Student Affairs records
Career Center and Career Counseling Services
Counseling and Psychological Services
Residence Life and Housing Services
Student Activities and Facilities
Student Groups, Clubs, and Organizations
Student Health Services
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Introduction
The following records retention guidelines provide recommendations for the disposition of records and information concerning Duke University student affairs. Student affairs encompasses many aspects of undergraduate and graduate student life and activities at the University. The records identified in these guidelines document those functional areas and other co-curricular activities in which students are involved.
These guidelines apply to student affairs records and data stored on any and all media.
Privacy
In accordance with the Family Education Rights and Privacy Act (FERPA, 20 USC §1232g), students may inspect their education records. In addition, FERPA limits disclosure to others of personally identifiable information from education records without the student’s prior written consent. Finally, FERPA provides students the opportunity to seek correction of their education records where appropriate. For more information on FERPA and the release of students’ information, visit http://www.registrar.duke.edu/.
Some records related to student affairs contain private health information and are subject to the provisions of the Health Insurance Portability and Accountability Act of 1996 (HIPAA, Public Law 104-191). For more information on HIPAA and the protection of private health information, visit http://www.dukehealth.org/about_duke/about_website/privacy/hipaa.
Fiscal Records
Much of the information used in the management and oversight of student affairs is financial in nature. Procedures for disposing of accounting records are in General Accounting Procedure 200.240.
Using the Retention Guidelines
The Retention Guidelines identify minimum retention periods for several categories of student affairs records. Those categories include:
- Career Counseling Services —records of symposia and events for students seeking jobs, as well as career counseling activities;
- Counseling and Psychological Services —records that document counseling/therapy provided to students;
- Dean of Students Office —records that document activities of Greek organizations, student disciplinary activities, and student support and advocacy;
- Residence Life and Housing Services —records of housing services and residence life programs for undergraduate and graduate students, as well as faculty-in-residence;
- School of Medicine -- records of advising and evaluative activities;
- Student Activities and Facilities—records that document the integration of academic and co-curricular sides of the University;
- Student Groups, Clubs, and Organizations--records that document activities, accomplishments, and membership of student groups and organizations;
- Student Health Services —medical and laboratory records for Duke students who visit the Student Health Center; and,
- Administrative and programmatic records of numerous centers or programs that address students’ needs and issues, which are covered by retention
guidelines for administrative and management records.
Following the minimum retention period, sensitive records should be destroyed using a method that preserves the confidentiality of the information. (This excludes records identified for permanent retention.) Duke University maintains contracts with several shredding facilities; visit Procurement Services’ website at http://www.procurement.duke.edu/ for more information. Nonsensitive records can be recycled.
A series 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.
If you maintain records that are not identified in these guidelines, visit http://library.duke.edu/uarchives or call 919-684-6181 for assistance.
Off-site Storage
In many 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; and,
- The 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
CAP —College of American Pathologists; recommends minimum requirements for the retention of laboratory records and materials
CLIA —Clinical Laboratory Improvement Amendments (42 CFR 493)
FERPA --the Family Education Rights and Privacy Act (20 USC §1232g)
Minimum Retention —the minimum amount of time a particular series of records should be retained
NCGS —North Carolina General Statutes
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 commits an office’s resources to 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: Student Affairs
This category of records supports the many programs and departments that serve students’ academic, social, personal, and community needs. The records may document campus life, housing, student health, student groups, or other co-curricular activities.
Primary Heading: Career Center and Career Counseling Services —Records used to support the Center and its events and programs for students, alumni, and employers
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Career Advising Team (CATS) records | Applications, progress reports, and aggregate data and summary reports concerning this voluntary student counseling program | Administrative value ends; transfer summary reports to Archives | Destroy remaining records when administrative value ends |
| Career counseling records | Database of career counseling provided to students and alumni | 5 years after graduation/date of last attendance or 5 years after date of last contact, whichever occurs later | |
| Career fairs | Records concerning Career Week, PhD symposia, etc. May include web-based panelist biographies, panel descriptions, and registrations | Update as necessary | Also see retention guidelines for Administrative and Management Records, Program Administration and Management |
| Credentials file | Letters of recommendation, registration forms, waivers, etc. | 10 years after graduation/date of last attendance | Maintained for graduate students and alumni of graduate schoo |
Primary Heading: Counseling and Psychological Services --Records that document the provision of evaluation or counseling/therapy.
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Client files | Records of counseling activities with students who visit Counseling and Psychological Services | 30 years after date of last service if not involved in official action | Retention period follows DUHS guidelines (per Office of University Counsel) |
Primary Heading: Dean of Students Office —Records that document activities of Greek organizations, student disciplinary activities, and student support and advocacy.
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Annual reviews (Greek organizations) | Programmatic summaries, reports, and correspondence for Greek organizations and living groups | Administrative value ends; transfer to Archives | |
| Chapter files | Records of activities with fraternities and sororities; includes correspondence, minutes, by-laws, rosters, adjudicated cases concerning Greek groups, photographs, etc. | 5 years; transfer to Archives | |
| Crime statistics | Crime statistics compiled and forwarded to University Police | 3 years | Clery Act (20 USC 1092(f)) |
| Disciplinary hearings | Reports or complaints, notifications, hearing summaries, tape recordings of hearings, and similar records concerning disciplinary hearings for students | 8 years following date of involved students' matriculation | Demographic data, affiliations, violations and sanctions, and related data are also maintained electronically FERPA |
| Disciplinary statistics | Annual statistical summaries of disciplinary activities | 5 years; transfer to Archives | |
| Governance files | Records concerning activities with governance groups (Interfraternity Council, National Pan-Hellenic Council, Duke Pan-Hellenic Association, and Inter-Greek Council) | Administrative value ends; transfer to Archives | |
| Mediation files | Consultation documents, resolutions, etc. | 4 years | |
| Student data cards | Cards for each student containing information about disciplinary actions | 4 years |
Primary Heading: Residence Life and Housing Services —Records concern the primary functions of the office as it manages student housing and residence activities.
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Applications and license agreements | May also include correspondence, records of student housing assignments, etc. | 5 years after graduation/date of last attendance | |
| Space utilization (dormitories and apartments) | May include plans, copies of work requests, copies of construction/renovation drawings | Drawings--life of structure
plans and other records--administrative value ends |
Some of these records may be duplicated in the Facilities Management Department or the Office of the University Architect |
| Staffing records (faculty-in-residence) | Agreements, status reports, and other records concerning Faculty-in-Residence program | 3 years after faculty member's commitment expires | |
| Student residential staff records (R.A.s, G.A.s) | Agreements with resident assistants and graduate assistants; may also include status reports | 5 years after graduation/date of last attendance | |
| Student assessment data | Assessment data from surveys of student satisfaction with residence life or housing | Administrative value ends; transfer summary reports to Archives
Destroy statistical data following analysis and compilation in summary report, and when administrative value ends |
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Primary Heading: School of Medicine --Records which support advising and counseling of medical students, as well as evaluative activities and application to residency programs.
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Advisors' records | Notes, correspondence, etc. maintained by advisory deans | 1 year after graduation/date of last attendance | FERPA |
| Evaluative materials | Evaluative information used to write medical student performance evaluations (MSPE) | Until MSPE is filed with academic record | FERPA |
| Residency application records | Letters of recommendation used in the residency application process | 5 years after graduation/date of last attendance | FERPA |
Primary Heading: Student Activities and Facilities —Records which support leadership development, personal development, and experiential learning for students and student organizations.
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
|
Clubs and organizations (database) |
Database of student clubs and organizations for which the office provides oversight and guidance |
Update as necessary; transfer summary report to Archives annually |
Data fields include name of group, status, charter date, current leaders, and current advisor |
|
Event Planning Registration (database) |
Database of social events held by groups, clubs, and organizations |
Update as necessary; transfer summary report to Archives annually |
Data fields include event description, logistical information about event, number of attendees, etc. |
|
Financial records (student groups, clubs, and organizations) |
Follow General Accounting Procedure 200.240 for disposition of fiscal records | ||
| Registrations and renewals | Annual registration and renewal records submitted by student clubs and organizations | Superseded or obsolete | |
| Student groups (advising) | Records of advising activities with student groups, clubs, and organizations | 3 years; transfer to Archives |
Primary Heading: Student Groups, Clubs, and Organizations --Records created or maintained by student groups, clubs, and organizations to document their activities, accomplishments, and membership
These guidelines are not a requirement to create a record that is not already created by the group. Instead, they list the types of records a group might maintain. Excluding records that can be destroyed, the Archives recommends preserving any
documentation of a group's activities, such as:
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
|
Activity reports |
Summary or activity reports detailing goals achieved, general activities, special events, etc. |
1 year; transfer to Archives |
|
|
Budget records |
Proposed expenditures and receipts, including reports of spending activity, expenditures, and receipts for the group or organization |
3 years; destroy |
Office of Student Activities & Facilities maintains records of expenditures and receipts for the group or organization; also see "Funding requests" |
|
Bylaws or Constitution |
Documents that establish the group or organization | Superseded; transfer to Archives | |
| Committee and task force records | May include minutes, reports, member lists, etc. | 1 year; transfer to Archives | Transfer only those records created by committees of the student group or organization |
| Correspondence | Correspondence to and from administrators, campus leaders, group affiliates, other groups, etc. | 1 year; transfer to Archives | |
| Funding requests | Requests for funds made or received by the group or organization | 1 year after request is funded or denied; destroy |
Office of Student Activities & Facilities maintains records of expenditures and receipts for the group or organization; also see "Budget records" |
| Goals and objectives (plans) | Action or strategic plans for meeting goals or objectives | 1 year; transfer to Archives | |
| Member lists | Lists of members, officers, committee members, etc. | 1 year; transfer to Archives | |
| Minutes of meetings | Includes agendas and any attachments | 1 year; transfer to Archives | |
| Photographs | Photographs of activities, events, or members | 1 year; transfer to Archives | When possible, events, activities, or people in photos should be identified. Remove all photos from frames. Do not send large composites (head shots), but smaller versions are acceptable if members are identified. Contact the Archives prior to transferring digital photos. |
| Publications | Handbooks, manuals, brochures, scrapbooks, etc. generated by the group or organization | 1 year; transfer to Archives | See "Reference materials" for publications received from other sources |
| Reference materials | Assorted publications, "fyi" copies, widely distributed brochures, copies of reports from other bodies, etc. | Reference value ends; destroy | If in doubt about what constitutes reference materials, contact the Archives |
| Registrations and renewals | Registrations or renewals for recognition/affiliation as a student group or organization | Superseded or obsolete; destroy | May be submitted annually to Office of Student Activities & Facilities or Graduate & Professional Student Council |
| Resolutions | Resolutions or other legislation enacted by the group | 1 year; transfer to Archives | |
| Website content | The information listed above may reside on a group-supported website. It may be contained in html or similar files and consist of text, images, or other file formats | Superseded or obsolete | Contact Archives |
Primary Heading: Student Health Services —Records created from the provision of clinical care, health promotion, and health education to Duke
University students
| Series Title | Content | Minimum Retention | Notes |
|---|---|---|---|
| Controlled drug discrepancy forms | 5 years | ||
| Drug destruction and disposal records | 3 years | ||
| HIPAA-required records |
May include: Records of uses and disclosures of protected health information (PHI) Patient authorizations to disclose PHI Requests for amendment of PHI Patient requests for restriction on use/disclosure of PHI, including correspondence regarding the request Complaints by patient regarding policies and procedures or compliance with HIPAA Policies and procedures concerning privacy regulations and security standards, etc. Documentation of all business associate agreements required under HIPAA Documentation of training materials and documentation that training required under HIPAA has been provided Documentation of any sanctions resulting from a violation of HIPAA Documentation of the privacy official responsible for policies and procedures, and the titles/offices of those responsible for processing requests for access amendments and disclosures (as well as for receiving complaints) |
6 years from date of creation | HIPAA and 45 CFR 164.530(j); also seehttp://www.dukehealth.org/Privacy/HIPAA |
| Inventory, perpetual and periodic | May include annual narcotic inventory | 3 years after audit | |
| Laboratory accession logs | 2 years | CLIA, CAP | |
| Laboratory maintenance | Includes records documenting instrument maintenance | 2 years | CLIA, CAP |
| Laboratory quality control records | 2 years | CLIA, CAP | |
| Medical records (Duke students) | Medical records of Duke students who visit Student Health Services; includes clinic notes, immunization records (health history forms), lab reports, radiological records (x-rays), other physicians' notes, referrals, etc. | 30 years after date of last service if not involved in official action; scanned paper records may be destroyed following quality control procedures and backup of data | NCGS 130A-155.1, HIPAA, FERPA
Retention period follows DUHS guidelines (per Office of University Counsel) |
| Medication storage inspection reports | 3 years | ||
| Narcotic records | May include usage, dispensing, and inventory records | 3 years after audit | |
| Patient test records (laboratory) | 2 years | CLIA, CAP | |
| Perpetual narcotic inventory records | 3 years after audit | ||
| Pharmacy board registrations | Permanent | ||
| Pharmacy daily audit logs | 3 years | ||
| Pharmacy sales analysis reports | Administrative value ends | ||
| Prepackaging logs | 5 years | ||
| Prescription files for Schedule II narcotics | 5 years | ||
| Prescription orders | 3 years after audit | ||
| Samples | Laboratory samples and specimens | Follow CAP guidelines | |
| Schedule II invoices and receiving records | 5 years |
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