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

General records retention schedules relate to records that are commonly encountered throughout the University. These schedules apply to all University offices and should be adopted immediately. Visit Using General Schedules for implementation guidance.

Academic Course Change Form Effective 12/2009
Form used to change a student’s academic course for one of the following reasons: discontinuance of a course, addition of a course, or change to a section or number of credit hours.

ACADEMIC COURSE CHANGE FORM	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar	1 year	Destroy
Unofficial Copies	Any College or Academic Department	Up to 1 year	Destroy

Note:
Academic course change forms should not be filed in the Student File.

Academic Grade Change Form Effective 12/2009
Form used to change a student’s original grade given for a course.

ACADEMIC GRADE CHANGE FORM	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar	2 years	Transfer to the Archives to be processed for inclusion
Unofficial Copies	Any College or Academic Department	Colleges and academic departments may retain copies of academic grade change forms as part of the Student File. Please see the Student Files retention schedule for additional guidance.

Academic Program Reviews Effective 9/2011
Academic Program Reviews, including departmental self-studies, internal and external reports, and subsequent responses, conducted by academic departments and programs, centers and institutes in cooperation with the Office of Strategic Planning.

ACADEMIC PROGRAM REVIEWS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Strategic Planning	See office-specific records retention schedule for Strategic Planning
Unofficial Copies	Any Office	As needed for reference	Destroy

Related Records:
Working papers that are created or used by an office during an Academic Program Review and that are not submitted to the Office of Strategic Planning should be transferred to the Archives within 10 years for appraisal and retention / destruction.

Program reviews conducted without involvement by the Office of Strategic Planning, together with related reports, working papers, and supporting documentation, should be transferred to the Archives within 10 years for appraisal and retention / destruction.

Academic Transcript Effective 12/2009
Official academic record of each student at the University.

ACADEMIC TRANSCRIPT	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar	See office-specific records retention schedule for the Registrar
Unofficial Copies	Any College or Academic Department	Colleges and academic departments may retain copies of transcripts as part of the Student File. Please see the Student Files retention schedule for additional guidance.

Accounts Payable Records Effective 12/2009, Last Modified 8/2011
Records documenting an office’s routine purchases and other non-salary expenditures. Examples include purchase orders, requisitions, journal vouchers, invoices, receipts, payment authorizations, checks, bills, and other related documentation. This schedule pertains only to Accounts Payable Records that are submitted to the Controller's Group. Other Accounts Payable Records should be retained in accordance with office-specific records retention schedules.

ACCOUNTS PAYABLE RECORDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Controller’s Group	7 years	Destroy
Unofficial Copies	Any Office	Up to 3 years	Destroy

Accounts Receivable Records Effective 12/2009, Last Modified 8/2011
Records documenting an office’s routine billing and collection activities. Examples include journal vouchers, invoices, payment forms, receipts, checks, deposit slips, and other related documentation. This schedule pertains only to Accounts Receivable Records that are submitted to the Controller's Group. Other Accounts Payable Records should be retained in accordance with office-specific records retention schedules.

ACCOUNTS RECEIVABLE RECORDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Controller’s Group	7 years	Destroy
Unofficial Copies	Any Office	Up to 3 years	Destroy

Accreditation Records Effective 9/2011
Records that document the University's institutional accreditation process and specialized accreditation processes for colleges, schools, departments and programs within the University. These records may include self-evaluations, correspondence, reports, and other supporting documentation.

ACCREDITATION RECORDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office responsible for managing the accreditation process	Up to 1 year after next accreditation process is completed	Transfer to the Archives to be processed for inclusion
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Annual Reports Effective 12/2009
Annual reports may be completed by any academic or business unit or by individual departments or programs. An annual report summarizes activities and accomplishments of the office during the previous year and goals for the upcoming year. Annual reports also include those submitted by individual employees to their directors.

ANNUAL REPORTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	Time of publication	Transfer 1 copy to the Archives to be processed for inclusion
Unofficial Copies	Any Office	As needed for reference	Destroy

Application for Admission - Non Enrolled Effective 12/2009
Admission applications and supporting documents submitted by individuals who were not admitted to the University or who were admitted but declined their acceptance and never attended Notre Dame.

APPLICATION FOR ADMISSION – NON ENROLLED

Record Holder

Office Retention

Office Disposition

Official Copy
(Office of Record)

Admission Offices – Undergraduate, Graduate, Law, MBA, etc.

Paper files: 2 years

Electronic files: 10 years

Destroy

Unofficial Copies

Not Applicable

Notes:
Applications for admitted students should be retained permanently as part of the Student File. Please see the Student Files retention schedule for additional guidance.

The Archives may periodically retain a sample of non-enrolled admission files from a given office and year.

Applications for Faculty Employment - Non Selects Effective 12/2009
Applications and supporting documents submitted for open faculty positions.

APPLICATIONS FOR FACULTY EMPLOYMENT – NON SELECTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Academic Department	2 years	Destroy
Unofficial Copies	Committee Members	As needed for reference	Destroy

Note:
Applications for hired faculty members become part of the permanent Faculty File. See the Faculty Files retention schedule.

Applications for Staff Employment - Non Selects Effective 12/2009
Applications and supporting documents submitted for open staff positions.

APPLICATIONS FOR STAFF EMPLOYMENT – NON SELECTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office of Human Resources	2 years	Destroy
Unofficial Copies	Any Office	Up to 2 years	Destroy

Note:
Applications for hired staff members become part of the Employee File. See the Employee Files (Non-Student) retention schedule.

Applications for Student Employment – Non Selects Effective 12/2009
Applications and supporting documents submitted for open student positions.

APPLICATIONS FOR STUDENT EMPLOYMENT – NON SELECTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Department Supervisor	2 years	Destroy
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Note:
Applications for hired student employees become a part of the student employee file. See the Student Employee Files retention schedule.

Architectural Drawings Effective 12/2009, Last Modified 4/2010
Drawings or blueprints related to construction projects at University properties. Pertains only to Architectural Drawings received from the Office of the University Architect. Other Architectural Drawings should be retained in accordance with office-specific records retention schedules.

ARCHITECTURAL DRAWINGS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	University Architect	See office-specific records retention schedule for the University Architect
Unofficial Copies	Any Office	As needed for reference (up to 10 years)	Destroy

Audio Recordings Effective 9/2011
Audio recordings in any format created by an office and used for educational, marketing, recruitment, research, or other purposes.

AUDIO RECORDINGS	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Any Office	Up to 3 years	Transfer to the Archives for appraisal and retention / destruction
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Note:
Consult with the Archives to determine the format and method of transfer. Transfers should include pertinent signed contracts and releases.

Audit Reports Effective 12/2009, Last Modified 9/2011
Results of internal audits performed by Audit and Advisory Services.

AUDIT REPORTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Audit and Advisory Services	See office-specific records retention schedule for Audit and Advisory Services
Unofficial Copies	Any Office	Up to 3 years	Destroy

Budget Working Papers Effective 12/2009
Documentation used while preparing the annual budget. These records may include worksheets, calculations, correspondence, forms, and other related documents.

BUDGET WORKING PAPERS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office of Budget and Planning	See office-specific records retention schedule for Office of Budget and Planning
Unofficial Copies	Any Office	Up to 3 years	Destroy

Bulletin of Information Effective 12/2009
The Bulletin of Information is an annual publication that summarizes the programs of study, academic requirements, and course offerings of all Notre Dame degree programs. A separate bulletin is published for each program.

BULLETIN OF INFORMATION	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar, Graduate School, Law School, etc.	Time of publication	Transfer 2 copies to the Archives to be processed for inclusion
Unofficial Copies	Any Office	As needed for reference	Destroy

Class Lists Effective 9/2011
Lists generated by the Office of the Registrar and distributed to instructors and academic departments that show the students enrolled in each class. May include several iterations each semester.

CLASS LISTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar	Up to 1 year	Destroy
Unofficial Copies	Any Academic Department	Up to 1 year	Destroy

Contracts Effective 12/2009
Binding written and signed agreements between the University and another party. Contracts require signature authority by those signing on behalf of the University. All contracts should be submitted to the University’s Office of General Counsel for review before signing on behalf of the University (unless an exception has been granted by the Office of General Counsel).

CONTRACTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	10 years after termination or expiration of contract	Transfer to the Archives for appraisal and retention / destruction
Unofficial Copies	Any Office	As needed for reference	Destroy

Course Instructor Feedback (CIF) Reports Effective 12/2009
Course Instructor Feedback reports are generated from evaluations by students at the end of each semester. The reports address the content of the course and the teaching style of the instructor. Results of these reports may be used during the tenure and promotion process. Because the reports are now available in electronic form only, all paper copies are Unofficial Copies.

COURSE INSTRUCTOR FEEDBACK (CIF) REPORTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Institutional Research	See office-specific records retention schedule for Institutional Research
Unofficial Copies	Any College or Academic Department	As long as relevant for the tenure and promotion process	Destroy

Note:
These reports were previously known as Teacher Course Evaluations (TCE).

Course Syllabi Effective 12/2009
Course syllabi are created by faculty members and may contain a course description, course objectives, course requirements and policies, lists of assignments, grading criteria, etc.

COURSE SYLLABI	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Academic Departments	Up to 5 years	Transfer to the Archives for appraisal and retention / destruction
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Employee Files (Non-Student) Effective 12/2009
The official personnel record for all non-faculty University employees is held by the Office of Human Resources. Files may include job application and resume, salary notifications, insurance and retirement information, performance reviews, corrective action materials, employee status forms, correspondence, and other related materials.

EMPLOYEE FILES (NON-STUDENT)	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office of Human Resources	See office-specific records retention schedule for Human Resources
Unofficial Copies	Any Office	Up to 3 years after the employee has left the University or transferred to a different office	Destroy

Equipment Manuals Effective 12/2009
Instructional manuals for office equipment such as computers and fax machines or for capital purchases such as landscaping equipment or laboratory devices.

EQUIPMENT MANUALS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	Life of equipment	Destroy
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Facilities Requisitions Effective 12/2009, Last Modified 5/2012
Work orders for on-campus maintenance, repairs, or pickup/delivery. Because Facilities Requisitions are now available in electronic form only, all paper copies are Unofficial Copies.

FACILITIES REQUISITIONS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Campus Work Control Center	See office-specific records retention schedule for Campus Work Control Center
Unofficial Copies	Any Office	Up to 1 year	Destroy

Faculty Files Effective 12/2009
The official faculty file is held by the Office of the Provost and includes documents such as employee status and termination forms, salary notifications, curriculum vitae, tenure and promotion information, contracts, correspondence, and other related materials. Unofficial faculty files may be held by any college or academic department and sometimes include documents that are not in the official faculty files. Unofficial faculty files must therefore be evaluated by the Archives for possible permanent retention.

FACULTY FILES	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office of the Provost	3 years after faculty member has left the University	Transfer to the Archives to be processed for inclusion
Unofficial Copies	Any College or Academic Department	Up to 3 years after the faculty member has left the University or transferred to a different unit	Transfer to the Archives for appraisal and retention / destruction

Football Ticket Allotment Records Effective 9/2011
Records pertaining to allotment and distribution of football tickets (and parking passes), including ticketholder names, seat locations, and payment information. Participating University administrators are required to submit distribution trackers, reconciliation forms, deadwood tickets, and season ticket summaries to Audit and Advisory Services.

FOOTBALL TICKET ALLOTMENT RECORDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Audit and Advisory Services	7 years	Destroy
Unofficial Copies	Any Office	Up to 3 years	Destroy

Note:
Additional Football Allotment policies and procedures can be found on Audit and Advisory Services' website. Please contact Audit and Advisory Services for additional guidance.

Grade Lists Effective 12/2009
Official list of grades assigned to students for a particular course. These lists are now completed in electronic form only.

GRADE LISTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Registrar	See office-specific records retention schedule for the Registrar
Unofficial Copies	Any Academic Department	Up to 4 years	Destroy

Liability Waivers Effective 12/2009
Forms signed by individuals prior to voluntary participation in Notre Dame events or activities that may result in injury, typically relinquishing the individual’s right to hold the University responsible for injuries.

LIABILITY WAIVERS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	3 years; If signed by or on behalf of a minor, 3 years after the minor's 18th birthday	Destroy
Unofficial Copies	Any Office	As needed for reference	Destroy

Moving Image Recordings Effective 9/2011
Moving image recordings in any format created by an office and used for educational, marketing, recruitment, research, or other purposes. Includes finished programs, work tapes, production tapes, B roll, and derivatives.

MOVING IMAGE RECORDINGS	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Any Office	Up to 3 years	Transfer to the Archives for appraisal and retention / destruction
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Note:
Consult with the Archives to determine the format and method of transfer. Transfers should include pertinent signed contracts and releases.

Official Budget Effective 12/2009, Last Modified 4/2010
The official, signed budgets for each campus department.

OFFICIAL BUDGET	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Office of Budget and Planning	See office-specific records retention schedule for Office of Budget and Planning
Unofficial Copies	Any Office	Up to 5 years	Destroy

Note:
This schedule refers to a signed paper document that is no longer produced in the budget development process. Since circa 2005 for most campus departments, official budgets reside in the University's Banner system. Offices may print reference copies from Banner and are advised to destroy such copies within 5 years.

Organizational Charts Effective 12/2009
Diagrams that illustrate the internal structure of Notre Dame and/or its departments.

ORGANIZATIONAL CHARTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	Time of creation	Transfer 2 copies to the Archives for appraisal and retention / destruction
Unofficial Copies	Any Office	As needed for reference	Destroy

The following schedules pertain to Photographs / Still Images created or received in the course of conducting University business. These materials may be used for educational, marketing, recruitment, research, or other purposes and include negatives, prints, slides, and digital photos. Proper retention and disposition of photographs varies depending on the source of the photos and on the University's copyright ownership of the photos. Consult with the Archives for guidance on managing photographs and on transferring them to the University Archives. Transfers must include pertinent signed contracts and releases.

Photographs / Still Images: Agency ND Effective 9/2011
Photographs created by Agency ND. These photographs may be ordered by other University offices or by members of the public.

PHOTOS: AGENCY ND	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Agency ND	See office-specific records retention schedule for Agency ND
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Photographs / Still Images: Freelance Effective 9/2011
Photographs taken by freelance photographers on behalf of a University office. Contracts with freelance photographers should provide the University with full ownership rights to the photographs. Consult with the Office of General Counsel for more information on contracts with freelance photographers.

PHOTOS: FREELANCE	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Any Office	Up to 7 years	Transfer to the Archives for appraisal and retention / destruction
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Photographs / Still Images: In-House Effective 9/2011
Photographs taken by staff members of an office, such as staff portraits and photographs of events the office sponsors or in which the office participates.

PHOTOS: IN-HOUSE	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Any Office	Up to 7 years	Transfer to the Archives for appraisal and retention / destruction
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Photographs / Still Images: Non-University Sources Effective 9/2011
Photographs received from non-University sources, such as the Associated Press, the South Bend Tribune, or other outside groups or individuals, to which the University has no copyright ownership rights.

PHOTOS: NON-UNIVERSITY SOURCES	Record Holder	Office Retention	Office Disposition
Master Historical (Office of Record)	Any Office	Up to 7 years	Transfer to the Archives for appraisal and retention / destruction
Derivatives and Business Use Copies	Any Office	Duration of active business use	Destroy

Policies Effective 12/2009, Last Modified 8/2010
A University policy affects or applies to the personnel or operations of more than one operating group or department.

POLICIES	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	Until superseded	Transfer to the Archives to be processed for inclusion
Unofficial Copies	Any Office	As needed for reference	Destroy

Procard Reconciliation Envelopes Effective 12/2009, Last Modified 8/2011
The Procard is a University credit card held by employees who are authorized to make routine purchases for their department. Envelopes include signed reconciliation statements and supporting documentation such as sales receipts, order confirmations, packing slips, etc.

PROCARD RECONCILIATION ENVELOPES	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	All Procard Holders	4 years	Destroy
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Note:
Additional Procard policies and procedures can be found on the Controller’s Group website. Please contact the Controller’s Group for additional guidance.

Publications Effective 12/2009, Last Modified 8/2011
Any publication that is created and distributed by any Notre Dame department or program including brochures, magazines, journals, newsletters, books, reprints, articles, posters, programs, flyers, reports, etc. Materials with restricted access are not considered Publications and should be filed separately.

PUBLICATIONS

Record Holder

Office Retention

Office Disposition

Official Copy
(Office of Record)

Office issuing the publication

1 year

Print Publications: Transfer 2 copies to the Archives to be processed for inclusion

Electronic Publications: Transfer 1 copy to the Archives to be processed for inclusion

Unofficial Copies

Any Office

As needed for reference

Destroy

Strategic Plans Effective 12/2009, Last Modified 9/2011
Final versions of strategic plans at the division or college level, along with documents that support their creation.

STRATEGIC PLANS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Strategic Planning	See office-specific records retention schedule for Strategic Planning
Unofficial Copies	Any Office	As needed for reference	Destroy

Related Records:
Strategic Plans developed without involvement by the Office of Strategic Planning should be transferred to the Archives within 10 years for appraisal and retention / destruction.

Student Employee Files Effective 12/2009
Reference files for student employees are held by the employing department. Files may include position description, application materials, financial information, and other employment-related materials.

STUDENT EMPLOYEE FILES	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Department Supervisor	2 years after student has left the position	Destroy
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Student Files Effective 12/2009
Files containing records that document a student’s academic career at the University. Contents of Student Files may vary between offices, but typically they contain some combination of a student’s: application for admission to the University, academic transcript, grade change forms, forms tracking fulfillment of degree requirements, correspondence regarding academic matters, etc. The Official Copy of a Student File is generated by the college, school, program, etc., that grants the degree for the course that the student pursued. Unofficial Copies are generated by subordinate offices, usually the department or program, associated with the student’s major or minor.

STUDENT FILES	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Degree-Granting Academic Unit (College, School, Program, etc.)	Up to 5 years after student leaves the University	Transfer to the Archives to be processed for inclusion
Unofficial Copies	Any Academic Department	As needed for reference (up to 7 years)	Transfer to the Archives for appraisal and retention / destruction

Theses and Dissertations Effective 12/2009
Graduate level theses and dissertations authored by Notre Dame students in partial fulfillment of their requirements for graduation.

THESES AND DISSERTATIONS

Record Holder

Office Retention

Office Disposition

Official Copy
(Office of Record)

Graduate School

Time of publication

Printed Publication: Transfer 1 copy to the Archives to be processed for inclusion

Electronic Publication: Transfer 1 copy to the Archives to be processed for inclusion

Unofficial Copies

Any Office or Individual

As needed for reference

Destroy

Notes:
Copies of graduate level theses and dissertations are submitted to the Hesburgh Libraries for use in the Library's general collection.

Undergraduate theses from certain departments or programs and select papers concerning Notre Dame and/or Catholic history may be accepted by the Archives for inclusion in the University's permanent collection of archival records. Please contact the Archivist for Records Management for additional information.

Time Cards Effective 12/2009
Forms completed by University employees to record the employee’s hours. Time Card information should be entered into UltraTime exactly as it appears on the Time Card and hours must be confirmed by the appropriate supervisor.

TIME CARDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Any Office	2 years	Destroy
Unofficial Copies	Not Applicable	Not Applicable	Not Applicable

Note:
If information entered into UltraTime is not identical to the Time Card, the Time Card should be retained for 5 years.

Travel and Expense Reports Effective 12/2009, Last Modified 8/2011
Forms submitted by University employees for reimbursement of expenses incurred while traveling for business purposes. Attachments may include receipts, credit card statements, authorization for travel, etc.

TRAVEL AND EXPENSE REPORTS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Controller's Group	7 years	Destroy
Unofficial Copies	Any Office	Up to 3 years	Destroy

University Committee Records Effective 12/2009, Last Modified 6/2012
Records held by standing or ad hoc University committees, councils, boards, task forces, and other teams or groups conducting work for the University. University committees include administrative committees appointed by central campus administrators or required under the University's Academic Articles, such as the Academic Council, Faculty Senate, Provost's Advisory Committee, Graduate Council, Faculty Board on Athletics, etc. University committees also include groups established by individual colleges, schools, or departments and those established for interdepartmental initiatives. These records may include by-laws, agendas and attachments, materials distributed at meetings, meeting minutes, reports, correspondence, and other relevant documentation.

UNIVERSITY COMMITTEE RECORDS	Record Holder	Office Retention	Office Disposition
Official Copy (Office of Record)	Committee Chair or Secretary	Up to 5 years	Transfer to the Archives for appraisal and retention / destruction
Unofficial Copies	Committee Members	As needed for reference	Destroy (see Note)

Note:
Before destroying Unofficial Copies, Committee Members are asked to contact the Archives to verify that the Archives has received copies of the materials already.