Appendix 1



Appendix 1. Record Retention ScheduleThe following are the record retention schedules established by each official repository of records and are subject to periodic review and change. Copies of these records that are held by units other than the official repository are secondary copies and should be destroyed in accordance with record management policy when they no longer serve a useful administrative purpose. For more information about the retention of any type of record listed here, contact the official repository.Type of RecordOfficial RepositoryRetention PeriodSTUDENT RECORDSAdmission, UndergraduateApplicants who do not enrollEnrollment Services DivisionThree years after application termApplicants who enrollEnrollment Services DivisionFive years after graduation or date of last attendanceApplicants who enroll, letters of recommendationEnrollment Services DivisionUntil enrollmentNon-applicants who send documentsEnrollment Services DivisionOne year from date of receiptAdmission, GraduateApplicants who do not enrollSchool of applicationThree years after application termApplicants who enrollSchool of applicationFive years after graduation or date of last attendanceApplicants who enroll, letters of recommendationSchool of applicationUntil enrollmentNon-applicants who send documentsSchool of applicationOne year from date of receiptFinancial AidFederal Student Financial Aid Program and Fiscal RecordsEnrollment Services/ Financial Aid At least three years from the end of the award year in which the FISAP was submittedFederal Student Financial Aid Recipient RecordsEnrollment Services/ Financial AidThree years from the end of the award year in which the FISAP was submittedFederal Student LoansEnrollment Services/ Financial AidThree years from the end of the award year in which the student last attendedScholarship application, review, and selectionAwarding UnitThree years from award yearRegistration and Attendance/Academic Progress RecordsAcademic records (grades, transcripts, change of grade forms, class lists, original gradesheets, graduation lists)RegistrarPermanentAcademic action authorizations (dismissal, etc.); advanced placement and other placementtests; correspondence; credit by examination reports/scores; curriculum change authorizations; degree audit records; graduation authorizations; military documents; name change authorizations; transfer credit evaluationsRegistrarFive years after graduation or date of last attendanceWithdrawal authorizationsRegistrarTwo years after graduation or date of last attendanceApplications for graduation; student class schedules; medical records, personal datainformation formsRegistrarOne year after graduation or date of last attendanceAudit authorizations, changes of course (add/drop); credit/no credit approvals (audit, pass/fair,etc.); registration forms; student transcript requestsRegistrarOne year after date submittedType of RecordOfficial RepositoryRetention PeriodGrade reports (registrar’s copies)RegistrarOne year after date distributedFERPA records of disclosures and requests for disclosuresRegistrarRetained for same period as records to which they referFederal Disclosure Records ( crime statistics/security report, SRK graduation/completion,transfer out data, athletic participation/EADA documents, institutional informationRegistrar/Dept. of Public SafetyThree years from date of disclosureHold or encumbrance authorizationsRegistrarUntil releasedPublications, Statistical Data/Documents, and Institutional Reports (catalogues, commencementprogram, degree statistics, enrollment statistics, grade statistics, race/ethnicity statistics, published schedule of classes)RegistrarPermanentGrade book dataInstructor of record (If instructor leaves the university;department takes over records)Four yearsFinal exams and all other grade work which effected the course gradeInstructor of record (If instructor leaves the university;department takes over records)One yearForeign student enrollment (F-1 and M-1 visas)Office of International ServicesFive years after last enrollmentForeign exchange visitors (J-1 visa)Office of International ServicesFive years after last enrollmentStudent Disciplinary RecordsStudent AffairsSeven yearsCAMPUS CRIMEData on criminal offenses on campusDept. of Public SafetyAll supporting records must be kept for three years following the publication of the last annual campus security report to which they apply; thus, the records retention period is seven years after the date an incident was reportedDONORTrusts/BequestsUniversity AdvancementIndefinitelyReal PropertyUniversity AdvancementIndefinitelyEMPLOYEE BENEFITS ADMINISTRATIONEmployee benefit plan documentsGeneral CounselEnd of plan plus one yearEmployee benefit plan reports (annual reports, summary of material modification, notice ofreportable events, determination of benefits, employee reports)Retirement Administration and Health PlansSix years after filingEnrollment and change forms/dataBenefits AdministrationTen yearsComplaints against plans (non-medical)Benefits AdministrationPermanentEMPLOYMENT, APPLICANT and PAYROLL RECORDSEmployment Forms Alien Questionnaire (Non-Resident), Application for employment,arbitration agreements, employee data form, equity and diversity formPayroll ServicesTermination plus seven yearsAlternative Work Schedule PlanHRATermination plus seven yearsApplicant data, including notes taken during screening or interview process, names of thosescreened, considered, interviewed, offered a positionSchool/Division HR OfficeThree yearsAttendance RecordsSchool/Division HR Office/Payroll ServicesSeven yearsCheck Registers and check transmittalsPayroll ServicesThree monthsType of RecordOfficial RepositoryRetention PeriodChild Support OrdersPayroll ServicesIndefinitelyDiscrimination and Harassment Complaints (protected classes)Equity and DiversityThree years in office; 10 years in storageDirect Deposit AuthorizationPayroll ServicesTermination plus seven yearsEmployee complaintsSchool/Division HR OfficeFamily and Medical Leave Records (dates of leave and FMLA notice)School/Division HR OfficeThree yearsGarnishmentsPayroll ServicesIndefinitelyI-9 FormPayroll ServicesIndefinitelyJob Description (Staff only)Payroll ServicesTermination plus seven yearsJob Information QuestionnairePayroll ServicesTermination plus 7 yearsLabor DistributionsSchool/Division HR OfficeSeven yearsMedical surveillance and exposure-related recordsEnvironmental Health and SafetyTermination plus 40 yearsMemos to file from Personnel Services(i.e. termination paperwork)Payroll ServicesTermination plus seven yearsMemos-15-Year Service LettersPayroll ServicesPermanentName Change (Data Form)Payroll ServicesTermination plus seven yearsPayroll Data including date paid, time period covered, gross to net, deductions, taxes andreductionsPayroll ServicesTermination plus seven yearsPayroll Check RequestPayroll ServicesTermination plus seven yearsPerformance reviews and memos to file regarding job performanceSchool/Division HR OfficeTermination plus seven yearsPersonnel Request Form (PS-130)Payroll ServicesTermination plus seven yearsResumePayroll ServicesTermination plus seven yearsSalary Exception RequestsPayroll ServicesTermination plus seven yearsSocial Security Number Change (Data Form)Payroll ServicesTermination plus seven yearsStop Payment OrdersPayroll ServicesTermination plus seven yearsSubpoenasPayroll ServicesTwo YearsTax—Federal leviesPayroll ServicesIndefinitelyTax—Returned Undelivered IRS Form w-2Payroll ServicesFive yearsTax Forms Revenue Procedure Letters, 1001 and 1001Q, Scholarships, California DE-4, IRS1078, IRS 8233, W-4Payroll ServicesTermination plus seven yearsTermination Form and supporting documentation (including letters and agreements)Payroll ServicesTermination plus seven yearsTime Reports—CWSPSchool/Division HR Office/Payroll ServicesFive yearsFive yearsTime Reports—Non CWSPSchool/Division HR Office/Payroll ServicesFour yearsWork Injury RecordsWorkers’ CompensationTermination plus 40 yearsWork SchedulesSchool/Division HR OfficeThree yearsWorkplace safety and training recordsEnvironmental Health and SafetyFive yearsFINANCIAL AND BUSINESS RECORDSBank reconciliation Disbursement cancelled checks, bank reconciliations, JVs, files withbalanceStudent Account ServicesIndefinitelyBursar unclaimed property recordsStudent Account ServicesIndefinitelyType of RecordOfficial RepositoryRetention PeriodBursar student microfiche/CDsStudent Account ServicesPermanentlyBursar adjustment requestsStudent Account Servicesseven yearsBursar accounting recordsStudent Account ServicesThree yearsBursar system access requestsStudent Account ServicesOne yearCollections Promissory notes, credit applications, correspondence with students, internalmemos, collegian agencies correspondence, bankruptcy notices, returned checks, Buckley waiver forms, files with zero balanceStudent Account ServicesIndefinitelyFee assessment forms and tuition and fee chargesStudent Account ServicesFive years after graduation or date of last attendanceStudent Credit Card informationStudent Account ServicesSeven yearsCorporate—IncorporationOffice of General CounselPermanentCorporate-BoardOffice of General CounselPermanentPositive Pay (Pos Pay) notifications and check image from bankDisbursement Control and Accounts PayableFour yearsDisbursement JVsDisbursement Control and Accounts PayableFour yearsIndependent Contractor Agreements (Unrestricted)Disbursement Control and Accounts PayableFive years after final paymentIndependent Contractor Agreements (Restricted)Disbursement Control and Accounts PayableFive after final project payment and final auditCalifornia 590 Forms—Withholding ExemptionDisbursement Control and Accounts PayableThree years after final paymentIRS 1099 FormsDisbursement Control and Accounts PayableFour yearsSales use tax accrualsDisbursement Control and Accounts PayableFour years or after final state auditDirect Deposit or Electronic Funds Transfer Applications (initiation / change)Disbursement Control and Accounts PayableTwo years after no payment activityElectronic Data Interchange (EDI) applications (initiation / change)Disbursement Control and Accounts PayableTwo years after no payment activityPayment historyDisbursement Control and Accounts PayablePermanentGift account documentsComptroller’s OfficeMailing/Material Management financial documentationMailing and Material Management ServicesSeven yearsMailing Services outgoing mail requisitionMailing and Material Management ServicesSeven yearsMailing Services JVs and backupMailing and Material Management ServicesSeven yearsMaterial Management gas cylinders documentationMailing and Material Management ServicesPermanentMailing Services work orders and postal documentsMailing and Material Management ServicesSeven yearsCorporate card payment records (Procurement Card, Travel Card, and Ghost Card)Travel Management and Corporate Card ServicesPermanentProcurement card statements and transaction receipts(Unrestricted accounts)Charging DepartmentFour yearsProcurement card statements and transaction receipts (Restricted accounts)Charging DepartmentFour years after final project payment and completion of final auditPurchase Orders (other than sponsored project accounts and subcontracts)Purchasing ServicesFive years after final paymentPurchase Orders—sponsored project accounts and subcontractsPurchasing ServicesFive years after final project payment and final auditSupplier ContractsPurchasing ServicesFive years after final paymentNew Supplier Information FormsPurchasing ServicesThree years after submissionSmall Business Administration (SBA) CertificationSupplier Diversity ServicesUntil they expireSmall Business Government Sub-Contracting PlansSupplier Diversity ServicesFive years after final project payment or completion of final auditSpace Management space inventory working copiesFinancial ServicesThree yearsType of RecordOfficial RepositoryRetention PeriodSpace and Equipment Mgmt final files of university owned equipment and negative finalsFinancial ServicesSeven yearsSpace and equipment mgmt final files for government/sponsored equipmentFinancial ServicesSeven years after dispositionSpace and equipment mgmt physical inventory documentationFinancial ServicesFive yearsSpace and equipment mgmt inventory change request formsFinancial ServicesIndefinitelySpace and equipment mgmt journal vouchersFinancial ServicesSponsored project account filesSponsored Projects AccountingPermanentSponsored project JVs (payroll and non-payroll transfers)Sponsored Projects AccountingPermanentSponsored project month- and year-end closing recordsSponsored Projects AccountingPermanentAnnual Internal Revenue Information ReturnsTax AccountingPermanentLos Angeles taxes, permits, feesTax AccountingSeven years`REDC records (real estate transactions, tax returns, etc.)Tax AccountingPermanentStudent Loans Promissory notes, correspondence with borrower, agency assignmentsinformation, student correspondenceStudent Account ServicesIndefinitelyPerkins original promissory notesStudent Account ServicesUntil loan is satisfied or documents are needed to enforce obligationStudent Loan Payment Plan informationStudent Account ServicesFive yearsTicket Office sales documents and annual audit docsFinancial ServicesSeven yearsTicket Office electronic seating files/historyFinancial ServicesIndefinitelyTravel-Related Purchase Orders (unrestricted accounts)Travel Management and Corporate Card ServicesFive years after final paymentTravel-Related Purchase Orders (restricted accounts)Travel Management and Corporate Card ServicesFive years after final project payment and final auditTravel JVs and routine financial informationBusiness ServicesFour yearsTravel supplier contractsTravel Management and Corporate Card ServicesFive years after final paymentUniversity Real EstateDeedsUniversity Real Estate10 years after the property is sold by the universityMortgagesUniversity Real EstateSeven years after payoff of mortgageBills of saleUniversity Real EstateSeven years after transfer of property from universityContracts and leasesUniversity Real EstateFive years after expirationProperty appraisalsUniversity Real EstateSeven years after the property is sold by the universityProperty recordsUniversity Real EstateSeven years after the property is sold by the univrsityUSCard USCard paper sales recordsBusiness ServicesSeven yearsUSCard paper trustee card activityBusiness ServicesSeven yearsUSCard paper meal plan administration formsBusiness ServicesSeven yearsUSCard electronic blackboard system informationBusiness ServicesIndefinitelyUSCard electronic dist/vol activity/ payroll deduction reportsBusiness ServicesIndefinitelyUSCard DataCard imagesBusiness ServicesIndefinitelyUniversity Policies Signed policies, communications about policyEmployee CommunicationsPermanentType of RecordOfficial RepositoryRetention PeriodIntellectual Property RecordsLicensing summary sheets for all licensed cases; original agreements for significant cases (forexample, cases that have generated significant income, have an unusual history, or were high profile) including but not limited to license, amendment, confidential disclosure, material transfers, and royalty distribution agreements; marketing summaries for significant cases, including a list of companies contacted and their response; for significant cases, correspondence, other than the File Wrapper, related to patent filing, prosecution and maintenance. Correspondence relating to government requirements. Correspondence relating to exceptions to USC policy; and, letters concerning substantive matters not otherwise covered under the policy.USC Stevens Center for InnovationIndefinitelyOriginal license agreements and associated materials for cases that are not consideredsignificantUSC Stevens Center for InnovationSeven years after their expiration, or for at least seven years after the last toexpire subject of the license, whichever is longerPatent application File WrapperUSC Stevens Center for InnovationUntil the patent issuesFor cases that have not been licensed, or are not considered significant cases,correspondence, other than the File Wrapper, related to patent filing, prosecution and maintenanceUSC Stevens Center for InnovationUntil the expiration of the patentCorrespondence related to an agreementUSC Stevens Center for InnovationUntil the agreement is signed, or issue has been resolved in writingOriginal patents and abstracts, invention disclosures and other information about an inventionUSC Stevens Center for InnovationUntil the expiration of the patentAccounting and financial recordsUSC Stevens Center for InnovationSeven yearsDropped or abandoned patent applicationsUSC Stevens Center for InnovationFour yearsPersonal notes to the file (e.g., meeting summaries and agendas, and telephoneconversations); brochures, pamphlets, articles and newsletters about a company or finished product; and, marketing lettersUSC Stevens Center for InnovationThree yearsMedical RecordsType of RecordOfficial RepositoryRetention PeriodPatient Care RecordsCare ProviderRecommended retention period Indefinitely.Best practice recommended by medical and dental associations based on (i) the possibility of professional negligence suits long into the future (with tolling generally based on when the patient should have discovered the tort) and (ii) the possible usefulness of the records for future patient treatments long into the future.Minimum retention period For adults: Ten years after the last date the patient is seen. For minors—greater of three years past the patient’s 18th birthday or for the period records are retained for adults (e.g. Ten years).Type of RecordOfficial RepositoryDurationResearch Data—Federally Sponsored ResearchScientific Records, including research or laboratory notebooks; preliminary research reports or summaries; protocols; records relating to the source of research materials and tools (includingembryonic stem cells); adverse event reports; research reports; publications; and any other records that are necessary for the reconstruction and evaluation of reported results of research and the events and processes leading to those resultsPrincipal InvestigatorLonger of three years from submission of final expenditure report; or three years from the completion of the research as defined in the original contract orgrant awardResearch Involving Investigational New Drugs, including records pertaining to the disposition ofan investigational new drug, including dates, quantity, and use by subjects; case histories that record all observations and other data pertinent to the investigation on each person administered an investigational drug or employed as a control in the investigation (including the case report forms and supporting data—for example—signed and dated consent forms and medical records, progress notes of the physician, the person’s hospital charts and the nurse’s notes); and informed consent informationPrincipal InvestigatorLonger of three years from submission of final expenditure report; or 2 yearsfollowing the date a marketing application is approved for the drug for which it is being investigated; or if no application is to be filed or if the application is notapproved for such indication, until 2 years after the investigation isdiscontinued and FDA is notifiedResearch Data—Other ResearchScientific Records, including research or laboratory notebooks; preliminary research reports orsummaries; protocols; records relating to the source of research materials and tools (including embryonic stem cells); adverse event reports; research reports; publications; and any other records that are necessary for the reconstruction and evaluation of reported results of research and the events and processes leading to those resultsPrincipal InvestigatorThree years from submission of final expenditure report; or longer period asrequired by sponsor and agreed to by universityResearch Involving Investigational New Drugs, including records pertaining to the disposition ofan investigational new drug, including dates, quantity, and use by subjects; case histories that record all observations and other data pertinent to the investigation on each person administered an investigational drug or employed as a control in the investigation (including the case report forms and supporting data—for example—signed and dated consent forms andmedical records, progress notes of the physician, the person’s hospital charts and the nurse’s notes); and informed consent informationPrincipal InvestigatorLonger of 2 years following the date a marketing application is approved forthe drug for the indication for which it is being investigated; or if no application is to be filed or if the application is not approved for such indication, until 2 years after the investigation is discontinued and FDA is notified; or longer period as required by sponsor and agreed to by UniversityResearch AdministrationFederally SponsoredPrivately Sponsored ResearchAgreement Records, including funded proposals, grants, cooperative agreements, andcontracts, but excluding Federal contracts containing the “Audit and Records” clause (FAR52.214-26 or FAR 52.215-2) [See FAR 4.705]Dept. of Contracts andGrantsThree years from submission of finalexpenditure reportLonger of: (i) 3 years from expiration or earliertermination of agreement; or (ii) longer period as required by sponsor and agreed to by UniversityFederal Contracts Containing clause FAR 52.214-26 (Audit and Records—SealedBidding) or FAR 52.215-2 (Audit and Records—Negotiation)Dept. of Contracts andGrantsAs required by 48 C.F.R. §§ 4.705-1through 4.705-3 for the categories specified therein (Please contact Dept. of Contracts& Grants for copies of the specificrequirements)N/A, unless FAR 52.214-26 or FAR 52.215-2 isincorporated in agreement (including by reference), in which case follow the Federal requirementsNon-Financial Reports, including performance reports and correspondence with sponsorDept. of Contracts andGrantsThree years from submission of finalexpenditure reportLonger of: (i) 3 years from expiration or earliertermination of agreement; or (ii) longer period as required by sponsor and agreed to by UniversityFinancial Information, including financial reports, invoices, receipts, vouchers and otherrecords supporting incurred costs; budget and funding reports; cost sharing and in-kind contribution information; and program income and expensesSponsored ProjectsAccountingThree years from submission of finalexpenditure reportLonger of: (i) 3 years from expiration or earliertermination of agreement; or (ii) longer period as required by sponsor and agreed to by UniversityConflict of Interest Information, including Disclosure of Financial Interest forms and anyother disclosures of financial interest in the research; and any documentation of any actions taken to mitigate or address an investigator’s financial interest in researchOffice of the ProvostLonger of: (i) three years from submissionof final expenditure report; or (ii) 2 years from approval of any marketing application for FDA covered clinical trialsLonger of: (i) 3 years from expiration or earliertermination of agreement; or (ii) 2 years from approval of any marketing application for FDA covered clinical trials; or (iii) longer period as required by sponsor and agreed to by UniversityOMB Circular A-133 and Other Audit ReportsDept. of Financial Analysis,Financial and BusinessServicesLonger of: three years after the date ofissuance of the auditor’s report; or (ii) until all contested audit findings have been resolvedLonger of: three years after the date of issuance of theauditor’s report; or (ii) until all contested audit findings have been resolvedEffort Certifications and Payroll Information, including effort reports/certifications and anysupporting documentationPayroll Services via OTiSThree years from submission of finalexpenditure reportLonger of: (i) three years from expiration or earliertermination of agreement; or (ii) longer period as required by sponsor and agreed to by UniversityVendors, Subcontractors and Subrecipients Information, including solicitations; bids;records evidencing the basis for subcontractor selection (including any sole source justification); cost or price analyses; award notices; agreements; correspondence; invoices; payment records; and reportsDept. of Contracts andGrantsThree years from submission of finalexpenditure reportLonger of: (i) three years from expiration or earliertermination of agreement; or (ii) longer period as required by sponsor and agreed to by UniversityReal Property and Equipment, including purchase and sales documents; warrantyinformation; inventory reports (including inventories of Government furnished property); and related informationPrincipal Investigator andEquipment ManagementThree years from the date that record issubmitted as part of the rate negotiation process. If record is not submitted as part of rate negotiations, then three years from the end of the fiscal year covered by the proposal or other computationThree years from final dispositionRate Information, including indirect cost rate computations or proposals; cost allocation plans;and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates)Dept. of Financial Analysis,Financial and BusinessServicesThree years from the date that record issubmitted as part of the rate negotiation process. If record is not submitted as part of rate negotiations, then three years from the end of the fiscal year covered by the proposal or other computationSame as Federal requirementInstitutional Review Board Records, including copies of all research proposals reviewed;scientific evaluations that may accompany proposals; approved sample consent documents; progress reports submitted by investigators; reports of injuries to subjects or adverse experiences; minutes of meetings; attendance logs; records of continuing review activities; copies of all correspondence between IRB and investigators; list of IRB members; and statements of significant new findings provided to subjectsInstitutional Review Board(i) Three years for records of generalapplicability; or (ii) three years after activity’s completion for records relating directly to applications, proposals, and proposed significant changes in ongoing activities reviewed or approved by the IRBSame as federal requirementsRecords of Data & Safety Monitoring Boards, including copies of all research proposalsreviewed; progress reports submitted by investigators; reports of injuries to subjects or adverse experiences; minutes of meetings; attendance logs; records of continuing review activities; and copies of all correspondence between Board and investigatorsInstitutional Review Board(i) Three years for records of generalapplicability; or (ii) three years after activity’s completion for records relating directly to applications, proposals, and proposed significant changes in ongoing activities reviewed or approved by the IRBSame as federal requirementAnimal Care RecordsInstitutional Animal Care and Use Committee Records, including minutes of IACUC meetings;attendance logs; copies of approved Assurances; records of proposed activities (including applications and proposals) involving animals and proposed significant changes in activitiesinvolving animals; records of semiannual IACUC reports and recommendations; and records ofaccrediting body determinationsInstitutional Animal Care andUse CommitteeAt least three years; provided that recordsthat relate directly to proposed activities and proposed significant changes inongoing activities reviewed and approvedby the IACUC shall be maintained for the duration of the activity and an additionalthree years after completion of the activitySame as federal requirementsRecords Regarding Research Involving Dogs or Cats, including the following forms: USDAInterstate and International Certificate of Health Examination for Small Animals (APHIS Form7001/VS Form 18-1); Record of Acquisition and Dogs and Cats on Hand (APHIS Form7005/VS Form 18-5); and Record of Disposition of Dog and Cats (APHIS Form 7005/VS Form18-5).Institutional Animal Care andUse CommitteeAt least three yearsAt least three yearsGrievances, including records relating to allegations of research or other misconduct, including records of inquiry, investigation, and dispositionVice Provost for ResearchAdvancementAt least three years after final resolution of the matterSame as federal requirementBiosafety Records, including registrations regarding authority to handle select agents; CDCForm EA-101s and support documentation regarding the transfer or receipt of select agents;records regarding use or disposal of select agents; logs regarding access to select agentsBiosafety OfficeLonger of five years from the date oftransfer or five years from the date agents are consumed or properly disposed ofSame as federal requirement ................
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