| Archives
& Records Management Handbook |
Chapter 5 University Records Retention and
Disposition Schedule -- Common Series
Common Record Series
Operating and General Ledger
Reconciliation Records [OAR 166-475-0040(11)]
This series documents monthly reconciliations with the operating
ledger or general ledger. Records consist of working papers and
monthly reconciliation reports.
Record Copy: Unit responsible for FOAPAL
Retention: 6 years
Personal/Professional Services Contracts Records [OAR
166-475-0020(9)]
This series provides a record of Personal/Professional Services
Contracts between the institution and independent contractors
for professional, specialized, educational, research, creative,
or custodial services. The contracts may be for any length of
time, for a one-time performance of services, or for services
provided on a continuing basis. Contracts are not personal services
contracts if they are primarily for a tangible product, even if
professional services are needed to design or install the product;
if the services are for trade-related activities; or if the services
are of the type that can be performed by any competent worker
in the field. This series may include but is not limited to: Personal/Professional
Services Contracts (OSBHE form CO-190) with terms and provisions; addenda
and exhibits; selection and justification
statements; input forms (Executive Department form number 1405m);
authorized signature sheets; contractor selection statements;
certificates of compliance with tax laws; statements as to availability
of local service; statements as to whether minority services available;
contract change orders; bids and agreements; performance bonds;
instructions to bidders; advertisements for bids; working papers;
expense claim records; and related documentation and correspondence.
Record Copy: Contract Administration
Retention: 6 years after expiration of contract
Other copies: Units
Retention: 2 years after expiration of contract
Photographs [OAR 166-475-0100(12)]
This series provides photographic documentation of institution
activities, events, students, faculty, and staff with significant
relevance to either the institution's or individual unit's function
and mission. It may be used for student recruitment and orientation,
fund-raising, publicity, publications, research, or teaching.
This series includes fully identified photographs in
print, negative, and slide formats.
Record Copy: Creating Units
Retention: Permanent
Transfer records to the University Archives after 5
years.
Policies
and Procedures Records[OAR 166-475-0010(35)]
This series provides a record of internal development and documents
guidelines for consistency and continuity in the operation of
the unit. This series may include but is not limited to: mission
and policy statements; planning documents outlining responsibilities
and goals; organizational charts; publications preparation guidelines;
emergency procedures; job descriptions; guides for office procedures
which often include completed samples of all forms; handbooks;
desk manuals; and related documentation and correspondence.
Record Copy: Creating unit
Retention: a) Retain 1 copy of policy and/or procedure permanently
(b) Retain all other records 1 year after policy and/or procedure adopted
Transfer a copy to the University Archives upon creation for
permanent retention.
Other copies: Units
Retention: Until superceded
Position Descriptions [OAR 166-475-0095(36)]
This series documents job descriptions for classified and faculty
positions and is used for employee recruiting, Fair Labor Standards
Act eligibility analysis, position review, and reclassification
purposes. Information fields in the position descriptions may
include position names, position numbers, qualifications, functions
and responsibilities, duties, hierarchical data, job classification
numbers, description of duties, and pay rates. Records may include
but are not limited to: Position Description forms; Reclassification
Position Descriptions and documentation; Classification Listings;
Positions Listings; and related documentation and correspondence.
Record Copy: Human Resources
Retention: Present and two previous descriptions for each
position or descriptions covering a period of 5 years, whichever
is greater; 5 years for position reclassification records
Other copies: Units
Retention: Until obsolete or superseded
Postal and Shipping Records
[OAR 166-475-0075(18)]
This series provides a record of items that are mailed by the
department via UPS, U.S. Postal Service, Federal Express, or another
carrier. Records may be used for billing and/or tracing. These
records include: printing and mailing shipping forms; parcel mailing
order forms; postage forms; and related correspondence.
Record Copy: Printing & Mailing Services
Retention: 3 years
Other copies: Units
Retention: 1 year
Professional Membership Records [OAR 166-475-0010(37)]
This series documents institutional-paid individual memberships
and activities in professional organizations. These records may
include but are not limited to: applications for membership; certification
of membership; documentation of activities; and related correspondence.
Record Copy: Units
Retention: 6 years
Program Development and Review Records [OAR
166-475-0025(11)]
This series provides a record of planning and discussions relating
to the implementation of new undergraduate and advanced degree
programs and any major reorganizations or changes to established
programs. This series may include but is not limited to: final
reports; working papers; letters of support; review agendas; faculty
status reports; reviews of individual degree programs by campus
and off-campus sources; and related documentation and correspondence.
Record Copy: Academic Affairs, Graduate School
Retention: Permanent for final reports, and reviews of
individual degree programs by on and off-campus sources; 10 years
for all other records
Transfer the record copy of final reports and reviews of individual
degree programs by on and off-campus sources to the University
Archives after 5 years.
Other copies: Colleges, Units
Retention: 2 accreditation/review cycles
Promotion, Tenure, and Salary
Increase Records [OAR 166-475-0095(38)]
This
series documents the periodic consideration of faculty who are
eligible for changes in rank, tenure status, and/or pay. Records
may include but are not limited to promotion and tenure dossiers
compiled and presented by the faculty member as per instructions
from Academic Affairs as well as other materials which are compiled
and maintained for inclusion, analysis,
and summarization into the dossier folders. The dossiers may include
but are not limited to: candidate dossier cover form or checklist;
prior service agreement; Confidential Waiver for letters of evaluation;
current position description; letters of evaluation; current curriculum
vitae or resume; activity summary and evaluations of teaching,
curriculum development and advising from students, participants/clients,
and peers; candidate acknowledgment of dossier review; student
evaluations of faculty summary reports; committee signature sheets;
committee findings; recommendations of administrative superiors;
and related documentation and correspondence. These files should
always be maintained physically separate from departmental and
college personnel files, but are considered to be a part of the
academic personnel record.
Record Copy: Colleges
Retention: 10 years
Other copies: Units
Retention: 6 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. |
Property
Disposition Requests Records [OAR 166-475-0030(12)]
This series documents custodial units' requests to change the
status of state-owned property. A status change may consist of
declaring an item surplus, salvage or scrap, lost or stolen, transferred,
traded in, etc. This series includes State Property Disposition
Requests (PDR forms) and related documentation and correspondence.
Record Copy: Property Management
Retention: 4 years
Other copies: Units
Retention: 2 years
Publications Records [OAR 166-475-0100(14)]
This series includes publications produced by individual institution
offices. It may be used to document the activities of the office,
for educational purposes and/or for informational purposes. Types
of publications may include but are not limited to: catalogs;
books; magazines; newsletters; handbooks; yearbooks; directories;
brochures; pamphlets; media guides; guidebooks; proceedings; programs;
and flyers. Series may include but is not limited to: working
papers; mock-ups; drafts; and final publications.
Record Copy: Creating units
Retention: Permanent for final publications; 1 year for
all other records
Transfer a copy of each publication to the University Archives
upon completion; this copy will serve as the record copy
for the university.
Other copies: Receiving units
Retention: 2 years
Recruiting Pool Records [OAR 166-475-0095(39)]
This series is used as a reference for prospective applicants
for faculty and staff positions drawn from either previous recruitments
or unsolicited applications. Records may include but are not limited
to: curriculum vitae or resumes; cover letters; Applications for
Employment; interview materials; position announcements; evaluations
of prospective employees; and related correspondence.
Record Copy: Colleges, 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. |
Registration
Fee Records [OAR 166-475-0050(13)]
This series documents the payment of registration fees, which
are considered travel expenses. Records may include but are not
limited to: completed registration forms; journal vouchers; invoices;
purchase orders; and wire transfer forms.
Record Copy: Business Affairs - Travel
Retention: 6 years
Other copies: Units
Retention: 2 years
Requisitions Records [OAR 166-475-0030(13)]
This series documents the purchase of supplies and
services by the institution. This series may include but is not
limited to: purchase requests; State Purchase Request Forms; field
purchase orders; inter-departmental requisitions for equipment,
supplies, and services; and related documentation and correspondence.
Record Copy: Business Services, Units
Retention: 4 years
Other copies: Units
Retention: 2 years
Safety Training Records [OAR 166-475-0105(23)]
This series documents employee training and certification such
as for equipment operation, hazardous material handling and emergency
procedures, driver training, CPR and first aid training, and asbestos
awareness training for removal, abatement, or transportation.
This series may include but is not limited to: sign off sheets
indicating that employees have received
training; instruction sheets; copies of hazardous material data
sheets; informational materials; and related documentation and
correspondence.
Record Copy: Units
Retention: 30 years after employee separation
Search Records [OAR
166-475-0095(43)]
This series documents the selection process for academic, classified
and student positions within the institution. Records may include
but are not limited to: applications; curriculum vitae or resumes;
academic transcripts; samples of writing or publications; approvals
of recruitment proposals; candidate lists; position announcements;
position advertisements; position descriptions; Certificate of
Eligibles; copies of Affirmative Action Compliance Data Forms;
Requests to Fill Academic Position Forms; interview materials
such as schedules, rating sheets, tallies, screening and interview
notes, review committee notes and memoranda; telephone conversation
notes; and related correspondence such as cover letters and reference
letters. NOTE:
Application materials of successful academic and classified candidates
become part of the employee's personnel file.
Record Copy: Units
Retention: 3 years after search completed for academic
and classified search records; 1 year for student search 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. |
Shipping
Lists and Packing Slips [OAR 166-475-0030(16)]
This series documents the receipt of equipment, supplies,
other items and services from vendors. The series includes: packing
slips; shipping and container lists; and bills of lading.
Record Copy: Units
Retention: 1 year
Software Management Records [OAR 166-475-0070(7)]
This series documents the use of software in agency information
systems. The series is used to insure that agency software packages
are compatible, that license and copyright provisions are in compliance,
and that upgrades are obtained in a timely manner. Records include:
software purchase records; software inventories; software licenses;
site licenses; and correspondence.
Record Copy: Information Services, Units
Retention: Until software is disposed of or upgraded
Special Activity Records
[OAR 166-475-0010(40)]
This series documents the activities of an office which are performed
in addition to its regular or main functions. Examples may include
the completion of surveys and questionnaires, compilation of special
studies for professional or academic associations, and special
mailings. This series may include but is not limited to: arrangements
documentation; working papers; questionnaires; survey forms; study
designs; reports; and related documentation and correspondence.
Record Copy: Creating units
Retention: Permanent for final reports and study designs;
3 years for all other records
Transfer the record copy of all permanent records to the University
Archives after 3 years.
Other copies: Receiving units
Retention:
2 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. |
Special Event Records
[OAR 166-475-0010(41)]
This series documents the efforts of a college or unit to provide
informative sessions, short-courses, workshops, training programs,
excursions, and celebratory events for members of the institution
and the communities it serves. This series may include but is
not limited to: materials on planning and arrangements; reports;
promotional and publicity materials; press releases and news clippings;
photographs; presentation materials and handouts; schedules of
speakers and activities; registration and attendance lists; participant
evaluations; and related documentation and correspondence.
Record Copy: Creating units
Retention: Permanent for planning materials, reports, promotional
and publicity materials, press releases, photographs, and schedules
of speakers and activities; 2 years for all other records
Transfer the record copy of all permanent records to the University
Archives after 5 years.
Other copies: Receiving units
Retention: 2 years
| NOTE: This record series does
not include records of formal lecture series which are included
in the Lectures and Lecture Series Records in this section. |
Staff Meeting
Records [OAR 166-475-0010(42)]
This series documents the meetings of the faculty and/or staff
of a college, department, or office which sets policy and procedures
for the unit. Participants at meetings may be composed exclusively
of a mixture of faculty, staff, administrators, and managers;
specialized and task oriented sub-committees composed of unit
personnel are also documented as part of this
record series. These meetings may concern routine matters of procedure
and topics such as program development, planning, administrative
and personnel management, and assessments of future needs. This
series may include but is not limited to: meeting notes/minutes;
reports; working papers; agendas; and related documentation and
correspondence.
Record Copy: Units
Retention: Permanent for meeting notes/minutes, agendas,
and reports; 4 years for all other records
Transfer the record copy of all permanent records to the University
Archives after 4 years.
Other copies: Unit staff members
Retention: 2 years
Student Academic Records
[OAR 166-475-0110(34)]
This series documents the academic progress of graduate and undergraduate
matriculated students at the institution. Records may include
but are not limited to: institution academic transcripts; high
school and non-institutional college transcripts; applications;
notices of admission, readmission, denial and acceptance; grade
reports; records of grade changes; reservation of credit requests;
petitions for exemption from institution regulations and procedures;
applications for withdrawal from the institution forms; advanced
standing reports; standardized examination reports; letters of
recommendation; vault number index card file; and related documentation
and correspondence.
Record Copy: Registrar
Retention: Permanent for transcripts, applications for
admission, and grade change records; 5 years for all other records
Other copies: Units
Retention: 5 years after last enrollment for all undergraduate
students records; 7 years after last enrollment for all graduate
students records
| 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. |
Student
Advising Records [OAR 166-475-0110(37)]
This series is used to provide a record of an undergraduate and/or
graduate student's academic progress within a specific department
and or college program. Most of the components in this record
series are reference copies of records maintained in the files
of the Registrar's Office and/or the Graduate School and are maintained
for the convenience of the student academic advisors. Records
may include but are not limited to: applications for program admission;
notices of admission; grade reports; in-house grade record cards;
degree program requirement lists; departmental course waiver forms;
program advisors' reports showing progress towards academic degrees;
advising checklist forms; advisors' notes; copies of transcripts;
Program Planning Sheets; advanced standing examination reports;
official graduation audits; curriculum posting sheets; recommendation
letters; suspension notices; re-admission notices; comprehensive
exam results; awards; and related documentation and correspondence.
Record Copy: Academic advising offices
Retention: 1 year after degree completed or last enrollment
| 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. |
Student
Employees Personnel Records [OAR 166-475-0095(46)]
This series documents the student employee's work history from
the supervisor's perspective. This series may contain records
for work-study and/or regular departmental budgeted student employees.
This series may include: resumes; interview questionnaires and
notes; work referral forms; Student Schedule Slips; Financial
Aid Employment Reference Forms; Student Employment Registration
Forms; Personnel Actions Forms; Pay/Budget Action Forms; Work-Study
Time Certificates; Performance Evaluations; Employee Withholding
Allowance Certificate (W-4) forms; Payroll Check Delivery Authorizations;
Requests for Emergency Payroll Draw Forms; commendations; recommendations;
reprimands or notices of disciplinary action; notices of layoff;
letters of resignation; work permits; copies of visas and related
immigration status information; Student Driver Authorization Forms;
Employment Eligibility Forms (I-9); home address/telephone disclosure
authorizations; and related correspondence and documents. The
series may also include photocopies of each employee's drivers
license; birth certificate; or Certificate of Student Employment
Registration.
Record Copy: Units
Retention: 5 years after employee separation for work-study
student records; 3 years after date of hire or one year after graduation,
whatever is longer, for employment eligibility forms (I-9); and 3 years after
employee separation for other student employee 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. |
Student Faculty/Course
Evaluation Records [OAR 166-475-0095(47)]
This series documents students' evaluations of teaching personnel
and is used to help determine faculty tenure, promotion, merit
increases and/or to review instructional courses and programs.
These records provide students' opinions on faculty members' familiarity
with current literature of the discipline, preparation, assignments,
examinations, lecture styles, willingness to engage in dialogue,
and availability. Records include: bubble forms (input documents);
course reaction inventory printouts; statistical tabulations;
summary reports; and related documentation and correspondence.
Record Copy: Units
Retention: Until tabulated and verified for bubble forms;
5 years for all other records
Other copies: Individual faculty PTSI dossier
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. |
Student
Handbooks [OAR 166-475-0025(14)]
This series documents the requirements, policies, and offerings
of specific instructional units for use by current or potential
students. This series contains information or policies on: fields
of study; faculty; academic requirements; the evaluation process;
and the research proposal process.
Record Copy: Creating units
Rentetion: Permanent for 1 copy of each edition
Transfer the record copy to the University Archives when superceded
or no longer needed for routine reference.
Other copies: Receiving units
Retention: Until superceded or obsolete
Student Recruitment Records
[OAR 166-475-0110(42)]
This series documents efforts of the institutional units to recruit
students based upon disadvantaged status, academic performance,
and other criteria. Records may include but are not limited to:
prospects lists; interview and conversation notes; photographs;
personal information forms and resumes; test scores; academic
transcripts; and related documentation and correspondence.
Record Copy: Colleges, Units
Retention: 5 years
| 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. |
Student
Time and Attendance Forms, Restricted Funds [OAR 166-475-0090(21)]
This series documents hours worked by student employees including
those on work-study who are paid from restricted fund accounts.
This series is used for payroll purposes and to meet federal requirements
for documenting time worked by work-study students. This series
only includes departmental time and attendance forms.
Record Copy: Units
Retention: 5 years after issuance of final financial report
to awarding agency by the research accounting unit for records
of all students paid from U.S. Dept. of Education awards; 3 years
after issuance of final financial report to awarding agency by
Research Accounting for records of regular student workers paid
from other restricted funds; 3 years after issuance of final financial
report to awarding agency by research accounting or 5 years, whichever
is longer for records of work-study students paid from other restricted
funds.
| 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. |
Supplemental
Grade Report Records [OAR 166-475-0110(48)]
This series documents grade changes submitted by instructors through
the academic departments to the Registrar. Records may include
but are not limited to: supplemental grade reports (SGRs); removal
of I and E forms; and related documentation and correspondence.
Record Copy: Registrar
Retention: 5 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: Colleges, Units
Retention: 1 year
| 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. |
Supplies
Inventory Records [OAR 166-475-0030(17)]
This series documents the quantity and value of all supply items
with a value of $4999.99 or less. Supply Inventories are required
by the institution on an annual basis and mandated by OUS every
5 years. This series may include but is not limited to: a listing
of institution-wide supplies inventories consolidated from each
unit's submissions to the property administration office; departmental
supplies inventory forms (OUS Form CO 340A); supply lists and
ledgers; OUS Estimated Supplies Reports; and related reports,
documentation, and correspondence.
Record Copy: Property Management
Retention: 4 years after superseded
Other copies: Units
Retention: 2 years after superseded
Theses and Dissertations
Records [OAR 166-475-0110(49)]
This series documents the completion and academic acceptance of
graduate theses and dissertations presented to colleges in fulfillment
of requirements for graduate degrees. This series includes final
and accepted copies of theses and dissertations.
Record Copy: University Libraries
Retention: Permanent
Other copies: Colleges, Units
Retention: Until no longer needed
Time, Attendance and Leave Records [OAR
166-475-0095(48)]
This series documents time and attendance and leave for faculty,
classified and student employees. Records include: monthly time
entry forms which may include hours worked, leave used, employee's
name, supervisor's authorization, earnings information, and time
distribution information; leave request forms; overtime authorization
or certification; leave summary
reports; leave without pay records; Work-Study time certificates
and referrals; and related documentation.
Record Copy: Administering unit
Retention: 4 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. |
Travel Records
[OAR 166-475-0050(16)]
This series may be used: to document requests for and approval
of travel by employees of the institution or the agency; to monitor
travel expenditures; for planning purposes; to document changes
in dates of travel, changes in the name of the traveler, changes
in itinerary, or changes in funding sources within an out-of-state
travel authorization; and to document approval for vehicle rental.
Records may include but are not limited to: out-of-state travel
authorization forms; travel itineraries; travel advance forms;
travel reimbursement requests (employee and non-employee); receipts;
approval memos; vehicle mileage reporting records; memos in place of itemized
receipt; affidavits of lost receipt memos; authorizing signatures; and related
documentation and correspondence.
Record Copy: Business Affairs - Travel
Retention: 6 years
Other copies: Units
Retention: 2 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. |
Unit/Institution/Organization
History Records [OAR 166-475-0100(17)]
This series provides a record of the historical development of
the institution; units within the institution; and organizations
associated with the institution, such as honor societies, fraternities
and sororities, and student/faculty/staff clubs. This series may
include but is not limited to: newspaper clippings; photographs;
published and unpublished historical sketches; publications; statistics;
ephemera; and related documentation and correspondence.
Record Copy: Colleges, Units
Retention: Permanent
Transfer records to the University Archives after 10
years.
Vehicle
Use Authorization and Request Records [OAR 166-475-0010(43)]
This series documents permission for employees to use their private
automobiles for official use and authorization of non-employees
and students to use state-owned cars. Records may include but
are not limited to: private vehicle safety certification forms;
private vehicle certificate lists; driver authorizations for students
and non-employees; and related documentation and correspondence.
Record Copy: Units
Retention: 1 year after superseded or obsolete
Work Orders Records
[OAR 166-475-0075(22)]
This series documents requests and authorizations for needed services
and/or repairs to institutional property and equipment. It may
also be used as a cost reference for future jobs. This series
may include but is not limited to: copy center work orders; printing
orders; photographic work orders; display preparation orders;
microfilming orders; telephone service/installation
requests and change orders; maintenance and repair authorizations;
library materials preparation authorizations; and related documentation
and correspondence.
Record Copy: Unit performing service
Retention: 4 years
Other copies: Unit requesting service
Retention: 2 years
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Archives and Records Management Program
Archives@orst.edu
Send an inquiry to the OSU Archives.
http://osulibrary.oregonstate.edu/archives/handbook/chapter5/titles_O_W.html
Last updated: Monday, 11-Aug-2008 13:08:23 PDT