Legal Management and Oversight 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
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
Board Records Correspondence, agendas, minutes, and materials related to meetings and activities of the Board of Regents and other museum advisory boards. Originals: Transfer to Archives. Copies: Destroy when no longer needed. Office of the Regents, Directors/deputy directors
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
Congressional Correspondence Materials include correspondence between SI and various members of the U.S.  Congress, hearing materials, testimonies, and other public/congressional relations materials. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OGR, Secretary, Under secretaries, Directors/deputy directors
back to top
Contracting Officer's Technical Representative (COTR) Records Pertaining to COTR's interaction with the contractor and site representative.  Materials include email and paper correspondence related to work authorizations, problems, delays, modifications, and terminations as well as reports and progress plans. Originals: The COTR should work with the Contracting Officer to determine which records should become part of the permanent contract file maintained by OCon&PPM.  Destroy records not required by OCon&PPM 6 years, 3 months after close of account.  Copies: Destroy when no longer needed. COTR
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
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
back to top
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
Equal Employment Opportunity (EEO) Administrative Files Pertaining to the management of equal employment matters at SI.  Materials include reports, correspondence and memoranda, program files, statistics files, affirmative action plans, and other related records. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OEEMA
Equal Employment Opportunity (EEO) Case Files Case files containing complaints with related correspondence, reports, exhibits, withdrawal notices, copies of decisions, records of hearings and meetings, and other related records. Originals: Destroy 9 years after close of case.  Duplicates Issued by and Returned to OEEMA: Destroy when no longer needed.  Other Copies: Destroy after gaining approval from OGC. OEEMA
back to top
Litigation Files - Equal Employment Opportunity Pertaining to SI equal employment opportunity litigation matters. Materials include case fact sheets; originals and drafts of release forms; correspondence and memoranda; copies of motions, complaints, opinions, depositions, and transcripts; notes; and related information. Originals: Destroy when 4 years old.  Significant cases should be transferred to Archives for permanent retention. Copies: Destroy when no longer needed. OGC
Litigation Files - Intellectual Property Pertaining to litigation involving copyrights, trademarks, patents, service marks, and use of SI name and insignia.  Materials include meeting reports and handouts; guidelines, policies, and procedures; settlement agreements; permission requests; memoranda and correspondence; copies of deeds of gift; notes; reference materials; purchase orders and contracts; and related information. Originals: Transfer to Archives.  Weed reference materials. Copies: Destroy after gaining approval from OGC. OGC
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
Real Property Records Pertaining to SI facilities and property.  Includes correspondence and memoranda, lease agreements, deeds of gift and articles, zoning and planning information, blueprints, information on restoration issues, and policies. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OPDC Real Estate
Regents Reports Reports created for Regents meetings from information supplied by various SI units. Originals: Transfer to Archives. Copies: Destroy when no longer needed. Office of the Regents
back to top
Strategic Planning Records SI-wide and unit-specific strategic plans and performance measurements. Originals: Transfer to Archives. Copies: Destroy when no longer needed. SOAR, Secretary, Under secretaries, Directors/deputy directors
Training Course Materials Pertaining to classes and other training offered to SI employees by SI units.  Materials include handouts, outlines, slides, correspondence, memoranda, announcements, attendance lists, and related materials. Originals: Transfer records documenting course content to Archives. Destroy other materials when no longer needed. Copies: Destroy when no longer needed. Unit offering training
back to top