Archives of the University of Notre Dame :: Records Retention Schedules: Overview

Records retention schedules instruct offices how to maintain a specific series of records throughout its life cycle according to the legal, fiscal, administrative, and historical needs of the University. General records retention schedules (also called general schedules) relate to records that are commonly encountered by offices throughout the University. General schedules apply to all University offices.

Office-specific records retention schedules (also called office-specific schedules) apply to a particular office unit and are developed by the University Archives in collaboration with individual University offices. Office-specific schedules are more detailed than general schedules and include record series that are unique to a particular office or group of offices. University offices are required to comply with general schedules as well as with office-specific schedules. If there is a conflict between a general schedule and an office-specific schedule, the office-specific schedule should be followed.

To comply with records retention schedules, records must be filed strictly according to recognized Record Series. Records from different Record Series should not be intermingled. If different Record Series are filed together, it may be impossible to follow the retention and disposition instructions of the schedules. When that is the case, it is the responsibility of the office to reorganize the materials into recognized Record Series. Please consult with the University Archives for guidance on efficient recordkeeping practices.

Please note! In the event of a claim, a lawsuit, anticipated litigation, the issuance of a subpoena, the receipt of a written discovery request, the service of a summons, or an audit relating to any matters that may involve records or other materials in an office, including without limitation electronic records and e-mail, the applicable Records Retention Schedules should be suspended and no records should be destroyed or disposed of unless approved in advance by the University’s Office of General Counsel. Records relating to legal cases involving the University will, in most cases, be retained permanently, irrespective of their previous retention schedule, at the discretion of the General Counsel’s Office. All questions regarding the disposal or destruction of documents in the event of anticipated, threatened, or pending litigation, or administrative agency proceedings, should be referred to the Office of General Counsel before any documents, records, or other materials are disposed of or destroyed.

Record Series	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)
Unofficial Copies

Record Series	Description	Office Retention	Office Disposition	Archives Retention / Disposition

Archives Retention / Disposition
What will happen to records that are transferred to the University Archives. Typically, records transferred to the Archives will be designated as either:

Records transferred to the Archives are retained for the total length of time required by applicable records retention schedules, based on the span dates of the records as provided by the originating office. The Archives typically does not verify the titling and dating of records unless and until they are processed for inclusion in the University's permanent collection of archival records. Until records are destroyed or processed for inclusion in the University's permanent collection of archival records, records that are retained by the Archives are available only to authorized representatives of the originating office, to the President and his designees, and to the Archives staff. See also the Archives Access Policy.

Description
Explanation of the contents, characteristics and functions of a record series.

Office Disposition
What an office will do with a record series at the end of its Office Retention period. Office Disposition is typically “Destroy” or “Transfer to the Archives.” Unless Office Disposition indicates a transfer to the Archives, the office retains full responsibility for the proper maintenance and/or destruction of the record series.

Office Retention
The length of time records are to be retained in an office. The Office Retention period commences at the end of the current year (fiscal, calendar or academic year, depending on office practices) and continues for the length of time indicated. This is the maximum length of time that a series should be kept before either transferring it to the Archives or destroying it. Offices are advised, however, to consult with the Archives before making any disposition of records in advance of this time period. If the Office Retention is “As needed for reference,” the records should be retained only as long as necessary for administrative use. Usually this period is only two or three years, but occasionally may be longer. These records should not be retained permanently and should never be transferred to the University Archives.

Office of Record
The office that is responsible for the retention and disposition of the Official Copy of a record. If an office is designated as the sole Office of Record in a general schedule, please see the office-specific schedule for more detailed information about that record series.

Official Copy
Original, complete and final record that must be retained by the Office of Record to meet the legal, fiscal, administrative, and historical needs of the University. An Official Copy provides evidence of the University’s business activities, decisions, operations, and internal or external transactions. Official Copies of University Records usually require a longer retention period than Unofficial Copies.

Record Holder
Office with possession of a record – either the Official Copy or Unofficial Copies.

Record Series
A group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity.

Records retention and disposition is governed by the legal, fiscal, administrative, and historical needs of the University. A record series is marked with an asterisk (*) when a minimum retention period is mandated by federal or state law. In other cases, records retention is not mandated by law but may still be necessary to provide legal defense in the event of litigation.

University Record
Recorded information created or received in the course of conducting University business and kept as evidence of such activity. This definition extends to all record media and formats, including paper files, electronic files, email, film and print graphics, audio and video recordings, and any other form of recorded information.

Transitory work products, such as rough drafts, notes, and unused copies, are not University Records and are therefore not addressed by records retention schedules. Such materials should be disposed of when no longer needed for reference. They should not be added to files that contain University Records.

Unofficial Copies
Duplicates of Official Copies. Unofficial Copies are not required to be retained for legal, fiscal, or historical reasons and should only be retained as necessary for administrative reference. The Record Holder, Office Retention, and Office Disposition are “Not Applicable” when Unofficial Copies are not generated. Unofficial Copies may have enduring historical value if they are annotated with questions or comments. Please contact the Archives to appraise annotated Unofficial Copies that may have enduring historical value.

(Refer to the Glossary of Terms for additional records management terms and definitions.)