Advancement and Business Operations Records Disposition Schedule

 
 

The dispositions in this schedule pertain to records created in typical circumstances; any unique situations may require consultation with the Archives and Information Management Team. The disposition actions described in the schedule apply only to inactive and semi-active records; active or working records should remain available and on-premises until they are no longer needed, at which time the instructions in the schedule are to be applied.

In some cases, sensitive personally identifiable information (sPII) can and should be redacted as soon as it is no longer needed, even if the entire record is scheduled for a longer period. sPII includes an individual's first and last name in combination with a Social Security number or personal Tax Identification Number; a driver’s license or government-issued identification number; a credit card number with or without an access code; a bank account number with or without a personal identification number (PIN) or password; or medical information. Contact the Archives and Information Management Team for additional information about redacting sPII on specific types of records.

See Transferring or Destroying Records for next steps in carrying out a disposition. See the glossary for definitions of many of the terms found in the schedules.

 Series Title Series Description Disposition Likely Offices of Record
Audit Records Materials compiled for procedural and financial audits. Originals: Transfer to Archives.  Copies: Destroy when 7 years old. OIG, OF&A, OGC, Regents Audit Committee
Award Reports Annual, quarterly, and other summary reports pertaining to awards such as grants. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. OSP, SAO
Bequests, Estates, Gifts, Trusts, and Wills Pertaining to gifts, donations, and bequests to SI. Includes correspondence and memoranda, agreements, tax proceedings, object lists and appraisals, copies of wills, briefs, notes, and related information.  Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Advancement
Capital Campaign Files Pertaining to the planning and execution of a capital campaign or other special fundraising project.  Materials include marketing materials, correspondence, memoranda, budgets, reports, planning documents, donor files, working papers, and logistical files. Originals: Transfer to Archives.  Weed donor files, working papers, and logistical files.  Copies: Destroy when no longer needed. Central and unit advancement offices
Committee Records Pertaining to SI and unit committees.  Materials include agendas, minutes, reports, by-laws, charters, and related materials. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Committee chairs
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Contracts Pertaining to individuals, vendors, and services, including copies of contracts, correspondence, statements of work, project bids, and price quotes. Originals: Transfer to Archives.  Copies: Destroy 6 years, 3 months after close of account. OCon&PPM, Units with contracting authority
Customer Surveys Pertaining to surveys created to provide customer feedback for services provided.  Materials include survey questions, responses, statistical analysis, and related materials. Originals: Destroy when 3 years old or when no longer needed, whichever is later.  Copies: Destroy when no longer needed. Customer service units
Departmental Files Pertaining to the administration and activities of individual departments within a museum or other large unit. Materials include memoranda, reports, meeting materials, notes, and related materials. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Department heads/chairs, Administrators who oversee several departments
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Director's Subject Files Pertaining to the files of the Director and other upper-level staff of museums, research centers, and SI-wide programmatic and administrative offices.  Materials include correspondence, email, memoranda, reports, meeting materials, professional activity files, notes, and related materials documenting overall administration of the unit, professional outreach, development, public affairs, and relations with other SI units and non-SI organizations. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Secretary, Under secretaries, Directors/deputy directors
Donor Files Pertaining to donors and prospective donors.  Materials include correspondence, proposals, copies of gift agreements, and informational materials. Originals: Destroy when donor is no longer a prospect.  Copies: Destroy when no longer needed. Central and unit advancement offices
Donor Transaction Data Records maintained in database pertaining to donors, donations, and membership contributions. Originals: Maintain in database.  Copies: Destroy when no longer needed. Central and unit advancement offices
Event Files (Major Events Planning) Pertaining to the development and planning of significant events such as large exhibition openings, visits by major figures, or unique events. Materials include correspondence, invitations, remarks, ephemera, catering proposals, samples, logistical information, and mailing lists. Originals: Significant correspondence, invitations, remarks, and ephemera - Transfer to Archives. All other materials - Destroy when 10 years old. Copies: Destroy when no longer needed. OSEP, Special events offices/coordinators
Event Files (Planning) Pertaining to the development and planning of special events. Materials include correspondence, memoranda, notes, planning documents, logistical files, sample invitations, guest lists, and ephemera. Originals: Destroy when 10 years old.  Copies: Destroy when no longer needed. OSEP, Special events offices/coordinators
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Event Files (Recordings) Photographic or audiovisual recordings of significant events and activities. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. OSEP, Special events offices/coordinators, Central/unit public affairs offices, Education offices, Imaging units
Gift Agreements Required agreements between SI and individuals, corporations, or foundations for certain types of gifts identified by SI. Originals (any copy with an original signature): Maintain permanently in unit.  Copies: Destroy when no longer needed. Central and unit advancement offices
Gift Transmittal Forms Standard forms for gift transmittals (SI-3011). Originals: Destroy when 7 years old.  Copies: Destroy when 3 years old. Central and unit advancement offices
Grant Accounting Records Records of expenditures made using grant money. Originals and Copies: Use disposition found for specific record types elsewhere in this schedule or disposition dictated by grant, whichever is longer. OSP, Museum/research center administrative units, Principal investigators
Grant Administrative Records Pertaining to the administration of grants, awards, and other outside funding for education, research, and exhibitions. Materials include correspondence, memoranda, contract information, grant requests, closeout checklists, biographical information, authorizations, and proposals not selected. Originals and Copies: Destroy 3 years after close of grant. OSP, Museum/research center administrative units, Principal investigators
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Grant Records Pertaining to the application for and fulfillment of grants, awards, and other outside funding for education, research, and exhibitions. Materials include proposals, project award notifications, reports, final products, correspondence, and memoranda. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. Principal investigators
Inventory Reconciliation Reports Comparison of physical and computer inventories of merchandise. Originals: Destroy when 7 years old.  Copies: Destroy when no longer needed. SE, Non-SE retail units
Inventory Records Routine stock inventories. Originals: Destroy 1 year after end of fiscal year.  Copies: Destroy when no longer needed. SE, Non-SE retail units
Marketing Materials Print, broadcast, and internet marketing materials promoting exhibitions, programs, events, and other aspects of SI. Materials include brochures, flyers, clippings, printouts, and other final copies.  Materials do not include signage. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. OVS, Public affairs offices, Business units, Advancement offices
Membership Contributions Pertaining to membership contributions and acknowledgements. Materials include reply pieces, cancelled checks, credit card information, correspondence, contribution reports, and related materials. Originals: Destroy when 7 years old.  Copies: Destroy when 3 years old. SE, Unit advancement and membership offices
Notifications of Payment and Shipping Records Pertaining to internet and mail orders. Materials include shipping receipts, shipping forms, printouts of electronic payment notifications, and related materials. Originals: Destroy when 3 years old.  Copies: Destroy when no longer needed. SE, Non-SE retail units
Product Development Files Pertaining to the development of products related to collections, exhibitions, and events within SI. Materials include correspondence, memoranda, notes, product images, contracts, royalty files, proofs, vendor information, reference materials, and logistical materials. Originals: Transfer to Archives.  Weed vendor information, reference materials, and logistical materials.  Copies: Destroy when no longer needed. SE
Product Licensing Agreements Copies of agreements between SI and various vendors, manufacturers, and companies granting permission to sell specified merchandise or items bearing logos. Originals: Transfer to Archives.  Copies: Destroy when no longer needed. SE, OCon&PPM
Professional Activities Files Pertaining to professional conferences, symposia, and workshops in which staff formally participated as a speaker or organizer. Materials include papers, lecture materials, photographs of colleagues, conference programs, correspondence, agendas, minutes, proceedings, and related materials. Materials related to conferences in which staff only participated as an attendee are not considered to be institutional records and are not subject to disposition requirements. Originals: Transfer to Archives. Weed logistical and travel files.  Copies: Destroy when no longer needed. Individual staff
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Receipts, Tickets, and End of Day Reports Cash register receipts; theater and event ticket stubs used for accounting purposes; and end-of-day register tallies. Originals: Destroy when 7 years old.  Copies: Destroy when 3 years old. SE, Non-SE retail and admissions units
Retail Sales Reports Summary and statistical reports of retail sales over a period of time. Originals: Destroy when 6 years, 3 months old.  Copies: Destroy when no longer needed. SE, Museum administrative offices
Sales Transaction Data Pertaining to retail sales. Transaction data maintained in database. Originals: Destroy when 7 years old.  Copies: Destroy when no longer needed. SE
Tour Registrations Registrations and accompanying documents for tours and other fee-based events. Originals: Destroy when 8 years old.  Copies: Destroy when no longer needed. Smithsonian Journeys, TSA
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