Policy and Financial Management 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
Accounting Records (General) Pertaining to routine accounting records not found elsewhere in this schedule. Materials include, but are not limited to, miscellaneous reimbursements, cash receipt vouchers, invoices, check copies, tax returns, and related materials. Originals: Destroy 6 years, 3 months after close of account. Copies: Destroy when no longer needed. When paper receipts, checks, and other supporting documentation have been scanned and entered into central databases, the paper files should be considered copies and the scans considered originals.  OF&A, Financial units not using OF&A's financials system
Announcements SI or museum-wide announcements. Originals: Transfer 1 copy to Archives. Copies: Destroy when no longer needed. OCIO, OPMB, Directors/deputy directors
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
Budget Execution Files Pertaining to the execution of SI's fiscal year budget. Materials include OMB submissions and briefing books, Congressional books, reprogramming documentation, continuing resolutions, quarterly reports, and related materials. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OPMB
Budget Records Pertaining to the formulation of budgets. Materials include budget calls, hearings, proposals, submissions,  working files, and reports. Originals: Transfer to Archives. Copies: Destroy when 3 years old. OPMB, Directors/deputy directors, Under secretaries, Administrative officers
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Capital Account Files Pertaining to financial planning and administration for repair, restoration, and construction of SI facilities. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OPMB, SF
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 and Budget Publications Hearings, testimonies, justifications, and other publications issued by Congressional and other government offices. Originals and Copies: Destroy when no longer needed. OMB, GPO, Library of Congress
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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
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
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
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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
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
Endowment Records Records relating to the establishment and yearly administration of endowments. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OF&A
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
Insurance Files Claims, indemnifications, and waivers of insurance. Originals: Destroy when 6 years old. Copies: Destroy when no longer needed. OF&A
Insurance Policy Files Liability and insurance files for Smithsonian offices, museums, properties, and vehicles. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OF&A
Investment Management Agreements Contracts specifying the terms of investments. Originals: Maintain in unit. Copies: Destroy when no longer needed. OI
Investment Manager Files Materials documenting investment relationships. Originals: Destroy 7 years after termination.  Copies: Destroy when no longer needed. OI
Lectures and Speeches Pertaining to lectures, speeches, and other presentations given by high-level administrators and subject specialists to large audiences.  Materials include texts, audiovisual materials, notes, programs, and related materials. Originals: Transfer to Archives. Copies: Destroy when no longer needed. Secretary, Under secretaries, Directors/deputy directors, Unit heads, Curators, Scientists
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Payroll Records (Applications for Leave) SF-71 or equivalent plus any supporting documentation of requests and approvals of leave. Originals and Copies: Destroy 3 years after end of related pay period. OF&A
Payroll Records (Leave Balance Reports) Reports of leave by pay period. Originals and Copies: Destroy when 3 years old. OF&A
Payroll Records (Notifications of Basic Change) Records used to direct a change or correction of an individual pay transaction whether created and maintained by paying agency or payroll processor. Originals: Destroy after audit or when 3 years old, whichever is sooner. Copies: Destroy 1 month after end of related pay period. OF&A
Payroll Records (Payroll Terminations) Documentation for ending pay status. Originals: Destroy when 6 years old. Copies: Destroy when no longer needed. OF&A, SE
Payroll Records (Time and Attendance Reports) All time and attendance records upon which leave input data is based. Originals: Destroy 6 years after end of related pay period. Copies: Destroy 6 months after end of related pay period. OF&A, SE
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Policies and Handbooks Policy statements, directives, and handbooks, as well as supporting documentation of their development.  Supporting documentation includes correspondence, memoranda, meeting notes, and reports. Originals: Transfer to Archives. Copies: Destroy when no longer needed. OPMB, Central administrative offices, Other units issuing policies and handbooks
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
Purchase Card Records Purchase and travel card statements, logs, and related materials. Originals: Destroy when 3 years old. Copies: Destroy when no longer needed. Administrative staff, Purchase/travel cardholders
Purchase Orders Materials include purchase and delivery orders and associated documentation. Originals: Destroy 6 years, 3 months after final payment. Copies: Destroy 3 years after final payment. OCon&PPM, Units with contracting authority
Purchase Orders - Intellectual Property Purchase orders containing intellectual property rights. Originals: Maintain in unit. Copies: Destroy when no longer needed. Administrative staff
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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
Requests for Proposals Proposals submitted by outside sources. Originals: Destroy when 6 years, 3 months old. Copies: Destroy when no longer needed. OCon&PPM
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
Surveys and Studies Reports created from various SI-wide studies and surveys, including those related to administrative functions, management, resources, visitors, and constituents.  Originals: Transfer to Archives. Copies: Destroy when no longer needed. SOAR, OHR, Other central administrative offices
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
Travel Files Authorizations, vouchers, receipts, and related materials. Originals: Destroy 6 years, 3 months after action occurred. Copies: Destroy when 3 years old. When paper travel files have been scanned and entered into central database, the paper files should be considered copies and the scans considered originals. OCon&PPM
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