6.3.2lp1 Credit Programs Records Retention

Adopted: December, 2010
Modified: January 27, 2011; May 9, 2013
Scope: Faculty and Staff
Contact: Vice President of Academic Affairs
Owner: Vice President of Academic Affairs
References: SBTCSG Procedure 6.3.2p

The Registrar at Lanier Technical College is responsible for official student records; however, during the course of advising and teaching, instructors often create records and documents. Records created in the course of Lanier Technical College's academic operations support current administrative needs, meet legal requirements, and provide a rich source for historical data. The College is committed to the retention of its credit program records in order to meet legal requirements, optimize use of space, minimize costs, and preserve historical data needed by the College. Because the College does not have a centralized records management office for credit program records, each department/program area is responsible for the retention, disposal, and transfer of the records it generates.

The following procedure will assist instructors in identifying those portions of their files that are appropriate for retention and for transfer to storage. Original materials (see Sections IV and V below for details) should be retained in the office of origin according to the attached retention schedule. When the retained records become of historical interest only, they should be sent to storage with an explanation of their importance.

Purpose

The purpose of this procedure is to identify credit program records retention requirements and responsibilities and provide proper management of records and compliance with retention requirements as outlined by the Georgia Secretary of State, federal and state laws, and accepted educational practice.

Definition of Records

Official records consist of recorded information that is created or received by College employees in the course of performing official functions on behalf of the College. These may include items related to policies, decisions, procedures, operations, and external or internal transactions. These records are the property of Lanier Technical College regardless of their physical location, even when they are in the possession of individuals, and, as such, may not be permanently removed from the College nor destroyed except in accordance with this procedure. See Section IV for items that are not official records.

Official records can be recorded on any physical form or medium, including paper or electronic. Examples of official records include memoranda, letters, reports, books, plans, maps, diagrams, pictorial or graphic works, photographs, film, recordings, e-mail, word-processed documents, spreadsheets, databases, and imaging systems.

Retention Schedule

Documents should be retained according to the attached Records Retention Schedule and should be stored in a secure vault or fireproof cabinet in a locked office. Each program area that generates official records must adhere to the official retention schedule pertinent to the responsibilities carried out in that department. The attached schedule includes:

Type of official record
Recommended minimal retention period (Note that guidance on retention times for many types of official records are provided by law and/or professional associations.)
Retention period at Lanier Technical College (which may be longer than mandated by law)
Whether these records should be transferred to storage at the end of the retention period

It is important to retain critical documents, but many items do not need to be retained. Records that should be disposed of at the end of their retention period include:

Routine letters of transmittal and acknowledgment
Memoranda that are not personally addressed — except for one record copy from the issuing senior staff member
Requests for publications or information after the requests have been filled
Replies to questionnaires if the results are recorded and preserved either in storage or in a published report.

Items without a retention period, which may be discarded directly from the department when they are no longer needed for administrative purposes, include:

All blank forms and unused printed or duplicated materials
All other duplicate material, including received e-mail messages from other offices on campus: the originating office should keep only the original; keep annotated copies
Papers, reports, working papers, and drafts that have been published
Artifacts and memorabilia

Non-paper objects cannot be sent to storage. They should be stored in a secure vault or fireproof cabinet in a locked office.

Regardless of the retention period, academic records should not be destroyed under any of the following conditions:

The record is covered by an applicable state or federal law that requires the record in question to be retained for a longer period than set forth in the Records Retention Schedule
The record is relevant to pending or anticipated litigation or pertains to a claim, audit, investigation or enforcement action
The record is needed to perform current or future activities in support of the department or College

Departments may retain documents for periods longer but not shorter than specified in the Records Retention Schedule. Where a record may fit into one or more categories with different retention periods, the record should be maintained for the longer retention period.

Security of Academic Records

Student records with personally identifiable information will be kept in a secure location during their period of retention and storage. Access to these records will only be given in instances that comply with Family Educational Rights and Privacy Act (FERPA) regulations.

Transfer to Storage

After the specified retention period in the office of origin, permanent items and items of historical value should be transferred to storage. Consult with the appropriate campus dean about the process of storing these documents.

When materials are transferred to storage, they should be kept in the order in which they were created and maintained in the department. A cover page briefly identifying the material and describing the activity to which it relates should accompany the transfer.

In the absence of specific restrictions, all materials transferred to storage will be opened to researchers and the Institutional Effectiveness Department on a nondiscriminatory basis, except those records that contain individually identifiable information, the disclosure of which is prohibited by the Family Educational Rights and Privacy Act of 1974. Records preserved in storage may be borrowed by the office of origin for its own use.

The storage facility will retain records of permanent or enduring value to maximize the future accessibility of their content. Before records are sent to the storage facility, they must be marked with a destroy date or as permanent records.

The Records Retention Schedule is intended as a general guide. If questions arise about records not listed here or questions about the retention or disposal of specific records series, or whether particular records have permanent or enduring value, please contact the Vice President of Academic Affairs or Vice President of Campus Operations.

Disposal

Disposal of records which have been maintained pursuant to this procedure and which need not be kept should be destroyed. Many of the student records covered by this procedure and retention schedule contain confidential information protected by federal and state law. Good educational practice and federal law requires that any sensitive or identifying personal information existing in such records (such as social security number, driver's license number, mother's maiden name, account number or code, or personal financial information) be disposed of in a manner that will prevent unauthorized individuals from accessing the information. At Lanier Technical College, the preferred method of records disposal is shredding.

Responsibility

It is the responsibility of every employee to comply with this procedure.
It is the responsibility of any individual who supervisors, manages, or directs a department or function to ensure his/her employees are aware of the procedure and adhere to it.
It is the responsibility of each Dean and Vice President to ensure his/her respective areas are in compliance with this procedure so that the College may meet its operational and legal obligations and preserve its historical record.

Records Retention Schedule

Type of Record	Duration for Instructor to Retain Record
Academic dismissal records	5 years on campus after date of last attendance then destroy
Advising records (student)	5 years on campus after date of last attendance then destroy
Advisory committee minutes	3 years on campus then store for 4 years
Budget allocation/reports	2 years on campus then destroy
Business calendar	3 years on campus then destroy
Class lists	1 year on campus after end of term then destroy
Clinical agreements, contracts,	MOUs 3 years on campus after expiration date then store for 5 years
Code of conduct violations	5 years on campus after date of last attendance then destroy
Counseling notes	3 years on campus after date of last attendance then destroy
Course syllabi and lesson plans	2 years on campus then store permanently
Curriculum change requests	5 years on campus then destroy
Employer Verification Forms	3 years on campus then store for 4 years
Field trip forms	3 years on campus then destroy
Grade sheets/grade book	1 year on campus after date of last attendance then destroy
Grant proposals not funded	1 year on campus then destroy
Grant proposals funded and reports	2 years after conclusion of grant on campus, then store permanently
Grievance records	5 years on campus after date of last attendance then destroy
IFCC notes and minutes	5 years on campus then destroy
Incident Report (copy)	1 year on campus after end of term then destroy
Independent study records	5 years on campus after date of last attendance then destroy
Instructor�s student files¹	3 years on campus after date of last attendance then destroy
Internship/Externship student records	5 years on campus after date of last attendance then destroy
Medical exams (if required for program)	1 year on campus after date of last attendance then destroy
Pass rate data for licensing and certification	5 years on campus then destroy
Placement documents	1 year on campus after date of last attendance then destroy
Program accreditation documents	2 years on campus, then store permanently
Student assessment records (exams, tests, term papers, homework records, presentations, etc.)	1 year on campus after course completion then destroy
Student organization records	2 years on campus, then store permanently
Warranty claim data	1 year on campus after claim resolved then destroy

¹ Instructor�s student files should contain Student Data Sheet, safety procedures documentation, medical records, background check forms, approved field trip forms, deficiency notices, tardy and attendance notices, signed work ethics form, copy of course schedules, and program of study document.