Official Records Retention Schedules

Please Note: The UI Official Records Retention schedules are currently under revision. Updates will be posted periodically.

These retention schedules are designed to assist University departments in preserving Official Records appropriately while providing economy and efficiency in the creation, organization, maintenance, use, and disposition of records.

Search Criteria

Administrative Unit: represents either the administrative unit responsible for establishing the Official Record retention criteria OR the Administrative Unit responsible for maintaining the Official Records identified.

Confidential: indicates Official Records that contain information of various sorts that the University receives and holds confidential unless otherwise ordered by a court, by the lawful custodian of the records or by another person duly authorized to release such information. Examples include: student records, medical records, personnel records, etc.

Vital: indicates Official Records that contain information considered essential for the operations of a department (and/or the University) and includes information that may prevent a department from incurring serious liability or risk, or that would be extremely costly to replace. In the event of a disaster, this information, if destroyed, would make it difficult for a department to conduct normal business activities.

Export the full list of Official Record Retention Schedules available to date – or use the search criteria below for a more targeted search.

1099

Category: Purchasing, Accounts Payable and Travel

Description:

Accounts Payable issues 1099's to vendors paid for services over $599. Typically not considered confidential, however, some information may be confidential.

Official Files Maintained by:
UI Purchasing, Accounts Payable and Travel

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Accounts Receivable Records

Category: Accounting and Financial

Description:

Invoices and supporting documentation sent to outside (external to UI) entities, agencies, etc. for services provided and not collected through the University Bill.

Official Files Maintained by:
Local Department responsible for creating or overseeing the record

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Actuarial Report Regents Motor Vehicle Self Insurance Fund

Category: Risk Management, Insurance and Loss Prevention

Description:

Actuarial analysis of both Regents and University self insurance funds for the establishment of rates and estimated unpaid liabilities.

Official Files Maintained by:
UI Risk Management

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Actuarial Reports (GASB 45, GASB 16)

Category: Accounting and Financial

Description:

Actuarial assessment and resulting reports supporting estimated OPEB & sick leave liabilities.

Official Files Maintained by:
UI Accounting & Financial Reporting

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Administrative Service Charge

Category: Accounting and Financial

Description:

Documentation of calculations and invoices sent to internal campus customers for payment of administrative service fees.

Official Files Maintained by:
UI Financial Analysis - Controller's Office

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Affirmative Action Applicant Statistical Data

Category: Personnel, Human Resources and Recruitment

Description:

Affirmative Action Plan Document and Associated Statistical Reports.

Official Files Maintained by:
UI Office of Equal Opportunity & Diversity

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Annual External Audit Documents and Tax Returns

Category: Inventions, Patents and Research Agreements

Description:

Audit work papers, audit report, tax return related to UIRF Inventions, Patents and Research Agreements.

Official Files Maintained by:
UI Research Foundation

UI Retention Guidelines: Calendar Year +10 Years

Confidential: Yes
Vital: Yes

Annual Reports

Category: Administrative Records

Description:

Non-Board of Regent reports documenting departmental/unit/org activities, service levels, outputs, etc. that are required for accreditation or per other state or federal regulations.

Official Files Maintained by:
Local Department responsible for creating or overseeing the record

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Annual Withholding Agent Voluntary Savings Plan Report

Category: Tax Records

Description:

Report Filed annually with Iowa Dept. of Revenue & Finance by UI Payroll.

Official Files Maintained by:
University Human Resources - Payroll

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Arrest Records and Criminal Incident Reports (Except as included elsewhere)

Category: Public Safety & Security

Description:

Criminal Incident, Investigation and Arrest Reports for individuals - excluding OWI and Public Intoxication. Typically not considered confidential, with exception of 1) investigative records or 2) where release may cause a safety issue.

Official Files Maintained by:
UI Department of Public Safety

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

As-built drawings/contractor mark-ups

Category: Facilities Management

Description:

Drawings and specifications with contractor mark-ups indicating changes made by contractor during the construction phase. Plans & Drawings are considered confidential records.

Official Files Maintained by:
UI Facilities Management

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Asbestos Testing/Asbestos Abatement Records

Category: Facilities Management

Description:

Daily logs, clearance sampling, disposal documents, project requirements

Official Files Maintained by:
UI Facilities Management

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Assignments of Invention Rights

Category: Inventions, Patents and Research Agreements

Description:

Assignments are contracts signed by the inventors on the 'Disclosure of New Inventions' assigning rights in their invention to the UIRF. These assignments are then filed with the United State Patent and Trademark office.

Official Files Maintained by:
UI Research Foundation

UI Retention Guidelines: Patent Term + 5 Years

Confidential: Yes
Vital: Yes

Audit Reports

Category: Audit & Legal

Description:

Final audit reports or findings for all University of Iowa investigative and non-investigative (pre-scheduled) audits completed by UI Internal Audit including audit responses provided by the units/departments being audited.

Official Files Maintained by:
UI Internal Audit

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Audit schedules, UI-level account reconciliations, compliance reporting

Category: Accounting and Financial

Description:

Monthly & quarterly account reconciliations, compliance reporting internally and externally, supporting files and correspondence.

Official Files Maintained by:
UI Accounting & Financial Reporting

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Audit Work Papers

Category: Audit & Legal

Description:

Documents which record all audit evidence obtained during financial statements auditing, internal management auditing, information systems auditing, and investigations.

Official Files Maintained by:
UI Internal Audit

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Banking, Custodial and Fund Manager Agreements

Category: Banking & Investments

Description:

Financial Service Provider Agreements

Official Files Maintained by:
UI Treasury Operations

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Bankruptcy Records

Category: Audit & Legal

Description:

Bankruptcy filings/pleadings for individuals or companies attempting to discharge their debts to the University of Iowa.

Official Files Maintained by:
UI Office of the General Counsel

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Bargaining Unit Definition and Bargaining History (AFSCME, COGS, SEIU and Potential Other)

Category: Personnel, Human Resources and Recruitment

Description:

Definition of individuals covered by various bargaining agreements at the University and proposals, notes, information exchanged during the course of collective bargaining.

Official Files Maintained by:
University Human Resources - Employee & Labor Relations

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Benefits Records for UI Employees

Category: Personnel, Human Resources and Recruitment

Description:

Employment Benefits files may include: Early and Phased Retirement Agreements, Insurance forms, Long term disability forms (to apply for coverage early), TIAA-CREF forms, IPERS forms, Leave of absence documents pertaining to a Leave Without Pay (

Official Files Maintained by:
University Human Resources - Benefits Office

UI Retention Guidelines: Permanent (or up to one year after individual's death when notified.)

Confidential: Yes
Vital: Yes

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