Page 1 of 12 Bowling Green State University GENERAL SCHEDULE OF RECORDS RETENTION Updated: October 2014 In accordance with ORC Section 149.33 and Bowling Green State University Board of Trustees, a schedule of Retention and Destruction for the following records is hereby established. The records covered by this schedule, upon expiration of the retention period, shall be destroyed unless otherwise specified. No record shall be destroyed that pertains to any pending claim, action, litigation, or request. Note: The following is a list of common record types found in university offices and the time period they must be kept. Please note this schedule (GS) does not modify or supersede any retention requirements listed in individual office retention schedules (RRS), where they exist. All employees are advised to consult their office s retention schedule prior to making disposal decisions. University records include all information, regardless of format (paper, electronic, microform, etc.), created or received by a university office that documents the functions, policies, procedures, decisions, operations or other activities of the office. Retention periods apply to records regardless of format. Unless otherwise indicated, a Certificate of Records Disposal (CRD) is not required for records listed in this schedule. A CRD may be required for records listed in office-specific retention schedules (RRS). If you have any questions regarding how long to keep a record or need a copy of an office retention schedule or Certificate of Disposal form, please contact the University Records Manager at extension 9614 or mintran@bgsu.edu. Introduction A record series is a group of related records filed and/or used together as a unit and therefore evaluated as a unit for retention and disposition purposes. A records retention schedule is a comprehensive list of record series, indicating for each the length of time the series is to be maintained and its disposition. Bowling Green State University s General Records Retention Schedule (GS) accounts for the management and disposition of university record series that are common to many units across campus. In addition, there are units on campus that have record series that are unique to their operations and therefore have a unique (departmental) records retention schedule in addition to the General Schedule. All schedules, general or unique, are developed by the University Archives and the Records Management program. All campus units must familiarize themselves with the General Schedule, and have an understanding of what records paper-based and electronic they create and/or receive and are required to manage. Units must conduct an inventory of their records and map them to the General Schedule. If a unit identifies record types that do not map to the General Schedule, the unit should contact the University Archives to discuss the creation of a unique schedule. All unit unique schedules must be signed by the University Records Manager and an appropriate unit representative. Contents Academic Program & Student Records Page 02 Finance & Accounting Records... Page 04 General Administrative Records. Page 05 Historic Records.. Page 08 Information Technology Records Page 09 Legal Records.. Page 10 Personnel Records Page 11 Endnotes... Page 11
Page 2 of 12 General Schedule Number GS-001 GS-002 GS-003 GS-004 GS-005 GS-006 Record Series Title IUC Code Retention Period i ACADEMIC PROGRAM & STUDENT RECORDS ii Academic Program Administrative EDU3000 Records Records regarding the daily administration of academic programs. Includes registration reports, enrollment summaries, drop/add reports, graduation summaries, majors by class level, and other related reports and documentation. Admission Files- Accepted Records regarding admission and/or enrollment for applicants accepted for a program of study within the university. Includes application, advanced placement documentation, biographical data, transcripts, letters of recommendation and related documents. Admission Files- Rejected/ Not Enrolled Records of applicants that were not accepted or who did not enroll. Includes application, advanced placement documentation, biographical data, letters of recommendation and related documents. Course Materials iii Records regarding course offerings and course contents. Includes syllabi, course descriptions, course outlines and summaries, handouts, reading lists, bibliographies, etc. Course Records- Student Student coursework and related documentation retained by faculty. Includes: Grade books/progress Reports Attendance Records Tests/Papers/Assignments NOT returned to students Curriculum Modification Files and Related Documents iv : Record of proposal documentation and signature sheets authorizing the implementation of new programs/degrees/courses or expansion of existing programs/degrees/courses at BGSU. Retain 6 years, EDU1010 Retain while active + 1 EDU1100 EDU3000 EDU1000 EDU3000 Retain 1 year, Retain 6 years or until superseded, then 1. One year after grade issued, 2. One year after grade issued, 3. 30 days after the beginning of the next academic quarter (not including summer), Until no longer of administrative value, then
GS-007 Recommendation Letter Requests: Student s Consent for Records Disclosure Student s written request for letters of recommendation (FERPA requirement). Requests must state: 1) The purpose of the disclosure; 2) To whom the disclosure can be made; 3) Which records may be disclosed (grades, GPA, course rank, etc.) Requests may be in the form of letters, email, or forms available through Registrar. GS-008 Student Files (College/Department) v : Files maintained in individual college and department offices on students enrolled in that college or department. Includes transcripts, letters of recommendation, documents regarding progress toward degree, transfer credit evaluations, etc. Includes students who have graduated, actively enrolled students, and students who are no longer actively enrolled. Includes internship and independent study documentation. EDU1030 EDU1010 Page 3 of 12 Retain Active + 3 years, then Active + 1 year,
GS-009 GS-010 GS-011 GS-012 GS-013 GS-014 FINANCE AND ACCOUNTING RECORDS vi Accounting/Financial Records, ACC1000 General Including accounts payable, invoices, ledgers, vouchers, accounts receivable, annuity records, bad debt actions, balance sheets, cash books, cash disbursement journals, cash journals, receipts, register tapes, chart of accounts, cost accounting, expenditure reports, journal entries, journals, payroll change reports, checks, petty cash records, registers, requisitions, royalty payments, student accounting records, telephone billing statements, travel expenses, workers compensation. Accounts Payable ACC1000 Records regarding payment of financial obligations. Includes vouchers, invoices, balance sheets, receipts, payroll records, contributions, etc. Accounts Receivable ACC1000 Records regarding receipt of revenues. Includes vouchers, invoices, balance sheets, receipts, cash receipt slips, petty cash balance sheets, cash register reports, payroll records, contributions, etc. Audits FIN7010 Internal and external audit documentation. Budgets FIN2000 Final approved budgets and/or planning documentation. Official institutional budget maintained by the VP of Finance & Administration. Financial Reports, Annual FIN7000 Annual reports summarizing all financial transactions. Official copy maintained by VP for Finance & Administration. Page 4 of 12 4 years, then Retain 4 years, then Retain 4 years, then Retain 4 years, then review for continuing administrative value. Retain for the current year + 1 year, then Retain 4 years, then
Page 5 of 12 GS-015 GS-016 GS-017 GENERAL ADMINISTRATIVE RECORDS Agendas ADM9910 Agendas for meeting of university committees (excluding the Board of Trustees), faculty/department meetings, and student organization meetings. Blank Forms Outdated or superseded blank forms, stationary, letterhead, etc. Correspondence (Paper or Email) vii A. Routine/Transient: Referral letters, requests for routine information or publications provided to the public by an agency that are answered by standard form letters B. General: Includes internal letters and memos; also correspondence from various individuals, companies, and organizations requesting information pertaining to agency and legal interpretations and other miscellaneous inquiries. This correspondence is informative, (it does not attempt to influence policy). Destroy 30 days after approval of the minutes. Note: Board of Trustee agendas are maintained permanently. Retain until no longer of administrative value, then A. Retain until no longer of administrative value, then recycle or delete from email client B. 1 year, then recycle or delete from email client GS-018 C. Executive: Deals with significant aspects of the administration of the offices. Includes information on policy, program, fiscal or personnel matters. Duplicate Copies of Records Copies of documents created for administrative convenience/reference only, EXCEPT where retention is specified on the office records retention schedule form (RRS). C. Retain 3 years (if email retain in email client), then delete or export from email client and retain until no longer of value. If President or Vice President s correspondence, contact University Archives for historic appraisal. Destroy as soon as determined by the office to have no further administrative value. GS-019 Examples: records received from university office that originates these records or extra copies of correspondence, reports, produced by the office for reference or distribution. Electronic Mail (Email) viii Email messages and their attachments sent or received via university networks --- Retention based on type of record the email contains. If correspondence, see GS- 017.
GS-020 GS-021 GS-022 GS-023 GS-024 GS-025 GS-026 GS-027 Electronic Media and Forms Office copies of computer forms, CDs, disks, tapes, cards etc. used as preliminary input, temporary storage or output control, the results of which are produced or otherwise available in paper, online or other electronic reports, or microform. Fixed Assets Files/Inventories Inventory lists held by individual offices. These include office equipment, musical instruments, laboratory equipment, operation manuals, vehicles, etc. Library/Museum/Gallery Material Reference information and items acquired for individual or exhibit use. Lists, Indexes and Summaries Used for internal administrative convenience or information Records Destruction Reports (Certificate of Records Disposal): Lists schedule number, record series, inclusive dates, and date of disposal. Research Projects- Approved Files containing proposal, budgets, accounting information, correspondence, and reports for grant funded and non-grant funded research Research Projects- Rejected Files containing proposal and correspondence for grant funded and non-grant funded research Social Media Information Social media is not a type of record, but is a tool to share information online. Content published on BGSU affiliated social media sites (including, but not limited to, Facebook, Twitter, YouTube, Instagram, etc.) must be managed by the office/department/etc. that is its creator. For guidelines on managing social media content, please see the electronic records tutorial. ADM9910 ACC2000 REF0000 ADM3020 Page 6 of 12 Destroy or erase as soon as determined by the office to have no further administrative value. Retain for current year plus 6 years, then review for continuing administrative value. Retain until no longer of value, then contact University Archives Retain until determined by the office or individual who created it to have no further value, then 10 years, then Note: Forward one copy to University Archives (CAC, Fifth Floor Jerome Library) LEG2000 Retain while active + 5 years, then Retain 1 year, then --- Retention based on type of record posted via social media. See GS-031 and GS-032.
GS-028 GS-029 Subject Files A. Executive [President & Vice Presidents] Files of correspondence, reports, memoranda, etc., documenting activities of upper level administrative offices B. General Files of correspondence, reports, memoranda, etc., documenting activities of general administrative offices [Note: Excludes President, Vice Presidents.] Transient Documents Electronic or written records that have a very short-lived administrative, legal, or fiscal value. May include, but are not limited to: post-it notes, routing slips, telephone messages, e-mail or voicemail, copies, notes or drafts used in the production of public records, and surveillance videos. Page 7 of 12 A. 3 years, contact University Archives to appraise for historical value B. 1 year, then Until no longer of value or superseded, then
Page 8 of 12 HISTORIC RECORDS GS-030 Accreditation Files ADM3010 Retain 4 years, then contact University, college, or departmental files documenting accreditation review by University Archives for historic appraisal accrediting agencies. GS-031 Advertising/Promotional Materials: Materials made in house to promote the department/college/university; i.e. brochures, newsletters, news releases, view books, pamphlets, publications, PUB3000 Retain 5 years, then review for administrative value. Transfer one copy to University Archives. bulletins, posters, recruitment materials, etc. GS-032 Annual Report/Program Reviews/Self- Studies: Annual self-study of the department or a program that ADM1020 Retain 3 years, then contact University Archives for historic appraisal encompasses at least some or all of the following: activities, outreach events, personnel changes, logistical information, future goals, etc. Also any special reports/publications of the department, including strategic plans. GS-033 Catalogs ix Copies of official course bulletins of the EDU3000 Retain until no longer of administrative value institution. GS-034 Course Schedules x Institutional schedule of classes offered EDU3000 Retain until no longer of administrative value. each semester. GS-035 Governance Files Minutes of boards, committees, task forces and other university units and organizations documenting official ADM9910 Minutes are to be retained by committee secretary for 3 years, then transferred to University Archives. actions of governing bodies. GS-036 Organizational Charts ADM3000 Retain while active + 10 years. Transfer 1 copy of each to Archives GS-037 GS-038 GS-039 Photographs Photographs documenting events or activities of university offices or general campus activities Policies Departmental/college/university guidelines, policies, procedures, etc. relating to various topics, including promotion and tenure. Statistics Relating to degrees, enrollment, race/ethnicity, etc. of students in a program, college, or the entire university. PUB3000 ADM3020 EDU3000 Retain at discretion of office then contact Archives for further consideration Retain 10 years, then contact University Archives for historic appraisal. Retain until no longer of administrative value. Upon creation, transfer to University Archives.
Page 9 of 12 GS-040 GS-041 GS-042 GS-043 GS-044 GS-045 GS-046 INFORMATION TECHNOLOGY RECORDS Audit Trail Files Consisting of data ADM3010 generated during the creation of a master file or database used to validate a master file or database during a processing cycle. Backup Files Copies of master files or databases, application software, logs, directories, and other documentation needed to restore a system in case of disaster or disruption Disaster Preparedness and Recovery Plans Records related to reestablishment of data processing services in case of a disaster or other service disruption IT Policies Records of data processing policies including those covering access and security, systems development, data retention and disposition, and data ownership. Software Documentation Program code, flowcharts, maintenance log, system change notices, original design documents, specifications requirements, acceptance tests, other documentation of computer programs and/or modifications made to computer programs. Test Database/Files Routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system. Users Access Records Information created to control or monitor individual access to a system for security purposes, including but not limited to user account records, security logs and password files. Retain for 3 cycles, then Retain for 3 backup cycles, then ADM3000 Retain while active + 10 years, then ADM3000 Retain while active + 10 years, then contact University Archives. ADM9920 ADM9920 Retain for 3 years after system migration or discontinuance, then Retain 3 years after system acceptance/rejection, then Retain for 3 years after individual no longer has access to system, then
GS-047 GS-048 Contracts A general agreement enforceable by law (excluding personnel contracts). Laboratory Inspection Reports Periodic inspections of laboratories or other plant operation/maintenance areas, their equipment, and conditions. Page 10 of 12 LEGAL RECORDS LEG2000 Retain while active + 5 years, then LEG5030 Retain for life of equipment for calibrations. Retain all other for 3 years, then GS-049 Litigation Files LEG4000 Retain while Active + 6 years, then GS-050 Patents LEG7000 Retain while Active + 6 years, then review for continuing value, then GS-051 Public Records Request Files LEG7000 Retain for 3 years, then GS-052 GS-053 Real Estate Records Deeds, leases, purchase agreements, appraisals, etc. documenting real property purchased or leased by the university. Trademark/Copyright Registrations LEG2000 Retain while Active + 5 years, then LEG7000 Retain while Active + 6 years, then
GS-054 Personnel Files xiii Unofficial copies, for departmental use only, of employment records for faculty and classified/administrative staff, both part-time and full-time. Files may contain applications, position descriptions, letters of commendation/reprimand, performance evaluations, leave forms, PERS forms, resignations, termination notices, and other related items. PERSONNEL RECORDS xixii Page 11 of 12 PER3000 Retain while active + 1 year, GS-055 Position Descriptions ADM3000 Retain while active + 3 years, then GS-056 Resignation/ Termination PER3010 Retain 5 years, then Documentation GS-057 Search Committee Records PER2000 Retain 3 years, then Consists of job posting, list of candidates, final report. GS-058 GS-059 Time Sheets Any time sheet copies maintained by departments for administrative purposes. W-4 Forms (Copies) Forms completed by employee showing federal tax withholding PER6000 Retain 5 years, then PER1030 Retain while active + 6 years, then i At the end of a record s retention period, it must be disposed. Disposal options include transferring to or contacting the University Archives for appraisal or destruction. Destruction includes deleting electronic files and recycling or shredding paper files. Paper files containing confidential information must be shred. ii Destruction of records with student information must be performed in a manner that protects confidentiality, as per FERPA. iii Course descriptions (in catalogs) retained permanently in University Archives. iv Official Curriculum Modifications/Development Files are maintained by the Provost, and are eventually accessioned by the University Archives. v Students official academic records are maintained permanently by the Office of Registration and Records. vi Please note that credit card numbers are considered high risk identity theft information and must be managed in accordance with specific federal compliance requirements. For more information please refer to the Payment Card Industry Data Security Standard vii Contact the University Records Manager for help with email management. Also see the electronic records tutorial. viii Email is a means of delivering information, such as the postal service, and should not be managed any differently than items you receive by regular mail at work or home. Review and manage email messages and their attachments according to their informational value, based on the criteria described in this schedule and your departmental schedule. ix Catalogs are maintained permanently by the University Archives and are accessioned from the office of Registration and Records and the Graduate College. x Course schedules are maintained permanently by the University Archives and are accessioned from the office of Registration and Records.
Page 12 of 12 xi Refer to departmental retention schedules for specific retention requirements for personnel records. These guidelines are only to be used in the absence of specific departmental record retention schedules. xii Long-term personnel information is held by the Human Resources Office and the Office of the Provost. xiii Official personnel files are maintained permanently by the Human Resources Office (classified/administrative staff) and the Office of the Provost (faculty).