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[Chinese Year of the Ox]

University Archives : General Retention and Disposition Guidelines

(Version 2006)

These general guidelines offer recommendations on retention schedule for administrative records that are found in many of the offices and departments at HKUST. They are derived from business and archival practices currently in use by record centers and university archives. Officers from individual departments are asked to continuously work with Archives staff to modify the proposed retention schedule to reflect their administrative needs and to ensure that legal file retention requirements are observed for specific legal documents including those on audit procedures and reports, litigation, claims, negotiation and administrative review.

Documents produced by various offices are appraised and organized into general categories. Click on a category to view its specific guidelines, or consult the Index at the end of this document.

Accreditation Documents
Document type/Description Recommended retention period in originating office Final Disposition
Accreditation Documents Includes descriptive and background materials presented to an accrediting body, and accreditation reports prepared by the body.
Retain 5-7 years.
Transfer accreditation reports to the Archives for final appraisal and disposition.

Agreements And Contracts
Document type/Description Recommended retention period in originating office Final Disposition
Agreements And Contracts Includes formal agreements with other institutions and companies, and all contracts signed by by designated representatives of the University. Retain 12 years after expiration or termination of contract. Transfer originals to the Archives for final appraisal and disposition.

Audiovisual Materials
Document type/Description Recommended retention period in originating office Final Disposition
Audiovisual Materials of University Activities Includes photographs, audio tapes, videotapes, and other audio-visual recordings of major HKUST activities, like congregations, scholarly presentations and cultural talks, opening ceremonies of research institutes, visits of dignitaries, and major events of out-post centers. Held in PTC  temporarily. Send electronic copies to the Archives at the time of creation. Transfer originals to the Archives when adequate space is available.
Audiovisual Materials of Departmental Activities Includes photographs, audio tapes, videotapes, and other audio-visual recordings of significant departmental activities. Retain 3-5 years. Transfer to the Archives when the materials are no longer in active use. Some will be appraised by the Archives staff for permanent preservation.

Budget Records
Document type/Description Recommended retention period in originating office Final Disposition
Budget Records Includes all materials relating to the process of budget creation at university level, such as budget estimates and proposals, draft budgets, final budgets, and related notes and memoranda. Retain 7 years. Transfer one copy of the final budget for each year to the Archives for permanent retention.

Conference and Workshop Records
Document type/Description Recommended retention period in originating office Final Disposition
Conference and Workshop Records Includes brochures, schedules, proceedings and other materials relating to conferences, seminars or workshops sponsored by HKUST. Retain 1-3 years. Send 3 copies to the Archives at the time of distribution.
Conference Proceedings Includes proceedings of conferences, seminars or workshops sponsored by HKUST. Retain 1-3 years. Send a copy of proceeding to the Library for permanent retention at the time of distribution.

Circular Memos
Document type/Description Recommended retention period in originating office Final Disposition
Financial Circulars Includes numbered memoranda circulated by the Finance Office, which outline University policies on various financial matters. Retain at least 5 years after circulars have been superseded. Send copies of circulars to the Archives for permanent retention at the time of creation.
Personnel Circulars Includes numbered memoranda circulated by the Personnel Office, outlining University policies on personnel matters. Retain at least 5 years after circulars have been superseded. Send copies of circulars to the Archives for permanent retention at the time of creation.
Misc. Policy Memos Includes memoranda that are circulated to state or explain the official policy or procedures of the University or a specific department or office (e.g., the numbered memos issued by the President), except the numbered circulars issued by the Finance Office and the Personnel Office. Retain 5-7 years. Send copies of circulars to the Archives for permanent retention at the time of creation.
Misc. Circular Memos Includes all memos circulated to provide routine information to University staff (e.g., memos concerning Library or amenities opening hours). Does not include memoranda that are statements of official policy. Retain 3-5 years. No transfer required.

Correspondence of Senior Administrators (Rank of Department Heads or Above)
Document type/Description Recommended retention period in originating office Final Disposition
Routine Correspondence Includes routine letters of inquiry, incoming circular notices and advertisements, and other incoming and outgoing memos and letters concerning routine "housekeeping" matters. This does not include correspondence pertaining to the policies or procedures of the department or the university. Retain 1-3 years. No transfer required.
Non-Routine Correspondence  Includes incoming and outgoing letters, memos as well as emails relating to  major research projects at HKUST, curriculum development, departmental or university policies and procedures, relations with outside institutions, or other significant University projects or activities.
Retain 5-7 years. Transfer originals to the Archives for final appraisal and disposition.

Course Records
Document type/Description Recommended retention period in originating office Final Disposition
Syllabi Course syllabi, containing a list of course readings, lectures, assignments and exams. Retain 3-5 years. Transfer representative samples to the Archives every 5 years for final appraisal and disposition.
Course Evaluations Detailed evaluations filled out by students, and summary reports of these evaluations prepared by departments. Retain summary reports for 12 years. Send electronic copies of summary reports to the Archives at the time of creation, where a sample will be selected for permanent retention.
Examination Questions Examination questions of individual courses. Retain 1-3 years. Transfer a set of examination questions to the Archives for final appraisal and disposition.
Examination Answer Books Bluebooks in which students wrote their essays or answers. Retain 1-3 years. Transfer 3 sample bluebooks (the highest grade, lowest grade, and an average grade) of required courses every 5 years to the Archives for final appraisal and disposition.
Master Courses Schedules Schedule of courses offered in a semester. Information includes course descriptions, class schedule, course instructors' names and course quota.
Retain permanently. No transfer required.

Departmental and Committee Meetings Records
Document type/Description Recommended retention period in originating office Final Disposition
Department Heads Meetings Records Includes memos, minutes, attached papers, and other materials documenting the meetings of department heads. Retain 5-7 years. Send electronic copies of agenda and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.
Departmental Advisory Committees Records Includes correspondence, minutes, papers, reports, and other materials documenting the meetings of the committees and their recommendations to the departments. Retain 5-7 years. Send electronic copies of agenda and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.
Departmental Committees and Task Forces Records Includes memos, minutes, and other materials documenting the activities of committees that deal with specific areas of responsibilities or tasks for individual departments that are not directly related to the central function of the unit (e.g., staff committees, space committees, recruitment committees). Retain 5-7 years. Send an electronic copy and a print copy of annual and/or final reports at the time of creation to the Archives for permanent retention.
Departmental Executive and Administrative Committees Records Includes notes, agendas, minutes, reports and related materials generated by committees with responsibilities for the management or review of overall departmental activities or for activities that relate to the primary functions of the unit. Retain 5-7 years. Send electronic copies of agenda and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.
Departmental Staff Meetings Records Includes memos, minutes, notes and other materials documenting departmental staff meetings, other than those of department heads or senior staff. Retain 5-7 years. No transfer required.

Financial Records
Document type/Description Recommended retention period in originating office Final Disposition
Audit Reports Reports prepared on financial procedures and other matters by Office of the Internal Auditor. Retain 12 years. Transfer originals to the Archives for permanent retention.
Bills and Invoices Includes bills, invoices, and statements for items or services ordered by HKUST offices, departments or research institutes. Retain 7 years after the end of the fiscal year in which the documents were issued. No transfer required.
Petty Cash Records Ledgers, receipts and related records. Retain 7 years after the end of the fiscal year in which the records were created. No transfer required.
Purchase Orders Purchase Orders and related documentation, such as specification sheets. Retain 7 years after the end of the fiscal year in which the documents were issued. No transfer required.

Forms
Document type/Description Recommended retention period in originating office Final Disposition
Forms Blank forms used for inter-departmental or external transactions (e.g., employment applications). Retain 1-3 years after forms have been superseded.
Send one copy of each form to the Archives at the time of revision or creation.

Interdepartmental Committee Records
Document type/Description Recommended retention period in originating office Final Disposition
Interdepartmental Committee Records Includes agendas, minutes, papers and reports of committees appointed by administrative offices of the University with responsibilities that transcend the boundaries of a specific department. Retain 5-7 years. Send electronic copies of minutes and reports to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.

Personnel Files
Document type/Description Recommended retention period in originating office Final Disposition
Academic Applications Consists of CV's, letters of reference and support, related memoranda and other materials submitted with applications for Academic positions. Retain 5-7 years after staff is no longer in service. No transfer required.
Performance Appraisals Consists of completed performance appraisal forms for staff. Retain 5-7 years after staff is no longer in service. No transfer required.
Recruitment Files Consists of appointment letters; statements of policy, interview records, interview schedules, search committee records, bi-weekly statistical reports, selection reports, staff/position lists, position advertisements, and other materials documenting the recruitment activities. Retain 5-7 years. Transfer search committee records for senior academic or administrative positions (rank of Dean of School or above) to the Archives for final appraisal and disposition.

Publications and Promotional Materials
Document type/Description Recommended retention period in originating office Final Disposition
University Publications All publications produced in the name of the University. Includes printed materials, such as newsletters, books, manuals, brochures, leaflets, posters; audiovisual materials; and publications in electronic formats. These should include but are not limited to: Annual Report, Financial Statement, Academic Calendar, HKUST Newsletter, Genesis, Faculty Profile, Congregation programs and blank diplomas.
Retain sample copies for 5-7 years. Send electronic files (if applicable) and 3 copies of all printed materials, or 2 copies of each audiovisual production to the Archives at the time of distribution.
Departmental Publications All publications produced by offices, departments or research institutes. Includes printed materials, such as newsletters, books, brochures, posters; audiovisual materials; and publications in electronic formats. Retain sample copies for 5-7 years. Send electronic files (if applicable) and 3 copies of all printed materials, or 2 copies of each audiovisual production to the Archives at the time of distribution. Some will be selected for permanent retention.
Press Releases Official written statements disseminated to the press.
Retain 5-7 years.
Send an electronic copy to the Archives at the time of distribution.
Other Publications Publications directly related to the formation and development of the HKUST.

Two copies will be retained in the Archives.

Records of Research Activities
Document type/Description Recommended retention period in originating office Final Disposition
Articles Published by Faculty and Staff Include journal articles and conference papers written by faculty and staff. Retain 3-5 years. The author should send an electronic copy and a print copy of the final draft to Library's "Institutional Repository".
Books Published by Faculty Include research and professional books published by faculty members while employed at HKUST. Permanently retained in Library collection. The author should send a copy to the Library for permanent retention.
Grant Files Consists of grant proposals, reports, related correspondence, budget reports, progress reports, and other materials. For rejected proposals, 2-3 years. For funded proposals, 1 year after completion of project. Transfer application (or grant proposal), completion report (or progress report) and final financial report for funded projects to the Archives for permanent retention. Rejected proposals require secure destruction (e.g., shredding).
Patents Include original patents, patent applications and related documents. Retain 5-7 years. Send an electronic copy and a print copy of the patent to Library's "Institutional Repository". Transfer original patents to the Archives for permanent retention.
Technical Reports Include technical reports and working papers written by faculty and staff. Retain 5-7 years. The author should send an electronic copy and a print copy of the final draft to Library's "Institutional Repository".

Reports
Document type/Description Recommended retention period in originating office Final Disposition
Administrative Reports Includes departmental annual reports, planning reports, reports on major initiatives, reports by committees or task forces, and other reports summarizing the plans and activities of a department, office or research institute. Retain 5-7 years. Send electronic copies of reports to the Archives at the time of creation. Transfer originals to the Archives for final appraisal and disposition.

School Board Records
Document type/Description Recommended retention period in originating office Final Disposition
School Board Records Agendas, minutes, correspondence, reports, and other materials documenting the activities and recommendations of school boards. Retain 5-7 years. Send electronic copies of minutes and reports to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.

Student Records
Document type/Description Recommended retention period in originating office Final Disposition
Admission Data/Documents Includes applications for admission.
Retain permanently. No transfer required.
Enrollment Reports Monthly statistical reports on enrollment, broken down by school and by other variables. Retain 3-5 years. Send an electronic copy of reports to the Archives at the time of creation. Transfer originals to the Archives for final appraisal and disposition.
Graduation Checks Documents and reports showing progress towards academic degrees.
Retain permanently. No transfer required.
Students Surveys Files relating to surveys of students. Retain 3-5 years. Send an electronic copy of reports to the Archives at the time of creation. Transfer summary and final reports to the Archives for final appraisal and disposition.
Students' Transcripts Individual student's record of courses taken, grades and honors received, transfer and total credits, major and minor. Retain permanently. No transfer required.

Technical Drawings
Document type/Description Recommended retention period in originating office Final Disposition
Technical Drawings Includes working drawings of campus projects. Retain 1 year after completion of project. Transfer to the Archives the approved master plan, "as built" drawings, and sample elevations and detailed drawings of large scale projects.

Theses and Dissertations
Document type/Description Recommended retention period in originating office Final Disposition
Theses and Dissertations Includes Master Theses, Doctoral Dissertations, and student projects or field reports that fulfill a similar function in the granting of graduate degrees. Permanently retained. Deposit one copy to the Archives and one copy to the Library when available. Send an electronic copy to the Library's "Electronic Theses" database.

University Council Records
Document type/Description Recommended retention period in originating office Final Disposition
Records of University Council Meetings Includes agendas, minutes, papers, memoranda, correspondence, and other materials documenting the meetings of the Council. Retain 5-7 years. Send electronic copies of agendas, papers and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.
University Council Committees Records Includes agendas, minutes, papers, correspondence and other materials documenting the work of the committees. Retain 5-7 years, or until the dissolution of the committee. Send electronic copies of agendas, papers and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.

University Court Records
Document type/Description Recommended retention period in originating office Final Disposition
University Court Records Includes agendas, minutes, papers, memoranda, correspondence, reports, and other materials documenting the activities of the Council. Retain 5-7 years. Send electronic copies of agendas, papers and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.

University Senate Records
Document type/Description Recommended retention period in originating office Final Disposition
Records of Senate Meetings Includes agendas, minutes, papers, memoranda, correspondence, and other materials documenting the meetings of the Senate. Retain 5-7 years. Send electronic copies of agendas, papers and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.
Senate Committees Records Includes agendas, minutes, papers, correspondence and other materials documenting the work of the committees. Retain 5-7 years, or until the dissolution of the committee. Send electronic copies of agendas, papers and minutes to the Archives at the time of distribution. Transfer originals to the Archives for final appraisal and disposition.

Index

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last modified 08 September 2009
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