Records Retention

Proper management of documents, files, and data is vital to ensure efficient use of physical and digital space, effective information security, and compliance with laws and university policies.

The university is a public institution subject to records retention requirements set by the state of Ohio. Retention of some types of records is further regulated by other entities, such as the federal government, and university policies. Before disposing of documents or files, whether physical or digital, determine what the retention requirements are, if any.

How do I know if I have a record?

See the University Archives for definitions.

Common example of records

  • Meeting minutes
  • Course syllabi
  • Human subject payment receipts
  • Original travel reimbursement documentation

Common examples of non-records

  • Transient records
  • Faculty papers
  • Copies of documents when the original is held elsewhere (like a paper copy of an eRequest)
  • Personal correspondence
  • Listserv materials, junk mail

Learn more

Need advice to determine if you have a record? Contact the University Records Manager.

How long do I need to keep a record?

Retention periods vary, depending on the kind of record. See the university’s records retention schedule to determine the retention period and appropriate disposition of materials that no longer need to be retained. The College of Optometry has a unique schedule for clinic-related activities. Find this schedule on the I:drive (College Documents>Policies+Guidelines>Records Retention and CleanOPT).

What options are there for storing records?

Records containing private (S3) or restricted (S4) data

Records with private or restricted data must be stored securely.

Storing in Fry Hall or Starling-Loving Hall

  • Secure digital storage includes the college servers (U or P drives, for instance).
  • Questions about the security of your digital space or physical space? Contact the help desk.

Storing records off-site

  • The college has secure deep storage for records and hard drives. If needed, records can be retrieved. Contact the help desk to determine if this is a good option for your needs.
  • Do not take or store any private or restricted data off-site without consultation first. Contact the help desk.

Records with data that are not private or restricted

  • Storage in an office, laboratory, or closet is an option, especially if you anticipate needing the record regularly.
  • Contact the help desk if you are interested in storing little-used records off-site.
  • Contact the help desk if you have a large volume of digital records that you would like to transfer to deeper storage.

More on off-site storage

The College of Optometry contracts with Fireproof for off-site document storage. It is appropriate to send documents to Fireproof when it is anticipated that they will not be accessed for long periods of time.

To send documents to Fireproof, enter a help desk ticket, noting how many boxes and labels will be needed. The Building Coordinator will arrange for delivery, and the requestor will then fill and label the boxes.

The college utilizes strict labeling conventions for boxes. See the Fireproof procedure on the I drive (College Documents -> Policies+Guidelines -> Records Retention and CleanOPT) for details.

The procedure also outlines how to retrieve boxes stored at Fireproof and the annual review of Fireproof inventory.

How do I properly dispose of a record?

University Archives manages records transfer and destruction processes and documentation. See the records retention schedule to determine if the record can be destroyed or if it must be transferred to the University Archives.

Destruction of records

    • Complete Certificate of Records Destruction
    • use the “Submit CRD via Email” button in the Certificate of Records Destruction document to send the certificate to University Archive
    • After the Archivist approves the certificate, properly destroy the record (securely if record contains private or restricted data)

Transferring records to University Archives for preservation

Why should I dispose of records after the retention period passes?

The College of Optometry strongly encourages faculty and staff to dispose of records after the retention period has passed for several reasons.

Information security

The more private and restricted data the college has to protect, the harder it is to protect those data. A smaller volume of sensitive data means we have a smaller risk profile.

Legal actions

In the event of a public records request or a subpoena, the college is required to produce all requested records. If the records no longer need to be retained are properly destroyed, they are naturally not subject to the legal requests. Moreover, complying with these legal requests can entail a search through all college records. The fewer records we have, the easier it is to comply with the request in a timely manner.

Keeping our space usable

Space is expensive and limited – using it to store records or other materials that are no longer needed and which no longer must be retained wastes space that could be used more productively.

And who wants to live in the midst of unnecessary clutter?