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
• General Administrative Records
• Admissions
• Affirmative Action
• Athletics
• Childcare Center
• Commonwealth Campuses
• Contracts
• Correspondence
• Curriculum Records
• Development & Alumni Association Records
• Environmental Health and Safety (Central Office)
• Environmental Health and Safety (Retained by Unit)
• Financial Records
• Grant and Contract Records
• Health Records
• Housing and Food Services
• Human Resources Retained Centrally
• Human Resources Related Records (Retained by Unit)
• Intellectual Property (IP) Records
• Information Security / General Security Records
• Internal Audit
• Legal Records
• Office/Workstation Computers
• Physical Plant
• Police and Public Safety
• Privacy
• Publications
• Registrar
• Research Protections
  • Research Protections - Biosafety
  • Research Protections - Certificate of Scientific Exchange
  • Research Protections - Conflict of Interest
  • Research Protections - Drones Program Research Protections
  • Research Protections - Education and Outreach
  • Research Protections - Human Research Protection Program
  • Research Protections - Institutional Animal Care and Use Committee
  • Research Protections - Quality Assurance
  • Research Protections - Radioisotopes
  • Research Protections - Research Misconduct
  • Research Protections - Scientific Diving Program
• Risk Management
• Special Programs and Events
• Student Disability Resources
• Student Life
• Student Records
• Youth Programs

INTRODUCTION

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

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

• University Records - Information that documents a transaction or regularly conducted activity of the University and that is created, received or retained pursuant to law, University policy, or in connection with a transaction, business, or activity of the University.  The term includes documents, papers, letters, books, drawings, maps, plans, photographs, tapes, film or sound recordings, microforms, digital or analog files, information stored or maintained electronically, and data- or image-processed documents.

• Transitory/Disposable Records - University Records that have temporary value and, as a result, may be destroyed after they are no longer needed. In no event shall be retained longer than the official copy of the University Records as delineated on the Records Retention Schedule. Examples include photocopies of official University Records, a printed copy of a University Record that is held by the Responsible Party or within a System of Record, a spreadsheet containing data that is exported from or officially resides in another systems, personal emails not related to University business or activity, and/or mass emails or communications.

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

Exceptions to the disposition process are as follows:

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

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

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

For records with retention periods of less than 1 year:

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

For records with retention periods of 1 year or more:

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

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

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

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

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

 

GENERAL ADMINISTRATIVE RECORDS

General Administrative Records Retention Schedule - Updated March 2021

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Acknowledgments		End of calendar year + 1 year
Board of Trustees Minutes and Agendas		Permanent in Archives
Committee Files:    Agendas, Minutes, Reports		End of calendar year + 3 years; review by Archives
Continuous Quality / Process Improvement (Including Flow Charts, Reports, Surveys, Meeting Minutes and Diagrams)		End of calendar year + 3 years; review by Archives
Directives    External    Internal		Until superseded Until superseded; transfer to Archives
Form Templates		Until superseded or outdated + 1 year
"History" Files NOTE: All records created prior to 1965 MUST sent to Archives for review and appraisal.		End of calendar year + 5 years; review by Archives
Invitations / Announcements		End of calendar year + 1 year
Lost and Found Records    Inventory tags and lists or items sent to Lion Surplus by repositories    Lost and Found Finder Claim Form    Records on items received and disposed of by Lion Surplus		End of fiscal year + 1 year 1 year after item has been released to claimant, then shredded End of fiscal year + 1 year
Mailing Lists		Until superseded
Memoranda of Transmittal		6 months
Official Kaltura Recordings    Kaltura is Penn State's enterprise-level, cloud-based media management platform for use by both students and faculty and is designed for storing, publishing, and streaming video, video collections, and other media, such as images and audio files.	Department / Kaltura	3 years from the last viewed date	Policy AD40: Recording of Classroom Activities and Note-Taking Services
Opinion Survey Results / Reports		3 years after completion or termination; Final Report permanent in Archives
Organizational Charts and Function Records		Until superseded + 3 years; review by Archives
Policies & Procedures - Internal		Until superseded + 1 year; review by Archives
Procedure Manuals		Permanent in Archives
Records Retention Schedule		When superseded; permanent in Archives
Strategic Plans & Supporting Documents		5 years in office; transfer to Archives
Training Materials Not found in another record series		Until superseded or outdated + 3 years
Transitory / Disposable Records		Until superseded or outdated
Transitory Zoom Recordings    Zoom is Penn State's video and web conferencing service that allows you to engage in multi-person video or audio meetings using software installed on your computer, without the need for dedicated video conferencing hardware. Once a Zoom recording is made (with proper permission / authorization), it is automatically uploaded into Kaltura where the official copy is held. The transitory copy left in Zoom is no longer needed.	Department / Zoom	From recording date, active for 120 days, then inactive (in delete queue) for 30 days, for a maximum of 150 days. Deletion is automated in Zoom.
Travel: Itineraries    Expense Forms    Reservations / Confirmations		End of calendar year + 1 year See Financial Document Retention Schedule in GURU End of calendar year + 1 year

ADMISSIONS

 

Admissions Records Retention Schedule

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Admission Applications (Images)		End of calendar year + 7 years
Application for Advanced Credit		3 years after student's last activity
Prospect and Applicant Data	Student Information Systems	Applied and Attended - end of calendar year + 50 years; transfer to Archives OR Applied and did not attend - 3 years after end of admissions cycle
Prospective students who did not apply and/or did not attend PSU		End of academic year + 1 year
Supporting Documentation:       Including: Application, Applicant Correspondence, Applicant Letters of Recommendation (Unsolicited), Applicant High School Transcripts, College Transcripts, Applicant Residency Status Documents		Admitted & Attended - 3 years beyond graduation or termination OR Applied and did not attend - 3 years after end of admissions cycle
Student Recruitment Publications & Media		End of calendar year + 3 years; review by Archives

 

AFFIRMATIVE ACTION

 

Affirmative Action Records Retention Schedule - Updated October 2020

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

ATHLETICS

 

Athletics Records Retention Schedule - Updated June 2020

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
ICA Clearances - Volunteer Coaches and Student Athletes Limited to: FBI Fingerprint Check, PA Child Abuse Background Check, PA State Police Criminal Check Organize by: Coach or Athlete Name, Date of Clearance	Intercollegiate Athletics - Unit HR / DocFinity	Date of clearance + 7 years	ACT 114 PA Federal Criminal History Records Information (CHRI); ACT 33 PA Child Abuse Clearance; ACT 36 PA Criminal Record Check; PA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

Childcare Centers

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

Childcare Center Retention Schedule Records Retention Schedule

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

COMMONWEALTH CAMPUSES

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

Commonwealth Campuses Records Retention Schedule

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

CONTRACTS

Contracts Records Retention Schedule

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

CORRESPONDENCE

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

Correspondence Records Retention Schedule

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

CURRICULUM RECORDS

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

Curriculum Records Retention Schedule

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

DEVELOPMENT & ALUMNI ASSOCIATION RECORDS

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

Development and Alumni Association (DDAR) Retention Schedule - Updated August 2021

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

ENVIRONMENTAL HEALTH AND SAFETY (CENTRAL OFFICE)

 

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

Environmental Health and Safety (EHS) Central Office Retention Schedule - Updated October 2020

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Building Incident Reports - (Non Fire Related, Non-Exposure, Non-Environmental, Non-Radiation)	EHS Central Office	End of calendar year + 7 years	Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act 20 U.S.C. § 1092(f)
Chemical Facility Anti-Terrorism Standards (CFATS) Specific Records Requirements for covered Dept. of Homeland Security (DHS) and CFATS. Limited to top screens, security vulnerability assessments, and site security plans and related correspondence. Required by Dept. of Homeland Security (DHS).	(Chemical Vulnerability Information) CVI Authorized User within Environmental Health & Safety (EHS) - Central Office	End of calendar year + 6 years	6 CFR § 27.255
Chemical Facility Anti-Terrorism Standards (CFATS) All Other Records Requirements for covered Dept. of Homeland Security (DHS) and CFATS facilities including but not limited to, security audits, training and exercises, security incidents and threats, and calibrations for security equipment.	(Chemical Vulnerability Information) CVI Authorized User within Environmental Health & Safety (EHS) - Central Office	End of calendar year + 3 years	6 CFR § 27.255
Chemical Inventories and Reports		End of calendar year + 1 year
EHS program documentation Internal EHS program documents, policies, procedures, and guidelines.	EHS Central Office	Until superseded or outdated + 3 years; review by Archives
Emergency Planning Community Right to Know Reports - both Unit & Central	EHS Central Office	Until superseded or outdated + 1 year	Emergency Planning and Community Right-to-Know Act (EPCRA)
Employee Exposure/Injury Records - Not including Noise	EHS Central Office	End of calendar year in which exposure document + 30 years	29 CFR Ch. XVII § 1910.1020
Employee Exposure Records - Noise	EHS Central Office	End of calendar year in which exposure documented + 2 years	OSHA 1910.95(m)(3)(i)
Employee Participation and Safety Review Records (Process Safety Management)	EHS Central Office	End of calendar year in which review performed + 15 years
Environmental Health and Safety Employee Training Records & Sign-in Sheets	EHS Central Office	End of calendar year in which course ends or separation of employment + 30 years
Environmental Health and Safety Inspections and Audits - Except Process Safety Management (PSM)	EHS Central Office	End of calendar year which in which audit was completed + 7 years
Environmental Health and Safety Inspections and Audits - Process Safety Management (PSM)	EHS Central Office	End of calendar year which in which audit was completed + 15 years
Environmental Health and Safety Training Program Materials	EHS Central Office	Until superseded or outdated + 3 years
Environmental Real Estate History Records	EHS Central Office	Building demolition or transfer of ownership + 4 years; review by Archives
Environmental Spill and Emergency Plans	EHS Central Office	Until superseded or outdated + 5 years; review by Archives	25 Pa. Code 262a.100
Equipment Calibration & Testing Records - Radioactive	EHS Central Office	Expiration of License + 3 years
Equipment Calibration & Testing Records - Non Radioactive	EHS Central Office	Decommissioning of equipment + 30 years
Equipment Inventories	EHS Central Office	Expiration of License + 3 years
Equipment Testing Records (Shower & Eyewash)	EHS Central Office	Life of process + 3 years
Federal and State Special forms of Permits, Approvals, Registrations, and Submissions	EHS Central Office	Expiration of permit + 3 years	25 PA Section 270a.60(a)(1); 40 CFR 264.74; 49 CFR 107.109(b); 49 CFR 107.705; 49 CFR 173.185€
Fire Alarm Reports - Fire Incidents and Inspections	EHS Central Office	Building demolition or transfer of ownership + 3 years
Hazardous Building Materials Records	EHS Central Office	Transfer of ownership from PSU + 30 years	29 CFR Part 1910.20; Asbestos Standard For General Industry - OSHA 3095
Hazardous, Infectious, and Radioactive Waste - Shipping & Disposal Records	EHS Central Office	Permanent
Hazardous Materials - Shipping & Receiving Records	EHS Central Office	End of calendar year + 3 years	40 CFR Section 262.40; Section 101 ESIGN Act
Infectious, Radioactive, and Hazardous Waste Pickup Request Records	EHS Central Office	End of calendar year + 3 years	40 CFR Section 262.40; PA 25 Section 284.703; Section 101 ESIGN Act
Infectious Waste Transporter Licenses Records	EHS Central Office	Until superseded or outdated + 3 years	PA 25 Section 284.602
Integrated Safety Plan Records	EHS Central Office	End of calendar year in which safety plan was disbanded + 3 years
Isotope Use and Decommissioning Records	EHS Central Office	Expiration of license + 3 years	U.S. NRC 36.81
Laser Safety Officer Transfer of Authority Records	EHS Central Office	Until superseded or outdated + 3 years
Preventive Maintenance (Process Safety Management)	EHS Central Office	Completion of preventive maintenance + life of the equipment or process
Radioactive License and Amendment Records	EHS Central Office	Expiration of license + 3 years	U.S. NRC 36.81
Radioactive Material Surveys	EHS Central Office	End of calendar year in which survey completed + 3 years	U.S. NRC 36.81
Radioactive Materials Records	EHS Central Office	Transfer or disposal of material + 3 years	U.S. NRC 30.51
Regulatory Interpretation Reports	EHS Central Office	Expiration of all licenses to perform related research or use, or program superseded or outdated + 3 years
Safe Work Permits and Incident Records (Process Safety Management)	EHS Central Office	Close of incident and permits + 7 years
Safety Council Minutes	EHS Central Office	End of calendar year + 3 years; review by Archives

ENVIRONMENTAL HEALTH AND SAFETY (RETAINED BY UNIT)

 

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

Environmental Health and Safety (EHS) Retained by Unit Retention Schedule - Updated June 2020

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Annual and semi-annual self-audits and inspections - records completed by the work unit that show compliance with EHS programs	Department	End of calendar year + 1 year
Chemical Use Listing/ Safety Data Sheets	Department	Superseded/outdated + 30 years
Chemical waste area and pesticide storage area inspections	Department	End of calendar year + 3 years	Pennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Commercial cooking exhaust cleaning	Department	Until superseded
Emergency Planning Community Right-to-Know Reports	Department	Superseded/outdated + 1 year	Emergency Planning and Community Right-to-Know Act (EPCRA) Section 311-312; 40 CFR Part 370
Environmental Health and Safety employee training records & sign-in sheets	All units	End of calendar year in which course ends or separation of employment + 30 years
Equipment and confined space inventories	Department	Until superseded
Equipment inspection and repair records - annual equipment inspection or repair records by regulator, vendor, or qualified personnel	Department	Life of equipment or 7 years, whichever is longer	NFPA 70E
Equipment inspection records - monthly or longer equipment inspection records by departmental personnel	Department	End of calendar year + 3 years
Equipment inspection records and permits - daily, weekly, and prior to use equipment inspection records by departmental personnel	Department	End of calendar year + 1 year	NFPA 70E
Explosives records	Department	Expiration of permit + 3 years	27 CFR 555.122–.125
Fire Protection System - new installation		Life of equipment
Fire safety equipment and building evacuation exercises	Department	End of calendar year + 3 years
Hazardous material shipping records		End of calendar year + 3 years
Hazardous materials inventories - chemicals, pesticides, and radioactive materials	Department	Date of acquisition + 1 year
Instrument calibration	Department	Life of equipment + 30 years
Integrated Safety Plan (ISP) and Safety Committee Meeting Minutes	Department	End of calendar year + 3 years
Licenses / Registrations	Department	Until superseded
Pesticide application records	Department	Date of application + 3 years	Pennsylvania Department of Agriculture’s (PDA) Pesticide Rules and Regulations 7 Pa. Code, Chapter 128 Sections 35 and 6
Refrigerant records	Department	End of calendar year + 3 years	40 CFR Part 82, Subpart F §82.154
Refrigerant technician certification	Department	Period of employment in the work unit + 3 years	40 CFR Part 82, Subpart F §82.154
Residence Hall Fire Drills	Department	End of calendar year + 7 years
Safety and Environmental Plans / Work Area Assessments Initial and annual reviews, and updates	Department	Until superseded or updated + 1 year
Spotted Lanternfly Inspections	Department	End of calendar year + 2 years	Pennsylvania Department of Agriculture (PDA) Spotted Lantern Fly Quarantine Regulations
Standard Operating Procedures	Department	Life of equipment
User evaluations	Department	Period of employment in the work unit
Waste Disposal documentation - Chemical/Hazardous Waste	Department	End of calendar year + 3 years	42 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Grease/Used Cooking Oil	Department	End of calendar year + 3 years	40 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping
Waste Disposal documentation - Infectious Waste	Department	End of calendar year + 2 years	41 CFR § 262.11 (f) - Hazardous waste determination and recordkeeping

FINANCIAL RECORDS

NOTE: See Financial Records Retention Schedule.

GRANT AND CONTRACT RECORDS

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

Grant and Contract Records Retention Schedule

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

 

HEALTH RECORDS

Health Records Retention Schedule

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Health Services Forms		7 years after last treatment	Section II (K) of Policy AD22
Health Services Forms - Minor Patients		Age of majority (18 years old) + 7 years	Section II (K) of Policy AD22

HOUSING AND FOOD SERVICES

Housing and Food Services Records Retention Schedule

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Access Control Records		End of calendar year + 3 years

 

HUMAN RESOURCES RETAINED CENTRALLY

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

Human Resources Records Retention Period - Updated AUGUST 2019

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Academic Administration Summaries		Distribution to faculty and staff + 5 years, transfer to Archives	Policy AC14: Academic Administrative Evaluation
Drug Testing Records - Negative or canceled	Penn State Human Resources - Occupational Medicine	End of calendar year + 1 year
Drug Testing Records - Positive or refused	Penn State Human Resources - Occupational Medicine	End of calendar year + 5 years
Employee Benefits File Including but not limited to Beneficiary Records, Retirement Elections, Healthcare Enrollment Forms, Phased Retirement, Sabbaticals, Military Leave, Power of Attorney.	Penn State Human Resources - Benefits Team	If separated without retiree benefits separation of employment + 6 years OR If separated with retiree benefits retain for life of retiree, life or until remarriage of spouse, or until dependent reaches age of 26 + 6 years	Policy HR54: Continuation of Group Insurance after Age 60, Age 65, and after Retirement or Death
General Employee Personnel File Limited to records related to Hiring and Onboarding, Job Changes, Performance Management, Pre-Employment, Requests to Review Personnel File, and Separation (outside of LER).	Penn State Human Resources - HR Records Management	Separation of employment + 6 years	Policy HR60: Access to Employee Personnel File 63 P.S. Labor § 1322. Inspection of personnel files
I-9 Records	Penn State Human Resources - Data and Onboarding / Equifax System	After an employee has separated calculate the following and retain for whichever time period is longer: Date of hire + 3 years OR Date of separation of employment + 1 year	8 CFR § 274a.2 - Verification of identity and employment authorization
Job Descriptions - Related to Postings	Penn State Human Resources	When superseded or outdated
LER - Agreement and General Release (AGR)	Penn State Human Resources - Labor and Employee Relations (LER)	Fulfillment of Terms + 10 years
LER - Ineligible for Rehire	Penn State Human Resources - Labor and Employee Relations (LER)	Permanent
LER - Labor Relation Records	Penn State Human Resources - Labor and Employee Relations (LER)	End of all agreements with certified bargaining unit + 7 years, review by Archives
LER - Layoff Agreement Packet	Penn State Human Resources - Labor and Employee Relations (LER)	Separation of employment + 6 years
LER - Title IX-related Discipline by Unit Leadership	Penn State Human Resources - Labor and Employee Relations (LER)	Separation of employment + 6 years	Title IX of Education Amendments Act of 1972
LER - Workflow Termination Summary	Penn State Human Resources - Labor and Employee Relations (LER)	Separation of employment + 6 years
Medical Leaves	Penn State Human Resources - Absence Management	End of Leave + 3 years	HRG11 Family and Medical Leave; 29 CFR § 825.500 - Recordkeeping requirements;
Promotion and Tenure (P&T) Review and Dossier Records - University Level Limited to the P&T Forms and Dossiers dividers as listed in GURU MUST EXCLUDE FROM TRANSFER TO ARCHIVES: External letters of Assessment and Statements of Evaluation of the Candidate by Review Committees and Administrators	Penn State Human Resources - HR Records Management	Separation of employment + 6 years; review by Archives	Policy AC23: Promotion and Tenure Procedures and Regulations Promotion and Tenure Forms in GURU
Protected Status Records		End of calendar year + 3 years
Salary guidance matrices and monthly analysis worksheets		End of calendar year + 5 years
Unemployment Compensation Records		End of calendar year in which contributions relating to the employee have been paid + 4 years
Workers' Compensation File	Penn State Human Resources - Absence Management / Broadspire System	Close of case + 7 years	29 CFR 1904.33 (Labor, Regulations, OSHA, Recording and Reporting, Recordkeeping); PA Workers' Compensation Act, 77 P.S. § 1--2708
Youth Program Employee Background Checks (for all units and programs)     Including but not limited to: Pennsylvania State Police Criminal Background Check (SP-164); Pennsylvania Child Abuse History Clearance Form (CY-113); Federal (FBI) Fingerprint Criminal Background Check (Criminal History Report), National Sex Offender Registry(1), Out of State Clearances(2), J-1 Visa(3), Arrest and Conviction Self Disclosure form     NOTE: Based on program type, additional clearances may be needed (1)Currently required while working in a child-day care facility only (2)Out of state clearances are required only for those seeking positions in a child-day care center and have resided outside of PA over the course of the previous 5 years (3)J-1 Visa holders are not required to submit the 3 publicly available clearances, unless applying for a position in a child day-care center, group day-care home, family child-care home, or applying for, or holding a position that will exceed a total of 90 days within a calendar year.	Penn State Human Resources - Data and Onboarding	Separation of employment + 6 years	PA Title 23: Domestic Relations Chapter 63: Child Protective Services § 6344 Employees having contact with children; adoptive and foster parents. PA Title 23: Domestic Relations Chapter 63: Child Protective Services 6344.2 Volunteers having contact with children.

HUMAN RESOURCES RELATED RECORDS (Retained by Unit)

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

Human Resources Related Records (Retained by Unit) Retention Schedule - Updated August 2019

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Applications - NOT Hired	Head of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay Recruiting	Conclusion of search + 3 years
Consultative Committee Files of Consideration for Non-Tenure Line Faculty Promotion Committee files related to considering which non-tenure line faculty will be evaluated for a promotion during the current cycle. It is not the result of the Promotion evaluation Includes: consultative committee files, evaluations, and non-tenured faculty promotion files Excludes: personal notes of committee members Organize By: Evaluation Date	Campus/College/Unit	End of calendar year + 3 years
Letters of Recommendation - NOT Hired	Head of Search Committee or Unit HR / Electronic Jobs Management System (EJMS) or WorkDay Recruiting	Conclusion of search + 3 years
Permanent Labor Certification Process within EJMS Applications and all supporting documentation	Electronic Job Management System (EJMS)	Conclusion of search + 5 years	20 CFR Ch. V § 656.10.f & § 656.18
Permanent Resident Applications for International Job Applicants, specifically for tenure-track faculty positions		Conclusion of search + 5 years	20 CFR Ch. V § 656.10.f & § 656.18
Promotion and Tenure (P&T) Supplemental Materials Includes books, reprints, syllabi and teaching portfolios, vitae, narrative statements sent to external reviewers, and other materials assembled by the faculty member during the P&T review process These files are excluded from the Official P&T Dossier Organize By: Faculty Member; P&T Level/Review Type: Status: Review Date	Campus/College/Unit	Transitory, destroy when no longer needed after conclusion of P&T review process	Administrative Guidelines for AC23: Promotion and Tenure Procedures and Regulations
Search Committees and Search Related Materials	Head of Search Committee or Unit HR / Electronic Job Management System (EJMS) or WorkDay Recruiting	Conclusion of search + 3 years
Time Cards (to support WAGC)		End of calendar year + 1 year
Student Rating of Teaching Effectiveness (SRTEs)	Online Summaries	10 years after creation
Student Rating of Teaching Effectiveness (SRTEs) - Summaries Used for Promotion and Tenure SRTEs are used for various purposes, including, promotion and tenure. If units utilize SRTEs for such purposes and file the copy in an official record such as a dossier, the retention time for that record series governs retention of that copy of the SRTEs.		Retain in Promotion and Tenure (P&T) Dossier

INTELLECTUAL PROPERTY (IP) RECORDS

 

Intellectual Property (IP) Records Retention Schedule  - Updated May 2019

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Copyright Licenses Incoming      Permissions granted to the University from a third party		Permanent	17 U.S. Code § 507 - Limitations on Actions

 

INFORMATION SECURITY / GENERAL SECURITY RECORDS

 

Information Security/General Security Records Retention Schedule

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

Computer System Security Logs Retention Schedule

RECORDS SERIES (Types of Records)		RETENTION PERIOD
	Readily Accessible* From the time the record was generated	Overall Retention Period** From the time the record was generated
System Classification - Low (Level 1)	30 days	90 days
System Classification - Moderate (Level 2)	30 days	90 days
System Classification - High (Level 3)	90 days	365 days
System Classification - Restricted (Level 4)	90 days	365 days

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

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

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

 

INTERNAL AUDIT

Internal Audit Records Retention Schedule

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

 

LEGAL RECORDS

Legal Records Retention Schedule

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Documents related to third-party subpoenas, search warrants, administrative orders, court orders, and authorization for release of records.	Each department that produces records in response to such requests will keep its original copies of its responses and the records produced.	10 years after date of response
Law School Clinics		3 years after termination or close of legal action
Legal Opinions, Interpretations, Legislative Comments		10 years in office, transfer to Archives
Litigation Files (where University is a party and/or documents are subject to litigation holds)		Consult with the Office of General Counsel for applicable retention period
Settlement Agreements - Final Settlement Agreement Managed as a separate record		Fulfillment of Terms + 10 Years

OFFICE/WORKSTATION COMPUTERS

Office/Workstation Records Retention Schedule

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

PHYSICAL PLANT

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

Physical Plant Records Retention Schedule

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Access Coordinator Forms- Electronic, hard copy	Requesting Department's Access Coordinator	3 years
Blueprints/Drawings/Plans		Until superseded: transfer to Archives
Building Key/Key Core       Requests       Issues		3 years after termination, resignation or retirement Until superseded
Buildings NOTE: These records include correspondence, meeting minutes and reports.       Construction       Demolition       Maintenance       Renovation		3 years after job completion; review by Archives until  work completed; review by Archives Current Year + 1 year Current Year + 1 year
Building Safety and Occupancy		Until superseded
Energy		Until superseded
Equipment & Inventory Report Service Agreements		Until superseded or obsolete
Facility Access Authorization Request (FAAR)	Requesting Department's Access Coordinator	Retained 2 years after the access device is returned, and/or clearances are removed
Garage Repair and Fuel Service Authorization Form	OPP Service Garage	End of fiscal year + 7 years
Grounds and Landscaping		Until superseded
Inventories		Until superseded
Laboratories		Until superseded
Maintenance Standing Order Authorization Form	OPP Accounting Office	End of fiscal year + 7 years
Material Billing Authorization	OPP Accounting Office	End of fiscal year + 7 years
Project Planning		3 years after job completion; transfer to Archives
Public Safety & Prevention		Until superseded
Security		Until superseded
Space Allocations		Until superseded
Telecommunications		Until superseded
Work Orders		End of calendar year + 1 year
Proof of Publication or Posting		6 years after expiration or termination

POLICE AND PUBLIC SAFETY

Police and Public Safety Records Retention Schedule - Updated February 2019

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Background Checks      Criminal/Employment -- Requests for Criminal History Records Information	University Police - Records Team	Positive - retain in incident file Negative - current + 1 year
Behavioral Threat Assessment Team (BTMT) Database	Behavioral Threat Management Team	20 years from date of last activity
Blueprints/CAD Drawings/Floor Plans      Electronic, hard copy-- drawing, building folders, discs		Originals are held by University Archives; these files are use copies only and should be retained only for as long as needed.
Bicycle Permit Information		End of registration period + 2 years
Body-Worn Camera Video Recordings Body-Worn Cameras (BWCs) are relatively small wearable cameras that record interactions between community members (e.g., the public, suspects, and victims) and law enforcement officers.	University Police & Public Safety	BWC footage should be held a minimum of 180 days BWC recordings submitted for investigation (criminal and/or administrative) takes on the retention of the investigation	§67A03 of Act 22 of 2017
Ccure Card Access People Data Access point data for PSU ID cards	Ccure System	Access point data must be retained for 1 year Access point data submitted for investigation (criminal and/or administrative) takes on the retention of the investigation.
Certain For Official Use Only (FOUO)      Critical building/IT infrastructure data, Assessment Reports		3 years after last activity
Citation Log Traffic and Non-Traffic citations assigned to officers in addition to when they were issued to a defendant.	University Police - Records Team	End of calendar year + 3 years
Clery Documents      ASRs, Daily Crime/Fire Logs, Audit reports for stats, Emergency Notifications, Timely Warnings, and Mail Logs for Timely Warnings & Clery Notifications	University Police - Records Team and Clery & Compliance Team	End of calendar year + 7 years	Clery Act of 1990, 20 U.S.C. § 1092(f)
Closed-Circuit Television (CCTV) Recordings      Electronic and/or hard copy of Surveillance video	University Police - Dispatch Recorder	End date of recorded video + minimum of 30 days Recorded video submitted for investigation (criminal and/or administrative) takes on the retention of the investigation
Citation Logs      Audit log for citation sign-out	University Police - Records Team	End of calendar year + 3 years
Courier Log		End of year + 1 year
Criminal Complaint Log Criminal Complaints prepared by officers and processed by the court.	University Police - Records Team	End of calendar year + 3 years
Criminal Complaints Copy of court document filed that formally charges a defendant with offenses.	University Police - Records Team	Homicides/Suspicious Deaths - Retain 75 years All other cases - Retain 20 years after close of investigation	Clery Act of 1990, 20 U.S.C. § 1092(f); Uniform Crime Reporting Act 18 P.S. § 20.303
Criminal History Audit Log      Currently an electronic form (1 month), with prior years paper copies. Information captured is Date, Name, Requester, Operator, Reason, Disposition and Case Number. Used to track criminal history queries.	University Police - Records Team	End of calendar year + 3 Years
Criminal History Dissemination Records Information documenting the dissemination of criminal histories and other law enforcement information to other agencies or criminal information systems.	University Police - Records Team	End of year in which dissemination occurred + 3 years
Criminal History/Investigatory Case Files      Official case file records, including but not limited to: arrest and detention records, citations and complaints, crime analysis, evidence records, field notes, hospital and medical records, lab reports, offense reports, probation and parole records, press releases, warrants, subpoenas, and vehicular reports.	University Police - Records Team	Homicides/Suspicious Deaths - Retain 75 years OR Summary Cases - Retain 7 years after close of investigation All other cases - Retain 20 years after close of investigation
Daily Activity Reports Records pertaining to officer activity, including assignment sheets, patrol logs, and work schedules.		End of calendar year + 3 years
Deputy Sheriff Academy Training and Evaluation Records	Justice and Safety Institute	End of calendar year + 4 years
Dispatcher's Log Lists time and location of all calls received for police services.		Date of last entry + 3 years
Dissemination Log      Audit Log for CHRIA dissemination		End of calendar year + 3 years
Duty Roster	University Police - Records Team	End of calendar year + 1 year
Emergency Management Records      After Action Report (AAR) / Common Alerting Protocol (CAP) / Incident Action Planning (IAP)	Emergency Management Team	3 years after superseded; permanent in Archives
Event Request Form      (When Security is Provided)	University Police	End of calendar year + 1 year
FCC Licensing      Electronic, hard copy -- Radio licenses (original)		Until superseded; transfer to Archives
Fire Alarms      Electronic, hard copy -- Programming information for Fire Alarms/University Wide		End of calendar year + 1 year
Firearms and Ammunition Records Inventories of assignments.		Until superseded or obsolete + 2 years
Incident Reports Non-Criminal History Case Files that include basic information on the nature of offense or complaint, times, names of those involved, descriptions, vehicle information, and actions taken.	University Police - Records Team	End of calendar year + 7 years
Internal Affairs Case Files - Incident Log Reported employee misconduct or department complaints.	University Police - Director of Operations	Date of last entry + 7 years
Internal Affairs Case Files - Substantiated Charges Initial report and disposition documentation, in addition to extensive investigators' reports, statements and relevant documents.	University Police - Director of Operations	Separation of employment + 3 years
Internal Affairs Case Files - Unsubstantiated Charges Initial report and disposition documentation, in addition to extensive investigators' reports, statements and relevant documents.	University Police - Director of Operations	Close of investigation, or union rules (if applicable) + 3 years
IT Systems/Network Access Active directory -- List of users/groups/permissions		End of calendar year + 3 years
K-9 Veterinary and Training Records	University Police	End of calendar year + 3 years
Keys Electronic, hard copy -- Key Access Forms, Key Control, Key Request Forms		Separation of employment + 3 years
Monthly Police Officer (PO) Stats		End of calendar year + 3 Years
Non-Traffic Citations (Summary Case Files)		Close of investigation + 7 years
Parking Records Permits, appeals and fines		End of calendar year + 3 years
Police Incident Reports Criminal, Non-Criminal, Vehicle Code Accidents		7 years or Statute of Limitations dependent on incident type
Police Policies and Procedures		Until superseded + 7 years
Press Log - Clery -- Daily Crime and Fire Log		End of calendar year + 7 years	Clery Act of 1990, 20 U.S.C. § 1092(f); Uniform Crime Reporting Act 18 P.S. § 20.303
Property Records (Evidence/Found/Recovered)	University Police - Records Team	7 years after no longer in custody of University Police  OR If part of Criminal History Case File - see records series
Protected Critical Infrastructure Information      Electronic, hard copy		3 years after last activity
Report a Crime Online Submission	University Police - Records Team	End of calendar year + 3 years
Security Guard Files	University Police	2 years after date of last activity
Security Lapse Forms      Hard copy/electronic spreadsheet		End of calendar year + 1 year
Security Network Information      - IP information, equipment files, etc.		End of calendar year + 1 year
Stadium Ejection Cards/Pre-party Contacts      Forms filled out by officers to record contact with persons ejected from the stadium or hosting tailgate party prior to game time. (If part of Criminal History Case File, see that records series above).		End of calendar year + 7 years OR If part of Criminal History Case File - see records series
Traffic Citations - Police copies of citations issued/filed (If part of Criminal History Case File, see that records series above).		Close of investigation + 3 years OR If part of Criminal History Case File - see records series
Uniform Crime Reporting (UCR) - UCR submissions and audit reports		End of calendar year + 7 years	Uniform Crime Reporting Act 18 P.S. § 20.303
Vehicle Maintenance Reports		End of calendar year + 3 years
Vendor Contact Information - Electronic, hard copy		3 years after last activity
Waiver liability		End of calendar year + 1 year
Warning Cards		End of calendar year + 1 year
Wiretap Consensual Applications, Orders, and Reports		Immediately upon completion of the order of the court to destroy.	Wiretapping and Electronic Surveillance Control Act 18 Pa.C.S.A. § 5715
Wiretap Content		Minimum of 30 days and maximum of 90 days after date of recording	Wiretapping and Electronic Surveillance Control Act 18 Pa.C.S.A. § 5749

PRIVACY

Privacy Records Retention Schedule

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
HIPAA Covered Component Disclosures		End of calendar year + 7 years	Pa. Code § 16.95(e) (2008)
HIPAA Privacy Policy Training Records		7 years after termination, resignation or retirement
Notifiable Data Breach Records		6 years after date of creation

PUBLICATIONS

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

Publications Records Retention Schedule

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

REGISTRAR

Registrar Records Retention Schedule

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

RESEARCH PROTECTIONS

Research Protections - Biosafety 

Research Protections - Biosafety (IBC, IRE, ESCRO) Records Retention Schedule - Updated October 2023 

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

 Research Protections – Certificate of Scientific Exchange

                         Research Protections – Certificate of Scientific Exchange (COSE) Records Retention Schedule - Updated OCTOBER 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Research Permits - U.S. Fish and Wildlife Institutional COSE Permit	Office for Research Protections	End of review + a minimum of 3 years	Fish and Wildlife Service schedule
Denied Permit Applications	Office for Research Protections	Final determination + 3 years	Fish and Wildlife Service schedule
Institutional COSE Permit Annual Report – permittee must provide an annual report to maintain permit	Office for Research Protections	Date of submittion to U.S. Fish and Wildlife + 6 years

Research Protections - Conflict of Interest

Research Protections - Conflict of Interest Records Retention Schedule - Updated OCTOBER 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
COI Committee Files Includes Individual and Institutional COI Committee meeting minutes, copies of correspondence between the COI committees and investigators, and lists of current and previous members of COI committees.	COI Program OR Penn State College of Medicine - COI Program	End of review + a minimum of 3 years	42 CFR Part 50.604
COI Disclosure Files	COI Program OR Penn State College of Medicine - COI Program	For awards that are renewed quarterly or annually - Submission of the report + a minimum 3 years. All other disclosures- Date of the final expenditure report + a minimum of 3 years	42 CFR Part 50.604
COI Education and Outreach Records	COI Program OR Penn State College of Medicine - COI Program	When superseded or outdated + a minimum of 3 years; review by Archives	NSF Grant Policy Manual, Chapter V, Section 510, g - NSF regulation  21 CFR §54.6(b) – FDA regulation  42 CFR §50.604(i) – PHS regulation
COI Policy and Procedure Files	COI Program OR Penn State College of Medicine - COI Program	When superseded or outdated + 1 year; review by Archives

 

 Research Protections - Drones Program

Research Protections - Drones Program Records Retention Schedule - Updated October 2023

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

 

Research Protections - Education and Outreach

Research Protections - Education Outreach Retention Schedule - Updated October 2023

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

Research Protections -  Human Research Protection Program 

Research Protections - Human Research Protection Program (HRPP) Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Protocol Files	Office for Research Protections	Closure of protocol + minimum of 6 years	HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)
AAHRPP Submissions and annual reports	Office for Research Protections	2 AAHRPP reaccreditation cycles (retain 2 applications and all annual reports within each cycle); review by Archives
Committee Member Surveys	Office for Research Protections	When superseded or outdated + 7 years
IRB Registration	Office for Research Protections	When superseded or inactivated + 3 years
Federal Wide Assurance	Office for Research Protections	When superseded or inactivated + 3 years
Policies and Procedures	Office for Research Protections	When superseded or outdated + 6 years; review by Archives	HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)
IRB Records	Office for Research Protections	When superseded or outdated + 6 years	HRP-070 - SOP - IRB Records      45 CFR 46.115                              21 CFR 56.115                              45 CFR 164.530(j)(2)

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

Research Protections -  Institutional Animal Care and Use Committee (IACUC) Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Protocols and Amendments - Protocol Closure Includes protocol and other approval documents submitted by the PI	Office for Research Protections	Protocol closure + 4 years	Policy RP04: Care and Use of Vertebrate Animals PHS Policy (IV, E, 1-2)           9 CFR AWAR
Semi-Annual Program Reviews and Facility Inspection Reports	Office for Research Protections	Date the review is provided to the Institutional Official + 7 years; review by Archives	Policy RP04
Facility Inspection Reports	Office for Research Protections	Date of inspection + 7 years	Policy RP04
USDA Inspection Reports	Office for Research Protections	Date of inspection + 7 years	9 CFR AWAR
Reports of Concerns - Not related to a protocol	Office for Research Protections	Date of inspection + 7 years	Policy RP04: Care and Use of Vertebrate Animals
Reports of Concerns - Protocol related	Office for Research Protections	Date of inspection + 7 years	Policy RP04
Association for Assessment and Accreditation of Laboratory Animal Care (AAALAC) Program Descriptions & Annual Reports	Office for Research Protections	Date program description and annual report submitted to AAALAC + 7 years (2 full accreditation cycles)
Office for Laboratory Animal Welfare (OLAW) Animal Welfare Assurances	Office for Research Protections	Date of most recent assurance renewal approved by OLAW + 8 years	Policy RP04
OLAW Annual Reports	Office for Research Protections	Date annual report submitted to OLAW + 7 years; review by Archives	Policy RP04
USDA Annual Reports	Office for Research Protections	Date annual report submitted to USDA + 7 years; review by Archives	9 CFR AWAR
Policy, Guideline, and Procedure Files	Office for Research Protections	When superseded or outdated + 7 years; review by Archives	Policy RP04
IACUC Correspondence (PI, USDA, OLAW) - Not protocol related	Office for Research Protections	Date of correspondence + 7 years	Policy RP04
IACUC Correspondence (PI, USDA, OLAW) - Protocol related	Office for Research Protections	Date of correspondence + 7 years	Policy RP04

Research Protections - Quality Assurance 

Research Protections - Quality Assurance Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Post Approval Review (PAR) Notes	Office for Research Protections	Conclusion of audits without findings + 7 years
Post Approval Review (PAR) Summary of Findings	Office for Research Protections	Date of review + 10 years
Investigational New Drug (IND) and Device Exemption (IDE) Training Materials	Office for Research Protections	When superseded or outdated + 2 years
Documentation of Federal Drug Administration Debarment Report  Debarment report checks sent to Investigative Officers	Office for Research Protections	Date completed + 7 years
Federal Drug Administration Debarment List List of firms or persons created by the FDA that are debarred and may no longer work for a firm holding a pending or approved drug product application at the FDA.	Office for Research Protections	List pulled + 7 years

Research Protections - Radioisotopes

Research Protections - Radioisotopes University Isotopes Committee (UIC) Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Protocols and amendments Includes applications and approval documents submitted by the PI and records of completed training	PRAMS and Radiation Safety Officer	Closure of protocol + 10 years	10 CFR 30.35(g)
Reports of Concern - Not protocol related	Radiation Safety Officer	Evaluation date + 10 years	10 CFR 30.35(g)
Reports of Concern - Protocol related	Radiation Safety Officer	Closure of protocol + 10 years	10 CFR 30.35(g)

Research Protections - Research Misconduct

Research Protections - Research Misconduct Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Investigation Files	Office of Research Protections	Close of all proceedings + 7 years	42 CFR Parts 50 and 93.317; DOD Instruction Number 3210.7; 2 CFR 422
Unwarranted Investigation Files	The Research Integrity Officer	Termination of inquiry + 7 years	42 CFR Parts 50 and 93.317; DOD Instruction Number 3210.7; 2 CFR 422
Unwarranted Inquiry Files	The Research Integrity Officer	Termination of assessment + 7 years

Research Protections - Scientific Diving Program

Research Protections - Diving Records Retention Schedule - Updated October 2023

RECORDS SERIES (Types of Documents)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Medical Examination Reports Medical records shall be available to the attending physician of a diver or former diver when released in writing by the diver.	Office for Research Protections	End of calendar year in which report created + 5 years
Diving Safety Manual	Office for Research Protections	When superseded or outdated + 3 years	OSHA, 1910.440(b)(3)(ii)  + 3 years for reference purposes
Dive Records - No incident	Office for Research Protections	End of calendar year in which dive occurred + 1 year	OSHA, 1910.440(b)(3)(iv) + AAUS Dive Standards Safety Manual
Dive Records - Incident	Office for Research Protections	End of calendar year in which dive occurred + 5 years	OSHA, 1910.440(b)(3)(iv)
Pressure-related injury assessment records	Office for Research Protections	End of calendar year in which assessment occurred + 5 years	OSHA, 1910.440(b)(3)(vii)
Equipment inspection and testing records	Dive Safety Officer	Current entry / tag, or until equipment is withdrawn from service	OSHA, 1910.440(b)(3)(vi)

RISK MANAGEMENT

Risk Management Records Retention Schedule

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

SPECIAL PROGRAMS AND EVENTS

Special Programs and Events Records Retention Schedule

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Continuing and Distance Education		See Curriculum Record Schedule
Cooperative Programs		End of calendar year + 3 years; review by Archives
EDUCATIONAL EVENTS (Non-Curriculum): Conferences, Institutes, Lectures, Meetings, Seminars and Short Courses (Including agendas, correspondence, handouts, publications, registration lists, reference materials and reports)		End of calendar year + 3 years; review by Archives
Interdisciplinary Programs		End of calendar year + 3 years; review by Archives
OFFICIAL EVENTS: Anniversaries, Awards, Convocations, Dedications, Inaugurations, Memorial Services and Mergers/Federations (Including agendas, correspondence, handouts, invitations, programs, publications, registration lists, reference materials and reports)		End of calendar year + 3 years; review by Archives
Remedial Programs		See Curriculum Records Schedule
SOCIAL EVENTS: Concerts, Dances, Festivals, Homecomings, Open Houses, Receptions and Reunions (including agendas, correspondence, handouts, programs, publications, registration lists, reference materials and reports)		End of calendar year + 3 years; review by Archives
Special Project or Program Files		3 years after completion or termination; Final Report review by Archives

STUDENT DISABILITY RESOURCES

Student Disability Records Retention Schedule

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

STUDENT LIFE

Student Life Records Retention Schedule

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

STUDENT RECORDS

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

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

• Notes of a professor/staff member concerning a student and intended for the professor's/staff member's own use are not subject to inspection, disclosure, and challenge. 
• Records of the Police & Public Safety Records Division, except in those instances where they are transmitted within the University for administrative purposes.
• Records relating to an individual who is employed by an educational agency or institution not as a result of his/her status as a student which:
  1. Are created and maintained in the normal course of business;
  2. Relate exclusively to the individual in that individual's capacity as an employee; and
  3. Are not available for use for any other purpose.

  However, employment records relating to University students, who are employed as a result of their status as students, are considered educational records. 

• Records on students which are created or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting or assisting in that capacity are not subject to the provisions of access, disclosure, and challenge. Such records, however, must be created, maintained, or used only in connection with the provision of treatment to the student and are not available to anyone other than the persons providing such treatment or a substitute. Such records may be personally reviewed by a physician or other appropriate professional of the student's choice. 
• Application records of students not admitted to the University; however, once a student has enrolled in an academic offering of the University, application information becomes part of the student's educational records.
• Alumni records.

Student records should always be destroyed by shredding.

 

Student Records Retention Schedule - Updated AUGUST 2019

RECORDS SERIES (Types of Records)	RESPONSIBLE PARTY / SYSTEM OF RECORD	RETENTION PERIOD & DISPOSITION METHOD	RETENTION RATIONALE
Academic Advisement	Department	3 years after graduation OR 7 years after last activity for students who have not graduated
Academic Dismissal (from University, for conduct standard violation)		3 years after termination
Advisor's Files		3 years after student's last activity
Alumni Lists		0 after superseded
Assistantship/Fellowship Stipend    Procedural Documentation    Student Records		3 years after termination or expiration 3 years after last activity [Destroy by shredding]
Education Credentials		10 years after last use
Student Information System Access and Transaction Logs Records	Registrar's Office / LionPath or eLion	7 years from date of creation
Establishment of State Residence Form		3 years after graduation or termination
Examinations & Answer Sheets		1 year after administered
Field trip Records Including checklist, emergency contact form, charge slip, release and code of conduct form		End of academic year + 1 year
Financial Aid: Scholarships, Grants, and Awards       Terms/Requirements       Applications, Correspondence, Reports		0 after superseded 3 years after award distributed
Grades       Appeals       Books		1 year after decision rendered 5 years after course completion
Graduate Assistantships Records Limited to Terms of Offer, Memorandum of Understanding, English Fluency, and Variable Rate Form	The Graduate School, Office of Graduate Fellowships and Awards Administration / DocFinity	Graduation + 4 years OR Last activity + 12 years	Graduate School Policies: GCAC-700-H Time Limitation - Professional Doctoral Degrees GCAC-700-BB Time Limitation - Professional Master's Degrees
Graduate Candidacy & Comprehensive Examinations		7 years after last activity
Letters of Student Verification	World Campus	3 years after submission to student
Majors/Minors		5 years after last activity
Mandatory Alcohol/ Marijuana Intervention Program Participation	Judicial Affairs	3 years after program completion
Registrar's Statistical Reports		0 after obsolete
Student Conduct Reviews	Judicial Affairs	7 years after last activity
Student Death Notices Includes current student, former student (not graduate) and alumni. Examples: Correspondence with Student's Family. Email notices to Registrar, Alumni Relations, etc. to remove student from current listing, enroll from classes, etc.	Student Affairs - Student Rights & Responsibilities / Maxient	7 years after notification of death	Clery Act of 1990, 20 U.S.C. § 1092(f)
Theses & Dissertations	University Library	Permanent
Trade Adjustment Assistance Authorization Program (Financial Aid) Records		End of calendar year in which the final expenditure report charged to a program year's allotment is submitted + 3 years

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

Youth Program Records Retention Schedule - Updated March 2021

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