Records Retention Schedule

Academic Affairs Faculty Handbook

Affiliation Agreements

Degree Proposals

Assessment Files – Data and reports from evaluations conducted to assess progress toward stated strategic and performance goals.

External Audits – Audits and reviews performed by or on behalf of an agency, including the working papers that support the audit.

Internal Audit Reports – Audits and reviews performed within the university, including the working papers that support the audit.

Complaint Records – Complaints received by an agency from the public concerning the agency and records pertaining to the resolution of the complaint.

Correspondence, General – Non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of an agency.

Directives – Any document that officially initiates, rescinds, or amends general office procedures.

Public Information Requests – Not Exempted – Includes all correspondence and documentation relating to requests for records that are furnished to the public under Public Information Act (Chapter 552, Government Code).

Public Information Requests – Exempted – Includes all correspondence and documentation relating to requests for records that are exempt under the Public Information Act (Chapter 552, Government Code).

Texas Register Submissions – Copies of all proposed, withdrawn, emergency, and adopted rules; open meetings notices; or any other documents required by law to be submitted to the Texas Register.

Proposed Legislation – Drafts of Proposed Legislation and Related Correspondence

Registration Logs – Logs or similar records used to register persons appearing before state agencies as required by Chapter 2004, Government Code, including quarterly reports filed with the Texas Ethics Commission.

ADA (Americans with Disabilities Act) Documentation – Self evaluations and plans documenting compliance with the requirements of the Americans With Disabilities Act.

Transitory Information – Records of temporary usefulness that are not an integral part of a record series of an agency, that are not regularly filed with an agency’s record-keeping system, and that are required only for a limited period time for the completion of an action by an official or employee of the agency or in the preparation of an ongoing record series.  Transitory records are not essential to the film and statutory obligations documentation of agency functions. Some examples of transitory information, which can be in any medium (voicemail, fax, email, hardcopy, etc.) are routine messages; telephone message notification; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routing information used for communication, but not for the documentation, of a specific agency transaction.

Meetings, Certified Agendas or Tape Recordings of Closed – Certified agendas or tape recordings of closed meetings of state boards, commissions, committees, and councils.

Meetings, Audio or Videotapes of Open – Audio or videotapes of open meetings of state boards, commissions, committees, and councils.

Meeting – Notes – Notes taken during open meetings of state boards, commissions, committees, and councils from which written minutes are prepared.

Staff Meeting Minutes and Notes – Minutes or notes, and supporting documentation, taken at internal agency staff meetings.

Agency Performance Measures Documentation – Any records of an agency needed for the documentation of output, outcome, efficiency, and explanatory measures in agencies appropriations request or strategic plan, and for performance measures used to manage the agency.

Reports and Studies (Non-Fiscal) – Raw Data – Information or data collected and compiled for the purpose of producing non-fiscal reports.

Reports on Performance Measures – Quarterly and annual reports on agency performance measures submitted to executive and legislative offices.

Reports – Activity – Reports compiled by agency personnel on a daily or other periodic basis pertaining to workload monitoring, task completion times, number of public contacts, and similar activities.

Public Information Reports – Reports made to the Office of the Attorney General on an agency’s Public Information Act activities.

Alternative Dispute Resolutions – Final Agreement – Final agreement described by Government Code 2009.054(c), associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state agency participated as a party on the agency’s behalf.

Gateway Website Files

Interactive Web Application Files

Automated Files – Processing Files – Machine-readable files used in the creation, utilization, and updating of master files.

Automated Files – Master Files – Relatively long-lived computer files containing organized and consistent sets of complete and accurate electronic records. Examples include, but are not limited to: data tables of relational databases used by applications or computer programs.

Software Programs and Job Control Language – Automated software applications and operating system files including job control language, program listing/source code, etc.

Hardware Documentation – Records documenting operational and maintenance requirements of computer hardware such as operating manuals, hardware/operating system requirements, hardware configurations, and equipment controls systems.

Technical Documentation – Records adequate to specify all technical characteristics necessary for reading or processing of electronic records and their timely, authorized disposition including documentation describing how a system operates and necessary for using the system such as user guides, system or sub-system definitions, system specifications, input and output specifications, and system flow charts; program descriptions and documentation such as program flowcharts, program maintenance logs, change notices, and other records that document modifications to computer programs; and data documentation necessary to access, retrieve, manipulate, and interpret data in an automated system such as a data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.

Audit Trail Records – Files needed for electronic data audits such as files or reports showing transactions accepted, rejected, suspended, and/or processed; history files/tapes; records of on-line updates to application files or security logs.

Chargeback Records to Data Processing Service Users – “Includes Computer Utilization Records. Records used to document, calculate costs, and bill program
units for computer usage and data processing services. These records are also used for cost recovery, budgeting, or administrative purposes.”

Computer Job Schedules and Reports – Schedules or similar records showing computer jobs to be run and other reports by computer operators or programmers of work performed.

Data Processing Policies and Procedures – Manuals, guidelines, or similar documents establishing data processing policies and procedures in an agency in such areas as access and security, systems development, data retention and disposition, data ownership, production control, system back-up, etc.

Batch Data Entry Control Records – Forms and logs used to reconcile batches submitted for processing against batches received and processed.

Output Records for Computer Production – Reports showing transactions that were accepted, rejected, suspended, and/or processed.

Quality Assurance Records – Information verifying the quality of system, hardware, or software operations including records of errors or failures and the loss of data resulting from such failures, documentation of abnormal termination and of error free processing, checks of changes put into production, transaction histories, and other records needed as an audit trail to evaluate data accuracy.

Software Registrations, Warranties, and License Agreements – Records documenting the registration and licensing of a software application to activate the software for legal use by the end users of a state agency, along with warranties providing that the software will perform in accordance with functional specifications.

Alumni Records – This series documents the activities of an institution or department’s alumni and may also provide alumni offices with information on alumni.  This series may include, but is not limited to: memberships lists with names, addresses, employer names and addresses, and positions; promotional materials concerning annual gatherings; homecoming plans and programs; data cards and files for individual alumni; degree recipient lists; outstanding alumni lists; student leader lists; class officer lists; foreign student rosters; international alumni club records; and notes, memoranda, and related correspondence concerning general alumni affairs.

Event Administration Records – Routine – This series documents facilities, services and other accommodations provided by the institution for events. Records may include: facilities reservation agreements; room reservation lists; customer and room occupancy lists; catering services orders; customer evaluations; summary reports; and related correspondence.

Data Warehouse Reports – Reports generated by the University Data Warehouse.

Grant Records – Grant/contract projects participated in or administered by state agencies. Includes grant/contract authorization records, which provide evidence of the award of grants/contracts to or by agencies; grant/project financial or performance reports, which are periodic reports of financial activity and/or program performance related to grants received or made by agencies, and research data to include final and interim research reports, working files, research data, protocols, laboratory notebooks, documentation, and any specimens produced for a granting agency or sponsor for funded research, studies, clinical trials, and non-clinical trials.

Ombudsman Records – Consultation records, notes, letters, memos, emails, reports and other documentation

Research Data – Non-Grant Funded Research – This series documents the routine research activities of research projects that are not funded by grants and are not subject to any state or federal guidelines. This series may include details of tests, client names, procedures performed, test results, evaluations, notebooks, binders, spreadsheets, or any other type of journal format, the care and proposed use of animals by the university for research purposes, institutional animal care and use forms, research proposal check-off forms, results of laboratory testing performed on agricultural products, case numbers, genetic trials, disease and pest management testing, and related data and correspondence.

Subpoenas – Subpoenas for production of evidence produced for litigation in which the state agency is not a party. Includes legal documents requiring recipient to appear in court to testify, or to produce records to be used in litigation.

Help Desk Tickets – Records documenting the request for and response to help desk tickets received by divisions or units, such as information technology.

Biennial Information Security Plan – Biennial information security plan for protecting the security of the agency’s information.

Annual Audit Plan – Includes working papers and agency risk assessment used to develop the plan, per Texas Internal Auditing Act requirement.

Training Manuals – Instructional materials developed by an agency for training entities or individuals it regulates or serves

Award Selection Records – The process of selecting institutional faculty, staff, students and alumni to receive awards based on merit or achievement. The series may include but is not limited to: applications; nomination letters; recommendations; transcripts; letters of award notification or denial; letters accepting or declining awards; demonstration of need documentation; vote tallies; ranking sheets; and related documentation and correspondence.

Grant Records – Non-Awarded – Non-awarded, denied, or unfunded grant applications and proposals.

Destruction Authorizations – Agency level documents authorizing final disposition of records under a certified records retention schedule.

Forms History and Maintenance – Master versions of all forms used internally and externally by the agency, including subsequent revisions to a form or any associated design or design modification requests. Also includes periodic listing of all forms used internally or externally.

Records Retention Schedule (SLR 105) – Agency copy. Formerly RMD 105. Includes documentation of certification and approval – forms SLR 105C (formerly RMD 105C), and/or other forms designated by the State Records Administrator.

Records Transmittal Forms – Agency copy (includes RMD 101, TxR-5, 306-58-1, and Agency Storage Forms). Forms indicate records transferred to storage or a transfer of legal custody.

Request for Authority to Dispose of State Records – (Texas State Library RMD Form 102) Agency copy of the request.

Records Disposition Logs – Logs or similar records listing records destroyed or transferred to the Archives and Information Services Division, Texas State Library and Archives Commission, showing records series title, dates of records, and date destroyed or transferred.

Record Center Storage Approval Forms – (RMD 106) Agency copy of form

Records Inventory Worksheets

Records Management Plans – Records management plans and similar records that establish the policies and procedures under which records and information are managed in an agency.

Disaster Recovery Service Transmittals – (RMD 109) Also Includes Documentation for Disaster Recovery Services Provided by Other Entities.

Disaster Recovery Service Approval – Form (RMD 113) Agency copy of form

Human Resources System (HRS) Electronic Reports from E-Print Mainframe – Records from HR and Payroll system of record from Summer 1999 to January 2011

Position/Job Descriptions – Job descriptions, including all associated task or skill statements, for positions in an agency

Applications for Employment – Hired -Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or in the employment advertisement.

Applications for Employment – Not Hired – Applications, resumes, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions is required on the application form, by application procedures, or the employment advertisement.

Peer Advisor Application

Employment Selections – Includes notes of interviews with candidates, questions asked of applicants, audio and videotapes of job interviews, driving record and previous injury checks, pre-employment physical examinations, and other records that document the selection process.

Criminal History Checks – Criminal history record information on job applicants or agency employees obtained from the Department of Public Safety (DPS)

Employment Eligibility – Documentation or Verification of – Federal reporting form (INS I-9)

Employment Contracts (on or after September 1, 2015) – Employment contracts that were executed, renewed, or amended on or after September 1, 2015.

Employment Contracts (on or before August 31, 2015) – Employment contracts that were executed, renewed, or amended on or before August 31, 2015.

Employees Insurance Enrollment Form(s) – University copies of information relating to the selection by employees/retirees of life, disability, health, and other types of insurance offered by the UT System to its employees.

Employee Benefits – Other than Insurance – Includes Optional Retirement.  Agency copies of information relating to the selection of available benefit options other than insurance.

Public Access Option Form – Form completed and signed by employee or official, or former employee or official, electing to keep home address, home telephone number, social security number, and family information open or confidential under the Public Information Act, Government Code §552.024.

Personnel Files – Departmental – Individual personnel files for faculty, staff, and student employees. These records are maintained by the employee’s department.

Personnel Files – Human Resources – Individual personnel files for faculty, staff, and student employees. These records are maintained by the office of Human Resources (for non-HR employees).

Academic Affairs – Faculty / Lecturer / Adjunct Files – Official faculty files. Includes appointment, promotion, and tenure records. Evaluations, recommendations, and similar documentation relating to the review process for promotion and tenure for all faculty or staff in the tenure track.

Academic Affairs – Former Employees (Faculty) Files

Employment Opportunity Advertisements – Internal or external announcements or advertisements of job openings, promotions, training programs, or opportunities for overtime.

Training and Educational Achievement Records – Individual – Certificates of completion, transcripts, test scores, or similar records documenting the training, testing, or continuing education achievements of an employee.

Employee Recognition Records – Awards, incentives, etc.

Performance Appraisal Job evaluations, performance appraisals, or other similar documents used to evaluate the performance of an employee.

Personnel Corrective Action Documentation – Corrective actions are those actions which do not affect pay, status, or tenure and are imposed to correct or improve an employee’s job performance.

Personnel Disciplinary Action Documentation – Disciplinary actions are those actions which may affect pay, status, or tenure. They are imposed to discipline an employee whose conduct is harmful to the best interests of the state, the agency, or the employee work force; and for failure to improve performance or conduct following imposition of corrective action. May include cause for demotion, suspension, or dismissal, and the reasons for failure to give written notice or resignation. May also be used to document evidence of employee self-improvement efforts, as well as favorable and unfavorable communication.

Employee Counseling Records – Notes, memoranda, or reports relating to the counseling of an employee for work-related, personal, or substance abuse problems. Usually maintained at the supervisorial level except in those agencies with counseling staff.

Personnel Information or Action Forms – Forms are similar records used to create or change information concerning the records of an employee including paygrade, position, classification, employee number, evaluation date, and termination of employment.

Grievance Records – Employees – Records relating to the review of employee grievances against personnel policies, working conditions, etc.

Performance Bonds (on or after September 1, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or after September 1, 2015.

Performance Bonds (on or before August 31, 2015) – Bonds posted by employees and individuals or entities under contract with an agency for the performance of the duties of a position or the terms of a contract with the agency. Only includes bonds executed, renewed, or amended on or before August 31, 2015.

International Scholars Records – J-1 Exchange Visitor Files – This series documents the short-term appointment of nonimmigrant international scholars as visiting faculty, specialists, researchers, and trainees. Records may include, but are not limited to: Form DS-2019, Certificate of Eligibility for Exchange Visitor (J-1) Status; electronic files to Student Exchange Visitor Information System (SEVIS); descriptions of work to be performed; methods of financial support; copies of passports; check-in forms with personal data such as addresses, telephone numbers, and information concerning dependents; related correspondence, most often concerning eligibility of spouses and children to accompany or join the scholar; log sheets noting the nature of telephone calls concerning each scholar’s status; and related documentation.

International Scholars Records – Immigrant Petition – File Includes documentation of an institution’s sponsorship of an applicant using USCIS Form I-140 (Immigrant Petition for Alien Worker).

International Scholars Records – Labor Certification – This series documents the application and approval of international scholars for permanent immigrant status. Records may include, but are not limited to: Application for Permanent Employment Certifications (DOL Form ETA 9089); Application for Alien Employment Certification (DOL Form ETA 750); recruitment reports; copy of job advertisement in national professional journal; wage determinations; and related materials.

International Scholars Records – Nonimmigrant Visa Petition – File Includes both internal documents and forms submitted to the U.S. Citizenship and Immigration Services (USCIS), including Form I-129, Petition for a Nonimmigrant Worker.

International Scholars Records – Nonimmigrant Visa Public Inspection – File This series documents the temporary employment of international exchange visitors (non-immigrants) by the institution and is used to monitor compliance with federal United States Citizenship and Immigration Services (USCIS) regulations. Includes Labor Condition Application (DOL Form 9035/9035E), wage rate documentation, benefits summaries, and related materials for H-1B, H-1B1, and E-3 visas.

International Scholars Records – Tax Documentation – This series documents international students’ and scholars’ acquisition of social security numbers. This series may include, but is not limited to: social security number applications; Statement of Information – Social Security Account Number forms (CO-204); photocopies of social security cards; Controllers Division reports; and related documentation and correspondence.

International Scholars Records – Program Administration Records – This series documents a program which allows one or more visiting scholars to assume residence on campus for an academic year or a shorter duration. This series may include, but is not limited to: advertisements; applicant data; arrangements and schedules; publicity and news clippings; presentation transcripts or published works; scholars’ vitae; scholars’ activities documentation including audio recordings; and related documentation and correspondence.

Time Cards and Time Sheets – Work-Study Students – This series documents hours worked by work-study student employees. The series is used for payroll purposes and to meet federal requirements for documenting time worked by work-study students. This series may include, but is not limited to: Work-Study Time Certificates and referrals, time cards, and time sheets.

ADA Accommodation Requests – Employee or applicant requests for reasonable accommodation under the ADA (Americans with Disabilities Act).

State Deferred Compensation Records – Records documenting the amount of pension or deferred compensation earned by individual employees.

Authorization for Professional Services

Employee Deduction Authorizations –  Documentation used to start, modify, or stop all voluntary or required deductions from payroll, including garnishment or other court-ordered attachments.

Employee Earnings Records – Payroll records and registers documenting employee earnings, wages, and pay. This may include but is not limited to payroll input records, summary statements, payroll vouchers, payroll detail sheets, and payroll history.

Alien Information Collection Form

Employees / Independent Contractor Checklist

Federal Tax Records – Includes 1099, W-2, FICA, and Other Tax Records

Income Adjustment Authorizations – Used to make increases or decreases to employee’s gross pay, FICA, retirement, or in the computation of taxes.

W-4 Forms – Employer’s copy of “Employees’ Withholding Exemption Certificate”

Wage Rate Tables – Records defining the wage or salary rate for each position in the agency expressed in dollars, grades, or step numbers.

Unemployment Compensation Records – Records and documentation relating to unemployment compensation claims, including reimbursement of funds disbursed by Texas Workforce Commission.

Direct Deposit Applications / Authorization – Forms used to deposit employee earnings into a specified personal account.
Includes Mail Deposit Applications/Authorizations

Human Resources Information System (HRIS) Reports – Reports sent to State Comptroller HRIS system. Includes supporting documentation

Personnel – Payroll Masterfile

Request for Approval of Outside Employment

Special Facility Development Leave Files

Faculty Endowments

Faculty Startup Funding

Affirmative Action Plans – Affirmative action plans for regular employees.

The UT System Benefit Plans – Working Copy – Employee benefit plans such as pension; life, health, and disability insurances; deferred compensation; etc. including amendments

Labor Statistics Reports – Reports providing statistical information on labor force.

Former Employee Verification Records – Minimum information needed to verify employment, includes name, social security number, exact dates of employment, last known address and most recent public access option form.

Verification of Employment Request (VOE) – Requests, verifications, and related documentation

Position/Job Classification Review File – Records relating to review and monitoring of job classifications within an agency.

Work Schedules / Assignments – Work, duty, shift, crew, or case schedules, rosters, or assignments

Texas Workforce Commission (TWC) Reports – Reports to the agency from TWC or its predecessor pertaining to employees.

Reimbursable Activities, Requests and Authorizations to Engage in – Requests and authorizations for travel; participation in educational programs, workshops, or college classes; or for other work-related activities for which the expenses of the employee are defrayed or reimbursed.

Personnel Policies and Procedures – Any internally distributed manuals, guidelines, or similar records that define agency wide policies and procedures concerning the personnel of an agency.

Job Procedure Records – Any documents detailing the procedural duties and responsibilities of agency positions on a position-by-position basis.

Agency Staffing Records – Any reports compiled by an agency on aspects of personnel staffing, including listings of all staff by program or name, staff hired during a month, detailed listings of employees within its organizational structure, position vacancies, analyses of turnover rates and seasonality of employment, etc.

Aptitude and Skills Test – Aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer.

Aptitude and Skills Test (Test Papers) – Aptitude and skills test papers of job applicants or of current personnel taking a test to qualify for promotion or transfer.

Aptitude and Skills Tests (Validation Records) – Records of the validation of aptitude and skills tests.

Training Administration Records – Instructional materials and other records associated with in-house training of agency personnel on personnel policies and procedures and other policies and procedures that govern an agency’s programs, services, or projects.

EEO Reports and Reporting Documentation – Includes documentation used to complete EEO reports.

Equal Pay Records – Reports, studies, aggregated or summary data, and similar documentation compiled to monitor and demonstrate compliance with the federal Equal Pay Act.

Recruitment Plans – Diversity and recruitment plans and related workforce analyses.

Accumulated Leave Adjustment Requests – Used to create employee leave balances, to transfer leave balances when an employee transfers positions, to correct errors on leave accumulation, and to close out leave accounts on separated employees.

Leave Status Report – Cumulative report is issued each pay cycle and provides employee leave status information for each position.

Less Than Full-Time Worked Reports – Dates and hours.

Overtime Authorizations – Records created to schedule time worked by employees outside of or in addition to their regular working hours, including approval authorizations.

Overtime Schedules

Time Cards and Time Sheets – Records documenting individual employee’s hours worked, including work schedules and documentation evidencing adherence to or deviation from normal hours for those employees working on fixed schedules.

Time off and/or Sick Leave Requests – Requests and authorizations for vacation, compensatory, sick, Family and Medical Leave Act (FMLA), sick pool leave, and other types of authorized leave, and supporting documentation.

Sick Leave Pool Documentation – Requests submitted, approvals, number of hours transferred in and out, etc.

Accounts Payable Information – Claims; invoices; statements; copies of checks and purchase orders; expenditure authorizations; ledgers; encumbrance, purchase, general journal, expenditure, and special vouchers; and similar records that serve to document disbursements, including those documenting claims for and reimbursement to employees for travel and other expenses.

Billing Detail

Canceled Checks / Stubs / Warrants / Drafts

Check Registers

Encumbrance Detail

Comet Cash Declining Balance Accounts

Inventory and Other Costs Files – Production, Job Labor, Quotes, Pricing, Specifications, etc.

Data Entry Documents

Transfers or Budget Revisions – Includes Budget Adjustment Form (BAF) and transmittal of funds/ cost center transfers

Electronic Fund Transfers – Direct Deposit Registers

Investment Transaction Files – Records documenting the investment of any public funds that evidence the investment of such funds, the cancellation or withdrawal of investments, and similar activities.

Accounts Receiveable Information – Bill copies or stubs, statements, billing registers, account cards, deposit warrants, cash receipts, credit card receipts, receipts books, cash transfers, daily cash reports, reconciliations, general journal vouchers, special vouchers, and similar records that serve to document money owed to or received by a state agency and its collection or receipt.

Human Resource System (HRS) Form – New Position Requests

HRS Form – Position Funding Change

Encumbrance Vouchers – Orders, statements, change orders, etc.

Check Deposit Record / Cash Deposit Vouchers – Check deposit slips and cash deposit slips.

Cash Receipts – Includes receipts for fees (permits, licenses, renewals, etc.)

Daily Cash Receipts Log

Purchase Vouchers – Requisitions, receiving reports, invoices, or statements, change orders, best value determinations, etc.

General Journal Vouchers – This includes Interdepartmental Transfers

Expenditure Vouchers – Employee travel expenses, payroll vouchers, non-travel reimbursements, etc.

Monthly Balancing

Cash Count

Sales Journals or Registers

Receipts Journals or Registers

Expenditure Journals or Registers

General Ledger

Accounts Receivable Ledgers

Accounts Payable Ledgers

Employee Savings Bond Ledgers

Worksheets for Preparing Financial Reports – Includes Annual Financial Report workpapers (i.e., 13 Month Post- Closing Report)

Budget Information Systems (BIS) E-Print Electronic Records

Financial Reporting System (FRS) E-Print Electronic Records

Fiscal Management Reports – Internal and external periodic fiscal management reports and associated worksheets, including federal financial reports, salary reports, HUB reports, investment performance reports, etc.

External Fiscal Reports – Special purpose reports such as federal financial reports, salary reports, etc. Includes HUB Reports.

Annual Operating Budgets – Agency Monthly Budget Reports. Required by the General Appropriations Act.

Budget Presentations

USAS Reports – Daily – Periodic reports compiled from information entered into the Uniform Statewide Accounting System (USAS)

USAS Reports – Monthly

USAS Report – Annual – Yearly report compiled from information entered into the Uniform Statewide Accounting System (USAS).

Unclaimed Property Reports and Documentation – Sufficient records to verify information on unclaimed property previously reported to the State Comptroller showing the name and last known address of the apparent owner of reportable unclaimed property, a brief description of the property, and the balance of each unclaimed account, if appropriate.

Compliance Program Files

Balancing Records

Reconciliations

Cash Counts

Petty Cash Reimbursement

General Compliance Training Records

Freight Bills Paid

Freight Claims – Freight or cargo claims against carrier for damage or loss to a shipment.

Order – Acknowledgments – Shipping information, including order acknowledgements, packing slips, and related documentation.

Bid Documentation – Successful Bids (on or after September 1, 2015) – For successful bids executed, renewed, or amended on or after September 1, 2015.  Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

Bid Documentation – Successful Bids (on or before August 31, 2015) – For successful bids executed, renewed, or amended on or before August 31, 2015.  Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

Bid Documentation – Unsuccessful Bids – For unsuccessful bids. Includes bid requisition/authorizations, invitations to bid or propose, bid specifications, and bid tabulation/evaluations.

Purchasing Card Log – Log, register, etc., providing a record of purchase orders issued, orders received, and similar data on procurement status.

Purchasing Card Cardholder Activity Report – Includes OneCard reconciliations

Requests for Information – Requests for information preliminary to the procurement of goods or services by direct purchase or bid.

Vendor Records/W-9 – W-9 IRS Form used to request a taxpayer identification number (TIN) for reporting information to the Internal Revenue Service (IRS). This includes W-9 forms received by a state agency from vendors.

Account History Files

Bank Collateral Records

Accounting Policies and Procedures Manual – Records documenting the internal and external procedural requirements with respect to the accounting department of a state agency

Bank and Appropriations Statements and Reconciliation Data

Returned Checks / Warrants / Drafts (Uncollectable) – Records of accounts deemed uncollectible, including write-off authorizations and returned checks, warrants, and drafts

Capital Asset Records – Documentation relating to the capital and fixed assets of a state agency, including equipment or property history cards containing data on initial cost, depreciation schedules or summaries used for capital outlay budgeting, and property sale, auction, or disposal records of agency owned equipment and property.

Claim Files – Records documenting requests for payment of a sum of money according to the terms of a policy or contract.

Comptroller Statements

Detailed Chart of Accounts – One for all accounts in use for a fiscal year.

Texas Facilities Commission Statements (TFC) – Charge or bill statements received by agencies from the TFC for services provided.

Indirect Cost Calculations

Long-Term Viability Records – Includes Bond Issuances and Debt Service Records

Signature Authority – Signature cards or similar records establishing authority of an agency employee to initiate or authorize financial transactions on behalf of an agency.

Fixed Asset Sequential Number Logs

Capital Expenditures – Funded with Tax-Exempt Bond Proceeds The Internal Revenue Service requires that invoice documentation supporting capital expenditures, including LERR, Faculty STARs and similar programs funded with proceeds of tax-exempt bonds, be maintained for a period ending three (3) years after the complete extinguishment of the bonds. Pursuant to the Texas Constitution, PUF bonds may be structured with a maximum maturity of 30 years.

Fundraising Records – This series documents institutional efforts to raise funds to support program functions and facilities. This series may include, but is not limited to: requests for fund-raising; gift history reports; background on previous donations; pledges; and related documentation and correspondence.

Federal Tax Information (FTI) – Audit Logs Logs documenting requests and receipt of FTI, including any information created by the recipient that is derived from federal return or return information received from the IRS or obtained through a secondary source.

Indirect Cost Plans – Indirect cost plan and supporting documentation created or maintained in the development of the plan.

Special Event Risk Assessment

Contracts & Leases – Lateral Agreements / Contracts (on or after September 1, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – Lateral Agreements / Contracts (on or before August 31, 2015) – Lateral Agreements/Contracts that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – Equipment Leases (on or after September 1, 2015) – Equipment Leases that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – Equipment Leases (on or before August 31, 2015) – Equipment Leases that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – Space Leases/Property Leases (on or after September 1, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – Space Leases/Property Leases (on or before August 31, 2015) – Space Leases/Property Leases that were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contract & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or before August 31, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Contracts & Leases – General – Contracts and/or Leases that cannot be categorized in other record series found in this schedule, and were executed, renewed, or amended on or after September 1, 2015.
Documents include specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection reports, and correspondence. May also include other applicable documentation in the master contract file per Texas Comptroller of Public Accounts Contract Management Guide.

Catering Contract / Authorization for Food Service (on or after September 1, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or after September 1, 2015.

Catering Contract / Authorization for Food Service (on or before August 31, 2015) – Catering Contracts/Authorizations for Food Service that were executed, renewed, or amended on or before August 31, 2015.

Outside Catering Requests – Requests to use non-University caterer services for an event.

Contract Log – List of agency contracts, leases, and agreements including general obligation, land lease, utilities, and construction contracts.

Course Book Information Requests

Delivery Reports – Receiving Reports – Records documenting incoming or outgoing deliveries, including through private courier services.

Mail and Telecommunications Listings – Any mailing address, telephone or fax number, or e-mail address records maintained by an agency on its employees or on entities or persons it serves.

Postage Records – Records and reports of postage expenses, including postal meter usage.

Correspondence Tracking Records – Any record created by an agency to track any type of incoming and outgoing correspondence or packages by the U.S. Postal Service or by private couriers.

Requisition for In-House or Inter-Agency Copy/Printing Service – Includes word processing and data processing.

Photocopier and Telefax Usage Logs & Reports – Registers or logs of print copies and fax transmissions made by user or in total.  Includes monthly usage reports and such reports that are maintained by the UTD Copy Center.

Licenses and Permits for Non-vehicles – Does not include licenses and permits issued by the university as part of its statutory responsibilities.

Insurance Policies – Insurance policies for vehicles, equipment, etc. Includes Comprehensive Property Protection Program (CPPP).

Charge Schedules / Price Lists – Schedules of prices charged by an agency for services to the public or other agencies, including any documentation used to determine the charges.

Office Procedures – Any internally distributed manual, guidelines, or similar records that establish standard office procedures for an agency; for example, agency style manuals, telephone protocols, mail room procedures, print shop and photocopy ordering instructions.

Police Operations Log

Municipal Citations

Evidence Records

Campus Crime Alert

Incident Reports – Police

Police Case Reports

UT System Police Memos

Call Box Documents

Found Property Log

Patrol Car/Motorcycle Checklist

Ride-Along Waiver of Liability

Release of Liability

Personnel Background Information and Employment Selections for Police – Not Hired – Records that document the selection process for applicants that were not hired by the UTD Police Department. Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results.

Security Sensitive Forms

Police Department Warning Form

Internal Affairs Investigations – Complaints Leading to Investigation – Written complaints and records of complaints received from the public concerning the conduct of law enforcement personnel that lead to an internal affairs investigation.

Internal Affairs Investigations – Unfounded Complaints – Written complaints and records of oral complaints received from the public concerning the conduct of law enforcement personnel that do not lead to an internal affairs investigation.

Internal Affairs Investigations – Shooting Incidents – Records of investigation of law enforcement shooting incidents which result in death or injury to any person, including a police officer.

Internal Affairs Investigations – Formal Discipline – Records of investigations that result in sustained formal discipline. The term “formal discipline” is disciplinary action at or above the level of a written reprimand.

Internal Affairs Investigations – Informal Discipline – Records of investigations that result in sustained informal discipline or of investigations whose findings are inconclusive. The term “informal discipline” is disciplinary action below the level of a written reprimand.

Internal Affairs Investigations – Not Sustained – Records of investigations whose findings are not sustained, or in cases where accusations are determined to be unfounded or the accused is exonerated.

Surveillance Videos – Surveillance videos of buildings, facilities, vehicles, or other state property.

Police Audiovisual Recordings – Class C/Not Charged – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible Driving While Intoxicated (DWI) or other violations. Includes recordings of persons on whom either a Class C misdemeanor charge is filed, or on whom no charges are filed.

Police Audiovisual Recordings – Offense Greater than Class C – Audiovisual recordings, including those from police vehicles, body worn cameras, or digital cameras, of persons detained for possible DWI or other violations. Includes recordings for offenses greater than Class C misdemeanors.

Personnel Background Information and Employment Selections for Police Department – Civilian Employees – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for civilian employees of the UTD Police Department.

Personnel Background Information and Employment Selections for Police Department – Sworn Officers – Includes employment applications, notes of interviews with candidates, questions asked of applicants, driving record and previous injury checks, pre-employment physical examinations, pre-employment drug screening test results, polygraph examination results, and other records that document the selection process for sworn officers of the UTD Police Department.

Emergency Protective Orders – Emergency protective orders issued by magistrates.

Law Enforcement Information Dissemination, Inquiry, and Receipt Records – Reports, logs, and other records pertinent to documenting the dissemination and receipt of criminal histories and dissemination of other information to law enforcement or other agencies through crime information networks (e.g., Texas Crime Information Center [TCIC], National Crime Information Center [NCIC]).

Weapons Records —Issuance – Logs for issuing weapons and ammunition to officers.

Callier Center for Communication Disorders – Patient Medical Records – Adults

Callier Center for Communication Disorders – Patient Medical Records – Minors

Student / Patient Medical Records

Medical Information and Release Forms – Medical Release and Indemnification forms completed for those who participate in campus activities or travel.

Disclosure of Protected Health Information – This records series documents disclosure of Protected Health Information (PHI) in accordance with the Health Information Portability and Accountability Act compliance regulations.

Student Health Insurance Files – Waivers and Enrollment Forms – Student health insurance waivers, list of waivers, and SOS enrollment forms.

Student Health Insurance Files – Complaints/Grievances

Fitness Test, Personal Training, and Dietitian Files – Fitness test & files for students.

UTD Student Health Center (SHC) Data Sheet

Patient Office Visit Info (Superbill)

Azusa Test Records

Mandatory TB Test Documentation Form

Influenza Vaccine Injection Release

Meningococcal Vaccine Injection Record

Client Psychology Files – Client information, client consent forms and associated documentation. This records series may also contain counseling notes which are created during each patient session.

UTD Counseling Center – Counseling Case Records – This series documents all clients who are provided counseling services by the institution’s counseling center. Clinicians provide treatment concerning personal problems, academic concerns, and career concerns. Records may include: extensive notes made by providers concerning the assessment, diagnosis, treatment and contacts (written, telephone, or in person) with each client; referral letters; release of information agreements; letters to agencies or others concerning the clients; and related documentation.

Counseling Log – Lab Take In

Clinical Supervision Files

Counseling Center Trainee Files

Guest Worker Files – Psychiatrists and practicum students in the counseling center

Explanation of Benefits – Student

Library Patron Applications – Applications/requests to checkout, view, or use library/archive materials, equipment, books, or artifacts

TexShare Cardholder Agreements – Applications/agreements for TSLAC TexShare Card Program

Student Housing Applications – Freshman and Co-Signer

Student Housing Resident Forms

Student Housing Certificates of Eligibility – Student certificates of eligibility to live on campus.

Student Housing Reports

Residential Life Program Files

Residential Life Program Release Forms / Waivers

Physical Plant Maintenance Records – Outside Contractor

Physical Plant Maintenance Records – In-House Contractor

Safe Combinations Masterfile

Service Calls – Administrative Reports

Building Plans and Specifications for Renovations, Rehabilitations, and Restorations – Leased – Includes architectural and engineering drawings, profiles, and blueprints.

Building Space Requests

Equipment / Instrument Calibration Records – Records documenting the determination, checking, or rectifying of any instrument giving quantitative measurements.

Property Destruction Certificates

Damage Reports – Reports of damage to state property

Equipment History File – Includes requests for installation, moves, service, etc.; and service/repair logbooks, etc.

Equipment Inventory Detail Report Forms – Updates agency portion of the inventory listing and adds, changes, transfers, or deletes items from inventory.  Includes Property Deletion Request/Transfer Notices (PA2 Forms & PA3 Forms)

Equipment Manuals

Equipment Warranties

Estimate Files (Supply and Repair Cost Estimates) – Quotes for minor construction and repair projects and supplies. Includes supporting documentation, as applicable.

Inventory – Annual Physical – Property, equipment, supply verification. Includes real property.

Inventory, Notices of Equipment Removed From

Inventory System Update Listings – Listing shows all additions, changes, deletions, and transfer times for the monthly processing period.

Lost / Stolen Property Report

Quality Control Reports – Documentation and reporting on adherence to procedures that ensure quality of a process, product, or service.

Service Orders – Agency copy of forms completed by mechanical service personnel for installation or repair. Includes billing code, service, labor, parts, and remarks.

Supply Usage Records

Surplus Property Sale Reports

Utility Usage Reports – Utility billing detail.  Any type of usage report or log used to monitor utilities such as gas, electric, water, etc.

Year-to-Date Activity (Inventory Listing) – Shows additions, changes, transfers, and deletions of information within the inventory system. Data include agency, division, tag number, batch, document, transaction date, location, item code, description, date, and cost.

Material Specifications – Equipment and material descriptions and specifications that may include but are not limited to detailed descriptions; lists of raw materials and ingredients; physical characteristics of items; special handling procedures; or technical drawings.

Equipment Descriptions and Specifications

Facilities Reservation Logs – Reservation logs or similar records relating to the use of agency facilities such as meeting rooms, auditoriums, etc.

Locker Registration

Space Utilization Reports – Reports summarizing efficiency of facility space utilization, which may include data on room usage, demand, allocation, and capacity.

Asbestos Building Surveys

Asbestos Monitoring

Asbestos Sampling Results

Chemical Inspection Reports

Radiation Tests and Monitoring

Radiation Purchase Records

Radiation Disposal Records

Safety Records – Records of Exposure to Asbestos, Tremolite, Anthophyllite, Actinolite, and other Hazardous Materials.

Accident Reports and Associated Documentation – Accident or occupational disease reports (for faculty/staff/visitors/students) and other associated reports required to be submitted to the Texas Department of Insurance or its predecessors or maintained internally on accident frequency.

Worker’s Compensation Reports

Release and Indemnification Forms – Activities / Travel – Non-medical release of liability agreement forms completed for those who participate in campus activities or travel.

Evacuation Plans – Plans for evacuation of agency facilities in cases of emergency.

Inspection Records – Fire, safety, and other inspection records of agency facilities and equipment. Includes, but is not limited to: testing records, fire alarm certificates (new buildings), and certification event asbestos-free building (new buildings).

Fire Orders – Orders issued by Fire Marshal to correct deficiencies in compliance with the fire code

Fire Drills Log

Fire Reports

Fire Maintenance Reports

Hazardous Materials Training Records – Hazardous Materials Training and Certification Records. Records of training given employees in an agency hazard communications program. Includes radiation safety, chemical safety, and biological safety/blood-borne pathogens.

Hazard Communication Plans – Plan that provides information to employees about the hazardous chemicals to which they may be exposed to in their workplace.

Chemical Transfer Records

Chemical Recycling Records

Chemical Waste – This series documents the receipt, shipment, and disposal of chemical material or hazardous wastes on campus. This series includes, but is not limited to: chemical and waste inspection forms; drum packing sheet; Uniform Hazardous Waste Manifest Forms (EPA 8700); Certificates of Disposal from vendors; land disposal notification form; waste disposal records; and related documentation and correspondence.

Workplace Chemical Lists – List of each hazardous chemical normally present in the workplace.  Includes Controlled Substance Drug Logs/DEA Form/Chemical Inventories.

Narcotics and Precursor Chemicals (All Related Records)

Material Safety Data Sheets – Safety Data Sheets (SDS) that list information relating to occupational safety and health for the use of various substances and products.

Visitor Control Registers – Logs, registers, or similar records documenting visitors to limited access or restricted areas of agency facilities.

Security Access Records – Records relating to the issuance of keys, identification cards, building passes, passwords, or similar instruments of access to agency facilities or equipment.

Disaster Preparedness and Recovery Plans – Including Police Disaster Recovery Plan

COVID Testing and Vaccination Status Records – Medical or physical examination consent forms, reports, or certificates created by third parties of students, employees, or visitors for whom periodic monitoring of health or fitness is required in response to the COVID-19 pandemic.  Includes voluntary or involuntary disclosure of vaccinations.

Billing Detail – Telecommunications – In addition to summary detail, includes any accompanying detailed listing of long distance calls.

Long Distance Telephone Logs – Long distance logs created by agencies for internal documentation purposes. Includes any similar logs created for long distance facsimile or electronic transmissions.

System Activity Reports – Internal listing of all incoming/outgoing agency telephone activity.

Billing Detail – Telephone Service Requests

Wire / Equipment Charge (Internal)

Disputed Call Documentation – Documentation relating to disputed long distance calls, including documents evidencing repayment by employees for personal long distance use.

Parking Violation Notices

Vehicle Registration for Parking

Inspection Repair and Maintenance Records – Vehicles – Records and documentation related to inspections, repairs, and maintenance for state vehicles.

Motor Vehicle Driving Record (MVR) – License and driving record checks

Vehicle Use Reports – Includes mileage, fuel/oil consumption, operation log, passengers carried and other related operational information.

Vehicle Titles and Registrations – Vehicle titles, registration information, and owner manuals for state vehicles.

Parking Permits or Assignments – Records documenting issuance of parking permits and assignments.

Comet Card Requests – All cards issued except registered students

Comet Cardholder Photos

Photo Releases (Non FERPA)

Child and Youth Program Participant Records – This series documents the participation of children and youth in programs sponsored by the institution. The series may include: applications; enrollment records; progress reports and assessments; immunization records; parental consent forms; activity records; lists of attendees; and related correspondence.

Non-Institution Student Records – This series documents and tracks the application, selection, and progress in special instructional programs of elementary through high school and non-institution students belonging to special, minority, or disadvantaged groups. Examples of programs to which this series applies are Science and Mathematics Investigative Learning Experiences (SMILE), Upward Bound, High School Equivalency, and other non-institution programs.

Callier Center Daycare – Child Enrollment

Callier Center Daycare – Tracking Roster

Callier Center Daycare – Volunteer File

Callier Center Daycare – National School Breakfast / Lunch

Gym Membership Registration and Information Records – Records related to UTD gym memberships. Includes membership registration or application forms and supporting documentation.

Admissions Records – Enrolled/Accepted – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.

Admissions Records – Not Enrolled/Denied – This series documents the application process for individuals seeking admission to the institution. Records may include, but are not limited to: acceptance letters, applications for admission, entrance exam reports, letters of recommendation, medical records, readmission forms, recruitment materials, test scores, residency classification forms, transcripts from other colleges, transcripts from high school, and related correspondence.

International Student Records – Not Enrolled/Denied – This series documents institution assistance to international students who are considering attendance at the institution. Records may include, but are not limited to: letters of inquiry from prospective students; official replies to inquiries; completed applications and admittance forms; local data sheets; advisory notes; and related documentation and correspondence.

Advanced Placement and Credit Records for Student Applicants Who Enroll – Transfer credit evaluations, national or state standardized test scores and reports (e.g., CLEP, AP, Departmental, IB, SAT II), credit by examination authorizations and reports, military course documentation (e.g., DSST, USAFI) and evaluations, non-traditional transcripts and credentials, life experience records, requests for advanced credit, and similar documentation used by a university to evaluate and determine award of credit by advanced placement.

Entrance Examination Reports (ACT, CEEB) for Student Applicants Who Enroll

Placement Scores for Student Applicants Who Enroll

Test Scores for Student Applicants Who Enroll

Correspondence, Relevant for Student Applicants Who Enroll

Residency Classification Forms for Student Applicants Who Enroll

Letters of Recommendation for Student Applicants Who Enroll

Residency Affidavits and Documentation – This series documents declarations filed by students regarding state residency status which is critical for determining tuition status. Records may include, but are not limited to: affidavits; correspondence regarding residency; and related documentation.

Comet Connection Forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.

STEP (Select Transfer Enrollment Program) forms for Applicants Who Do Not Enroll – Applies only to records for applicants who do not remain enrolled after census day.

Applications for Admissions and Supplemental Application Materials for Applicants Who Do Not Enroll – Supplemental documents include, but are not limited to: Letters of Recommendation, placement scored, advanced placement records, and entrance exam reports. Applies only to records for applicants who do not remain enrolled after census day.

Pre-Application Documents – Documents include orphaned documents, not on system, or without accompanied application.

Recruitment Materials for Student Applicants

Acceptance Letters for Student Applicants Who Enroll

International Student Records – Enrolled/Accepted – This series documents nonacademic institution assistance to international students who have been admitted to academic programs. These records primarily concern institution admissions, immigration issues, and other nonacademic matters.
Records may include, but are not limited to: copies of visas; scholarship information; institution admissions forms; graduate school applications; transcripts of previous college work; grade reports of prior college work; grade reports from institutional courses; international student advisors’ notes; degree completion certificates; explanations for student withdrawals; recommendations and evaluations of students; and related documentation and correspondence.

Veterans Records – This series documents the entitlement status and enrollment of veterans in the institution. Records include, but are not limited to: individual veteran student records that certify to the U.S. Department of Veterans Affairs that the student is eligible for educational benefits, is currently enrolled at the institution in a qualifying curriculum, and is maintaining standards required to receive entitlements; veterans attendance reports; and related forms, documentation and correspondence.

Student Advising Records – This series includes records of academic advisement to students. Series may include advisors’ notes and advising checklists.

Individual Service Plans

Documentation of Accommodation – Student File

Correspondence, Relevant – Student Records

Academic Action Authorizations – Authorizations for academic actions, such as academic probation, suspensions, dismissals, reinstatements, etc.
Does not include disciplinary action records.
 

Disciplinary Action Documents – Students (Separate Confidential Record) – This series documents academic dishonesty and conduct violations among students. Records may include, but are not limited to: incidents reports; final reports; evidence; notification of allegation; disciplinary reports; informal discussion notes; formal hearing notes; final summary statements; decision statements; appeals documentation; and related documentation and correspondence.

Hold or Encumbrance Authorizations – Student Records – Documents used to place and remove holds on registration, student services, or the release of transcripts or other academic data until the subject of the hold/encumbrance takes a specific action.

Class Schedules of Students – This series provides a list of the classes registered for by an individual student for a particular semester.

Course Registration and Status Records – Registration forms, class rosters, and similar records providing information on which courses student are registered for at the beginning of an academic term, including documentation evidencing the conditions under which courses are undertaken (e.g., audit, pass/fail, and credit/no credit authorizations or approvals) or evidencing changes to registration status during the term (e.g., add/drop forms by student or instructor).

Independent Study Records – This series documents departmental approval for students to enroll in independent study courses. Records may include, but are not limited to: permission sheets with students’ names; course names; number of credits; and faculty signatures.

Change of Course (Add / Drop) – Student Records

Withdrawal Forms and Authorization – Students – Requests and authorizations for a student to withdraw from classes after calendar deadlines without academic penalty for reasons acceptable to a university.

Original Grade Sheets (Class Lists) – The series reflects grades awarded by instructors and serves as the basis for students’ official academic records. Also called Permanent Record Cards, Grade Cards, Grade Sheets. Records usually include: student names and social security numbers or ID numbers; course titles and numbers; sections; grades awarded; and instructors’ signatures.

Credit by Examination Forms – Student Records

Credit / No Credit Approvals – Student Records

Pass / Fail Requests – Students

Grade Reports (Registrar’s Copy) – The series documents grades received by students for the term. This is the record copy of reports distributed to students at the end of each term. Individual forms include: course numbers and titles; grades awarded; grade point average; student name; and social security number or student ID number.

Curriculum Change Authorizations – This series documents student requests to change their field of major study, add or remove a simultaneous major, or add or change a minor.

Transfer Credit Evaluations – Student Records

Degree Audit Requirements – This series documents student completion of degree requirements, including authorizations certifying completion of degree requirements. The series may include official graduation audit forms that list students’ names; colleges; majors; degrees; minors; the breakdown of institutional degree requirements and how the applicants have fulfilled them; grade point averages; deans’ recommendations/comments and signatures; and comprehensive examinations.

Applications for Graduation – Student applications for graduation.

Graduation Authorizations – Student Records

Tuition and Fee Charges – Includes fee assessment forms. This series documents the payment of fees for course fees, lab time, diplomas, commencement exercises, etc.

Testing Logs

Provision for Alternative Testing Forms

Name Change Records – This series documents student or applicant name changes reported to the admissions or registrar’s offices by students. Records may include, but are not limited to: letters requesting change in name; name change authorizations; and related documentation and correspondence.

Personal Data Update Records – Student – Change of address forms, race/ethnicity questionnaires, requests and authorizations to change other demographic data, and similar source documentation used to update personal data information on transcripts or other student records.

Social Security Certifications – Student

Enrollment Verifications

Transcript Requests – Student – Requests for transcripts to be provided to student or sent to other institutions.

Student Waivers for Rights of Access to Letters of Recommendation

Student Information System (SIS) E-Print Electronic Reports

Student Certification Records – Academic – This series documents student completion of certificate programs offered by university academic programs.

Student Certification Records – Professional – This series documents the preparation of students earning degrees and/or certification for licenses or certificates to enter a profession (e.g., teaching certificates) and forms the basis of the initial certification by external entities for various professions. Records may include: applications for admission to a program; registration for practicum hours and evidence of the completion of the practicum; transcripts; narrative evaluations on practicum; notice of completion of hours required for certification; recommendations and evaluations; and related correspondence.

Internship Program Records – This series is used to provide a record of the administration of student internship, practicum and cooperative education programs. Programs may be within the institution or off campus and for class credit and/or pay. Records may include, but are not limited to: applications for internships inside and external to the institution; agreements with departments; postings/notices; student resumes; transcripts; copies of contracts; proposed institution listings; notes; and related documentation and correspondence.

Internship Applications – Not Enrolled/Denied – Applications for internship programs for which student was denied or did not enroll in the internship.

Deans’ Student Discipline Certifications

Discipline Log

Departmental Student Information Files – Up-to-date information on student’s activity from point of enrollment to graduation or date of last attendance. This series may include but not limited to: personal data, activity reports, graduate student qualifying examinations, copies of placement tests, copies of partial transcripts, correspondence, evidence of graduation or last date of attendance, and related information.

Applications for Admissions to Programs – Not Enrolled/Denied – Includes applications for admission to programs with admissions requirements separate and beyond those of the institution.

Financial Aid Assistance Records & Supporting Documents – Records documenting the financial aid assistance that students are receiving

Federal Aid Participation Agreement

Exemptions, State Mandated and Continuously Applicable – E.g. Blind and Deaf, Senior, Foster Care.

Hazlewood Act Documentation – Awarded – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.

Hazlewood Act Documentation – Non-awarded Applicants – This series documents eligibility to claim the Hazlewood exemption and institutional records to track benefit hours claimed.

Tuition Exemption and Remission Records – Applications for and supporting documentation evidencing the grant of tuition exemptions or remissions. This series may include, but is not limited to: authorizations; reconciled lists; account summaries; and related documentation.

Tuition Rebate Documentation – Includes tuition rebate form and any supporting documentation pertaining to college tuition rebate program under Texas Education Code Sec. 54.0065.

Ready to Award List

FERPA (Family Educational Rights and Privacy Act) Documents – This series documents the process of student information release requests and consent authorizations or denials in accordance with the Family Educational Rights and Privacy Act. Records may include, but are not limited to: requests for nondisclosure of directory information; records of disclosures made to third parties; written consent of the student to disclose records; and related documentation and correspondence.

FERPA – Request and Disclosure of Personally Identifiable Information – Record of each request for access to and each disclosure of personally identifiable information from the educational records of a student: documentation of requests from and disclosures to any party other than the student, an official of the district for what the district has determined are legitimate educational interests, a party with or without written consent from the student, or a party seeking directory information.

FERPA – Student’s Written Consent for Records Disclosure – Written consents for information disclosure from the eligible student or student’s parents.

FERPA – Waivers for Rights of Access – Waivers of access by students to confidential letters and confidential statements of recommendation and revocations of such waivers.

FERPA Data Documents – Requests for Formal Student Hearings

FERPA – Student Statements on Content of Records Regarding Hearing Panel Decisions

FERPA – Written Decisions of Hearing Panels

Immigration Semester Audits

Veterans Administration Certifications – Students – This series documents institutional submission of Certification of Enrollment reports required by the U.S. Department of Veterans Affairs.

Student Grievance Records – This series documents grievance brought forward by students against the institutions which do not result in litigation. Grievances may pertain to academic issues; housing; affirmative action and equal opportunity; student conduct; and other issues. Records include: notices of grievance; informal discussion notes; grievance responses; formal hearing notes (including audio tapes); final summary statements; settlement agreements; appeals documentation; and related records. Portions of these records may be exempt from public disclosure.

American Southwest Conference Financial Aid Report

Fiscal Operations Report and Application to Participate (FISAP) – The Fiscal Operations Report and Application to Participate in the Federal Perkins Loan, Federal Supplemental Educational Opportunity Grant (FSEOG), and Federal Work-Study (FWS) Programs (FISAP) and any records necessary to support the data contained in the FISAP.

Course Records – Departmental course offerings and individual course contents. Includes, but is not limited to: course descriptions, course outlines, course summaries, course requests and proposals, curriculum approval lists, lists of classes by term, bibliographies, reading lists, course announcements, handout materials, and related documentation and correspondence.

Course Syllabi

Test Papers and Exams – Test Questions, Exams, Quizzes, Term Papers. Records may include, but are not limited to: examinations and answers; quizzes and answers; course papers; term papers; and essay assignments. This series does not include graduate student qualifying or comprehensive examinations.

Faculty Grade Book – Record of students in course and work completed. Includes computer and non-computer-generated grade sheets, and other such materials that permit a reconstruction of a student’s graded performance in a course.

Graduation Lists / Commencement Records – This series documents commencement program planning and implementation at the institution. Records may include, but are not limited to: commencement attendance forms; planning records created by commencement committees or other planning groups; and related documentation and correspondence. Includes commencement programs. Graduation lists may be exempt from public disclosure.

Student Faculty/Course Evaluation Records—Non-Tenure Track Faculty – Student evaluations of non-tenure track teaching personnel, which provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.

Student Faculty/Course Evaluation Records—Tenure Track Faculty – Student evaluations of tenure-track teaching personnel used to help determine faculty tenure, promotion, merit increases, and/or to review instructional courses and programs. These records provide students’ opinions on faculty members’ familiarity with current literature of the discipline, preparation, assignments, examinations, lecture styles, willingness to engage in dialogue, and availability. May include but not limited to: bubble forms (input documents); course reaction inventory printouts; statistical tabulations; and summary reports.

Callier Center Daycare – Accreditation / Licensing Documentation

Animal Management Records – This series includes records relating to the care and management of animals for research and teaching purposes.

Scientific Misconduct Records – This series is used to provide a record of accusations of misconduct brought forward by or against university personnel and affiliates and relating to research projects. These records include: accusation statements; inquiry committee findings; and related correspondence.

Institutional Animal Care and Use Committee (IACUC) Records – Committee Records – This series includes meeting minutes, records of attendance, activities of the Committee, Committee deliberations, records of proposed activities involving animals and proposed significant changes in activities involving animals, and whether IACUC approval was given or withheld, and semiannual IACUC reports and recommendations (including minority views).

Institutional Biosafety Committee (RDNA Research) Minutes – This series includes meeting minutes of the Biosafety Committee

Patent and Invention Records—Patents, Licensing, and Disclosure Records – This series documents the transfer of technology from this institution to outside agencies as the result of research projects and grants carried out at the institution. May include but not limited to: original patents; international licensing agreements; and invention disclosure forms that list the names of the inventors and to whom the inventions have been disclosed.

Application / Renewals for Organization Registration

Student Organization Registrations

Student Organization Banner Requests

Marquee Requests

Travel Authorizations for Students – Completed travel authorizations for students traveling through a university program (i.e., Education Abroad)

Student Life Co-Curricular Transcript Requests

Student Government Candidate Applications

Student Government Campaign Fliers

Student Government Membership Lists

Student Newspaper Advertising and Billing Accounts

Greek Life Electronic Database

Career Center Employer Recruiting Event Records

Career Center Job Postings

Multicultural Center Program Files

Orientation Registration Files

Orientation Participation Release Forms

Who’s Who Recommendations

Cheer Squad Files

Student Athlete Handbook

Student Athlete Compliance Agreement

Student Athlete Medical Release and Indemnification Forms, Injury Report, and Medical Records

Student Athlete Travel Schedules

Public Relations Records pertaining to student athletics, News, Press Releases, and Sports Statistics – Includes Team Rosters, photographs and sports statistics.

American Southwest Conference (ASC) Compliance Records – Medical hardships and transfer forms

NCAA (National Collegiate Athletic Association) Compliance Record – Includes Certification of Compliance Form, Student-Athlete Statement , Drug Testing Consent Form, Student-Athlete Affirmation

NCAA Provisional Compliance Reports – Including institutional self-study and third year provisional report.

Yearly Reports – Including equity in Athletics Disclosure Act, graduation rates, and US News and World Report