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:
      Accounting records 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:
      Accreditations File 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:
      Administrative File 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:
      Administrative Officer File 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:
      Audit Reports File 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 of Trustees File 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:
      Budgets File 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:
      Calendars of Events File 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:
      Class Schedules File 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:
      Committees and Councils File 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.