A pdf version of these guidelines is available here.
Please contact the Records Manager at hillary.gatlin@duke.edu or 919-684-8066 with any questions.
Franklin Humanities Institute Records Retention Guidelines
Introduction:
The following records retention guidelines provide recommendations for the disposition of records created and used in the Franklin Humanities Institute. These university records document the business and functions of the Franklin Humanities Institute. Many of these records have been identified as having historical value and should be transferred to the University Archives for appropriate long-term preservation and storage.
These records retention guidelines apply to FHI records and data regardless of format.
In addition to these specific guidelines, student records, fiscal records, and human resources records are subject to additional guidelines. For more information on records management, please visit Records Management at Duke.
Please note that if an investigation, legal action or proceeding, audit or program review is forthcoming or in progress, the records retention guidelines are suspended until the proceeding/review is resolved. 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 have questions regarding these guidelines, please contact the Records Manager at hillary.gatlin@duke.edu or 919-684-8066.
Franklin Humanities Institute Records Retention Guidelines
(Effective October 9, 2019)
| Records Type and Description | What Should I Do With It? | Additional Notes |
| Reports: includes annual reports, program reports from labs/affiliated centers, and special reports | Retain in office for 5 years, then transfer to the Archives. | Restricted for 25 years per University policy |
| Strategic Planning: includes plans and other internal documentation related to long-term planning of FHI | Retain in office for 5 years, then transfer to the Archives. | Restricted for 25 years per University policy |
| Policies and Procedures: includes policies, procedures and by-laws governing FHI | Retain in office until superseded by updated version, then transfer to the Archives. | Restricted for 25 years per University policy |
| Director's Correspondence: includes correspondence related to policies/procedures and business decisions. Excludes personal or transitory correspondence. | Retain in office until no longer administratively necessary, then transfer to the Archives. | Restricted for 25 years per University policy |
| Budget Reports: Final budget reports only | Retain in office for 5 years, then transfer to the Archives. | Restricted for 25 years per University policy. For retention of other financial records, see the Fiscal Records Retention guidelines. |
| External Review Reports | Retain in office for 5 years, then transfer to the Archives. | Restricted for 25 years per University policy |
| Grant Proposals: Final reports and narratives | Retain in office until grant is completed, then transfer final copy to the Archives. | Restricted for 25 years per University policy |
| Grant Proposals: financial and cost reporting | Retain 3 years after date of submission of final expenditure report, then destroy. | See Fiscal Records Retention Guidelines for more details. |
|
Faculty Proposals: Accepted These are proposals for sponsoring/creating programs with FHI (e.g. Humanities Labs), awards, fellowships, working groups, book workshops, seed grants, and other opportunities. This does not refer to personnel applications, such as hiring and search committees. |
Retain in office for 5 years, then transfer to the Archives. | Restricted for 25 years per University policy |
|
Faculty Proposals: Rejected These are proposals for sponsoring/creating programs with FHI (e.g. Humanities Labs), awards, fellowships, working groups, book workshops, seed grants, and other opportunities. This does not refer to personnel applications, such as hiring and search committees. |
Retain in office for 5 years, then transfer to the Archives. | |
| Publications: publications created by FHI. Can include but is not limited to: newsletters, brochures, websites | Retain in office 1 year, then transfer final copy to the Archives when finished. | Websites may be crawled by Archives Archive-IT account. To add new websites to the crawl, please contact the Records Manager. |
| Event Materials: includes records related to Duke-related programs and events. Can include such items as agendas, flyers, programs, presentations, and clippings. | Retain in office for 2 years, then transfer to the Archives. | Does not include financial records, such as invoices. See Fiscal Records Retention Guidelines for retention of those documents. |
| Media Materials: includes media created and prepared by FHI staff. Can include videos, audio files, and photographs | Retain in office 1 year, then transfer final copy to the Archives. | Archives will accept final videos only. Contact Records Manager for more information on transfer of video and recommended formats. |
| Student Applications: Undergraduate Students | Retain in office for 3 years, then proceed with destruction. | See Student Records Retention Guidelines for more details. |
| Student Applications: Graduate Students | Retain in office for 5 years, then proceed with destruction. | See Student Records Retention Guidelines for more details. |
| Manuscripts: Includes final copy of manuscripts published by FHI | Transfer to Archives 5 years after publication. | |
| Contracts/Releases: related to publication of manuscripts and other works | Retain in office until no longer administratively necessary, then destroy. |
These guidelines will be reviewed as needed by both the University Archives and the Franklin Humanities Institute. Changes will be approved by both the University Archives and the Franklin Humanities Institute.
