General Records Retention Schedule (Formerly APPENDIX 18 )

Table of Contents:

INTRODUCTION

The General Retention Schedule provides GENERAL guidance for the retention of certain groups of University records in compliance with University Policy AD35 - University Archives and Records Management, and records schedules approved by the Records Management Advisory Committee, Office of General Counsel, and Office of the President. These retention periods are the University's retention criteria, either derived or based upon federal, state, and local statute or regulations, industry standards and business needs and are therefore subject to change. Upon expiration of a stated period of time, the referenced document should be discarded and/or destroyed, unless permission granted by Records Management Officer or designee to retain the records.

The time periods conform to existing University practices and to legal constraints currently required. To insure proper compliance in the event of conflicting requirements between retention times published by the University and those published by governmental and other sources, the longest retention requirement is to prevail. In such cases, notification of the difference should be made immediately to the Records Management Officer. Retention beyond recommended time periods require justifiable reasons and warrant review by the Records Management Officer or designee. Individual office retention schedules developed by the Records Management Program staff should be utilized in conjunction with this schedule to identify records unique to that office. All documents must be maintained in such a manner so as to provide ease of access for review and to provide a suitable audit trail for all transactions.

Retention periods for documents not specifically listed in this document, or on each page of GURU or in Financial Document Retention Schedule may be determined by contacting the Records Management Program Office. In many cases, retention periods may be generally determined by comparing the type of document (i.e., student, correspondence, etc) to similar documents with known retention periods. Archival records created more than 20 years prior to the current date must be reviewed before destruction. The University Archivist should be contacted before discarding any document which may be of permanent or historical value to the University (see definition of archival records in Policy AD35).

To safeguard the privacy of individual, documents that contain salary information, personally identifiable information (PII), or student records must also be shredded. See Policy AD53 - Privacy Policy and AD22 - Health Insurance Portability and Accountability Act (HIPAA) for additional information regarding privacy and the protection of any individual's personal information. For documents that must be shredded, departments may arrange for Blue Bag service by contact the Blue/White Shredding Program of the Office of Physical Plant. Exceptions to this practice are as follows:

  • Documents subject to a Legal Hold (see AD35, Legal Hold). A legal hold will remain in effect until is it released in writing by the Office of General Counsel.
  • Documents under audit or review, either internally or externally. The retention period extends until released by the Corporate Controller's Office. The Financial Officer will be notified regarding any accounts under audit; the Financial Officer will be responsible for contacting the department.

For records with retention periods of less than 1 year:

Disposition occurs at an interval equal to the retention period, i.e., if a record has a 1-month retention period, cut the file off at the end of each month and then apply the retention period.

For records with retention periods of 1 year or more:

Disposition occurs at the end of each fiscal, academic or calendar year as appropriate for the records, i.e., if the retention for a correspondence file is "3 years," then apply disposition 3 years after the annual cutoff.

For records with retention periods based on an event or action:

Disposition occurs by applying the retention period after the event or action has occurred, i.e., If the retention period reads "when related case file is closed," disposition occurs after the case file has closed.

For records with retention periods based on a specific time period after an event or action:

Place in 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 date has been reached, i.e., retention reads "Retain for 6 years - dispose on 6-30-2001," disposition will occur as stated.

ADMISSIONS

Admissions Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Admission Applications (Images) 7 years
Application for Advanced Credit 3 years after student's last activity
Prospect and Applicant Data (student information systems):  
   Applied and attended PSU 50 years then transferred to Archives
   Applied and did not attend PSU 3 years beyond admissions cycle
Prospective students who did not apply and/or did not attend PSU 1 year after beginning of Academic Year (2008 prospects deleted in Fall 2009)
Supporting Documentation:  
   Application Admitted & Attended - 3 years beyond graduation or termination
   Applicant Correspondence Admitted & Attended - 3 years beyond graduation or termination
  Applicant Letters of Recommendation (Unsolicited) Admitted & Attended - 3 years beyond graduation or termination
Applicant High School Transcripts Applied and did not attend - 3 years
  College Transcripts Applied and did not attend - 3 years
  Applicant Residency Status Documents Applied and did not attend - 3 years
Student Recruitment Publications & Media Current Year plus 3 years; send 2 copies to Archives

ALUMNI ASSOCIATION

Alumni Association Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Council & Executive Director 5 years in office; Transfer to Archives
Club Activities 5 years in office; Transfer to Archives
Event Production, Including Reunions 5 years in office; Transfer to Archives
Publications 5 years in office; Transfer to Archives
Membership Rosters 5 years in office; Transfer to Archives

COMMONWEALTH CAMPUSES

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

Commonwealth Campuses Records Retention Schedule
RECORDS SERIES (Types OF Documents) RETENTION PERIOD & DISPOSITION METHOD
CHIEF EXECUTIVE OFFICER - Correspondence/Reports 3 years; Review by Archives
COMMUNITY ADVISORY BOARD

Meeting Minutes

Correspondence/Reports


3 years; Review by Archives

3 years; Review by Archives
COUNCIL OF FELLOWS 3 years; Review by Archives
DIRECTOR OF ACADEMIC AFFAIRS - Correspondence/Reports 3 years; Review by Archives
HOUSING AND FOOD SERVICES - Assignments 3 years

CONTRACTS

Contracts Documents Retention Period
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
AGREEMENTS -- where PSU licenses another legal entity to use film, publications, or similar which PSU has copyrighted or which PSU holds the license. 7 years in office of origin; Permanent in Archives
LICENSES - For filming on PSU Premises 7 years in office of origin; Permanent in Archives
LICENSES - To use PSU's non-physical property or any use of the University's names, trademarks, symbols, or logos 7 years in office of origin; 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 for participant minor
Copyright Clearance 3 years after initial request

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) RETENTION PERIOD & DISPOSITION METHOD
Chronological (Day Files) and Email 3 years
External (Non-University Agencies) and Email 3 years
INTERDEPARTMENTAL (University Agencies) and Email:

Originating Office 

Receiving Office


3 years; Review by Archives

3 years
Internal (Within Unit/Department) and Email 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 Documents) RETENTION PERIOD & DISPOSITION METHOD
Class Lists 3 years
Course History Files 3 years after course ceases to be offered; Review by Archives
Course Proposals (1970-Present) Check online repository at: http://curriculumarchives.libraries.psu.edu
CURRICULUM - CURRENT 

(Comprehensively lists all approved courses by department and course number)


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 5 years in office; Permanent in Archives
Evaluations of Internal Operations, Self-Studies, Accreditations 10 years in Office; Transfer Final Report to Archives for PERMANENT file
Faculty Senate: Agenda & Minutes 1 year
Faculty Senate: Blue Sheets 3 years after specific course ceases to be offered
SCHEDULE OF CLASSES

(Timetables)


3 years
Syllabi Last activity plus 10 years; Faculty may retain all versions as personal papers
Textbook Orders 3 years

DEVELOPMENT/FUND-RAISING RECORDS

NOTE: The official development record is maintained by the University Development Office; all other copies represent transactional documents.

Development/Fund Raising Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Donors 5 years after funding capability becomes inactive
FRIENDS GROUPS/ADVISORY BOARDS

Meeting Minutes, Correspondence, Reports


5 years; Review by Archives
Gift Acknowledgments 5 years after last donation
PROSPECTS

Background Data


3 years after last activity

FINANCIAL RECORDS

NOTE: See Financial Document Retention Schedule in GURU.

GRANT AND CONTRACT RECORDS

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

Grant and Contract Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
ASSISTANTSHIP/FELLOWSHIP STIPEND

Procedural Documentation

Student Records




3 years after termination or expiration 

3 years after last activity [Destroy by shredding]
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; Transfer to Archives
Financial Documentation See Financial Document Retention Schedule in GURU
GRANT ADMINISTRATION RECORDS

Application, Interim Publications, Products and Final Report


3 years after termination or renewal; Transfer to Archives
Grant & Contract Applications - Rejected 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.
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 DATA FORMS

(Human Subjects)


3 years after study termination or renewal [Destroy by shredding]
RESEARCH DATA FORMS

(Non-Human Subjects)


3 years after termination or renewal [Destroy by shredding]
SCIENTIFIC AND TECHNICAL DATA

includes Social and Economic Microdata


3 years in Office; Transfer to Archives for PERMANENT file.
Research Clearance Forms, Duplicates 3 years after submission
Applications 3 years after submission
Interim Reports 3 years after submission
Final Reports 3 years after the grant ends; transfer one copy to Archives
Non-Disclosure Agreements 3 years after the grant ends

 

HEALTH RECORDS

Health Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Health Services Forms 7 years after last treatment, then destroy per Section II (K) of Policy AD22
Health Services Forms - Minor Patients Age of majority, plus 7 years, then destroy per Section II (K) of Policy AD22

HOUSING AND FOOD SERVICES

Housing and Food Services Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD

Access Control Records

End of calendar year plus 3 years

 

HUMAN RESOURCES

Human Resources Documents Retention Period
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Academic Administration Summaries Distribution to faculty and staff + 5 years, transfer to University Archives
Accident Investigation Reports End of calendar year in which investigation ends + 5 years
Alternative Work Arrangement Records End of calendar year in which alternative arrangement ends + 3 years
American with Disability Act Records Final determination or action + 2 years
Background Checks - Not Hired Close of search + 2 years
Beneficiary Records When superseded or outdated + 6 years
Drug Testing Records - Negative or canceled End of calendar year + 1 year
Drug Testing Records - Positive or refused End of calendar year + 5 years
Emergency Contact Records When superseded or outdated
Faculty Consultation or Outside Work Notifications End of fiscal year + 5 years
Fit for Duty Records Final determination + 3 years
Grievance, EEOC Discrimination, Sexual Harassment and Workplace Violence Records Close of issue + 3 years
I9 Records

After an employee has separated calculate the follow:

Date of hire + 3 years OR date of separation of employment + 1 year, retain for whichever time period is longer

Ineligible for Rehire Separation + 20 years
Job Descriptions - Related to Postings When superseded or outdated
Job Review Records Close of review + 3 years
Labor Relations Records End of all agreements with certified bargaining unit + 7 years, transfer to University Archives
Medical Leaves End of leave + 3 years
Military Leave Records End of calendar year in which leave taken + 5 years
Non Medical Leave Documents End of leave + 3 years
Performance Reviews and Evaluations - Faculty reviews are part of the HR Related File up until the sixth year reviews. End of fiscal year + 5 years
Personnel File -Faculty - For retention of staff personnel files, see the Personnel File-Staff record series. Separation of employment + 4 years, transfer to University Archives
Personnel File - Staff - For retention of Faculty personnel, see the Personnel File- Faculty record series. Separation of employment + 4 years
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
Worker's Compensation Records Close of case + 7 years

HUMAN RESOURCES RELATED RECORDS (Retained by Unit)

Human Resources Related Records (Retained by Unit) Retention Schedule
RECORDS SERIES (Types of Records) RETENTION PERIOD & DISPOSITION METHOD
ACADEMIC PROMOTION & TENURE

Provisional Records
Successful provisional tenure reviews are retained and included in subsequent reviews within each Dean's Office and/or Unit/Department. Unsuccessful provisional tenure reviews are maintained until time of termination within each Dean's Office and/or Unit/Department. Tenure reviews presented to the University Promotion and Tenure Committee are retained in accordance with 4.21 of GURU (Promotion and Tenure Forms). Unsuccessful promotional review actions not presented to the University Promotion and Tenure Committee are retained until any subsequent successful review of same action or time of termination, resignation or retirement, then transferred to the University Archives after three years. Promotional reviews presented to the University Promotion and Tenure Committee are retained in accordance with 4.21 of GURU (Promotion and Tenure Forms.)
Applications - NOT Hired 3 years
Letters of Recommendation - NOT Hired 3 years
Permanent Labor Certification Process within Electronic Job Management System (EJMS)

Applications and all supporting documentation
5 years
Permanent Resident Applications for International Job Applicants, specifically for tenure-track faculty positions 5 years
Search Committees and Search Related Materials Conclusion of search + 3 years
Time Cards (to support WAGC) Current Year + 1 year
STUDENT RATING OF TEACHING EFFECTIVENESS (SRTE's)

Online Summaries (Official System)
10 years after creation
Student Rating of Teaching Effectiveness - Summaries Used for Promotion and Tenure SRTEs are used for various purposes, including, but not limited to, promotion and tenure and annual performance reviews. If units utilize STREs 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.  

INFORMATION SECURITY / GENERAL SECURITY RECORDS

 

Information Security/General Security Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Access and Security Representative (ASR) Authorization Card As long as individual is an ASR; after tenure as ASR, retained in "Expired" file 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 Documents)   RETENTION PERIOD
 

Readily Accessible*

From the time the record was generated

Overall Retention Period**

From the time the record was generated

System Classification - Low (Level 1) 30 days 90 days
System Classification - Moderate (Level 2) 30 days 90 days
System Classification - High (Level 3) 90 days 365 days
System Classification - Restricted (Level 4) 90 days 365 days

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

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

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

 

INTERNAL AUDIT

Internal Audit Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD

Audit Reports and Memos (Full scope audits & consulting engagements)

End of fiscal year in which audit completed; Transfer to University Archives

Audit Work papers

Conclusion of audit plus 7 years

Audit Follow-Up Documentation

Closure of final open audit issue plus 7 years

Fraud and Misconduct Reports and Memos

Close of investigation plus 7 years

Fraud and Misconduct Work papers - Employee Action Taken/Report Issued

Close of investigation plus 7 years

Fraud and Misconduct Work papers - No Employee Action/No Report

Close of investigation plus 2 years

Documents supporting consulting/questions from University employees

End of calendar year plus 3 years

 

LEGAL

Legal Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Documents related to third-party subpoenas, search warrants, administrative orders, court orders, and authorization for release of records. NOTE: 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
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 plus 10 Years

OFFICE/WORKSTATION COMPUTERS

Office/Workstation Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Authority Lists 0 after 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.
0 after superseded
Equipment 0 after obsolete
Manuals 0 after obsolete
Site Licenses 0 after superseded

PHYSICAL PLANT

NOTE: The official building record is maintained by the Office of Physical Plant; all other copies represent transactional documents.

Physical Plant Records Retention Schedule

RECORDS SERIES (Types of Documents)

RESPONSIBLE OFFICE RETENTION PERIOD & DISPOSITION METHOD
Access Coordinator Forms- Electronic, hard copy   3 years
Blueprints/Drawings/Plans   0 after superseded: Transfer originals to Archives
BUILDING KEY/KEY CORE

  Requests

  Issues
 

3 years after termination, resignation or retirement

0 after superseded
BUILDINGS:

NOTE: These records include correspondence, meeting minutes and reports. 

  Construction

  Demolition

  Maintenance

  Renovation
 



3 years after job completion; Transfer to Archives

0 after work completed; Transfer to Archives

Current Year plus 1 year

Current Year plus 1 year
Building Safety and Occupancy   0 after superseded
Energy   0 after superseded
EQUIPMENT & Inventory Report

Service Agreements
  0 after superseded

0 when obsolete
Facility Access Authorization Request (FAAR) Requesting Department's Access Coordinator Retained 2 years after the access device is returned, and/or clearances are removed
Garage Repair and Fuel Service Authorization Form OPP Service Garage Current fiscal year plus 7 years
Grounds and Landscaping   0 after superseded
Inventories   0 after superseded
Laboratories   0 after superseded
Maintenance Standing Order Authorization Form OPP Accounting Office Current fiscal year plus 7 years
Material Billing Authorization OPP Accounting Office Current fiscal year plus 7 years
Project Planning   3 years after job completion; Transfer to Archives
Public Safety & Prevention   0 after superseded
Security   0 after superseded
Space Allocations   0 after superseded
Telecommunications   0 after superseded
Work Orders   Current Year plus 1 year
Proof of Publication or Posting   6 years after expiration or termination

POLICE AND PUBLIC SAFETY

Police and Public Safety Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD
Background checks

Criminal/Employment -- Requests for Criminal History Records Information
Positive in incident file --Negative/current plus 1 year
Behavioral Threat Assessment Team (BTMT) Database 20 years from date of last activity
Blueprints/CAD Drawings/Floor Plans

Electronic, hard copy-- drawing, building folders, discs
Originals are held by University Archives; these files are use copies only and should be retained only for as long as needed.
Bicycle Permit Information End of registration period plus 2 years
Certain For Official Use Only (FOUO)

Electronic, hard copy -- Critical building/IT infrastructure data, Assessment Reports


3 years after last activity
Clery Documents

ASRs, Daily Crime/Fire Logs, Audit reports for stats, Emergency Notifications, Timely Warnings


End of calendar year 7 years
Closed Circuit TV Information

Electronic, hard copy -- Surveillance video
End date of recorded video + 30 days
Citation Logs

Audit log for citation sign-out
End of calendar year + 3 years
Courier Log Current Year + 1 year
Criminal History Audit Log

This is 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.
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.
  • Homicides/Suspicious Deaths - Retain 75 years
  • Summary Cases - Retain 7 years after close of investigation
  • All other cases - Retain 20 years after close of investigation
Deputy Sheriff Academy Training and Evaluation Records End of Calendar year + 4 years
Dissemination Log

Audit Log for CHRIA dissemination
3 years
Duty Roster

Hard copy 1yr, Electronic indefinitely


Current Year plus 1 year
Email/on-line submission 3 years

Emergency Management Records

AAR/CAP/IAP



Until superseded; Permanent in Archives

Event Request Form

(Provided Security for)

End of calendar year + 1 year
FCC Licensing

Electronic, hard copy -- Radio licenses (original)


Until superseded; Permanent in Archives
Fire Alarms

Electronic, hard copy -- Programming information for Fire Alarms/University Wide


Current Year plus 1 year
IT Systems/Network Access

Active directory -- List of users/groups/permissions


3 years 
Keys

Electronic, hard copy -- Key Access Forms, Key Control, Key Request Forms


3 years after resignation, retirement or termination
Monthly PSO Stats 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 plus 7 years
Press Log - Clery -- Daily Crime and Fire Log 7 years
Protected Critical Infrastructure Information

Electronic, hard copy


3 years after last activity
Security Lapse Forms

Hard copy/electronic spreadsheet


Current Year plus 1 year
Security Network Information

Electronic, hard copy -- 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
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
Uniform Crime Reporting (UCR) - UCR submissions and audit reports 7 years 
Vehicle Maintenance Reports 3 years
Vendor Contact Information - Electronic, hard copy 3 years after last activity
Waiver liability - Hard copy Current Year plus 1 year
Warning Cards - Hard copy Current Year plus 1 year
Wiretap consensual paper work applications and content

Evidence - audio CD- copy of transcript in case file / Admin assist files


7 years or Statute of Limitations dependent on incident type

PRIVACY

Privacy Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
HIPAA Covered Component Disclosures End of calendar year, plus 7 years
HIPAA Privacy Policy Training Records 7 years after termination, resignation or retirement
Notifiable Data Breach Records 6 years after date of creation

PROPERTY

Property Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Report of Disposition or Permanent Transfer of Tangible Assets (paper) or DISP (electronic) Current fiscal year +1 year

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) RETENTION PERIOD
Annual Reports 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Bibliographies 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Biographies/Vitas 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Calendars 0 after superseded
Catalogs 0 after superseded
Directories 0 after superseded
Handbooks 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Histories 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Journals/Journal Articles 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Literary Publications 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Magazines 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Newsletters 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Newspapers 0 after superseded
Promotional Literature 0 after superseded
Requests for Information/Publication 6 months after request
Speeches/Presentations/Talks 0 after superseded; Transfer 1 copy to Archives for PERMANENT file.
Yearbooks 0 after superseded

REGISTRAR

Registrar Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Change of Assignments 2 years
Change of Major Forms 2 years
Credit by Exam or Portfolio Forms 2 years
Commencement Programs 5 years in office; Permanent in Archives
Deferred Grade Forms 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


50 years in Registrar's Office

50 years in Registrar's Office

50 years in Registrar's Office
Honor's Options Forms 2 years
Leave of Absence Forms 3 years after Leave approved
NAME CHANGE DOCUMENTATION

Name Change Forms

Name Change Documentation


50 years in Registrar's Office

50 years in Registrar's Office
Petitions for Exception to Student Policies 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
1 year

1 year

1 year

1 year
Transcripts (Academic) Permanent in Archives
Withdrawal Forms 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 Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Protocols and Amendments - See Policy SY24 Closure of protocol + 3 years
Reports of Concerns - Not related to a protocol Evaluation date + 3 years
Reports of Concerns - Protocol related Closure of protocol + 3 years
Inventory of Biohazardous Materials Closure of protocol + 3 years

Research Protections - Conflict of Interest

Research Protections - Conflict of Interest Records Retention Schedule

 

RECORDS SERIES (Types of Documents)

RETENTION PERIOD & DISPOSITION METHOD
Disclosure Files - This series only applies to University Park and Penn State Hershey's Conflict of Interest Office. Policy Reference: 42 CFR Part 50.604 Submission of a disclosure for disclosures not under a management plan; Termination of CIO management of the investigator; Discontinuation of research at the University by the investigator in question; and in cases where Public Health Service-sponsored research is related to the managed COI, not less than Date of submission of the final expenditure report, or for awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report + 3 years
Education and Outreach Records - This series only applies to University Park and Penn State Hershey's Conflict of Interest Office. Policy Reference: COI-001; COI-002 When superseded or outdated + 3 years

Research Protections - Diving

Research Protections - Diving Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
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. End of calendar year in which report created + 5 years
Diving Safety Manual When superseded or outdated
Dive Records - No incident End of calendar year in which dive occurred + 1 year
Dive Records - Incident End of calendar year in which dive occurred + 5 years
Pressure-related injury assessment records End of calendar year in which assessment occurred + 5 years
Equipment inspection and testing records Current entry or tag, or until equipment is withdrawn from service

Research Protections - Educational Quality Management

Research Protections - Educational Quality Management Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Post Approval Review (PAR) Notes When study is closed with IRB +7 years
Post Approval Review (PAR) Summary of Findings Date of review + 10 years
Investigational New Drug (IND) and Device Exemption (IDE) Training Materials When superseded or outdated + 2 years
Federal Drug Administration Debarment Report - Debarment report sent to Investigative Officers Submission + 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. List pulled + 7 years
Client Survey Reports When superseded or outdated + 7 years
Client Survey Data Completion of analysis + 7 years
Committee Member Surveys When superseded or outdated + 7 years
ACES Certification and Education Records When superseded or outdated + 3 years
SARI Program Plans When superseded or outdated + 3 years

Research Protections - IACUC

Research Protections - IACUC Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Protocols and Amendments - Protocol Closure - Includes protocol and other approval documents submitted by the PI. See Policy RP04 Protocol closure + 3 years
Semi-Annual Program Reviews and Facility Inspection Reports Date the review/inspection provided to the Institutional Official + 3 years
Laboratory Inspection Reports - Records showing laboratory used for the care and use of animals has been inspected and approved by the IACUC for the care and use of animals. Date of inspection + 3 years
USDA Inspection Reports Date of inspection + 3 years
Reports of Concerns - Not related to a protocol. See Policy RP04 Evaluation date + 3 years
Reports of Concerns - Protocol related - See Policy RP04 Closure of protocol + 3 years
AAALAC Program Descriptions and Annual Reports Date program description and/or annual report submitted to AAALAC + 6 years
IACUC Correspondence (PI, USDA, OLAW) - Not protocol related End of calendar year + 3 years
IACUC Correspondence (PI, USDA, OLAW) - Protocol related Closure of protocol + 3 years
Research Permits - U.S.. Fish and Wildlife - The permitee is to return the permit within 30 calendar days to the issuing office together with a written statement surrendering the permit for cancellation. Discontinuation of activities authorized by a permit - Return permit to issuing office

Research Protections - Radioisotopes

Research Protections - Radioisotopes Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Protocols and amendments - Includes applications and approval documents submitted by the PI Closure of protocol + 10 years
Reports of Concern - Not protocol related Evaluation date + 10 years
Reports of Concern - Protocol related Closure of protocol + 10 years

Research Protections - Research Misconduct

Research Protections - Research Misconduct Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Investigation Files Close of all proceedings + 7 years
Unwarranted Investigation Files - The Research Integrity Officer shall secure and maintain the records for the retention period after the termination of the inquiry. Termination of inquiry + 7 years
Unwarranted Inquiry Files - The Research Integrity Officer shall secure and maintain the records for the retention period after the termination of the assessment. Termination of assessment + 7 years

RISK MANAGEMENT

Risk Management Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Incident Forms Current fiscal year, plus 2 years
Permission to Possess/Use Alcoholic Beverages Current fiscal year, plus 2 years

SPECIAL PROGRAMS AND EVENTS

Special Programs and Events Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Continuing and Distance Education See Curriculum Record Schedule
Cooperative Programs 3 years; Review by Archives
EDUCATIONAL EVENTS: Conferences, Institutes, Lectures, Meetings, Seminars and Short Courses (Including agendas, correspondence, handouts, publications, registration lists, reference materials and reports) 3 years; Review by Archives
Interdisciplinary Programs 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) 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) 3 years; Review by Archives
Special Project or Program Files 3 years after completion or termination; Final Report PERMANENT in Archives

STUDENT DISABILITY RESOURCES

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

STUDENT LIFE

Student Life Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Event Production Documentation 3 years; Permanent in Archives
Multi-Media Productions Transfer to Archives as Distributed; Permanent
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
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Academic Advisement (Department/Office)

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
Education Credentials 10 years after last use
eLion Student Records Transaction Logs 7 years from date of creation
Establishment of State Residence Form 3 years after graduation or termination
Examinations & Answer Sheets 1 year after administered
Field trip Records End of academic year + 1 year
FINANCIAL AID: SCHOLARSHIPS, GRANTS, ASSISTANTSHIPS AND AWARDS

Terms/Requirements

Correspondence

Reports

Applications


0 after superseded; Transfer 1 copy to Archives

3 years after award distributed

3 years after award distributed; Review by Archives

3 years after award distributed
GRADES

Appeals

Books


1 year after decision rendered

5 years after course completion
Graduate Candidacy & Comprehensive Examinations 7 years after last activity
Judicial Affairs/ Mandatory Alcohol/ Marijuana Intervention Program Participation 3 years after program completion
Judicial Affairs/ Student Conduct Reviews 7 years after last activity
Letters of Student Verification (World Campus) 3 years after submission to student
Majors/Minors 5 years after last activity
Registrar's Statistical Reports 0 after obsolete
Theses & Dissertations Transfer 1 copy to University Library for PERMANENT file
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
Transcripts (Academic) Permanent in Archives

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

Youth Program Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Registration Forms 3 years after date of attendance
Medical Information Forms Until attendee has reached the age of 18 plus two years
Medical Release Forms Until attendee has reached the age of 18 plus two years
Computer Access Forms 3 years after date of attendance
Internet Access Forms 3 years after date of attendance
Facilities Access Forms 3 years after date of attendance

GENERAL ADMINISTRATION RECORDS

General Administration Records Retention Schedule
RECORDS SERIES (Types of Documents) RETENTION PERIOD & DISPOSITION METHOD
Acknowledgments 1 year
COMMITTEES:

Agendas, Minutes, Reports
3 years; Review by Archives
Continuous Quality/Process Improvement

(Including Flow Charts,Reports, Surveys, Meeting Minutes and Diagrams)
3 years; Review by Archives
DIRECTIVES

-External

-Internal


0 after superseded

0 after superseded; 1 copy to Archives
Form Templates When superseded or outdated plus 1 year
"HISTORY" FILES

NOTE: All records created prior to 1965 MUST sent to Archives for review and appraisal.
5 years; Review by Archives
Invitations/Announcements 1 year
Law School Clinics 3 years after termination or close of legal action
Legal Opinions, Interpretations, Legislative Comments 10 years in office, Transfer to Archives for PERMANENT file
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


Current fiscal year plus one year

1 year after item has been released to claimant, then shredded.

Current fiscal year plus one year
Mailing Lists 0 after superseded
Memoranda of Transmittal 6 months
NEW RELEASES: Department of Public Information

All Others
3 years; Transfer to Archives

3 years; Transfer to Archives
Organizational Charts and Function Records 3 years after superseded; Review by Archives
Policies & Procedures - INTERNAL 1 year after superseded; Review by Archives
Records Retention Schedule 0 after superseded; Permanently in Archives
Strategic Plans & Supporting Documents 5 years in office; Transfer to Archives for PERMANENT file
Training Materials - Not found in another record series When superseded or outdated + 3 years
Transitory/Disposable Records When superseded or outdated
TRAVEL: Itineraries

Expense Forms

Reservations/Confirmations
Current Year plus 1 year

See Financial Document Retention Schedule in GURU

Current Year plus 1 year
Procedure Manuals PERMANENT in Archives
Opinion Survey Results/Reports 3 years after completion or termination; Final Report PERMANENT in Archives
Board of Trustees Minutes and Agendas PERMANENT in Archives

(03-14-19)