Records Disposition Authority: Public Universities of Alabama

The mandated function of each of the Public Universities of Alabama is to provide education to its clients. The universities are some of the agencies responsible for performing the Client Services function of Alabama government.In the performance of their mandated function, the universities may engage in the following subfunctions:

Policy Making.

Admitting/Expelling Students. Each university has requirements that must be met for a student to be accepted for enrollment at the university. Students apply to the university and the university verifies the application materials and decides to accept or deny the application. Some accepted applicants may be placed on probation until certain criteria are met. Failure to meet these criteria may result in the student losing his/her acceptance to the university. Each university has other policies governing students, including their academic requirements, that when broken, may result in the students being disciplined and/or expelled. These expulsions may be appealed, in some instances, to the university's discipline oversight committee.

Conveying Knowledge. Teaching is the primary activity of this subfunction, which is the direct link between the university and the individual student, and is the process that all other education activities support. Universities also utilize internships to convey knowledge. Other areas under this subfunction include those that support the learning process, e.g., university libraries, museums, archives, and learning centers.

Providing Guidance, Financial Assistance, Housing, Care, and Activities. Universities provide services to their students in addition to conveying knowledge. These services include providing financial assistance, housing, care, activities, and guidance. Assistance comes in the form of financial aid including loans, grants, scholarships, and work study. Much of this aid is coordinated with other state and/or federal agencies. Universities provide housing opportunities to students through university-owned housing. The university coordinates the application and leasing process with students. Many universities have medical facilities available to students. These facilities may be owned by the university or coordinated through private entities. The universities also provide activities for the students that allow them to participate in sports, to explore personal interests and possible future professions through clubs and organizations, and to experience the democratic process through school elections. The universities also offer career and educational guidance.

Enforcing Laws, Arresting, and Detaining. The police department of each university is responsible for executing laws, detaining persons accused of crimes, and keeping the peace. The majority of the department's activities relating to enforcing laws involves patrolling the roads of the campus. Officers write warnings or citations for violations of traffic laws and arrest serious violators when applicable. The department's personnel also coordinate all protection details for school officials and assist in directing traffic at some large events.

Evaluating Performance and Conferring Credentials. This subfunction includes activities that measure a student's academic achievements and school performance. Evaluation consists of measuring knowledge and skills acquired in individual classrooms. Graduation from a university not only requires the successful completion of a designated course of study, but also may include the passing of comprehensive exams and/or completion of a thesis or dissertation and its defense.

Researching. Some universities carry out research activities. These research activities may be conducted by an individual or may be carried out as part of a large research center. Universities may apply for grant money to fund these research projects. The results of research usually are published.

Administering Internal Operations. A significant portion of each university's work includes general administrative, financial, and personnel activities performed to support the programmatic areas of the university.

Managing the University: Activities involved in managing the university may include internal office management activities such as corresponding and communicating; scheduling; meeting; creating policy and procedures; reporting; litigating; legislating (drafting, lobbying, tracking); publicizing and providing information; managing records; and managing information systems and technology.

Managing Finances: Activities involved in managing finances may include the following: budgeting (preparing and reviewing the budget package, submitting the budget package, documenting amendments and performance of the budget); purchasing (requisitioning and purchasing supplies and equipment, receipting and invoicing for goods, and authorizing payment for products received); accounting for the expenditure, encumbrance, disbursement, and reconciliation of funds within the university's budget through a uniform system of accounting and reporting; authorizing travel; contracting with companies or individuals; bidding for products and services; and assisting in the audit process.

Managing Human Resources: Activities involved in managing human resources may include the following: recruiting and hiring eligible individuals to fill vacant positions within the agency; providing compensation and benefits to employees; supervising employees (evaluating performance, disciplining, granting leave, and monitoring the accumulation of leave); and providing training and continuing education for employees.

Managing Properties, Facilities, and Resources: Activities involved in managing properties, facilities, and resources may include the following: inventorying and accounting for non-consumable property and reporting property information to the appropriate authority; constructing buildings and facilities; leasing and/or renting offices or facilities; providing for security and/or insurance for property; and assigning, inspecting, and maintaining university property, including vehicles.

Records Appraisal of Public Universities of Alabama

The following is a discussion of the two major categories of records created and/or maintained by Public Universities of Alabama: Temporary Records and Permanent Records.

I. Temporary Records. Temporary records should be held for what is considered their active life and should be disposed of once all fiscal, legal, and administrative requirements have been met. Some examples of the temporary records created by the universities are discussed below:

Recruitment Materials and Records (not reports, statistical information, or procedures). Recruitment materials are used to recruit students to attend the university and include videos, publications, posters, advertisements, flyers or buttons/pins. Files also may be created for the recruitment of specific students. The files are kept for one year or until the student enrolls, whichever is shorter. Prior to the destruction of these records, their disposition should be discussed with the university archivist, as the archivist may want to preserve some of them.

Alcohol Influence Reports.These records document incidents of driving under the influence of alcohol and are recommended to be retained 85 years because the law allows drivers to challenge a charge of driving under the influence of alcohol for the extent of his/her driving career.

Records documenting an employee's work history. These records, which are generally maintained as a case file and include records of final leave status and faculty service reports, are used to verify employment. Because the universities are outside of the State Department of Personnel system, the records are kept twenty-five years after separation of an employee from the university. Medical resident's file are kept seventy-five years to document practice at the university's hospital.

II. Permanent Records. The Government Records Division recommends the following records as permanent.

Policy Making:

Course and Curriculum Records. These records, which include class/course schedules and annual bulletins, are created during the process of deciding on courses to offer/continue within each university program. The records are necessary for long-term administrative use and to document the creation of programs of study. (RDA page 3-2)

Board of Trustees and Academic Committees Meeting Agenda and Minutes. These records document policy and rule development by the university, proposals, and required reporting by the departments and committees to the board, as well as academic committee meetings.(RDA page 3-2)

President's/Chancellor' Files. These records, which do not include routine correspondence, document the policies of the universities. (RDA page 3-2)

Policies and Faculty Handbooks. These records, which include staff manuals, document the guidelines, policies, and procedures of the universities. (RDA page 3-2)

Admitting/Expelling Students:

Recruitment Materials and Records (reports, statistical information, and procedures). These records are summary documentation of the recruitment process and are necessary to document the activities of this subfunction. (RDA page 3-3)

Student Handbooks. The student handbooks document school policy and procedures as they affect individual students. They are useful in researching changes in policy and to document what policies were in force at a given time. (RDA page 3-3)

Conveying Knowledge:

Library/Archives Records (accession/deaccession records, collection catalog information, and control files). The permanent records of libraries and archives are those records that document ownership, description, condition, and restoration of permanent collections. Accession records are necessary to document the legal ownership of items by the university. Deaccession records that document the release of custody of collections from the university are necessary to prove that the item is no longer the responsibility of the university. Collection catalog information contains much of the known information about each artifact in the collection. The descriptions and other information document the history of the item and are necessary to place the object in context. Control files consist of records documenting evaluations of, and actions taken on, holdings of the department. (RDA page 3-4)

Providing Guidance, Assistance, Housing, Care, and Activities:

Student Publications. Student publications, which may include newspapers, yearbooks, and magazines, document the university and its students. The publications are useful to researchers. (RDA page 3-6)

Athletics Case Files/Infractions Files (substantiated). These records are created in the course of investigations of alleged infractions of rules of athletic associations such as the NCAA and NAIA. The files of substantiated claims are kept permanently to document the violation and its outcome to assist in future investigations as well as to document the actions of the university. (RDA page 3-7)

Evaluating Performance and Conferring Credentials:

Grade Sheets Submitted by Instructors. These records document the grades given by an instructor to the members of a particular class. Their permanent retention is recommended by the American Association of Collegiate Registrars and Admissions Officers (AACRAO). (RDA page 3-11)

Grade Statistics. These reports are created to provide statistical information on student grade point or quality point averages and are necessary to document grade trends. (RDA page 3-11)

Graduation Lists. These records are lists of individuals who have successfully completed the degree requirements and have graduated from the university. Note: This list may be part of the Board of Trustees minutes. (RDA page 3-11)

Honorary Degree and Citation Files. These records document the award of honorary degrees and citations. (RDA page 3-11)

Individual Student Academic Records. These records consist of the official student record of an individual student for his/her period of enrollment at a university and include all academic documentation for an individual student, including transcripts, narrative evaluations, competency assessments.Their permanent retention is recommended by the American Association of Collegiate Registrars and Admissions Officers (AACRAO). (RDA page 3-11)

Researching:

Research Project Records. These records are created over the course of a research project and document procedures, steps taken, and results. The records may be included with grant records. The records are necessary to document the research process as well as its results. (RDA page 3-12)

Research Policies. These records document the policies of a university and/or department regarding its research at a given time. They document what policies were in place as well as the evolution of research policies at a university. (RDA page 3-12)

Administering Internal Operations:

Accreditation Records (final assessment/self-study reports and responses)

Annual Reports. The annual reports are summary documentation of the activities of the university and include enrollment statistical reports. (RDA page 3-13)

Publications and Publicity Materials. The universities create publications and publicity materials to provide information about themselves and their programs to the public and/or their students. Publicity materials may include photographs and press releases. These records provide summary information on the activities, academics, and organization of the universities. (RDA page 3-13)

Permanent Financial Documentation. The following financial records are required to be kept permanently for historical and accounting purposes: tuition and fee schedules, university budgets annual endowment fund reports, charts of accounts, general ledgers, annual financial statements, and annual payroll earnings records. Other financial records are listed separately and have temporary retention requirements.(RDA page 3-15)

External and Internal Audit Records (final report and responses). These records are created by university, state or independent auditors to document their audits. They are necessary to document the results of the audit and the university's response. (RDA page 3-16)

Grant Records (final grant reports).These reports are created at the end of a grant project as required by the grantor. The reports are necessary to document the activities and results of grant projects. (RDA page 3-16)

Search Committee Files (president/chancellor). These records document the university's process of searching for and selecting candidates for president/chancellor. (RDA page 3-19)

Campus Maps, Building Plans, and Drawings.The maps, plans, and drawings document the physical appearance and structure of the campus and its buildings as well as changes in the physical campus of the university. The records retain administrative and historical value.

Permanent Records List

Public Universities of Alabama

Making Policy:

1. Course and Curriculum Records

2. Board of Trustees and Academic Committees Meeting Agendas and Minutes

3. President's/Chancellor's Files

4. Policies and Faculty Handbooks

Admitting/Expelling Students:

1. Recruitment Materials and Records (reports, statistical information, and procedures)

2. Student Handbooks

Conveying Knowledge:

1. Library/Archives Records (accession/deaccession records, collection catalog information, and control files)

Providing Financial Assistance, Housing, Care, Activities, and Guidance:

1. Student Publications

2. Athletics Case Files/Infractions Files

Evaluating Performance and Conferring Credentials:

1. Grade Sheets Submitted by Instructors

2. Grade Statistics

3. Graduation Lists

4. Honorary Degree and Citation Files

5. Individual Student Academic Records

Researching

1. Research Project Records

2. Research Policies

Administering Internal Operations:

1. Accreditation Records (final assessment/self-study reports and responses)

2. Annual Reports (includes enrollment statistical reports)

3. Publications and Publicity Materials

4. Permanent Financial Documentation (tuition and fee schedules, university budget, annual endowment fund reports, charts of accounts, general ledgers, annual financial statements, and annual payroll earnings records)

5. External and Internal Audit Records (final report and responses)

6. Grant Records (final grant reports)

7. Search Committee Files (president/chancellor)

8. Campus Maps, Building Plans and Drawings

ADAH and university staff members are available to work with the university in determining the best location and storage conditions for the long-term care and maintenance of permanent records. Many of these records should be offered to the university's own archives for storage.

Public Universities of Alabama General Records Disposition Authority

This Records Disposition Authority (RDA) is issued by the State Records Commission under the authority granted by the Code of Alabama 1975, Sections 41-13-5 and 41-13-20 through 21. It was compiled by the Government Records Division, Alabama Department of Archives and History (ADAH), which serves as the commission's staff, in cooperation with representatives of Public Universities of Alabama. The RDA lists records created and maintained by Public Universities of Alabama in carrying out their mandated functions and activities. It establishes minimum retention periods and disposition instructions for those records and provides the legal authority for Public Universities of Alabama to implement records destruction.

Alabama law requires public officials to create and maintain records that document the business of their offices. These records must be protected from "mutilation, loss, or destruction," so that they may be transferred to an official's successor in office and may be made available to members of the public. Records also must be kept in accordance with auditing standards approved by the Examiners of Public Accounts (Code of Alabama 1975, Sections 36-12-2, 36-12-4, and 41-5-23). For assistance in implementing this RDA, or for advice on records disposition or other records management concerns, contact the ADAH Government Records Division at (334) 242-4452.

Explanation of Records Requirements

This RDA supersedes any previous records disposition schedules governing the retention of Public Universities of Alabama's records. Copies of superseded schedules are no longer valid and may not be used for records disposition.

The RDA establishes retention and disposition instructions for records listed below, regardless of the medium on which those records may be kept. Electronic mail, for example, is a communications tool that may record permanent or temporary information. The retention periods for e-mail records are governed by the requirements of the subfunctions to which the records belong.

Certain records and records-related materials need not be retained as records under the disposition requirements in this RDA. Such materials include (1) duplicate record copies that do not require official action, so long as the creating office maintains the original record for the period required; (2) catalogs, trade journals, and other publications received that require no action and do not document university activities; (3) stocks of blank stationery, blank forms, or other surplus materials that are not subject to audit and have become obsolete; (4) transitory records, which are temporary records created for short-term, internal purposes, may include, but are not limited to, telephone call-back messages, drafts of ordinary documents not needed for their evidential value, copies of material sent for information purposes but not needed by the receiving office for future business, and internal communications about social activities. They may be disposed of without documentation of destruction.

Any record created prior to 1900 shall be regarded as permanent unless there is a specific action by the State Records Commission to authorize its destruction.

Records Disposition Requirements

This section of the RDA is arranged by subfunctions of Public Universities of Alabama and lists the groups of records created and/or maintained by the university as a result of activities and transactions performed in carrying out these subfunctions. The universities may submit requests to revise specific records disposition requirements to the State Records Commission for consideration at its regular quarterly meetings. Permanent records appear in all upper case letters.

Policy Making

COURSE AND CURRICULUM RECORDS These records include programs of instruction approval files, class/course schedules, university catalogs/bulletins, and proposals and justifications for new courses and changes to courses. RECORDS OF APPROVED CLASSES: PERMANENT.
Records of classes not approved: Retain for useful life.

BOARD OF TRUSTEES AND ACADEMIC COMMITTEES MEETING AGENDAS AND MINUTES These records document the proposed and executed proceedings of the university's board of trustees and of academic committees and include agendas that detail business to be considered at meetings in addition to minutes of the actual proceedings. PERMANENT.

Recordings of Meetings of Board of Trustees and Academic Committees These records are created during meetings to assist in the creation of minutes. Retain until the official minutes are adopted and signed.

Minutes and recordings of Staff Meetings These records are created to ensure what was decided at a meeting. Retain for useful life.

POLICIES AND FACULTY HANDBOOKS Document university guidelines, policies, and procedures. PERMANENT.

PRESIDENT'S/CHANCELLOR'S FILES These records, which do not include routine correspondence, document the policies of the university. PERMANENT.

Admitting/Expelling Students

RECRUITMENT MATERIALS AND RECORDS Recruitment materials are used to recruit students to attend the university and include videos, publications, posters, correspondence, advertisements, flyers or buttons/pins. Files also may be created for the recruitment of specific students. REPORTS, STATISTICAL INFORMATION, AND PROCEDURES: PERMANENT.
Other Records: Retain 1 year.

Prior to disposition, check with the university archives for possible extended retention.

Students' Admission Files (Admitted, Not Admitted, and Dismissed) These files consist of application records for admission into the university degree program and are created for undergraduate, graduate, and transfer students. The files may include acceptance letters, placement records, medical records, test scores, test profiles or reports of prospective university applicants. Statistical information on test score averages (GRE, ACT, SAT, CEEB files) may also be included.
Files of Accepted Applicants Who Enroll (includes action authorizations such as dismissals): Retain 5 years after date of last attendance.
Letters of Recommendation for applicants who enroll: Retain until admitted.

Accepted Applicants Who Do Not Enroll: Retain 1 year after application term.

Applicants Not Accepted: Retain 2 years after application term.

Note: try to return applicable records of foreign students to the student at end of retention period.

Student Disciplinary Files

These records document investigations and disciplinary actions taken against students for violations of university rules and regulations. Retain 5 years after closure of case file or until the student leaves the university, whichever is longer.

Requests for Disclosure/Nondisclosure of Personally Identifiable Information These records document student requests that personally identifiable information, generally consisting of name, address and telephone number, be/not be released. Also includes requests to forward student academic transcripts to other agencies, educational institutions or to the student Retain 1 year or until no longer applicable, whichever is longer.

STUDENT HANDBOOKS These handbooks are produced by the university to provide information to students about the university and its operation. PERMANENT.

Conveying Knowledge

Lesson Plans/Syllabi These records are created to document what the teacher expects of the students and to outline assignments and due dates. Retain 2 years.

Internship Records These records document activities of interns. Retain 2 years.

Master Copy of Exams These records are the master copy of every exam given in the conduct of a class in the curriculum of the university. Retain 2 years.

Documentation of Grades and Attendance (Instructor's Copy) These records include class rolls, grade books, graded exams, papers, and other student work. Retain 2 years.

Records of Learning Centers These records document the activities of learning centers, which some universities establish to assist in the learning process. Retain 3 years.

LIBRARY/ARCHIVES RECORDS These are records created in the management of the library and/or archives. COLLECTION CATALOG INFORMATION, ACCESSION/DEACCESSION RECORDS, AND CONTROL FILES: PERMANENT
Registration and Circulation Records, Photocopy Order/Receipts, Interlibrary Loan Files, and Reference Retrieval Files:

Retain 3 years after end of the fiscal year in which the records were created or in which disputes were settled, whichever is longer.

Control Worksheets/Logs (Archives Manuscripts Control [AMC], Book Cataloging Forms, and Inventory Control Records):

Retain 1 year after data verification.

Condition Reports of Non-permanent Records, Finding Aides, and Holdings Inventory Records:

Retain until superseded or obsolete.

Recording Hygrothermograph Charts:

Retain 5 years.

Course/Teacher Evaluations These evaluations are forms that are filled out by students enrolled in the class. The students rate the course and/or teacher. The evaluations are generally summarized in a report, which is used by the university and teacher to improve the course and its presentation. Filled out evaluations:

Retain until completion of summary report or 3 years if no report is created.

Summary Reports:

Retain 3 years.

Providing Guidance, Financial Assistance, Student Housing, Medical Care, and Activities

Guidance

Academic Counseling Records These records document individual students assisted by the university academic counseling service. Retain for 5 years after termination of enrollment.

Student's Advisor Records These records document academic advisors' performance of their duties with their assigned students. Retain for 5 years after termination of enrollment.

Financial Assistance

Academic Scholarship Awards Records These records document academic scholarship awards to students and include correspondence, applications, recommendations, grade listings, statements of need, accounting records, and approvals or disapprovals. Retain 3 years after end of the fiscal year in which the records are created

Alabama G.I. and Dependent's Educational Benefits Records These records document the award of Alabama G.I. and Dependent's Educational Benefits Program funds to university students who are the dependents of a disabled or deceased Alabama veteran or an individual who is a disabled veteran. Retain for 8 years from date of certification of eligibility.

U.S. G.I. and Dependents' Educational Benefit Records These records document the educational training of students entitled to benefits administered through the U.S. Veterans Administration. Contains certification, discharge papers, course of study information, correspondence, certificates of training, marriage licenses, birth certificates, registration forms, transcripts, and other related records. Retain for 3 years after termination of enrollment.

Alabama National Guard Educational Assistance Program (ANGEAP) Records These records document the award of ANGEAP funds to university students who are active members of the Alabama national guard. Retain for 5 years after date of certification of application.

Student Loan Files These records are created to establish a student's eligibility for federal loan program awards. Retain 3 years after the termination of enrollment.

College Work Study (CWS) and Supplemental Educational Opportunity Grants (SEOG) Records These records document CWS and SEOG program monies awarded to university students. Retain 3 years after submission of the Fiscal Operations Report for that award year.

Institutional Loan Records These records document the award of institutional loans to eligible students. Retain for 5 years after the last day of the loan period.

Institutional Scholarship Records These records document the award of institutional scholarships to eligible students. Retain for 5 years after expiration of scholarship.

Pell Grant Records These records document Pell grants awarded to university students and are used to establish and verify a student's eligibility for Title IV financial aid program funds. Retain for 5 years after the award year.

Student Housing

Student Housing Records
(Dorm Records)
These records document the application for, awarding of, and use of student housing facilities by students. Records may include applications, credit reports, references, sign-up sheets, photographs, and inspection reports. Retain 5 years.

Medical/Psychological Care

Student Patient Records These records document medical care provided to students. Retain 10 years after last visit.

Activities

Fraternities, Sororities, Greek Council, and Student Organizations/Government Files (does not include financial records or routine correspondence that are listed elsewhere) These records document the university's involvement with fraternities, sororities, intramural sports, scholastic teams, and other student organizations including their creation, discipline, and dissolution. Retain for useful life.

Prior to disposition, check with the university archives for possible extended retention.

STUDENT PUBLICATIONS Student publications, which may include newspapers and magazines, document the university and its students. PERMANENT.

University/Student Newspaper and Magazine Files These records document the day-to-day operation of the school newspaper and/or magazine, but do not include financial records. Retain 3 years.

Recordings of University Radio/Television Broadcasts These records document the programs provided by the university operated stations. Retain for useful life.

Prior to disposition, check with the university archives for possible extended retention.

Radio/Television Station Files and Logs These records document the administration and activities of university-funded radio and television stations. Retain 3 years.

Radio Equipment Requisitions and Letters of Insurance Coverage The United States Department of Commerce requires documentation of requisitions and insurance for radio equipment used in radio wave broadcasts to be kept ten years. Retain 10 years.

Alumni Association Records These records document activities of the university's alumni. Retain 3 years

Athletic Activities

Drug Dispensing Records These records document the daily dispensing of drugs by athletic department staff. Retain 6 years.

Game Films Consist of films of university sporting events. Retain for useful life.

Prior to disposition, check with the university archives for possible extended retention.

Game Programs and Media Guides These records include informational guides created for sporting events to provide quick information about the teams. Retain for useful life.

Prior to disposition, check with the university archives for possible extended retention.

Athletic Injury Records These records document injuries to university athletes and athletics staff as well as to members of intramural teams. The records include accident reports, medical records, x-rays, photographs, affidavits, correspondence, billing information, and other related records. Medical records:

Retain 10 years.

Non-medical records:

Retain 5 years.

Letters of Intent These records document student athletes' intentions of attending a specific university. Retain 6 years or until resolution of all official actions, whichever is longer.

ATHLETICS CASE FILES/INFRACTIONS FILES These records document the investigation of suspected/confirmed infractions of rules and regulations FILES OF SUBSTANTIATED ALLEGATIONS: PERMANENT.

Files of unsubstantiated allegations: Retain 6 years after closure.

Injury Surveillance Forms These records provide information on the frequency and types of injuries in each sport. Retain 1 year after end of the year in which the record was created.

Official Squad Lists These records document the members of each sports squad. Retain for useful life.

Prior to disposition, check with the university archives for possible extended retention.

Team Scouting Reports These records document opposing teams' strengths and weaknesses prior to a sporting event. Retain for useful life.

Drug Test Results These records document the results of drug tests. Retain 6 years.

Enforcing Laws, Arresting, and Detaining

Records of Driving Violations These records document driving violations and include records of suspension of driving privileges, warning tickets, violations of use of driver license, and sobriety examination reports Retain 3 years.

Alcohol Influence Reports These records document incidents of driving under the influence of alcohol. Retain 85 years.

Records of Non-Traffic Arrests and Tickets and Failure to Appear in Court These records document incidents of non-traffic arrests and tickets and failure to appear in court. Retain 5 years.

Campus Parking Tickets These records document citations issued and the administrative enforcement of parking rules and regulations. These tickets are issued by university police officers generally in instances where a court appearance is not required. Information available includes date and time, vehicle information, and violation. Retain 3 years.

Uniform Traffic Ticket and Complaint (UTTC) Records These records document traffic offenses that occur within the university police's jurisdiction and contain date and time of traffic stop, driver and vehicle information, violation, and court date. Retain until final disposition of the case.

Uniform Traffic Ticket and Complaint (UTTC) Transmittal Forms and Receipt Books The Transmittal Forms document each traffic ticket given and its receipt by the appropriate court. The Receipt Books document the issuance of UTTC books to each officer. Retain 5 years.

Daily Assist Tickets These records document assistance provided by officers. Retain 5 years.

Uniform Arrest Reports These records document the date and time of arrest, arrestee's name, personal information, location of arrest, and cause of arrested. Retain 2 years after disposition of case.

Alabama Uniform Traffic Accident Reports (AUTAR) These records document all traffic accidents that occur within university police jurisdiction and contain information on time and location of accident, description of the drivers and vehicles involved, victim information, narrative and diagrammed description, roadway description, and witness information. Retain 5 years.

Felony Awareness Patrol Reports These are reports made by felony awareness patrols. Retain 5 years.

Accident Logs These are logs of accidents responded to. Retain 3 years.

Records of Fatalities, Stolen Vehicles, and Wanted Persons These are records of police responses to incidents involving fatalities, stolen vehicles, and wanted persons. Retain 3 years.

Traffic Homicide Records These are records of traffic accidents resulting in death. Retain 5 years after disposition of case.

Uniform Incident/Offense Reports, Supplements, and Logs Document incidents/offenses and accidents that occur on the university campus and surrounding streets that violate university and/or local laws and regulations. Contain case number, type of report, date, time, complainant or victim, address and details of report. Records of Felonies: Retain 25 years after final disposition of the case.
Records of Misdemeanors: Retain 10 years after final disposition of the case.

Violation Tally Reports and Summaries These records are summary reports of violations. Retain 3 years.

Daily Accident and Activity Logs and Reports These records are created to document the daily activities of officers. Retain 2 years.

Daily/Monthly Assignment Rosters These records document the daily activities and work schedules of the campus police department. They contain information on the officer, shift, car number, mileage, calls responded to, violations. Retain 1 year.

Alabama Criminal Justice Information System Printouts These records are printouts of information from the CJIS system. Retain 1 month.

Use of Force Reports These records document use of force by officers. Retain 5 years.

Vehicle Door Damage Waivers These records document waiving of damages that may occur when law enforcement officers are asked to open vehicle doors of motorists who have locked their keys inside a vehicle. Retain 1 year.

Confiscated/Abandoned/Stored Vehicle Records These records document activities related to the confiscation and removal of abandoned vehicles. Retain 3 years.

Motorist Assistance Records These records, which include waivers, document assistance of motorists by officers. Retain 1 year.

Radar Logs These records document check-out, use, and/or repair/calibration of radar equipment. Retain 5 years.

Bomb Threat Records These records document bomb threats received by the university. Retain 3 years.

Driving and Criminal History Communication Logs These records document communications regarding driving and criminal histories. Retain 3 years.

Recordingsof Police Communications and Actions These records document calls for emergency assistance and/or recordings of radio communications and/or police activities. Retain recorded information until final disposition of all cases for which it provides evidence.

Investigation Files These records document investigations by the department. Records of Felonies: Retain 25 years after final disposition of the case.
Records of Misdemeanors: Retain 10 years after final disposition of the case.

Consent to Search Forms These records document the consent by subject to a police search. Retain 5 years.

Abandoned Vehicle Stickers These records are used to track how long a vehicle has been abandoned. Retain 7 days.

Wrecker Logs These records document the use of wrecker services. Retain 3 years.

Owner's Requests For Wrecker These records document the request by a vehicle's owner for a wrecker. Retain 3 years.

Wrecker and Wrecker Driver Information Sheets These records provide information on the wrecker services utilized by the police. Retain for useful life.

Alcohol Breath-testing Instrument Inspection Sheets These records document the inspection of alcohol-breathing instruments. Retain until disposition of alcohol breath-testing instrument.

Cross Reference Records

These records provide a cross reference or summary of the incidents or offenses involving a single individual and contain personal information and date and type of incident/offense. Retain until no longer useful.

Dispatch Records These records document the dispatch of campus police officers to investigate disturbances or possible crimes. Retain 3 years.

Evaluating Performance and Conferring Credentials.

College/Department Student Academic Files and Grade and Course Credit Records These records document individual students in individual college and department offices and include grade change documentation, advanced credit posting authorizations, and student teaching program and certification records. Retain 5 years.

GRADE SHEETS SUBMITTED BY INSTRUCTORS (Class Lists) These records document the grades given by an instructor to the members of a particular class. PERMANENT

GRADE STATISTICS These reports are created to provide statistical information on student grade point or quality point averages. PERMANENT.

GRADUATION LISTS These records are lists of individuals who have successfully completed the degree requirements and have been graduated from the university. Note: This list may be part of the Board of Trustees minutes PERMANENT.

HONORARY DEGREE AND CITATION FILES These records document the award of honorary degrees and citations. PERMANENT.

INDIVIDUAL STUDENT ACADEMIC RECORDS These records consist of the official student record of an individual student for his/her period of enrollment at a university and include all academic documentation for an individual student, including transcripts, narrative evaluations, competency assessments. Continuing Education Records not required to produce a transcript: Retain for 5 years after date of last attendance.
OTHER INDIVIDUAL STUDENT ACADEMIC RECORDS (includes continuing education records that are required to produce a transcript): PERMANENT

Continuing Education Program Files These records consist of continuing education program files documenting students enrolled in continuing educational classes. Retain 5 years.

Changes of Course
(Drop/add)
These records document the student's change of courses. Retain 1 year.

Comprehensive Examinations These records document a student's grades on comprehensive exams. Retain 5 years.

Transfer Equivalents Files (Articulation) These records document the transfer of credit from other institutions of higher education accepted by a university. Retain until obsolete or superseded.

Graduation Authorizations These records document graduation authorizations to verify degree requirements. Retain 5 years after date of attendance.

Graduation Applications These records document the application for graduation Retain 1 year after date of attendance.

Researching

RESEARCH PROJECT RECORDS These records are created over the course of a research project and document procedures, steps taken, and results. FINAL REPORTS AND PUBLICATIONS: PERMANENT
Other records: Retain until completion of final report.

Records of Research Presentations These records document presentations of research findings. Retain 3 years, unless desired by archives.

RESEARCH POLICIES These records document the policies of a university regarding its research at a given time. Permanent.

Research Agreements These records document agreements regarding research projects. Retain 6 years after expiration of agreement.

Abstracts of Research Publications These records document publication abstracts. Retain 5 years.

Administering Internal Operations

Managing the University:

ACCREDITATION RECORDS (Assessment/Self-Study Reports) These records document accreditation reviews by accrediting agencies FINAL REPORTS AND RESPONSES: PERMANENT.
Other records: Retain until completion of next accreditation review.

ANNUAL REPORTS

(Includes university and unit reports)
These records document activities by each unit and department. The unit reports may or may not be used to develop a university-wide annual report summarizing information for each functional area PERMANENT

PUBLICATIONS AND PUBLICITY MATERIALS These records include publications concerning the university and its work and are issued for distribution to the public. Publicity materials document university activities and may include newsletters, programs, speeches, photographs, contact prints, negatives, enlargements from negatives, audio and video tapes, and transparencies. Note: for each item there should be an identification that includes subject, the occasion, the place, and the date. PERMANENT.

Records documenting legal cases These records document legal cases involving the university. Retain 6 years after final settlement

University Grievance Files
These records document grievances initiated by faculty, staff, and students and may contain grievance committee meeting minutes. Retain for 3 years after action taken on case and settlement of all claims due.

Records of Non-Academic Committees These records are created to document meetings and actions of university committees. Retain 3 years.

Routine Correspondence (includes requests for information) These records are correspondence regarding routine matters. Retain 3 years after end of the fiscal year in which the records were created.

Mailing Lists These records are created to enable distribution of information. Retain for useful life

Administrative Reference Files These records are created to assist in the completion of projects and/or reference and are usually only needed for a short period of time. Retain for useful life.

Records documenting the implementation of the university's approved RDA These records include copies of transmittal forms to Archives or the State Records Center, evidence of obsolete records destroyed, and annual reports to the State Records Commission Retain 3 years after end of the fiscal year in which the records were created.

Copy of RDA The agency's copy of the RDA is its legal authority to dispose of its records according to the listed disposition requirements. Retain 3 years after end of the fiscal year in which the RDA is superseded.

Computer System Documentation These records include Y2K records, hardware/software manuals and diskettes, warranties, records of access/authorities, and file naming conventions. Retain documentation of former system 3 years after the end of the fiscal year in which the former hardware and software no longer exists anywhere in the university and all permanent records have been migrated to a new system.

Managing Finances:

PERMANENT FINANCIAL DOCUMENTATION These records are financial documentation that is required by/of the university for permanent retention and include: tuition and fee schedules, annual endowment fund reports, charts of accounts, general ledgers, annual financial statements, and annual payroll earnings records. PERMANENT

Financial Records of University Foundations These records document the financial activities of university foundations. Retain 5 years.

Budget Records These records document the preparation of a budget request package and reporting of the status of funds, requesting amendments of allotments, and reporting program performance. UNIVERSITY BUDGET: PERMANENT.
Other records: Retain 3 years after end of the fiscal year in which the records were created.

Requisition and Purchase Records These records document the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products.. Retain 3 years after end of the fiscal year in which the records were created.

Accounting Records
These records are records of original entry such as journals, registers, and subsidiary ledgers; and records of funds deposited outside the state treasury. These records document receipts and disbursement of funds by the university. Retain 3 years after end of the fiscal year in which the records were created.

Travel Records These records document requests for authorization from supervisors to travel on official business and include requests, approvals/denials, and other related materials, such as travel reimbursement forms and itineraries Retain 3 years after end of the fiscal year in which the records were created.

Contractual records established for the purpose of services or personal property These records document contracts entered into by the university. Retain 6 years after expiration of the contract.

Records documenting the bid process, including requests for proposals and unsuccessful responses These records document the bid process, including requests for proposals and unsuccessful responses. Sealed Bids: Retain in office.
Other Bids: Retain for 10 years after the award of the contract, then destroy.

EXTERNAL AND INTERNAL AUDIT RECORDS These records are created by university, state or independent auditors to document their audits. FINAL REPORT AND RESPONSES: PERMANENT.
Other Records: Retain 3 years after the end of the fiscal year in which the records were created.

GRANTS RECORDS These records include applications and proposals by faculty and staff for grants, and supporting documentation and reports. FINAL REPORTS: PERMANENT.

Records of funded grants: Retain 6 years after submission of final report.

Records of unfunded grants: Retain 1 year.

Fiscal Operations Reports These records document the institution's eligibility to disburse Title IV funds and consists of fiscal operations reports, agreements to participate, and related correspondence. Retain for 7 years.

Unpaid Accounts Receivable

These records document overdue accounts such as library fines, parking tickets, loan payments, or payments for services rendered and include past due accounts receivable, bad debt actions, and delinquent action reports. Retain for 3 years after end of the fiscal year of settlement of unpaid account

Social Security Payment Files These records document the payments made by the university into the social security fund. Retain for 50 years after the fiscal year in which the transaction occurred.

Social Security Reports and Deposits These records document the monthly report of wages and social security contributions paid by the university to each employee. Retain for 7 years after the fiscal year in which the transaction occurred.

Unemployment Compensation Benefit Files and Reports

These records inform the university that former employees are eligible for unemployment benefits and when these employees receive compensation charged against the university's account. Also included are periodic reports and statements received from the State Department of Industrial Relations (DIR) advising the university of the status of its fund account and of any monies due to DIR and reports documenting the quarterly submission of payroll and statistical information to DIR. Retain for 5 years after the end of the year in which the records were created.

W-2 Listings
These records document salaries paid and taxes withheld. Retain for 5 years after the end of the tax year.

Donation Files These records document the source and amounts of donations. Reports of individual donors: Retain 5 years after last donation.
Financial information: Retain for 3 years after the fiscal year in which the transaction occurred.

Authorization/Allocation Letters These records document awards of federal financial aid to the university. Retain 7 years.

Managing Human Resources:

Job Recruitment Materials
These records document the recruitment of employees by the university. Retain 3 years after end of the fiscal year in which the records were created.

Affirmative Action/Equal Employment Opportunity Case Files

These records concern charges or complaints made against the university relating to violations of affirmative action or equal employment opportunity regulations. Compliance Reviews: Retain 25 years.

Other Records: Retain for 5 years after resolution of charges and final disposition of the case.

Affirmative Action Position Applicant Files These records are documentation of actions taken to follow affirmative action procedures for university openings. Retain 3 years after end of the fiscal year in which the record was created

Equal Employment Opportunity Commission (EEOC) and Racial/Ethnic Records These records include annual and other periodic reports and records provided to the federal and/or state government to ensure equal employment opportunities and to provide racial/ethnic statistical information. Review Records: Retain 10 years.

Other records: Retain 5 years.

Notices of Claim and Requests for Separation These records provide information to the State Department of Industrial Relations relating to unemployment compensation. Retain 5 years.

Application Materials
These records document applications for employment. Unsolicited applications: Retain for useful life.
Unqualified applications for open positions: Retain 1 year.

Application materials for individuals considered for employment but not hired: Retain 3 years.

Application materials for hired individuals: File with personnel file.

Position Classification Records These records document position classifications. Retain 3 years after reclassification/elimination of the position.

Search Committee Files These records are search files created during the process of advertising, interviewing, selecting and hiring an individual to fill a faculty vacancy within the university. PRESIDENTIAL SEARCH COMMITTEE FILES: PERMANENT.

Other records: Retain 3 years.

Work-Study/Student Worker Records These records are maintained in individual departments and offices on work-study students and include time reports. Retain for 3 years after last date of employment.

Payroll Records These records document payroll and include pre-payroll reports and payroll check registers. Retain 3 years after end of the fiscal year in which the records were created.

Payroll Deduction Authorizations These records document authorization of payroll deductions. Retain 6 years after separation of employee from the university.

Payroll Deduction Records These records document payroll deductions for tax purposes and include Form 941. Retain 3 years after the end of the fiscal year in which the records were created.

Employee Leave Records These records document employee hours worked, leave earned, leave taken, and leave donation. Retain 3 years after the end of the fiscal year in which the records were created.

Employee Work History These records document an employee's work historyand is generally maintained as a case file (includes records of final leave status and faculty service reports). Medical Resident's File: Retain 75 years.

Records of final leave status and documentation of salary and employment dates: Retain 25 years after separation of employee from the university.

Other: Retain 6 years after separation of employee from the university.

Faculty Tenure and Promotion Files These records are created during the process of academic review for promotion or tenure. Retain 6 years after separation of employee from the university.

Periodic Activity Reports
These records document activities performed by staff. Retain for useful life.

Employee Benefits Plan Files (applications and correspondence) These records document employee enrollment in benefits plans. Retain 6 years after termination of participation in program.

Employee Administrative Hearing Files These records document employee administrative hearings. Retain 6 years after separation of the employee from the university.

Department/Unit Personnel Files These records are created by supervisors to document employee performance. They may be duplicated in the employee's work history file. Retain until separation of an employee from the university.

Training and Professional DevelopmentRecords These records document university provided of training and professional development. Retain 3 years.

Managing Properties, Facilities, and Resources:

Capital Improvements Contracts These records document contractual agreements for capitol improvements. Retain 6 years after expiration of the contract.

Semiannual Property Inventory Lists These records document the property inventory of the university and may be audited by the State Auditor. Retain in office (Code of Alabama 1975, Section 36-16-8[1]).

Property Inventory Records These records document the property inventory of the university. Retain 3 years after end of the fiscal year in which the records were created.

Receipts of Responsibility for Property These records document the individual responsible for property not under the university's immediate control. Retain until return of item to property manager.

Real Property Leasing/Rental Records These records document the lease and rental of property. Retain 6 years after expiration of the lease.

CAMPUS MAPS, BUILDING PLANS AND DRAWINGS These records document the physical structure and layout of the campus. PERMANENT.

Facility Maintenance and Upkeep Records These records document facility maintenance and upkeep records Retain 10 years.

Security Desk Monthly Call Transfer Records These records document calls transferred from the security desk. Retain 1 month.

Visitor/Service Personnel Log-In Sheets These records document visitors. Retain 6 months.

Identification Records These records document employee identification information for security personnel and/or facility access. Retain 1 year.

Weapons Registration Forms (ATF 5 and ATF 10) and Weapon Retirement Forms These records document custody of weapons. Retain 3 years after the end of the fiscal year in which the weapon was removed from the property inventory.

Vehicles Records These records document the use, maintenance, ownership, insurance, and disposition of vehicles, including aircraft, owned by the university. Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.

Vehicle Tag Records These records document application and receipt of tags for vehicles. Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.

Fleet Activity Reports These records document activities of university-owned vehicles. Retain 2 years.

Requirement and Recommendations for Implementing the Records Disposition Authority

Under the Code of Alabama 1975, Section 41-13-21, "no state officer or agency head shall cause any state record to be destroyed or otherwise disposed of without first obtaining approval of the State Records Commission." This Records Disposition Authority constitutes authorization by the State Records Commission for the disposition of the records of the Public Universities of Alabama as stipulated in this document.

One condition of this authorization is that the agency submit an annual Records Disposition Authority (RDA) Implementation Report on university records management activities, including documentation of records destruction, to the State Records Commission in October of each year. In addition, the university should make every effort to establish and maintain a quality record-keeping program through the following activities:

The university should designate a records liaison, who is responsible for: ensuring the development of quality record keeping systems that meet the business and legal needs of the university, coordinating the transfer and destruction of records, ensuring that permanent records held on alternative storage media (such as microforms and digital imaging systems) are maintained in compliance with national and state standards, and ensuring the regular implementation of the university's approved RDA.

Permanent records in the university's custody should be maintained under proper intellectual control and in an environment that will ensure their physical order and preservation.

Destruction of temporary records, as authorized in this RDA, should occur university-wide on a regular basis--for example, after the successful completion of an audit, at the end of an administration, or at the end of a fiscal year. Despite the RDA's provisions, no record should be destroyed that is necessary to comply with requirements of the state Sunset Act, audit requirements, or any legal notice or subpoena.

The university should maintain full documentation of any computerized record-keeping system it employs. It should develop procedures for: (1) backing up all permanent records held in electronic format; (2) storing a back-up copy off-site; and (3) migrating all permanent records when the system is upgraded or replaced. If the agency chooses to maintain permanent records solely in electronic format, it is committed to funding any system upgrades and migration strategies necessary to ensure the records' permanent preservation and accessibility.

The staff of the State Records Commission or the Examiners of Public Accounts may examine the condition of the permanent records maintained in the custody of the university and inspect records destruction documentation. Government Records Division archivists are available to instruct the university staff in RDA implementation and otherwise assist the university in implementing its records management program.

The State Records Commission adopted this records disposition authority on October 23, 2002.

Edwin C. Bridges, Chairman Date

State Records Commission

Acceptance of this Records Disposition Authority is acknowledged by _________________________.

________________________________ ____________________

University ________________________________ ____________________

________________________________ ____________________ Date

COURSE AND CURRICULUM RECORDS	These records include programs of instruction approval files, class/course schedules, university catalogs/bulletins, and proposals and justifications for new courses and changes to courses.	RECORDS OF APPROVED CLASSES: PERMANENT. Records of classes not approved: Retain for useful life.
BOARD OF TRUSTEES AND ACADEMIC COMMITTEES MEETING AGENDAS AND MINUTES	These records document the proposed and executed proceedings of the university's board of trustees and of academic committees and include agendas that detail business to be considered at meetings in addition to minutes of the actual proceedings.	PERMANENT.
Recordings of Meetings of Board of Trustees and Academic Committees	These records are created during meetings to assist in the creation of minutes.	Retain until the official minutes are adopted and signed.
Minutes and recordings of Staff Meetings	These records are created to ensure what was decided at a meeting.	Retain for useful life.
POLICIES AND FACULTY HANDBOOKS	Document university guidelines, policies, and procedures.	PERMANENT.
PRESIDENT'S/CHANCELLOR'S FILES	These records, which do not include routine correspondence, document the policies of the university.	PERMANENT.

Requests for Disclosure/Nondisclosure of Personally Identifiable Information	These records document student requests that personally identifiable information, generally consisting of name, address and telephone number, be/not be released. Also includes requests to forward student academic transcripts to other agencies, educational institutions or to the student	Retain 1 year or until no longer applicable, whichever is longer.
STUDENT HANDBOOKS	These handbooks are produced by the university to provide information to students about the university and its operation.	PERMANENT.

Lesson Plans/Syllabi	These records are created to document what the teacher expects of the students and to outline assignments and due dates.	Retain 2 years.
Internship Records	These records document activities of interns.	Retain 2 years.
Master Copy of Exams	These records are the master copy of every exam given in the conduct of a class in the curriculum of the university.	Retain 2 years.
Documentation of Grades and Attendance (Instructor's Copy)	These records include class rolls, grade books, graded exams, papers, and other student work.	Retain 2 years.
Records of Learning Centers	These records document the activities of learning centers, which some universities establish to assist in the learning process.	Retain 3 years.
LIBRARY/ARCHIVES RECORDS	These are records created in the management of the library and/or archives.	COLLECTION CATALOG INFORMATION, ACCESSION/DEACCESSION RECORDS, AND CONTROL FILES: PERMANENT Registration and Circulation Records, Photocopy Order/Receipts, Interlibrary Loan Files, and Reference Retrieval Files: Retain 3 years after end of the fiscal year in which the records were created or in which disputes were settled, whichever is longer. Control Worksheets/Logs (Archives Manuscripts Control [AMC], Book Cataloging Forms, and Inventory Control Records): Retain 1 year after data verification. Condition Reports of Non-permanent Records, Finding Aides, and Holdings Inventory Records: Retain until superseded or obsolete. Recording Hygrothermograph Charts: Retain 5 years.
Course/Teacher Evaluations	These evaluations are forms that are filled out by students enrolled in the class. The students rate the course and/or teacher. The evaluations are generally summarized in a report, which is used by the university and teacher to improve the course and its presentation.	Filled out evaluations: Retain until completion of summary report or 3 years if no report is created. Summary Reports: Retain 3 years.

Guidance
Academic Counseling Records	These records document individual students assisted by the university academic counseling service.	Retain for 5 years after termination of enrollment.
Student's Advisor Records	These records document academic advisors' performance of their duties with their assigned students.	Retain for 5 years after termination of enrollment.
Financial Assistance
Academic Scholarship Awards Records	These records document academic scholarship awards to students and include correspondence, applications, recommendations, grade listings, statements of need, accounting records, and approvals or disapprovals.	Retain 3 years after end of the fiscal year in which the records are created
Alabama G.I. and Dependent's Educational Benefits Records	These records document the award of Alabama G.I. and Dependent's Educational Benefits Program funds to university students who are the dependents of a disabled or deceased Alabama veteran or an individual who is a disabled veteran.	Retain for 8 years from date of certification of eligibility.
U.S. G.I. and Dependents' Educational Benefit Records	These records document the educational training of students entitled to benefits administered through the U.S. Veterans Administration. Contains certification, discharge papers, course of study information, correspondence, certificates of training, marriage licenses, birth certificates, registration forms, transcripts, and other related records.	Retain for 3 years after termination of enrollment.
Alabama National Guard Educational Assistance Program (ANGEAP) Records	These records document the award of ANGEAP funds to university students who are active members of the Alabama national guard.	Retain for 5 years after date of certification of application.
Student Loan Files	These records are created to establish a student's eligibility for federal loan program awards.	Retain 3 years after the termination of enrollment.
College Work Study (CWS) and Supplemental Educational Opportunity Grants (SEOG) Records	These records document CWS and SEOG program monies awarded to university students.	Retain 3 years after submission of the Fiscal Operations Report for that award year.
Institutional Loan Records	These records document the award of institutional loans to eligible students.	Retain for 5 years after the last day of the loan period.
Institutional Scholarship Records	These records document the award of institutional scholarships to eligible students.	Retain for 5 years after expiration of scholarship.
Pell Grant Records	These records document Pell grants awarded to university students and are used to establish and verify a student's eligibility for Title IV financial aid program funds.	Retain for 5 years after the award year.
Student Housing
Student Housing Records (Dorm Records)	These records document the application for, awarding of, and use of student housing facilities by students. Records may include applications, credit reports, references, sign-up sheets, photographs, and inspection reports.	Retain 5 years.
Medical/Psychological Care
Student Patient Records	These records document medical care provided to students.	Retain 10 years after last visit.
Activities
Fraternities, Sororities, Greek Council, and Student Organizations/Government Files (does not include financial records or routine correspondence that are listed elsewhere)	These records document the university's involvement with fraternities, sororities, intramural sports, scholastic teams, and other student organizations including their creation, discipline, and dissolution.	Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
STUDENT PUBLICATIONS	Student publications, which may include newspapers and magazines, document the university and its students.	PERMANENT.
University/Student Newspaper and Magazine Files	These records document the day-to-day operation of the school newspaper and/or magazine, but do not include financial records.	Retain 3 years.
Recordings of University Radio/Television Broadcasts	These records document the programs provided by the university operated stations.	Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
Radio/Television Station Files and Logs	These records document the administration and activities of university-funded radio and television stations.	Retain 3 years.
Radio Equipment Requisitions and Letters of Insurance Coverage	The United States Department of Commerce requires documentation of requisitions and insurance for radio equipment used in radio wave broadcasts to be kept ten years.	Retain 10 years.
Alumni Association Records	These records document activities of the university's alumni.	Retain 3 years
Athletic Activities
Drug Dispensing Records	These records document the daily dispensing of drugs by athletic department staff.	Retain 6 years.
Game Films	Consist of films of university sporting events.	Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
Game Programs and Media Guides	These records include informational guides created for sporting events to provide quick information about the teams.	Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
Athletic Injury Records	These records document injuries to university athletes and athletics staff as well as to members of intramural teams. The records include accident reports, medical records, x-rays, photographs, affidavits, correspondence, billing information, and other related records.	Medical records: Retain 10 years. Non-medical records: Retain 5 years.
Letters of Intent	These records document student athletes' intentions of attending a specific university.	Retain 6 years or until resolution of all official actions, whichever is longer.
ATHLETICS CASE FILES/INFRACTIONS FILES	These records document the investigation of suspected/confirmed infractions of rules and regulations	FILES OF SUBSTANTIATED ALLEGATIONS: PERMANENT. Files of unsubstantiated allegations: Retain 6 years after closure.
Injury Surveillance Forms	These records provide information on the frequency and types of injuries in each sport.	Retain 1 year after end of the year in which the record was created.
Official Squad Lists	These records document the members of each sports squad.	Retain for useful life. Prior to disposition, check with the university archives for possible extended retention.
Team Scouting Reports	These records document opposing teams' strengths and weaknesses prior to a sporting event.	Retain for useful life.
Drug Test Results	These records document the results of drug tests.	Retain 6 years.

Records of Driving Violations	These records document driving violations and include records of suspension of driving privileges, warning tickets, violations of use of driver license, and sobriety examination reports	Retain 3 years.
Alcohol Influence Reports	These records document incidents of driving under the influence of alcohol.	Retain 85 years.
Records of Non-Traffic Arrests and Tickets and Failure to Appear in Court	These records document incidents of non-traffic arrests and tickets and failure to appear in court.	Retain 5 years.
Campus Parking Tickets	These records document citations issued and the administrative enforcement of parking rules and regulations. These tickets are issued by university police officers generally in instances where a court appearance is not required. Information available includes date and time, vehicle information, and violation.	Retain 3 years.
Uniform Traffic Ticket and Complaint (UTTC) Records	These records document traffic offenses that occur within the university police's jurisdiction and contain date and time of traffic stop, driver and vehicle information, violation, and court date.	Retain until final disposition of the case.
Uniform Traffic Ticket and Complaint (UTTC) Transmittal Forms and Receipt Books	The Transmittal Forms document each traffic ticket given and its receipt by the appropriate court. The Receipt Books document the issuance of UTTC books to each officer.	Retain 5 years.
Daily Assist Tickets	These records document assistance provided by officers.	Retain 5 years.
Uniform Arrest Reports	These records document the date and time of arrest, arrestee's name, personal information, location of arrest, and cause of arrested.	Retain 2 years after disposition of case.
Alabama Uniform Traffic Accident Reports (AUTAR)	These records document all traffic accidents that occur within university police jurisdiction and contain information on time and location of accident, description of the drivers and vehicles involved, victim information, narrative and diagrammed description, roadway description, and witness information.	Retain 5 years.
Felony Awareness Patrol Reports	These are reports made by felony awareness patrols.	Retain 5 years.
Accident Logs	These are logs of accidents responded to.	Retain 3 years.
Records of Fatalities, Stolen Vehicles, and Wanted Persons	These are records of police responses to incidents involving fatalities, stolen vehicles, and wanted persons.	Retain 3 years.
Traffic Homicide Records	These are records of traffic accidents resulting in death.	Retain 5 years after disposition of case.
Uniform Incident/Offense Reports, Supplements, and Logs	Document incidents/offenses and accidents that occur on the university campus and surrounding streets that violate university and/or local laws and regulations. Contain case number, type of report, date, time, complainant or victim, address and details of report.	Records of Felonies: Retain 25 years after final disposition of the case. Records of Misdemeanors: Retain 10 years after final disposition of the case.
Violation Tally Reports and Summaries	These records are summary reports of violations.	Retain 3 years.
Daily Accident and Activity Logs and Reports	These records are created to document the daily activities of officers.	Retain 2 years.
Daily/Monthly Assignment Rosters	These records document the daily activities and work schedules of the campus police department. They contain information on the officer, shift, car number, mileage, calls responded to, violations.	Retain 1 year.
Alabama Criminal Justice Information System Printouts	These records are printouts of information from the CJIS system.	Retain 1 month.
Use of Force Reports	These records document use of force by officers.	Retain 5 years.
Vehicle Door Damage Waivers	These records document waiving of damages that may occur when law enforcement officers are asked to open vehicle doors of motorists who have locked their keys inside a vehicle.	Retain 1 year.
Confiscated/Abandoned/Stored Vehicle Records	These records document activities related to the confiscation and removal of abandoned vehicles.	Retain 3 years.
Motorist Assistance Records	These records, which include waivers, document assistance of motorists by officers.	Retain 1 year.
Radar Logs	These records document check-out, use, and/or repair/calibration of radar equipment.	Retain 5 years.
Bomb Threat Records	These records document bomb threats received by the university.	Retain 3 years.
Driving and Criminal History Communication Logs	These records document communications regarding driving and criminal histories.	Retain 3 years.
Recordingsof Police Communications and Actions	These records document calls for emergency assistance and/or recordings of radio communications and/or police activities.	Retain recorded information until final disposition of all cases for which it provides evidence.
Investigation Files	These records document investigations by the department.	Records of Felonies: Retain 25 years after final disposition of the case. Records of Misdemeanors: Retain 10 years after final disposition of the case.
Consent to Search Forms	These records document the consent by subject to a police search.	Retain 5 years.
Abandoned Vehicle Stickers	These records are used to track how long a vehicle has been abandoned.	Retain 7 days.
Wrecker Logs	These records document the use of wrecker services.	Retain 3 years.
Owner's Requests For Wrecker	These records document the request by a vehicle's owner for a wrecker.	Retain 3 years.
Wrecker and Wrecker Driver Information Sheets	These records provide information on the wrecker services utilized by the police.	Retain for useful life.
Alcohol Breath-testing Instrument Inspection Sheets	These records document the inspection of alcohol-breathing instruments.	Retain until disposition of alcohol breath-testing instrument.
Cross Reference Records	These records provide a cross reference or summary of the incidents or offenses involving a single individual and contain personal information and date and type of incident/offense.	Retain until no longer useful.
Dispatch Records	These records document the dispatch of campus police officers to investigate disturbances or possible crimes.	Retain 3 years.

Graduation Authorizations	These records document graduation authorizations to verify degree requirements.	Retain 5 years after date of attendance.
Graduation Applications	These records document the application for graduation	Retain 1 year after date of attendance.

RESEARCH PROJECT RECORDS	These records are created over the course of a research project and document procedures, steps taken, and results.	FINAL REPORTS AND PUBLICATIONS: PERMANENT Other records: Retain until completion of final report.
Records of Research Presentations	These records document presentations of research findings.	Retain 3 years, unless desired by archives.
RESEARCH POLICIES	These records document the policies of a university regarding its research at a given time.	Permanent.
Research Agreements	These records document agreements regarding research projects.	Retain 6 years after expiration of agreement.
Abstracts of Research Publications	These records document publication abstracts.	Retain 5 years.

Managing the University:
ACCREDITATION RECORDS (Assessment/Self-Study Reports)	These records document accreditation reviews by accrediting agencies	FINAL REPORTS AND RESPONSES: PERMANENT. Other records: Retain until completion of next accreditation review.
ANNUAL REPORTS (Includes university and unit reports)	These records document activities by each unit and department. The unit reports may or may not be used to develop a university-wide annual report summarizing information for each functional area	PERMANENT
PUBLICATIONS AND PUBLICITY MATERIALS	These records include publications concerning the university and its work and are issued for distribution to the public. Publicity materials document university activities and may include newsletters, programs, speeches, photographs, contact prints, negatives, enlargements from negatives, audio and video tapes, and transparencies. Note: for each item there should be an identification that includes subject, the occasion, the place, and the date.	PERMANENT.
Records documenting legal cases	These records document legal cases involving the university.	Retain 6 years after final settlement
University Grievance Files	These records document grievances initiated by faculty, staff, and students and may contain grievance committee meeting minutes.	Retain for 3 years after action taken on case and settlement of all claims due.
Records of Non-Academic Committees	These records are created to document meetings and actions of university committees.	Retain 3 years.
Routine Correspondence (includes requests for information)	These records are correspondence regarding routine matters.	Retain 3 years after end of the fiscal year in which the records were created.
Mailing Lists	These records are created to enable distribution of information.	Retain for useful life
Administrative Reference Files	These records are created to assist in the completion of projects and/or reference and are usually only needed for a short period of time.	Retain for useful life.
Records documenting the implementation of the university's approved RDA	These records include copies of transmittal forms to Archives or the State Records Center, evidence of obsolete records destroyed, and annual reports to the State Records Commission	Retain 3 years after end of the fiscal year in which the records were created.
Copy of RDA	The agency's copy of the RDA is its legal authority to dispose of its records according to the listed disposition requirements.	Retain 3 years after end of the fiscal year in which the RDA is superseded.
Computer System Documentation	These records include Y2K records, hardware/software manuals and diskettes, warranties, records of access/authorities, and file naming conventions.	Retain documentation of former system 3 years after the end of the fiscal year in which the former hardware and software no longer exists anywhere in the university and all permanent records have been migrated to a new system.
Managing Finances:
PERMANENT FINANCIAL DOCUMENTATION	These records are financial documentation that is required by/of the university for permanent retention and include: tuition and fee schedules, annual endowment fund reports, charts of accounts, general ledgers, annual financial statements, and annual payroll earnings records.	PERMANENT
Financial Records of University Foundations	These records document the financial activities of university foundations.	Retain 5 years.
Budget Records	These records document the preparation of a budget request package and reporting of the status of funds, requesting amendments of allotments, and reporting program performance.	UNIVERSITY BUDGET: PERMANENT. Other records: Retain 3 years after end of the fiscal year in which the records were created.
Requisition and Purchase Records	These records document the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products..	Retain 3 years after end of the fiscal year in which the records were created.
Accounting Records	These records are records of original entry such as journals, registers, and subsidiary ledgers; and records of funds deposited outside the state treasury. These records document receipts and disbursement of funds by the university.	Retain 3 years after end of the fiscal year in which the records were created.
Travel Records	These records document requests for authorization from supervisors to travel on official business and include requests, approvals/denials, and other related materials, such as travel reimbursement forms and itineraries	Retain 3 years after end of the fiscal year in which the records were created.
Contractual records established for the purpose of services or personal property	These records document contracts entered into by the university.	Retain 6 years after expiration of the contract.
Records documenting the bid process, including requests for proposals and unsuccessful responses	These records document the bid process, including requests for proposals and unsuccessful responses.	Sealed Bids: Retain in office. Other Bids: Retain for 10 years after the award of the contract, then destroy.
EXTERNAL AND INTERNAL AUDIT RECORDS	These records are created by university, state or independent auditors to document their audits.	FINAL REPORT AND RESPONSES: PERMANENT. Other Records: Retain 3 years after the end of the fiscal year in which the records were created.
GRANTS RECORDS	These records include applications and proposals by faculty and staff for grants, and supporting documentation and reports.	FINAL REPORTS: PERMANENT. Records of funded grants: Retain 6 years after submission of final report. Records of unfunded grants: Retain 1 year.
Fiscal Operations Reports	These records document the institution's eligibility to disburse Title IV funds and consists of fiscal operations reports, agreements to participate, and related correspondence.	Retain for 7 years.
Unpaid Accounts Receivable	These records document overdue accounts such as library fines, parking tickets, loan payments, or payments for services rendered and include past due accounts receivable, bad debt actions, and delinquent action reports.	Retain for 3 years after end of the fiscal year of settlement of unpaid account
Social Security Payment Files	These records document the payments made by the university into the social security fund.	Retain for 50 years after the fiscal year in which the transaction occurred.
Social Security Reports and Deposits	These records document the monthly report of wages and social security contributions paid by the university to each employee.	Retain for 7 years after the fiscal year in which the transaction occurred.
Unemployment Compensation Benefit Files and Reports	These records inform the university that former employees are eligible for unemployment benefits and when these employees receive compensation charged against the university's account. Also included are periodic reports and statements received from the State Department of Industrial Relations (DIR) advising the university of the status of its fund account and of any monies due to DIR and reports documenting the quarterly submission of payroll and statistical information to DIR.	Retain for 5 years after the end of the year in which the records were created.
W-2 Listings	These records document salaries paid and taxes withheld.	Retain for 5 years after the end of the tax year.
Donation Files	These records document the source and amounts of donations.	Reports of individual donors: Retain 5 years after last donation. Financial information: Retain for 3 years after the fiscal year in which the transaction occurred.
Authorization/Allocation Letters	These records document awards of federal financial aid to the university.	Retain 7 years.
Managing Human Resources:
Job Recruitment Materials	These records document the recruitment of employees by the university.	Retain 3 years after end of the fiscal year in which the records were created.
Affirmative Action/Equal Employment Opportunity Case Files	These records concern charges or complaints made against the university relating to violations of affirmative action or equal employment opportunity regulations.	Compliance Reviews: Retain 25 years. Other Records: Retain for 5 years after resolution of charges and final disposition of the case.
Affirmative Action Position Applicant Files	These records are documentation of actions taken to follow affirmative action procedures for university openings.	Retain 3 years after end of the fiscal year in which the record was created
Equal Employment Opportunity Commission (EEOC) and Racial/Ethnic Records	These records include annual and other periodic reports and records provided to the federal and/or state government to ensure equal employment opportunities and to provide racial/ethnic statistical information.	Review Records: Retain 10 years. Other records: Retain 5 years.
Notices of Claim and Requests for Separation	These records provide information to the State Department of Industrial Relations relating to unemployment compensation.	Retain 5 years.
Application Materials	These records document applications for employment.	Unsolicited applications: Retain for useful life. Unqualified applications for open positions: Retain 1 year. Application materials for individuals considered for employment but not hired: Retain 3 years. Application materials for hired individuals: File with personnel file.
Position Classification Records	These records document position classifications.	Retain 3 years after reclassification/elimination of the position.
Search Committee Files	These records are search files created during the process of advertising, interviewing, selecting and hiring an individual to fill a faculty vacancy within the university.	PRESIDENTIAL SEARCH COMMITTEE FILES: PERMANENT. Other records: Retain 3 years.
Work-Study/Student Worker Records	These records are maintained in individual departments and offices on work-study students and include time reports.	Retain for 3 years after last date of employment.
Payroll Records	These records document payroll and include pre-payroll reports and payroll check registers.	Retain 3 years after end of the fiscal year in which the records were created.
Payroll Deduction Authorizations	These records document authorization of payroll deductions.	Retain 6 years after separation of employee from the university.
Payroll Deduction Records	These records document payroll deductions for tax purposes and include Form 941.	Retain 3 years after the end of the fiscal year in which the records were created.
Employee Leave Records	These records document employee hours worked, leave earned, leave taken, and leave donation.	Retain 3 years after the end of the fiscal year in which the records were created.
Employee Work History	These records document an employee's work historyand is generally maintained as a case file (includes records of final leave status and faculty service reports).	Medical Resident's File: Retain 75 years. Records of final leave status and documentation of salary and employment dates: Retain 25 years after separation of employee from the university. Other: Retain 6 years after separation of employee from the university.
Faculty Tenure and Promotion Files	These records are created during the process of academic review for promotion or tenure.	Retain 6 years after separation of employee from the university.
Periodic Activity Reports	These records document activities performed by staff.	Retain for useful life.
Employee Benefits Plan Files (applications and correspondence)	These records document employee enrollment in benefits plans.	Retain 6 years after termination of participation in program.
Employee Administrative Hearing Files	These records document employee administrative hearings.	Retain 6 years after separation of the employee from the university.
Department/Unit Personnel Files	These records are created by supervisors to document employee performance. They may be duplicated in the employee's work history file.	Retain until separation of an employee from the university.
Training and Professional DevelopmentRecords	These records document university provided of training and professional development.	Retain 3 years.
Managing Properties, Facilities, and Resources:
Capital Improvements Contracts	These records document contractual agreements for capitol improvements.	Retain 6 years after expiration of the contract.
Semiannual Property Inventory Lists	These records document the property inventory of the university and may be audited by the State Auditor.	Retain in office (Code of Alabama 1975, Section 36-16-8[1]).
Property Inventory Records	These records document the property inventory of the university.	Retain 3 years after end of the fiscal year in which the records were created.
Receipts of Responsibility for Property	These records document the individual responsible for property not under the university's immediate control.	Retain until return of item to property manager.
Real Property Leasing/Rental Records	These records document the lease and rental of property.	Retain 6 years after expiration of the lease.
CAMPUS MAPS, BUILDING PLANS AND DRAWINGS	These records document the physical structure and layout of the campus.	PERMANENT.
Facility Maintenance and Upkeep Records	These records document facility maintenance and upkeep records	Retain 10 years.
Security Desk Monthly Call Transfer Records	These records document calls transferred from the security desk.	Retain 1 month.
Visitor/Service Personnel Log-In Sheets	These records document visitors.	Retain 6 months.
Identification Records	These records document employee identification information for security personnel and/or facility access.	Retain 1 year.
Weapons Registration Forms (ATF 5 and ATF 10) and Weapon Retirement Forms	These records document custody of weapons.	Retain 3 years after the end of the fiscal year in which the weapon was removed from the property inventory.
Vehicles Records	These records document the use, maintenance, ownership, insurance, and disposition of vehicles, including aircraft, owned by the university.	Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.
Vehicle Tag Records	These records document application and receipt of tags for vehicles.	Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.
Fleet Activity Reports	These records document activities of university-owned vehicles.	Retain 2 years.