General Records Schedule

3000-3999 Faculties and Academic Centers
Academic Affairs
3100
Academic Program Administration Records
This series documents all aspects relating to the organization and daily routine administration of courses and programs of the office.
Records include concentration advising material, handouts, advising logs, advisor orientation material, student progress-in-concentration material, mentor request forms, mentor assignments, teaching assistant requests, tutor applications, proctor records, petition logs, interdisciplinary track and joint concentration requirements and student lists, information binders, course enrollment lists, class lists, lists of students on probation, undergraduate organizations documents, and photographs.
Retention Plan:
a) Program policy, procedures, and requirements
Contact archives after superseded.
b) All other records including student organization documents, photographs, class lists (where the Registrar has an incomplete record, as may be the case with special programs), and enrollment reports
Contact archives 5 years after creation.
See Also:
3130
Accreditation Records
This series documents the formal review of the department or school by outside accrediting bodies. Areas of review include curriculum and course offerings, goals, instruction, and research.
Records include visit arrangements records, school preparation and response documentation, accreditation reports, and related correspondence.
Retention Plan:
a) Accreditation reports, school preparation and response documentation, and substantive correspondence
Transfer to archives after administrative use ceases.
b) Visit arrangement records and all other records
Retain current and previous review.
3140
Colloquia, Seminar, and Lecture Series Records
This series documents programs sponsored or co-sponsored by the office, usually open to the public, and that are regular, on-going sessions, not special events .
Records include planning and arrangement records, announcements, event programs, submitted papers, summary reports and evaluations, speaker biographies, participant lists, transcripts, photographs, and recordings of the event.
Retention Plan:
a) Announcements, event programs, submitted papers, summary reports and evaluations, speaker biographies, participant lists, transcripts, photographs, and recordings of the event
Contact archives 5 years after event.
b) All other records
Retain until administrative use ceases.
See Also:
3150
Course Evaluation Records
This series provides a record of student evaluations of courses and instructors which are completed at the end of each term.
Records include questionnaires, summary reports by individual classes, and summary reports for all classes combined.
Retention Plan:
a) Summary reports
Transfer to archives after end of academic year.
b) All other records
Retain 3 years after end of academic year.
Note:
Contact the Archives for retention requirements of records used to support faculty promotion and review and for records used by a faculty member when transferring employment.
3157
Course Records
This series provides a record of individual courses taught by departmental faculty and instructors.
Records include course proposals , course descriptions (including tutorial courses), course syllabi, course requirement outlines, reading lists, handouts, assignment descriptions, examination schedules, evaluation and grading criteria, lecture titles and dates, examination questions, class lists, and correspondence related to course administration.
Retention Plan:
a) Course proposals and descriptions, syllabi or requirements outlines, examination schedules, evaluation and grading criteria, reading lists, handouts (but not source books), assignment descriptions, lecture titles and dates, examination questions
Transfer to archives 5 years after end of academic year.
b) All other records
Retain 5 years after end of academic year.
Note:
Do not use this series for course proposals that are part of a major curriculum policy review.
3160
Curriculum Development and Review Records
This series provides a record of the planning, review, and discussion relating to the institution of new courses or other major curriculum policy changes.
Records include proposals, authorizations, discussion notes, curriculum planning records, and related correspondence.
Retention Plan:
Transfer to archives 5 years after completion of review.
See Also:
Admissions
3250
Academic Program Admission Records
This series provides a record of individual applicants to academic programs.
Records include applications, letters of recommendation, transcripts, curriculum vitae, Scholastic Aptitude Tests (SATs), screening sheets, test scores, immigration data, evaluations of transfer credits, and related correspondence.
Retention Plan:
Retain 3 years after end of academic year.
Legal Citation:
M.G.L. c. 260, § 5B; 34 C.F.R. § 100 et seq. (2000); 610 C.M.R. § 2.07 (j)
Note:
Transfer the records of accepted students to their student academic folders or registration files.
Faculty
3320
Faculty Biographical Records
This series documents biographical information on selected faculty.
Records include curriculum vitae, biographical articles, photographs, clippings, and related correspondence.
Retention Plan:
Transfer to archives after separation.
See Also:
3325
Faculty Interests and Plans Records
This series provides a record of faculty subject areas and activities relating to teaching, research, and course development as well as administrative and external activities.
Records include interest inventories, plans, notes on works in progress, publication lists, and related correspondence.
Retention Plan:
Contact archives after separation.
3350
Faculty Meeting Records
This series documents faculty group discussions and decisions concerning academic planning, policies, and their implementation.
Records include agendas, minutes, plans, reports, and related correspondence.
Retention Plan:
Contact archives 5 years after end of academic year.
Note:
See also section 1000-1039 Executive and Management: Committees and Meetings.
3380
Faculty Personal and Professional Papers
This series covers the materials of individual faculty which have been left in the care of the department.
Papers include correspondence, writings, lecture notes and tapes, research data, laboratory notebooks, professional associations and organizations, and letters of recommendation.
Retention Plan:
Review 5 years after transfer to records center and on a regular basis thereafter.
Notes:
1) These records are not university records but are included in the general records schedule because they are frequently put in the custody of university departments.
2) Faculty members wishing to donate collections to Harvard University should contact the Harvard University Archives.
3) Please keep faculty papers separate from the department's records.
3400
Faculty Promotion and Review Records
This series documents the process for faculty promotion and review, including tenure.
Records include curriculum vitae, publication and activities lists, faculty submissions, committee notes, vote sheets, summary justifications, departmental recommendations, dean's actions, and related correspondence.
Retention Plan:
a) Committee and membership records
Contact archives 3 years after administrative use ceases.
b) Summary justifications, CV and related records
Transfer to personnel file.
c) All other records, including vote sheets, handwritten notes, annotated agenda, and faculty members' aggregate submission materials
Retain 3 years after review close.
Legal Citation:
29 C.F.R. §§ 36.500 - 550, 1602.49, 1625.11; M.G.L. c. 260, § 5B
See Also:
3420
Personal Services Teaching Contract Records
This series documents contracts between the department and individual non-permanent teachers and instructors relating to specific teaching assignments.
Records include correspondence, course descriptions, and personal service contracts.
Retention Plan:
Retain 6 years after termination of contract.
3450
Visiting Scholar Records
This series provides a record of visiting scholars sponsored by the department.
Records include curriculum vitae, agreements, and related correspondence.
Retention Plan:
Transfer to archives 5 years after separation.
Research
3530
Animal Subjects Protection Records
This series provides a record of the University's compliance with the Department of Agriculture, the Food and Drug Administration, and Harvard policy and procedures for the protection of animal research subjects.
Records include protocols, approval requests, Principal Investigators' continuing reviews, laboratory animal care documentation, review status letters, and related correspondence.
Retention Plan:
a) All records associated with funded projects
Retain 6 years after final project account closing unless a longer period is specified by the granting agency.
b) All other records
Retain 3 years after final project account closing unless a longer period is specified by the granting agency.
Legal Citation:
Pub. L. 89-544; Pub/ L. 93-205; 7 U.S.C. § 231; 9 C.F.R.
Note:
Contact the Archives regarding the retention of the offical records of Animal Care Committees.
3550
Human Subjects Protection Records
This series provides a record of the University's compliance with the Department of Health and Human Services, the Food and Drug Administration, and Harvard policies and procedures for the protection of human research subjects.
Records include research proposals, protocols, subject informed consent forms, consent form approvals, in-house questionnaires, Requests for Approval of Human Subjects Research, exemptions documents, general assurance forms, Principal Investigators' continuing reviews, review status letters, and related correspondence.
Retention Plan:
a) All records associated with funded projects
Retain 6 years after final project account closing unless a longer period is specified by the granting agency.
b) All other records
Retain 3 years after final project account closing unless a longer period is specified by the granting agency.
Legal Citation:
45 C.F.R. § 46; 21 C.F.R. § 50,56; 11 C.F.R. § 50
Note:
Contact the Archives regarding the retention of the official records of Institutional Review Boards.
3600
Sponsored Project Administration Records
This series documents the departmental administration of sponsored projects.
Records include proposals, working papers, background support documents, logistics and arrangement documentation, meeting minutes and notes, narrative reports, consultant correspondence and memos, internal status reports, deliverables such as books and manuals, project review summaries and reports, and related correspondence.
Retention Plan:
a) All records except non-awarded project records
Contact archives 6 years after final account closing unless longer period specified by granting agency.
b) Non-awarded project records
Retain 3 years after notification.
Notes:
1) Contact the Archives regarding the retention of the Principal Investigators' research data and related records.
2) Do not use this series for financial account transactions and reconciliation. Use 0410 Accounts Payable records.
3) Maintain proposal and contract-related documentation together in a separate part of the file.
4) Principal Investigators should follow the guidance of the IRB regarding the retention and disposition of personal data identifiers.
5) All records containing personal identifiers should be securely destroyed by shredding, burning, pulping, or pulverization. Electronic records should be destroyed to Department of Defense standards.
See Also:
3620
Sponsored Project Proposal Records
This series consists of materials gathered, maintained, and developed for the purposes of writing, submitting, monitoring, or evaluating grant proposals.
Records include granting agency background documentation, proposal ideas and notes, rejected and accepted proposals, and related correspondence.
Retention Plan:
Contact archives after administrative use ceases.
Scholarships, Fellowships, and Awards
3750
Prizes and Awards Administration Records
This series provides a record of prizes and awards granted to students where the awards are administered by or through the office.
Records include award establishment documentation, granting agency and donor correspondence, selection guidelines, award advertisements, departmental correspondence, nominee submission materials and papers, individual recipient records, recipient lists, final decision-making correspondence, and award announcements and publications.
Retention Plan:
a) Non-recipient records
Retain 3 years after selection process ends.
b) All other records
Transfer to archives after selection process ends.
Legal Citation:
M.G.L. c. 260, § 5B
3800
Scholarships, Fellowships, and Awards Application Records
This series provides a record of individual student applicants for awards administered by or through the office.
Records include applications and proposals, letters of recommendation, transcripts, curriculum vitae, and screening notes.
Retention Plan:
Retain 3 years after selection process ends.
Legal Citation:
M.G.L. c. 260, § 5B
Note:
Place successful applicants records with 4280 Scholarships, Fellowships, and Awards Recipient Records.
3820
Scholarships, Fellowships, and Awards Establishment Records
This series provides a record of the establishment of individual awards sponsored by Harvard and administered by the office. The series may also document Harvard's endorsement process for other awards.
Records include discussion notes, proposals, minutes, contracts and agreements, award purpose descriptions, award conditions, administrative set-up details and procedures, account establishment documentation, and granting agency and donor relations records.
Retention Plan:
Transfer to archives after administrative use ceases.
3860
Scholarships, Fellowships, and Awards Summary Records
This series provides a summary of individual awards as administered by the office from the announcement to award completion.
Records include award announcements, sample application forms, procedures for the committee, lists of applicants, lists of recipients, granting agency relations documentation, special issues or circumstances records, and policy and procedures memos.
Retention Plan:
Transfer to archives after administrative use ceases.

Contact Search FAQ Forms
Harvard seal
Records Management Services
Harvard University Library