+5 |
|
AC = Date of last attendance. CAUTION: Transcript notes regarding academic certifications awarded are maintained permanently by the Registrar. See RSIN 15.2.028 for professional certification records (e.g., teacher certification records). |
|
|
Student Certification Records—Professional |
Certification records for licenses or certificates to enter a profession (e.g., teaching certificates). May include but not limited to: applications for admission to a program; registration for practicum hours and evidence of the completion of the practicum; transcripts; narrative evaluations on practicum; notice of completion of hours required for certification; and recommendations and evaluations. |
AC+1 |
|
AC = End of certification period. CAUTION: Accrediting agencies may require longer retention periods for professional certification records. Refer to accrediting agency to determine the term of the certification period. See RSIN 15.2.027 for academic certifications. |
|
|
Thesis and Dissertation Records |
Final accepted copies of theses and dissertations presented to colleges in fulfillment of requirements for graduate degrees. |
PM |
I |
|
|
|
15.2.032 |
Transcripts |
Transcript, or a record equivalent in function, of the academic achievement of each enrolled student, documenting courses taken, credits granted, grades received, and any degrees or certifications awarded (including any narrative assessments or evaluations prepared in lieu of an assigned grade). |
PM
|
|
|
|
Veterans Affairs Records |
Certification of Enrollment reports required by the U.S. Department of Veterans Affairs (VA) and individual veteran student records that certify to the VA that the student is eligible for educational benefits, is currently enrolled at the institution in a qualifying curriculum and is maintaining standards required to receive entitlements. |
AC+3 |
|
AC = Graduation, date of last attendance, or end of certification period, as applicable. See RSIN 15.2.017 for Hazlewood Act documentation. |
38 CFR 21.4209(f), US Department of Veterans Affairs School Certifying Official Handbook. |
|
15.2.035 |
Non-Academic Withdrawal Records |
Requests and authorizations for a student to withdraw from classes after calendar deadlines without academic penalty for reasons acceptable to a university such as health or family issues. |
AV |
|
|
|
Section 15.3 – Financial Aid and Scholarship Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
15.3.002 |
Financial Aid Application, Award, and Disbursement Records—All Federal, State, Local, and Institutional Grants, Scholarships, and Work-Study Programs |
Approved student applications and disbursement records for all local, state, federal, or institutional grants, scholarships, and work-study programs not covered elsewhere in schedule. May include but not limited to: financial aid need analysis and eligibility forms; financial aid transcripts; copies of documents submitted by students or parents for verification of student aid application information; receipts; account cards; copies of promissory notes; certifications of enrollment status or other data to grantors; work-study certifications and time reports; documentation of entrance and exit interviews; and correspondence. Includes Federal Work-Study (FWS), Federal Supplemental Educational Opportunity Grant (FSEOG), and Pell Grant records. |
AC+3 |
|
AC = End of the award period, or submission of annual report for the award year, whichever later. See RSIN 15.3.010 for veterans’ assistance programs. |
34 CFR 668.24(e), 34 CFR 675.19(b)(1), 34 CFR 676.19(b), 34 CFR 690.82(a). |
15.3.003 |
Financial Aid Application and Award Records—All Federal, State, Local, and Institutional Loan Programs |
Financial aid applications for federal, state, local, or institutional loans not included elsewhere in schedule, including Income Contingent Loans (ICL), Perkins Loans, Federal Family Education Program Loans (Stafford Loans, Unsubsidized Stafford Loans, Federal PLUS Loans, and Federal Consolidation Loans) and Direct Loans (Direct Unsubsidized Loans, Direct PLUS Loans, and Direct Consolidation Loans). May include but not limited to: approved student applications; Student Aid Report (SAR) or institutional Student Information Record (ISIR) used to determine eligibility for Title IV, HEA program funds; documentation of each student's or parent borrower's eligibility; loan counseling; and data verification forms and reports. |
AC+3 |
|
AC = End of the award period, or submission of annual report for the award year, whichever later. See RSIN 15.3.005 for Health Profession and Nursing Student Loan program applications. |
34 CFR 668.24(e), 34 CFR 674.19(e)(3), 34 CFR 682.610(a)(2). |
Financial Aid Application and Award Records—Health Profession and Nursing Student Loan Programs |
Approved student applications; documentation of financial aid; financial aid transcript; student’s name, address, academic standing, and period of attendance; and loan and tuition details. |
AC+5 |
|
CAUTION: May include obsolete Health Education Assistance Loans (HEAL). |
42 CFR 57.215(b), 42 CFR 57.315(a)(2), 42 CFR 60.56(b). | |
15.3.007 |
Financial Aid Application and Award Records—Non-Awarded |
Denied applications for financial aid. |
AC+1 |
|
AC = End of academic period for which aid denied. |
|
Financial Aid Application, Award, and Disbursement Records—Veterans Administration Education Assistance Allowances |
Approved student applications and disbursement records for Veterans Administration (VA) benefits. May include but not limited to: financial aid need analysis and eligibility forms; financial aid transcripts; copies of documents submitted by students for verification of student aid application information; receipts; account cards; copies of promissory notes; certifications of enrollment status or other data to grantors; and documentation of entrance and exit interviews. |
AC+3 |
|
AC = Termination of enrollment. |
38 CFR 21.4209(f). |
|
15.3.011 |
Financial Aid Disbursement and Repayment Records—All Federal, State, Local, and Institutional Loan Programs |
Disbursement and repayment records for loans not included elsewhere in schedule, including Income Contingent Loans (ICL), Perkins Loans, Federal Family Education Program Loans (Stafford Loans, Unsubsidized Stafford Loans, Federal PLUS Loans, and Federal Consolidation Loans) and Direct Loans (Direct Unsubsidized Loans, Direct PLUS Loans, and Direct Consolidation Loans). May include but not limited to: receipts; account cards documenting amount of loan, payment period, and loan period; calculations used to determine amount awarded; date and amount of each disbursement; copies of promissory notes; certifications of enrollment status or other data to grantors or lenders; cancellation, deferment, or payment extension documentation; amount, date, and basis of institution's calculation of any refunds or overpayments due if student withdraws; overpayments; documentation of entrance and exit interviews; records of contacts concerning overdue loans; and correspondence between the university and the borrower, collection agencies, and credit bureaus. |
AC+3 |
|
AC = Date of final repayment or cancellation. See RSIN 15.3.018 for Health Profession and Nursing Student Loan program payments. See RSIN 15.3.026 for Perkins Original Promissory Notes. |
34 CFR 668.24(e), 34 CFR 674.19(e)(3), 34 CFR 682.610(a)(2). |
Financial Aid Disbursement and Repayment Records—Health Profession and Nursing Student Loan Programs |
Disbursement and repayment records for health profession and nursing student loans. May include but not limited to: documentation of amount and date of each loan, payment dates, deferment documentation, and correspondence related to overdue and uncollectible loans. |
AC+5 |
|
AC = Date of retirement of loan. |
42 CFR 57.215(c), 42 CFR 57.315(a)(3). | |
15.3.023 |
Financial Aid Programs |
Documentation of the university's participation in financial aid programs, such as program participation agreements and required reports. |
AC+3 |
|
AC = End of award year in which all reporting is finalized. |
34 CFR 668.24(e)(1)(i), 324 CFR 674.19(e)(3)(i), 34 CFR 675.19(b)(1), 34 CFR 676.19(b), 45 CFR 74.53(b), 34 CFR 690.82(a). |
Perkins Original Promissory Notes |
Promissory notes for student loans negotiated for the current academic year. |
AC |
|
AC = Until loan is satisfied, or documents are needed to enforce obligation. |
34 CFR 674.19(e)(4). |
|
15.3.027 |
Tuition Exemption and Remission Records |
Applications for and supporting documentation evidencing the grant of tuition exemptions or remissions. May include but not limited to: authorizations; reconciled lists; and account summaries. |
AC+3 |
|
AC = End of award year. |
|
15.3.028 |
Tuition Rebate Documentation |
Tuition rebate forms and any supporting documentation pertaining to a college tuition rebate program. |
AC+5 |
|
AC = Graduation or date of last attendance. |
Texas Education Code, 54.0065. |
Section 15.4 Student Privacy Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
15.4.002 |
Access Waiver Records |
Waivers completed by students to allow or revoke access to confidential letters and confidential statements of recommendation. |
AC |
|
AC = Final disposition of record to which waiver applies. |
|
15.4.003 |
Disclosures |
Record of each request for access to and each disclosure of personally identifiable information from the educational records of a student under the Family Educational Rights and Privacy Act (FERPA): documentation of requests from and disclosures to any party other than the student, an official of the university for what the university has determined are legitimate educational interests, a party with or without written consent from the student, or a party seeking directory information. |
AC |
|
AC = As long as disclosed record is maintained. See RSIN 1.1.077 for release of non-FERPA records. |
34 CFR 99.32(a)(2).
|
15.4.004 |
Protest of Record Statements |
Statements by students commenting on contested information in a student record stating why he or she disagrees with a university's decision not to amend a record, or both. |
AC |
|
AC = Final disposition of record containing the contested information.
|
34 CFR 99.21(c)(1). |
15.4.005 |
Record Amendment Requests |
Requests from students to amend student records, notices by an institution of denial or consent to amendments, requests for hearings on denied requests, hearing notices, and written decisions by hearing examiners. |
2 |
|
|
|
15.4.006 |
Student Nondisclosure Requests |
Student request to opt out of directory information disclosure. |
AC |
|
AC = Until termination of nondisclosure request. |
34 CFR 99.37(b). |
15.4.007 |
Written Consents |
Written consents and waivers for information disclosure from the eligible student or student's parents. |
AC |
|
AC = Until termination of waiver. |
|
Section 15.5 – Other Records and Reports
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
15.5.001 |
Academic Standing Reports |
Reports on student academic standing, including academic deficiency and the status changes of academically deficient students. May include but not limited to: reports containing student names, grade point averages (GPAs), grade point deficiencies, numbers of previous suspensions and probations; student petitions for re-evaluation; report of student progress toward academic readmission/removal of probation status at other institutions; academic honors and awards; and related documentation. |
3 |
|
|
|
15.5.002 |
Admissions/Enrollment Reports |
Summary and statistical information relating to student admission programs which may be used for control, planning or review. May include but not limited to: Texas Higher Education Coordination Board (THECB) report; reports sent to administration; or beginning of semester enrollment reports sent to office of institutional research. |
PM |
|
For raw data or working files used to create these reports, see RSIN 1.1.065. |
|
15.5.003 |
Class Lists |
Official record of students enrolled in courses taught, used to cross‐check students who have enrolled against those who have registered as well as in the generation of statistical reports. |
AC |
|
AC = When the list of students who have enrolled has been cross-checked with the list of students who have registered. CAUTION: Class lists often have long-term value in the generation of statistical and other reports. They should be reviewed before disposal, as some of these records may merit long-term or permanent retention. |
|
Recruitment Records |
Recruitment of students based upon disadvantaged status, academic performance, and other criteria. May include but not limited to: interview notes; conversation notes; personal information forms and resumes; test scores; photographs; and academic transcripts. |
AC+1 |
|
AC = End of application term. CAUTION: Does not include records of recruitment of athletes into the institution's intercollegiate athletics program. See RSIN 18.2.018. See RSIN 16.5.010 for external recruiting records. |
|
|
Student Conduct/Disciplinary Action Records |
Academic dishonesty and conduct violations among students. May include but not limited to: incidents reports; final reports; evidence; notification of allegation; disciplinary reports; informal discussion notes; formal hearing notes; final summary statements; decision statements; and appeals documentation. |
AC+3 |
|
AC = Graduation or date of last attendance. CAUTION: For Title IX complaints, see RSIN 15.5.010. |
|
|
15.5.008 |
Student Grievance Records |
Grievances brought forward by students against the institutions which do not result in litigation. Grievances may pertain to academic issues; housing; affirmative action and equal opportunity; student conduct; and other issues. May include but not limited to: notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio tapes); final summary statements; settlement agreements; and appeals documentation. |
AC+5 |
|
AC = Graduation or date of last attendance. CAUTION: If a grievance brought forward by students against the institution becomes part of litigation, it should be retained as a litigation record per RSIN 1.1.048. If the grievance goes to the university ombudsman, the record should be retained as an ombudsman record per RSIN 3.1.039. CAUTION: For Title IX complaints, see RSIN 15.5.010. |
|
Title IX Complaints |
Title IX complaints, investigations, and determination of responsibility, including informal resolution or appeal. |
AC+7 |
|
AC = Final resolution of issue and appeals. |
34 CFR 106.45(b)(10). |
Category 16: University Services Records
Section 16.1 – Health and Counseling Records
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
16.1.001 |
Abuse and Neglect Records |
Documentation of abuse and/or neglect findings observed by medical staff during patient care. The findings may be incident/variance reports and evidence of child, domestic, elder, or other kinds of abuse. |
AC |
|
AC = 10 years after report date for adults, or 10 years after minor reaches the age of majority. |
Code of Criminal Procedure, 12.01. |
16.1.002 |
Adverse Drug Event Records |
Records related to adverse drug events or medical occurrences in patients and others served by the institution, excluding events taking place during a research study. |
5 |
|
See RSIN 17.3.012 and 17.3.013 for research data. |
|
16.1.003 |
Birth Reports |
This records series consists of all necessary information for the completion of the birth certificate including baby's name, weight, height, time/date/location of birth and information on the baby's parents. The record copy of the birth certificate is retained by the Office of Vital Statistics. |
AC+21 |
|
AC = Report date. |
|
16.1.004 |
Blood Bank and Transfusion Records |
Documentation of all significant steps in the collection, processing, compatibility testing, storage, and distribution of each unit of blood and blood components. |
AC |
|
AC = 10 years after the records of processing have been completed or 6 months after the latest expiration date for the individual product, whichever later. CAUTION: When there is no expiration date, records must be retained PERMANENTLY. See RSIN 16.1.019 for blood donor deferrals. |
21 CFR 606.160, American Blood Bank (AABB) and Standards for Blood Banks and Transfusion Services (BB/TS). |
16.1.005 |
Brachytherapy Patient Monitoring |
Radiation area surveys performed on patients treated with radioactive materials. |
PM |
|
|
25 TAC 289.202(ggg)(5). |
16.1.006 |
Communicable Disease Records |
Communicable disease logs and reporting records. May include but not limited to: copies of laboratory test results; name and address of patient; date; and person making referral. |
3 |
|
See RSIN 16.1.013 for other laboratory test results. |
25 TAC 97.2. |
Continuing Medical Education (CME) Class Records |
Records required for accreditation and administration of Continuing Medical Education (CME), Continuing Dental Education (CDE), and Continuing Nursing Education (CNE) training courses or programs, including activity and attendance records. |
6 |
|
See RSIN 17.1.006 for all other continuing education records.
|
Accreditation Council for Continuing Medical Education (ACCME). |
|
Mental Health |
Professional counseling center service records. May include but not limited to: extensive notes made by providers concerning the assessment, diagnosis, treatment and contacts (written, telephone, or in person) with each client; mental health records; therapy records; psychotherapy notes; referral letters; release of information agreements; and letters to agencies or others concerning clients. |
AC |
|
AC = 7 years after termination of services with client, or 5 years after client reaches age of majority, whichever greater. CAUTION: Follow professional licensing board rules if they require longer retention. CAUTION: Student athlete medical records may have additional requirements per NCAA rules. See RSIN 18.2.005. See RSIN 16.1.025 or 16.1.026 for medical records. See RSIN 16.1.034 for psychotherapy notes. |
|
|
Disclosure of Protected Health Information |
Disclosures and policies or procedures governing the protection of Protected Health Information (PHI) in accordance with the Health Information Portability and Accountability Act (HIPAA). |
AC+6 |
|
AC = Date of disclosure or last effective date of policy, whichever applicable. |
45 CFR 164.528(b)(1), 45 CFR 164.530(j). |
|
16.1.010 |
Donor Records—Medical |
Bequeathal forms, cadaver tracking and acceptance information, death certificates, State Anatomical Board (SAB) forms, Morgue Control Sheets, and final disposition records for people who have donated their bodies, organs, or tissues to the institution. |
PM |
|
For other physical and monetary donations and gifts, see RSIN 13.2.003. |
Health and Safety Code, 691.031. |
16.1.011 |
Medical Assistance Applications |
Applications submitted on behalf of a patient to a drug company's or medical institution's assistance program. |
US+1 |
|
|
|
16.1.012 |
Drug Recall Notices |
United States Food and Drug Administration (FDA) and manufacturer recalls on drugs. May include but not limited to: reportable occurrences of drug use; recalls through the manufacturer; and responses by departments. |
AC |
|
AC = 5 years after the records of manufacture have been completed or six months after the latest expiration date for the individual product, whichever later. |
21 CFR 600.12, 21 CFR 7.59(c). |
Final Laboratory Test Reports—Pathology |
Test results and preliminary reports specific to pathology, histology, and cytology testing. Documentation includes the test requisition plus the specimen's accession number, the date and time the lab received the specimen, the condition and disposition of samples which do not meet the lab's acceptance standards, and the records and dates of performance of each step in the patient testing leading to and including the final report. |
10
|
|
|
42 CFR 493.1105(a)(6)(ii). |
|
16.1.014 |
Forensic Autopsy Records |
Final forensic autopsy reports. |
PM |
|
CAUTION: This series applies only to inquests into a death occurring in a county that does not have a medical examiner's office or that is not part of a medical examiner's district. |
College of American Pathologists (CAP) Recommendation. |
16.1.015 |
Forensic Autopsy Supporting Documents |
Cause of death worksheets, interview notes, and copies and reference materials from hospitals, nursing homes, ambulances, law enforcement, or other entities that may be used in the development of final autopsy report or in medical/legal cases. |
AC+25 |
|
AC = Date of death. |
|
16.1.016 |
Health Assessment |
Health assessment and screening records performed outside of regular treatment facilities and not entered into patient medical records (e.g., cholesterol screening, blood pressure testing, etc.). |
AV
|
|
See RSIN 16.1.009 for disclosures of protected health information (PHI). |
|
16.1.017 |
Health Referrals—Denied or Not Seen |
Documentation of instances where outpatients are referred to the institution by non-institutional practitioners who are denied health-related services or who are not seen by the institution. |
AV |
|
|
|
16.1.018 |
Immunization Record and Consent Forms |
Signed consent forms and records noting the type of immunization performed which are not included in the patient's medical record. |
AC |
|
AC = 21st birthday for minors, or 10 years following end of calendar year in which the consent form was signed, whichever later. See RSIN 1.1.067 for immunization reports required by the Texas Education Code and the Texas Health and Safety Code. |
|
Indefinite Donor Deferral List |
Lists of potential donors who have been deferred indefinitely due to abnormal test results. |
PM |
|
|
American Blood Bank (AABB) and Standards for Blood Banks and Transfusion Services (BB/TS). |
|
16.1.020 |
Laboratory Inspection Records—Calibration Records |
In-house survey or calibration of laboratory equipment on a regular basis. |
3 |
|
See RSIN 5.2.005 for calibration records of non-regulated equipment. |
42 CFR 493.1105, 25 TAC 289.202(nn)(1). |
16.1.022 |
Medicaid Provider Records |
All records necessary to fully disclose Medicaid reimbursable services provided, including financial records relating to program services. |
AC+5 |
|
AC = Date of service or until all audit questions, appeal hearings, investigations, or court cases are resolved. |
1 TAC 354.1004. |
16.1.023 |
Medical Device Recall Notices and Responses |
United States Food and Drug Administration (FDA), Safe Medical Devices Act (SMDA) and manufacturer recalls on all medical, food and drug devices. May include but not limited to: reportable occurrences on devices, recalls through the manufacturer, and responses by institutional departments. |
AC+2 |
|
AC = Life of device (device no longer in use, has been explanted, returned to the manufacturer, or patient has died). |
21 CFR 806.20(c), 21 CFR 821.60. |
16.1.024 |
Medical Logs |
Log of patients visiting the health institution (both inpatients and outpatients) and patient encounters. The log may be used to create annual census reports and 3-year census comparisons, and it may include the date and time that the patient came in; appointment; admission; transport; dispatch; the physician assigned; diagnosis; discharge; patient photo; patient service; length of stay; remarks; case logs, and other medical logs. |
3 |
|
|
|
Medical Records—Hospital |
Medical services history provided for patients treated by physicians, psychologists, or psychiatrists, and other medical staff at university hospitals, counseling centers, or other health institutions. May include but is not limited to: appointment requests; summary sheets; copies of test results; treatment record forms; diagnoses; screenings; initial evaluations and assessments; referrals; personal health histories; dental examinations; physical therapy notes; release forms; notes; and memoranda. |
AC |
|
AC = 7 years after termination of services with client, or until client reaches 21 years of age, whichever greater. CAUTION: For records documenting forensic sexual assault exams, records must be retained for 20 years, per Health and Safety Code 241.1031. CAUTION: Student athlete medical records may have additional requirements per NCAA rules. See RSIN 18.2.005. See RSIN 16.1.008 for mental health, counseling, and psychotherapy records. See RSIN 16.1.026 for student health clinic records. See RSIN 16.1.034 for psychotherapy notes. See RSIN 16.1.038 for medical source data. |
22 TAC 165.1(b). |
|
Medical Records - Student Health Clinic |
Medical services history provided for students treated by the student health center. May include but not limited to: appointment requests; summary sheets; copies of test |
AC |
|
AC = 7 years after termination of services with client, or until client reaches 21 years of age, CAUTION: For records |
22 TAC 165.1(b). |
|
16.1.027 |
Medical Rotation Records—Non-Affiliated Medical Students, Residents and Fellows |
Medical rotation records for medical students, residency physicians, or fellows not affiliated with this university, but are accepted to practice medicine under the supervision of a licensed physician at this hospital as part of an elective not offered at their hospital. May include but not limited to: formal request to rotate; curriculum vitae; drug test; permit to practice medicine; and evaluations. |
AC+5 |
|
AC = Completion of training or date of last attendance. CAUTION: Records for affiliated students are kept with other student records, and records for affiliated residents/fellows are kept with residency records (RSIN 16.1.036 and 16.1.037). |
|
16.1.029 |
Non-Forensic Autopsy Records |
Records relating to non-forensic autopsies, including reports, blocks, and slides. |
10 |
|
|
College of American Pathologists (CAP) recommendation. |
16.1.030 |
Patient Valuables Inventory |
Inventory of patient valuables. |
AC |
|
AC = Date valuables returned or determined to be unclaimed property. See RSIN 4.5.010 for unclaimed property records. |
|
Pharmacy Records—Prescription and Inventory |
Inventory, prescription slips, and other records of the purchase, acquisition, disposal, or dispensation of drugs and controlled substances as required by federal law and regulations, state law, and the rules of the Texas State Board of Pharmacy (TSBP). |
AC+2 |
|
AC = The later of the date that the record was required to be created, the record was created, or the prescription was last filled. CAUTION: See legal citations for special filing requirements for controlled substance and electronic prescriptions. See RSIN 17.3.018 for pharmacy records related to animal research. |
21 CFR 1304.04(a), Health and Safety Code, 481.067(c) and 483.023, 22 TAC 291.75(a). |
|
16.1.031b |
Pharmacy Records—Personnel Log |
Pharmacy log of the unique initials or identification codes which identify pharmacy personnel by name. |
AC+7 |
|
AC = Date of transaction. |
22 TAC 291.75(e)(1). |
16.1.033 |
Poison Center Case Sheets |
Poison Control Center calls and case sheets documenting individual poisoning or suspected poisoning incidents. Information may include date/time called, location of call, case number, name of individual, substance ingested, treatment, and medical outcome. |
21 |
|
|
|
Psychotherapy Notes |
Notes recorded by a health care provider who is a mental health professional documenting or analyzing the contents of conversation during a private counseling session or a group, joint, or family counseling session and that are separated from the rest of the individual's medical record. Psychotherapy notes exclude medication prescription and monitoring, counseling session start and stop times, the modalities and frequencies of treatment furnished, results of clinical tests, and any summary of the following items: diagnosis, functional status, the treatment plan, symptoms, prognosis, and progress to date. |
AC |
|
AC = 7 years after termination of services with client, or until client reaches 21 years of age, whichever greater. See RSIN 16.1.008 for counseling records. |
45 CFR 164.501. |
|
16.1.035 |
Quality Assurance Records—Health Services |
Quality assurance records such as documentation of equipment monitoring; checks of quality control items, and any necessary corrections; reports by the staff; quality assurance committee notes; Morbidity & Mortality (M&M) conferences for residents; chart reviews; and staff reviews. |
2 |
|
CAUTION: Federal or state regulations may require longer retention periods for specific health quality assurance reports. |
|
Physician in Training (PIT) Formative Evaluations |
Formative evaluations of resident physicians created during training periods. |
AC |
|
See RSIN 16.1.037 for final summative evaluations.
|
|
|
Physicians in Training (PIT) Completion Records |
Records created to verify completion of residency and fellowship education requirements for accepted physicians in training. May include but not limited to: final summative evaluations; Certification of Residency; and completion of resident program. |
AC+50 |
|
AC = Completion of training, or last date of training, as applicable. See RSIN 16.1.007 for Continuing Medical Education records. See RSIN 16.1.036 for formative resident evaluations. |
|
|
Medical Source Data |
Medical source data and health information stored in any original media. May include but not limited to: paper diagnostic tests or tools; X-rays; videotapes; ultrasounds; fetal monitor strips; photographs (either conventional photos or digital images); EKG strips; and ancillary or supporting systems (e.g., pharmacy information systems and radiation oncology information systems). Source data is distinct from the written interpretations of significant clinical information that has been forwarded to the medical record. |
5 |
|
CAUTION: Some source data, such as fetal monitoring strips or mammography images, may need to be kept longer. See RSIN 16.1.025 or 16.1.026 for information transcribed in medical records. |
42 CFR 482.26(d)(2). |
|
16.1.040 |
Student Health Insurance Records |
University copies of information relating to the selection by students of health insurance offered to students through the university. |
AC |
|
AC = Until superseded or date of last attendance. |
|
16.1.041 |
Surgical Instrument Sterilization Records |
Sterilization of surgical instruments used by the health institution. May include autoclave recording charts and log sheets indicating date, load number, items sterilized, and temperature/time settings. |
2 |
|
|
|
Section 16.2 – Library, Archives, and Museum
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
16.2.001 |
Circulation Records |
Records documenting the borrowing of circulating library materials or equipment by qualified patrons (including courtesy and guest borrowers). May include but not limited to: the name and identification of the borrower; material due dates; and overdue item notations. |
AC |
|
AC = Transaction is completed. See RSIN 4.1.009 for fines. The disposal of circulation records need not be documented through destruction authorizations (RSIN 1.2.001), or in records disposition logs (RSIN 1.2.010). |
|
16.2.002 |
Archives Collection Control Records |
Collection control records documenting accessioning, cataloging, preserving, and referencing. May include but not limited to: deeds of gift; appraisal reports (monetary or non-monetary); accession sheets and reports; archives transmittal lists; deaccessioning recommendations; and loss of archival materials. |
PM |
|
See RSIN 1.2.013 for archival finding aids. |
|
16.2.003 |
Collection or Artifact Loan Records |
Artifact and material loans contracted between units of the institution or between the institution and either other institutions or individuals. May include but not limited to: signed and legally binding agreements for incoming and outgoing loans between the collection administrators; receipts for loans and return of materials to the legal holder; and related forms, documentation, and correspondence. |
AC+7 |
|
Upon the expiration of the retention period, repositories should consider transferring loan records to RSIN 16.2.002 if they possess continuing reference or administrative value. |
|
16.2.006 |
Exhibit Records |
Exhibit records documenting the display and use of artifacts and materials. May include but not limited to: artifact labels or placards; photographs of exhibits; exhibit renderings; and exhibit assembly and presentation instructions. |
AC |
O
|
AC = Conclusion of exhibit. ARCHIVES NOTE: For museums, archival review and selection may be performed by museum curatorial staff. Materials pertaining to major exhibits may possess long-term historical value and may be retained either in the institutional archives or the museum unit, as appropriate. |
|
16.2.007 |
Interlibrary Loan (ILL) Records |
Interlibrary loan requests fulfilled by the university library system for materials from outside institutions for materials requested from outside library systems. |
AC |
|
AC = Transaction is completed. See RSIN 4.1.001 for accounts payable records. |
|
Library Catalog |
Catalog of bibliographic records used as a guide to library holdings. |
US |
|
CAUTION: See RSIN 4.7.004 for records documenting purchase of library materials. The disposal or supersession of library catalog records need not be documented through destruction authorizations (RSIN 1.2.001v), or in records disposition logs (RSIN 1.2.010). |
|
|
16.2.009 |
Library Materials Control Records |
Records of the acquisition and cataloging of library material. |
AC |
|
AC = Catalog updated. See RSIN 16.2.008 for library catalog. See RSIN 4.7.004 for records documenting purchase of library materials. The disposal or supersession of library catalog records need not be documented through destruction authorizations (RSIN 1.2.001), or in records disposition logs (RSIN 1.2.010). |
|
16.2.010 |
Patron Registration Records |
Patron registration forms filled out by archives users to gain access to the reading room to view archival materials. May also include photocopies of photo identification or other related materials. |
4 |
|
See RSIN 5.4.011 for sign-in sheets, guest books, patron logs, and similar records documenting visitors to limited access or restricted areas of university facilities. |
|
16.2.011 |
Permissions History Files |
Records of the repository granting/denying permission to reproduce images of items in the collection. Includes permission forms and correspondence requesting permission to publish images from archival collections. |
AV |
|
|
|
16.2.012 |
Reference Request Records |
This series documents requests for information about, or access to, items within the institution's collections. This series may include but is not limited to: reference request forms; general email correspondence; disposition of or time spent fulfilling the requests; call slips (also called pull slips); and related documentation and correspondence. |
AV |
|
See RSIN 1.1.064 for performance measures documentation. See RSIN 1.1.069 for activity reports. |
|
Section 16.3 – Campus Security
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
16.3.001 |
Antenna and Transmitter Documentation |
Records documenting the monitoring, inspection, measurement, repair, and illumination of antenna, antenna supporting structures, and transmitters authorized to operate with a power output in excess of two watts. |
1 |
|
|
47 CFR 90.447. |
Arrest Reports |
Arrest report and fingerprints on each person arrested and charged with a felony or a misdemeanor not punishable by fine only. Report includes the name (including aliases), date of birth, and physical description of the offender; the name of the arresting agency; the arrest charge and whether it is a felony or a misdemeanor; the date of arrest; and the date and exact disposition of the case by the agency. |
75 |
|
CAUTION: If the arrest report does not provide the information listed in the record description, offense investigation records must be retained 75 years or until date of death of the individual. CAUTION: For retention of juvenile fingerprints, consult Family Code 58.002. NOTE: Records may be destroyed upon date of death of individual, if known. See RSIN 16.3.036 for Class C misdemeanors or other violations punishable by fine only. |
Code of Criminal Procedure, 66.102. |
|
16.3.003 |
Bicycle Registration Records |
Registrations completed by institution students, faculty, and staff for use of bicycles on campus. |
AV |
|
|
|
16.3.004 |
Annual Fire Safety Report |
Annual fire safety report containing summary fire statistics, fire drill data, fire safety education procedures, and data regarding the nature, date, time, and general location of fires occurring in on-campus student housing facilities. |
3 |
O |
|
34 CFR 668.49. |
16.3.005 |
Campus Fire Log and Statistics |
Fire log and statistics on the number of fires, the number of persons who received fire-related injuries, the number of deaths related to fire, and the property damage caused by fire for each on-campus student housing facility. |
7
|
|
|
34 CFR 668.49(c)(1). |
16.3.007 |
Campus Notifications |
Emergency notifications distributed to the campus community via email, text message, or other method regarding emergencies, evacuations, "timely warnings" related to public safety, and weather related instructions. |
3 |
O |
|
|
16.3.008 |
Chemical Breath Test Records |
Logs, test records, operational check lists, and similar records relating to the administration of chemical breath tests or breathalyzer. |
2 |
|
|
|
16.3.009 |
Child Abuse Reports |
Copies of child abuse reports received by a law enforcement agency pursuant to Family Code, Sections 261.103 and 261.105, which do not become part of arrest and offense investigation records. |
3 |
|
|
|
16.3.010 |
Clery Act Reporting—Annual Security Report |
Annual security report summarizing statistics on the nature, date, time, general location, and disposition of the complaint (if known) of crimes investigated by campus police, created pursuant to the Clery Act. |
7 |
O |
|
20 USC 1092(f), 34 CFR 668.46.
|
16.3.011 |
Clery Act Reporting—Crime Log and Statistics |
Crime log and statistics on criminal homicide; sex offenses; robbery; aggravated assault; burglary; motor vehicle theft; arson; and arrests for liquor law violations, drug law violations and illegal weapons possession. Includes crimes occurring on campus, in or on non-campus buildings or property, and on public property, pursuant to the Clery Act. |
7 |
|
|
20 USC 1092(f), 34 CFR 668.46. |
16.3.013 |
Clery Act Reporting—Emergency Response and Evacuation Procedures |
Policies developed to provide warning to students and employees of crimes representing a threat to safety, as pursuant to the Clery Act. |
7 |
|
|
20 USC 1092(f), 34 CFR 668.46(g). |
16.3.014 |
Communication Logs |
Records of internal communications, including telephone and radio logs. |
30 days |
|
See RSIN 16.3.018 for dispatch records. |
|
16.3.015 |
Criminal Intelligence and Analysis Files |
Records created and maintained to anticipate, prevent, or monitor possible criminal activity, including crime pattern, crime analysis, and modus operandi reports; forecasts; evaluation reports; investigation recommendations; reports on movements of known offenders; information on confidential informants; and messages and alerts from other agencies. |
AV |
|
CAUTION: Information compiled by a law enforcement agency concerning criminal combinations or criminal street gangs must be destroyed after 5 years if it meets certain criteria under Code of Criminal Procedure, 67.151(b).
|
Code of Criminal Procedure, 67.151(b). |
16.3.016 |
Daily Bulletins |
Daily routine informational communications for public safety officers and personnel on duty which may include daily blotter, weather advisories, hazardous conditions, and reminders about "be on the lookout for" (BOLO) notifications. |
1 |
|
|
|
16.3.017 |
Death in Custody Reports |
Reports submitted by the director of a law enforcement agency to the Attorney General concerning the deaths of persons while in the custody of a peace officer. |
3 |
|
|
Code of Criminal Procedure, 49.18. |
Dispatch Reports |
Record created by dispatcher on each call for service documenting the dispatch of a campus police officer to investigate a disturbance or possible crime on the institution's campus. Includes date and time call received, nature of call, and details of action taken in response to call. |
2 |
O
|
|
|
|
16.3.020 |
Emergency Protective Orders |
Emergency protective orders issued by magistrates. |
AC |
|
AC = Period that the order is effective.
|
Family Code, 85.025, Code of Criminal Procedure, 17.292(j).
|
16.3.023 |
Field Interrogation Reports |
Reports on persons stopped and interrogated in the field because of suspicious behavior. |
AV |
|
|
|
16.3.024 |
Fingerprint Records—Other |
Fingerprint records other than those maintained in arrest records and offense investigations. |
AV |
|
For fingerprints collected during an investigation or arrest, see RSIN 16.3.002, 16.3.033, 16.3.035, 16.3.037, and 16.3.038. |
|
16.3.026 |
GPS Tracking Records |
Global Positioning System (GPS) data used to track locations of police and other state vehicles. |
30 days |
|
The disposal of monitoring records that are automatically overwritten need not be documented through destruction authorizations (RSIN 1.2.001) or in records disposition logs (RSIN 1.2.010). |
|
Campus Security and Incident Reports |
Reports concerning suspicious incidents, complaints, and dating and domestic violence that, after investigation, did not appear to have involved the commission of a crime or do not become a part of arrest or offense investigation records. |
3
|
|
CAUTION: See RSIN 16.3.011 for reporting of all incidents required by the Clery Act. |
|
|
16.3.028 |
Law Enforcement Information Dissemination, Inquiry, and Receipt Records |
Reports, logs, and other records pertinent to documenting the dissemination and receipt of criminal histories and dissemination of other information to law enforcement or other agencies through crime information networks (e.g., Texas Crime Information Center [TCIC], National Crime Information Center [NCIC]). |
AV |
|
CAUTION: Departments other than campus law enforcement see RSIN 3.1.026 for criminal history checks.. |
|
16.3.029 |
Internal Affairs Investigation Records—Death/Injury |
Records documenting the initiation, investigation, and disposition of internal affairs investigations of alleged misconduct by law enforcement officers. Includes records of investigation of law enforcement shooting incidents which result in death or injury to any person, including a police officer. |
PM |
|
|
|
16.3.030 |
Internal Affairs Investigation Records—Formal Discipline |
Records documenting the initiation, investigation, and disposition of internal affairs investigations of alleged misconduct by law enforcement officers. Includes records of investigations that result in sustained formal discipline (i.e., disciplinary action at or above the level of a written reprimand). |
AC+15 |
|
AC = Completion of the investigation. |
|
16.3.031 |
Internal Affairs Investigation Records—Informal Discipline/Inconclusive |
Records documenting the initiation, investigation, and disposition of internal affairs investigations of alleged misconduct by law enforcement officers. Includes records of investigations that result in sustained informal discipline (i.e., disciplinary action below the level of a written reprimand) or of investigations whose findings are inconclusive. |
AC+5 |
|
CAUTION: A 1-year infraction-free period must precede the date of destruction. |
|
16.3.032 |
Internal Affairs Investigation Records—Unfounded/Not Sustained |
Records documenting the initiation, investigation, and disposition of internal affairs investigations of alleged misconduct by law enforcement officers. Includes records of investigations whose findings are not sustained, or in cases where accusations are determined to be unfounded or the accused is exonerated. |
AC+3 |
|
CAUTION: A 1-year infraction-free period must precede the date of destruction. |
|
Missing and Unidentified Persons Files |
Reports on missing children and adults, requests for investigation, photographs, fingerprints, dental records, X-rays, notifications of possible match, and similar documents relating to the location of missing children and adults, including similar records relating to unidentified bodies. |
AC+3 |
|
AC = Date person located or body identified. |
|
|
16.3.034 |
Mug Books |
Photographs or mug shots of known offenders used by crime victims or witnesses for identification, other than those maintained in arrest records and offense investigations. |
AV |
|
|
|
Offense Records—Class A and B Misdemeanors and State Jail Felonies |
Cases cleared by the conviction or acquittal of the person arrested or cited, by the dismissal of charges against the person, or by the entry on the record of a court by a prosecuting attorney of a nolle prosequi. May include but not limited to: offense and supplemental offense reports; investigation reports and notes; witness statements; latent fingerprints; results of chemical analysis and polygraph tests; crime scene, mug shot, and other photographs; laboratory reports; citations; affidavits; criminal process; victim impact statements; and other records relating and customary to the investigation of criminal offenses or other violations of state law or local ordinance. |
2 |
|
CAUTION: For retention of juvenile case files, consult Family Code 58.264(b). NOTE: Records may be destroyed upon the death of the individual, if known.
|
|
|
Offense Records—Class C Misdemeanors |
Arrest reports and citations for Class C misdemeanors and unclassified violations of state law or local ordinance punishable by fine only, such as Minor in Possession (MIP), Minor in Consumption (MIC), and possession of drug paraphernalia.. |
6 MO |
|
CAUTION: For retention of juvenile case files, consult Family Code 58.264(b). |
|
|
Offense Records—First-Degree and Capital Felonies |
Cases cleared by the conviction or acquittal of the person arrested or cited, by the dismissal of charges against the person, or by the entry on the record of a court by a prosecuting attorney of a nolle prosequi. May include but not limited to: offense and supplemental offense reports; investigation reports and notes; witness statements; latent fingerprints; results of chemical analysis and polygraph tests; crime scene, mug shot, and other photographs; laboratory reports; citations; affidavits; criminal process; victim impact statements; and other records relating and customary to the investigation of criminal offenses or other violations of state law or local ordinance. |
50 |
|
CAUTION: For retention of juvenile case files, consult Family Code 58.264(b). NOTE: Records may be destroyed upon the death of the individual, if known. |
|
|
Offense Records—Second- and Third-Degree Felonies |
Cases cleared by the conviction or acquittal of the person arrested or cited, by the dismissal of charges against the person, or by the entry on the record of a court by a prosecuting attorney of a nolle prosequi. May include but not limited to: offense and supplemental offense reports; investigation reports and notes; witness statements; latent fingerprints; results of chemical analysis and polygraph tests; crime scene, mug shot, and other photographs; laboratory reports; citations; affidavits; criminal process; victim impact statements; and other records relating and customary to the investigation of criminal offenses or other violations of state law or local ordinance. |
10
|
|
CAUTION: For retention of juvenile case files, consult Family Code 58.264(b). NOTE: Records may be destroyed upon the death of the individual, if known. |
|
|
Parking Citation Records |
Citations issued to regular on-campus parking, including petitions to appeal citations. |
AC+6 MO |
|
AC = Payment of ticket or resolution of appeal, whichever applicable. See RSIN 4.1.009 for payment of fines. |
|
|
16.3.041 |
Pawn Shop Tickets |
Information supplied by pawn shops and sent to law enforcement. Includes individual receipts or lists of items pawned. |
AV |
|
|
|
16.3.042 |
Police Activity Logs or Dockets |
Logs or equivalent records, usually arranged chronologically or by case, court, or citation number, providing summary data on complaints investigated by law enforcement officers, arrests made, citations issued, accidents investigated, court arraignments, court appearances by officers, and similar activities relating to the arrest or citation of persons or the investigation of offenses. |
2 |
O
|
|
|
16.3.043 |
Police Animal Records |
Records concerning horses, dogs, or other animals utilized by campus police, including records of the acquisition of the animal, its registration and pedigree papers , records of training, and its veterinary history. |
AC+2 |
|
AC = Retirement, death, or sale of the animal. |
|
16.3.044 |
Police Audiovisual Recordings |
Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible Driving While Intoxicated (DWI) or other violations. |
AC+90 days |
|
CAUTION: A recording created with a body worn camera and documenting an incident that involves the use of deadly force by a peace officer or that is otherwise related to an administrative or criminal investigation of an officer may not be deleted, destroyed, or released to the public until all criminal matters have been finally adjudicated and all related administrative investigations have concluded. CAUTION: For retention of juvenile recordings, see Family Code 54.012. The disposal of police audiovisual recordings need not be documented on a disposition log, but institutions should establish procedures governing disposal of these records as part of its records management plan. |
|
16.3.046 |
Polygraph Examination Records |
Polygraph charts, question sheets, reports of examination results, data sheets, films, audio and video of examinations, opinions from the examiner from chart analysis, and other records pertinent to a polygraph examination. |
2 |
|
CAUTION: If a report of the results of a polygraph examination is placed in offense investigation records, it must be retained for the retention period for those records. See RSIN 3.1.043 for polygraphs related to employee selection. |
|
16.3.047 |
Rap Sheets |
Rap sheets received from the Texas Department of Public Safety (DPS) or other law enforcement agencies. |
AV |
|
|
|
16.3.048 |
Special Watch Records |
Informational forms or lists provided to officers for campus areas, buildings, or residences needing special watch, including requests from the public for such watches. |
AV |
|
|
|
16.3.050 |
Wanted Persons Files |
Records received on persons wanted by other law enforcement agencies. |
AV |
|
|
|
16.3.051 |
Warning Citations |
Warning citations issued for violations of motor vehicle laws or for those violations of the penal code (e.g., criminal trespass) in which the issuance of warning citations is customary. |
AV
|
|
See RSIN 16.3.039 for parking citations. |
|
16.3.052 |
Weapons Records—Disposition |
Records documenting the disposition of police weapons, including but not limited to buy-back programs, trade-ins, and upgrades with vendors. |
3 |
|
|
|
16.3.053 |
Weapons Records—Inspection and Repair |
Records of inspection and repair of weapons. |
LA |
|
|
|
16.3.054 |
Weapons Records—Inventory |
Inventories of weapons. |
US+3 |
|
|
|
16.3.055 |
Weapons Records—Issuance |
Logs for issuing weapons to officers. |
AC+3 |
|
AC = Return of weapon. |
|
Section 16.4 – Housing and Dining
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
Alcoholic Beverage Control Records |
Annual and temporary event licensing for dispensing and serving alcoholic beverages. May include but not limited to: alcohol use requests or waivers; applications for event licenses or permits; and related documentation. |
AC+3 |
|
See RSIN 11.1.010 for other permits and licenses issued by the university.
|
|
|
16.4.002 |
Menus |
Approved dining menus for each food service location. |
AV |
|
CAUTION: If menu's primary function is providing a price list, see RSIN 5.1.012. |
|
16.4.003 |
Non-Tenant/Denied Student Housing Applications |
Applications and selection decision documentation for applications that do not result in occupancy. May also include consumer reports and authorizations to obtain credit information. |
AC+1 |
|
AC = End of application term. CAUTION: If the institution obtains credit report information, then records created under this series must be retained 5 years beyond the application term. Fair Credit Reporting Act (FCRA), 15 USC 1681p. See RSIN 16.4.005 for applications that do result in occupancy. |
|
16.4.004 |
Student Housing Judicial Record |
Resident applications to appeal penalties received after violating the terms of their student housing or food service contracts, and decisions made on such appeals. |
AC+7 |
|
See RSIN 15.5.007 for incidents that result in disciplinary action. See RSIN 16.3.027 for incidents referred to law enforcement. |
|
16.4.005 |
Student Housing Tenant Records |
Records of occupancy in all institution administered housing: residence halls, family housing, or cooperative housing. May include but not limited to: housing applications; proof of admission records; and related documentation. |
AC+7 |
|
See RSIN 5.1.001a/b for housing contracts. |
|
Section 16.5 Other University Services
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
16.5.001 |
Disability Accommodation Requests |
Accommodation requests, including ADA (Americans with Disabilities Act) and Section 504 of the Rehabilitation Act requests, for students or university visitors participating in the Services to Students with Disabilities (SSD) or similar program. |
AC+2 |
|
AC = Request denied or cessation of services, as applicable. See RSIN 16.1.008 for counseling records. See RSIN 3.1.042 for employee accommodation requests. |
|
16.5.002 |
Career Counseling and Placement Records |
Records used to assist students in planning career goals and connecting with prospective employers. May include but not limited to: career goals; academic credentials; personal data; work experience; honors; distinctions; and consent forms for release of information. |
AC+5 |
|
AC = Graduation or date of last attendance. |
|
Child and Youth Program Staff Records |
Staff applications for child and youth programs, background check reports, and training documentation. |
AC+2 |
|
AC = Termination of staff. CAUTION: If the youth camp is notified of an investigation or conviction of a camp staff member for an act of sexual abuse, as defined by §21.02 of the Texas Penal Code, which occurred at the camp, the camp shall retain all records related to the investigation or conviction until the department notifies the camp that the record retention is no longer required. |
25 TAC 265.12. |
|
Childcare Center Records —Individual Child |
Childcare center records, including child enrollment agreement; admission information; health and medical records or test results; licensing incident/illness report form; attendance lists; healthcare professional recommendations or orders for providing specialized medical assistance to a child; and all records required to be kept on file by 26 TAC 746.801. |
AC+3 MO |
|
AC = Specialized medical assistance is no longer needed, or child's last day in care, as applicable. See RSIN 16.5.007 for medication administration. |
26 TAC 746.801 and 746.803. |
|
16.5.006 |
Childcare Center Records —Licensing, Safety, and Compliance |
Childcare center administrative records required under 26 TAC 746.801. |
3 MO |
|
CAUTION: Refer to RRS Section 3 for personnel and training records, including employee attendance records. |
26 TAC 746.801 and 746.803. |
Child-Care Center Records—Medication Administration |
Medication logs, instructions, and other records related to the administration of medication to children in the child-care facility's care. |
AC+3 MO |
|
AC = Administration of medication. See RSIN 16.5.004 for health-care professional recommendations or orders for specialized medical assistance. |
40 TAC 746.603(a)(9) and (b)(1).
|
|
16.5.008 |
Identification Card Administration Records |
Images, application forms, or similar records documenting the issuance of identification cards to university students, staff, or faculty. |
AC |
|
See RSIN 5.4.012 for records documenting the issuance of keys, identification cards, or similar instruments of access to university facilities. |
|
16.5.009 |
Non-Institution Student Records |
Senior learning programs and elementary through high school level program records for non-institution children, youth, and other students, including students belonging to special, minority, or disadvantaged groups. May include but not limited to: application, admission, and enrollment documentation; progress reports and assessments; parental consent forms; activity records; lists of attendees; personal and family information; medical and health documentation; selection and decision making documentation; Educational Opportunity Program (EOP) documentation; notification of admission and non-admission; recommendations and evaluative materials; copies of academic records; counseling and advising notes and documentation; housing and conduct documentation; immigration and citizenship documentation; and financial responsibility records. Programs include but are not limited to: Upward Bound and High School Equivalency Program (HSEP). |
AC+3 |
|
See RSIN 16.5.003 for child and youth program staff records. |
|
External Recruiter Records |
This series provides a record of recruiter visits to the campus to participate in job fairs or conduct job interviews. May include but not limited to: scheduling calendars; recruiter schedules; recruiter information forms; lists of interviewees; and feedback forms from recruiters. |
2
|
|
See RSIN 1.1.019 for marketing materials. See RSIN 15.5.005 for university student recruitment. |
|
Category 17: Academic Affairs
Section 17.1 – General Academic Affairs
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
17.1.001 |
Academic Program Administrative Records |
Records documenting the administration of academic programs, special academic programs, or non-institution student programs of a department or college. May include but not limited to: registration reports; add-drop analyses and reports; course enrollment summaries by class; graduation summaries; majors by class level; international activities; cooperative ventures; summer term classes and enrollment reports; placement information; and working papers. |
5 |
O |
|
|
17.1.002 |
Class Scheduling Records—Published Schedule of Classes |
Final published schedule of classes. |
PM |
O |
|
|
17.1.003 |
Class Scheduling Records—Working Files |
Formulation of class schedules by academic departments for inclusion in the published schedule of classes. May include but not limited to: requests from departments for class offerings; deviation from schedule forms; copies of course schedule maintenance forms; requests for class changes; and working papers. |
1
|
|
|
|
17.1.004 |
Commencement Records |
Commencement program planning and implementation at the institution. May include but not limited to: commencement attendance forms; and planning records created by commencement committees or other planning groups. |
AC+4 |
O |
AC = After commencement events. |
|
Continuing Education Course Records |
For-credit and not-for-credit course offerings and individual course contents as offered by Continuing Education (i.e., extension classes). |
AC+2 |
|
CAUTION: Some of these records may affect accreditation and should be kept long enough to meet accreditation cycle requirement. See RSIN 16.1.007 for medical continuing education records. |
|
|
17.1.007 |
Cooperative Program Records |
Records documenting the institution's participation in cooperative and shared educational or research programs. Such programs may share research facilities and resources or instructional programs such as programs permitting student matriculation at member institutions. May include but not limited to: information on requirements and application procedures; committee minutes; meeting agendas; and memos of interpretation and understanding. |
AC+7 |
O |
AC = Termination of program or agreement. |
|
17.1.009 |
Course Records |
Records of departmental course offerings and individual course contents. May include but not limited to: syllabi; course descriptions; course outlines; course summaries; course requests and proposals; curriculum approval lists; lists of classes by term; bibliographies; reading lists; course announcements; and handout materials. |
AC+2
|
|
|
Texas Education Code, 51.974. |
17.1.012 |
Degree and Special Academic Program Proposal, Development and Review Records |
Records documenting planning and discussions relating to the implementation of new undergraduate, advanced degree, and special academic programs and any major reorganization or changes to established programs. May include but not limited to: final reports; curriculum committee meeting minutes; curriculum proposals; reviews of individual degree programs by campus and off-campus sources; letters of support; review agendas; and related documentation. |
AC |
O |
AC = Termination of degree program. |
|
Student Faculty/Course Evaluation Records—Non-Tenure Track Faculty |
Student evaluations of non-tenure track teaching personnel, which provide students' opinions on faculty members' familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports. |
AC+3 |
|
See RSIN 3.1.019 for employee performance appraisals. |
|
|
Student Faculty/Course Evaluation Records—Tenure Track Faculty |
Student evaluations of tenure-track teaching personnel used to help determine faculty tenure, promotion, merit increases, and/or to review instructional courses and programs. These records provide students' opinions on faculty members' familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports. |
7 |
|
CAUTION: Retention period should be longer if a university's tenure review cycle is longer than 7 years. See RSIN 3.1.019 for employee performance appraisals. |
|
Section 17.2 – Accreditation
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
17.2.001 |
Professional Accreditation Records—Working Files |
Accreditation working files for the institution, colleges, units, and related programs. May include but not limited to: materials compiled for inclusion in a report packet sent to professional accreditation boards; materials prepared for onsite accreditation inspections; and evaluation reports received preliminarily to final accreditation approvals, renewals, or revocations. |
AC |
|
AC = End of 2 accreditation cycles. |
|
17.2.002 |
Professional Accreditation Reports |
Final accreditation report issued by a professional accreditation board for the institution, colleges, units, and related programs. May include but not limited to: final self-evaluation submitted to accreditation board; final accreditation report issued by accreditation board, and any supporting documentation needed to provide context for accreditation report. |
PM |
O |
|
|
Section 17.3 – Research
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
17.3.001 |
Animal Breeding and Management Records |
Records relating to the care, management, and breeding of animals for research and teaching purposes. |
AC+3 |
|
CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the United States Department of Agriculture, Animal and Plant Health Inspection Service. |
7 USC 2140, 9 CFR 2.35. |
17.3.003 |
Institutional Animal Care and Use Committee (IACUC) Records |
Institutional Animal Care and Use Committee (IACUC) meeting minutes, records of attendance, activities of the committee, committee deliberations, records of proposed activities involving animals and proposed significant changes in activities involving animals, and whether IACUC approval was given or withheld, and semiannual IACUC reports and recommendations (including minority views). |
AC+3 |
|
CAUTION: If the research facility has been notified in writing that specified records shall be retained pending completion of an investigation or proceeding, the research facility shall hold those records until their disposition is authorized in writing by the United States Department of Agriculture, Animal and Plant Health Inspection Service. |
9 CFR 2.35, 42 CFR 73.17(c). |
17.3.004 |
Institutional Biosafety Committee |
Meeting minutes and reports of the Biosafety Committee. |
3 |
|
|
42 CFR 73.17(c). |
17.3.005 |
Institutionally Funded Research—Minutes and Final Research Reports |
This series documents the activities of the institutional councils and boards, which review proposals and make recommendations for awards to faculty for research that is not otherwise supported by organized or directed programs but is designed to lead to other funding sources. Examples of projects funded are pilot research, emergency funding, emerging research opportunities, new research field or new research field for investigator, developing research laboratories, and centrally shared research resources. This series includes meeting minutes and final research reports. |
PM |
O |
|
21 CFR 56.115(b), 42 CFR 73.17(c). |
17.3.007 |
Institutionally Funded Research—Project Review Records |
This series documents the activities of the institutional councils and boards, which review proposals and project funding requirements to make recommendations for awards to faculty for research that is not otherwise supported by organized or directed programs but is designed to lead to other funding sources. Examples of projects funded are pilot research, emergency funding, emerging research opportunities, new research field or new research field for investigator, developing research laboratories, and centrally shared research resources. May include but not limited to: applicant case files; agendas; notes; working papers; award letters; and applications for research support. |
AC+5 |
|
AC = Date of notification. |
21 CFR 56.115(b). |
17.3.008 |
Intellectual Property Agreements |
Includes license agreements, know-how agreements, and other contractual agreements resulting from the licensing of technology or the transfer of intellectual property. |
AC+7 |
O |
|
NIH Guidelines, OMB Circular A: 110-.53, 2 CFR 200.334. |
17.3.009 |
Patent and Invention Records—Auxiliary Files |
This series documents the transfer of technology from the institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: patent applications; agreements giving permission for institutional researchers to use other patented inventions in their research; descriptions and titles of inventions; sources of funding to create the inventions; details of the provenance of the inventions and their documentation; suggested manufacturers; reports issued concerning the inventions; and signatures of inventors and technically qualified witnesses. |
7 |
O |
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Patent and Invention Records—Denied or Not Pursued |
Records relating to disclosures or applications for patents that are either not filed or otherwise pursued by the university, or which are denied by the US Patent and Trademark Office (USPTO). |
AC+7 |
O |
NOTE: Patent applications remain confidential unless published by the US Patent and Trademark Office or an international patent office. |
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Patent and Invention Records—Patents, Licensing, and Disclosure Records |
This series documents the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: original patents; international licensing agreements; and invention disclosure forms that list the names of the inventors and to whom the inventions have been disclosed. |
AC+6 |
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AC = Expiration of the patent. |
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Research Data—Non-Funded Projects |
Non-regulated research activities and research data of projects that are not funded by grants and are not subject to any state or federal guidelines. |
AV |
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See RSIN 17.3.013 for research data related to grant-funded or sponsored research. |
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Research Data—Funded Projects |
Final and interim research reports, working files, research data, protocols, laboratory notebooks, documentation, and any specimens produced for a granting agency or sponsor for funded research, studies, clinical trials, and non-clinical trials. |
AC+7 |
O |
CAUTION: Research grants may have individual guidelines for retention. Records must be retained in accordance with guidelines of grant or contract. ARCHIVES NOTE: Working files used in creating the final research report are not subject to archival review and may be disposed of at the expiration of the retention period. |
NIH Guidelines, OMB Circular A: 110-.53, 2 CFR 200.334, 21 CFR 58.195(b), 40 CFR 160.195(b), 42 CFR 73.17(c). |
|
17.3.016 |
Scientific Misconduct Records |
Accusations of research project-related misconduct brought forward by or against university personnel and affiliates. |
AC+7 |
|
AC = Completion of proceeding involving the research misconduct allegation. |
42 CFR 93.317(b).
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Animal Research Controlled Substances |
Lists and logs of controlled substances used by veterinarians in animal research. Records may list dates of drug acquisition, quantity of purchases, dates dispensed, patients receiving drugs, and total balance on hand of scheduled drugs. |
5 |
See RSIN 16.1.031a/b for health clinic or hospital pharmacy records. |
22 TAC 573.50. |
Category 18: Campus Life
Section 18.1 – Student Activities
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
18.1.001 |
Daily Broadcast Logs |
Daily broadcast activities of the institutional radio station or television channel. May include but not limited to: log sheets showing time signed on and off; any delays in broadcasting; engineer's name; announcer's name; and technical difficulties. |
2 |
|
CAUTION: See legal citations for exceptions to the retention requirement in the event of disasters, claims, or complaints to the Federal Communications Commission (FCC). |
47 CFR 73.1840(a), 47 CFR 73.1800, 47 CFR 73.1820. |
18.1.003 |
Student Organization Administrative Records |
Records documenting the history, development, and policies of campus student organizations. May include but not limited to: constitutions and bylaws; publications (websites, newsletters, fliers, brochures, posters, and other publications); annual review forms; annual reports; meeting minutes and supporting documentation; committee, subcommittee, and task-force records; Student Senate bill and resolution files; budgets; handbooks; officer and member rosters; scrapbooks; photographs; press releases; clippings; social media accounts; and related documentation and correspondence that documents programs, activities, and events. |
AV |
O |
|
|
18.1.004 |
Broadcast Station Public Inspection File |
Public inspection file for noncommercial radio stations, which includes all records listed in 47 CFR 73.3527(e), as required by the FCC. |
AC |
AC = Expiration or cancellation of license or permit. |
47 CFR 73.3527(e). |
Section 18.2 – Intercollegiate Athletics
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
NCAA and NAIA Reporting Requirements |
Records required to be produced and reported to the National Collegiate Athletic Association (NCAA) and National Association of Intercollegiate Athletics (NAIA). May include but not limited to: documentation of admissions, financial aid, eligibility, or academic performance; graduation success; assessments; insurance certifications; recruiting activities; training and practice schedules; game day totals and ticket sales; student athlete accommodations; drug testing consent forms; student athlete statements; injury and medical surveillance; reporting on individual athletes; and documentation of compliance with rules. |
6 |
|
See RSIN 18.2.014 for individual athlete files. |
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18.2.007 |
Student Athlete Drug Test Records—Negative Results |
Negative results of drug testing done on student athletes, such as lab reports and interpretations. |
1 |
|
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|
18.2.008 |
Student Athlete Drug Test Records—Positive Results |
Positive results of drug testing done on student athletes, such as lab reports and interpretations.. |
AC+5 |
|
AC = End of eligibility. |
|
18.2.011 |
Game Officials' Evaluation Forms |
Head coach's evaluation of judging officials' performance at games. The series is also used to comply with NCAA, NAIA, and conference rules and regulations. Information on the individual forms includes: team names; site; game date; judging officials' names; evaluative scores; comments; and coach's signature. |
1 |
|
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18.2.012 |
Game Records |
Records documenting each game and the season for each sport by playing year. May include but not limited to: individual and seasonal game statistics; player statistics; attendance figures; player training charts; game schedules; game arrangements; special teams statistics; rankings; awards information; NAIA and NCAA game statistics; all-conference nominations; spring and fall camp depth charts; numerical rosters; narrative reports on games and scrimmages; final team statistics for each game; NAIA and NCAA official scoring summaries; play-by-play written reports. |
AV |
O |
ARCHIVES NOTE: Certain game records, including statistics, may possess long-term historical value and may warrant permanent retention by the institutional archives. |
|
Individual Athletes Records |
Athletic history of each athlete who has competed at the institution. Frequently, this series is a continuation of the recruitment file and includes recruitment records if an athlete signs a letter of intent. May include but not limited to: academic major information, including performance reports; admissions verification reports; academic transcripts; financial aid information; recruitment information documents; medical and injury reports; media articles; photographs; release of information forms; personal data questionnaires; and records of awards. |
AC+5 |
O |
ARCHIVES NOTE: Only public profile records are subject to archival review. Confidential information should be removed or redacted upon archival transfer. |
|
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18.2.016 |
Playbooks |
Strategies and game plays for each game in the season. |
5 |
|
|
|
Recruiting Records—Athletics |
Recruitment of athletes into the institution's intercollegiate athletics program. The series also provides a record of the recruitment process for prospective players created by the institution to comply with NCAA, NAIA and conference rules and regulations. May include but not limited to: the institution's football questionnaire forms with personal, scholastic, football, general, and transcript release information; information request cover sheets; grade transcripts; Information for Certification of NCAA Freshman Athletics Eligibility Compliance; letters of intent; copies of admissions forms and materials; and ongoing performance and eligibility reports. |
AC+5 |
|
AC = End of eligibility. |
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18.2.019 |
Sports Merchandising Records |
Administration of the sale of institutional and NCAA or NAIA-licensed merchandise at sporting events. May include but not limited to: sales reports; merchandise comment sheets; branding and promotion campaigns; and related merchandising working files. |
FE+3 |
|
See RSIN 4.1.009 for accounts receivable records. |
|
Section 18.3 – Faculty and Staff Organizations
Record Series Item No. (RSIN) |
Record Series Title |
Records Series Description |
Retention Period |
Archival |
Remarks |
Legal Citation |
---|---|---|---|---|---|---|
18.3.001 |
Faculty and Staff Election Records |
Records of elections held by various faculty and staff organizations. May include but not limited to: ballots; tabulations; and related documentation. |
AC |
|
AC = Results are verified. |
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Can't find what you're looking for? Email slrminfo@tsl.texas.gov or call 512-463-7610.