Retention Guidelines

Introduction

The following records retention guidelines provide recommendations for the disposition of records and information used in the administration and management of Duke University Medical Center (DUMC) [e.g. the Duke University Health System (DUHS), the Duke University School of Medicine (SOM), the Duke University School of Nursing (SON).]

They also keep DUMC offices functioning day-to-day. Therefore, they can be routine and business-like in nature.

These guidelines apply to DUMC records and data stored on any and all media. These guidelines do not obligate an office to create records that did not previously exist.

Using the Retention Guidelines

The Retention Guidelines identify minimum retention periods for several categories of DUMC records.

A title and brief description of the contents of each series identifies the information or data to be disposed of following the recommended retention period. DO NOT dispose of any records or data if an investigation, legal action or proceeding, audit or program review is forthcoming or in progress.

Following the minimum retention period, the records in question should be disposed of according to the recommendations in these guidelines.

In some cases, it is important to destroy information using a method that preserves its confidentiality. (This excludes records identified for permanent retention.) Duke University Medical Center Archives (DUMCA) maintains contact with a Duke approved vendor for confidential shredding. For more information, contact DUMCA staff at 919-383-2653 or dumc.archives@mc.duke.edu for assistance.

DUMCA staff will review the retention guidelines for administrative and management records periodically and will issue revisions as necessary.

If you maintain administrative and management records that are not identified in these guidelines, contact DUMCA staff at 919-383-2653 or dumc.archives@mc.duke.edu for assistance.

Off-Site Storage

In most cases, offices responsible for maintaining records do not have adequate space to store them beyond one or two years. The DUMCA cannot accept records prior to the end of their recommended minimum retention period, or while otherwise still active or in use by the office, but vendors have been approved by Duke to provide off-site storage for these records until disposition. For more information about Duke approved vendors for off-site storage, contact the DUMCA at 919-383-2653 or dumc.archives@mc.duke.edu.

If records must be moved to an off-site storage location consider the following needs:

  • access and retrieval — including frequency of retrieval, emergency access needs and potential costs associated with getting to the records
  • environmental conditions that provide stable and friendly conditions for the records
  • security systems that prevent unauthorized access to the records
  • filing systems that permit the rapid retrieval of records via a logical index, box list or similar finding aid
  • overall physical and intellectual control over the records for which you are the guardian

Abbreviations and Definitions

  • Administrative Value: the usefulness of a record in the conduct of the office’s business
  • DUMCA: Duke University Medical Center Archives
  • Minimum Retention: the minimum amount of time a particular series of records should be retained prior to disposition
  • Permanent: an indefinite retention period; signifies that the records have sufficient value or importance to justify keeping them in perpetuity. Permanent retention also may be based on legal requirements or demonstrated and justifiable need. Long-term or permanent retention of electronic records requires resources for data migration, ensuring the integrity and trustworthiness of the data and addressing hardware/software obsolescence. An office should consider the long-term availability of its resources prior to expressing an interest in retaining information permanently. DUMCA is the official repository for information with historical or enduring value.
  • Records: all recorded information, regardless of its physical form or characteristics, created or received pursuant to the transaction of university business or in the fulfillment of its educational, administrative, business or legal obligations
  • Record Series (or Series):  a group/set of identical or related records, information or data that are normally used and filed or stored as a logical unit; synonymous with data set

    • Accounting records

      Description:
      Duke University has put into place guidelines in order to standardize retention of accounting documents, designating specific retention periods, as well as official methods and locations for storage. Types of materials include, but are not limited to, account reconciliations, banking records, and payroll records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer records of permanent value to custody of the Medical Center Archives. Consult GAP 200.240, Retention Period Of Accounting Documents for more information.

    • Accreditations File

      Description:
      Records concerning office, department, center, or program accreditation. File may include correspondence, reports, questionnaires, guides, and other related records.
      Creation Frequency:
      Annually.
      Restrictions:
      No restriction on publicly released documents, otherwise restricted 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Administrative File

      Description:
      Records concerning the administration of the office, department, center, or program. File may include reports, memoranda, correspondence, directives, and other records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Administrative Officer File

      Description:
      Records maintained by the administrative officer concerning programs and activities. File may include correspondence, memoranda, reports, directives, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Audit Reports File

      Description:
      Office, department, center, or program audit reports and related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Board of Trustees File

      Description:
      Board minutes, reports, and related materials.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 50 years from date of creation.
      Minimum Retention Period:
      Retain minutes in office until no longer administratively necessary. Retain remaining materials in office 7 years.
      Recommended Disposal of Records:
      Destroy minutes in office when administrative value ends. Transfer remaining materials to custody of the DUMCA after the minimum retention period

    • Budgets File

      Description:
      Records concerning office, department, center, or program budget. File may include proposals, approved budgets, budget reports, requests for budget changes, budget authorizations, accounting information, breakdowns of allocations by line item, correspondence, reports, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 5 years.
      Recommended Disposal of Records:
      Transfer final budget reports to the custody of the DUMCA. For other budget files, follow guidelines as outlined in GAP 200.240, Retention Period Of Accounting Documents and consult with DUMCA staff at 919-383-2653 or dumc.archives@mc.duke.edu for assistance for records not listed.

    • Calendars of Events File

      Description:
      Reference copies of university calendars of events.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access.
      Minimum Retention Period:
      Retain until superseded or obsolete.
      Recommended Disposal of Records:
      Destroy in office when administrative value ends.

    • Class Schedules File

      Description:
      Record copies of department or program class schedules.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Committees and Councils File

      Description:
      Records concerning various committees and councils with which office, department, center, or program deals. File may include minutes of meetings, reports, notifications, correspondence, and other pertinent records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Conferences and Workshops Attended File

      Description:
      Records concerning conferences and workshops attended by office, department, center, or program personnel. File may include correspondence, agendas, programs, handouts, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Destroy in office when reference value ends

    • Conferences and Workshops Conducted File

      Description:
      Records concerning conferences and workshops conducted by the office, department, center, or program. File may include correspondence, agendas, programs, reports, training materials, handouts, reservations, critiques, questionnaires, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Contracts, Agreements, and Leases File

      Description:
      Contracts, agreements, and leases for services, facilities, and equipment used by office, department, center, or program.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 3 years after termination of agreement/contract if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, retain in office until the completion of action and
      Recommended Disposal of Records:
      Destroy in office when administrative value ends.

    • Correspondence File

      Description:
      Official office correspondence.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Course Listings File

      Description:
      Listings of courses currently offered by department or program.
      Creation Frequency:
      Annually
      Restrictions:
      No restriction on access.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Course Syllabi/Outlines File

      Description:
      Syllabus or outline of each course offered by department or program.
      Creation Frequency:
      Annually
      Restrictions:
      No restriction on access.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Course Title Directory File

      Description:
      Directory of courses currently offered by the department or program.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Departmental Programs File

      Description:
      Records concerning academic programs of the various departments within the office, department, center, or program. File may include additions, changes, or deletions in existing programs.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Departmental Reports File

      Description:
      Record copies of departmental reports.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years. Retain drafts only if major changes occur from one draft to the next.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Faculty Awards and Honors File

      Description:
      Records concerning awards and honors to faculty members within the office, department, center, or program. File may include recommendations, approvals, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain records in office 10 years or until the award/honor becomes official.
      Recommended Disposal of Records:
      a. Transfer records concerning each individual award/honor to appropriate individual's personnel file when award/honor becomes official.; b. Destroy in office remaining records after 10 years.

    • Faculty Listings File

      Description:
      Listings of office, department, center, or program faculty.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when reference value ends.

    • Faculty Publications File

      Description:
      Reference copies of articles and books written by departmental faculty members.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when reference value ends.

    • Grants File

      Description:
      Records concerning grants awarded to and/or administered by office, department, center, or program. File may include administrative documents, reports, regulations and guidelines, correspondence, audits, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when reference value ends.

    • Grants Proposals File

      Description:
      Proposals for office, department, center, or program grants.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when reference value ends.

    • History File

      Description:
      Records concerning the history of the office, department, center, or program. File may include publications, newsletters, reports, correspondence, photographs, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when reference value ends.

    • Honor Societies File

      Description:
      Records concerning the office, department, center, or program dealings with academic honor societies.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Master Courses File

      Description:
      Records concerning each course taught by office, department, center, or program faculty. File may include course schedule.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • New Course Proposals File

      Description:
      Records concerning each proposed new course. File may include course descriptions, justifications, projected schedules, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • News Media Clippings File

      Description:
      Reference copies of news media and magazine clippings concerning department.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Organizations and Associations File

      Description:
      Records concerning various faculty, student, and professional organizations and associations with which the office, department, center, or program deals. File may include correspondence, reports, publications, minutes, announcements, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 5 to 7 years.
      Recommended Disposal of Records:
      Transfer correspondence and reports to the custody of the DUMCA for appraisal and final disposition. Destroy remaining records in office.

    • Photographs File

      Description:
      Photographic prints and negatives of office, department, center, or program-related subjects.
      Creation Frequency:
      Annually
      Restrictions:
      No access on restrictions
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives identified prints and negatives after 7 years.

    • Policies and Procedures File

      Description:
      Record copies of current office, department, center, or program policies and procedures.
      Creation Frequency:
      Annually
      Restrictions:
      No restriction on access.
      Minimum Retention Period:
      Retain in office until superseded or obsolete.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives when superseded or obsolete.

    • Publications File

      Description:
      Reference copies of office, department, center, or program publications.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access
      Minimum Retention Period:
      Retain in office until no longer administratively necessary.
      Recommended Disposal of Records:
      Transfer 2 copies of original publication to the DUMCA at time of publication. Destroy remaining copies in office when administrative value ends.

    • Reference File

      Description:
      Reference information concerning subjects pertinent to or of interest to the office, department, center, or program. File may include publications, reports, directives and guidelines, news articles, and other material.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access
      Minimum Retention Period:
      Retain in office until superseded or obsolete.
      Recommended Disposal of Records:
      Destroy in office when superseded or obsolete.

    • Search Committees File

      Description:
      Records concerning activities of specially-formed search committees charged with recruiting new or replacement faculty members. File may include correspondence, resumes, applications, and other related records.
      Creation Frequency:
      Term appointed.
      Restrictions:
      Access restricted for 70 years from date of creation.
      Minimum Retention Period:
      Retain records pertaining to searches for senior staff or other searches requiring long-term retention (if no litigation is pending) in office 5 to 7 years or until no longer administratively necessary. Retain all other records in office 7 years after app
      Recommended Disposal of Records:
      Transfer record copies to DUMCA for searches of senior staff or other searches requiring long-term retention (if no litigation is pending). Destroy all other records in office.

    • Self-Studies File

      Description:
      Records concerning various self-studies conducted by the office, department, center, or program.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Special Gifts File

      Description:
      Records concerning special gifts to department. File may include correspondence, agreements and stipulations, descriptions of gifts, accession information, and other related records. (Comply with applicable provisions of legal agreement regarding confidentiality of records concerning each gift.)
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain records concerning gifts from donors who by condition of gift wish to remain anonymous in office 2 years. Retain remaining records in office 15 years.
      Recommended Disposal of Records:
      Transfer records concerning gifts from donors who by condition of gift wish to remain anonymous to the custody of the DUMCA for permanent retention with restricted access. Transfer remaining records to the custody of the DUMCA for appraisal and final disposition.

    • Speeches File

      Description:
      Record copies of speeches delivered.
      Creation Frequency:
      Annually
      Restrictions:
      No restrictions on access.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Sponsored Research Projects File

      Description:
      Records concerning various office, department, center, or programal research projects. File may include reports, correspondence, project descriptions, and other related records.
      Creation Frequency:
      Annually
      Restrictions:
      Closed without permission.
      Minimum Retention Period:
      Research Records must be maintained a minimum of six years after the research is completed and the study closed with the IRB.; Records may need to be kept longer if other requirements apply.; Researchers must comply with the longest applicable standard as
      Recommended Disposal of Records:
      Consult with DUMCA staff at 919-383-2653 or dumc.archives@mc.duke.edu for specific review and appraisal.

    • Staff Meetings File

      Description:
      Records concerning, office, department, center, or program staff meetings.
      Creation Frequency:
      Annually
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.

    • Task Force File

      Description:
      Records generated by Chair appointed or charged task forces. File may include minutes of meetings, reports, notifications, correspondence, and other pertinent records.
      Creation Frequency:
      Term appointed.
      Restrictions:
      Access restricted for 25 years from date of creation.
      Minimum Retention Period:
      Retain in office 7 years.
      Recommended Disposal of Records:
      Transfer to the custody of the Medical Center Archives after 7 years.