Records Disposition Schedule

Record Disposition - Official Introduction

The authorized dispositions listed in this General Records Disposition Schedule for State Universities and Colleges stipulate the minimum retention periods for the records of state supported institutions of higher education in the State of Oklahoma. These authorized dispositions do not apply to the records of the Board of Regents of the Oklahoma Agricultural and Mechanical Colleges, Board of Regents of Oklahoma Colleges, or to any college or university board of regents. Records of the Oklahoma State Regents for Higher Education, Board of Regents of the Oklahoma Agricultural and Mechanical Colleges, Board of Regents of Oklahoma Colleges, and individual college or university board of regents shall be governed by records disposition schedules now in effect or subsequently approved for them.

The authorized dispositions listed in this General Records Disposition Schedule for State Universities and Colleges supersede all previously approved retention periods established for the records listed.

The records listed in this General Records Disposition Schedule for State Universities and Colleges are subject to the Oklahoma Open Records Act (51 O.S. §24A.1 et seq.) and the Family Educational Rights and Privacy Act of 1974 (FERPA), Pub. L. 93-380, 88 Stat. 571 (codified as Amended at 20 U.S.C. §1232g (1994)) [often referred to as the Buckley Amendment].

The words "university," “institution,” and “institutional” in this General Records Disposition Schedule for State Universities and Colleges encompasses all state supported institutions of higher education.

Records Retention
All individual records series listed in this General Records Disposition Schedule For State Universities and Colleges are original records retained by administrative units within the institution which are responsible for preserving and making them accessible for their entire stipulated retention periods, regardless of format. Each individual state supported institution of higher education shall identify individual original records and the administrative units responsible for maintaining them for their entire stipulated retention periods.

If statutory provisions, court decisions, Code of Federal Regulations (CFR), Oklahoma Rules and Regulations adopted in accordance with the Administrative Procedures Act (75 O.S. §250 et seq.), or other state and federal regulations mandate retention periods longer than those listed in this General Records Disposition Schedule for State Universities and Colleges or require that records must be retained in hard copy or other format, the applicable statutes, court decisions, CFR, or other state and federal regulations shall govern the dispositions and formats of the records.

Records Destruction
No original records listed in this General Records Disposition Schedule For State Universities and Colleges shall be destroyed until either a Notice of Intent to Destroy Records (ARC Form 4), Notice of Intent to Destroy Records That Have Been Microfilmed (ARC Form 5) accompanied by Microfilm Quality Evaluation Report (ARC Form 5A), a Notice Of Intent To Destroy Microforms (ARC Form 6), Notice of Intent To Destroy Records That Have Been Imaged (ARC Form 12), Notice Of Intent To Destroy Optical Disks (ARC Form 13), or a Notice Of Intent To Delete Information From Rewritable Disks (ARC Form 14) has been submitted to and has been approved by the State Records Administrator or his designee [OAC 60:10-3-2(b) of the Rules and Regulations of the Archives and Records Commission].

Unless statutory provisions, court decisions, Code of Federal Regulations (CFR), Oklahoma Rules and Regulations adopted in accordance with the Administrative Procedures Act (75 O.S. §250 et seq.), or other state and federal regulations mandate longer retention periods, all records except those identified as original records may be destroyed when they are no longer required for administrative purposes provided the institution has identified all individual original records and the administrative units responsible for maintaining them for their entire stipulated retention periods.

Convenience or Reference Copies
Copies of records created for the user’s convenience can be destroyed when they are no longer required for administrative purposes. Access restrictions, if any, apply to copies and originals alike. It is not necessary to request approval for destruction of convenience copies of records.

Record Storage
All records, including temporary and permanent records, may be stored at the State Records Center, located at 426 E. Hill Street. For information regarding charges for these services, contact the Oklahoma Department of Libraries State Records Center.

Record Formats
Because state supported institutions of higher education vary in size and administrative organizational patterns and the annual accumulation of individual record series varies among institutions, this General Records Disposition Schedule for State Universities and Colleges does not specify which formats shall be used for records creation and retention. Individual institutions are charged with maintaining individual record series in the most efficient and cost effective format consistent with sound records management principles; state and federal laws, rules and regulations, and court decisions; and its individual recordskeeping needs.

Microformat
Records included in this General Records Disposition Schedule for State Universities and Colleges may be maintained on microforms or in electronic format provided the following conditions are satisfied:

  1. All microfilming and microfiching is done in accordance with Archives and Records Commission Rules OAC 60:10-7-1 [Authenticity and photographic quality], OAC 60-7-2 [Quality control standards], OAC 60:10-7-3 [Computer output microfilm (COM)], OAC 60:10-7-4 [Micrographics laboratory certification]; and OAC 60:10-3-2(b) [Notification of intent to destroy records];
  2. All master negatives are deposited with the Records Management Division of the Office of Government Information of the Oklahoma Department of Libraries;
  3. The institution retains at least one (1) user copy of all master negatives;
  4. The use of microformats is not prohibited by state and federal law, rule and regulation, or court decisions;
  5. Agencies whose programs are funded in all or in part by federal funds shall retain all records in accordance with all applicable records keeping requirements.
Electronic Recordskeeping Systems Except Electronic Mail Systems and Optical Imaging Systems

  1. All records are being retained in accordance with all applicable Archives and Records Commission Rules;

  2. All electronic records are backed up on a regular basis and all back up media is stored in separate locations under proper environmental conditions;

  3. All data is secured against accidental or unauthorized addition, modification, or deletions of records;

  4. The maintenance of records in electronic format is not prohibited by state and federal law, rule and regulation, or court decisions;

  5. Where applicable, all records are included on Notices Of Intent To Destroy Records [OAC 60:10-3-2(b) [Notification of intent to destroy records].

Electronic Mail including all Communication/Information/Data Delivery Systems:
An Electronic Data Delivery System is any system that facilitates the movement of data (uploads and downloads) electronically. Electronic Data Delivery Systems include but are not limited to Hyper Text Transfer Protocol (HTTP), Secure Socket Layer (SSL), File Transfer Protocol (FTP), Simple Mail Transfer Protocol (SMTP) (typically used E-mail protocol), Database Reports, File Copies, etc.

Records in Series 1-3 [President's File], 1-4 [Governing Board], 1-5 [Other Administrative Office Files], 1-11 [Organizations and Associations File], 1-19 [Calendar of Events], 6-12 [Correspondence With Book Publishers], and 6-13 [Correspondence] may be maintained in electronic mail systems provided the following conditions are satisfied:

  1. Records are retained and are accessible in a usable format for their entire stipulated retention period. If an electronic mail system does not have the capability of maintaining an individual record for its entire stipulated retention period, agencies shall download the record to another electronic recordskeeping system (magnetic tape, hard disks, floppy diskettes, mainframe computer systems, or optical imaging systems), or print the record out and maintain it in hard copy format;

  2. All receipt and transmission data, directory information, distribution lists, and acknowledgements of receipt shall be considered to be part of the applicable record they pertain to and shall be retained and be accessible in a usable format for the same length of time as the applicable record. If an electronic mail system does not have the capability of maintaining receipt and transmission data, directory information, distribution lists, and acknowledgements of receipt for their entire stipulated retention period, agencies shall download the information to another electronic recordskeeping system (magnetic tape, hard disks, floppy diskettes, mainframe computer systems, or optical imaging systems), or print the record out and maintain it in hard copy format;

  3. If senders and recipients are identified only by user identifications, nicknames, codes, titles, or the names of distribution lists, agencies shall ensure that records exist to identify senders and recipients;

  4. Electronic mail systems and electronic recordskeeping systems on magnetic medium used to retain electronic mail records for their entire stipulated retention periods shall be backed up at regular intervals;

  5. Back up copies of electronic mail records or records downloaded to electronic recordskeeping systems (magnetic tape, hard disks, floppy diskettes, mainframe computers, or optical disks) shall be stored in off site storage areas that meet manufacturer's recommendations for temperature and humidity controls; or if no recommendations are provided by the manufacturer, in off site storage areas whose temperature is between 65° and 75° Fahrenheit and whose relative humidity is between 30% and 50%;

  6. Agencies whose programs are funded in all or in part by federal funds shall retain all records in accordance with all applicable records keeping requirements;

  7. Electronic mail systems based records accessioned into Institutional Archives must be transferred in a format acceptable by the Institutional Archives.


Optical Imaging Systems
  1. All optical imaging systems and applications are in compliance with Archives and Records Commission Rules OAC 60:10-8-2 [Scope]; OAC 60:10-8-3 [Definitions]; OAC 60:10-8-4 [Documentation standards]; OAC 60:10-8-5 [Standards for the creation, use, and storage of records maintained on optical imaging systems]; OAC 60:10-8-6 [Annual Compliance Report] and OAC 60:10-3-2(b) [Notification of intent to destroy records];
  2. Agencies whose programs are funded in all or in part by federal funds retain all records in accordance with all applicable records keeping requirements;
  3. The storage of records in optical imaging format is not prohibited by state and federal law, rule and regulation, or court    
Permanent Records
Records that possess continuing value because they document the organization, functions, policies, decisions, procedures, and essential transactions of institutions of higher education or protect the legal and financial rights of the state and persons directly affected by institutions of higher education must be retained permanently.

Historical Notes
This General Records Disposition Schedule for Universities and Colleges replaced General Disposition Schedule 4 adopted by the Archives and Records Commission March 5, 1986, and subsequent amendments approved April 15, 1987, January 13, 1988, and April 13, 1988. General Disposition Schedule 4 became the General Records Disposition Schedule for Universities and Colleges on July 13, 1988. This General Records Disposition Schedule incorporates all records included in General Disposition Schedule 4 and amendments to the General Records Disposition Schedule for Universities and Colleges approved July 13, 1988, October 12, 1988, December 7, 1988, January 18, 1989, April 12, 1989, July 12, 1989, October 11, 1989, January 17, 1990, April 11, 1990, May 9, 1990, July 11, 1990, October 17, 1990, January 16, 1991, July 17, 1991, January 15, 1992, April 15, 1992, July 15, 1992, October 14, 1992, July 14, 1993, April 13, 1994, July 13, 1994, October 11, 1995, April 17, 1996, July 17, 1996, January 15, 1997, October 15, 1997, January 14, 1998, July 15, 1998, January 13, 1999, January 12, 2000, April 12, 2000, July 12, 2000, January 17, 2001, July 18, 2001 and January 22, 2003, April 24, 2003, October 23, 2003, January 22, 2004, April 22, 2004, July 22, 2004, October 21, 2004, January 27, 2005, July 28, 2005, April 27, 2006, October 26, 2006, January 25, 2007, April 26, 2007, April 24, 2008, July 31, 2008, October 30, 2008, January 22, 2009, April 16, 2009, July 16, 2009, and October 14, 2010.

The amendments approved by the Archives and Records Commission on January 12, 2000 incorporated records series applicable to state supported institutions of higher education that are included in the General Records Disposition Schedule. Most General Records Disposition Schedule records series that contain the words “employee” or “employees,” were changed to “staff” or “faculty and staff” when they were incorporated into the General Records Disposition Schedule for State Universities and Colleges. The word, “division” as used in the General Records Disposition Schedule for State Universities and Colleges refers to administrative units other than those required to maintain original records. As noted on page iv, “each individual state supported institution of higher education shall identify individual original records and the administrative units responsible for maintaining them for their entire stipulated retention periods.” This consolidation eliminates the need for to state supported institutions of higher education to consult two (2) separate records disposition schedules to ascertain approved dispositions.

Since the Introductory Section of the General Records Disposition Schedule for State Universities and Colleges permits records to be maintained in microformat as long as certain requirements are satisfied, the amendments approved by the Archives and Records Commission on April 12, 2000 deleted redundant portions of existing disposition language in nine (9) individual records series that had authorized microfilming. The nine (9) records series were 5-1 [Student Accounts File], 5-5 [Cash Receipts File], 6-1 [Acquisitions File], 6-6 [Shelf List File], 6-11 [Library Accession File], 9-2 [Inactive Institutional Personnel File], 12-21 [Campus Newspaper], 13-5 [Student Data File] and 13-35 [Instructor Grade Books].

The amendments approved by the Archives and Records Commission on April 28, 2005 incorporated language regarding convenience and reference copies in the introductory information. Individual records series for convenience or reference copies were deleted. In addition, individual record series were Amended to eliminate references to specific record formats, such as hard copy or electronic record.