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., separation was on 6-30-2001 and the retention reads "Retain for 6 years", dispose on 6-30-2007.

 

GENERAL ADMINISTRATIVE RECORDS

General Administrative Records Retention Schedule - Updated March 2021
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 / Kaltura3 years from the last viewed datePolicy 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 / ZoomFrom 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 

Allied Health Programs

 

Allied Health Programs: Physical Therapist Assistant Program  Retention Schedule
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Skill Competency Documentation- Physical Therapy Assistants are provided with a list of critical physical therapy skills  which they are responsible for demonstrating competency. A student must demonstrate each skill safely and competently to an evaluator during a skill check or practical examination.PTA program Coordinator Graduation + 4 years                                                                                                                                                                                                                                                                                                                              

ATHLETICS

 

Athletics Records Retention Schedule - Updated June 2020
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 / DocFinityDate 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 yearsECFR :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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 ArchivePermanent 
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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Committee Files
Includes Alumni Association Governing Board, Campaign Operating Group (COG), External Engagement, Gift Planning Advisory Council, Alumni Council, Member Experience Committee
All departmentsEnd 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 departments3 years, review by Archives 
External Correspondence
Includes Gift Planning marketing newsletters, bi-annual newsletters, and marketing materials
All departmentsEnd of calendar year + 3 years 
Internal Policy and Procedure FilesAll departments1 year after superseded, review by Archives 
PresentationsAll departments0 after superseded, review by Archives 
Publications
Includes the Penn Stater Magazine, AlumInsider, and Football Letter
All departments0 after superseded, review by Archives 
Special Programs and Events
Includes DDAR programs and events files, and leadership conferences
All departments3 years, review by Archives 
President's Report of Endowments and PhilanthropyExternal Engagement3 years, review by Archives 
Volunteer Files
Includes volunteer programs membership rosters
External Engagement / iFiles7 years after last activity 
Endowment Agreements
Includes correspondence and information related to the creation of the endowment
Gift Planning / iFilesPermanent 
Estate FilesGift Planning / iFilesPermanent 
Gift Annuities
Includes contractual arrangements between the University and the donor
Gift Planning / SharePoint EnclaveEnd of contract OR death of donor + 7 years 
Perpetual Funds
Includes external endowments from outside agencies or institutions
Gift Planning / iFilesPermanent 
Diversity, Equity, and Inclusion Programming RecordsVP Development and Alumni Relations; Diversity, Equity, and Inclusion3 years after last activity 
CEO Official Correspondence and NewslettersPenn State Alumni Association - Executive AdministrationEnd of calendar year + 3 years 
Annual Lists from IRS for Tax-exempt Affiliate GroupsPenn State Alumni Association - Business and FinanceEnd of fiscal year + 7 years 
Annual Operating Budget Files
Includes categorical expenses, endowments, membership income, and withdrawals
Penn State Alumni Association - Business and FinanceEnd of fiscal year + 7 years 
Audited Financial StatementsPenn State Alumni Association - Business and FinancePermanent 
Investment Portfolio Records
Includes financial statements
Penn State Alumni Association - Business and FinanceEnd 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 LionLink7 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 Services3 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 SystemEvent 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 NotesEnd of calendar year + 10 years 
Travel Blue Discount Program
Includes contracts, amendments, addendums, commission earnings, and marketing contributions
Penn State Alumni Association - Events and TravelEnd of calendar year + 5 years 
Opinion Survey Results and Reports
Includes post-event satisfaction surveys
Penn State Alumni Association - Operations / SurveyMonkey and Cvent3 years 
Sourcebooks
Includes Alumni Association Annual Report, updates on major events, and new council members
Penn State Alumni Association - OperationsPermanent, transfer 1 copy to Archives 
Business Development Records
Includes data for reporting quarterly and annual auditing and financial recordings
Penn State Alumni Association - Resource Development7 years 
Elms Collections, Endowment FilesPenn State Alumni Association - Resource DevelopmentPermanent 
Elms Collections, Purchase and Invoice FilesPenn State Alumni Association - Resource Development / Big Commerce7 years 
Penn State Alumni Association License Plate Program
Includes application and payment information
Penn State Alumni Association - Resource Development7 years 
Solicitation Reports
Includes final fiscal year reports of membership appeals and solicitations
Penn State Alumni Association - Resource DevelopmentEnd of calendar year + 10 years 
Yearly Electronic Document Distribution System (EDDS) ReportPenn State Alumni Association - Resource DevelopmentEnd of calendar year + 3 years 
Academic Advisement Files
Includes FirstStart Mentor files
Penn State Alumni Association - Student and Young Alumni7 years after last contact or activity 
Student Organization Records
Includes Lion Ambassadors and Blue and White Society
Penn State Alumni Association - Student and Young AlumniEnd of calendar year + 3 years, review by Archives 
Applications and Awards ReceivedPenn State Alumni Association - The Penn Stater MagazineEnd of calendar year + 3 years 
Contracts (Agreements of Vended Services)
Includes freelance writers, photographers, and illustrator contracts
Penn State Alumni Association - The Penn Stater MagazineClose 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 MagazinePermanent17 U.S. Code § 507 - Limitations on Actions
Photograph and Graphic Designs TemplatesPenn State Alumni Association - The Penn Stater MagazineDestroy after superseded due to copyright 
Affiliate Group Documents
Includes annual reports, bylaws, and tax documents
Penn State Alumni Association - Volunteer Services7 years, review by Archives 
Alumni Council / Governing Board FilesPenn State Alumni Association - Volunteer Services / BoardEffectEnd of calendar year + 3 years, review by Archives 
Internal Procedures
Includes chapter leaders resource guide
Penn State Alumni Association - Volunteer ServicesWhen 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Building Incident Reports - (Non Fire Related, Non-Exposure, Non-Environmental, Non-Radiation)EHS Central OfficeEnd of calendar year + 7 yearsJeanne 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 OfficeEnd of calendar year + 6 years6 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 OfficeEnd of calendar year + 3 years6 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 OfficeUntil superseded or outdated + 3 years; review by Archives 
Emergency Planning Community Right to Know Reports - both Unit & CentralEHS Central OfficeUntil superseded or outdated + 1 yearEmergency Planning and Community Right-to-Know Act (EPCRA)
Employee Exposure/Injury Records - Not including NoiseEHS Central OfficeEnd of calendar year in which exposure document + 30 years29 CFR Ch. XVII § 1910.1020
Employee Exposure Records - NoiseEHS Central OfficeEnd of calendar year in which exposure documented + 2 yearsOSHA 1910.95(m)(3)(i)
Employee Participation and Safety Review Records (Process Safety Management)EHS Central OfficeEnd of calendar year in which review performed + 15 years 
Environmental Health and Safety Employee Training Records & Sign-in SheetsEHS Central OfficeEnd 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 OfficeEnd of calendar year which in which audit was completed + 7 years 
Environmental Health and Safety Inspections and Audits - Process Safety Management (PSM)EHS Central OfficeEnd of calendar year which in which audit was completed + 15 years 
Environmental Health and Safety Training Program MaterialsEHS Central OfficeUntil superseded or outdated + 3 years 
Environmental Real Estate History RecordsEHS Central OfficeBuilding demolition or transfer of ownership + 4 years; review by Archives 
Environmental Spill and Emergency PlansEHS Central OfficeUntil superseded or outdated + 5 years; review by Archives25 Pa. Code 262a.100
Equipment Calibration & Testing Records - RadioactiveEHS Central OfficeExpiration of License + 3 years 
Equipment Calibration & Testing Records - Non RadioactiveEHS Central OfficeDecommissioning of equipment + 30 years 
Equipment InventoriesEHS Central OfficeExpiration of License + 3 years 
Equipment Testing Records (Shower & Eyewash)EHS Central OfficeLife of process + 3 years 
Federal and State Special forms of Permits, Approvals, Registrations, and SubmissionsEHS Central OfficeExpiration 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 InspectionsEHS Central OfficeBuilding demolition or transfer of ownership + 3 years 
Hazardous Building Materials RecordsEHS Central OfficeTransfer 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 RecordsEHS Central OfficePermanent 
Hazardous Materials - Shipping & Receiving RecordsEHS Central OfficeEnd of calendar year + 3 years40 CFR Section 262.40; Section 101 ESIGN Act
Infectious, Radioactive, and Hazardous Waste Pickup Request RecordsEHS Central OfficeEnd of calendar year + 3 years

40 CFR Section 262.40;

PA 25 Section 284.703;

Section 101 ESIGN Act

Infectious Waste Transporter Licenses RecordsEHS Central OfficeUntil superseded or outdated + 3 yearsPA 25 Section 284.602
Integrated Safety Plan RecordsEHS Central OfficeEnd of calendar year in which safety plan was disbanded + 3 years 
Isotope Use and Decommissioning RecordsEHS Central OfficeExpiration of license + 3 yearsU.S. NRC 36.81
Laser Safety Officer Transfer of Authority RecordsEHS Central OfficeUntil superseded or outdated + 3 years 
Preventive Maintenance (Process Safety Management)EHS Central OfficeCompletion of preventive maintenance + life of the equipment or process 
Radioactive License and Amendment RecordsEHS Central OfficeExpiration of license + 3 yearsU.S. NRC 36.81
Radioactive Material SurveysEHS Central OfficeEnd of calendar year in which survey completed + 3 yearsU.S. NRC 36.81
Radioactive Materials RecordsEHS Central OfficeTransfer or disposal of material + 3 yearsU.S. NRC 30.51
Regulatory Interpretation ReportsEHS Central OfficeExpiration 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 OfficeClose of incident and permits + 7 years 
Safety Council MinutesEHS Central OfficeEnd 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Annual and semi-annual self-audits and inspections - records completed by the work unit that show compliance with EHS programsDepartmentEnd of calendar year + 1 year 
Chemical Use Listing/ Safety Data SheetsDepartmentSuperseded/outdated + 30 years 
Chemical waste area and pesticide storage area inspectionsDepartmentEnd of calendar year + 3 yearsPennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Commercial cooking exhaust cleaningDepartmentUntil superseded 
Emergency Planning Community Right-to-Know ReportsDepartmentSuperseded/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 sheetsAll unitsEnd of calendar year in which course ends or separation of employment + 30 years 
Equipment and confined space inventoriesDepartmentUntil superseded 
Equipment inspection and repair records - annual equipment inspection or repair records by regulator, vendor, or qualified personnelDepartmentLife of equipment or 7 years, whichever is longerNFPA 70E
Equipment inspection records - monthly or longer equipment inspection records by departmental personnelDepartmentEnd of calendar year + 3 years 
Equipment inspection records and permits - daily, weekly, and prior to use equipment inspection records by departmental personnelDepartmentEnd of calendar year + 1 yearNFPA 70E
Explosives recordsDepartmentExpiration of permit + 3 years27 CFR 555.122–.125
Fire Protection System - new installation Life of equipment 
Fire safety equipment and building evacuation exercisesDepartmentEnd of calendar year + 3 years 
Hazardous material shipping records End of calendar year + 3 years 
Hazardous materials inventories - chemicals, pesticides, and radioactive materialsDepartmentDate of acquisition + 1 year 
Instrument calibrationDepartmentLife of equipment + 30 years 
Integrated Safety Plan (ISP) and Safety Committee Meeting MinutesDepartmentEnd of calendar year + 3 years 
Licenses / RegistrationsDepartmentUntil superseded 
Pesticide application recordsDepartmentDate of application + 3 yearsPennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Refrigerant recordsDepartmentEnd of calendar year + 3 years40 CFR Part 82, Subpart F §82.154
Refrigerant technician certificationDepartmentPeriod of employment in the work unit + 3 years40 CFR Part 82, Subpart F §82.154
Residence Hall Fire DrillsDepartmentEnd of calendar year + 7 years 

Safety and Environmental Plans / Work Area Assessments

Initial and annual reviews, and updates

DepartmentUntil superseded or updated + 1 year 
Spotted Lanternfly InspectionsDepartmentEnd of calendar year + 2 yearsPennsylvania Department of Agriculture (PDA) Spotted Lantern Fly Quarantine Regulations
Standard Operating ProceduresDepartmentLife of equipment 
User evaluationsDepartmentPeriod of employment in the work unit 
Waste Disposal documentation - Chemical/Hazardous WasteDepartmentEnd of calendar year + 3 years42 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Grease/Used Cooking OilDepartmentEnd of calendar year + 3 years40 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Infectious WasteDepartmentEnd of calendar year + 2 years41 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping

 

 Office of Equal Opportunity and Access

 

Office of Equal Opportunity and Access (OEOA) Retention Schedule - Updated October 2024
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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
OEOA- Title IX Coordinator / MaxientSeparation of employment or close of case + 7 years34 CFR § 106.45(b)(10)
Policy AD85: Title IX Sexual Harassment
OEOA - 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
OEOA - Title IX Coordinator / MaxientSeparation of employment or close of case + 7 years34 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
OEOA - ADA CoordinatorSeparation of employment or close of case + 7 years42 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
OEOA - ADA CoordinatorDate of consultation/advice + 7 years29 C.F.R. § 1602.14
Policy HR09: Reasonable Accommodation for University Employees
Equal Opportunity and Access 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
OEOAConclusion of search + 3 yearsPolicy 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
Equal Opportunity and Access 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
OEOASeparation of employment or close of case + 7 years42 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
Equal Opportunity and Access Consultations and Advice
Inquiries and requests for advice from AAO from Units and Employees
Organize by: Employee Name/Unit, Case Type, Date Received
OEOADate of consultation/advice + 7 years29 C.F.R. § 1602.14
Equal Opportunity and Access Data Plan
An annually produced document that contains statistical 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
OEOAPlan year + 7 years, review by Archives41 C.F.R. 60-1.41
Equal Opportunity and Access Database of Historical Metrics and Statistics
Non-identifiable information on consultations, complaints, investigations, accommodations, and longitudinal trends. Excludes all PII.
Organize by: Year
OEOADate of close of investigation + 10 years, review by Archives 
Equal Opportunity and Access Training Materials
General training materials for courses and workshops offered to the University community. Includes but not limited to Participant lists.
Organize by: Year
OEOA OR Learning Resources Network (LRN)Until superseded or outdated + 7 years 

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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Health Services Forms 7 years after last treatmentSection II (K) of Policy AD22
Health Services Forms - Minor Patients Age of majority (18 years old) + 7 yearsSection 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Academic Administration Summaries Distribution to faculty and staff + 5 years, transfer to ArchivesPolicy AC14: Academic Administrative Evaluation
Drug Testing Records - Negative or canceledPenn State Human Resources - Occupational MedicineEnd of calendar year + 1 year 
Drug Testing Records - Positive or refusedPenn State Human Resources - Occupational MedicineEnd 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 ManagementSeparation of employment + 6 years

Policy HR60: Access to Employee Personnel File

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

I-9 RecordsPenn 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 PostingsPenn State Human ResourcesWhen 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 RehirePenn State Human Resources - Labor and Employee Relations (LER)Permanent 
LER - Labor Relation RecordsPenn State Human Resources - Labor and Employee Relations (LER)End of all agreements with certified bargaining unit + 7 years, review by Archives 
LER - Layoff Agreement PacketPenn State Human Resources - Labor and Employee Relations (LER)Separation of employment + 6 years 
LER - Title IX-related Discipline by Unit LeadershipPenn State Human Resources - Labor and Employee Relations (LER)Separation of employment + 6 yearsTitle IX of Education Amendments Act of 1972
LER - Workflow Termination SummaryPenn State Human Resources - Labor and Employee Relations (LER)Separation of employment + 6 years 
Medical LeavesPenn State Human Resources - Absence ManagementEnd 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 ManagementSeparation 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 FilePenn State Human Resources - Absence Management / Broadspire SystemClose 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 OnboardingSeparation 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Applications - NOT HiredHead of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay RecruitingConclusion 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/UnitEnd of calendar year + 3 years 
Letters of Recommendation - NOT HiredHead of Search Committee or Unit HR / Electronic Jobs Management System (EJMS) or WorkDay RecruitingConclusion of search + 3 years 
Permanent Labor Certification Process within EJMS
Applications and all supporting documentation
Electronic Job Management System (EJMS)Conclusion of search + 5 years20 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 years20 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/UnitTransitory, destroy when no longer needed after conclusion of P&T review processAdministrative Guidelines for AC23: Promotion and Tenure Procedures and Regulations
Search Committees and Search Related MaterialsHead of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay RecruitingConclusion of search + 3 years 
Time Cards (to support WAGC) End of calendar year + 1 year 
Student Rating of Teaching Effectiveness (SRTEs)Online Summaries10 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Copyright Licenses Incoming
     Permissions granted to the University from a third party
 Permanent17 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 days90 days
System Classification - Moderate (Level 2)30 days90 days
System Classification - High (Level 3)90 days365 days
System Classification - Restricted (Level 4)90 days365 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Audit Reports and Memos (Full scope audits & consulting engagements)Internal AuditEnd 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Access Coordinator Forms- Electronic, hard copyRequesting Department's Access Coordinator3 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 CoordinatorRetained 2 years after the access device is returned, and/or clearances are removed 
Garage Repair and Fuel Service Authorization FormOPP Service GarageEnd of fiscal year + 7 years 
Grounds and Landscaping Until superseded 
Inventories Until superseded 
Laboratories Until superseded 
Maintenance Standing Order Authorization FormOPP Accounting OfficeEnd of fiscal year + 7 years 
Material Billing AuthorizationOPP Accounting OfficeEnd 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Background Checks
     Criminal/Employment -- Requests for Criminal History Records Information
University Police - Records TeamPositive - retain in incident file
Negative - current + 1 year
 
Behavioral Threat Assessment Team (BTMT) DatabaseBehavioral Threat Management Team20 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 SafetyBWC 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 SystemAccess 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 TeamEnd 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 RecorderEnd 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 TeamEnd 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 TeamEnd 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 TeamEnd 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 TeamEnd 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 RecordsJustice and Safety InstituteEnd 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 RosterUniversity Police - Records TeamEnd of calendar year + 1 year 
Emergency Management Records
     After Action Report (AAR) / Common Alerting Protocol (CAP) / Incident Action Planning (IAP)
Emergency Management Team3 years after superseded; permanent in Archives 
Event Request Form
     (When Security is Provided)
University PoliceEnd 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 TeamEnd of calendar year + 7 years 

Internal Affairs Case Files - Incident Log

Reported employee misconduct or department complaints.

University Police - Director of OperationsDate 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 OperationsSeparation 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 OperationsClose 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 RecordsUniversity PoliceEnd 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 SubmissionUniversity Police - Records TeamEnd of calendar year + 3 years 
Security Guard FilesUniversity Police2 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 recordingWiretapping 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
HIPAA Covered Component Disclosures End of calendar year + 7 yearsPa. 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Protocols and AmendmentsCATS Safety and PRAMSClosure of protocol + 6 yearsPolicy RP11: Use of Regulated and Biohazardous Materials in Research and Instruction
Reports of Concerns - Not related to a protocolOffice for Research ProtectionsEvaluation date + 6 yearsPolicy RP11
Reports of Concerns - Protocol relatedOffice for Research ProtectionsClosure of protocol + 6 yearsPolicy RP11
Inventory of Biohazardous MaterialsOffice for Research ProtectionsClosure of protocol + 6 yearsPolicy RP11
Internal Policy, Guidelines, and SOPsOffice for Research ProtectionsWhen superseded or outdated + 3 years; review by Archives 
IBC, IRE, ESCRO Meeting MinutesOffice for Research ProtectionsEnd of calendar year + 6 years; review by ArchivesPolicy RP11
DURC Determinations, Correspondence (PI, IRE, IBC)Office for Research ProtectionsClosure of protocol + 6 yearsPolicy 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE

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

 

Office for Research ProtectionsEnd of review + a minimum of 3 yearsFish and Wildlife Service schedule

 

Denied Permit Applications

Office for Research ProtectionsFinal determination + 3 yearsFish and Wildlife Service schedule

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

 

Office for Research ProtectionsDate 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 years42 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 years42 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Drone Flight Requests, and Aircraft RegistrationsDrones Risk Safety and Solutions (Drones RSS) system hosted through UC DavisDate 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 ProtectionsWhen superseded or outdated + 1 year 
Drone Insurance ScheduleOffice for Research ProtectionsCurrent year + 2 years 
Drone Policy and Procedure FilesOffice for Research ProtectionsWhen superseded or outdated; review by ArchivesPolicy SY45: Use of Drones
Advisory Committee and Safety Pilot Committee FilesOffice for Research Protections3 years; review by Archives 
Education and Outreach Records (including adoption of new rules and regulations)Office for Research Protections3 years; review by Archives 
Drone Accidents and Non-Compliance FilesOffice for Research Protections3 years 
Individual Pilot CredentialsOffice for Research ProtectionsTRUST 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
ACOR Certification & Education Series (ACES) Certification and Education RecordsOffice for Research ProtectionsWhen superseded or outdated + minimum of 3 years 
Scholarship and Research Integrity (SARI) Program PlansOffice for Research ProtectionsWhen superseded or outdated + minimum of 3 years; review by Archives 
Client Survey DataOffice for Research ProtectionsCompletion of analysis + minimum of 7 years 
Client Survey ReportsOffice for Research ProtectionsWhen 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Protocol FilesOffice for Research ProtectionsClosure of protocol + minimum of 6 yearsHRP-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 Protections2 AAHRPP reaccreditation cycles (retain 2 applications and all annual reports within each cycle); review by Archives 
Committee Member SurveysOffice for Research ProtectionsWhen superseded or outdated + 7 years 
IRB RegistrationOffice for Research ProtectionsWhen superseded or inactivated + 3 years 
Federal Wide AssuranceOffice for Research ProtectionsWhen superseded or inactivated + 3 years 
Policies and ProceduresOffice for Research ProtectionsWhen superseded or outdated + 6 years; review by ArchivesHRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)
IRB RecordsOffice for Research ProtectionsWhen superseded or outdated + 6 yearsHRP-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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE

Protocols and Amendments - Protocol Closure

Includes protocol and other approval documents submitted by the PI

Office for Research ProtectionsProtocol 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 ReportsOffice for Research ProtectionsDate the review is provided to the Institutional Official + 7 years; review by ArchivesPolicy RP04
Facility Inspection ReportsOffice for Research ProtectionsDate of inspection + 7 yearsPolicy RP04
USDA Inspection ReportsOffice for Research ProtectionsDate of inspection + 7 years9 CFR AWAR
Reports of Concerns - Not related to a protocolOffice for Research ProtectionsDate of inspection + 7 yearsPolicy RP04: Care and Use of Vertebrate Animals
Reports of Concerns - Protocol relatedOffice for Research ProtectionsDate of inspection + 7 yearsPolicy RP04
Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC) Program Descriptions & Annual ReportsOffice for Research ProtectionsDate program description and annual report submitted to AAALAC + 7 years (2 full accreditation cycles) 
Office for Laboratory Animal Welfare (OLAW) Animal Welfare AssurancesOffice for Research ProtectionsDate of most recent assurance renewal approved by OLAW + 8 yearsPolicy RP04
OLAW Annual ReportsOffice for Research ProtectionsDate annual report submitted to OLAW + 7 years; review by ArchivesPolicy RP04
USDA Annual ReportsOffice for Research ProtectionsDate annual report submitted to USDA + 7 years; review by Archives9 CFR AWAR
Policy, Guideline, and Procedure FilesOffice for Research ProtectionsWhen superseded or outdated + 7 years; review by ArchivesPolicy RP04
IACUC Correspondence (PI, USDA, OLAW) - Not protocol relatedOffice for Research ProtectionsDate of correspondence + 7 yearsPolicy RP04
IACUC Correspondence (PI, USDA, OLAW) - Protocol relatedOffice for Research ProtectionsDate of correspondence + 7 yearsPolicy RP04

Research Protections - Quality Assurance 

Research Protections - Quality Assurance Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Post Approval Review (PAR) NotesOffice for Research ProtectionsConclusion of audits without findings + 7 years 
Post Approval Review (PAR) Summary of FindingsOffice for Research ProtectionsDate of review + 10 years 
Investigational New Drug (IND) and Device Exemption (IDE) Training MaterialsOffice for Research ProtectionsWhen superseded or outdated + 2 years 

Documentation of Federal Drug Administration Debarment Report 

Debarment report checks sent to Investigative Officers

Office for Research ProtectionsDate 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 ProtectionsList pulled + 7 years 

Research Protections - Radioisotopes

Research Protections - Radioisotopes University Isotopes Committee (UIC) Records Retention Schedule - Updated October 2024
RECORDS SERIES (Types of Documents)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE

Protocols and amendments

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

PRAMS and Radiation Safety OfficerClosure of protocol + 10 years10 CFR 30.35(g)
Reports of Concern - Not protocol relatedRadiation Safety OfficerEvaluation date + 10 years10 CFR 30.35(g)
Reports of Concern - Protocol relatedRadiation Safety OfficerClosure of protocol + 10 years10 CFR 30.35(g)
UIC Meeting Minutes Office for Research Protections End of calendar year + 6 years. Review by Archives.Not referenced in 10 CFR 30.35(g). 6 years aligns with other Safety Committees

Research Protections - Research Misconduct

Research Protections - Research Misconduct Records Retention Schedule - Updated October 2023
RECORDS SERIES (Types of Records)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Investigation FilesOffice of Research ProtectionsClose 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 ProtectionsEnd of calendar year in which report created + 5 years 
Diving Safety ManualOffice for Research ProtectionsWhen superseded or outdated + 3 yearsOSHA, 1910.440(b)(3)(ii)  + 3 years for reference purposes
Dive Records - No incidentOffice for Research ProtectionsEnd of calendar year in which dive occurred + 1 yearOSHA, 1910.440(b)(3)(iv) + AAUS Dive Standards Safety Manual
Dive Records - IncidentOffice for Research ProtectionsEnd of calendar year in which dive occurred + 5 yearsOSHA, 1910.440(b)(3)(iv)
Pressure-related injury assessment recordsOffice for Research ProtectionsEnd of calendar year in which assessment occurred + 5 yearsOSHA, 1910.440(b)(3)(vii)
Equipment inspection and testing recordsDive Safety OfficerCurrent entry / tag, or until equipment is withdrawn from serviceOSHA, 1910.440(b)(3)(vi)

RISK MANAGEMENT

Risk Management Records Retention Schedule
RECORDS SERIES (Types of Records)RESPONSIBLE PARTY / SYSTEM OF RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION RATIONALE
Academic AdvisementDepartment

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 RecordsRegistrar's Office / LionPath or eLion7 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 VerificationWorld Campus3 years after submission to student 
Majors/Minors 5 years after last activity 
Mandatory Alcohol/ Marijuana Intervention Program ParticipationJudicial Affairs3 years after program completion 
Registrar's Statistical Reports 0 after obsolete 
Student Conduct ReviewsJudicial Affairs7 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 / Maxient7 years after notification of deathClery Act of 1990, 20 U.S.C. § 1092(f)
Theses & DissertationsUniversity LibraryPermanent 
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 RECORDRETENTION PERIOD & DISPOSITION METHODRETENTION 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 ProgramEnd 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 ProgramUntil attendee has reached the age of 18 + 2 yearsPolicy 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 discretionDate of clearance + 7 yearsPA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

 


Date Approved
Date Published