eneral records retention schedule · student records (transcripts, change of course forms, change...

University Libraries | University Archives | University Records Management | go.osu.edu/archives & go.osu.edu/records

GENERAL RECORDS RETENTION SCHEDULE

UPDATED 1 JANUARY 2020

http://go.osu.edu/archives

http://go.osu.edu/records


INTRODUCTION

In accordance with the University Records Management Policy and Ohio Revised Code 149.33(B), the university records management program is responsible for establishing a program for managing the retention and disposition of university records. These processes are also a part of the university’s Information Security Control Requirement DAT3 as a means of risk management. A records retention schedule is a legally mandated tool that classifies records created, sent or received by the university, and provides instruction for records retention and disposition. Records are grouped by record series: related records that contain the same types of information and are filed and/or used together as a unit. Retention schedules cover records on any media format, including paper and electronic. Ohio State’s General Records Retention Schedule (General Schedule) guides the management and disposition of university record series that are common to multiple units across campus. All Ohio State units should be familiar with the General Schedule and how the unit’s records align to it. Some units have records, not found on the General Schedule, that are unique to their operations. These records series should be listed on unit unique retention schedules. If a unit identifies record series that do not map to the General Schedule, the unit should contact University Records Management to discuss the creation of a unique schedule. All retention schedules, general or unique, are developed and approved by University Records Management in consultation with campus and unit representatives.

SCHEDULE REVISIONS KEY Additions and changes since the last update are denoted as follows: Additions: Record series added to the OSU General Schedule will be highlighted in green. Changes: Changes and modifications to existing record series on the OSU General Schedule will be highlighted in

yellow.



https://library.osu.edu/sites/default/files/2018-10/records_management_policy_minor_revisions_20181001.pdf

http://codes.ohio.gov/orc/149.33

https://cybersecurity.osu.edu/system/files/osu.iscr.pdf


RECORDS MAINTAINED BY CENTRALIZED CAMPUS UNITS The following records series are held by centralized campus units and should not be maintained locally*: ACCOUNTS PAYABLE

Invoices are scanned into EDMS (OnBase) and integrated with PeopleSoft

KEY CONTROL Keyholder database

OFFICE OF ACADEMIC AFFAIRS Promotion and Tenure documents (with the

exception of Faculty 4th Year Review files not reviewed by OAA)

OFFICE OF FACILITY DESIGN AND CONSTRUCTION Blueprints Construction documentation

OFFICE OF HUMAN RESOURCES Background Checks Benefits documentation Position descriptions – maintained in PeopleSoft Retirement Systems Exemption Requests Sick leave balances – retained for 10 years post

separation per Ohio law State Service Record W-4 Forms

OFFICE OF THE REGISTRAR

Course Schedules New course forms Student Evaluation of Instruction forms (SEI) Student records (transcripts, change of course

forms, change of grade forms) PURCHASING

Purchase Orders maintained centrally in PeopleSoft

University Archives Certificates of Records Destruction

*It is recommended that local units retain paper documents that have been scanned for 60 days as a quality control measure.

OSU is in the process of migrating from PeopleSoft to Workday as a centralized administrative system for many Finance, Human Resources, and Student records. While the system name(s) may change over time, the retention periods for the records contained within the systems should remain the same. Records Management will be monitoring these processes and how retention and disposition might be affected.




DISPOSITION Effective records management includes the timely disposition and documentation of obsolete records. There are currently five (5) general disposition options: Destroy – Secured: Record series which contain “Private” or “Restricted” information, as defined in Ohio State’s Institutional

Data Policy (https://ocio.osu.edu/sites/default/files/assets/Policies/InstitutionalData.pdf must be destroyed in a secure manner such as incineration, maceration, shredding (most common method), pulping, or secure electronic destruction. Secure destruction is recommended but not required for information identified as “Internal”.

Destroy: Record series which contain no restricted information may be put in the trash, recycled, or fully deleted. The secure destruction methods above may also be used.

Permanent within Department or Unit: Records series with a demonstrated legal or administrative need to a particular unit will be maintained permanently within the unit.

Archival Review: Record series with selective content that may be of value to University Archives in documenting Ohio State’s history, and should be submitted to the University Archives for review. (Records sent to the Archives should not be included on a Certificate of Records Destruction. The transfer will be noted on Archives documentation.)

University Archives: Records series that have significant value in documenting Ohio State’s history must be transferred to the University Archives. Please follow the procedures detailed at: https://library.osu.edu/osu-records-management/transfers. (Records sent to the Archives should not be included on a Certificate of Records Destruction. The transfer will be noted on Archives documentation.)

Before actually disposing of the records (including deletion of electronic records or authorizing offsite storage vendors), the Ohio State unit should complete and forward a Certificate of Records Destruction (CRD) (go.osu.edu/crd) to University Records Management for review and approval. Units are strongly encouraged to conduct records purges on a routine basis, at a minimum of annually. CRDs are not required if:

• The retention period is listed as transient • The records are saved to a different format (such as paper to electronic) as part of a unit’s routine workflow

Note: Any records under a preservation notice, litigation hold, reasonably anticipated litigation, or in open public records requests should not be destroyed until the issue is resolved.



https://ocio.osu.edu/sites/default/files/assets/Policies/InstitutionalData.pdf

https://library.osu.edu/osu-records-management/transfers


RETENTION TERMINOLOGY (UPDATED) Record retention is either a set period of time or event-driven. Below is retention period terminology and abbreviations commonly used in Ohio State University retention schedules:

Abbreviation Definition 3 CYCLES This retention period pertains to the retention of electronic back-up files. 3Y, 4Y, etc. 3 years, 4 years… ACT, ACT+1, ACT+2, etc.

Active+: The final disposition clock starts once the active period is over. Example: Strategic Plans must be retained 1 year after a new strategic plan is adopted.

CR+1, CR+2, etc.

Creation date + 1 year, Creation date + 2 years, Creation date + 0 years/2 months

CY, CY+1, CY+2, etc.

Current Year (through December 31 of the year the record is created), Current Year + 1 year, Current Year + 2 years…

FY Fiscal Year (July 1-June 30) INDEFINITE Records required to be maintained for a significant period of time and possibly

permanently. Their status should be reappraised periodically. LOB Life of Building+: Similar to “Active+” but pertains specifically to buildings. The retention

period begins when a building is destroyed or sold. PRM Permanent SUP Until Superseded: Documents that are routinely updated and superseded by the current

version. TRANSIENT Documents including telephone messages, some emails, drafts, etc., which have

temporary value. Retention is not a fixed period of time and is event-driven; should be disposed of after it is superseded by the official record or no longer needed.




ELECTRONIC MESSAGES AS RECORDS (UPDATED) Electronic messages, such as email, texts and instant messages, are a convenient way that we convey information, similar to sending paper mail through the postal service. If an electronic message documents university business, it must be managed as a university record. The retention period for each message is based upon the content and informational value of the electronic message, not technology through which it is transmitted or stored. Review and evaluate messages based on the record series described in the OSU General Schedule and unit unique retention schedules. Keep in mind that electronic messages are comprised not just of the textual message and attachments, but also metadata (to, from, subject, time, date, system, etc.) about the message and its transmission. MANAGING ELECTRONIC MESSAGES: The key to effectively managing electronic messages is to be proactive. Delete the non-records and any transient/transitory records that have outlived their administrative/legal/fiscal value so that what remains is the small percentage of records, sent and/or received, that retention schedules require to be managed on an on-going basis. The management of electronic messages should be approached in a manner similar to how "snail mail" is processed at work and home:

Open the email, text, or electronic message and review the document's content: If it is a non-record, delete the message outright, just as one would dump the "snail mail" non-record

into the trash can or recycle bin; If it is a transient/transitory record, place it in a folder or sub-folder (analog or digital) that is

designated for periodic review and dispose of as soon as allowable. One might create a "Transient/Transitory" folder or create sub-folders of record type/series or projects for the transient/transitory messages.

If it is a record, place it in an appropriate folder by record type/series, project, retention time, or other filing schema that allows that unit to effectively manage the life cycle of the record.

For more information or training on managing electronic messages, contact University Records Management.



University Archives2700 Kenny Road

Columbus, OH 43210-1046Phone: 614.292.4092

go.osu.edu/records

General Records Retention ScheduleThis document is a records retention schedule that governs the minimum retntion and final disposition of records in compliance with policies of The Ohio State University(https://library.osu.edu/osu-records-management/policy) and The Ohio Revised Code.

Only those records designated by this document as destined for the University Archives should be transferred to the ARchives according to the procedures in "Instructions forTransferring Records to the University Archives."

Records to be destroyed, as designated by this document, should be destroyed by the departement. A "Certificate of Records Destruction (CRD)" should be filed with the Archives atleast one week prior to destruction. The CRD may be downloaded at http://go.osu.edu/crd.

The OSU General Schedule for Records Retention and Disposition can be downloaded at http://go.osu.edu/records.

Authorizer Job Title Date Authorized

University Records Manager 12/20/2019 2:02:44 PMPari Swift

12/20/2019 2:23:17 PM Page 1 of 1

NotesDispositionRetentionAdditional DescriptionSeries Title

/General Schedule/Accounting & Financial Records/

Accounts PayableDocumentation

Records related to payment orreceipt of financial obligations notincluded in the e-Request ande-Travel systems.

CR+4 Destroy - Secured

Accounts ReceivableDocumentation

Amounts due from others on openaccounts as a result of providinggoods or services.


Audits, External CR+4 Archival Review Review for continuing historical valueand potential transfer to UniversityArchives.

Bad DebtDocumentation

Overdue account payments forservices rendered (e.g. library fines,parking tickets, loans)

ACT+4 Destroy - Secured Active = after the filing of the returnupon which the bad debt deduction istaken

Local units maintain the record ofpayments for services rendered(accounts receivable). If the accountgoes into collections, then thedocumentation should be sent to theBursar’s Office, who in turn will send itto the State of Ohio's AttorneyGeneral's Office

BankingDocumentation

Including records of deposits,periodic statements of balance,canceled checks (including access tochecks imaged under the authoritygranted in Check21) andreconciliation documentation.


Page 1 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Bids: Accepted Bids may be conducted via aRequest for Proposal (RFP),Request for information (RFI),Request for Bid (RFB), and reverseauction among other means.

ACT+8 Destroy - Secured Active = life of associated contract.

University Purchasing conducts thebids, in most but not all instances, andit is their responsibility to maintain theassociated documentation.Purchasing does not conduct the bidsfor the Office of Sponsored Projects,Facilities, Design and Construction,the Wexner Medical Center, or specialprojects initiated by the ChiefFinancial Officer.

Bids: Rejected Bids may be conducted via aRequest for Proposal (RFP),Request for information (RFI),Request for Bid (RFB), and reverseauction among other means.

CR+3 Destroy - Secured University Purchasing conducts thebids, in most but not all instances, andit is their responsibility to maintain theassociated documentation.Purchasing does not conduct the bidsfor the Office of Sponsored Projects,Facilities, Design and Construction,the Wexner Medical Center, or specialprojects initiated by the ChiefFinancial Officer.

Budget Planning File ACT+1 Destroy - Secured Active = while budget is current.

Original maintained by UniversityBudget Office.

Cash Register Tapes CR+4 Destroy

Chart of Accounts An institutional list of the accountsand their identification coding.


Page 2 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Cost AccountingDocumentation

Records analyzing the cost ofproducing certain items orperforming certain tasks.


Credit Card Receipts CR+3 Destroy - Secured

Endowment FundReports, Annual

Annual report of funds received andexpended by endowment accounts. May be in form of report to donors.

ACT+6 Archival Review Active = while endowment exists.

Review for continuing historical valueand potential transfer to UniversityArchives.

Financial AccountingStatement

Issued monthly by OSU Controllerwho has official record; profilesrecord of expenses, income, andbalances for each account.


Financial DisclosureStatement

"Related party/Conflict of InterestDisclosure Statement” or form toshow compliance with Ohio EthicsLaw, generally accepted accountingprinciples, and OSU HumanResources Policy 1.30.


FinancialReconciliationDocumentation

Reconciliation of department recordsto general ledger reports.


Financial Report,Annual

Consolidated year-end report offinancial documentation showingassets and liabilities, broken down bymajor funding areas, such asacademic and student servicesareas.

CR+4 Destroy Review for continuing historical value;Vice President of Business &Finance's Office provides Archiveswith official copy.

Page 3 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Financial Reports,Interim

A report of institutional assets,liabilities, expenditures, income andequities. A periodic report, not theyear-end report.

CR+4 Destroy

Fixed AssetsMachinery &EquipmentDocumentation

Records related to the purchase,maintenance and disposition ofmachinery and equipment.

ACT+6 Destroy Active = while machinery orequipment is owned by the University.

This record series was previouslyknown as "Inventory Control Record."

Journals, Cash Documentation of institutional cashtransactions and petty cashtransactions, includingdisbursements and receipts.


Journals/Ledgers,Annual

Records used to transfer chargesbetween accounts and forsummarizing account information.


Monthly Sales TaxRecords

Monthly forms filled out bydepartments that sell items whichincur a sales tax.

CR+4 Destroy - Secured University's Office of Business andFinance is the office of record,however, for audit purposes, it isrecommended that business unitsalso retain the records for 4 years.

Payroll Certification Form that affirms an employee is onthe payroll and should receivepayment.


Page 4 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Payroll Processing Checklist, Bi-weekly and Monthly

CR+4 Destroy - Secured Service Centers are required tocomplete the monthly and/or biweeklychecklists when processing eachpayroll and retain them with thereports used to reconcile to thegeneral ledger each month. Theserecords are only maintained by localunits if they do not use a ServiceCenter.

Procurement Card(PCard) & Travel CardDocumentation

Including: statements from bankregarding PCard and Travel Carduse, transaction forms, and othersupporting documentation.

CR+4 Destroy - Secured Procurement Card (PCard) and TravelCard contracts are maintained by the"Travel, PCard, & ExpeditingProgram"

Procurement SupportDocumentation: LocalCopy

Local copies of documentation (e.g.delivery slips, receipts) scanned intothe eRequest system.

CR+0/2 Destroy - Secured This paper documentation ismaintained for quality controlpurposes. The University's Office ofBusiness and Finance is the office ofrecord and is responsible formaintaining the documentation for 4years in the enterprise accountingsystem.

Purchase Orders (POs) ACT+8 Destroy - Secured Active = while the PO is in effect.

If the Purchase Order exists inPeopleSoft, the University's Office ofBusiness and Finance is the office ofrecords, and local units should not bemaintaining copies.

Registers, Bond Listing of bonds sold, usually forbuilding projects, showing purchaser,date redeemed, interest due, etc.

ACT+6 Destroy - Secured Active = while bonds are active.

Page 5 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Royalty Payments CR+4 Destroy - Secured

Time-keepingDocumentation

Includes documentation (such astimesheets or time input forms) ofstaff, work-study students, andnon-work-study students


Travel ReimbursementSupportDocumentation -eTravel: Local Copy

Local copies of documentationscanned into eTravel forreimbursement to universityemployees for university relatedtravel.

CR+0/2 Destroy - Secured This paper documentation ismaintained for quality controlpurposes. The University's Office ofBusiness and Finance is the office ofrecord and is responsible formaintaining the documentation for 4years in the enterprise accountingsystem.


/General Schedule/Administrative Records/

Access RequestDocumentation (localcopy)

Used by departments to eitherrequest a key or grant card accessfor staff/faculty/students.

ACT Destroy - Secured Active = Until the annual reportfollowing the access request is issuedand reconciled.

FOD Key Control is the office ofrecord for official access requests.Units or departments may have theonly copy with the final recipientsignature.

Accreditation Files University, college or department filesdocumenting accreditation review byaccrediting agencies.

CR+10 Archival Review Review for continuing historical valueand potential transfer to UniversityArchives.

Page 6 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



AdministrativeReference Documents

Logs, spreadsheets or programsused to track administrative activity,tasks, or workflow progress forinternal convenience.

TRANSIENT Destroy Continually revised or superceded

Advertising CR+5 Archival Review Review for continuing historical valueand potential transfer to UniversityArchives.

Annual Reports Annual report of the originatingdepartment.

CR+3 Transfer toUniversity Archives

One (1) copy must be transferred tothe University Archives. All others maybe destroyed.

Audits, Internal CR+4 Destroy - Secured

Calendars andSchedulingDocumentation

Calendars, appointment books,schedules, itineraries and othersimilar records that document use oftime.

TRANSIENT Destroy Frequently revised or superceded

Camp RegistrationForm

CR+1 Destroy - Secured If incident occurs, record is coveredunder retention for "Incident/AccidentReports"

Customer Service Call The entire recorded telephone callthat comes in to a customer servicecenter

CR+0/2 Destroy - Secured

EnvironmentalMonitoring Records


Page 7 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Event / SpecialProjects Files

Campus and community events,special projects, lectures, and exhibitfiles.

CY+3 Archival Review Major reports, products or images tobe reviewed by University Archives. Destroy supporting documentationunless it is determined to havehistorical value.

Faculty GovernanceDocumentation

Includes promotion and tenure policy,patterns of administration,departmental guidelines, policies,procedures, notices of guidelines,administrative memos, lists ofeligible faculty.

SUP Transfer toUniversity Archives

Transfer to University Archives whensuperseded.

General Files Consists of correspondence,meeting agendas, projects andgeneral files not required to bemaintained elsewhere on theschedule or within a unit specificschedule.

CR+1 Destroy

General Files, UpperAdministrative

Consists of files of the President'sOffice, deans, directors, chairs andupper-level administrators includingcorrespondence, projects andgeneral files not required to bemaintained elsewhere on theschedule or within a unit specificschedule.

CR+3 Archival Review Destroy all materials not documentinga signification action or interaction;transfer remainder to UniversityArchives.

Page 8 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Grant Records, funded(non-sponsoredprojects)

Records documenting federal, state,corporate, or privately funded grantproposals that are not related to theOffice of Sponsored Projects. Mayinclude but is not limited to: grantapplications or proposals, awardletters, summaries and reports,budgets, financial reports, andcorrespondence.

ACT+8 Destroy - Secured Active = until grant isprogrammatically and fiscally closed

Grant Records,unfunded

Unfunded grant proposals for federal,state, corporate, or private grantmonies. May include but is notlimited to grant applications orproposals, supportingdocumentation, and correspondence.This series is not related to the Officeof Sponsored Projects.


Incident/AccidentReports

CR+3 Destroy - Secured If legal action is pending, retain peradvice of Legal Affairs

Minutes Minutes of boards, committees, taskforces, and other university units andorganizations.


Transfer to University Archives.

Motor Vehicle Records Including copies of title, maintenance,& usage.

ACT+6 Destroy Active = while vehicle is owned by theUniversity.

Newspaper Clippings Concerning the activities of an OSUdepartment.

INDEFINITE Transfer toUniversity Archives

Transfer to University Archives after 3years.

Page 9 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Organizational Charts ACT+10 Transfer toUniversity Archives

Active = while chart is still valid.

One (1) copy must be transferred tothe University Archives. Review forcontinuing historical value.

Periodic Reports Documents status of on-going work;serve as support documents forannual/summary reports

CR+1 Destroy

Policies andProcedures, Unit

Documents outlining internal unitpolicies, procedures, and/oroperational protocol. Can include, butmay not be limited to policies,procedures, manuals, andhandbooks.


Presentations,Training andWorkshop Files

Materials and information developed,or used to develop, internal andexternal presentations, trainings andworkshops. Can include, but is notlimited to: presentation, handouts,reference materials, logisticalarrangements, copies of agreementsand payment information,evaluations, promotion, registration,or attendance documentation.

ACT+3 Destroy Active = while training is beingoffered; until event complete; or untilrevised, superseded, or obsoleteCertain types of training, such asHIPAA, hazardous materials, etc. mayrequire longer retention

Press Releases CY+3 Transfer toUniversity Archives

Public RecordsRequest Files


Page 10 of 29

swift.102

Highlight

swift.102

Highlight



Publications Includes newsletters, news releases,brochures, publicity photographs, etc.

INDEFINITE Transfer toUniversity Archives

Transfer to University Archives after 3years.

Recruitment Materials,General

Videos, publications, posters,advertisements, etc. used to recruitstudents to attend the institution.

CR+5 Archival Review Review for continuing historical valueand potential transfer to UniversityArchives.

Reference Files /Subject Files

Files used as in-house referencematerials. Can include, but may notbe limited to articles and notes, oftenorganized by topic, that employeesmay reference. These files do notcontain original or official records.

TRANSIENT Destroy

Research Projects,Approved

Files containing proposal, budgets,accounting information,correspondence, and reports forgrant funded and non-grant fundedresearch.

ACT+8 Destroy - Secured Active = life of the research projectand associated contractual funding.

Retention may be longer based oncircumstance-specific requirements,such as federal clinical trialrequirements or other contractualterms. Office of Sponsored Projectshas administrative responsibility forthose research projects that havebeen externally funded.

This series covers the administrativerecords of research projects. Research data records are coveredunder the Office of Research retentionschedule.

Research Projects,Rejected

Files containing proposal andcorrespondence for grant funded andnon-grant funded research.

CR+1 Destroy

Page 11 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Strategic Plans ACT+1 Transfer toUniversity Archives

Active = until strategic plan issuperseded by new plan.

One (1) copy must be transferred tothe University Archives.

Telephone Records CR+4 Destroy - Secured

Transient Materials All informal and/or temporarymessages (including, but not limitedto, e-mail and voice mail) and allnotes and all drafts used in theproduction of public records by anyOhio State Universityemployee. Transient material alsoincludes anonymous, unsignedand/or unsolicited written orelectronic materials, including, but notlimited to, anonymous studentcomplaints, anonymous writings fromindividuals inside or outside theinstitution, and voice mail messages.

TRANSIENT Destroy

Page 12 of 29

swift.102

Highlight



University Policy University Policy provide specificdirection for operations,administration, or programs. Policiesare applicable university-wide andare developed through the UniversityPolicy Process and adopted bySenior Management Council whichmay additionally take them to thepresident or Board of Trustees at itsdiscretion. Policies enhance theuniversity's mission and operationalefficiency, mandate action orconstraints, and must be consistentwith relevant statues, regulations,bylaws, or rules.


When policy is superseded, the priorpolicy should be transferred to theUniversity Archives.


/General Schedule/Human Resources Records/

Activities andPrograms with MinorParticipants Policy("Minors Policy")Records

Records required by UniversityHuman Resources Policy 1.50(Activities and Programs with MinorParticipants Policy) including but notlimited to: policy registration (notethat this differs from participants'registrations collected by program),training records, standards ofbehavior, and any other policy-relateddocumentation not addressedelsewhere.

CR+3 Destroy - Secured Background checks are maintainedby the Office of Human Resources.

Page 13 of 29

swift.102

Highlight

swift.102

Highlight



Affirmative ActionDocumentation

Records documenting proceduresand regulations to be followed foroutreach and recruitment activity,goals, timetables, statistics and workforce analysis thereof that evidencesproactive recruitment of minority andunder-represented communities asper 41 CFR 60-741.44(f).


Self-disclosure for individualsw/disabilities and protected veteran'sstatus are maintained separately asper 41 CFR 60-741.42(b).

Affirmative ActionDocumentation:Self-disclosure forIndividuals withDisabilities

CR+3 Destroy - Secured Required to be maintained separatelyas per 41 CFR 60-741.42(b)

Affirmative ActionDocumentation:Self-disclosure forIndividuals withProtected Veteran'sStatus

CR+3 Destroy - Secured Required to be maintained separatelyas per 41 CFR 60-300.42

Application forEmployment: Hired

Including faculty, A&P staff, CCSstaff, graduate associates, andstudents assistants. Series consistsof application and supportingdocumentation.

ACT+6 Destroy - Secured Active = employee's service with theuniversity.

Applications should become part ofpersonnel file.

Application forEmployment:Non-hired

Including faculty, A&P staff, CCSstaff, and graduate associates.Series consists of application andsupporting documentation.


Page 14 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Application forEmployment:Non-hired StudentAssistants

Series consists of application andsupporting documentation.


Background CheckResults Required byLaw: Local Copy

Results of a background check foremployment supplied by the Office ofHuman Resources to campus unitswho are required by law and/orregulation to maintain a local copy.


Check & DirectDeposit DistributionList & Forms


DisciplinaryDocumentation


Evaluations,Personnel

Evaluation of work performance offaculty and staff (See alsoEvaluations, Class/Course).

CR+5 Destroy - Secured Unless governed by contractualagreement.

Faculty 4th YearReview Files (withreview by OAA)

College-level, local copy of facultydossier where the final review is bythe Office of Academic Affairs.Consists of copies of documentationof teaching, research, and communityservice.

CR+1 Destroy - Secured Office of Academic Affairs is the"office of record" when it provides thefinal review. The "local copy" ismaintained by the college during thedecision making year.

Destroy in a way that protectsconfidentiality.

Faculty 4th YearReview Files (withoutReview by OAA)

Faculty dossier for which the finalreview is by the College. Consists ofcopies of documentation of teaching,research, and community service.


Maintain during the decision makingyear, then transfer to the UniversityArchives.

Page 15 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Hazardous MaterialsHandlingDocumentation

Includes applications andauthorizations, documents ofauthorized users labs, trainingrecords, transfer and transportationdocuments, disposalsdocumentation, materials incidentreports, monthly exposure records,and emergency notifications.

INDEFINITE Permanent w/inDepartment or Unit

Immigration andNaturalizationDocumentation

Documentation used to verify identityand employment authorization,including but not limited to Form I-9(eligibility for employment) and FormI-20 (visa).


Per federal guidelines of the U.S.Citizenship and Immigration Services.

Job Posting Postings of faculty, staff and studentstaff openings that are notmaintained by the Office of HumanResources

CR+3 Destroy

Leave Forms, Sick &Vacation

CR+1 Destroy - Secured Retained by departmental HumanResources.

Leaves of Absence Requests and related documentation. CR+5 Destroy - Secured This includes, but is not limited to,Faculty Professional Leave (FPL).

Leaves of Absence:Family and MedicalLeave Act (FMLA)

Records required to be kept as perthe Family and Medical Leave Act


Letters,Congratulatory

CR+5 Destroy

Page 16 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Notification ofEssential PersonnelStatus

As per the Disaster Preparednessand University State of EmergencyPolicy, Section 4.A, eachdepartmental HR unit must informtheir personnel of their statusannually.

SUP Destroy - Secured

Ohio EthicsAcknowledgmentStatement


Page 17 of 29

swift.102

Highlight



Personnel Records,Faculty

As per OSU Personnel RecordsPolicy 1.20.II.A: Only job-relatedinformation will be contained in thepersonnel record. Contents of eachpersonnel file should include basicidentifying information (e.g., name,address and job title), employmentapplications or other hiring-relateddocuments, position descriptions,compensation records, informationon benefit enrollment, attendancerecords, performance evaluationsand information about otheremployment-related actions (e.g.promotions, training, or correctiveaction) and other job-relatedinformation. Unsolicited andanonymous materials will not beincluded in the personnel file unless there has been a finding of factthrough an existing universityinvestigatory process.

ACT+6 Archival Review Active = employee's service with theuniversity.

As per Personnel Records Policy1.20.I.D.2: Each record within the filemust be maintained or destroyedaccording to the university or unitretention schedule for that specificrecord. If a record series is listedindividually on a retention schedule,follow the retention period for theindividually listed series.

As per OSU Personnel RecordsPolicy 1.20.II.B: The followingdocuments belong in the controlledaccess file and must be maintainedseparate from the personnel file: education records, medicalrecords, confidential investigatoryrecords, intellectual property records,promotion and tenure records andattorney-client communications.Whenan employee transfers from oneemploying unit to another, these filesmust be forwarded to the newemploying unit.

For final disposition, departmentstransfer files to University Archivesafter weeding of non-permanentrecords, i.e. PARs, leaves ofabsence, faculty activity reports.

Page 18 of 29

swift.102

Highlight



Personnel Records,Non-Faculty





Page 19 of 29

swift.102

Highlight



Personnel Records,Student


Includes documentation of work-studyand non-work-study students.




Position Description CR+3 Destroy

Page 20 of 29

swift.102

Highlight

swift.102

Highlight



Promotion & TenureFiles: Local Copy

Local copy of faculty dossier thatconsists of copies of documentationof teaching, research, and communityservice.

CR+1 Destroy - Secured With the exception of "Faculty 4th YearReview Files (without review by OAA),the Office of Academic Affairs retainsthe official promotion and tenurerecords. The "local copy" ismaintained during the decisionmaking year.

Destroy in a way that protectsconfidentiality.

See also: "Faculty 4th Year ReviewFiles (with review by OAA)" and"Faculty 4th Year Review Files(without review by OAA)" for retentionand disposition of 4th year reviewmaterials.

Search CommitteeRecords

Includes job posting, lists ofcandidates, final report, resumes/CV,or any other documentationsubmitted or used by the searchcommittee in support of a candidate.


Self-Disclosure ofCriminal ConvictionsDocumentation

Documentation required ofemployees to self-discloseconvictions if they occur whileemployed with the university. Thisdocumentation may include but is notlimited to: e-mail, word processeddocument, or hand written note.

ACT+6 Destroy - Secured Active = while employee is in serviceto that particular unit.

Retained separately from theindividual's personnel file and are notforwarded if the employee changesunits.


/General Schedule/Information Technology Records/

Page 21 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Disaster Preparednessand Recovery Plans

Records related to reestablishmentof data processing services in caseof a disaster.

ACT+10 Active = until plan is superseded.

Help Desk Logs andReports

Consists of records used todocument requests for technicalassistance and responses to theserequests, as well as to collectinformation on the use of computerequipment to compile monthly andannual statistics, and for reference forplanning, management analysis, andother administrative purposes.


Information SystemUsers' AccessRecords

Records created to control individualaccess to a system for administrativeand security purposes.

ACT+6 Destroy - Secured

Information SystemsBackup Files

Copies of master files or databases,application software, logs,directories, and other documentationneeded to restore a system in caseof a disaster or inadvertentdestruction.

SUP Destroy - Secured These are files that are maintainedsolely for business continuity anddisaster recovery purposes andSHOULD NOT be maintained as ahistorical archive of the informationsystem.

Page 22 of 29

swift.102

Highlight

swift.102

Highlight



Information SystemsDocumentation

Including: Application DevelopmentFiles (Records created and used inthe development, redesign, ormodification of an automated systemor application. These may includeproject management records, statusreports, draft system or subsystemspecifications, draft userrequirements and specifications, andmemoranda and correspondence.);Source Code; Information SystemsSpecifications (User and operationaldocumentation describing how anapplication system operates from afunctional user and data processingpoint of view. May include recordsdocumenting data entry,manipulation, output and retrieval,records necessary for using thesystem, including user guides,system or sub-system definitions,system flowcharts, programdescriptions and documentation, jobcontrol or work flow records, systemspecifications, and input and outputspecifications.); Data Documentation(Records necessary to access,retrieve, manipulate and interpretdata in an automated system. Mayinclude data element dictionary, filelayout, code book or table, and otherrecords that explain the meaning,purpose, structure, logicalrelationships, and origin of the dataelements.); Hardware Documentation(Records documenting the use,operation, and maintenance of an

ACT+3 Destroy - Secured Active = life of the system; Review forcontinuing historical value.

Page 23 of 29



agency's data processingequipment.); andConversion/Migration Plans(Records that deal with thereplacement of equipment orcomputer operating systems due tohardware/software obsolescence ormaintenance.).

Information SystemsEquipment SupportFiles

Information on data processingequipment, software, and otherproducts and their vendors. Recordof support services provided forspecific data processing equipment,including site visit reports, servicereports, service histories, andcorrespondence.

ACT+3 Destroy Active = life of the system.

Information SystemsInput Documents

Forms used for data input andcontrol.

SUP Destroy - Secured Destroy after input information isverified.

Information SystemsLog Files


Information SystemsPolicies

Policies for data processing,including access, security, systemsdevelopment, data retention anddisposition, and data ownership.Records of procedures for data entry,the operation of computer equipment,production control, tape library,system backup, and other aspects ofa data processing operation.

ACT+10 Destroy Active = until policy is superseded;Review for continuing historical value.

Page 24 of 29

swift.102

Highlight

swift.102

Highlight



Information SystemsUsage Files

Records created to monitor computersystem and network usage includingbut not limited to log-in files, systemusage files, data entry logs, andrecords of individual computerprogram usage.



/General Schedule/Legal Records/

Clery Records Supporting documentation for thethree most recently published AnnualSecurity Reports and any otherdocuments created for Clerypurposes during that same timeframe, such as records used tocompile statistics for the annualsecurity report, the daily crime log,and public safety notices.

ACT+5/9 Destroy - Secured Active = October 1 publication date ofClery Annual Security Report (Note: allsupporting documents start fromOctober 1 of the annual reportpublication year, not from the date ofeach supporting document)

Contracts Contracts with parties external toOSU.

ACT+8 Destroy - Secured Active = while contract is in effect.

Intellectual PropertyRights Documentation

Copyright, Patents, Trademarks &Service Marks

ACT+6 Archival Review Active = life of the intellectual propertyright; Review for continuingadministrative or historical value.

Internal Agreements Agreement with parties within OSUthat include, but are not limited to,Memorandums of Understanding(MOUs) and Service LevelAgreements (SLAs).

ACT+3 Destroy - Secured Active = while agreement is in effect.

Page 25 of 29

swift.102

Highlight

swift.102

Highlight


/General Schedule/Legal Records/

Laboratory InspectionReports

Periodic inspections of laboratories. ACT+3 Destroy - Secured Active = until inspection issuperseded.

Participant Waivers Waivers signed by program or eventparticipants, guests, orparents/guardians for minorparticipants.

CY+1 Destroy - Secured If incident occurs, record is coveredunder retention schedule for"Incident/Accident Reports."

Photo Release, Minor Authorization for the University to usephotos, video, or other media of aparticipant

ACT+6 Destroy - Secured Active = while under age 18

Photo Releases,Adults

Authorization for the University to usephotos, video, or other media of aparticipant


Real Estate Records:Local Copy

Local copies(college/school/department/unit) ofdeeds and leases, documenting realproperty purchased or leased by theuniversity or college.

ACT+8 Destroy Active = while property is owned orleased by the University; Archivesreceives originals from Real Estate &Property Management


/General Schedule/Student & Course Records/

Admission Files,Accepted

Includes letters of reference,application, biographical data andletters regarding admission and/orenrollment for applicants accepted toa program of study within theuniversity.

ACT+1 Destroy - Secured Active = the term of admission.

Form letters regarding admissionand/or enrollment at the institution.

Page 26 of 29

swift.102

Highlight



Admission Files,Rejected

Includes letters of reference,application, and biographical data forrejected applicants and those whodid not complete dossier.


Advising Files Includes notes about student,possible courses the student wouldtake, and correspondence withstudent

ACT+5 Destroy - Secured Active = while student is enrolled atthe University.

Annual Interim FederalGrant Fiscal Reports

Reporting to federal government onexpenditures for federal grantprograms.

ACT+6 Destroy Active = while grant is active.

Course ChangeRequests: Local Copy

Application to Council on Academicaffairs to change, add, or delete acourse.

ACT+1 Destroy Office of Academic Affairs is theoffice of record.

Course Syllabi Document written by instructor thatoutlines how the student'sperformance will be assessed for thecourse. May include prerequisites,objectives, assignments, courseschedule, and course policies

CR+10 Destroy Archives retains course descriptionspublished in catalogs and bulletinspermanently.

CurriculumDevelopmentDocumentation: LocalCopy

Files documenting approval of newprograms and degrees.

INDEFINITE Destroy Office of Academic Affairs providesUniversity Archives with official copy.Local copy maintained until no longeradministratively needed.

Evaluations,Class/Course

Summary evaluations of course bystudents.


Page 27 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Grade Reports Faculty grade reports CR+1 Destroy - Secured Registrar maintains the official recordpermanently per university rules3335-7-231(B) and 3335-7-23(A).

GraduationAuthorizations

Documents certifying completion ofdegree requirements.

ACT+1 Destroy - Secured Active = term in which graduation isattained.

Requests andDisclosures ofPersonally IdentifiableInformation


Roster, Class Contains names of students for eachcourse; issued by registrationservices


ScholarshipsAdministered byColleges/Departments:

Administrative information regardinglocal scholarship programs includingapplications, awards, recipients, etc.,but not fiscal data.


Student Coursework:Not Used for Grading

TRANSIENT Destroy - Secured

Student Coursework:Used for Grading

May include: student assessments,tests, examinations, quizzes, papers,projects, blog postings, onlinediscussion, etc. maintained in acourse management system, by theinstructor, and/or by the educationalunit, leading to a grade and to aposting on the official student recordof the registrar.

CR+1 Destroy - Secured As per university rules 3335-7-231(B)and 3335-7-23(A).

Page 28 of 29

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight

swift.102

Highlight



Student Records,Accepted and Enrolled

Record of academic work pursued.Correspondence, recruitment,references and recommendations,entrance exams, AdvancedPlacement documentation (scoresvalid for 5 years), residencydocumentation, Form I-20 (visa) forforeign students, application forgraduation, and placementdocumentation.


Registrar is the office of record.

Student Records,Accepted but notEnrolled

Student-specific correspondencerelating to admission and enrollmentat the institution. Correspondence, recruitment, references andrecommendations, entrance exams,Advanced Placement documentation.


Student Records,Rejected

May include correspondence,recruitment, references andrecommendations, entrance exams,and portfolio.


Student Requests forNondisclosure ofDirectory Information


Student's WrittenConsent for RecordsDisclosure


Page 29 of 29

swift.102

Highlight

swift.102

Highlight