Records Retention Schedule | Instructions for Use
May 2012
Record Retention Definitions
Record: documentation of an action, occurrence, or event in written or digital format such as
student transcripts, payroll records, histories, minutes of meetings, blue prints, photos, etc.
Record Retention Schedule: A living document used to document the life cycle of a Record.
The schedule should be reviewed at least annually with the following purposes:
1. To see that the record retention process outlined in the schedule is followed. This means
that records should be moved, archived or destroyed as prescribed by the schedule.
2. The retention schedule should be reviewed to see that any new record types are added to
the schedule.
3. The retention schedule should also be revised for changes in policy, storage medium or
other documentation changes.
Introduction to the Record Retention Schedule
There are two tabs on the Record Retention Schedule Excel file. The first page is the retention
schedule and the second is a disposal form that should be used to record the destruction of
records. For your convenience, items of importance have been referenced with a corresponding
number on the Records Retention Schedule.
There are multiple ways to account for various records. Please choose the one that makes the
most sense for you and your area. Keep in mind that others will likely use the schedule as
guidance. It is important that the schedule is as clear as possible. Use the Special Instructions
section whenever clarification is necessary or provide a separate sheet with explanations.
Stages of Record Retention
Three potential stages of record retention are described in the headings and include the
following:
1
“Office/Current” indicates that the records are available in the applicable department either in
files or on an active computer system. They are generally active records required for ongoing,
current operations of the department.
2
“Records Center” generally indicates that the records are stored more remotely than normal
operating documents or data. This might include an offsite storage area, data warehouse or some
other medium that might require some kind of additional effort to access the data. For example,
it might require loading data from disk or tape. Usually such records are older and accessed less
often.
3
The last stage is a department defined storage medium/location simply to allow additional
flexibility. Any appropriate descriptor may be used.
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Explanation of Terms – Records Retention Schedule
4
Purpose of Vital Records Retention – This column is intended to describe the primary reason
for retention of a particular record type and includes the following options:
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CO – Continuation of Operations – indicating that the record is necessary for the
ongoing operations of the University and usually more specifically operations of the
department managing the record. An example would be the general ledger maintained by
the Accounting Office which is required for production of internal and external financial
reports, for comparison against budgets, and for transaction review by account stewards.
FO – Fulfillment of Obligations – indicating that the record is necessary to meet
obligations or provide service to customers, employees and others. This could include
records of student achievement that might be useful to the student after graduation.
HV – Historical Value – indicating that the record has historic value to the University.
This could include minutes of important meetings, photographs, etc. The Library
Permanent Archives should be consulted to help determine historical value.
LR – Legal/Regulatory – indicating that the record is required to be retained by statute
or because of regulatory implications. This could include records such as deeds, titles,
and accreditation requirements.
In some cases, two or more categories might apply. Choose the one that is most applicable.
5
Record Description
This is a description of the particular record being retained. It could be a transcript, purchase
order, grading files, meeting minutes, waivers, forms, grades, applications, contracts, etc.
6
Type Codes
These are codes that indicate the form of the record retained. While some of the options are
somewhat obsolete, there still may be records retained in the various formats. There may be
some overlap of the various forms. Please choose the one that appears to be most applicable. If
records are stored in more than one format, a separate line item on the Retention Schedule should
be used.
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16 – 16mm film – including images of records stored on film or perhaps even motion
pictures stored in this format.
35 – 35mm film – similar to 16, but on a larger format.
AT – Audiotape – are recording of talks, music, etc. stored on a tape.
C – Computer – data that is stored digitally as part of a computerized system. This
would include operating data stored on various campus servers including registration
records, financial aid information, accounting information, etc.
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Cld – Cloud – indicates digital storage that is found on the server of a service provider.
Storage requirements for such data should be spelled out in the contract with the
provider.
CO – COLD storage – computer output to laser disc; includes data on disk generally
used as a back-up that is not accessible in the normal course of business, but could be
loaded when necessary for access.
DO – Digital Other – would include items stored digitally, but not necessarily as part of
a computer system. It might include digital images stored on flash drives, music on
compact disks, etc.
DW – Data warehouse – a repository of data often used for storing, retrieving, and
managing data. This is typically managed by Information Technology.
HC – Hard copy – this would generally be items stored on paper.
M – Microfiche – generally includes stored images of records that require a microfiche
reader to access either visually or for making a hard copy.
OT – Other – please describe in Special Instructions
VT - Videotape – this would include motion videos of speeches or activities that are
stored on tape media.
Time Code
The time code indicates the period over which a record type will be stored in the particular
location/stage (Office/Current, Records Center, and other).
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C+ – Current year plus number of years – An example would be C+1 which would
indicate the current year’s records plus one prior year would be stored in the storage
location. Generally this would be used for “Office” storage. If storage is tracked in
months, an M would be included. (C+6M)
Number – Number of years or months – 5 would indicate the record is stored for five
years. 18M would indicate the record is stored for 18 months.
P – Permanent – The intention is to hold the record permanently.
UC + – Until converted – This means the data is held until it is move to a new medium
such as film, COLD storage or to a Data Warehouse – A note in the special instructions
box can indicate the new medium. Adding a number to UC indicates the item will be
kept for a number of years after conversion to a new medium. (UC+1) A separate line
on the retention schedule could also be used to manage the document in the new medium.
UO + – Until obsolete – This classification would require a note in the special
instructions column defining obsolescence. A deed might be considered obsolete once
the associated property is sold.
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8 Disposal
This category column indicates the destination of a record once it leaves a particular storage
location/environment. For example, assume a record where the purpose is coded LR
(legal/regulatory) and the Record Description is “W-2 Information” with a Type C (Computer)
that will be held in that medium for C+5. The Disposal column would indicate what happens to
that record after being held for 6 years.
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CV – Convert to a different medium. A separate line on the retention schedule could be
used to manage the document in the new medium.
 D – Destroy – The record should be destroyed at the end of the designated holding
period.
 I – Indefinite – The record should be stored for an extended period of time though it is
not necessarily permenant. These records should be reviewed annually to determine if
storage is still necessary.
 PA – Permanent archives – The record will be moved to the archive. The archive is a
storage facility in the Library where items generally considered to have permanent
historic value are maintained. Very few records are considered truly permanent.
 PDA – Permanent digital archives – The record will be sent to the digital archive
managed by the Church where it will be held and refreshed permanently. Very few
records are considered truly permanent.
 PO – Permanent Other - the record will be held permanently in the stage where this
entry is made, generally in a “Records Center”. An entry in the Special Instructions
column might be required for clarification. Very few records are considered truly
permanent.
 RC – Record Center – Typically used in the Office/Current section. The record will be
moved to a record center. There should be an entry in the Record Center columns of the
schedule and a new disposal entry would be made to indicate the time to be held there
and what the disposal will then be. A record center might be a physical location or it
might be digital such as a Data Warehouse. A note in the Special Instructions column
might be required for clarification.
9 Special
Instructions
Add any clarifying information that might be helpful regarding the record in the Special
Instructions box. It is important to use this section for any clarification so others can use and
understand the schedule.
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Record of Documents Destroyed
It is recommended that a record be kept using the Record of Disposal of Documents. Each time
a file is purged, papers shredded, or other storage media is destroy, a brief entry indicating the
date, the description of the records and related time period, the method of destruction, and the
individual effecting the data destruction should be recorded. It is important to check for any new
retention requirements before the record is destroyed as laws or regulations may be changed.