RECORDS
90.01
Revised 8-06
Procedures, Records, and Forms
335-2005
PDF link
RECORDS MANAGEMENT
Departments are responsible for retaining and disposing of University records in accordance with retention periods approved by the Washington State Records Committee. (RCW 40.14)
Procedures, Records, and Forms
The Office of Procedures, Records, and Forms coordinates the records management program and assists departments with records retention and disposition. The Director of Procedures, Records, and Forms is the WSU Records Officer.
Archives
The University Archivist serves as a resource to identify records which may be suitable for the WSU archives collection. See 90.02.
State Records Committee
The State Records Committee reviews and approves University Records Retention Schedules. The committee includes a representative from the State Auditor's Office, the Office of Financial Management, the State Archivist, and the Office of the Attorney General.
Definition of Records
All records and copies of records made or received in the conduct of WSU business, regardless of physical form, are considered public records for purposes of retention and disposition. (RCW 40.14.010)
RETENTION SCHEDULE
An approved Records Retention Schedule specifies retention periods for public records and authorizes destruction or release to the University Archives.
All-University Schedule
The retentions of most University records are included on the All-University Retention Schedule. See below for the actively-linked listing of retention schedule tables. Listed retentions supersede retentions listed on all previously issued schedules for the indicated Record Series Titles.
If, after review of departmental records, departmental personnel find that all records are included in the All-University Records Retention Schedule, no further action is required by the department. The department retains and disposes of records in conformance with the All-University Schedule.
If the department has unique Records Series Titles not included on the All-University Schedule, the department's records coordinator is to contact the WSU Records Officer. The Records Officer prepares a draft Record Retention Schedule which includes the unique Records Series Titles and recommended retentions. The Records Officer routes the draft schedule to the department for review.
After departmental review and approval, the Records Officer routes the final Records Retention Schedule to the State Records Committee for approval.
To request a new or revised Retention Schedule, contact the Records Officer at telephone 335-2005 or mail code 1225.
Schedule Description
The following description includes terms used on the All-University Schedule and individual departmental Retention Schedules. The exhibit in the PDF version of 90.01.2 is an example of a departmental schedule.
Office of Record
The Office of Record is the department or unit name.
Records Coordinator
The department chair designates a Records Coordinator for the department. This employee coordinates the preparation of the Records Retention Schedule, reviews the schedule biennially and supervises retention and disposition of office records.
Records Series Title
The Records Series Title and Statement of Function or Purpose name and describe the records in a Records Series.
Status
The checkboxes in the Status field indicate whether or not the records series is:
- New to the departmental schedule,
- Transferred or to another University department, or
- Discontinued.
If no checkbox is selected, no change is made to the records series.
OPR or OFM
OPR
OPR (Official Public Records) include:
- Records required by state or federal law.
- Records of legal transactions, e.g., receipts, contracts.
- Records used in fiscal/financial audits, e.g., Effort Certification.
OFM
OFM (Office Files and Memoranda) include all other records including copies of Official Public Records. Most records are OFM.
Location of Other Copies
This column identifies the location of other copies of the records series. An asterisk (*) identifies the office holding the official record for the University for that records series. This column may be blank.
Cutoff
The retention period begins at cutoff.
If a cutoff were FY (fiscal year) and the retention period were two years, the Records Series would be collected through the current fiscal year and retained for two more fiscal years.
Common Cutoff Acronyms
Calendar year CY Fiscal year FY Final payment of contract FPOC Last record disposed of LRDO Month MO Quarter QTR Semiannual SA Termination of contract TOC Termination of employment TOE Until superseded US
Retention Periods
The Retention Period is the minimum period that the records must be kept after cutoff. Administrators may keep records longer.
Retention Factors
The cost of keeping the record must be evaluated in relation to the potential value or consequence of not keeping the record. Cost factors may include costs of storage equipment, storage media, data migration, and physical space.
The department is responsible for securely maintaining the records for the retention period indicated on the retention schedule. The department's responsibility includes ensuring the physical safety of the records, as well as ensuring that confidential records are protected from inappropriate or illegal release. See 90.05 for more information about release of confidential records.
Few records are worth preserving forever. The Records Committee rarely approves retaining a Records Series permanently.
Most records have served administrative needs after one or two years.
Official Public Records (OPR) must be kept for six years. If one WSU office has the official file, other offices do not have to keep the record for six years.
The Records Officer reviews retention periods to assure that legal requirements are satisfied.
The University Archivist can advise administrators regarding records which may be suitable for the WSU archives collection.
If an audit, legal action, or public records request is in progress, do not dispose of related records even if disposition is authorized by the retention schedule. See 30.12 and 30.14 for more about audits. See 90.05 for more about public records requests.
Inactive Storage
After records are no longer regularly accessed, departments should move the records from active files in file cabinets or computers to inactive storage locations. For inactive storage, paper records may be placed in archive boxes available from Central Stores, order number 3094. Digital records may be moved to an offline storage media.
The inactive storage location should be secure from unauthorized access, as well as provide protection from physical damage, e.g., from vandalism, water, fire.
If acceptable space is not available to store inactive records for the required retention period, route a written request for storage space to: Space Management in Capital Planning and Development; mail code 3611; telephone 335-8456.
Disposition Authority Number
The State Records Committee assigns a Disposition Authority Number (DAN) when a records series is approved for retention and disposition.
Remarks
Archival Records
If the University Archivist believes that a Records Series may have long-term historical value, the Records Officer indicates "Potential University Archives" in this column. Records coordinators are to arrange to transfer such records to University Archives after the retention period has elapsed. Contact Manuscripts, Archives, and Special Collections (MASC) for assistance; telephone 335-6272. See also 90.02.
Essential Records
If the record series is required for the department to resume operations after a disaster or emergency, "essential" is indicated in this column. If lost or destroyed, re-creation of essential records can be both costly and time consuming, if not impossible.
University departments are responsible for identifying and protecting essential records needed during an emergency and for the reestablishment of normal operations afterwards. (RCW 40.10)
Biennial Review Process
Each University department is responsible for reviewing the departmental Records Retention Schedule at least once every two years to ensure that the schedule is complete and current (WAC 434-626-020). To facilitate this review process, Procedures, Records, and Forms biennially notifies the department of review requirement.
The department records coordinator reviews the schedule with appropriate departmental officials. The department responds to Procedures, Records, and Forms by electronic mail or completes and mails a Retention Schedule Review form to Procedures, Records, and Forms at mail code 1225. If changes are required, the Records Officer prepares a draft schedule as indicated above.
Print the PDF master form on 90.01.8 to obtain blank copies of the Retention Schedule Review.
RECORDS DISPOSITION
An approved records schedule constitutes authorization to archive or to dispose of WSU records. (RCW 40.14.060)
After records have been stored for the complete retention period, the records coordinator either sends the records to University Archives or disposes of the records. If the records are to be disposed of, the records coordinator either destroys or recycles the records.
Recycling
Many records may be recycled in accordance with University recycling procedures. See 80.80.
Confidential Records
After the retention period has elapsed, reduce confidential records to an illegible condition to prevent undesirable or illegal disclosure. (WAC 434-640-020)
Definition
Confidential records include records which are exempt from public disclosure. See 90.05, 90.06, and 90.07. Examples of confidential records include student files and patient files.
Paper Records
Shred confidential paper records.
WSU Shredder
University Recycling at WSU Pullman operates a shredder and accepts confidential paper records for shredding. To have confidential records shredded by University Recycling:
- Prepare the records.
Only paper may be shredded. Remove binders, diskettes, transparencies, metal fasteners, plastic covers, and hanging files. (Staples and paperclips are acceptable.) Records which are contaminated by nonpaper materials (e.g., plastic, metal) cannot be recycled and must be sent to the landfill. Recycling assesses the generating department a fee to recover landfill charges.
- Box or bag the records.
If plastic or fiberglass tape is not used, Recycling can throw an unopened box into the shredder upon request. Otherwise, Recycling opens the bag or box and dumps the contents into the shredder.
Recycling has open-top barrels available for occasional use. Contact University Reycling to request barrels.
- Arrange for pickup or delivery by telephoning University Recycling at 335-7434. If the department delivers the material, arrange for a delivery time to turn over the confidential records. Recycling charges a fee to pick up materials from a departmental site.
Departments generating a high volume of confidential records may want a locking container available from University Recycling. Recycling removes the filled container and replaces it with another when requested by the department.
Private Shredding Company
Departments may obtain the services of a private shredding company. Contact Procedures, Records, and Forms for more information. Departmental personnel contact the private shredder and pay for the service by issuing a Department Order (see 70.07) or a Purchasing Card (see 70.08).
Nonpaper Records
Like paper records, confidential records in nonpaper media must be made illegible.
Microfilm, Microfiche
Destroy microfilm/microfiche which includes confidential records.
Optical Disks
Destroy optical disks which include confidential records. NOTE: It is not sufficient to destroy just the index.
Magnetic Media
Confidential records in magnetic media should be permanently erased. Premanently erase records by using a file utility which destroys the data by overwriting the disk or tape. Use such a utility on the hard drive of a computer which is sold to another department or sent to Surplus Stores. Permanently erase confidential or sensitive data before reusing, recycling, or disposing of a diskette or tape.
See the PDF master form:
90.01.8: Retention Schedule Review
Complete and/or print as needed
| Schedule | Page Number |
| Administrative--Departmental Records | 90.01.9 |
| Administrative-- Executive Level Records (Dean and above) | 90.01.10-11 |
| Administrative--General Office Records | 90.01.12-14 |
| Accounting/Fiscal Records | 90.01.15-20 |
| Information Services Records | 90.01.21-25 |
| Key Records Used Campus-Wide | 90.01.26 |
| Legal Files | 90.01.27 |
| Mail Services Records | 90.01.28-29 |
| Payroll/Personnel Records Used Campus-Wide | 90.01.30-37 |
| Property Management Records | 90.01.38 |
| Public Affairs and Public Disclosure Records | 90.01.39-40 |
| Purchasing Forms Used Campus-Wide | 90.01.41-43 |
| Records Management Files | 90.01.44 |
| Safety Records | 90.01.45-48 |
| Sponsored Project Records | 90.01.49-50 |
| Student Records | 90.01.51-53 |
| Travel Forms Used Campus-Wide | 90.01.54 |