Section 2: Departmental and Office Administration Records

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Section 2 covers records that relate to the internal operation of the department or office and documentation of internal policy. Included are policies and procedures, annual and other internal reports, organization and function files, planning and proposals, and memoranda and correspondence pertaining to the administration of the department or office.

Schedule approved by the State Records Committee on December 7, 2016.

Disposition Authority# Records series title and description Retention and Disposition Instructions

GS 01050.023

Agreements, Hold Harmless (Adults)

Acknowledgment of risk and hold harmless agreement signed by adults participating in university activities, such as sports and recreational events and theatre productions. Holds university harmless from liability for injuries and/or damages not caused by negligence.

 

Official copy held by: Originating office.

Retain for 6 years after termination or expiration of instrument

then

Originating office: Destroy

 

14-09-68610

Agreements, Hold Harmless (Minors Under Age 18)

Acknowledgment of risk and hold harmless agreement signed by parents or others on behalf of minors under age 18 who participate in university activities, such as sports and recreational events, and special academic institutes and programs. Holds university harmless from liability for injuries and/or damages not caused by negligence. May include authorization for emergency treatment and acknowledgment that participant is responsible for medical costs in event of injury. May also include medication hold harmless agreement stating that WWU will not be held responsible for missed doses of medication or any consequences thereof.

 

Official copy held by: Originating office.

Retain for 6 years after minor reaches age 18

then

Originating office: Destroy

 

GS 25001.008

Building/Facility Access Authorization

Records documenting the authorization of access at the department/office level for students and employees (including contractors and volunteers) to University buildings and facilities. May include key logs or key sign out sheets or requests for access.

Requests submitted to the Lockshop are held by the Lockshop for the appropriate retention period. This series covers those records not held by the Lockshop.

Official copy held by: Originating office.

Retain for 6 years after termination of access

then

Originating office: Destroy

 

GS 09023.001

Calendars, Appointment Books, Routine Telephone Logs

Provides a record of employee appointments, schedules, and meetings.

 

Official copy held by: Originating office.

Retain for 1 year after calendar year

then

Originating office: Destroy

 

GS 01050.027

Child-Related Program Compliance Records

Records documenting Western-sponsored programs and events in which minors participate. Includes background checks on university representatives; permission slips/hold-harmless agreements signed by parents or guardians; registration of the program with the University; and records of trainings taken by University representatives (see University policy: POL-U5300.21). (This records series does not include medical records created by clinics and child-care centers on campus, or to the educational records of minors who are matriculated students at Western.)

Official copy held by: Any program unit.

Retain for 24 years after calendar year

then

Any program unit: Destroy

Note: Retention period is meant to insure that records are kept until any minor participating in a Western program has reached the age of 18 plus an additional 6 years. This records series is based on the Contracts and Agreements records series, which governs the hold harmless agreements. Other documentation included in this records series is considered supporting documentation for this hold harmless agreement.

GS 05003.012

Communications and Media Coverage Files

Records documenting the creation and distribution of communications and publicity materials through various media. Includes articles, news clippings, news/press releases, audiovisual materials, photographs, and related publicity materials referencing the college, department, or program.

Official copy held by: Originating office.

Retain for 2 years after end of calendar year

then

Originating office: Transfer to Archives for selection and historical preservation

 

GS 03006.001

Complaints and Grievances – Exonerated

Records relating to complaints and grievances filed in cases of affirmative action, discrimination, equal opportunity employment, harassment issues, and academic issues in which the complaint/grievance proved to be unsubstantiated. May be filed by students, job applicants, the public, and represented and non-represented state employees. May include: filed complaints and grievances; supporting documentation; unit or university responses and decisions; legal actions, arbitration or mediation efforts; determinations and appeals. Excludes records covered by Complaints and Grievances -- Upheld (DAN GS 03003.003).

 

Official copy held by: Originating office.

Retain until exoneration

then

Originating office: Destroy

 

GS 03003.003

Complaints and Grievances – Upheld

Records relating to complaints and grievances filed in cases of affirmative action, discrimination, equal opportunity employment, harassment issues, and academic issues in which the complaint/grievance was upheld. May be filed by students, job applicants, the public, and represented and non-represented state employees. May include: filed complaints and grievances; supporting documentation; unit or university responses and decisions; legal actions, arbitration or mediation efforts; determinations and appeals. Excludes records covered by Complaints and Grievances –Exonerated (DAN GS 03006.001).

 

Official copy held by: Originating office.

Retain for 6 years after final determination of case

then

Originating office: Destroy

 

GS 50005.070

Contracts and Agreements (Office copies)

Office copies of contracts and agreements where the original is held by Contracts Administration.

Retain until no longer needed for agency business

then 

Any office: Destroy

Note: Contracts Administration holds the official copy of these records. Any office copies of contracts which are on file with Contracts Administration are considered duplicate copies with no retention requirements. Contracts Administration, however, must hold the official copy of contracts for the applicable retention period.

GS 25007.001

Entry/Exit Logs – Facilities

Records documenting the entry and exit of staff, contractors, volunteers, students, and visitors to university facilities (including secure areas). May include: keycard transaction logs, secure area logs (such as safe logs), and visitor books/logs.

 

Official copy held by: Originating office.

Retain for 6 years after fiscal year

then

Originating office: Destroy

 

GS 16008.008

Equipment and Furniture Inventories

Records relating to inventories of furniture, equipment or other assets managed by an office.

 

Official copy held by: Originating office.

Retain for 6 years after superseded

then

Originating office: Destroy

 

GS 21001.005

Equipment History Records

Documentation pertaining to equipment owned or used by an office. May list specifications and contain warranties.

 

Official copy held by: Originating office.

Retain for 6 years after disposal of asset

then

Originating office: Destroy

 

GS 05009.001

Events - General

Records relating to university-sponsored events. May include agendas, correspondence, publicity materials and other documents. May also include authorized photographic and audiovisual documentation. Does not include financial or logistical/arrangement records.

For financial records related to conferences and events, see applicable series in the "Financial Records" section. Additionally, logistical planning materials, which do not directly support a financial record, are transitory and can be disposed of when no longer needed. Photographic and audiovisual materials may need to be accompanied with signed releases by subjects if they are to be re-used or retained for archival preservation. For event-related hold harmless agreements for both adults and minors, see the Agreements, Hold Harmless titles in this section. For compliance records for events or programs that include minors, see the records series Child-Related Program Compliance Records (GS 01050.027).

Official copy held by: Originating office.

Retain until no longer needed for agency business

then

Originating office: Transfer to Archives for selection and historical preservation

Note: Financial records relating to events must be held for the retention period prescribed under the "Financial Records" section.

GS 09029.001

Executive Administration and Communication Records

Records documenting official activities and communications relevant to the office's executive function. May include: administrative correspondence, directives, and subject files. Does not include records dealing with personnel management or budget planning.

 

Official copy held by: Any office.

Retain for 2 years after fiscal year

then

Any office: Transfer to Archives for selection and historical preservation

 

GS 50005.067

Facilities Planning and Maintenance

Memoranda, correspondence and related materials that provide a record of alteration, construction, and maintenance of facilities used by a unit.

Facilities Management and/or Facilities Development and Capital Budget hold the original copies of these records. This series is meant to cover unit's reference copies of records dealing with renovations or new construction.

Applies to secondary copy held by any office.

Retain until completion or cancellation of renovation or construction

then

Any office: Destroy

 

GS 05006.014

Marketing and Promotional Records

Records relating to the planning and/or execution of advertising and promotional activities. May include: marketing plans/strategies; records relating to the development of advertising campaigns and materials (such as original artwork, designs, storyboards, etc.); samples of advertising materials (regardless of format); records relating to the evaluation of campaigns and strategies; records relating to the design and selection of unit branding (such as logos, mottos, slogans, etc.); related correspondence and communications. Excludes: financial records, which are covered by records series in the "Financial Records" section of this General Schedule.

Official copy held by: Originating office.

Retain until administrative purpose served

then

Originating office: Transfer to Archives for selection and historical preservation

Note: Financial records relating to marketing and communications must be held for the retention period prescribed under the "Financial Records" section.

GS 05006.013

Newsletters and Bulletins

Newsletters produced by a unit for internal or external dissemination.

 

Official copy held by: Originating office.

Retain until administrative purpose served

then

Originating office: Transfer to Archives for selection and historical preservation

 

GS 10013.004

Office/Program History Files

Records documenting the planning, establishment and significant changes/developments of a unit. May include: summaries or histories of the office; scrapbooks, news clippings, photographs, etc., documenting the history of the office; organizational charts and other planning records documenting significant changes and restructures (such as office mergers/splits, creation/combinations of divisions, major changes of office functions and roles, etc.); or transitional documentation prepared for incoming unit heads.

Official copy held by: Originating office.

Retain for 6 years after calendar year

then

Originating office: Transfer to Archives for selection and historical preservation

 

Photographs and Audiovisual Materials

Photographs and audiovisual materials should be retained according to the activity or function which they document. If uncertain how to classify these records, please contact University Archives.

Photographs or audiovisual materials may fall under any of the following records series (contact University Archives with questions, or if none of the series listed here apply):

Events - General (GS 05009.001)

Events - Scholarly (GS 05009.002)

Marketing and Promotional Records (GS 05006.014)

Newsletters and Bulletins (GS 05006.013)

Official copy held by: Originating office.

 

 

 

 

GS 09028.004

Policies and Procedures - Administrative Functions

Records relating to the development, implementation, and interpretation of the policies and procedures developed by sub-units of the university to support their internal administrative functions. May include: each adopted/approved version of policies and procedures and records documenting the development of policies and procedures. Does not include records of university-wide policies.

Excludes records covered by: Work Instructions/Desk Manuals (DAN GS 09001).

 

Official copy held by: Originating office.

Retain for 6 years after superseded

then

Originating office: Destroy

 

GS 11005.011

Records Destruction Log

Logs and other records documenting the destruction of public records according to the retention schedule.

 

Official copy held by: Originating office.

Retain permanently; contact University Archives and Records Management for assistance

 

 

 

GS 50005.030

Records Retention Schedule (WWU Form)

Provides identification and disposition instructions for all records found in the office.

 

Applies to secondary copy held by any office.

Retain until no longer needed for agency business

then

Any office: Destroy

Note: University Archives and Records Management maintains copies of the official WWU retention schedule permanently.

GS 50005.069

Records Transmittal

Provides an itemized list by box of records transferred to the University Archives and Records Management.

 

Applies to secondary copy held by any office.

Retain until no longer needed for agency business

then

Any office: Destroy

Note: University Archives and Records Management maintains copies of records transmittals permanently.

 

 

 

GS 10001.002

Strategic Plans and Annual Reports

Reports and plans detailing the unit's goals, priorities, and achievements. May apply to plans/reports produced at any level, from a program unit to larger administrative division.

 

Official copy held by: Originating office.

Retain until until no longer needed

then

Originating office: Transfer to Archives for selection and historical preservation

 

GS 10016.003

Studies and Final Reports

Studies and reports with department-, division-, or university-wide relevance, typically prepared in response to a specific charge or directive. May be the work of a group or individual. The extent of supporting documentation, (e.g., survey data or other cited materials) included with the final report may vary according to need.

For grant-related reports or studies, see the "Grant Records" section of this schedule.

Official copy held by: Originating office.

Retain for 6 years after conclusion of study or report

then

Originating office: Transfer to Archives for selection and historical preservation

 

GS 09030.002

Studies and Reports, Working Papers/Development

Records relating to the development of reports and studies and to the conducting of studies with department-, division-, or university-wide relevance, typically prepared in response to a specific charge or directive. May be the work of a group or individual. May include survey data or other materials gathered and used in the studies.

For grant-related reports or studies, see the "Grant Records" section of this schedule.

 

Official copy held by: Originating office.

Retain for 6 years after conclusion of study or report

then

Originating office: Destroy

 

GS 07003.002

Use of University Facilities, Equipment, and Vehicles

Records relating to allowing use of university assets (such as meeting rooms, other facilities, equipment, vehicles/vessels, etc.) by university staff (including contractors and volunteers), other agencies, students, clients and the general public. Includes, but is not limited to: bookings, reservations, or requests for use; check-in and -out logs; rental and use schedules; vehicle logs and usage data; and related correspondence or communications. Does not include official contracts for use.

 

Official copy held by: Originating office.

Retain for 3 years after asset returned/use completed

then

Originating office: Destroy

 

GS 09001.007

Work Instructions and Desk Manuals

Routine day-to-day task/work instructions, desk manuals, etc. These are desk level interpretations of a policy or procedure.

 

Official copy held by: Originating office.

Retain until superseded

then

Originating office: Destroy

 

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