General Records Retention Schedule

Policy Steward: Office of Records Management

Please contact RecordsManagement@psu.edu with any questions about managing University Records. 

 

Table of Contents:

INTRODUCTION

University Records must be retained and managed in accordance with Policy AD35 University Archives and Records Management and the University’s Records Retention Schedules that have been approved by the Records Management Advisory Committee (RMAC), the Office of General Counsel, and Vice President for Administration. These Records Retention Schedules are derived from - or based upon - federal, state, and local statutes or regulations, University Policy, industry standards, and business needs. All University Records must be maintained in such a manner to provide ease of access, establish a suitable audit trail for all transactions, and to be reviewed prior to disposition.

University Records and Transitory/Disposable Records are defined below. See Policy AD35, Definition of Terms for additional information.

  • University Records - Information that documents a transaction or regularly conducted activity of the University and that is created, received or retained pursuant to law, University policy, or in connection with a transaction, business, or activity of the University.  The term includes documents, papers, letters, books, drawings, maps, plans, photographs, tapes, film or sound recordings, microforms, digital or analog files, information stored or maintained electronically, and data- or image-processed documents.
  • Transitory/Disposable Records - University Records that have temporary value and, as a result, may be destroyed after they are no longer needed. In no event shall be retained longer than the official copy of the University Records as delineated on the Records Retention Schedule. Examples include photocopies of official University Records, a printed copy of a University Record that is held by the Responsible Party or within a System of Record, a spreadsheet containing data that is exported from or officially resides in another systems, personal emails not related to University business or activity, and/or mass emails or communications.

Upon completion of the retention period, University Records must be disposed of via secure destruction or transfer to University Archives, unless an exception to the disposition process set forth below applies. In many cases, retention periods and disposition methods may be generally determined by comparing the type of record (i.e., reports, correspondence, etc.) to similar records series with known retention periods listed on the Records Retention Schedule. If the disposition method for University Records states “Review by Archives” on the Records Retention Schedule, the Unit responsible for those records should consult the University Archivist for a final determination of disposition. For University Records that must be securely destroyed, units may arrange for shredding services by either contacting the Blue/White Shredding Program or the Inactive Records Center (IRC).

Exceptions to the disposition process are as follows:

  • University Records subject to a Legal Hold (see Policy AD35, Legal Hold). A legal hold will remain in effect until it is released in writing by the Office of General Counsel.
  • University Records under audit or review, either internally or externally. An audit hold will remain in effect until the hold is released by the Office of Corporate Controller. The Financial Officer will be notified regarding any cost objects that are under audit hold; the Financial Officer will be responsible for contacting the Unit associated with the cost objects.

To safeguard the privacy of individuals, records that contain Personally Identifiable Information (PII), as defined in University Policy, AD53 Privacy Policy, or student records, as defined in University Policy, AD11 Confidentiality of Student Records, must be securely destroyed beyond recovery. For additional information regarding privacy and the protection of an individual's personal information, see Policy AD53.

Unit specific retention schedules for individual offices that are developed by the Office of Records Management should be utilized in conjunction with this schedule to identify records unique to that Unit. Retention periods for University Records not specifically listed on the General Records Retention Schedule (below), on Unit Specific Records Retention Schedule or in the Financial Records Retention Schedule may be determined by contacting the Office of Records Management. 

For records with retention periods of less than 1 year:

Records are eligible for disposition at the end of the retention period, e.g., if a record has a 1-month retention period, cut the file off at the end of each month, apply the retention period, and then disposition occurs.

For records with retention periods of 1 year or more:

Records are eligible for disposition at the end of each fiscal, academic, or calendar year after the retention period has been met, as appropriate for the records series in question, e.g., if the retention period for a correspondence file reads "3 years," then disposition occurs 3 years after the end of the year in question.

For records with retention period listed only as an event date or action:

Records are eligible for disposition immediately after the date the event date is reached or the action is completed, e.g., if the retention period reads "after superseded," then disposition occurs immediately after the date the record has been superseded.

For records with a retention period and an event date or action:

Records are eligible for disposition when the retention period has been met, after the event date is reached or action is completed, e.g., if the retention period reads "6 years after separation," then disposition occurs 6 years after the date of separation. A process to manage records with a retention period and an event date or action is to transfer the records to an inactive file on the date the event occurs or the action is completed, label the file with the retention period and appropriate disposition date. Disposition will occur when that disposition date has been reached, i.e., retention reads "Retain for 6 years - dispose on 6-30-2001."

 

GENERAL ADMINISTRATIVE RECORDS

General Administrative Records Retention Schedule - Updated March 2021
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Acknowledgments   End of calendar year + 1 year  
Board of Trustees Minutes and Agendas   Permanent in Archives  
Committee Files:
   Agendas, Minutes, Reports		   End of calendar year + 3 years; review by Archives  
Continuous Quality / Process Improvement
(Including Flow Charts, Reports, Surveys, Meeting Minutes and Diagrams)		   End of calendar year + 3 years; review by Archives  
Directives
   External
   Internal		  
Until superseded
Until superseded; transfer to Archives		  
Form Templates   Until superseded or outdated + 1 year  
"History" Files
NOTE: All records created prior to 1965 MUST sent to Archives for review and appraisal.		   End of calendar year + 5 years; review by Archives  
Invitations / Announcements   End of calendar year + 1 year  
Lost and Found Records
   Inventory tags and lists or items sent to Lion Surplus by repositories
   Lost and Found Finder Claim Form
   Records on items received and disposed of by Lion Surplus		  
End of fiscal year + 1 year
1 year after item has been released to claimant, then shredded
End of fiscal year + 1 year		  
Mailing Lists   Until superseded  
Memoranda of Transmittal   6 months  
Official Kaltura Recordings
   Kaltura is Penn State's enterprise-level, cloud-based media management platform for use by both students and faculty and is designed for storing, publishing, and streaming video, video collections, and other media, such as images and audio files.		 Department / Kaltura 3 years from the last viewed date Policy AD40: Recording of Classroom Activities and Note-Taking Services
Opinion Survey Results / Reports   3 years after completion or termination; Final Report permanent in Archives  
Organizational Charts and Function Records   Until superseded + 3 years; review by Archives  
Policies & Procedures - Internal   Until superseded + 1 year; review by Archives  
Procedure Manuals   Permanent in Archives  
Records Retention Schedule   When superseded; permanent in Archives  
Strategic Plans & Supporting Documents   5 years in office; transfer to Archives  

Training Materials

Not found in another record series

   Until superseded or outdated + 3 years  
Transitory / Disposable Records   Until superseded or outdated  
Transitory Zoom Recordings
   Zoom is Penn State's video and web conferencing service that allows you to engage in multi-person video or audio meetings using software installed on your computer, without the need for dedicated video conferencing hardware. Once a Zoom recording is made (with proper permission / authorization), it is automatically uploaded into Kaltura where the official copy is held. The transitory copy left in Zoom is no longer needed.		 Department / Zoom From recording date, active for 120 days, then inactive (in delete queue) for 30 days, for a maximum of 150 days. Deletion is automated in Zoom.  
Travel: Itineraries
   Expense Forms
   Reservations / Confirmations		   End of calendar year + 1 year
See Financial Document Retention Schedule in GURU
End of calendar year + 1 year		  

ADMISSIONS

 

Admissions Records Retention Schedule
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Admission Applications (Images)   End of calendar year + 7 years  
Application for Advanced Credit   3 years after student's last activity  
Prospect and Applicant Data
 		 Student Information Systems

Applied and Attended - end of calendar year + 50 years; transfer to Archives

OR
Applied and did not attend - 3 years after end of admissions cycle		  
Prospective students who did not apply and/or did not attend PSU   End of academic year + 1 year  
Supporting Documentation:
      Including: Application, Applicant Correspondence, Applicant Letters of Recommendation (Unsolicited), Applicant High School Transcripts, College Transcripts, Applicant Residency Status Documents		  
Admitted & Attended - 3 years beyond graduation or termination
OR
Applied and did not attend - 3 years after end of admissions cycle

 

  
Student Recruitment Publications & Media   End of calendar year + 3 years; review by Archives  

 

AFFIRMATIVE ACTION

 

Affirmative Action Records Retention Schedule - Updated October 2020
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Title IX Case Files
Includes discriminatory investigations related to students and employees involving SEXUAL HARASSMENT, SEXUAL MISCONDUCT, STALKING, DATING VIOLENCE, DOMESTIC VIOLENCE, and RETALIATION
Organize by: Name, Complaint/Case Type, Case Close Date or Separation Date		 Affirmative Action Office - Title IX Coordinator / Maxient Separation of employment or close of case + 7 years 34 CFR § 106.45(b)(10)
Policy AD85: Title IX Sexual Harassment
AAO - Title IX-related Discipline by Unit Leadership
Includes complaints only related to employees and handling by LER and Unit HR
Organize by: Name, Complaint/Case Type, Case Close Date or Separation Date		 Affirmative Action Office - Title IX Coordinator / Maxient Separation of employment or close of case + 7 years 34 CFR § 106.45(b)(10)
Policy AD85: Title IX Sexual Harassment
Americans with Disabilities Act (ADA) Records
Limited to Reasonable Accommodations and Complaint case files
Organize by: Name, Case Type, Date Received, Employee Separation Date		 Affirmative Action Office - ADA Coordinator Separation of employment or close of case + 7 years 42 U.S.C. § 2000e-8;
29 C.F.R. § 1602.14;
29 C.F.R. § 1627.3
Policy HR09: Reasonable Accommodation for University Employees
ADA Consultations and Advice
Includes inquiries and requests for advice by ADA Coordinator from Units and Employees
Organize by: Employee Name, Case Type, Date Received		 Affirmative Action Office - ADA Coordinator Date of consultation/advice + 7 years 29 C.F.R. § 1602.14
Policy HR09: Reasonable Accommodation for University Employees
Affirmative Action Recruitment and Search Files
For academic searches, included but not limited to: Academic Recruitment Form, Short List Approval Form, and Recruitment Report
Organize by: Requisition/Job Number, Position Title, Employee Name, Search Conclusion Date		 Affirmative Action Office Conclusion of search + 3 years Policy AC13: Recommended Procedure for Hiring New Faculty (Formerly HR13)
Policy AC22: Search Procedures for Academic Administrative Positions (Formerly HR22)
Policy HR101: Positions Requiring National Search Process
Affirmative Action Internal or External Complaint and Investigation Case Files
Includes AD91 issues which are covered by Title VII. All Protected classes from discrimination (Race, Sex, Age, Sexual Orientation, Gender Identity, Religion, Veterans, etc.), and external investigations by the Office of Civil Rights (OCR) Investigations, Equal Employment Opportunity Commission (EEOC), and Pennsylvania Human Relations Commission (PHRC)
Organize by: Name, Complaint/Case Type, Case Close Date or Separation Date		 Affirmative Action Office Separation of employment or close of case + 7 years 42 U.S.C. § 2000e-8;
29 C.F.R. § 1602.14;
29 C.F.R. § 1627.3.;
Policy AD91: Discrimination and Harassment and Related Inappropriate Conduct
Affirmative Action Consultations and Advice
Inquiries and requests for advice from AAO from Units and Employees
Organize by: Employee Name/Unit, Case Type, Date Received		 Affirmative Action Office Date of consultation/advice + 7 years 29 C.F.R. § 1602.14
Affirmative Action Data Plan
An annually produced document that contains stastical analyses of the workforce and comparisons with the composition of relevant labor pools and steps to address any underutilization of women and minorities
Organize by: Plan Year		 Affirmative Action Office Plan year + 7 years, review by Archives 41 C.F.R. 60-1.41
Affirmative Action Database of Historical Metrics and Statistics
Non-identifiable information on consultations, complaints, investigations, accomodations, and longitudinal trends. Excludes all PII.
Organize by: Year		 Affirmative Action Office Date of close of investigation + 10 years, review by Archives  
Affirmative Action Training Materials
General training materials for courses and workshops offered to the University community. Includes but not limited to Participant lists.
Organize by: Year		 Affirmative Action Office OR Learning Resources Network (LRN) Until superseded or outdated + 7 years  

ATHLETICS

 

Athletics Records Retention Schedule - Updated June 2020
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

ICA Clearances - Volunteer Coaches and Student Athletes

Limited to: FBI Fingerprint Check, PA Child Abuse Background Check, PA State Police Criminal Check

Organize by: Coach or Athlete Name, Date of Clearance

Intercollegiate Athletics - Unit HR / DocFinity

Date of clearance + 7 years

ACT 114 PA Federal Criminal History Records Information (CHRI);

ACT 33 PA Child Abuse Clearance;

ACT 36 PA Criminal Record Check;

PA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

Childcare Centers

Note: Only applies to childcare or day care centers that are owned and operated by PSU.

Childcare Center Retention Schedule Records Retention Schedule

RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Accounts Receivable: Bank deposit slips.   Current fiscal year + 2 years  
American Rescue Plan Act (ARPA).  
End of funds + 5 years;		  
Early Learning Resource Center (ELRC):                          List of participating children. Payments received.   End of the fiscal year + 3 years ECFR :2 CFR 200.334
Time Sheets: To support WAGC.    End of calendar year + 1 year  
The Child and Adult Care Food Program (CACFP):        vendor receipts, food menu calendars, enrollment forms, Meal Count Tally Sheets and Daily attendance Sign In Sheets.   End of the fiscal year + 3 years  Child and Adult Care Food Program | Food and Nutrition Service (usda.gov)
Field trip/ Walk sign out sheets:   Until attendee has reached the age of 18 + 2 years  
Visitor Logs sign in/out:   End of calendar year + 3 years  
Childs Folder: Including but not limited to; emergency contacts, wellness visits/immunizations
tuition contract
research consent
field trip consents, etc...		   Until attendee has reached the age of 18 + 2 years  
Intern Student Files: Application, health assessment, clearances, letter of recommendation, copy of transcripts, etc...    Intern name and classroom access should be saved with class data until attendee has reached the age of 18 + 2 years. 
Intern Student File: end of internship + 6 years.		  

COMMONWEALTH CAMPUSES

NOTE: Campuses are subject to all retention periods detailed in this Schedule and Financial Records Retention Schedule. The following schedule represents areas unique to campuses.

Commonwealth Campuses Records Retention Schedule

RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Chief Executive Officer - Correspondence/Reports   End of calendar year + 3 years; review by Archives  
Community Advisory Board
      Including: Meeting Minutes, Correspondence, Reports		  
End of calendar year + 3 years; review by Archives		  
Council of Fellows   End of calendar year + 3 years; review by Archives  

Director of Academic Affairs

    Including: Meeting Minutes, Correspondence, Reports

   End of calendar year + 3 years; review by Archives  
Housing and Food Services - Assignments   End of calendar year + 3 years  

CONTRACTS

Contracts Records Retention Schedule
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Agreements -- where PSU licenses another legal entity to use film, publications, or similar which PSU has copyrighted or which PSU holds the license.   End of calendar year + 7 years; permanent in Archives  
Licenses -- for filming on PSU Premises   End of calendar year + 7 years; permanent in Archives  
Licenses -- to use PSU's non-physical property or any use of the University's names, trademarks, symbols, or logos   End of calendar year + 7 years; permanent in Archives  
Photo Permission Release Form   3 years after signature affixed  
Vended Services, such as Counseling, Physicians   7 years after date of contract completion  
Working With Minors Agreements and Releases   2 years past the age of majority (18 years old) for participant minor  

CORRESPONDENCE

NOTE: Correspondence by Administrators, Deans, Unit/Department Heads may be potentially archival; these offices should refer to record schedules developed for individual offices or contact the University Archives.

Correspondence Records Retention Schedule
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Chronological (Day Files) and Email   End of calendar year + 3 years  
External (Non-University Agencies) and Email   End of calendar year + 3 years  
Interdepartmental (University Agencies) and Email:
      Originating Office
      Receiving Office		  
End of calendar year + 3 years; review by Archives
End of calendar year + 3 years		  
Internal (within Unit/Department) and Email   End of calendar year + 3 years; review by Archives  

CURRICULUM RECORDS

NOTE: Offices should refer to record schedules developed for individual offices for record series not listed below.

Curriculum Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Class Lists   End of calendar year + 3 years  
Course History Files   3 years after course ceases to be offered; review by Archives  
Course Proposals (1970-Present) University Curriculum Archive Permanent  
Curriculum - Current
(Comprehensively lists all approved courses by department and course number)		  
End of calendar year + 3 years		  
Curriculum Proposals - Approved
(Documentation of planning and development of approved academic course or program)		  
3 years after course ceases to be offered; review by Archives		  
Curriculum Proposals - Denied
(Documentation of planning and development of approved academic course or program)		  
3 years after denial registered		  
Degree Program Bulletins   End of calendar year + 5 years; permanent in Archives  
Evaluations of Internal Operations, Self-Studies, Accreditations   End of calendar year + 10 years; review Final Report by Archives  
Faculty Senate: Agenda & Minutes   End of calendar year + 1 year  
Faculty Senate: Blue Sheets   3 years after specific course ceases to be offered  
Schedule of Classes/Timetables   End of calendar year + 3 years  
Syllabi   Last activity + 10 years; Faculty may retain all versions as personal papers  
Textbook Orders   End of calendar year + 3 years  

DEVELOPMENT & ALUMNI ASSOCIATION RECORDS

Per the cooperation agreement between the Penn State Alumni Association (PSAA) and the University, as a separate 501(c)(3) organization, PSAA may retain and engage legal counsel as it deems appropriate, the University shall not provide legal services to PSAA. The University shall own all records, data, and information relating to alumni of the University managed by PSAA staff. PSAA shall provide the University with access to its physical and digital records during normal business hours and upon reasonable notice. Records maintained by individual Chapters of the Penn State Alumni Association are not University Records and therefore do not appear on this retention schedule.

Development and Alumni Association (DDAR) Retention Schedule - Updated August 2021
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Committee Files
Includes Alumni Association Governing Board, Campaign Operating Group (COG), External Engagement, Gift Planning Advisory Council, Alumni Council, Member Experience Committee		 All departments End of calendar year + 3 years, review by Archives  
Continuous Quality / Process Improvement Records
Includes Volunteer Programs feedback and letters, external mailings to volunteers, project management records, and survey response data		 All departments 3 years, review by Archives  
External Correspondence
Includes Gift Planning marketing newsletters, bi-annual newsletters, and marketing materials		 All departments End of calendar year + 3 years  
Internal Policy and Procedure Files All departments 1 year after superseded, review by Archives  
Presentations All departments 0 after superseded, review by Archives  
Publications
Includes the Penn Stater Magazine, AlumInsider, and Football Letter		 All departments 0 after superseded, review by Archives  
Special Programs and Events
Includes DDAR programs and events files, and leadership conferences		 All departments 3 years, review by Archives  
President's Report of Endowments and Philanthropy External Engagement 3 years, review by Archives  
Volunteer Files
Includes volunteer programs membership rosters		 External Engagement / iFiles 7 years after last activity  
Endowment Agreements
Includes correspondence and information related to the creation of the endowment		 Gift Planning / iFiles Permanent  
Estate Files Gift Planning / iFiles Permanent  
Gift Annuities
Includes contractual arrangements between the University and the donor		 Gift Planning / SharePoint Enclave End of contract OR death of donor + 7 years  
Perpetual Funds
Includes external endowments from outside agencies or institutions		 Gift Planning / iFiles Permanent  
Diversity, Equity, and Inclusion Programming Records VP Development and Alumni Relations; Diversity, Equity, and Inclusion 3 years after last activity  
CEO Official Correspondence and Newsletters Penn State Alumni Association - Executive Administration End of calendar year + 3 years  
Annual Lists from IRS for Tax-exempt Affiliate Groups Penn State Alumni Association - Business and Finance End of fiscal year + 7 years  
Annual Operating Budget Files
Includes categorical expenses, endowments, membership income, and withdrawals		 Penn State Alumni Association - Business and Finance End of fiscal year + 7 years  
Audited Financial Statements Penn State Alumni Association - Business and Finance Permanent  
Investment Portfolio Records
Includes financial statements		 Penn State Alumni Association - Business and Finance End of fiscal year + 7 years  
Career Services Networking Platform
Includes web-based seminar recordings and peer networking data between students		 Penn State Alumni Association - Career Services / PeopleGrove and LionLink 7 years after last activity  
Event Management Files
Includes functionality for the registration of web-based seminars, and attendance lists for each event		 Penn State Alumni Association - Career Services 3 years after last activity  
Event Planning and Projects
Includes logistical planning records, contracts and correspondence, publications and promotions, registration lists, overview of planning specifications, and recordings of events stored on websites and social media		 Penn State Alumni Association - Events and Travel / 25Live and Workfront Project Management System Event date + 10 years, review by Archives  
Sponsored Tours and Travel
Includes trip listings, individual itineraries, brochures, contracts, commission earnings, marketing contributions, passenger lists, and coding information		 Penn State Alumni Association - Events and Travel / AWA and IBM Notes End of calendar year + 10 years  
Travel Blue Discount Program
Includes contracts, amendments, addendums, commission earnings, and marketing contributions		 Penn State Alumni Association - Events and Travel End of calendar year + 5 years  
Opinion Survey Results and Reports
Includes post-event satisfaction surveys		 Penn State Alumni Association - Operations / SurveyMonkey and Cvent 3 years  
Sourcebooks
Includes Alumni Association Annual Report, updates on major events, and new council members		 Penn State Alumni Association - Operations Permanent, transfer 1 copy to Archives  
Business Development Records
Includes data for reporting quarterly and annual auditing and financial recordings		 Penn State Alumni Association - Resource Development 7 years  
Elms Collections, Endowment Files Penn State Alumni Association - Resource Development Permanent  
Elms Collections, Purchase and Invoice Files Penn State Alumni Association - Resource Development / Big Commerce 7 years  
Penn State Alumni Association License Plate Program
Includes application and payment information		 Penn State Alumni Association - Resource Development 7 years  
Solicitation Reports
Includes final fiscal year reports of membership appeals and solicitations		 Penn State Alumni Association - Resource Development End of calendar year + 10 years  
Yearly Electronic Document Distribution System (EDDS) Report Penn State Alumni Association - Resource Development End of calendar year + 3 years  
Academic Advisement Files
Includes FirstStart Mentor files		 Penn State Alumni Association - Student and Young Alumni 7 years after last contact or activity  
Student Organization Records
Includes Lion Ambassadors and Blue and White Society		 Penn State Alumni Association - Student and Young Alumni End of calendar year + 3 years, review by Archives  
Applications and Awards Received Penn State Alumni Association - The Penn Stater Magazine End of calendar year + 3 years  
Contracts (Agreements of Vended Services)
Includes freelance writers, photographers, and illustrator contracts		 Penn State Alumni Association - The Penn Stater Magazine Close of contract + 7 years  
Intellectual Property Records
Includes copyright agreements for photographs, and agreements with freelance writers and illustrators		 Penn State Alumni Association - The Penn Stater Magazine Permanent 17 U.S. Code § 507 - Limitations on Actions
Photograph and Graphic Designs Templates Penn State Alumni Association - The Penn Stater Magazine Destroy after superseded due to copyright  
Affiliate Group Documents
Includes annual reports, bylaws, and tax documents		 Penn State Alumni Association - Volunteer Services 7 years, review by Archives  
Alumni Council / Governing Board Files Penn State Alumni Association - Volunteer Services / BoardEffect End of calendar year + 3 years, review by Archives  
Internal Procedures
Includes chapter leaders resource guide		 Penn State Alumni Association - Volunteer Services When superseded + 3 years  

ENVIRONMENTAL HEALTH AND SAFETY (CENTRAL OFFICE)

 

NOTE: The records listed below will be retained by EHS centrally at University park. Please see the EHS Compliance Requirements Guide (CRG).

Environmental Health and Safety (EHS) Central Office Retention Schedule - Updated October 2020
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Building Incident Reports - (Non Fire Related, Non-Exposure, Non-Environmental, Non-Radiation) EHS Central Office End of calendar year + 7 years Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act 20 U.S.C. § 1092(f)

Chemical Facility Anti-Terrorism Standards (CFATS) Specific Records

Requirements for covered Dept. of Homeland Security (DHS) and CFATS. Limited to top screens, security vulnerability assessments, and site security plans and related correspondence. Required by Dept. of Homeland Security (DHS).

 (Chemical Vulnerability Information) CVI Authorized User within Environmental Health & Safety (EHS) - Central Office End of calendar year + 6 years 6 CFR § 27.255

Chemical Facility Anti-Terrorism Standards (CFATS) All Other Records

Requirements for covered Dept. of Homeland Security (DHS) and CFATS facilities including but not limited to, security audits, training and exercises, security incidents and threats, and calibrations for security equipment.

 (Chemical Vulnerability Information) CVI Authorized User within Environmental Health & Safety (EHS) - Central Office End of calendar year + 3 years 6 CFR § 27.255
Chemical Inventories and Reports   End of calendar year + 1 year  

EHS program documentation

Internal EHS program documents, policies, procedures, and guidelines.

 EHS Central Office Until superseded or outdated + 3 years; review by Archives  
Emergency Planning Community Right to Know Reports - both Unit & Central EHS Central Office Until superseded or outdated + 1 year Emergency Planning and Community Right-to-Know Act (EPCRA)
Employee Exposure/Injury Records - Not including Noise EHS Central Office End of calendar year in which exposure document + 30 years 29 CFR Ch. XVII § 1910.1020
Employee Exposure Records - Noise EHS Central Office End of calendar year in which exposure documented + 2 years OSHA 1910.95(m)(3)(i)
Employee Participation and Safety Review Records (Process Safety Management) EHS Central Office End of calendar year in which review performed + 15 years  
Environmental Health and Safety Employee Training Records & Sign-in Sheets EHS Central Office End of calendar year in which course ends or separation of employment + 30 years  
Environmental Health and Safety Inspections and Audits - Except Process Safety Management (PSM) EHS Central Office End of calendar year which in which audit was completed + 7 years  
Environmental Health and Safety Inspections and Audits - Process Safety Management (PSM) EHS Central Office End of calendar year which in which audit was completed + 15 years  
Environmental Health and Safety Training Program Materials EHS Central Office Until superseded or outdated + 3 years  
Environmental Real Estate History Records EHS Central Office Building demolition or transfer of ownership + 4 years; review by Archives  
Environmental Spill and Emergency Plans EHS Central Office Until superseded or outdated + 5 years; review by Archives 25 Pa. Code 262a.100
Equipment Calibration & Testing Records - Radioactive EHS Central Office Expiration of License + 3 years  
Equipment Calibration & Testing Records - Non Radioactive EHS Central Office Decommissioning of equipment + 30 years  
Equipment Inventories EHS Central Office Expiration of License + 3 years  
Equipment Testing Records (Shower & Eyewash) EHS Central Office Life of process + 3 years  
Federal and State Special forms of Permits, Approvals, Registrations, and Submissions EHS Central Office Expiration of permit + 3 years

25 PA Section 270a.60(a)(1);

40 CFR 264.74;

49 CFR 107.109(b);

49 CFR 107.705;

49 CFR 173.185€
Fire Alarm Reports - Fire Incidents and Inspections EHS Central Office Building demolition or transfer of ownership + 3 years  
Hazardous Building Materials Records EHS Central Office Transfer of ownership from PSU + 30 years

29 CFR Part 1910.20;

Asbestos Standard For General Industry - OSHA 3095
Hazardous, Infectious, and Radioactive Waste - Shipping & Disposal Records EHS Central Office Permanent  
Hazardous Materials - Shipping & Receiving Records EHS Central Office End of calendar year + 3 years 40 CFR Section 262.40; Section 101 ESIGN Act
Infectious, Radioactive, and Hazardous Waste Pickup Request Records EHS Central Office End of calendar year + 3 years

40 CFR Section 262.40;

PA 25 Section 284.703;

Section 101 ESIGN Act
Infectious Waste Transporter Licenses Records EHS Central Office Until superseded or outdated + 3 years PA 25 Section 284.602
Integrated Safety Plan Records EHS Central Office End of calendar year in which safety plan was disbanded + 3 years  
Isotope Use and Decommissioning Records EHS Central Office Expiration of license + 3 years U.S. NRC 36.81
Laser Safety Officer Transfer of Authority Records EHS Central Office Until superseded or outdated + 3 years  
Preventive Maintenance (Process Safety Management) EHS Central Office Completion of preventive maintenance + life of the equipment or process  
Radioactive License and Amendment Records EHS Central Office Expiration of license + 3 years U.S. NRC 36.81
Radioactive Material Surveys EHS Central Office End of calendar year in which survey completed + 3 years U.S. NRC 36.81
Radioactive Materials Records EHS Central Office Transfer or disposal of material + 3 years U.S. NRC 30.51
Regulatory Interpretation Reports EHS Central Office Expiration of all licenses to perform related research or use, or program superseded or outdated + 3 years  
Safe Work Permits and Incident Records (Process Safety Management) EHS Central Office Close of incident and permits + 7 years  
Safety Council Minutes EHS Central Office End of calendar year + 3 years; review by Archives  

ENVIRONMENTAL HEALTH AND SAFETY (RETAINED BY UNIT)

 

NOTE: The records listed below will be retained by the Campu/Unit Facilities Coordinator or Safety Officer and the department/sub-unit as required. Please see the EHS Compliance Requirements Guide (CRG).

Environmental Health and Safety (EHS) Retained by Unit Retention Schedule - Updated June 2020
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Annual and semi-annual self-audits and inspections - records completed by the work unit that show compliance with EHS programs Department End of calendar year + 1 year  
Chemical Use Listing/ Safety Data Sheets Department Superseded/outdated + 30 years  
Chemical waste area and pesticide storage area inspections Department End of calendar year + 3 years Pennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Commercial cooking exhaust cleaning Department Until superseded  
Emergency Planning Community Right-to-Know Reports Department Superseded/outdated + 1 year

Emergency Planning and Community Right-to-Know Act (EPCRA) Section 311-312;

40 CFR Part 370
Environmental Health and Safety employee training records & sign-in sheets All units End of calendar year in which course ends or separation of employment + 30 years  
Equipment and confined space inventories Department Until superseded  
Equipment inspection and repair records - annual equipment inspection or repair records by regulator, vendor, or qualified personnel Department Life of equipment or 7 years, whichever is longer NFPA 70E
Equipment inspection records - monthly or longer equipment inspection records by departmental personnel Department End of calendar year + 3 years  
Equipment inspection records and permits - daily, weekly, and prior to use equipment inspection records by departmental personnel Department End of calendar year + 1 year NFPA 70E
Explosives records Department Expiration of permit + 3 years 27 CFR 555.122–.125
Fire Protection System - new installation   Life of equipment  
Fire safety equipment and building evacuation exercises Department End of calendar year + 3 years  
Hazardous material shipping records   End of calendar year + 3 years  
Hazardous materials inventories - chemicals, pesticides, and radioactive materials Department Date of acquisition + 1 year  
Instrument calibration Department Life of equipment + 30 years  
Integrated Safety Plan (ISP) and Safety Committee Meeting Minutes Department End of calendar year + 3 years  
Licenses / Registrations Department Until superseded  
Pesticide application records Department Date of application + 3 years Pennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Refrigerant records Department End of calendar year + 3 years 40 CFR Part 82, Subpart F §82.154
Refrigerant technician certification Department Period of employment in the work unit + 3 years 40 CFR Part 82, Subpart F §82.154
Residence Hall Fire Drills Department End of calendar year + 7 years  

Safety and Environmental Plans / Work Area Assessments

Initial and annual reviews, and updates

 Department Until superseded or updated + 1 year  
Spotted Lanternfly Inspections Department End of calendar year + 2 years Pennsylvania Department of Agriculture (PDA) Spotted Lantern Fly Quarantine Regulations
Standard Operating Procedures Department Life of equipment  
User evaluations Department Period of employment in the work unit  
Waste Disposal documentation - Chemical/Hazardous Waste Department End of calendar year + 3 years 42 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Grease/Used Cooking Oil Department End of calendar year + 3 years 40 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Infectious Waste Department End of calendar year + 2 years 41 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping

FINANCIAL RECORDS

NOTE: See Financial Records Retention Schedule.

GRANT AND CONTRACT RECORDS

NOTE: Refer to Unit Specific Records Retention Schedules developed for individual offices for record series not listed below.

Grant and Contract Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Applications   3 years after submission  
Conferences, Seminars, Workshops (Grant-Funded)  
3 years after termination or renewal; review by Archives		  
Dean's Office and Unit/Department Copies - Expired Awards
      Application, Interim Publications, Products and Final Report		  
3 years after termination or renewal; transfer to Archives		  
Federal Grants (Construction)   20 years after project completion; review by Archives  
Federal Grants (Non-Construction)
      Application, Interim Publications, Publications, Products, and Final Report		  
3 years after termination or renewal; review by Archives		  
Final Reports   3 years after the grant ends; transfer to Archives  
Financial Records (Related to Contracts)   See Financial Records Retention Schedule  
Grant Administration Records
      Application, Interim Publications, Products, and Final Report		  
3 years after termination or renewal; transfer to Archives		  
Grant & Contract Applications - Rejected   End of calendar year + 3 years  
Grant-Related Human Resources
      Records/Dean's Office and Unit/Department Copies		   3 years after termination, resignation or retirement; transfer original documents to the Office of Human Resources/Records.  
Interim Reports   3 years after submission  
Non-Disclosure Agreements   3 years after the grant ends  
Non-Federal Grants
      Application, Interim Publications, Products and Final Report		  
3 years after termination or renewal; transfer to Archives		  
Reports of Project Status
      Final Report		  
3 years after termination or renewal; transfer to Archives		  
Research Clearance Forms, Duplicates   3 years after submission  
Research Data Forms
      Human Subjects
      Non-Human Subjects		  
3 years after study termination or renewal
3 years after termination or renewal		  
Scientific and Technical Data
      Includes Social and Economic Microdata		  
End of calendar year + 3 years; review by Archives		  

 

HEALTH RECORDS

Health Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Health Services Forms   7 years after last treatment

Section II (K) of Policy AD22
Health Services Forms - Minor Patients   Age of majority (18 years old) + 7 years

Section II (K) of Policy AD22

HOUSING AND FOOD SERVICES

Housing and Food Services Records Retention Schedule
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Access Control Records

   End of calendar year + 3 years  

 

HUMAN RESOURCES RETAINED CENTRALLY

NOTE: Records listed in the schedule below are maintained by the central Penn State Human Resources office at University Park. See the University Records FAQs for Human Resources for more information.

Human Resources Records Retention Period - Updated AUGUST 2019
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Academic Administration Summaries   Distribution to faculty and staff + 5 years, transfer to Archives Policy AC14: Academic Administrative Evaluation
Drug Testing Records - Negative or canceled Penn State Human Resources - Occupational Medicine End of calendar year + 1 year  
Drug Testing Records - Positive or refused Penn State Human Resources - Occupational Medicine End of calendar year + 5 years  

Employee Benefits File

Including but not limited to Beneficiary Records, Retirement Elections, Healthcare Enrollment Forms, Phased Retirement, Sabbaticals, Military Leave, Power of Attorney.

 Penn State Human Resources - Benefits Team

If separated without retiree benefits separation of employment + 6 years

OR

If separated with retiree benefits retain for life of retiree, life or until remarriage of spouse, or until dependent reaches age of 26 + 6 years

  

Policy HR54: Continuation of Group Insurance after Age 60, Age 65, and after Retirement or Death

General Employee Personnel File

Limited to records related to Hiring and Onboarding, Job Changes, Performance Management, Pre-Employment, Requests to Review Personnel File, and Separation (outside of LER).

Penn State Human Resources - HR Records Management

Separation of employment + 6 years

Policy HR60: Access to Employee Personnel File

63 P.S. Labor § 1322. Inspection of personnel files

I-9 Records

 Penn State Human Resources - Data and Onboarding / Equifax System

After an employee has separated calculate the following and retain for whichever time period is longer:

Date of hire + 3 years

OR

Date of separation of employment + 1 year

8 CFR § 274a.2 - Verification of identity and employment authorization

Job Descriptions - Related to Postings

Penn State Human Resources

When superseded or outdated

  
LER - Agreement and General Release (AGR)

Penn State Human Resources - Labor and Employee Relations (LER)

 Fulfillment of Terms + 10 years  
LER - Ineligible for Rehire

Penn State Human Resources - Labor and Employee Relations (LER)

 Permanent  
LER - Labor Relation Records

Penn State Human Resources - Labor and Employee Relations (LER)

End of all agreements with certified bargaining unit + 7 years, review by Archives

  
LER - Layoff Agreement Packet

Penn State Human Resources - Labor and Employee Relations (LER)

Separation of employment + 6 years

  
LER - Title IX-related Discipline by Unit Leadership

Penn State Human Resources - Labor and Employee Relations (LER)

Separation of employment + 6 years

Title IX of Education Amendments Act of 1972
LER - Workflow Termination Summary

Penn State Human Resources - Labor and Employee Relations (LER)

Separation of employment + 6 years

  

Medical Leaves

Penn State Human Resources - Absence Management

End of Leave + 3 years

HRG11 Family and Medical Leave;

29 CFR § 825.500 - Recordkeeping requirements;

Promotion and Tenure (P&T) Review and Dossier Records - University Level

Limited to the P&T Forms and Dossiers dividers as listed in GURU

MUST EXCLUDE FROM TRANSFER TO ARCHIVES: External letters of Assessment and Statements of Evaluation of the Candidate by Review Committees and Administrators

Penn State Human Resources - HR Records Management

Separation of employment + 6 years; review by Archives

Policy AC23: Promotion and Tenure Procedures and Regulations

Promotion and Tenure Forms in GURU

Protected Status Records

  

End of calendar year + 3 years

  

Salary guidance matrices and monthly analysis worksheets

  

End of calendar year + 5 years

  

Unemployment Compensation Records

 

End of calendar year in which contributions relating to the employee have been paid + 4 years

  

Workers' Compensation File

Penn State Human Resources - Absence Management / Broadspire System

Close of case + 7 years

29 CFR 1904.33 (Labor, Regulations, OSHA, Recording and Reporting, Recordkeeping);

PA Workers' Compensation Act, 77 P.S. § 1--2708
Youth Program Employee Background Checks (for all units and programs)
    Including but not limited to: Pennsylvania State Police Criminal Background Check (SP-164); Pennsylvania Child Abuse History Clearance Form (CY-113); Federal (FBI) Fingerprint Criminal Background Check (Criminal History Report), National Sex Offender Registry(1), Out of State Clearances(2), J-1 Visa(3), Arrest and Conviction Self Disclosure form
    NOTE: Based on program type, additional clearances may be needed
(1)Currently required while working in a child-day care facility only
(2)Out of state clearances are required only for those seeking positions in a child-day care center and have resided outside of PA over the course of the previous 5 years
(3)J-1 Visa holders are not required to submit the 3 publicly available clearances, unless applying for a position in a child day-care center, group day-care home, family child-care home, or applying for, or holding a position that will exceed a total of 90 days within a calendar year.		 Penn State Human Resources - Data and Onboarding Separation of employment + 6 years

PA Title 23: Domestic Relations Chapter 63: Child Protective Services § 6344 Employees having contact with children; adoptive and foster parents.

PA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

HUMAN RESOURCES RELATED RECORDS (Retained by Unit)

NOTE: Records listed in the schedule below are maintained locally by the Human Resources Strategic Partners and Consults for all Campuses/Colleges/Units. See the University Records FAQs for Human Resources for more information.

Human Resources Related Records (Retained by Unit) Retention Schedule - Updated August 2019
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Applications - NOT Hired

Head of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay Recruiting

Conclusion of search + 3 years

  
Consultative Committee Files of Consideration for Non-Tenure Line Faculty Promotion
Committee files related to considering which non-tenure line faculty will be evaluated for a promotion during the current cycle. It is not the result of the Promotion evaluation
Includes: consultative committee files, evaluations, and non-tenured faculty promotion files
Excludes: personal notes of committee members
Organize By: Evaluation Date		 Campus/College/Unit End of calendar year + 3 years  
Letters of Recommendation - NOT Hired Head of Search Committee or Unit HR / Electronic Jobs Management System (EJMS) or WorkDay Recruiting

Conclusion of search + 3 years

  
Permanent Labor Certification Process within EJMS
Applications and all supporting documentation		 Electronic Job Management System (EJMS) Conclusion of search + 5 years 20 CFR Ch. V § 656.10.f & § 656.18
Permanent Resident Applications for International Job Applicants, specifically for tenure-track faculty positions   Conclusion of search + 5 years 20 CFR Ch. V § 656.10.f & § 656.18
Promotion and Tenure (P&T) Supplemental Materials
Includes books, reprints, syllabi and teaching portfolios, vitae, narrative statements sent to external reviewers, and other materials assembled by the faculty member during the P&T review process
These files are excluded from the Official P&T Dossier
Organize By: Faculty Member; P&T Level/Review Type: Status: Review Date		 Campus/College/Unit Transitory, destroy when no longer needed after conclusion of P&T review process Administrative Guidelines for AC23: Promotion and Tenure Procedures and Regulations
Search Committees and Search Related Materials

Head of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay Recruiting

 Conclusion of search + 3 years  
Time Cards (to support WAGC)   End of calendar year + 1 year  

Student Rating of Teaching Effectiveness (SRTEs)

 Online Summaries 10 years after creation  

Student Rating of Teaching Effectiveness (SRTEs) - Summaries Used for Promotion and Tenure

SRTEs are used for various purposes, including, promotion and tenure. If units utilize SRTEs for such purposes and file the copy in an official record such as a dossier, the retention time for that record series governs retention of that copy of the SRTEs.

   Retain in Promotion and Tenure (P&T) Dossier  

INTELLECTUAL PROPERTY (IP) RECORDS

 

Intellectual Property (IP) Records Retention Schedule  - Updated May 2019
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Copyright Licenses Incoming
     Permissions granted to the University from a third party		   Permanent

17 U.S. Code § 507 - Limitations on Actions

 

INFORMATION SECURITY / GENERAL SECURITY RECORDS

 

Information Security/General Security Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Access and Security Representative (ASR) Authorization Card   As long as individual is an ASR; after tenure as ASR, retain for 3 years  
Identity Services Credentials   Account is disabled + 3 years  
Identity Services Transactional Records   Time of use + 3 years  
Computer System Security Logs Retention Schedule
RECORDS SERIES (Types of Records)   RETENTION PERIOD
 

Readily Accessible*

From the time the record was generated

Overall Retention Period**

From the time the record was generated
System Classification - Low (Level 1) 30 days 90 days
System Classification - Moderate (Level 2) 30 days 90 days
System Classification - High (Level 3) 90 days 365 days
System Classification - Restricted (Level 4) 90 days 365 days

Note: Information classifications are defined in AD95. The definition of Computer System Security Logs, and further guidance on security logging requirements, can be found in the Standard for Security Log Collection, Analysis, and Retention.

*Logs must be quickly (i.e. not stored on a slow medium such as slow tape system) and easily accessed (e.g. in an indexed database) to support a security investigation.

**Computer System Security Logs data may be retained longer: a) by OIS to support an ongoing security investigation/response, b) to meet contractual obligations, or c) for exceptions granted through the process defined in AD35.

 

INTERNAL AUDIT

Internal Audit Records Retention Schedule
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Audit Reports and Memos (Full scope audits & consulting engagements) Internal Audit End of fiscal year in which audit completed; transfer to Archives  
Audit Work Papers   Conclusion of audit + 7 years  
Audit Follow-Up Documentation   Closure of final open audit issue + 7 years  
Fraud and Misconduct Reports and Memos   Close of investigation + 7 years  
Fraud and Misconduct Work Papers - Employee Action Taken/Report Issued   Close of investigation + 7 years  
Fraud and Misconduct Work Papers - No Employee Action/No Report   Close of investigation + 2 years  
Documents supporting consulting/questions from University employees   End of calendar year + 3 years  

 

LEGAL RECORDS

Legal Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Documents related to third-party subpoenas, search warrants, administrative orders, court orders, and authorization for release of records.

Each department that produces records in response to such requests will keep its original copies of its responses and the records produced.

 10 years after date of response  
Law School Clinics   3 years after termination or close of legal action  
Legal Opinions, Interpretations, Legislative Comments   10 years in office, transfer to Archives  
Litigation Files (where University is a party and/or documents are subject to litigation holds)   Consult with the Office of General Counsel for applicable retention period  
Settlement Agreements - Final Settlement Agreement Managed as a separate record   Fulfillment of Terms + 10 Years  

OFFICE/WORKSTATION COMPUTERS

Office/Workstation Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Authority Lists   Until superseded  
Data on Computers and Other Electronic Devices (Former Employees)   Within thirty (30) days of an employee's departure from the University, the former employee's unit or department supervisor (or designee), in conjunction with that unit or department's IT services, shall inspect and review all University computers and other electronic devices assigned to the former employee that contain University data, archive or otherwise preserve, as appropriate, the University data, and securely delete all other data from the University computer and/or electronic device. The University computer and/or electronic device should then be sanitized before being transferred to a new University user or sent to Lion Surplus if no longer being used. If the former employee is subject to a litigation hold, however, please contact the Office of General Counsel before proceeding. All data on University computers and/or devices is subject to standard University retention schedule compliance.  
Disk Structures
NOTE: Structural information should be retained for materials that will be transferred to the Archives.
Information should include software name and version.		   Until superseded  
Equipment   Until obsolete  
Manuals   Until obsolete  
Site Licenses   Until superseded  

PHYSICAL PLANT

NOTE: The official building record is maintained by the Office of Physical Plant (OPP); all other copies are transitory/disposable records which should be destroyed when no longer needed and must not be retained longer than the official copy as stated below.

Physical Plant Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Access Coordinator Forms- Electronic, hard copy

Requesting Department's Access Coordinator

 3 years  
Blueprints/Drawings/Plans   Until superseded: transfer to Archives  
Building Key/Key Core
      Requests
      Issues		  
3 years after termination, resignation or retirement
Until superseded		  
Buildings
NOTE: These records include correspondence, meeting minutes and reports.
      Construction
      Demolition
      Maintenance
      Renovation		  


 

3 years after job completion; review by Archives
until  work completed; review by Archives
Current Year + 1 year
Current Year + 1 year

  
Building Safety and Occupancy   Until superseded  
Energy   Until superseded  
Equipment & Inventory Report
Service Agreements		   Until superseded or obsolete  
Facility Access Authorization Request (FAAR) Requesting Department's Access Coordinator Retained 2 years after the access device is returned, and/or clearances are removed  
Garage Repair and Fuel Service Authorization Form OPP Service Garage End of fiscal year + 7 years  
Grounds and Landscaping   Until superseded  
Inventories   Until superseded  
Laboratories   Until superseded  
Maintenance Standing Order Authorization Form OPP Accounting Office End of fiscal year + 7 years  
Material Billing Authorization OPP Accounting Office End of fiscal year + 7 years  
Project Planning   3 years after job completion; transfer to Archives  
Public Safety & Prevention   Until superseded  
Security   Until superseded  
Space Allocations   Until superseded  
Telecommunications   Until superseded  
Work Orders   End of calendar year + 1 year  
Proof of Publication or Posting   6 years after expiration or termination  

POLICE AND PUBLIC SAFETY

Police and Public Safety Records Retention Schedule - Updated February 2019
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Background Checks
     Criminal/Employment -- Requests for Criminal History Records Information		 University Police - Records Team Positive - retain in incident file
Negative - current + 1 year		  
Behavioral Threat Assessment Team (BTMT) Database Behavioral Threat Management Team 20 years from date of last activity  
Blueprints/CAD Drawings/Floor Plans
     Electronic, hard copy-- drawing, building folders, discs		   Originals are held by University Archives; these files are use copies only and should be retained only for as long as needed.  
Bicycle Permit Information   End of registration period + 2 years  
Body-Worn Camera Video Recordings
Body-Worn Cameras (BWCs) are relatively small wearable cameras that record interactions between community members (e.g., the public, suspects, and victims) and law enforcement officers.		 University Police & Public Safety BWC footage should be held a minimum of 180 days
BWC recordings submitted for investigation (criminal and/or administrative) takes on the retention of the investigation		 §67A03 of Act 22 of 2017
Ccure Card Access People Data
Access point data for PSU ID cards		 Ccure System Access point data must be retained for 1 year
Access point data submitted for investigation (criminal and/or administrative) takes on the retention of the investigation.		  
Certain For Official Use Only (FOUO)
     Critical building/IT infrastructure data, Assessment Reports		  
3 years after last activity		  

Citation Log

Traffic and Non-Traffic citations assigned to officers in addition to when they were issued to a defendant.

 University Police - Records Team End of calendar year + 3 years  
Clery Documents
     ASRs, Daily Crime/Fire Logs, Audit reports for stats, Emergency Notifications, Timely Warnings, and Mail Logs for Timely Warnings & Clery Notifications		 University Police - Records Team and Clery & Compliance Team
End of calendar year + 7 years

Clery Act of 1990, 20 U.S.C. § 1092(f)
Closed-Circuit Television (CCTV) Recordings
     Electronic and/or hard copy of Surveillance video		 University Police - Dispatch Recorder End date of recorded video + minimum of 30 days
Recorded video submitted for investigation (criminal and/or administrative) takes on the retention of the investigation		  
Citation Logs
     Audit log for citation sign-out

University Police - Records Team

 End of calendar year + 3 years  
Courier Log   End of year + 1 year  

Criminal Complaint Log

Criminal Complaints prepared by officers and processed by the court.

 University Police - Records Team

End of calendar year + 3 years

  

Criminal Complaints

Copy of court document filed that formally charges a defendant with offenses.

University Police - Records Team

Homicides/Suspicious Deaths - Retain 75 years

All other cases - Retain 20 years after close of investigation

Clery Act of 1990, 20 U.S.C. § 1092(f);

Uniform Crime Reporting Act 18 P.S. § 20.303
Criminal History Audit Log
     Currently an electronic form (1 month), with prior years paper copies. Information captured is Date, Name, Requester, Operator, Reason, Disposition and Case Number. Used to track criminal history queries.		 University Police - Records Team End of calendar year + 3 Years  

Criminal History Dissemination Records

Information documenting the dissemination of criminal histories and other law enforcement information to other agencies or criminal information systems.

 University Police - Records Team End of year in which dissemination occurred + 3 years  
Criminal History/Investigatory Case Files
     Official case file records, including but not limited to: arrest and detention records, citations and complaints, crime analysis, evidence records, field notes, hospital and medical records, lab reports, offense reports, probation and parole records, press releases, warrants, subpoenas, and vehicular reports.

University Police - Records Team

Homicides/Suspicious Deaths - Retain 75 years

OR

Summary Cases - Retain 7 years after close of investigation

All other cases - Retain 20 years after close of investigation

  

Daily Activity Reports

Records pertaining to officer activity, including assignment sheets, patrol logs, and work schedules.

   End of calendar year + 3 years  
Deputy Sheriff Academy Training and Evaluation Records Justice and Safety Institute End of calendar year + 4 years  

Dispatcher's Log

Lists time and location of all calls received for police services.

   Date of last entry + 3 years  
Dissemination Log
     Audit Log for CHRIA dissemination		   End of calendar year + 3 years  
Duty Roster

University Police - Records Team

 End of calendar year + 1 year  
Emergency Management Records
     After Action Report (AAR) / Common Alerting Protocol (CAP) / Incident Action Planning (IAP)		 Emergency Management Team 3 years after superseded; permanent in Archives  
Event Request Form
     (When Security is Provided)		 University Police End of calendar year + 1 year  
FCC Licensing
     Electronic, hard copy -- Radio licenses (original)		  
Until superseded; transfer to Archives		  
Fire Alarms
     Electronic, hard copy -- Programming information for Fire Alarms/University Wide		  
End of calendar year + 1 year		  

Firearms and Ammunition Records

Inventories of assignments.

   Until superseded or obsolete + 2 years  

Incident Reports

Non-Criminal History Case Files that include basic information on the nature of offense or complaint, times, names of those involved, descriptions, vehicle information, and actions taken.

University Police - Records Team

End of calendar year + 7 years

  

Internal Affairs Case Files - Incident Log

Reported employee misconduct or department complaints.

 University Police - Director of Operations Date of last entry + 7 years  

Internal Affairs Case Files - Substantiated Charges

Initial report and disposition documentation, in addition to extensive investigators' reports, statements and relevant documents.

University Police - Director of Operations

 Separation of employment + 3 years  

Internal Affairs Case Files - Unsubstantiated Charges

Initial report and disposition documentation, in addition to extensive investigators' reports, statements and relevant documents.

University Police - Director of Operations

 Close of investigation, or union rules (if applicable) + 3 years  
IT Systems/Network Access
Active directory -- List of users/groups/permissions		  
End of calendar year + 3 years 		  
K-9 Veterinary and Training Records University Police

End of calendar year + 3 years 

  
Keys
Electronic, hard copy -- Key Access Forms, Key Control, Key Request Forms		  
Separation of employment + 3 years		  
Monthly Police Officer (PO) Stats   End of calendar year + 3 Years  
Non-Traffic Citations (Summary Case Files)   Close of investigation + 7 years  
Parking Records
Permits, appeals and fines		   End of calendar year + 3 years  
Police Incident Reports
Criminal, Non-Criminal, Vehicle Code Accidents		  
7 years or Statute of Limitations dependent on incident type		  
Police Policies and Procedures   Until superseded + 7 years  
Press Log - Clery -- Daily Crime and Fire Log   End of calendar year + 7 years

Clery Act of 1990, 20 U.S.C. § 1092(f);

Uniform Crime Reporting Act 18 P.S. § 20.303

Property Records

(Evidence/Found/Recovered)

 University Police - Records Team

7 years after no longer in custody of University Police 

OR

If part of Criminal History Case File - see records series

  
Protected Critical Infrastructure Information
     Electronic, hard copy		  
3 years after last activity		  
Report a Crime Online Submission University Police - Records Team End of calendar year + 3 years  
Security Guard Files University Police 2 years after date of last activity  
Security Lapse Forms
     Hard copy/electronic spreadsheet		  
End of calendar year + 1 year		  
Security Network Information
     - IP information, equipment files, etc.		  
End of calendar year + 1 year		  
Stadium Ejection Cards/Pre-party Contacts
     Forms filled out by officers to record contact with persons ejected from the stadium or hosting tailgate party prior to game time. (If part of Criminal History Case File, see that records series above).		  


End of calendar year + 7 years

OR

If part of Criminal History Case File - see records series

  
Traffic Citations - Police copies of citations issued/filed (If part of Criminal History Case File, see that records series above).  

Close of investigation + 3 years

OR

If part of Criminal History Case File - see records series

  
Uniform Crime Reporting (UCR) - UCR submissions and audit reports   End of calendar year + 7 years 

Uniform Crime Reporting Act 18 P.S. § 20.303
Vehicle Maintenance Reports   End of calendar year + 3 years  
Vendor Contact Information - Electronic, hard copy   3 years after last activity  
Waiver liability   End of calendar year + 1 year  
Warning Cards   End of calendar year + 1 year  
Wiretap Consensual Applications, Orders, and Reports   Immediately upon completion of the order of the court to destroy.

Wiretapping and Electronic Surveillance Control Act 18 Pa.C.S.A. § 5715
Wiretap Content   Minimum of 30 days and maximum of 90 days after date of recording

Wiretapping and Electronic Surveillance Control Act 18 Pa.C.S.A. § 5749

PRIVACY

Privacy Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
HIPAA Covered Component Disclosures   End of calendar year + 7 years

Pa. Code § 16.95(e) (2008)
HIPAA Privacy Policy Training Records   7 years after termination, resignation or retirement  
Notifiable Data Breach Records   6 years after date of creation  

PUBLICATIONS

NOTE: Retention periods refer to University-specific publications. Non-University publications should be disposed within 1 year of receipt and use.

Publications Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Annual Reports, Bibliographies, Biographies/Vitas, Handbooks, Histories, Journals/Journal Articles, Literary Publications, Magazines, Newsletters, Speeches/Presentations/Talks   Until superseded; review by Archives  
Calendars, Catalogs, Directories, Newspapers, Promotional Literature, Yearbooks   Until superseded  
News Releases   End of calendar year + 3 years; transfer to Archives  
Requests for Information/Publication   6 months after request  

REGISTRAR

Registrar Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Change of Assignments   End of calendar year + 2 years  
Change of Major Forms   End of calendar year + 2 years  
Credit by Exam or Portfolio Forms   End of calendar year + 2 years  
Commencement Programs   Until superseded; transfer to Archives  
Deferred Grade Forms   End of calendar year + 1 year  
Degree Audits: Exceptions and Substitutions   6 years after graduation or termination  
Grade Documentation
     Grade Change Forms and student information system surrogates
     Signed Grade Rosters from student information systems
     Grade Scan Sheets
Registrar's Office
 
50 years
 		  
Honor's Options Forms   End of calendar year + 2 years  
Leave of Absence Forms   3 years after leave approved  
Name Change Documentation
     Name Change Forms
     Name Change Documentation
Registrar's Office
50 years		  
Petitions for Exception to Student Policies   End of calendar year + 3 years  
Re-Enrollments   3 years after last enrollment  
Request to Release/Consent to Release Student Records Directory Information Form   72 years after separation from the University  
Request to Withhold Directory Information Form   72 years after separation from the University  
Registration Documentation
     Drop/Add Forms
     Late Drop Forms
     Administrative Course Cancellation Forms
     Registration Correspondence		  
End of calendar year + 1 year
 		  
Transcripts (Academic)   Permanent in Archives  
Withdrawal Forms   End of calendar year + 3 years  
Military Orders/Military Duty   7 years after submission  
Act 48 Record Files   5 years after graduation or last academic activity  

RESEARCH PROTECTIONS

Research Protections - Biosafety 

Research Protections - Biosafety (IBC, IRE, ESCRO) Records Retention Schedule - Updated October 2023 
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Protocols and Amendments CATS Safety and PRAMS Closure of protocol + 6 years Policy RP11: Use of Regulated and Biohazardous Materials in Research and Instruction
Reports of Concerns - Not related to a protocol Office for Research Protections Evaluation date + 6 years Policy RP11
Reports of Concerns - Protocol related Office for Research Protections Closure of protocol + 6 years Policy RP11
Inventory of Biohazardous Materials Office for Research Protections Closure of protocol + 6 years Policy RP11
Internal Policy, Guidelines, and SOPs Office for Research Protections When superseded or outdated + 3 years; review by Archives  
IBC, IRE, ESCRO Meeting Minutes Office for Research Protections End of calendar year + 6 years; review by Archives Policy RP11
DURC Determinations, Correspondence (PI, IRE, IBC) Office for Research Protections Closure of protocol + 6 years Policy RP11

 Research Protections – Certificate of Scientific Exchange

                         Research Protections – Certificate of Scientific Exchange (COSE) Records Retention Schedule - Updated OCTOBER 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Research Permits - U.S. Fish and Wildlife Institutional COSE Permit

 

Office for Research Protections

 End of review + a minimum of 3 years Fish and Wildlife Service schedule

 

Denied Permit Applications

Office for Research Protections

Final determination + 3 years

 Fish and Wildlife Service schedule

Institutional COSE Permit Annual Report – permittee must provide an annual report to maintain permit

 

Office for Research Protections

 Date of submittion to U.S. Fish and Wildlife + 6 years

 

Research Protections - Conflict of Interest

Research Protections - Conflict of Interest Records Retention Schedule - Updated OCTOBER 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

COI Committee Files

Includes Individual and Institutional COI Committee meeting minutes, copies of correspondence between the COI committees and investigators, and lists of current and previous members of COI committees.

 

COI Program

OR

Penn State College of Medicine - COI Program

 End of review + a minimum of 3 years 42 CFR Part 50.604

COI Disclosure Files

 

COI Program

OR

Penn State College of Medicine - COI Program

For awards that are renewed quarterly or annually - Submission of the report + a minimum 3 years. All other disclosures- Date of the final expenditure report + a minimum of 3 years

 42 CFR Part 50.604

COI Education and Outreach Records

 

COI Program

OR

Penn State College of Medicine - COI Program

 When superseded or outdated + a minimum of 3 years; review by Archives

NSF Grant Policy Manual, Chapter V, Section 510, g - NSF regulation 

21 CFR §54.6(b) – FDA regulation 

42 CFR §50.604(i) – PHS regulation 

COI Policy and Procedure Files

 

COI Program

OR

Penn State College of Medicine - COI Program

 When superseded or outdated + 1 year; review by Archives  

 

 Research Protections - Drones Program

Research Protections - Drones Program Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Drone Flight Requests, and Aircraft Registrations

 Drones Risk Safety and Solutions (Drones RSS) system hosted through UC Davis Date of request + 4 years  
FAA Decisions on Temporary Flight Restriction (TFR) requests and CFR Part 107 Waiver Requests (including authorizations and denials).  Office for Research Protections When superseded or outdated + 1 year  
Drone Insurance Schedule Office for Research Protections Current year + 2 years  
Drone Policy and Procedure Files Office for Research Protections When superseded or outdated; review by Archives Policy SY45: Use of Drones
Advisory Committee and Safety Pilot Committee Files Office for Research Protections 3 years; review by Archives  
Education and Outreach Records (including adoption of new rules and regulations) Office for Research Protections 3 years; review by Archives  
Drone Accidents and Non-Compliance Files Office for Research Protections 3 years  
Individual Pilot Credentials Office for Research Protections TRUST Certification -  indefinitely  

 

Research Protections - Education and Outreach

Research Protections - Education Outreach Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
ACOR Certification & Education Series (ACES) Certification and Education Records Office for Research Protections When superseded or outdated + minimum of 3 years  
Scholarship and Research Integrity (SARI) Program Plans Office for Research Protections When superseded or outdated + minimum of 3 years; review by Archives  
Client Survey Data Office for Research Protections Completion of analysis + minimum of 7 years  

Client Survey Reports

 Office for Research Protections When superseded or outdated + minimum of 7 years  

Research Protections -  Human Research Protection Program 

Research Protections - Human Research Protection Program (HRPP) Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Protocol Files Office for Research Protections Closure of protocol + minimum of 6 years HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)
AAHRPP Submissions and annual reports  Office for Research Protections 2 AAHRPP reaccreditation cycles (retain 2 applications and all annual reports within each cycle); review by Archives  
Committee Member Surveys Office for Research Protections When superseded or outdated + 7 years  

IRB Registration

 Office for Research Protections When superseded or inactivated + 3 years  

Federal Wide Assurance

 Office for Research Protections When superseded or inactivated + 3 years  
Policies and Procedures Office for Research Protections When superseded or outdated + 6 years; review by Archives HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)
IRB Records Office for Research Protections When superseded or outdated + 6 years HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)

Research Protections - Institutional Animal Care and Use Committee (IACUC)

Research Protections -  Institutional Animal Care and Use Committee (IACUC) Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Protocols and Amendments - Protocol Closure

Includes protocol and other approval documents submitted by the PI

 Office for Research Protections Protocol closure + 4 years

Policy RP04: Care and Use of Vertebrate Animals

PHS Policy (IV, E, 1-2)           9 CFR AWAR
Semi-Annual Program Reviews and Facility Inspection Reports Office for Research Protections Date the review is provided to the Institutional Official + 7 years; review by Archives Policy RP04

Facility Inspection Reports

 Office for Research Protections Date of inspection + 7 years Policy RP04
USDA Inspection Reports Office for Research Protections Date of inspection + 7 years 9 CFR AWAR
Reports of Concerns - Not related to a protocol Office for Research Protections Date of inspection + 7 years Policy RP04: Care and Use of Vertebrate Animals
Reports of Concerns - Protocol related Office for Research Protections Date of inspection + 7 years Policy RP04

Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC) Program Descriptions & Annual Reports

 Office for Research Protections Date program description and annual report submitted to AAALAC + 7 years (2 full accreditation cycles)  
Office for Laboratory Animal Welfare (OLAW) Animal Welfare Assurances Office for Research Protections Date of most recent assurance renewal approved by OLAW + 8 years Policy RP04
OLAW Annual Reports Office for Research Protections Date annual report submitted to OLAW + 7 years; review by Archives Policy RP04
USDA Annual Reports Office for Research Protections Date annual report submitted to USDA + 7 years; review by Archives 9 CFR AWAR
Policy, Guideline, and Procedure Files Office for Research Protections When superseded or outdated + 7 years; review by Archives Policy RP04
IACUC Correspondence (PI, USDA, OLAW) - Not protocol related Office for Research Protections Date of correspondence + 7 years Policy RP04
IACUC Correspondence (PI, USDA, OLAW) - Protocol related Office for Research Protections Date of correspondence + 7 years Policy RP04

Research Protections - Quality Assurance 

Research Protections - Quality Assurance Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Post Approval Review (PAR) Notes Office for Research Protections Conclusion of audits without findings + 7 years  
Post Approval Review (PAR) Summary of Findings Office for Research Protections Date of review + 10 years  
Investigational New Drug (IND) and Device Exemption (IDE) Training Materials Office for Research Protections When superseded or outdated + 2 years  

Documentation of Federal Drug Administration Debarment Report 

Debarment report checks sent to Investigative Officers

 Office for Research Protections Date completed + 7 years  

Federal Drug Administration Debarment List

List of firms or persons created by the FDA that are debarred and may no longer work for a firm holding a pending or approved drug product application at the FDA.

 Office for Research Protections List pulled + 7 years  

Research Protections - Radioisotopes

Research Protections - Radioisotopes University Isotopes Committee (UIC) Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Protocols and amendments

Includes applications and approval documents submitted by the PI and records of completed training

 PRAMS and Radiation Safety Officer Closure of protocol + 10 years 10 CFR 30.35(g)
Reports of Concern - Not protocol related Radiation Safety Officer Evaluation date + 10 years 10 CFR 30.35(g)
Reports of Concern - Protocol related Radiation Safety Officer Closure of protocol + 10 years 10 CFR 30.35(g)

Research Protections - Research Misconduct

Research Protections - Research Misconduct Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Investigation Files Office of Research Protections Close of all proceedings + 7 years

42 CFR Parts 50 and 93.317;

DOD Instruction Number 3210.7;

2 CFR 422

Unwarranted Investigation Files

 

The Research Integrity Officer 

 Termination of inquiry + 7 years

42 CFR Parts 50 and 93.317;

DOD Instruction Number 3210.7;

2 CFR 422

Unwarranted Inquiry Files

 

The Research Integrity Officer 

 Termination of assessment + 7 years  

Research Protections - Scientific Diving Program

Research Protections - Diving Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE

Medical Examination Reports

Medical records shall be available to the attending physician of a diver or former diver when released in writing by the diver.

 Office for Research Protections End of calendar year in which report created + 5 years  
Diving Safety Manual Office for Research Protections When superseded or outdated + 3 years OSHA, 1910.440(b)(3)(ii)  + 3 years for reference purposes
Dive Records - No incident Office for Research Protections End of calendar year in which dive occurred + 1 year OSHA, 1910.440(b)(3)(iv) + AAUS Dive Standards Safety Manual
Dive Records - Incident Office for Research Protections End of calendar year in which dive occurred + 5 years OSHA, 1910.440(b)(3)(iv)
Pressure-related injury assessment records Office for Research Protections End of calendar year in which assessment occurred + 5 years OSHA, 1910.440(b)(3)(vii)
Equipment inspection and testing records Dive Safety Officer Current entry / tag, or until equipment is withdrawn from service OSHA, 1910.440(b)(3)(vi)

RISK MANAGEMENT

Risk Management Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Incident Forms   Current fiscal year + 2 years  
Permission to Possess/Use Alcoholic Beverages   Current fiscal year + 2 years  

SPECIAL PROGRAMS AND EVENTS

Special Programs and Events Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Continuing and Distance Education   See Curriculum Record Schedule  
Cooperative Programs   End of calendar year + 3 years; review by Archives  

EDUCATIONAL EVENTS (Non-Curriculum):

Conferences, Institutes, Lectures, Meetings, Seminars and Short Courses

(Including agendas, correspondence, handouts, publications, registration lists, reference materials and reports)

   End of calendar year + 3 years; review by Archives  
Interdisciplinary Programs   End of calendar year + 3 years; review by Archives  

OFFICIAL EVENTS:

Anniversaries, Awards, Convocations, Dedications, Inaugurations, Memorial Services and Mergers/Federations

(Including agendas, correspondence, handouts, invitations, programs, publications, registration lists, reference materials and reports)

   End of calendar year + 3 years; review by Archives  
Remedial Programs   See Curriculum Records Schedule  

SOCIAL EVENTS:

Concerts, Dances, Festivals, Homecomings, Open Houses, Receptions and Reunions

(including agendas, correspondence, handouts, programs, publications, registration lists, reference materials and reports)

   End of calendar year + 3 years; review by Archives  
Special Project or Program Files   3 years after completion or termination; Final Report review by Archives  

STUDENT DISABILITY RESOURCES

Student Disability Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Student Disability Complaint Records   End of academic year in which complaint made + 3 years  
Student Documentation Records - Accepted   Last date of attendance + 5 years  
Student Documentation Records - Incomplete   End of academic year in which application began + 3 years  

STUDENT LIFE

Student Life Records Retention Schedule
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Event Production Documentation   3 years; review by Archives  
Multimedia Productions   As distributed, transfer to Archives  
Program Giveaway and Enhancement Records - See Policy FN10.   End of academic year + 3 years  

STUDENT RECORDS

NOTE: Student educational records are defined as those records (any format) which contain information directly related to a student and are maintained by the University or by a person acting for the University pursuant to University, college, campus, or departmental policy. (See also Policy AD11.)

Student educational records are subject to the constraints of the Family Educational Rights and Privacy Act (Buckley Amendment). They do not include records of instructional, supervisory, and administrative personnel and ancillary educational personnel which are in the sole possession of the maker and which are not accessible or revealed to any other person except a designated substitute. Other exclusions include:

  • Notes of a professor/staff member concerning a student and intended for the professor's/staff member's own use are not subject to inspection, disclosure, and challenge. 
  • Records of the Police & Public Safety Records Division, except in those instances where they are transmitted within the University for administrative purposes.
  • Records relating to an individual who is employed by an educational agency or institution not as a result of his/her status as a student which:
    1. Are created and maintained in the normal course of business;
    2. Relate exclusively to the individual in that individual's capacity as an employee; and
    3. Are not available for use for any other purpose.
    However, employment records relating to University students, who are employed as a result of their status as students, are considered educational records. 
  • Records on students which are created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting or assisting in that capacity are not subject to the provisions of access, disclosure, and challenge. Such records, however, must be created, maintained, or used only in connection with the provision of treatment to the student and are not available to anyone other than the persons providing such treatment or a substitute. Such records may be personally reviewed by a physician or other appropriate professional of the student's choice. 
  • Application records of students not admitted to the University; however, once a student has enrolled in an academic offering of the University, application information becomes part of the student's educational records.
  • Alumni records.

Student records should always be destroyed by shredding.

 

Student Records Retention Schedule - Updated AUGUST 2019
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Academic Advisement Department

3 years after graduation

OR

7 years after last activity for students who have not graduated

  
Academic Dismissal (from University, for conduct standard violation)   3 years after termination  
Advisor's Files   3 years after student's last activity  
Alumni Lists   0 after superseded  
Assistantship/Fellowship Stipend
   Procedural Documentation
   Student Records		  
3 years after termination or expiration
3 years after last activity [Destroy by shredding]		  
Education Credentials   10 years after last use  
Student Information System Access and Transaction Logs Records Registrar's Office / LionPath or eLion 7 years from date of creation  
Establishment of State Residence Form   3 years after graduation or termination  
Examinations & Answer Sheets   1 year after administered  

Field trip Records

Including checklist, emergency contact form, charge slip, release and code of conduct form

   End of academic year + 1 year  
Financial Aid: Scholarships, Grants, and Awards
      Terms/Requirements
      Applications, Correspondence, Reports		  
0 after superseded
3 years after award distributed		  
Grades
      Appeals
      Books		  
1 year after decision rendered
5 years after course completion		  

Graduate Assistantships Records

Limited to Terms of Offer, Memorandum of Understanding, English Fluency, and Variable Rate Form

The Graduate School, Office of Graduate Fellowships and Awards Administration / DocFinity

Graduation + 4 years

OR

Last activity + 12 years

Graduate School Policies:

GCAC-700-H Time Limitation - Professional Doctoral Degrees

GCAC-700-BB Time Limitation - Professional Master's Degrees
Graduate Candidacy & Comprehensive Examinations   7 years after last activity  
Letters of Student Verification World Campus 3 years after submission to student  
Majors/Minors   5 years after last activity  
Mandatory Alcohol/ Marijuana Intervention Program Participation

Judicial Affairs

 3 years after program completion  
Registrar's Statistical Reports   0 after obsolete  
Student Conduct Reviews

Judicial Affairs

 7 years after last activity  
Student Death Notices
Includes current student, former student (not graduate) and alumni.
Examples: Correspondence with Student's Family. Email notices to Registrar, Alumni Relations, etc. to remove student from current listing, enroll from classes, etc.

Student Affairs - Student Rights & Responsibilities / Maxient

 7 years after notification of death

Clery Act of 1990, 20 U.S.C. § 1092(f)
Theses & Dissertations University Library Permanent  
Trade Adjustment Assistance Authorization Program (Financial Aid) Records   End of calendar year in which the final expenditure report charged to a program year's allotment is submitted + 3 years  

YOUTH PROGRAMS (Programs involving youths and minors, including Sports Camps)

Youth Program Records Retention Schedule - Updated March 2021
RECORDS SERIES (Types of Records) RESPONSIBLE PARTY / SYSTEM OF RECORD RETENTION PERIOD & DISPOSITION METHOD RETENTION RATIONALE
Operational Materials (program)
   Including but not limited to: Access forms for internet and facilities, general program correspondence, daily sign in/sign out sheets, discipline reports, and safety plans.		 Specific Youth Program End of calendar year for program year + 3 years  
Registration Materials (by participant)
    Including but not limited to: Youth participant application, registration, medical treatment information form, medical consent form, concussion form(1), fees and payment, correspondence about youth participant, field trip permissions, release of liability, photo release(1).
    Organize by: Birthdate, starting with youngest participant
(1) Photo releases do not apply to pictures of program participants once they are past the age of 18. No photos of participants past the age of 18 should be used.		 Specific Youth Program Until attendee has reached the age of 18 + 2 years Policy AD53: Privacy Policy
Youth Program Volunteer Background Checks (for all units and programs)
   Including but not limited to: Pennsylvania State Police Criminal Background Check (SP-164); Pennsylvania Child Abuse History Clearance Form (CY-113); Federal (FBI) Fingerprint Criminal Background Check (Criminal History Report(1), National Sex Offender Registry(2), Out of State Clearances(3), Arrest and Conviction Self Disclosure form
   NOTE: Volunteers can use clearances from their state of residence if volunteering for less than 90 days in the state of PA
    Organize by: Volunteer Name, Date of Clearance, Program Name
(1)FBI fingerprints not required if the volunteer has resided in the state of PA for the previous 10 consecutive years
(2)National Sex Offender Registry is required for positions in child-day care facilities only.
(3)Out of state clearances are required only for those seeking positions in a child-day care center and have resided outside of PA over the course of the previous 5 years		 Individual Unit *Units may select the secure method of storage at their own discretion Date of clearance + 7 years PA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

 

Date Approved
Date Published