OSU Archives & Records Management Handbook - Chapter 5 University Records Retention and Disposition Schedule -- Common Series

Archives & Records Management Handbook

Chapter 5 University Records Retention and Disposition Schedule -- Common Series

Common Record Series

Academic and Unclassified Employees Personnel Records (Supervisor's Copy) [OAR 166-475-0095(2)]
This series documents the academic employee's work history maintained in the office of the dean, director, department head, or vice provost. It includes evaluative materials and non-evaluative information such as job title, rank, full-time equivalency (FTE) or appointment percentage, dates of employment, salary, employing department, education and employment background. Some of the documents comprising this series include confidential information such as social security number, birth date, and marital status. These records may be for full-time, part-time, and/or courtesy academic employees. Records may include but are not limited to: Activity Reports; copies of Affirmative Action Compliance Data Forms; Applications for Admission to Graduate School; applications, contracts, and other records for sabbatical leave; emeritus faculty status letters; Employee Emergency Medical Information Forms; Applications for Academic Employment; Athletic Contracts/Overseas Agreements; Awards; Conditions of Employment Forms; Notices of Appointment; Overload Compensation Requests; Patent Rights Waivers; Pay/Budget Action Forms; Periodic Reviews of Faculty letters and records; forms documenting personnel actions, including Salary Adjustments and Summer Session Appointments; professional development records; Proposals for Academic Appointment; recommendations; reports of conferences attended; Staff Reports of Service to the Institution; Periodic Reviews of Administrators Summaries; reprimands; Requests for Approval for Outside Employment; resumes or curriculum vitae; Retirement Agreements; Sick Leave Accrual Forms; Teaching Evaluations; Student Evaluations of Faculty Summary Reports; Technology Transfer Agreements; Tenure Relinquishment Agreements; Employment Eligibility Verifications (Form I-9); Vacation Leave Report Forms; home address/telephone disclosures; and other relevant documents and correspondence, including commendations, letters from the chair or the dean concerning the nature of the faculty member's appointment and the expectations of the faculty member, letters granting fellowship, letter of position offer, letter of resignation, memoranda of agreement, Notices of Disciplinary Action, Notices of Layoff, and unsolicited letters praising teaching or participation in a conference.

Record Copy: Institutional executive offices, Colleges, Units
Retention: 5 years after employee separation

NOTE: Some duplicate fiscal records may be found in the OSU Foundation Office and Business Affairs. CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the OSU Archives and Records Management Handbook for more information.

Academic Program Administrative Records [OAR 166-475-0025(1)]
This series documents the daily and routine administration of academic programs of the department or college. This series may include but is not limited to: registration reports; add-drop analyses and reports; course enrollment summaries by class; graduation summaries; majors by class level; international activities; cooperative ventures; summer term classes and enrollment reports; placement information; convenience copies of reports prepared by admissions, registrar's, budgets and planning, and other offices; memos; working papers; and related documentation and correspondence.

Record Copy: Colleges, Units
Retention: 2 years

Accounts Payable Records [OAR 166-475-0050(2)]
This series documents a department's expenditures and purchases. The series may also be used to research, evaluate, and monitor prior transactions and/or track the budget. Records may include but are not limited to: departmental purchase orders; contract release orders; balance sheets; bills; invoices; invoice vouchers; journal voucher/entry forms; price quotes; State of Oregon "B" Purchase Orders; departmental requisitions; justifications of purchases; payment authorizations; reports of receipt of goods or services; and related documentation and correspondence.

Record Copy: Business Affairs
Retention: 6 years

Other copies: Units
Retention: 2 years

Accounts Receivable Records [OAR 166-475-0050(3)]
This series is used by departments and offices to provide a record of billings and collections for the office and units/programs which report to the office. It is also used to provide a record of customers owing monies and to reconcile the account. Records may include but are not limited to: Account Edit sheets; classified advertisement forms; VISA/Mastercard payment forms; invoices; journal vouchers; receipts; and related documentation and correspondence.

Record Copy: Business Affairs
Retention: 6 years after collected or deemed uncollectable

Other copies: Units
Retention: 2 years

Administrative Reports [OAR 166-475-0010(1)]
This series documents the annual activity of the institution and its subdivisions. This disposition includes reports prepared for OUS by the president of the institution. Final annual reports may be printed and bound or they may be less formal unpublished documents prepared for limited distribution. Report sections may include but are not limited to: administrative activities; goals and objectives achieved; fiscal status; project work performed; personnel activity and accomplishments; facility changes; and related sections. This series may include but is not limited to periodic statistical reports; summarized statistical reports; copies of reports from other units; other working papers; final annual reports; and related documentation and correspondence.

Record Copy: Creating units
Retention: Permanent for final annual reports and periodic and summary statistical reports not reflected in the final annual report; until superseded or obsolete for all other records
Annually transfer one copy of the annual report and copies of periodic and summary statistical reports not reflected in the final annual report to the custody of the University Archives.

Other copies: Receiving Units
Retention: Until superseded or obsolete

Affirmative Action and Equal Opportunity Records [OAR 166-475-0095(3)]
Series documents agency, institution, college, department, or unit compliance with regulations of the U.S. Equal Employment Opportunity Commission including affirmative action. Records may include but are not limited to mission, goal, and policy statements, plans showing how compliance will be accomplished and updates, EEO-6 and Vets 100 Employment Reports, statistical, status, and audit reports, executive department printouts, Ways and Means reports, AA compliance data sheets, case histories, and related documentation and correspondence.

Record Copy: Affirmative Action
Retention: Permanent for narrative reports, policy, mission and goal statements, Equal Opportunity and Affirmative Action plans, and audit reports; 20 years for EEO-6/Vets 100/Ways and Means reports and Executive Department printouts; 10 years for statistical and status reports, case histories, correspondence, and related documentation; 3 years for all other records.
Transfer the record copy of all permanent records to the University Archives after 10 years.

Other copies: Units
Retention: 3 years

CONFIDENTIAL DESTRUCTION: Records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the OSU Archives and Records Management Handbook for more information.

Agency Relations Records [OAR 166-475-0010(4)]
This series documents the institutional interactions with local, state, national, and international government agencies, educational institutions, businesses and groups to gain their assistance with the development and coordination of institution research and instructional programs. This series may include but is not limited to: reports; copies of publications; minutes; background information; and related documentation and correspondence.

Record Copy: Colleges & units
Retention: 6 years

Annual Fiscal Reports [OAR 166-475-0010(6)]
This series documents annual fiscal year-end status of accounts and is used to provide the office with summary information relating to its programs which may be used for planning or review. Records include: Period 14 reconciliation reports; annual operating statements; schedules of rates; and related correspondence.

Record Copy: Business Affairs
Retention: 10 years

Other copies: Colleges, Units
Retention: 3 years

Association and Organization Advisory Records [OAR 166-475-0010(5)]
This series documents the relationship and participation of institution units in professional and educational associations and other organizations. The unit's role may be one of membership on the advisory or administrative board, participation in a task force or subcommittee, or one of membership in consortia. This series may include but is not limited to: promotional information; rules and regulations; reports; proposals and planning records; workshop and conference records; surveys and questionnaires; minutes; and related documentation and correspondence. This series does not include individual faculty or staff membership information.

Record Copy: Colleges & units
Retention: 3 years

NOTE: Office records of adjunct organizations may be transferred to the University Archives after 3 years for inclusion in the Manuscripts Collection.

Awards Records [OAR 166-475-0010(8)]
This series documents the process of selecting institutional faculty, staff, students and alumni to receive awards, fellowships, and scholarships based on merit or achievement. The series may include but is not limited to: applications; nomination letters; eligibility terms and selection criteria; recommendations; transcripts; letters of award notification or denial; letters accepting or declining awards; summary lists of winners; biographies; demonstration of need documentation; press releases; award history and information on funding sources; and related documentation and correspondence.

Record Copy: Administering units
Retention: Permanent for eligibility terms and selection criteria, award history and information on funding sources, award notifications, summary lists of winners, biographies of winners, and press releases; 1 year for all other records
Transfer the record copy of all permanent records to the University Archives after 3 years.

Other copies: Receiving units
Retention: 1 year

Biographical Records [OAR 166-475-0100(5)]
This series contains biographical data for institutional faculty and staff. The records are used for public information releases and reference by the institutional staff to provide responses to inquiries. This series may include but is not limited to: biographical sketches developed by the office of employment, the individuals concerned, or other sources; vitae; photographs; personal history data sheets; newspaper clippings; retirement notices; funeral programs; and obituaries.

Record Copy: Creating units
Retention: Permanent
Transfer records to the University Archives when no longer needed.

CONFIDENTIAL DESTRUCTION: Non-permanent records in this series containing confidential information should be destroyed by pulping, shredding, or incineration. See the OSU Archives and Records Management Handbook for more information.

Book Order Records [OAR 166-475-0025(2)]
This series provides a record of books ordered for courses taught in the department. This series may include but is not limited to: the institution textbook request forms which includes authors, titles, publications, course numbers, and expected enrollment; other forms; and related documentation and correspondence.

Record Copy: Units
Retention: 1 year

Budget Maintenance Records [OAR 166-475-0015(3)]
This series documents the changes made in the initial unit budget as distributed by the institution's budget office at the beginning of the new fiscal year. This series may include but is not limited to: Budget Change Request Forms; budget change suspense records; budget change registers; authorization for budget change forms; copies of revised unit initial budgets; fund transfer notices; spread sheets; expenditure and obligation reports; allotment reports; and related documentation and correspondence.

Record Copy: Units
Retention: 4 years

Budget Planning, Projection, and Preparation Records [OAR 166-475-0015(4)]
This series is used to develop the initial institutional budget, plan budget requests for and document annual budget allocations to individual units, and record changes in operating budgets of the various financial accounts. Records may include but are not limited to: budget requests; budget status reports; budget change requests, registers and logs; budget detail reports; working papers including spread sheets, expenditure projections, salary and budget worksheets; allotment, capital outlay and equipment need reports; unit budget preparation instructions; and related documentation and correspondence.

Record Copy: Budgets & Planning
Retention: 10 years

Other copies: Units
Retention: 4 years

Cash Records [OAR 166-475-0045(4)]
This series provides a record of cash received or disbursed by an office. It also documents all money received and deposited to departmental accounts through the cashier's daily bank deposits. Records may include but are not limited to: departmental deposit vouchers; cash receipt slips; validation receipts; cash register tapes; bank deposit slips; check stubs; petty cash balance sheets; check registers; Cash by Account Number reports; and monthly cash register reports.

Record Copy: Business offices
Retention: 5 years

Other copies: Units
Retention: 2 years

Charge Airfare Records [OAR 166-475-0050(7)]
This series documents airfares purchased as part of institutional business. Records include forms used to authorize the issuance of airline tickets and the charging of fares to a university account.

Record Copy: Units
Retention: 6 years

Class Lists [OAR 166-475-0110(4)]
This series provides instructional units with an official record of students enrolled in courses taught. The series is used to cross-check students who have enrolled against those who have registered as well as in the generation of statistical reports. Information in the series includes: student names; social security numbers; term; and enrollment/registration status.

Record Copy: Registrar
Retention: 1 term

Other copies: Colleges, Units
Retention: 1 term

Classified Employees Personnel Records [OAR 166-475-0095(11)]
This series documents the classified employee's work history at the institution and includes routine evaluative materials and non-evaluative information such as job title, full-time equivalency (FTE) or appointment percentage, dates of employment, salary, employing department, education and employment background. Some documents in this series contain confidential information such as social security number, birth date, and marital status. Records may include but are not limited to: employment applications which may include skill code sheets; resumes; selected memos such as agreement or request for position change, merit increase requests and notices, request for re-employment (letter of hire), resignation letters from employees, and termination letters from employer; commendations; recommendations; reprimands; work plans; forms documenting personnel actions; personnel performance evaluations; pay/budget action forms; leave records; time and attendance records; designation of beneficiary forms; union dues information; resumes; layoff notices; awards; licenses and certificates; college credit information; employee Social Security number disclosure forms; home address/telephone disclosure authorizations and related correspondence.

Record Copy: Human Resources
Retention: 75 years for employment applications, agreements or requests for position change, merit increase requests and notices, request for re-employment, resignation letters, employer termination letters, personnel action forms, layoff notices, designation of beneficiary forms, personnel evaluations, and resumes; 3 years for letters of reprimand; 3 years after employee
separation for all other records

Other copies: Units
Retention: 1 year for records of employees promoted, transferred or demoted within the institution; upon termination for all other records

Closing of the Books Records [OAR 166-475-0040(6)]
Series documents the resolution and reconciliation of accounts monitored by the institution, the OUS Budget and Fiscal Policies Office, or Controller's Office at the end of the fiscal year. Records include reconciliation statements provided by each institution to OUS Budgets and Fiscal Policies or the OUS Controller's Office concerning discrepant accounts for which they are responsible and related documentation and correspondence.

Record Copy: Business Affairs
Retention: 6 years

Other copies: Units
Retention: 2 years

Committee Records [OAR 166-475-0010(9)]
This series documents the activities of standing and ad hoc committees and councils made up of members from a variety of units. The committees are charged with formulating and recommending institutional policies and procedures, establishing standards and requirements, performing an advisory function, or reviewing petitions, appeals, and deviations from policy. Types of committees include administrative committees (those appointed by an administrator) and faculty senate committees (those created by the faculty senate's executive committee). They may function as steering committees, activities committees, standards committees, planning committees, academic committees, awards committees, councils, etc. Committees may be chaired by the director of a specific unit or rotate to different chairs on a regular basis. This series may include but is not limited to: agendas; meeting minutes; reports; notes; working papers; and related documentation and correspondence.

Record Copy: Institutional executive offices; Faculty Senate, Colleges & units
Retention: Record Copy - Permanent for agendas, minutes, reports, and correspondence; 10 years for all other records of Faculty Senate Committees; 2 years for all other records of other committees
Transfer the record copy of permanent records to the University Archives after 10 years.

Other copies: Committee members
Retention: 2 years

NOTE: The record copy holder may vary according to the committee and could be a department or other functional unit. It is recommended that committee members check with the appointing unit, such as the Faculty Senate Office, or the University Archives prior to disposing of other copies of committee records.

Computer System Maintenance Records [OAR 166-475-0070(1)]
This series documents the maintenance of the institution's computer systems and is used to insure compliance with any warranties or service contracts, schedule regular maintenance and diagnose system or component problems, and document system backups. Records may include: computer equipment inventories; hardware performance reports; component maintenance records (invoices, warranties, maintenance logs, correspondence, maintenance reports, and related records); system backup reports; and backup tape inventories.

Record Copy: Information Services, Units
Retention: For life of system or component for records related to system or component repair or service; until superseded or obsolete for records related to regular or vital records backups

Computer System Program Documentation Records [OAR 166-475-0070(2)]
This series documents the addition, modification, or removal of software from an agency computer system. Records usually fall into six categories: (a) records that document operating systems; (b) records that document the in-house creation and modification of application programs; (c) records that document the structure and form of datasets; (d) records that document the use of commercial software packages; (e) records that document the structure of the system; and (f) records that document system-to-system communication. Records may include: system overviews; operations logs; job listings; operator instruction manuals; system development logs; system specifications and changes (including narrative and flow chart descriptions); conversion notes; dataset logs; dataset inventories; dataset record layouts; hard copies of tables; data dictionaries; data directories; programming logs; program specifications and changes; record layouts; user views; control program table documentation; program listings; and commercial software manuals.

Record Copy: Information Services, Units
Retention: For the life of the system

Contracts and Agreements Records [OAR 166-475-0020(2)]
Series documents the negotiation, execution, completion, and termination of legal agreements between an agency and other parties. Series does not include contracts or agreements made for personal services or leases. Records include a copy of the official contract or agreement, amendments, exhibits, and addenda.

Record Copy: Contract Administration
Retention: Contracts or agreements documenting building construction, alterations, or repair, 10 years after substantial completion as defined by ORS 12.135(3); other contracts and agreements, 6 years after expiration.

Other copies: Units
Retention: 2 years after expiration for all records

Note: Agencies who enter into contracts with the federal government must ensure that their contracts and agreements meet federal requirements specified in the Code of Federal Regulations.

Correspondence, Administrative [OAR 166-475-0010(11)]
Series documents communications received or sent which contain significant information about an institution's programs. Records include letters sent and received, memoranda, notes, enclosures, and attachments.

Record Copy: Units
Retention: 5 years

Correspondence, Executive [OAR 166-475-0010(12)]
This series documents significant events and the development of administrative structure, policies, and procedures of the office. It may also record the historical development of the office. Records may include: letters sent and received; notes; directives; acknowledgments; and memoranda. Correspondence may be intra-office, within OUS, and with non-OUS agencies, organizations, and individuals.

Record Copy: Creating unit
Retention: Permanent
Transfer the record copy to the University Archives after 5 years.

Other copies: Receiving units
Retention: 2 years

Correspondence, Ephemeral [OAR 166-475-0010(13)]
Series documents communications received or sent which do not contain significant information about an institution's programs (Correspondence, Administrative), fiscal status (Correspondence, Fiscal), or routine agency operations (Correspondence, General). Records include, but are not limited to, advertising circulars, drafts and worksheets, desk notes, memoranda, and other records of a preliminary or informational nature.

Record Copy: Units
Retention: Until read

Correspondence, General [OAR 166-475-0010(14)]
Series documents communications received or sent which do not contain significant information about an institution's programs. Records include: letters sent and received; memoranda; notes; transmittals; acknowledgments; community affair notices; charity fund drive records; routine requests for information or publications; enclosures and attachments.

Record Copy: Units
Retention: 1 year

Course Schedule Maintenance Forms [OAR 166-475-0025(7)]
This series documents requests for changes to be made to the institutional catalog and schedule of classes. The forms include: course numbers; course titles; locations; grading modes; course descriptions; designators; fees; and credit hours.

Record Copy: Academic Affairs
Retention: 2 years

Other copies: Units
Retention: 1 year

Credit Card Administration Records [OAR 166-475-0050(10]
Series documents administration of credit cards issued to institutional staff and units. Records may include: applications; master monthly billing statements; individual card holders' statements; billing summaries; printouts including vendor analysis by code; number of charges and stores; use summaries; related correspondence.

Record Copy: Units
Retention: 6 years after card expiration for applications; 6 years for all other records

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