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Records Retention Schedule

The Records Retention Schedule provides a list of the official state records for UTHSCSA, prescribing the authorized retention period for each record. It also designates vital records that must be backed up and stored offsite, records of archival value that should be forwarded to the University Archives, and confidential records that should not be viewed by the public.

Questions should be sent to Anne Comeaux, Assistant Director for Special Collections and Records Management Coordinator for the UTHSCSA.

The full UTHSCSA Records Retention Schedule approved by the Texas State Library and Archives Commission is saved in PDF format and can be viewed on the Web using the Adobe Acrobat Reader. If you do not have the Adobe Acrobat Reader installed, you can download it for free from Adobe.

View Full Records Retention Schedule (official version) in Adobe Acrobat PDF format
View Amendments to the Records Retention Schedule (approved 12/14/2007)

Search for Records by:

Keyword

Department

Category

Record Series Item Number

Agency Item Number or ID

Explanation of:

Codes

Terms

Fields

Supplemental Notes:

Personnel Records

Student Records

Caution Statement

All retention periods are subject to the following caution: A state record may not be destroyed if any litigation, claim, negotiation, audit, open records request, administrative review, or other action involving the record is initiated before the expiration of a retention period for the record set by the Texas State Library and Archives Commission or in the approved records retention schedule of the University until the completion of the action and the resolution of all issues that arise from it, or until the expiration of the retention period, whichever is later.

Departmental Caution Statement

Departments are ultimately responsible for providing supporting financial documentation in the event of any litigation, claim, negotiation, audit, open records request, administrative review, or action monitoring a record. Departments should maintain departmental financial records for the past three years in addition to the current year. In cases where documentation cannot be produced by the department, the department will be responsible for any reimbursements to state and federal agencies.

Explanation of Terms

CFR - Code of Federal Regulations - Regulations of federal agencies adopted under authority of laws enacted by the U. S. Congress.

RECORD COPY - The document kept on file as an original or official record for the total retention period. Distinct from a “working” or “convenience” copy, which is a duplicate used for reference purposes. CAUTION: Care must be taken in determining if duplicate records are indeed convenience copies or if two or more copies of the same document must be considered record copies. It is possible for the same document to be present in two or more units of the institution and be a record copy in each unit if it serves a different function in each of these units.

RECORDS SERIES - A group of identical or related records with the same function and the same retention period that is evaluated as a unit for retention scheduling purposes.

RETENTION PERIOD - The amount of time a records series must be retained before destruction or archival preservation.

STATE PUBLICATION - Information in any format that is produced by the authority of or at the total or partial expense of the University or is required to be distributed under law by the University, or is publicly distributed. The term does not include information the distribution of which is solely limited to contractors with or grantees of the University, staff persons within the University or within other governmental agencies, or members of the public under a request made under the Public Information Act, Government Code, Chapter 552. The term includes but is not limited to: a publication distributed in print, on microform, as audiovisual material, as interactive media or on electronic external storage device; an on-line publication which is an index to other online publications, one or more text, graphic, or other digital files, or a user interface to a computer database.

TAC – Texas Administrative Code. Regulations of state agencies adopted under authority of laws enacted by the Texas Legislature.

Explanation of Fields

Records Series Item Number – Records series item numbers are assigned by the State and Local Records Management Division of the Texas State Library and Archives Commission.

Agency Item Number – Unique number assigned to the record series by the University of Texas health Science Center at San Antonio. Includes abbreviation for department(s) responsible for keeping the official copy of the record. See list of department abbreviations.

Records Series Title – The most general titles possible have been chosen. Explanations are provided for those titles which are not self-explanatory.

Retention Period – Retention is expressed in years unless otherwise noted. Retention codes are located at the bottom of each page.

Security – Enter O for Open or C for Confidential in the Records Retention Schedule. Decisions determining if a record is open or confidential should be based on the Texas Public Information Act and any other law or regulation that applies to the record. Appears only on the online RRS, not the printed schedule sent to the Texas State Library.

Archival – Those records series that must be transferred, or evaluated, for archival preservation. Archival codes are located at the bottom of each page.

Medium – The format in which the official is kept, such as paper, microfiche, etc. This field appears only on the online RRS, not the printed schedule sent to the Texas State Library.

Vital Records – Vital records are those that are essential to resume business or continue an organization, to recreate a component’s financial or legal position, or to preserve the rights of employees and citizens. Records series commonly regarded as vital have been so designated. These designations are not made mandatory by these Guidelines. Records series unique to the component may be vital and some records series designated vital in these Guidelines may not be vital to the component institution, depending on the nature of the record keeping systems. Appears only on the online RRS, not the printed schedule sent to the Texas State Library.

Remarks – This column contains citations to applicable federal or state laws or regulations or other information regarding records retention requirements.

Supplemental Notes - Personnel Records

1. The employee’s entire personnel file is to be retained at least 5 years after separation.
2. Information to be maintained in employee personnel files for a period of 50 years after retirement:
   1. Teacher Retirement, Optional Retirement, and insurance beneficiary information.
   2. Optional Retirement Program Acknowledgment
   3. Optional Retirement Program Company(s) in which retiree has contributions
   4. Appointment and salary history (minimum information needed to verify employment, including name, social security number, date of birth, exact dates of employment, and last known address)
3. Information to be maintained in employee personnel files for a period of 50 years or more, the items should be as follows:
   1. Optional Retirement Program Acknowledge
   2. Appointment and salary history (minimum information needed to verify employment including name, social security number, date of birth, exact dates of employment, and last known address)
4. Former Employee Verification Records to be maintained until termination of employment plus 75 years. Minimum information needed to verify employment including name, social security number, exact dates of employment, and last known address.

Supplemental Notes to student records section

1. Although the retention period for these records is one year, federal legislation or state statutes may indicate otherwise. The federal legislation which governs these records is as follows: Veterans Administration regulations require that all recruitment materials be retained 3 years.
2. Records for applicants who do not enter are not covered by FERPA.
3. Some documents from institutions in other countries may be originals and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant rather than destroying them.

1. Essential data will be recorded on academic records, which are retained permanently. Those records that are not deemed permanent are: documentation of experience forms, interview rating forms, personal statements, publications, recommendation letters, recruitment materials, resumes, and waivers for rights of access to recommendation letters.
2. Family Educational Rights and Privacy Act (FERPA) states that letters of recommendation not accompanied by waivers and retained beyond their intended use may be viewed by the student. As a consequence, it is recommended that these letters be destroyed after admission of the student. Waivers of rights of access filed with letters of recommendations should be retained as long as the file is retained. Students who revoke their waivers of rights of access may not see letters of recommendations during the time the waivers were in force.
3. The Veterans Administration (VA) regulations state that the following student records must be retained for at least 3 years after termination of enrollment:
   1. Previous education or training (transcripts from from other colleges)
   2. Evidence of formal admission (acceptance letters).
4. Educational institutions which participate in federal, state and private programs of low-interest loans to students must retain student records of admission and placement for 5 years after graduation or withdrawal. In the event of an open audit, records must be retained until all questions are resolved.
5. Some documents from institutions in other countries might be originals and therefore difficult for the applicant to replace. The records custodian may want to return these documents to the applicant rather than destroying them.

1. Any record recommended for permanent retention should be microfilmed for security even if the originals are retained. The original microfilm should be stored and secured in an off-site location.
2. The Family Educational Rights and Privacy Act (FERPA) specifically requires institutions to maintain records of requests and disclosures of personally identifiable information except for defined “directory information” and requests from students for their own records. The records of disclosures and requests for disclosures are considered part of the students’ educational records; therefore, they must be retained as long as the educational records to which they refer are retained by the institution.

3. The Veterans Administration (VA) regulations state that the following records must be retained for at least 3 years after termination of enrollment:
   1. Grade reports and/or statements of progress (academic records)
   2. Change of course forms and transfer credit evaluations
   3. Degree audit records
   VA regulations require that all advertising, sales, and enrollment materials (e.g. catalogs and brochures) used by or on behalf of the institution be retained 3 years after the termination of a veteran’s enrollment. In addition, records of tuition and fees charged to and collected from students, grade reports and statements of progress (academic records), and previous education and training documents (transfer credit evaluations) must be retained for 3 years.
4. Educational institutions which participate in federal, state, and private programs of low-courses studied for 5 years after graduation or withdrawal. In the event of an open audit, records must be retained until all questions are resolved.
5. Although student records created and maintained by medical and dental schools are usually narrative assessments of academic progress or clinical practice, for purposes of this retention schedule, such records are in the same category as the academic record.
6. The Immigration and Naturalization Service (INS) states that the school must keep a record used to comply with the reporting requirements for at least one year. Since many items included in foreign students’ records are to be retained at least five years, it is recommended that INS documentation also be retained five years.

1. Which it pertains: students’ waivers of rights to access to letters of recommendation, for example, should be retained until terminated or the letters themselves are destroyed. If the retention period for a record to which a Family Educational Rights and Privacy Act (FERPA) document pertains is permanent, the FERPA document should also be permanently retained and microfilmed for added security