1 Statement of Policy

LOYOLA MARYMOUNT UNIVERSITY

POLICIES & PROCEDURES

DEPARTMENT: THE OFFICE OF RISK MANAGEMENT

SUBJECT: RECORDS RETENTION & DISPOSAL POLICY Page 1 of 29

Policy Number: BF006.01 Supersedes: N/A

Effective Date: May 15, 2009 Previous Issued: N/A

1

Statement of Policy

To create a systematic method of storing and managing records throughout their life cycle to ensure efficiency in their creation, use, maintenance and disposition or destruction, and to avoid the storing of duplicate, obsolete, or unnecessary records.

SCOPE:

The Records Retention policy is applicable to all departments at the university and pertains to all records generated in the course of the daily operations of LMU, including both original documents and reproductions. It applies to records stored electronically as well as any and all hard copy records.

Regardless of format, university records have a life span and eventually become inactive. At that time, it’s in the interest of the university, for economy, efficiency, history or administrative necessity to determine and carry out the most appropriate disposition of these records. Records will be either designated as archival records, or they will be designated as disposable records and destroyed in a systematic manner as outlined in this policy.

University records are university property and may not be disposed of except through guidelines established by this policy. Access to University records is governed by statute, regulation, or university policy.

Records from offices which are merged or reorganized should be brought into the new offices carrying out these functions.

CONTENTS

1 Statement of Policy ... 1

2 Definitions... 3

3 Policy ... 4

3.1 Regular Review of University Records ... 4

3.2 Records Retention, Disposition and Destruction Schedule ... 4

3.3 Disposition of Records ... 5

4 Guidelines for Retention of Electronic Records ... 7

4.1 E-Mail ... 7

4.2 Email Archiving Procedures ... 7

4.3 Other Electronic Data ... 8

2

Definitions

Active Record A record with current administrative use for the unit that generated it. Such records remain active for varying periods of time depending on their purpose.

Archival Records Public records which are non-current and are not required to be retained in the office in which they originate or are received. These public records have permanent or enduring legal, fiscal, research or historical value and should be retained and preserved indefinitely.

Born Digital Records Records created in digital format and retained digitally throughout their life span. Confidential Records Records which have the highest level of confidentiality attached to them, such as legal,

payroll, or personnel records, and which may only be used by a limited number of people within the department or university.

Inactive Record A record that no longer has any current purpose and may be stored off-site or in another medium.

Obsolete Records Records that no longer have any value to the university. Public Records Publicly distributed information which is available to anyone. Retention, Disposition and

Destruction Schedule

A schedule indicating the length of time certain types of records must be retained before disposition, as well as the appropriate means of disposing of them.

Records Liaison Each Division or School will designate an employee at an appropriate level to responsible for the dissemination of the policy, its successful implementation, and for ensuring compliance.

Retention Period The time that must elapse before the records are disposed, stored or archived.

Record Series Any groups of related records which are normally used and filed as a unit and which can be evaluated as a unit for disposition purposes.

University Archivist The individual responsible for accepting university records that have been determined to be archival, and storing them according to their type and value to the university.

University Records Any documents, or digital or analog files, or data, or copies thereof, received in connection with university transactions and retained as evidence of such activities. Vital Records Records essential to the continued functioning or reconstitution of the university during

3

Policy

Loyola Marymount University requires consistent maintenance, retention, and disposal procedures for University records for the following reasons:

¾ To meet legal standards ¾ To optimize space

¾ To minimize the cost of retention ¾ To preserve the university’s history

¾ To dispose of outdated and useless records

The following steps and guidelines are to be followed regarding all University Records.

3.1 Regular Review of University Records

All university units will periodically review the records in their possession and under their jurisdiction including those stored off-site, and document such review. The review will be conducted under the auspices of the Records Liaison and will determine: What is the nature of the Records? What is the purpose of the Records? Are they duplicative? Where are they stored? How are they stored? Reason for storage? Documentation of the inventory and review will be kept by each unit.

3.2

Each department is responsible for designating a Records Liason and for developing a process for managing and disposing of records. Each department will conduct an annual self-audit to determine the effectiveness of the process and compliance with this policy. The university will conduct periodic compliance audits as well.

3.3 Records Retention, Disposition and Destruction Schedule

Each unit will create for itself a schedule to provide uniform, effective, and systematic control of records-keeping and disposition. The steps involved in creating a schedule are:

¾ Inventory the records

¾ Determine Retention Period of the records

3.4 Disposition of Records

The plan for the disposition of each Record or Record Series must be approved by the Manager or Supervisor who has ownership of the Records, and the Department Head or Chair. Disposition of Confidential, Archival, or Vital Records must also receive the authorization of the Sr. Vice President/CFO, Chief Academic Officer (CAO) or the Dean of the Law School, or their designates. The methods of disposition are:

• Retention: Records will remain in the unit in their current format.

• Archiving: Certain records that have relevance to the university (such as historical records) will be retained PERM in an official repository or in a university location.

¾ Only the University Archivist can designate which records are archival and will have the authority to examine any and all records in their office of origin;

¾ Archival Records will be transferred to the archival location at a time and manner determined by the University Archivist;

¾ “Closed” or “Restricted” records can only be viewed by the President’s Cabinet or their designates;

¾ Requests for exception to access of “closed” or “restricted” records must be submitted to the Sr. V.P. in consultation with university legal counsel;

¾ Other Archival Records can be viewed by any individual with prior agreement by a Sr. Vice President/CFO, the CAO, university the Dean of the Law School , or their designates.

• Miscellaneous Records: Some documents, such as legal, financial, personnel, etc., may be deemed important by the department and kept PERM as deemed appropriate. Such decisions should be made on the departmental level as long as they are in keeping with this policy.

• Transfer to another location: Records which are not relevant to the university at-large but must be stored PERM may therefore be moved to a third-party off-site storage location.

¾ Records designated for transfer must be approved by the Manager or Supervisor that has ownership of the records, and the Department Head;

¾ The storage site must be safe from human, pest, or weather intrusions;

The off-site storage facility (warehouse, safe deposit box, etc.) should be noted in your annual inventory. When records are sent off-site they should be marked as Permanent (if permanent) or given a Disposition Schedule, so that the off-site management company can dispose of them according to LMU’s wishes.

• Reformatting to another medium: Such as digital, or any other electronic media.

¾ Records should be reformatted to reduce storage costs, save space, and/or improve access to and usability of the data;

¾ Documentation of the reformatting process and procedures must be maintained;

¾ The reformatted reproduction must be an exact duplicate of the original, and records must be unchangeable in their new format; ¾ Back-up copies must be made and kept for the Retention Life of

the Records;

¾ Confidential, Restricted and Vital Records must be encrypted and stored in secure electronic media;

¾ Once reformatted, hard copies must be disposed of.

• Disposal/Destruction: University records which are determined to be disposable may be stored on any medium that ensures the maintenance of the information until its designated time of disposal.

¾ All paper Records must be recycled;

4

Guidelines for Retention of Electronic Records

4.1 E-Mail

These procedures cover all account holders, which includes all permanent, temporary, and part-time employees of Loyola Marymount University, as well as contractors or other entities that access and use LMU’s email resources. These procedures do not include wireless

devices or telephones.

In order to: better manage the messaging system’s large volume of email messages, tasks, and calendar events; reduce the amount of server storage space used by email; and enhance LMU’s account holders’ email search and indexing capabilities, LMU’s Department of Information Technology Services has implemented an enterprise automated email archiving system. The Enterprise Email Archiving system reduces storage space and costs, while simplifying management of the messaging system. Archiving tasks are now managed automatically and allow for seamless retrieval of archived information. The system also provides built-in search and discovery capabilities for account holders.

This policy governs the implementation and maintenance of an automated email archiving system, which automatically archives all LMU email, tasks, and calendar events older than 120 days. The general procedures are outlined in Appendix A. The Archive will maintain messages for 7 Years before those messages are purged and erased from records. This policy also discourages the creation of local archive files (.PST), which may be imported into the new central archive product. Users will still be able to archive email to a local file store, as long as they have set up their archiving parameters to archive email before the Enterprise Email Archiving tool runs.

4.2 Email Archiving Procedures

1. System Administrator

a. Migrate account holder mailboxes by mailstore to the automated archive. b. Import existing Personal Folders (.pst files) to the automated archive. c. Manage the central automated archival product.

2. Account Holders

a. Account holders are expected to practice good security and common sense with their LMU-provided email. Delete unneeded messages, reduce the number of personal messages received/sent a day, avoid opening unknown or untrusted emails and use other tools for collaborative document

b. Once an item is moved to the central archive, the item will be retained for 7 years. Account holders are responsible for maintaining a copy of the item in the appropriate record file in accordance with the LMU’s Records Management Policy Statement if the item is required to be retained for more than 7 years. After such time, the information will be purged from data storage.

4.2.2 Procedures

1. The archiving procedures are detailed as follows:

a. All LMU emails, tasks, and calendar events older than 120 days are archived automatically to the LMU central archive server managed by the LMU Office of Information Technology Services.

b. The archived items are accessible to the account holder in his/her mailbox as normal through Outlook, Entourage or Outlook Web Access mail clients, however, the actual storage location of the electronic record is on the central archive server rather than the email server. c. While archived email items are accessible to the account holder as normal in their email mailbox, they cannot be modified or deleted. However, they can be moved to different folders within the mailbox.

d. All archived items including tasks and calendar events are retained for 7 years. This retention period exists regardless of whether the recipient or sender remains employed with the LMU.

e. Under the implementation of this policy, all email information stored in existing PST files (Microsoft Outlook Personal Folder File Format) either on local computers or network directories is moved to the central archive and will be deleted. This process is transparent to the account holder and existing personal folders appear similar, they are just moved from the existing PST files to the central archive and will appear in a slightly different location on the Microsoft Outlook display.

4.3 Other Electronic Data

Web pages, or segments thereof, may need to be retained beyond routine back-up protocols. It is the responsibility of the creator to determine if a particular Web page, or segments, constitute a University Record. WebPages, or segments, which require long-term or archival retention, should be retained on retrievable media as created, utilized, and/or published.

4.3.2 Data Bases/Sets

Data Bases/Sets may need to be retained beyond routine back-up protocols. It is the responsibility of the creator to determine if a particular Data Base/Set constitutes a University record. Data Bases/Sets which require long-term or archival retention should be retained on retrievable media as created, utilized, and/or published.

4.3.3 Other “Born Digital” Records

5

Appendix

This Appendix lists most of the important and known records. There may be some minor records not listed here.

Whenever possible hard/paper copies of records should be stored electronically and the hard/paper copy eliminated.

Sensitive records should be shredded before disposal.

Abbreviations:

ACT – While active or employed

LIFE – Life of affected employee

PERM – Permanent

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

INSTITUTIONAL RECORDS

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

APPLICATION MATERIALS FOR STUDENTS WHO ENTER

Acceptance Letters Admissions 5 years after date of

last attendance

Applications Admissions 5 years after date of

last attendance

Correspondence Admissions 5 years after date of

last attendance

Entrance Exams and Placement Scores Admissions 5 years after date of

last attendance

Letters of Recommendation Admissions Until Admitted

APPLICATION MATERIALS FOR STUDENTS WHO ARE ACCEPTED BUT DO NOT ENTER

Acceptance Letters Admissions 1 year after

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Applications Admissions 1 year after

application term

Correspondence Admissions 1 year after application term Application Transcripts Admissions 1 year after application term

INDIVIDUAL STUDENT RECORDS

Course Drop/Add Slips Registrar’s Office 1 year

Disciplinary Files Registrar’s Office ACT

Pass/Fail Requests Registrar’s Office 1 year

Class Schedules Registrar’s Office 1 year after date of

last attendance

Registration Forms Registrar’s Office 1 year Transcript Requests Registrar’s Office 1 year

FERPA Requests Registrar’s Office Life of requested

Academic Records Registrar’s Office PERM

Advanced Placement Registrar’s Office 5 years after date Of last attendance Application for Graduation Registrar’s Office 1 year after date

oflast attendance

Foreign Student (I-20) Forms Office of International Students 5 years after date of

last attendance

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Degree Audit Records Registrar’s Office 5 years after date of

last attendance

Transfer Credit Evaluations Registrar’s Office 5 years after date of

last attendance

Personal Data Forms Registrar’s Office 1 year after date of

last attendance

Name Change Authorizations Registrar’s Office 5 years after date of

last attendance

Tuition and Fee Charges Controller’s Office 5 years after date of

last attendance

GENERAL STUDENT ENROLLMENT/ACADEMIC RECORDS

Applicant Statistics Admissions 5 years

Enrollment Statistics Admissions 10 years

Grade Statistics Registrar’s Office 10 years Racial/Ethnic Statistics Registrar’s Office 3 years

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

FINANCIAL AID RECORDS

Applications Financial Aid 5 years

Financial Aid Awards Financial Aid ACT + 5 years Financial Aid Credits & Student Payments Financial Aid ACT + 5 years Lender's Name and Address Financial Aid ACT + 5 years Institution loans Controller’s Office & Fin. Aid PERM

Job Placement Fin. Aid & Career Development ACT + 5 years Loan Repayment History Controller’s Office & Fin. Aid ACT + 5 years

STUDENT EDUCATIONAL RECORDS

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

HUMAN RESOURCES RECRUITMENT RECORDS

Unsolicited Job Inquires Human Resources 2 years from month of receipt Staffing Requisitions and Job Postings Human Resources 3 years from date position filled Job Opening Notices and Advertisement

copy Human Resources 3 years from date position filled Applications (external & internal)

Including letters for those not hired Human Resources 3 years from date position filled Applicant EEO Self Identification Form Human Resources 3 years from date position filled Background Investigations and

Reference checks Human Resources 3 years from date position filled

HUMAN RESOURCE EMPLOYMENT/PERSONNEL RECORDS

Faculty Personnel File Human Resources PERM

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION WORKERS’ COMPENSATION RECORDS

Logs of Occupational Injuries Human Resources 5 years from the end of the year

and Illnesses to which they refer

First Aid Records of Job Injuries Human Resources 10 years from the end of the year

causing Loss of Work Time to which they refer

Workers’ Compensation files Human Resources 15 years from date case closed

BENEFITS RECORDS

Faculty/Staff Benefit File Human Resources 7 years after employment ends Health/Medical Records Human Resources 7 years after employment ends Faculty/Staff Tuition Remission File Human Resources 7 years after employment ends Pension and Welfare Plan Records Human Resources PERM or 6 years following and Information (all inclusive) Human Resources plan termination and distribution

MISCELLANEOUS RECORDS

Child Labor Certificates and Notices Human Resources 3 years from date posted Notices of Opportunities for Training Human Resources 3 years from date posted

Union Contracts Expired Human Resources 4 years after expiration of contract IPEDS, EE06, IED or other Human Resources 5 years

Affirmative Action Reports or Human Resources 5 years voluntary Diversity Reports

Letters Explaining But Not Establishing Human Resources Retain until policy obsolete or

Policy superseded

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION LEGAL/LITIGATION RECORDS (PERSONNEL MATTERS)

Employee Settlement Agreements Human Resources 6 years after employment ends agency (DHEH, EEOC, Wage & Hour, Human Resources 4 years from date of closure OFC) Charges and/or Notice of

complaints

Personnel Files of Litigated Cases Human Resources Consult legal counsel or Potential Litigation

Records Relevant to any Type of Human Resources Consult with legal counsel Litigation or Administrative Action

or Internal Complaint

Records Relevant to Discrimination Human Resources Consult with legal counsel Charge or Complaint

Legal Files/Affidavits Human Resources Consult with legal counsel Drafts of Documents Superseded Human Resources Do not retain

by Final Version

HANDBOOKS/MANUALS

Faculty Handbook(s) Human Resources PERM

Faculty Promotion and Tenure, Tenure Human Resources PERM Review, Records of Paid Leaves and

stipends

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION HUMAN RESOURCES RELATED ELECTRONIC AND PAPER CORRESPONDENCE

Unimportant Letters & Notes which Human Resources Do not retain Require No Acknowledgement

Form Letter Which Require No Human Resources Do not retain follow-up

Letters of Inconsequential Subject Human Resources 30 days Matter – No Further Reference

Duplicate copies of Interdepartmental Human Resources Do not retain correspondence

Letters of General Inquiry and Replies Human Resources 1 year in Which No Further Correspondence

necessary

Letters Requesting Specific Action which Human Resources 1 year have no Further Value After Action

taken

INSTITUTIONAL PUBLICATIONS

Alumni Newsletters University Relations 3 years Alumni Directories University Relations 3 years

Bulletins and Course Catalogs Registrar 10 years

Student Newspapers Loyolan 3 years

Institutional Newspapers/Newsletters University Relations 3 years

Student Directories Student Affairs 5 years

Employee Directories Human Resources 5 years

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION FACILITIES RECORDS

Building Permits Facilities Management ACT + 1 Building Plans and Specifications Facilities Management PERM

Office Layouts Facilities Management ACT

Zoning Permits Facilities Management ACT

Operating Permits Facilities Management ACT Maintenance Records Facilities Management ACT

BUSINESS AND FINANCE RECORDS

REGULATORY PERMITS, INSPECTIONS AND SAFETY RECORDS

Regulatory Permits Environment Health & Safety ACT

Expired Regulatory Permits Environmental Health & Safety 6 Years Air or Water Waste Emissions Records Environmental Health & Safety 3 years Hazardous Chemical Waste Records Environmental Health & Safety 5 years Laboratory Practices Environmental Health & Safety ACT

Safety Training Records Environmental Health & Safety 7 years after employment ends Chemical Safety, toxic exposure Environmental Health & Safety 30 years from the end of the year And Other OSHA Records

HOUSING, PROPERTY AND LOAN RECORDS

Leases Real Estate & Faculty Housing ACT + 6 years Deeds and Titles Real Estate & Faculty Housing PERM

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Faculty Loan Records Real Estate & Faculty Housing PERM Relocation Loan Documents Real Estate & Faculty Housing PERM

DEBT DOCUMENTS

CEFA Debt Documents Business & Finance PERM CEFA Compliance Documents Business & Finance PERM

SWAP Agreements Business & Finance PERM

Arbitrage Documents Business & Finance PERM

PAYROLL RECORDS

Payroll Deductions Controller’s Office 6 years Time Cards or Sheets Controller’s Office 5 years

W-2 Form Controller’s Office 6 years

W-4 Form Controller’s Office 6 years

Garnishments Controller’s Office ACT

ACCOUNTS RECEIVABLE RECORDS

Accounts Receivable Controllers Office 4 years Accounts Receivable ledgers Controllers Office 4 years

Receipts Controllers Office 4 years

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Collection Records Controllers Office ACT + 4

ACCOUNTS PAYABLE RECORDS

Purchase Orders Ordering Department 4 years

Invoices or expense records Controllers Office 4 years Accounts Payable Ledger Controllers Office 4 years Payment/Disbursement Records Controllers Office 4 years

CAPITALIZED EQUIPMENT RECORDS

Equipment Records Controller’s Office ACT + 4 years Depreciation Schedules Controller’s Office ACT + 4 years Owned Property Improvement Records Controller’s Office ACT + 4 years

FINANCIAL RECORDS

Account Ledgers Business & Finance ACT + 4 years Description of Accounting System Information Technology Services PERM Balance Sheets Business & Finance ACT + 4 years

General Ledgers Business & Finance PERM

Internal Auditor's Reports Internal Audit PERM

Tax Returns Business & Finance PERM

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION RISK MANAGEMENT/INSURANCE RECORDS

Motor Vehicle Records Risk Management ACT

Insurance Polices Risk Management PERM

Non-Litigated Claims Risk Management ACT + 3

Risk Management Correspondence Risk Management ACT + 3 Contracts Over $25,000 Risk Management ACT + 4 years

LEGAL RECORDS (GENERAL LIABILITY, AUTO LIABILITY, AND ALL OTHER LITIGATION RECORDS EXEPT EMPLOYMENT LIABILITY)

Litigation Files Risk Management PERM

Court Documents and Records Risk Management PERM

Deposition Transcripts Risk Management PERM

Discovery Materials Risk Management PERM

Attorney-Client Correspondence Risk Management PERM

CAMPUS CRIME REPORTS

Campus Crime Reports Public Safety 7 years

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION UNIVERSITY RELATIONS

Gift Batches & Deposits University Relations PERM Trusts/Bequests University Relations PERM Gift Agreements University Relations PERM Scholarship Agreements University Relations PERM Correspondence with major donors University Relations PERM Gift Receipts University Relations PERM Donor/Prospect Research Reports University Relations PERM Presidential Briefings University Relations PERM Stewardship Reports University Relations PERM Database Records (alumni, donor, University Relations PERM prospect, contact reports)

Steering Committee meeting materials University Relations PERM & member information Campaign reports

STUDENT AFFAIRS RECORDS JUDICIAL AFFAIRS

Student Conduct Records Judicial Affairs 3 years from date of last Incident

HOUSING RECORDS

Student License Agreements Housing Office 5 years Room Change Forms Housing Office 5 years Requests to be Released Housing Office 5 years

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION STUDENT MEDICAL RECORDS

Student Health Center Records Student Health Dept. 10-years from last contact Student Counseling Center Records Student Counseling Center 7-years from last contact

ATHLETIC DEPARTMENT RECORDS

Game Contracts Business Office 3 Years After Contest Post-Season NCAA Tournament Bids, Business Office 3 Years After Tournament Participation, And Financial Accounting

Records

Signed Corporate Contracts Business Office 3 Years After Contract Expires Athletic Scholarship Recommendations Business Office 8 Years After Scholarship Expires Athletic Grant-In-Aid Non-Renewals Business/Compliance Paper PERM

Equipment Ordering and Inventory Forms Business Office 3 Years Financial Audit Records Business Office PERM Human Resources / Recruiting and Hire Business Office 3 Years Records

Salary Records Business Office PERM

Gift in Kind Records Business Office 3 Years

Budget Records Business Office PERM

Accounts Payable Records Business Office 3 Years Accounts Receivable Records Business Office 3 Years

Deposits Business Office 3 Years

Student-Athlete Housing Records Business Office 3 Years Equity in Disclosure Act (EADA) Reports Business Office PERM

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Athletic Department Meeting Agendas Main Athletic Office PERM Administrative Meeting Minutes Main Athletic Office PERM Title IX Annual Report Main Athletic Office PERM Gender Equity Report Main Athletic Office PERM 10-Year NCAA Athletic Certification Main Athletic Office PERM Steering Committee Meeting Agendas,

Minutes, and Final Report

Facility Project Records Main Athletic Office PERM Staff Retreat Agenda/Meeting Minutes Main Athletic Office PERM Staff Policy/Procedure Handbook Main Athletic Office PERM Athletic Directors Council Meeting Main Athletic Office PERM Materials and Minutes

Athletic Advisory Board Meeting Main Athletic Office PERM Materials and Minutes

Facility Rental Agreement Athletic Facilities 3 Years After Event Vehicle Records Athletic Facilities PERM

Medical Records Training Room 7 Years

Training Room Handbook Training Room PERM Medical Insurance Records Training Room PERM Injury Rehabilitation Records Training Room PERM Weight Training Schedule Strength Room 3 Years Student-Athlete Strength Training Strength Room PERM Performance Records

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

NCAA Drug Testing Form Compliance Office PERM Student-Athlete Buckley Statements Compliance Office PERM Athletic Grant-In-Aid Agreements Compliance Office PERM National Letters of Intent Compliance Office PERM Medical Hardship Waivers Compliance/Training Rm PERM Medical Absence Waivers Compliance Office PERM Student-Athlete Employment Forms Compliance Office PERM Student-Athlete Disclosure Agreements Compliance Office PERM Student-Athlete General Information Compliance Office PERM Questionnaires

Medical History Forms Compliance/Training Rm. PERM Student-Athlete High School and Previous Compliance Office PERM Institution Participation Form

NCAA Eligibility Information Form Compliance Office PERM (Better Known as a Transfer Form)

Student-Athlete Conduct Review Form Compliance Office PERM Student-Athlete Eligibility/Financial Aid/ Compliance Office PERM Amateurism Statements

Student-Athlete Motor Vehicle Form Compliance Office PERM Student-Athlete Release for Withholding Compliance Office PERM Funds

Acceptance of Student-Athlete Manual Compliance Office PERM And Athletic Medicine Policies and

Procedures Manual

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

International Student-Athlete Compliance Office PERM Documentation (e.g. Letters,

Questionnaire, Competition Records, Expenses Received)

Student-Athlete Promotional Activities Compliance Office 6 Years Camp and Clinic Records Compliance/Main Office 3 Years NCAA Student-Athlete Opportunity Fund Compliance Office 6 Years Declaration of Outside Income Compliance Office 6 Years Tickets and Complimentary Admissions Compliance Office 6 Years NCAA Revenue Distribution Records Compliance Office 6 Years NCAA Academic Performance Program Compliance Office PERM NCAA Academic Performance Rate Compliance Office PERM NCAA Graduation Success Rate Compliance Office PERM

NCAA Violations Compliance Office PERM

Internal Audits Compliance/Business PERM

TYPE OF RECORD OFFICIAL REPOSITORY MINIMUM DURATION

Team Information, to Include: Compliance Office PERM Team Rosters

Squad Lists

Competition Schedules Recruiting Logs

Countable Hours Logs Official Visits

Team Eligibility Records Team Financial Aid Reports Permission to Speak to Transfers Staff Declarations

Playing and Practice Season Declarations

Volunteer Coach Agreements Local Sports Club Forms Recruiting Declaration Forms

Study Hall Attendance/Completion Academic Office PERM Sports Statistical Records Sports Information PERM

Ticketing Records Ticket Office PERM

Student-Athlete Advisory Committee Academic Office PERM Meeting Materials and Minutes

STUDENT CAREER DEVELOPMENT RECORDS

Educational Professional Placement Files Career Development Services 7 years after degree completion Internship Documentation Career Development Services 7 years after degree completion Career Counseling Records Career Development Services PERM