Facilities Management Department Records

Records Retention Guidelines: DRAFT (June 2005)

Introduction

The following records retention guidelines provide recommendations for the disposition of records created or maintained during the routine maintenance and repair of campus facilities. They complement Facilities Management Department Standard Practice number 14, revision 1 (June 4, 2001).

These guidelines apply to facilities management records and data stored on any and all media. Neither do they apply to records or data sets not otherwise listed in the guidelines nor do they obligate an office to create a record or data set that previously did not exist.

  • Electronic Records: Facilities Management relies almost exclusively on electronic or "born digital" records created with word processing, computer aided drawing, spreadsheet, electronic mail, website authoring or database programs to carry out its business and activities. These guidelines attempt to recognize that a series may contain paper and electronic records. As electronic records are created, managed and stored throughout their life cycle of usefulness, these guidelines should serve as a general strategy for identifying basic retention needs for different sets of information.

Using the Retention Guidelines

The retention guidelines identify minimum retention periods for facilities management records. Records not identified in these guidelines should not be disposed of without first consulting the unit AD, the University Archives, or the Medical Center Archives. Records that are involved in an investigation, legal action or proceeding, audit or program review — whether forthcoming or in progress — should be retained until the resolution of those actions.

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 (excluding records identified for permanent retention) using a method that preserves its confidentiality. Duke University maintains contracts with several shredding facilities. For more information, visit Procurement Services.

The University Records Manager or University Archivist will review the retention guidelines for facilities management records periodically and will issue revisions as necessary and with the assistance of FMD staff.

If you maintain records that are not identified in these guidelines, contact the University Archives for assistance.

Off-Site Storage

In most cases, offices do not have adequate space to store records beyond one or two years following their administrative usefulness. 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

  • Archives: The University Archives or the 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. The University Archives or the Medical Center Archives 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

Duke University Records Retention Guidelines

Category Description: Facilities Management Department 

Primary Heading: Business Services

These are records concerning the maintenance, repair and minor alteration of virtually all campus facilities.

Series Title Content Minimum Retention Notes
account reconciliations - G/L accounts   current fiscal year + 2 years  
documentation of reconciliation of financial transactions   current fiscal year + 2 years  
financial statements (departmental copy) copies of financial statements current fiscal year + 1 year original in Accounting Services
gross pay distribution sheets   current fiscal year original in Corporate Payroll
invoices copies of invoices from uniform vendors 1 year Original in Accounts Payable
journal vouchers paper copies of journal vouchers current fiscal year + 1 year original in Accounting Services; original R3 entry supporting documentation has minimum retention of current fiscal year + 7 years
packing slips copies of packing slips attached to received goods 3 months  
procurement card documentation receipts, charge slips, statements, etc. current fiscal year + 7 years following period of usefulness, records may be stored off-site for remainder of retention period
timecards copies of timecards for biweekly employees current fiscal year + 1 year original in Corporate Payroll
work order accounting sheets top copy of accounting sheet used to log work orders completed by each employee and to determine billing for customers Original: Current fiscal year + 1 year; Supervisor's Copy: 1 year  

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Primary Heading: Construction Services

Series Title Content Minimum Retention Notes

construction project records

project specifications and drawings, CAD drawings, certificates of occupancy, change orders, certificates of substantial completion, financial records, etc.

financial records (follow guidelines in General Accounting Procedure 200.240; remaining records - permanent

See FMD Standard Practice #14, rev. 1, "File Retention, Storage and Destruction Procedure"

design and construction agreements   7 years after completion of project, if not involved in official action See FMD Standard Practice #14, rev. 1, "File Retention, Storage and Destruction Procedure"
notices to proceed issued to contractors 7 years after completion of project, if not involved in official action See FMD Standard Practice #14, rev. 1, "File Retention, Storage and Destruction Procedure"

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Primary Heading: Electrical Services

Series Title Content Minimum Retention Notes

contracts

copies of contracts relating to Electrical Services' construction projects

until no longer useful

original contracts in Construction Services

Electrical Services reference material and reports reference materials and reports concerning power outages, demand projections, etc. until no longer useful  
high voltage vendor database electronic database used to track standing orders with vendors, expenditures for electrical projects, etc. update as necessary; retain data until no longer useful  
meter readings database electronic database used to determine billing for usage and analyze campus growth update as necessary; retain data until no longer useful  
PCB reports reports detailing removal of electrical transformers and PCBs (polychlorinated biphenyls) permanent  
project files estimates, correspondence with contractors or project managers, purchasing records, copies of blueprints (as-builts and revisions), copies of permits, etc. created for electrical services and high voltage projects until no longer useful

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Primary Heading: Grounds, Sanitation and Recycling Services

Series Title Content Minimum Retention Notes
grounds/sanitation worker time records list time spent on litter control by employee; includes project code, vehicle number, etc. current fiscal year + 1 year data from these records is entered into the TRIMS database
moving and storage records ("p" forms) forms used to track materials moved and stored, as well as "owner" information and fund codes, into and out of FMD warehouse space 3 years  
quarry records summaries of stone taken from Duke's quarry (primarily tonnage) and delivered to project site, correspondence with masons and stone contractors, purchase orders, etc. destroy purchase orders after current year + 5 years; transfer remaining records to Archives when administrative value ends University Archives has documentation about the quarry in its "Buildings File"
sanitation tipping tickets landfill tipping tickets for sanitation and recycling deliveries 1 year  
TRIMS database electronic database containing equipment inventories and maintenance records, campus tree inventories, grounds and sanitation workers' time records and other related data.

update as necessary; retain data until no longer useful; destroy TRIMS reports when administrative value ends

 
vehicle records purchase and repair/maintenance records and vehicle registration records final disposition of vehicle/equipment records maintained by vehicle number

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Primary Heading: Maintenance Services

Series Title Content Minimum Retention Notes
7i work requests electronic work requests submitted via Datastream 7i system; each request identifies work request number, type, equipment, cost code, date created & reported, etc. archive when no longer useful; retain indefinitely  
as-built drawings copies of as-built drawings of facilities distributed to shops until no longer useful  
equipment and operating manuals   until no longer useful  
warranties warranties for equipment, roofing materials, etc. until expired and no longer useful  

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Primary Heading: Steam Plant Services 

Series Title Content Minimum Retention Notes

                               blueprints

hardcopy and digital copies of blueprints of steam plant facilities

                    until no longer useful

 
control systems data historical data collected from steam plant control systems, such as production, pressures, temperatures, etc. retain data until no longer useful  
deliveries database database containing information about fuel deliveries for the Steam Plant, such as tonnage, sulfur content, etc. update as necessary; retain data until no longer useful  
Environmental Protection Agency (EPA) reports reports concerning emissions, fuel consumption, sulfur content analyses and supporting data 2 years  
equipment and operating manuals   until no longer useful  
logs hourly and daily logs (paper and electronic) of steam plant readings Paper: 2 years; retain electronic data until no longer useful  
permits emissions permits issued by N.C. Department of Environment and Natural Resources Safety Office 5 years permits must be renewed every 5 years and are also on file with Occupational & Environmental
steam production and demand database database containing information about steam plant production and demand update as necessary; retain data until no longer useful