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

Daily Logs [OAR 166-475-0010(17)]
This series documents the day-to-day activities of the office. This series may include but is not limited to: staff member's daily schedules; daily work logs; appointment information; and desk calendars.

Record Copy: Units
Retention: 1 year

NOTE: Records which document crises or special events should be transferred to the University Archives for additional appraisal.

Data Input Forms [OAR 166-475-0010(18)]
This series contains several types of paper forms that are used to create the same record in electronic form. This series may include: service requests, such as work orders and mailing orders; surveys; instructor evaluations; tests; and other forms. This series does not include accounting system input documents and listings.

Record Copy: Units
Retention: Until input and verified

Development and Endowment Management Fee Records [OAR 166-475-0040(8)]
This series documents the revenue earned quarterly on gift accounts and fees charged by the institution's development office. Information includes: dates; gift account amounts and identification numbers; earnings; department or account responsible for payment; and fee amount.

Record Copy: Research Accounting
Retention: 6 years

Other copies: Units
Retention: 2 years

Employees Training Records [OAR 166-475-0095(21)]
This series documents employee participation in training courses or programs for development purposes. Records may include but are not limited to: staff fee requests to take classes; course agendas, descriptions, and syllabi; course outlines and materials; enrollment and attendance records; training requests and authorizations; certificates of completion; and related documentation and correspondence.

Record Copy: Human Resources, 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.

Equipment Inventory Records [OAR 166-475-0030(2)]
This series documents the acquisition, location, transfer, and disposition of state-owned property and equipment. This series may include but is not limited to: Equipment Inventory Lists; OUS Physical Inventory Information cards (CO-300 Form); OUS Equipment Inventory Forms (CO-350 Form); lost/stolen property reports; Damage Or Loss Of State Property Claim; equipment transfer forms and memos; and related documentation and correspondence. The series may also include biennial equipment list; returned departmental equipment inventory lists with annotations concerning resolution of problems associated with the accountability, physical condition, and physical location of specified pieces of equipment; and accountability and responsibility statements.

Record Copy: Property Management
Retention: 4 years for biennial inventory records; 4 years after disposal of equipment from unit for all other records

Other Copies: Units
Retention: 2 years for biennial inventory records; 2 years after disposal of equipment from unit for all other records

Equipment Maintenance Records [OAR 166-475-0030(4)]
Series documents the operation, maintenance, service and repair of institutional equipment. Records may include: purchase orders; lease agreements; warranties; instructions and operating manuals; vendor statements; service contracts; charge call bills; fax activity reports; service logs; invoices for equipment repair; purchase request forms; and memoranda.

Record Copy: Units
Retention: 1 year after disposition of equipment

Examinations, Tests, Term Papers, and Homework Records [OAR 166-475-0110(9)]
This series documents student subject mastery in institution courses. Records may include but are not limited to: examinations and answers; quizzes and answers; homework assignments; course papers; term papers; and essay assignments. This series does not include graduate student qualifying or comprehensive examinations.

Record Copy: Units
Retention: 1 term after completion for uncontested grade results; until resolved for contested grade results

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.

Facsimile (Fax) Records [OAR 166-475-0075(11)]
This series documents the sending and receiving of fax messages for institution business purposes. This series may include but is not limited to: logs of messages sent and received and fax cover sheets.

Record Copy: Telecommunications, Units
Retention: 1 month for fax cover sheets; 1 year for all other records

Fund-Raising Records [OAR 166-475-0100(8)]
This series documents institutional efforts to raise funds to support program functions and facilities. This series may include but is not limited to: requests for fund-raising; individual benefactors and prospective donors files; public relations records; event planning and arrangement records; gift history reports; background on previous donations; pledges; and related documentation and correspondence.

Record Copy: Development Office, Units
Retention: 6 years

Other copies: Units
Retention: Until superseded

Grade Rosters [OAR 166-475-0110(14)]
The series reflects grades awarded by instructors and serves as the basis for students' official academic records. Records include: student names and social security numbers; course titles and numbers; sections; grades awarded; and instructors' signatures.

Record Copy: Registrar
Retention: 10 years for records created after implementation of the Student Information System; 25 years for records created before implementation of the Student Information System

Other copies: Units
Retention: 1 year

Graduate Assistantship Applications Records [OAR 166-475-0095(27)]
This series documents applications of graduate students for Graduate Teaching Assistantships and Graduate Research Assistantships in academic programs. Records include: applications developed by individual units; resumes and vitae; and related documentation and correspondence.

Record Copy: Units
Retention: 5 years after application or termination of employment, whichever is longer for successful applicants; 3 years for denied applicants

Graduate Students Degree Completed Records [OAR 166-475-0110(15)]
This series documents students' admission into graduate programs at the institution and their subsequent academic progress resulting in completion of degrees. (The official institutional academic record for all graduate students is maintained by the Registrar's Office). Records may include but are not limited to: applications for admission to Graduate School; notices of admission; standardized placement and evaluation exams; transcripts; requests to audit courses; major department/degree change requests; assignment of an advisor; composition of dissertation/thesis committee and any changes thereof; proposed program sheets; transmittal sheets for records; statements of goals and objectives; certification of transferred courses; grade reports; course waiver requests; removal of incomplete grades forms; seven year time-limit appeal records; oral and written exam results - preliminary, qualifying and comprehensive; report of final oral examination and thesis credit for advanced degree; thesis title card approvals; petition for change in graduate program; petitions or letters requesting exemption from institution regulations or procedures; advising checklists; transcripts from other institutions; on-leave requests and approvals, official graduation audit; program advisors' reports showing progress towards academic degrees; advancement to candidacy forms; awards; and related documentation and correspondence.

Record Copy: Graduate School
Retention: 20 years after degree completed

Other copies: Colleges, Units
Retention: 7 years after degree completed

Graduate Students Degree Uncompleted Records [OAR 166-475-0110(16)]
This series documents students' admission into graduate programs at the institution and their subsequent academic progress toward but not resulting in the completion of degrees. (The official institution academic record for all graduate students is maintained by the Registrar's Office.) Records may include but are not limited to: applications for admission to graduate school; recommendations/evaluations for admission; notices of admission; standardized placement and evaluation exams; transcripts; graduate school departmental action forms; requests to audit courses; major department/degree change requests; assignment of an advisor; composition of dissertation/thesis committee and any changes thereof; proposed program sheets; transmittal sheets for records; statements of goals and objectives; abstract of thesis or dissertation; certifications of transferred courses; grade reports; course waiver requests; removal of incomplete grades forms; seven year time-limit appeal records; oral and written exam results - preliminary, qualifying and comprehensive; reports of final oral examination and thesis credit for advanced degree; thesis title card approvals; petitions for change in graduate program; petitions or letters requesting exemption from institution regulations or procedures; on-leave requests and approvals; advising checklists; transcripts from other institutions; program advisors' reports showing progress towards academic degree; advancement to candidacy forms; comprehensive exam results; awards; and related documentation and correspondence.

Record Copy: Graduate School
Retention: 25 years after last enrollment for doctoral students; 10 years after last enrollment for masters students

Other copies: Colleges, Units
Retention: 7 years after last enrollment for all records

Graduate Students Denied Admission/No Show Records [OAR 166-475-0110(17)]
This series documents the application and evaluation process for students applying to enter an instructional unit's academic graduate program who are denied admission or who were admitted but failed to enroll or withdraw. Records may include but are limited to: applications for admission to graduate school forms; records of GRE and other test scores; departmental action forms; standardized examination reports; foreign student financial documentation; departmental or college supplemental application forms; departmental or college student application status reports; letters of recommendation; resumes; transcripts; and related documentation and correspondence.

Record Copy: Graduate School
Retention: 3 years after denial of admission; 1 year after notification of admission if applicant fails to enroll; 1 year for test scores of students that do not apply

Other copies: Colleges, Units
Retention: 1 year

Graduate Student Tuition Remission Records [OAR 166-475-0055(10)]
This series documents the remission of tuition for courses taken by eligible graduate students, such as research and/or teaching assistants. This series may include but is not limited to: authorizations; reconciled lists; account summaries; and related documentation.

Record Copy: Payroll
Retention: 8 years

Other copies: Units
Retention: 1 year

Grant Projects Research Records [OAR 166-475-0060(4)]
This series documents the research activity associated with grant-funded projects. This series may include but is not limited to: research data; working papers; research/activity reports; summary reports; and related documentation and correspondence.

Record Copy: Principal investigators
Retention: Permanent for final research report; 5 years after final financial report is submitted and account is closed, unless otherwise specified as longer by terms of contract for all other records.
Transfer a copy of the final research report to the University Archives when it is submitted to the granting agency.

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.

NOTE: Vice Provost for Research must have access to research records at OSU and research records which accompany principal investigators who permanently leave the University.

Grant Proposal Funded Records [OAR 166-475-0060(5)]
This series documents grant proposals developed and prepared by the institutional units that were funded. This series may include but is not limited to: supporting statistics; demographic data; draft proposals; suggested revisions; final proposals; and related documentation and correspondence.

Record Copy: Research Accounting
Retention: Permanent
Transfer the record copy to the University Archives 5 years after the final financial report is submitted and the account is closed, unless specified otherwise by terms of the contract.

Other copies: Principal investigators, Units
Retention: 3 years after final financial report is submitted and the account is closed, unless specified otherwise by the terms of the contract

Grant Proposal Unfunded Records [OAR 166-475-0060(6)]
This series documents grant proposals developed by institutional units which have not been funded. This series may include but is not limited to: supporting statistics; demographic data; draft proposals; suggested revisions; final proposals; and related documentation and correspondence.

Record Copy: Contract Administration
Retention: 18 months after submission

Other copies: Principal investigators, Units
Retention: 18 months after submission

Grants and Contracts Accounting Records [OAR 166-475-0060(7)]
This series provides a record of the establishment and administration of individually sponsored grant and contract restricted funds accounts, documents compliance with fiscal reporting requirements, and includes billing information for accounts receivable from sponsoring agencies and from departments for gift account fees. Grants may be federal, state, corporate, or private. This series may include but is not limited to: project summaries; grant authorizations; contract documents; project budget change and adjustment forms; invoices; receipts; cashier's receipts; equipment purchase orders; prior approval request forms; account request forms; vendor telephone contact logs; subcontracts; grants and contracts monthly budget summary statements; institution billings balance sheets; SF272 reports for grants and contracts that are operating on direct payments; final financial reports; property reports; patent/invention reports; contractor's release report; assignment of refunds and rebates documents; equipment disposition reports; and related documentation and correspondence.

Record Copy: Research Accounting
Retention: 5 years after annual or final financial report is submitted unless otherwise specified as longer by the terms of the contract

Other copies: Principal investigators, Units
Retention: 3 years after annual or final financial report is submitted unless otherwise specified as longer by the terms of the contract

Independent Study Records [OAR 166-475-0110(19)]
This series documents departmental approval for students to enroll in independent study courses. Records may include but are not limited to: permission sheets with students' names; course names; number of credits; and faculty signatures.

Record Copy: Colleges, Units
Retention: 5 years

Institutional Cooperation and Relations Records [OAR 166-475-0010(26)]
This series documents the coordination and interaction between units for the cooperative administration of programs within the institution. This series is used for monitoring, planning, and coordinating research, instructional, or administrative programs of common concern to two or more institutional units. This series may include but is not limited to: copies of budget reports; activity reports; proposals; planning documents; agreements and memoranda of understanding; publicity and newspaper clippings; policy statements; working papers; and related documentation and correspondence.

Record Copy: Colleges & units
Retention: Permanent for proposals, planning documents, activity reports, policy statements, publicity; 6 years after expiration for all other records
Transfer the record copy to the University Archives after 5 years for additional appraisal and retention of historical records.

Institutional Planning Records [OAR 166-475-0010(27)]
This series documents the college or unit's role in the development of short-term or long-term plans for the institution. This series may include but is not limited to: instructions from the president; provosts; and/or vice provosts explaining the nature and purpose of the requested strategic planning effort; internal planning committee materials; statements of objectives and goals as developed by college or unit chairs and administrators; proposals; strategic planning reports; surveys; activity reports; informational materials; working papers; and related documentation and correspondence.

Record Copy: Institutional executive offices
Retention: Permanent for final planning reports, proposals, goal and objective statements, and instructions and explanations of process; 20 years for internal planning committee materials, surveys, activity reports, working papers, informational materials, and correspondence
Transfer the record copy of permanent materials to the University Archives after 10 years.

Other copies: Colleges & units
Retention: 10 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.

Instructors' Grade Records [OAR 166-475-0110(20)]
This series documents test scores, class work scores, and final grades for students which may be used as back-up to the official academic records held by the Registrar. Records may include but are not limited to: instructors' grade books; grade confirmation reports; grade confirmation and change records; and final grade rosters.

Record Copy: Colleges, Units
Retention: 2 years

Internship Program Records [OAR 166-475-0110(22)]
This series is used to provide a record of the administration of student internship, practicum and cooperative education programs. Programs may be within the institution or off campus and for class credit and/or pay. Records may include but are not limited to: applications for internships inside and external to the institution; agreements with departments; postings/notices; student resumes; transcripts; copies of contracts; proposed institution listings; notes; and related documentation and correspondence.

Record Copy: Colleges, Units
Retention: 5 years

Other copies: Career Services
Retention: 1 year

Key Issuance Records [OAR 166-475-0075(13)]
This series documents key assignments and deposits (if applicable) for institutional faculty, staff, students, and others using the institution's facilities. The series may include but is not limited to: key pinning sequence records; key issue approval forms; return forms; key inventories; hall directors' sign out forms; deposit books; bank statements; refund forms; key logs; and related documentation and correspondence.

Record Copy: Facilities Services, Housing & Dining Services, Administering units
Retention: 1 year after key is checked in

Other copies: Units
Retention: Until key is turned in

Laboratory Notebooks [OAR 166-475-0060(11)]
This series documents the routine research activities of non-grant funded research projects. This series may include but is not limited to: notebooks; binders; or any other type of journal format.

Record Copy: Units
Retention: 6 years after completion of project

NOTES: Vice Provost for Research must have access to research records at OSU and research records which accompany principal investigators who permanently leave the University. This series does not include research data from classroom instructional programs.

Lectures and Lecture Series Records [OAR 166-475-0010(29)]
This series documents the development and history of special lectures and continuing lectureships devoted to a variety of topics and disciplines sponsored by the institution. This series may include but is not limited to: lecture committee notes; memoranda and planning materials; information on funding; financial support and honoraria records; patron information; programs and announcements; information on catering arrangements; news releases; recordings and transcripts; photographs; and related documentation and correspondence.

Record Copy: Sponsoring unit
Retention: Permanent for lecture committee notes, memoranda and planning materials, programs and announcements, news releases, and transcripts, and photographs; 10 years for all other records
Transfer the record copy of all permanent records to the University Archives after 10 years.

Other copies: Units
Retention: 2 years

Miscellaneous Accounting Reports [OAR 166-475-0040(10)]
This series documents the production of various accounting reports made by individual offices or departments on a daily, monthly, quarterly, or annual basis. These reports provide summary information relating to the department and its programs, and may be used for planning or review. Reports include operating statements, year-end projections, reconciliations, expenditures by facilities, accumulated hours and dollars by employee, summaries of assets and liabilities, sales, cost accounting, and income. This series does not include the year-end Closing of the Books Reports. Records may include but are not limited to: working papers; drafts; final reports; and related documentation and correspondence.

Record Copy: Creating units
Retention: 5 years for annual reports; 1 year for daily, monthly and quarterly reports and working papers

Other copies: Receiving units
Retention: 1 year

New Degree Program and Course Proposal Records [OAR 166-475-0025(9)]
This series documents the development of new departmental and interdepartmental degree programs, courses and related curricula that are currently under consideration for adoption. The series may also document requests to drop courses from the curriculum and/or to change the names of courses, the number of credits, or the prerequisite courses. This series may include but is not limited to: curriculum committee meeting minutes; curriculum proposals; and related documentation and correspondence.

Record Copy: Academic Affairs
Retention: Permanent for committee meeting minutes and curriculum proposals; 5 years for all other records
Transfer the record copy of committee meeting minutes and curriculum proposals to the University Archives after 5 years.

Other copies: Colleges, Units
Retention: 10 years

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Last updated: Monday, 11-Aug-2008 13:08:23 PDT