Miami University Records Retention Schedule

Miami University Records Retention Schedule Accounting Accounts Payable: 6 years Bill for goods or services received. Accounts Payable Records: 4 years Documentation regarding amounts owed on open account for goods or services received. Includes bills for goods and services received, journals in which accounts payable and their payments are recorded (e.g., ledgers, voucher registers) Accounts Receivable: 4 years Amounts due from others on open accounts as a result of providing goods or services. Annuity Records: 4 years Statement of payroll deduction for employees’ annuity plans. Bad Debt Records: 4 years Overdue accounts, such as library fines, parking tickets, loans, payment for services rendered. Balance Sheets: 4 years A report of institutional assets, liabilities, and equities. A periodic report, not the year-end report. Cash Accounting Records: 4 years Includes documentation regarding the disbursement and receipts of cash. Includes Cash Book (record of cash transactions showing running balance); Cash Disbursement Journals (special journal used exclusively to record disbursements of cash); Cash Journal (journal of cash received); Cash Register Tapes and Receipts. Chart of Accounts: 5 years A list of the accounts used by an organization with each account usually assigned a number or code. Cost Accounting: 6 years Record analyzing cost for producing certain items or performing certain tasks. Credit Card Receipts Other than P-Card: 4 years Credit card receipts created through the sales of goods and services by the university. Destroy media containing cardholder data when it is no longer needed for business or legal reasons and requirements of credit card companies.

2 Expenditure Report: 4 years Periodic reports of expenditures, usually by department or account. Fixed Assets Records: Active plus 6 years Inventory and other information maintained on capitalized assets (structures, site improvements, machinery and equipment, information systems, furniture and fixtures, and vehicles). General Ledgers: 6 years A book containing a summary or detail of all transactions affecting the accounts of an institution. Review for historical value and transfer to institutional Archives. Invoices: 4 years Bills for goods shipped or services rendered. Usually matched to purchase orders and delivery slips and attached to voucher for payment. Journals: 4 years The record in which financial transactions are first recorded before being posted as a debt or credit to an account in a ledger. A chronological documentation of transactions. Payroll: Active plus 15 years Special pay for faculty. Payroll Records: 4 years Payroll documentation including checks, payroll deduction authorizations, (all forms used to authorize deductions); change reports (bi-weekly listings of payroll adjustments through personnel concerning full-or part-time employee status, i.e., new employee, promotion, reclassification, leave of absence, lateral transfers, removals.) Arranged by pay period. Payroll Audits: Current Year plus 1 year Audit of bi-weekly and monthly payroll of classified and unclassified staff.

Petty Cash Records: 4 years

Plant Funds CAS State Contract Encumbrances: 6 years

CAS Voided State Warrants: 4 years

OAKS State Vouchers: 6 years

3 Procurement Card (P-Card) Documentation: 5 years Including: statements from bank regarding P-Card use, transaction forms, and other supporting documentation. Requisitions: 4 years Forms used to order goods and services. Royalty Payments: 4 years Student Accounting Records: 4 years Documentation on individual students' paid/unpaid accounts; records of canceled registrations, including amount owed and reason; correspondence; account activity record; insurance records; tuition remission records. Student Accounting Records (Dorm Contracts): Active plus 8 years Actual agreement and Release Files between students and residence halls governing room and board and fee. Includes application, correspondence, meal plan authorizations, and record of decision reached concerning request to break contracts. Student Accounting Records (Financial Aid): 4 years Includes documentation of award amounts disbursed (name, type, amount of award); canceled checks/stubs, check journals showing payments for financial aid made to students; Accounting Billing Letters (concerns students who withdrew or reduced credit hours and were billed for the return of surplus aid money) . Student Accounting Records (Insurance Records): 4 years Record of students enrolled in university or college health program. Subsidiary Ledgers: 4 years A book of accounts of an institution. Tax Documentation State of Ohio Sales Tax: 6 years

State of Ohio Excise Tax: 6 years

City of Oxford Bed Tax: 6 years

Payroll TDEPS 941s: 6 years

4 MU990T: 6 years

Federal Tax Returns: 6 years

Financial OBOR Report: 20 years

Financial IPEDS Report: 20 years

Telephone Expense Records: 4 years Periodic reports of long distance and local phone charges. Travel Reimbursement Records: 4 years Documentation of expenses incurred on official institutional travel. Unemployment Insurance Payments: 4 years Vending Commission Income Records: 4 years Record of money received as commission on vending contracts. Vouchers: 6 years A record of cash disbursement used to establish control over expenditures and ensuring appropriate approval for each transaction. Workers Compensation Payments: 4 years

Education and Student Academic Grievance Files: Active plus 6 years Files documenting grievances of students against faculty members. Review for continuing administrative and historical value and potential transfer to institutional Archives. Admissions (Applicant Flow Data File): 6 years Statistical information, percentages dealing with race, religion, sex, etc. Admissions (Applicants who do Matriculate) Advanced Placement Records: Active plus 1 year Forms and records supporting consideration for advanced placement in course(s) where no credit is granted.

5 Applications for Admission or Readmission: Active plus 1 year Forms requesting admission or readmission to the institution. Correspondence: Active plus 1 year Forms requesting admission or readmission to the institution. Entrance Examination and Placement Test Reports: Active plus 1 year Standardized test scores related to admission to the institution and placement test scores. Letters of Recommendation: Active plus 1 year Letters of reference supporting application to the institution. Medical Records: Active plus 1 year Medical records related to application to the institution. Medical Records of Registered Students: Active plus 7 years Student counseling records case notes. MU Policy. Personalized Recruitment Materials: Active plus 3 years Student-specific letters related to encouraging potential students to attend the institution. VA regulations require that all recruitment materials be retained for 3 years. Portfolios: Active Retain until the admission determination is made and the student is advised of the admission decision. MU Policy. Transcripts (High School): Active plus 1 year Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant. Transcripts (Other Institutions of Higher Learning): Active plus 1 year Records of courses take at other post-secondary institutions and documents supporting prior learning, including credit for military training. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant. Transfer Credit Evaluations: Active plus 1 year Admissions (Applicants who do not Matriculate) Acceptance Letters: Active plus 1 year Student-specific correspondence relating to admission and enrollment at the institution. Acceptance Letters: 1 year Letters notifying students of acceptance or non-acceptance to the institution.

6 Access to See Letters of Recommendation Waiver: Active plus 3 years Student waivers for rights of access to see Letters of Recommendation for Admission. Advanced Placement Records: 1 year Forms and records supporting consideration for advanced placement in course(s) where no credit is granted. Applications for Admission or Readmission: 1 year Forms requesting admission or readmission to the institution. Correspondence: 1 year Forms requesting admission or readmission to the institution. Entrance Examination and Placement Test Reports: 1 year Standardized test scores related to admission to the institution and placement test scores. Foreign Student Forms: Active plus 3 years I-20 and other forms. Since many items included in foreign students’ records are to be retained for at least 5 years, it is recommended that Immigration and Naturalization Service documentation also be retained 5 years. Letters of Recommendation: 1 year Letters of reference supporting application to the institution. Medical Records: 1 year Medical records related to application to the institution. Personalized Recruitment Materials: Active plus 3 years Student-specific letters related to encouraging potential students to attend the institution. VA regulations require that all recruitment materials be retained 3 years. Residency Status Documents: 6 years Documents supporting determination of legal domicile (residency). Transcripts (High School): 1 year Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant. Transcripts (Institutions of Higher Learning): 1 year Records of courses taken at other post-secondary institutions and documents supporting prior learning, including credit for military training. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant.

7 Portfolios: Active Retain until the admission determination is made and the student is advised of the admission decision. Return to student according to department policy. MU Policy. Admissions (Graduate Student): 3 years Program Inquiries. MU Policy. Classes Audit Authorizations: Active plus 3 years Approval Forms to audit a class. Change of Schedule (add/Drop): Active plus 1 year Class Schedules (Students): Active plus 1 year List of classes student took during a given term. Credit by Examination Form: Indefinitely Credit/No Credit Approvals: Active plus 3 years Review for continuing administrative and historical value and potential transfer to institutional Archives. Evaluations, Class/course: 6 years Summary evaluations of course by students. MU Policy (2012). Independent Study Permits: Active plus 3 years MU Policy. Official Class Roster: Active plus 3 years List of students enrolled for individual classes. Pass/Fail Request: Active plus 1 year

Registration/Enrollment Forms: Active plus 3 years

Syllabi: Active plus 6 years. Course syllabi faculty distribute to students. Review for continuing administrative and historical value. MU Policy. Test and Exams: Active plus 1 year. The actual exam (paper copy or electronic)

Withdrawal Authorizations: Active plus 3 years

8 Curriculum Catalogs: Indefinitely Official bulletins of the institution. Review for continuing historical value and potential transfer to institutional Archives. Continuing Education (Course Proposals Not Approved): 1 year MU Policy. Continuing Education (Approved Course Proposals): 6 years MU Policy. Development Files: Indefinitely Files documenting approval of new programs and degrees. Review for continuing historical value and potential transfer to intuitional Archives. Schedule of Classes (departmental): Active plus 1 year Department worksheets (electronic or hard copy) informing Registrar of courses department will teach each semester. MU Policy. Schedule of Classes (Institutional): Indefinitely Schedule of classes offered each term by the institution. Review for continuing historical value and potential transfer to intuitional Archives. Financial Aid General (Non-Recipient Files): 1 year Copy of FAF for students who did not receive aid or enter the university or college. Non U.S. Department of Education Funding

General Administrative: Active plus 6 years Annual Interim Fiscal Operations Reports. Reports to federal government on expenditures for federal programs. National Guard Scholarship Rosters: Active plus 1 year List of students receiving scholarships from the Ohio National Guard. Ohio Academic Scholarship Rosters: Active plus 1 year List of students receiving scholarships for current academic year. Ohio Bureau of Vocational Rehabilitation Grants Files: Active plus 1 year Record of awards by state agency for handicapped students.

Ohio Instructional Grants- Files: Active plus 1 year Record submitted by student for payment of fees. Eventually sent to OBOR for payment. Ohio Instructional Grants- Rosters: Active plus 6 years List of students receiving grants for current academic year.

9 Student Files: Active plus 6 years Files on recipients: FAF's and FAF need analysis reports, parental tax files, award letters, Statement of Educational Progress, grants-in-aid documentation, guaranteed student loan applications, health profession and nursing loan files, scholarships, National Merit Scholarships, graduate assistants, sponsored student accounts.

Work-Study Student Files: Active plus 6 years Contains application, PERS exemption form, and evaluations of students employed under Work-Study Program. U.S. Department of Education Funding

Federal Loan Check Registers: Active plus 3 years Record of checks sent to students for National Direct Student Loans and Health Education Assistance Loans. General Administrative: Active plus 3 years Annual Interim Fiscal Operations Reports. Reports to federal government on expenditures for federal programs.

Student Files: Active plus 3 years Files on recipients, including: FAF's, and FAF need analysis reports, parental tax files, draft registration compliance record, award letters, Statement of Educational Progress, Basic Education Opportunity Grant (Pell) Files, grants-in-aid documentation, guaranteed student loan applications, health profession loan files, nursing loan files, scholarships, graduate assistantships, sponsored student accounts.

Work-Study Student Files: Active plus 3 years Contains application, PERS exemption form, and evaluations of students employed under Work-Study Program.

Grades Change of Grade Forms (Update Documents): Indefinitely Faculty Grade Book: Active plus 6 years Used for storing and computing assessment grades for exams, quizzes, presentations, or other student grades (paper or electronic). Faculty Grade Report (Grade or narrative): Indefinitely Copy of grade reports as submitted to registrar by faculty. Grade Reports (Registrar’s Copies): Active plus 1 year Copy of grade report as sent to student. Grade or narrative.

10 Grade Statistics: Indefinitely Review for continuing administrative and historical value and potential transfer to institutional Archives. Graduation Applications for Graduation: Active plus 1 year Commencement Programs: Indefinitely Review for continuing administrative and historical value and potential transfer to institutional Archives. Graduation Authorizations: Active plus 1 year Documents certifying completion of degree requirements. Graduation Lists: Indefinitely Review for continuing administrative and historical value and potential transfer to institutional Archives. Head Start: Active plus 5 years Documents of Head Start meetings and grantee level matters. IPEDS Report: Indefinitely Integrated Post-secondary Education Data System. OBOR Report: Indefinitely Ohio Board of Regents. Placement Files: Active plus 1 year Files maintained on alumni for purposes of career placement. Includes credentials, letters of recommendations, etc. Students pay to have credentials maintained. Requests Disclosures of Personally Identifiable Information: Active plus 3 years

Health Insurance Waivers: 1 year Signed waiver indicating student's acceptance or waiver of university student health insurance.

Student Requests for Nondisclosure of Directory Information: Active plus 3 years

11 Student’s Written Consent for Records Disclosure: Active plus 3 years Research Graduate Students: Active plus 6 years No external funding or intellectual property. MU Policy. Grants Files (Awarded): Active plus 5 years Files containing proposal, budgets, accounting information on grants received by faculty members from federal and state agencies and private foundations. Grants Files (Awarded –State Only): Active plus 6 years Files containing proposal, budgets, accounting information on grants received by faculty members from state agencies. MU Policy. Grants Files (Discovery Center): Active plus 7 years Includes project files, grant model school research files, budget, and program files. Review for continuing administrative and historical value and potential transfer to institutional Archives. MU Policy. Grants Files (Not Awarded): 1 year Applications and proposals by faculty for grants that were not funded. Research Protocol Committee Files: Active plus 10 years Includes lists of protocols to be considered, new reviews, approvals, requests, and revised protocol forms. Research Protocol Records: Active plus 3 years Includes protocol correspondence, grant information, approval forms, progress reports, prescription drug tracking forms, memos, history sheets, previously active protocol, and LAMS file. Statistics Degree: Indefinite Enrollment: Indefinite Racial/Ethnic: Indefinite Student Disciplinary Files Files maintained by student affairs on students who have been accused of disciplinary violations. Retention Policy: See Miami University Student Handbook Code of Student Conduct, Disciplinary Records. MU Policy.

12 Student Records Academic Records: Indefinite Record of academic work pursued, including: grades, competency assessments, etc. Academic Records (Graduate Students): Indefinite MU Policy. College or Departmental Office Files: Active plus 1 year Files maintained in individual college and department offices on students enrolled in that college or department. Includes transcripts, letters of recommendation, etc. Includes students who have graduated, actively enrolled students, and students who are no longer actively enrolled. Continuing Education: Active plus 3 years Files include two types of records: students enrolled in special interest courses, and students enrolled in professional certification programs. Correspondence: Active plus 1 year Student-specific correspondence (other than admissions). Program Requirement Modification: Active plus 1 year Change of major forms; degree requirement waiver or substitution authorization. Transcript Requests (other than student requested): Active plus 3 years

Veterans Administration Records and Correspondence: Active plus 3 years

Tuition and Fee Schedule: Indefinite Listing of fee charges for each term by an institution.

Environmental Environmental Monitoring Records: 5 years Radioactive Materials Transportation Records: Indefinite DOT Transfer record; Authorization for shipment of RAM; and Off-site transfers. Waste Records: Active plus 3 years RAM use cards, specific use, and disposal information.

13 Space Utilization Request Forms: 3 years MU Policy.

Finance Annual Financial Report: 10 years Consolidated year-end report of financial situation showing assets and liabilities. Usually broken down by major funding areas, such as academic and student service areas. May include audit report. Review for continuing historical value and potential transfer to institutional Archives. MU Policy. Audit Report (External): 4 years Final report of state or independent auditor. Review for continuing historical value and potential transfer to institutional Archives. MU Policy. Audit Report (Internal): Until Superseded Final report internal auditor. Until superseded by new internal audit; but no longer than 10 years. MU Policy. Bank Deposits: 4 years Record of deposits in banking institutions. Bank Reconciliations: 4 years Explanation of differences between bank statement balance and actual balance. Bank Statements: 4 years Periodic statement of bank balances. Bids (Accepted): Active plus 5 years For purchases. Bids (Rejected): 3 years For purchases. Bond Registers: Active plus 6 years Listing of bonds sold, usually for building projects, showing purchaser, date redeemed, interest due, etc. Budget (Institutional): Active plus 1 year Final, approved, yearly budget for institution, usually in printed form.

14 Budget-Planning Documents: Active plus 1 year Budget requests, including program plans for coming year, usually by cost center. Review for continuing historical value and potential transfer to institutional Archives. MU Policy. Budget-Transfers: Active plus 4 years MU Policy. Canceled Checks: 4 years Checks deposited by remote capture are retained in a secure location for a period of 14 days at which time they are destroyed. Banking industry standard. Check Register: 4 years Book or original entry for all cash disbursements paid by check. Delivery Slips: 3 years Documents sent with purchased goods indicating item(s) shipped. Endowment Fund Reports (Annual): Active plus 6 years Annual report of funds received and expended by endowment accounts. May be in form of report to donors. Review for continuing historical value and potential transfer to institutional Archives. Endowment Fund Reports (Periodic): Active plus 6 years Periodic report of funds collected or expended by endowment accounts. Purchase Orders: Active plus 5 years Purchasing Office’s copy of order to a supplier authorizing purchase of goods.

General Administrative Accreditation Files: 4 years University, college or department files documenting accreditation review by accrediting agencies. Review for continuing historical value and potential transfer to institutional Archives. Bookstore Management Documentation: 4 years Including buy-back records, cash drawer sign-out sheets, cashier balancing forms, charge forms, mark-up/mark-down sheets, merchandise return records, and special orders. Input Documents: Until Superseded Copies of records or forms designed and used solely for the data input and control.

15 NCAA Compliance Records: 7 years MU Policy (2014). Organizational Charts: Active plus 10 years Review for continuing historical value and potential transfer to institutional Archives. Pre-School Program Attendance Records: Active plus 6 years Pre-School Attendance and Emergency Sheets. Children’s Files: Indefinite Includes screening evaluation forms, contracts, parental and developmental information, reports from outside agencies, examples of student work, health records from physicians, and information from Social Services Coordinator. Print Center Work Orders: Active plus 1 year Signed Print Center work orders (internal documents). All information is captured in PrintSmith job ticketing system database. Signature only for receiving final product. Program Review Files: Indefinite All documents associated with the review cycle of academic departments/programs. Review for continuing historical value and potential transfer to institutional Archives. Records Destruction Documentation: 10 years Subject Files General Administrative: 3 years Files of correspondence, reports, memoranda, etc., documenting activities of general administrative offices [Note: excludes President, Vice-President, Director, Dean, or Chair and other upper level administrative offices]. MU Policy. President, Vice President, Director, Dean, or Chair: 3 years Files of correspondence, reports, memoranda, etc., documenting activities of these upper level administrative offices. Review for continuing historical value and potential transfer to institutional Archives. Surplus Property Documentation: Active plus 6 years

Transient Records: Retain until no longer administrative value All informal and/or temporary messages (including but not limited to those stored in text messages, e-mail and voice mail, including way audio files) and all notes and all drafts used in the production of public records by any Miami University employee. Transient material also includes anonymous, unsigned and/or unsolicited written or electronic materials,

16 including but not limited to anonymous student complaints, anonymous writings from individuals inside or outside the institution and voice mail messages. This includes tape recordings of University Senate and Board of Trustees meetings. In order to prevent accidental deletion, voice mail is retained on the University server for a period of 30 days. Voice mail content that may be identified as a record should be moved to a medium that supports recordkeeping, e.g., email. MU Policy. University Government Files: 3 years Files of minutes of boards, committees, and other governance groups documenting official actions of governing bodies. Review for continuing historical value and potential transfer to institutional Archives.

Human Resources Affirmative Action Complaint Files: Active plus 6 years Record of staff or student grievances based on equal opportunity and affirmative action regulations. Files arranged alphabetically. EE-06 Report [EEOC]: 6 years Annual report required by the federal government, including information on race, sex, salary, tenure, etc. for different groups of employees. Plan Files: 6 years Procedures and regulations to be followed, work force analysis, goals, timetables, statistics. Review for continuing historical value and potential transfer to institutional Archives. Position Applicant Files: 6 years Record of affirmative action procedures followed for university or college position openings. Files include position request and authorization forms, job descriptions, appointment activity record, proof of citizenship, chronological data on search and correspondence. Files divided into faculty, contract and classified staff headings. The classified staff portion is comprised of statistical data sent to Affirmative Action Office by Personnel Office. Under these headings, files are arranged alphabetically by department or office. Classified Staff Report Classified Staff Report: 1 year Monthly and annual reports listing information on classified employees such as promotions, training, classifications, new hires, pay range/step, suspensions, terminations, etc.

17 Categorical Summary: 6 years Listing of civil service employees categorized by race and sex. Review for continuing historical value and potential transfer to institutional Archives. Surveys, Wage and Fringe Benefits: 3 years Surveys conducted by the university or college with area organizations in an effort to acquire comparative data regarding wage and fringe benefit programs. Suspension Files: 5 years Record of suspended university or college employees including name, classification, department, reason for suspension and duration of suspension, pertinent supporting documentation. Union Dues Membership List: 4 years Copy of bi-weekly listing of university or college employees paying dues to unions, including pertinent personal data, classification, and department. Collective Bargaining Agreements: Active plus 5 years Review for continuing historical value and potential transfer to institutional Archives. Department Assistance File (Classified): 1 year Correspondence documenting Personnel Office services to university or college departments regarding classified staff positions. Employment – Classified Staff Applicant Card Files: 3 years Reference card file that lists name, address, telephone number, date of application, classification of individuals who have applied for classified positions. MU Policy. Application Files: 3 years Includes application form, resume, test results, referral and interview data. MU Policy. Canceled Position Files: 3 years Application forms, correspondence sent and received concerning positions that have been canceled. MU Policy. Certification Files: Active plus 3 years Record of employees who have attained certification in their classification. May include log book and printouts. Personnel Requisitions: 3 years Departmental request placed whenever a position within the department becomes vacant. Selection Criteria Form: 3 years Form providing an explanation as to why a person was or was not hired for a university or college position.

18 Employment – Faculty Application Files (Non-hires): 3 years Contains application, correspondence, resumes, etc. from applicants for positions. Declinations Files: 3 years Contracts, recommendations, letters of people who have declined positions. Disciplinary Files: Active plus 15 years Findings should go in personnel file and follow retention. MU Policy (2007). Employee Benefits Records: Active plus 15 years Records imaged at separation and attached to employee in Banner, insurance changes, dependent documents for tuition waiver, retirement, annuities, beneficiary changes. Promotion and Tenure Files: Active plus 10 years Recommendations, evaluations, materials submitted for promotion or tenure. Tenure and promotion recommendations (approval or denial) and pertinent correspondence maintained in permanent personnel file. Review for continuing administrative or historical value and potential transfer to institutional Archives. MU Policy. Search Committee: 3 years Records of individuals who applied or interviewed for positions for which a committee was formed. Files contain position authorization forms, job descriptions, search committee minutes, applicant credentials, correspondence, and authorization to hire forms. MU Policy. Employment – Graduate Assistants Enrollment Report: 2 years MU Policy. Letters of Offer: 3 years MU Policy Employment – Residence Hall Advisor Not Selected: 3 years Files on candidates not selected as residence hall advisors Selected: 3 years Files on candidates selected for employment as residence hall advisors. Employment – Unclassified Staff Applicant Files: 3 years Resumes on file. MU Policy.

19 Recruitment/Search: 3 years Staff search files. May contain position authorization forms, job descriptions, minutes, applicants’ credentials, search chronology, authorization to hire forms, correspondence. Employee Benefits Records: Active plus 15 years Records imaged at separation and attached to employee in Banner, insurance changes, dependent documents for tuition waiver, retirement, annuities, beneficiary changes. Employment Student Summer Contracts: Active Flyers for on- and off-campus employment opportunities. Verification: Active plus 1 year MU Policy. Employment Forms 1099: 6 years Federal form used to report salaries, wages, and tips of temporary employees. I-9s: Active plus 3 years Federal employment eligibility verification for employees. Originals maintained in a single discrete location. MU Policy. Payroll Deduction Authorizations: Active plus 6 years All forms used to authorize deduction for charitable organizations, credit unions, union dues, U.S. Savings Bonds, etc. W-2: 6 years Federal form reporting salaries, wages, and tips for each employee to the IRS. W-4: Active plus 6 years Forms completed by employee showing federal tax withholding exemptions. Faculty Employment Reports Activity and Service: Active plus 6 years Records for the academic year and each term listing teaching and advisory assignments, research, administrative duties and public service. Data is included for full-time and part- time faculty and graduate assistants. Reports printed either alphabetically by name of faculty member or by department. Review for continuing historical value and potential transfer to institutional Archives. Index System: Active plus 6 years Cards or other reference list for all active and inactive faculty. Review for continuing historical value and potential transfer to institutional Archives.

20 Garnishment Documentation: Active plus 3 years Contains copies of court orders, pertinent employee data, computation data, employee acknowledgement forms, IRS notices of levy, and correspondence regarding employee garnishment cases. Hazardous Materials Exposure Documentation: Indefinite Radioactive materials. Files of monthly reports of person’s exposure to Radioactive Materials. Incident Reports; report of Radioactive Materials Incident. Radioactive Materials Safety Workers: Indefinite Includes training records, exposure records, applications and authorizations, documents of authorized Users Lab; Specific RW Training/Interview; Emergency Notification, and Declaration of Pregnancy Forms. Radioactive Materials Authorized Users: Indefinite Layoff Documentation (Classified Staff): 5 years File contains printouts, rosters, and correspondence documenting university or college layoffs. Pertinent employee data, date of hire, classification, department, and retention points (performance) are included. Leave Record (Classified and Unclassified Staff): 5 years Forms used to document sick leave and vacation leave. Includes hiring date, longevity date, amount of sick leave and vacation leave accrued. Leave Record (Faculty): Active plus 6 years Vacation and sick leave earned and used. Ohio Board of Regents Annual FTE Report: 1 year Annual print-out required by the Ohio Board of Regents documenting full-time equivalent staffing levels. The summary of the inventory is sent to the Ohio Board of Regents. Review for continuing administrative or historical value and potential transfer to institutional Archives. Performance Evaluations Classified Staff: 5 years File contains annual printouts and log books, with such information as name, Social Security Number, date of hire, classification, supervisory, mid- and end-probationary dates, and department, and university or college employee performance evaluation.

21 Reclassification Files: 5 years Record of university or college employee reclassification with accompanying job audit reviews, audit appeals, position description questionnaires, correspondence and final decision documentation. Faculty

Promotion and Tenure Policy: 10 years Copy of departmental guidelines, policies, procedures, notices of guidelines, administrative memos, lists of eligible faculty. Review for continuing administrative or historical value and possible transfer to institutional archives.

Teaching Evaluations: 6 years Student evaluations of teacher’s performance. Used for reappointment, promotion, and tenure. MU Policy (2012). Unclassified Staff: 6 years File contains annual printouts and log books, with such information as name, Social Security Number, date of hire, classification, supervisory, mid- and end-probationary dates, and department, and university or college employee performance evaluations. Reclassification Files: 5 years Records of university or college employee reclassification with accompanying job audit reviews, audit appeals, positions description questionnaires, correspondence, and final decision documentation. Personnel Files Alien Certification Files: Active plus 5 years Records of employee requests made to the Department of Labor and Immigration and Naturalization for work certification. In addition to certification, the files include transcripts, letters of reference, resume and other pertinent documentation. Files arranged alphabetically. Classified Staff: Active plus 15 years Employment record maintained for full-time and part-time classified employees. Files may contain application, copies of driver’s license, Social Security card, birth certificate, payroll, leave or absence requests, letters of commendation and reprimand. Review for continuing administrative value. MU Policy.

Card File: Active plus 15 years File Card coordinate to classified personnel files. Includes name, Social Security Number, status, classification, department, anniversary date, pay, resignation, date, sick leave, performance, etc. Review for continuing administrative value. MU Policy.

Summer Employment: 5 years Record of employees with alternate, summer job responsibilities usually in dining halls, union, health center, residence halls, and custodial.

22 Employee Benefits Records: Active plus 15 years Records imaged at separation and attached to employee in Banner, insurance changes, dependent documents for tuition waiver, retirement, annuities, beneficiary changes. Faculty: Active plus 15 years Original faculty contracts and addenda, promotion and tenure documentation, original transcripts, hiring documentation, resumes, letters of recommendation, correspondence, teaching schedules, tax forms, sabbatical information, evaluation forms, STRS forms. Review for continuing administrative value. MU Policy. Job Enrichment Records (Leaving Miami): Active plus 2 years

Job Enrichment Records (Retirement): Immediate

Student Employees: Active plus 6 years Active and inactive files. Student authorization forms, State and federal withholdings, PERS, step increases, termination notices, reclassification forms, exemptions. Review for continuing administrative value. Summary Report: 1 year Stipend list, updated social security number reports, 1040 hours report, termination reports, summer rehires, college work-study awards, changes chart of accounts, step increases, department summaries, CWS earnings report, time cards by sequence number. Unclassified Staff: Active plus 15 years Employment record maintained for full-time and part-time university or college contract employees. Files can contain position descriptions, applications, letters of appointment or change, personnel data, notice of salary rate, copies of birth certificate. Review for continuing administrative value. MU Policy. Position Descriptions Classified Staff: Active Master file of classified job descriptions. Retained for pay-range classification purposes. Faculty: Active Description of current positions. General: 3 years Student Job Cards: Active Job descriptions for campus and off-campus positions which have been filled or are no longer offered. Position Vacancy Announcement: 6 years Job Descriptions for each university or college position posted.

23 Public Employees Retirement System (PERS) File Classified Staff: Active plus 6 years Includes copies of retirement applications documenting pertinent personal, spouse, and beneficiary data. Working papers and correspondence are included. Staff: Active plus 6 years Includes copies of retirement applications documenting pertinent personal, spouse, and beneficiary data. Working papers and correspondence are included. Public Employees Retirement System (PERS) Log Classified Staff: Active plus 6 years Record of university or college classified employees and their date of retirement and address. Staff: Active plus 6 years Record of university or college classified employees and their date of retirement and address. State Classification File (Classified Staff): Until Superseded Lists of classification by pay range as directed by the State Department of Administrative Services. Super Bill Files: 4 years Record given to each person who visits university health services. Records diagnosis, treatment, and charges or lack of charges. Used for insurance claims. Time Cards: 5 years Record of time worked by employees. Kronos edits (Classified Staff): 3 years Changes to employee KRONOS timecard by supervisor. Retained by department. MU Policy. Student Employees: 5 years Record of hours worked by student employees. Training Documentation (Classified Staff) Civil Service Examinations File: Active Old examinations used for the purpose of devising new testing programs. Also can include information and materials for Civil Service testing. On-the-Job Training Records: Active plus 3 years. Complete training records for individuals seeking classified positions. Includes V.A. approval, progress report, record of trainee-trainer, date started, hours worked, etc.

24 Training Courses: 1 year Memoranda, flyers, catalogues, registration forms, rosters, and other records relating to training courses run by a data processing user support or office automation support unit. Unemployment Compensation Log: Until Superseded Record of unemployment compensation cases. Unemployment Compensation Documentation: Active plus 6 years Consolidated file listing all employees (classified, contract, and faculty) for whom an unemployment claim has been filed. This includes copies of claim forms, correspondence, costs for the institution, and amount of unemployment compensation paid. University Medical Records: Active plus 15 years Review for continuing administrative or historical value and potential transfer to institutional Archives. MU Policy.

Information Technology Audit Trail Files: 3 Cycles Data generated during the creation of a master file or database used to validate a master file or database during a processing cycle. Back-up Files: 3 Cycles Copies of master files or databases, application software, logs, directories, and other records needed to restore a system in case of a disaster or inadvertent destruction. Computer Run Scheduling Records: Until Superseded Records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run. Computer Usage Chargeback Billing Records: 4 years Reports and other records from campus computer centers detailing charges for computer services. Includes monthly billing reports, copies of vouchers, and bills. Files: 3 Cycles Electronic files or automated logs created to monitor computer system usage including but not limited to log-in files, system usage files data entry logs, and records of individual computer program usage. Summary: Until Superseded Summary reports created to document computer usage.

25 Data Documentation and Data Directory Records: Active plus 3 years Records generally created during development or modification and necessary to access, retrieve, manipulate and interpret data in an automated system including data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships and origin of the data elements, user guides, system or sub-system definition, system flowcharts, program descriptions and documentation, job control or work flow records, system specifications, and input and output specifications. Review for continuing historical value if not all data migrated or destroyed. Disaster Preparedness and Recovery Plans: Active plus 3 years Records related to the protection and re-establishment of data processing services, equipment and data (back-up files) in case of a disaster. Hardware and Software Conversion Plans: Active plus 3 years Records relating to the replacement of equipment or computer operating systems. Hardware Documentation: Active plus 3 years Records documenting the use, operation, and maintenance of the university’s data processing equipment including operating manuals. Hardware/operating system requirements, hardware configurations, and equipment control systems. Help Desk Logs and Reports: 1 year Records used to document request for technical assistance and responses to these requests as well as to collect information on the use of computer equipment for program delivery, security, or other purposes. Information Resources Management and Data Processing Services Plans: Active plus 3 years University IT plans, data processing service plans, strategic plans, and related records used to plan for information systems development, technology acquisitions, data processing services provisions, or related areas. Review for continuing historical value and potential transfer to institutional Archives. Maintenance Contract Files: Active plus 6 years Records documenting support services provided to specific data processing equipment or installations including site visit reports, program and equipment service reports, service histories, and correspondence and memoranda. Network Usage Reports: Active plus 3 years Summary reports and other records created to document computer usage for reporting or other purposes.

26 Operating Procedure: Active plus 3 years Records of procedures for data entry, the operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation. Policies: Active plus 10 years Records of data processing policies including those covering access and security, systems development, data retention and disposition, and data ownership. Procurement Records Hardware and Software: Active plus 6 years Records used in the procurement of system hardware and software including requests for proposals, quotations and bids, benchmark/acceptance testing information, correspondence, duplicate copies of contracts, purchase orders, technical reviews, and vendor information including references and literature on the firm or product line. Services: 4 years Records created to initiate the purchasing process, authorize and provide funds for, or satisfy claims and expedite payments for private service providers including copies of purchase orders, involve requests, receipts, agency vouchers, service reports, and other supporting documents. Security Camera Tapes: Until Superseded Digital images are to be retained for a minimum of seven days after which time they may be destroyed or recorded over. Retention of digital images captured for research purposes is governed by OARS in consultation with the University’s record manager. MU Policy. Software Documentation: Active plus 3 years Copy of program code, program flowcharts, program maintenance log, system change notices, original design documents, specifications requirements, acceptance tests, and other records that document computer programs and the modifications made to computer programs. Review for continuing historical value if not all data migrated or destroyed. Tape Library Control Records: Until Superseded Records used to control disposition of magnetic media in a tape library. Test Database and Files: Active plus 3 years Routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system. Users Access Records: Active plus 3 years Electronic or textual records created to control or monitor individual access to a system and its data created for security purposes, including but not limited to user account records, security logs, and password files.

27 Legal General Contracts/Agreements/MOUs: Active plus 10 years Review for continuing obligations. MU Policy (2014). EthicsPoint® System Reports: 4 years Retain until no longer useful but not longer than 4 years from the date of the closing of the report. MU Policy. Patents: Life of Patent If Miami University or an industry that funded the research pursues patent; maintain lifetime of patent plus length of time to issue patent (usually 20 years). Review for continuing administrative and historical value and potential transfer to institutional Archives. MU Policy. Non-Patent Research: Active plus 6 years Research with potential for intellectual property; but no immediate patent. Public Records Requests: 2 years or 1 year following final judgement if related to request

Trademark Registration: Active plus 6 years Review for continuing administrative and historical value and potential transfer to institutional Archives. Litigation: 1 year following final action Legal Invoices: 1 year Immigration: Active plus 5 years Documents related to employment immigration filings.

Plant Operations and Maintenance Construction Projects: Active plus 6 years Project Request and Program Statement. A request from the University community to initiate a project.

28 Elevator Certifications: Active plus 3 years Laboratory Inspection Reports: Active plus 3 years Periodic inspections of laboratories. Real Estate Records: Active plus 5 years Copies of deeds, leases, purchase agreements, appraisals, etc. documenting real property purchased or leased by the institution. Original deed maintained by the Auditor of State. Review for continuing historical value and potential transfer to institutional Archives. Residence Halls Change in Meal Plans: Active plus 5 years Records of changes on board contracts. HUD Reports: 6 years Annual reports filed with the federal government concerning operation of residence halls. Review for continuing historical value and potential transfer to institutional Archives. Publicity Advertising: 5 years Review for continuing historical value and potential transfer to Institutional Archives. News Releases: Indefinite Review for continuing historical value and potential transfer to institutional Archives. Newsletters: Indefinite Review for continuing historical value and potential transfer to institutional Archives. Photographs: Indefinite Review for continuing historical value and potential transfer to institutional Archives. Recruitment Materials: 5 years Videos, publications, posters, advertisements, etc. used to recruit students to attend the institution. Review for continuing historical value and potential transfer to institutional Archives. Viewbooks: 5 years Document utilized for Recruitment. Review for continuing historical value and potential transfer to institutional Archives.

Security and Police The application of this records schedule applies to both hard copy and electronic copies, the destruction of these records is different. Hard copy records are destroyed in labor

29 intensive methods such as shredding. Electronic records may be erased or written over. Records contained within our report writing system (Report Exec Enterprise and Report Exec Dispatch) will be systematically removed once those records have reached their retention period as stated within this schedule. Arrest/Booking Reports Cumulative information file for each adult arrested. May include copies from incident report files, investigation reports, property records, witness statements, signed Miranda rights, and any accompanying documentation. Retention period: Active plus 30 years. Retain until person is known to be dead or presumed dead at age eighty-five. Juvenile Arrest/Booking Reports Cumulative information file on each juvenile arrested. May include copies from incident files, investigation reports, property records, witness statements, signed Miranda rights, and any accompanying documentation. Note: Juvenile Records must be kept separate and apart from adult arrest records. Retention period: Active plus 30 years. Retain until person is known dead or presumed dead at age eight-five (85). Incident/Case Reports Includes paper and electronic reports of incidents or requests for service related to officer’s actions, referrals, and subsequent investigation. These include reports of mechanical malfunction, fire alarms, thefts, medical service, assaults, traffic citations etc., along with any accompanying documentation. Records Management System (RMS) software is Report Exec Enterprise, see appendix B. The following retention periods apply unless a case is in litigation: Criminal Incidents Retention Period: Retain until expiration of statute of limitations, see appendix C, then destroy. Non-Criminal Incidents. Retention Period: Retain 7 years and then destroy. Motor Vehicle Accidents (if not covered under other categories) Retention Period: Retain 7 years and then destroy. Accidental or Unexplained Death. Retention Period: Retain permanently. Missing Persons, Unsolved. Retention Period: Retain permanently.

30 Evidence Includes photographs, audio recordings, video recordings, contraband, and other objects, items, or documents collected in connection with the commission of a criminal offense. Retention Period: Retain at least until disposition of criminal case or expiration of statute of limitations, then destroy, return to owner, or convert for departmental use in accordance with applicable laws. Video Record of Booking Room Retention Period: Retain thirty (30) days and then destroy, unless it has evidentiary value. Video Record of Campus Events Retention Period: Retain thirty (30) days and then destroy, unless it has evidentiary value. Video Record of Building Cameras Retention Period: Retain for seven days, and then destroy, unless it has evidentiary value. Video Record of Cruiser Camera Retention Period: Retain for 30 days, and then destroy, unless it has evidentiary value. Video Record of Body Camera Retention Period: Retain for 7 days, and then destroy, unless it has evidentiary value. Property Cards Sequential numbered cards that describe stored property. Retention Period: Retain 2 years after property disposal, and then destroy. Property Card Logs Sequential listing of stored property by card number. Retention Period: Retain 3 years, and then destroy. CAD Record Computer Aided Dispatch – Dispatching program to track calls for service. The CAD record is sequential number records that identify the complainant’s name, the time the call was received, time dispatched, the officer’s arrival time, clearing time and disposition. Dispatching software is Report Exec Dispatch. See Appendix B. Replaces CR cards which are no longer actively produced. Retention Period: Retain 10 years, and then destroy. Fingerprint Waivers and Results Waivers and results of civilian criminal background checks. Retention Period: Retain 4 years, and then destroy. Dispatch Audio Record A taped recording of phone calls and radio transmissions made and received by the dispatch office. Retain 1 year, and then destroy.

31 Retention Period: System is currently set up to purge records at 1 year. L.E.A.D.S. Computer Printouts Printed information from L.E.A.D.S. computer terminal. Does not require Certificate of Records Disposal. Retention Period: Retain until no longer of administrative, legal, or fiscal value, and then destroy. Ride Along Waivers Signed waivers from individual seeking to accompany any officer of the department while on duty. Retention Period: Retain 2 years, and then destroy. Public Record Request Information Retention Period: Retain 2 years, or 1 year following final judgement if related to request, and then destroy. Vehicle Lockout Service Waiver Signed by motorists requesting this service. Retention Period: Retain 2 years, and then destroy. Sealed Records Juvenile or Adult arrest records ordered sealed by a court order. See Appendix A. Retention period: Retain until person is known dead or presumed dead at age eight-five (85) and then destroy. Court Issued Payment of Fines and Fees Fines imposed by the court on individuals from alcohol and drug related cases (PSF700 and PSF701). Retention Period: Retain 10 years, and then destroy. Payroll Accounting Records Summary of daily hours worked. Reports from Kronos for students and classified employees payroll, sick leave authorization forms, leave request and approved shift switches. Retention Period: Retain 5 years, and then destroy. Personnel Records The personnel file should retain the following records: 1. Application 2. Employment interview notes 3. Pre-employment psychological 4. Performance evaluations 5. Discipline 6. Commendations

32 7. Trainings and certifications 8. Pre-employment investigation 9. Correspondence Retention Period: Retain 15 years following termination, resignation, or retirement, and then destroy. Personnel Search Process Records All records pertaining to the application process. Retention Period: Retain 3 years after the position is filled, and then destroy. Citizen Complaints Complaints and investigations into complaints. Retention Period: Retain 10 years, and then destroy Lost and Found Records Records of lost item and found item reports. Retention Period: Retain 3 years, and then destroy. Student Personnel Records Retention Period: Retain 6 years following end of employment and then destroy. Expungements File of court orders including first and final notifications from the court to the police department ordering the expungement of particular arrest files and records. Retention Policy: Destroy with case/arrest files indicated in expungement order. See Appendix A. Work Schedules Schedule of days assigned to work or training. Does not require Certificate of Records Disposal. Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy. Overtime Sign-up Form Posted overtime opportunities with officers’ choice initialed. Does not require Certificate of Records Disposal. Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy. Budget/Purchasing Accounting Records Includes budget reports and budget documentation, cash receipts, deposits, LPO’s, requisitions, purchase orders, invoices, and Master Card reconciliation. Retention Policy: Retain 5 years, and then destroy.

33 Campus Security (Clery) Act Reports and Uniform Crime Reports Reports of Miami University activity produced in compliance with federal programs. Retention Policy: Retain 7 years, and then destroy. Information Reports A summary of daily incidents that generate a report. Also called “Crime and Fire Log”. Retention Policy: Retain 7 years, and then destroy. Documents and Reports from Other Agencies Does not require Certificate of Records Disposal. Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy.

Copies, to Include Electronic Data, of Any Record Retained Under This Schedule Does not require Certificate of Records Disposal. Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy. Transient Material All informal and/or temporary messages (including but not limited to those stored in e- mail and voice mail) and all notes and all drafts used in the production of public records by any Miami University employee. Transient material also includes anonymous, unsigned and/or unsolicited written or electronic materials, including but not limited to anonymous student complaints, anonymous writings from individuals inside or outside the institution and voice mail messages.

Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy. Does not require Certificate of Records Disposal. Miscellaneous Documents Includes, but not limited to: correspondence, publications, memoranda, inventories, and reports of summary data other than Campus Security Act and Uniform Crime reports. Does not require Certificate of Records Disposal.

Retention Policy: Retain until no longer of administrative, legal, or fiscal value, and then destroy.

Transportation and Parking Motor Vehicle Records: Active plus 6 years Includes title, insurance, and maintenance documentation.

34 Permit Applications: 1 year Permit Applications. Application for parking permit/decal-non-fee. Paid Tickets: 4 years Retrieval of Vehicle Registration (RoVR): Active plus 1 year Provides missing customer information for vehicles and/or citations imported through an update process that creates the appropriate data relationships among customers, citations, and vehicles. Unpaid Tickets: 4 years Vehicle Immobilization Record: Active plus 1 year Form completed by parking technician/staff to document the placement of an immobilizing device/boot on a vehicle. MU Policy.