Suggested Records Management Guidelines for University Offices and Departments

ACUA, Aquinas Hall Storage

The Archives of The Catholic University of America (CUA) was founded  in 1949 to serve as the institutional memory of the University.  It has the authority and obligation to acquire and administer records that have enduring evidential, legal,  informational, and intrinsic value. Holdings date back to records documenting the founding of the university in the 1880s and extend forward to include files, photographs, and films detailing its growth and operations into the 21st century. The Archives is a resource for administrators seeking important legal documents, professor researching departmental histories, public relations looking for old photographs, alumni searching for information on former students, students who want to examine university publications, and all others interested in any aspect of CUA's past.

Listed below are types of records common to many university offices, schools, and departments with appropriate periods of minimal retention as well as ultimate disposition. Staff of the The American Catholic History Research Center and University Archives are available for consultation and can provide instructions regarding both transfer of records to the Archives as well as destruction of other records.  For records types not listed please consult Archives Staff at (202) 319-5065. Office and departments are encouraged to review all their documents that are regularly created or collected and develop a retention, storage, and destruction schedule to supplement the retention periods in these Guidelines. Managers are urged to consult with the university archivists to develop such schedules, including schedules for the destruction of some records in the ordinary course of business. Each manager should work with the Office of the General Counsel to review federal and District of Columbia compliance obligations governing the length of time various records must be kept that may be applicable to office or departmental records.

Record types described are as follows:

1. ANNUAL REPORTS Description:  Annual report of the originating department Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value	2. MINUTES Description:  Minutes of meetings of committees, councils, task forces, etc. Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value
3. CORRESPONDENCE Description:  Correspondence filed both chronologically and by subject as well as print outs of significant email messages Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value	4. STUDENT RECORDS Description:  Students grades, course changes, correspondence, recommendations, etc. Retention:  Consult the Registrar's Office Disposition:  Consult the Registrar's Office Notes:  Registrar's Office arranges to microfilm. Student grades with a copy stored in the University Archives
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5.  NON ACADEMIC STAFF RECORDS Description:  Personnel files Retention:  Consult the Human Resources Office Disposition:  Consult the Human Resources Office	6.  ACADEMIC/FACULTY RECORDS Description:  Personnel files Retention:  Retain for active personnel Disposition:  Transfer to University Archives upon retirement or resignation Notes:  Historical Value though academic personnel records from the Provost's Office are considered the official record
7.  FACULTY ACTIVITY REPORTS Description:  Annual reports of Faculty activity, either by faculty or department name Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value, material formerly kept in the academic personnel files	8.  FACULTY TENURE AND PROMOTION FILES Description:  Files assessing academic professional development Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value, material formerly kept in the academic personnel files
9. SEARCH COMMITTEE FILES Description:  Job postings, candidate lists, final reports Retention:  5 years Disposition:  Transfer to University Archives Notes:  Historical Value though employment applications of unsuccessful candidates need not be retained.	10. REQUISITIONS/PURCHASES ORDERS Retention:  5 years Disposition:  Destroy
11.  BUDGETS / OTHER FINANCIAL RECORDS Description:  Budget planning files, cash books and journals, cancelled checks, travel expenses, invoices,etc Retention:  5 years Disposition:  Destroy	12. NEWSPAPER CLIPPINGS Description:  Newspaper clippings about the department and staff Retention:  5 years Disposition:  Transfer to University Archives
13.  PUBLICATIONS OF THE OFFICE Description:  Newsletters, brochures, etc. Retention:  5 years Disposition:  Transfer no more than three copies each to University Archives, dispose of excess copies	14.  PUBLICATIONS OF THE UNIVERSITY Description:  Yearbooks, newspapers, newsletters, brochures, etc. Retention:  As long as needed Disposition:  Consult with Archives Staff Notes:  Record copies of these should already have gone or be going periodically to University Archives from office of creation
15. AUDIO/VISUAL RECORDS Description:  Photographs, phonographs, audio cassettes, audio and video tapes, reel to reel films produced by or for the university in some capacity Retention:  As long as needed Disposition:  Transfer to University Archives after consultation with Archives Staff	16. RESEARCH PROJECT GRANT FILES Description:  Files relating to funded research project grants Retention:  5 years Disposition:  Transfer to University Archives Notes:  Sponsored Programs should have the file of record on this, but in lieu of a Universitywide records management program, the departmental files should be archived as well
17. ELECtrONIC RECORDS Description:  Electronic documents including emails and material on web sites. Retention:  As long as needed Disposition:  Copy to disks and/or tape in the most current format possible, print paper copies when practical Notes:  Transfer to University Archives after consultation with Archives Staff.

Records not selected by the archivist and thus not admitted to the archives remain your office's responsibility to house and dispose. We would be happy, however, to help you make decisions about what you should keep in your offices and what you might designate for destruction.  You will most likely want to dispose of records that:

You are responsible for the moving and transfer of records, files and boxes, to the Archives. Please use 12" by 15" record center boxes. If you do not have boxes of this size they can be provided to you.