| Archives & Records Management Handbook |
Chapter 5 University Records Retention and Disposition Schedule -- Common 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
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. |
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
| 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. |
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
| 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. |
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
| 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. |
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
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
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. |
Record Copy: Units
Retention: 5 years
Record Copy: Creating unit
Retention: Permanent
Transfer the record copy to the University Archives after 5
years.
Other copies: Receiving units
Retention: 2 years
Record Copy: Units
Retention: Until read
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
| 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. |
