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.

External Audit Requests - Sponsored Projects

Category: Grants and Awards

Description:

External audit requests, documentation submitted, correspondence, final audit report and university response to any findings.

Official Files Maintained by:
Grant Accounting Office

UI Retention Guidelines: 5 Years after award closeout

Confidential: Yes
Vital: Yes

Facilities & Administration (F&A) Cost and Fringe Benefit Rate Agreement

Category: Accounting and Financial

Description:

The signed agreement between the University and the Department of Health & Human Services Division of Cost Allocation that is used to support claims for indirect costs on grants and contracts with the Federal Government.

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

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Facilities & Administration (F&A) Rate Proposal: base year

Category: Accounting and Financial

Description:

Documentation of calculations sent to the Department of Health & Human Services - Division of Cost Allocation in support of the F&A rate calculation.

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

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Federal Agency-wide reporting

Category: Grants and Awards

Description:

Small Business Administration, FFATA, and other reports submitted.

Official Files Maintained by:
Grant Accounting Office

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: No

Federal Transit Administration Capital Project Records

Category: Parking & Transportation

Description:

Documentation related to the purchase, financing or construction of capital equipment or building projects utilizing Federal Transit Administration Funds.

Official Files Maintained by:
UI Parking & Transportation

UI Retention Guidelines: For the life of capital item

Confidential: Yes
Vital: Yes

Fire Safety Inspection Report Responses (State Fire Marshal)

Category: Facilities Management

Description:

Institutional responses or plans for corrective action to State Fire Marshal's Annual University of Iowa Fire Safety Inspection Report.

Official Files Maintained by:
UI Department of Public Safety

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Fire Safety Inspection Reports and Response (Iowa City Fire Department)

Category: Facilities Management

Description:

Semi-Annual report issued by the Iowa City Fire Department as part of contract with ICFD for fire protection services and UI response or corrective measures.

Official Files Maintained by:
UI Department of Public Safety

UI Retention Guidelines: 5 Years

Confidential: Yes
Vital: Yes

Flood insurance policies

Category: Risk Management, Insurance and Loss Prevention

Description:

Flood insurance files including policy documents, applications, renewals, correspondence, elevation certificates, etc.

Official Files Maintained by:
UI Risk Management

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Floor Plans

Category: Facilities Management

Description:

Building floor plans. Plans/Drawings and any items deemed confidential by Legal Counsel are considered confidential.

Official Files Maintained by:
UI Facilities Management

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Forklift Inspection Records

Category: Environmental Health & Safety

Description:

Records of required forklift inspections for departments/facilities using forklifts.

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

UI Retention Guidelines: 5 Years

Confidential: No
Vital: Yes

Form W-2G: Raffle Reporting

Category: Tax Records

Description:

Reports of winnings and tax withholding for university sponsored raffles where the value of the prize less amounts paid for participating is over $600 AND the value of the prize is over 300 times the amount the winner paid to participate.

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

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Fringe benefit pool rate setting

Category: Accounting and Financial

Description:

Fringe benefit pool rate setting final reports, supporting files, and correspondence.

Official Files Maintained by:
UI Accounting & Financial Reporting

UI Retention Guidelines: 10 Years

Confidential: Yes
Vital: Yes

Fume Hood Reports

Category: Environmental Health & Safety

Description:

Records of Fume hood tests and reports, and other ventilation tests conducted by EHS.

Official Files Maintained by:

UI Retention Guidelines: Permanent

Confidential: No
Vital: Yes

General Ledger Transactions (electronic format)

Category: Accounting and Financial

Description:

Transactions and balances within the PeopleSoft General Ledger system.

Official Files Maintained by:
UI Accounting & Financial Reporting

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Grades of Students from Iowa higher educational institutions that have closed

Category: Academic/Student Records

Description:

All grades attained by students of any institution of higher learning, whether incorporated or not, that have gone out of existence or cease to function as an educational institution within the state of Iowa, as transferred to the SUI per Code of

Official Files Maintained by:
Office of the Registrar

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Grievance Records and Settlements (employment) responded to by local department.

Category: Personnel, Human Resources and Recruitment

Description:

Documentation pertaining to a grievance or complaint including documentation of mutual agreement to resolve employment grievances at the local department level- kept separate from employee personnel file. (Not to include supervisory notes).

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

UI Retention Guidelines: 5 Years after grievant is terminated

Confidential: Yes
Vital: Yes

Grievance Records and Settlements (employment) responded to by University Human Resources or UI Health Care HR

Category: Personnel, Human Resources and Recruitment

Description:

Documentation pertaining to a grievance or complaint including documentation of mutual agreement to resolve employment grievances- at the University HR or UI Health Care HR level - kept separate from employee personnel file.

Official Files Maintained by:
University Human Resources

UI Retention Guidelines: Permanent

Confidential: Yes
Vital: Yes

Hazardous Waste Determination Records

Category: Environmental Health & Safety

Description:

This is information used to determine the hazards posed by a chemical waste picked up for waste disposal; Safety Data Sheets are commonly used for this purpose.

Official Files Maintained by:

UI Retention Guidelines: Permanent

Confidential: No
Vital: Yes

Hazardous Waste Disposal Regulatory Required Training Records

Category: Environmental Health & Safety

Description:

Records of regulatory-required training for UI staff performing hazardous waste disposal duties.

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

UI Retention Guidelines: Permanent

Confidential: No
Vital: Yes

Hazardous Waste Facility Audits

Category: Environmental Health & Safety

Description:

Records of audits performed at the EMF

Official Files Maintained by:

UI Retention Guidelines: Permanent

Confidential: No
Vital: Yes

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