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.
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Fiscal Records: Some information used in the management and oversight of facilities is financial in nature. An office should follow procedures laid out in Financial Services’ General Accounting Procedure 200.240, Retention Periods for Accounting Records to dispose of fiscal records.
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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.
Duke University Records Retention Guidelines
Facilities Management Department
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 |
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" |
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 |
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 |
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 |
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 |
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:
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access and retrieval — including frequency of retrieval, emergency access needs and potential costs associated with getting to the records
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environmental conditions that provide stable and friendly conditions for the records
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security systems that prevent unauthorized access to the records
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filing systems that permit the rapid retrieval of records via a logical index, box list or similar finding aid
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overall physical and intellectual control over the records for which you are the guardian
Abbreviations and Definitions
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Administrative Value: the usefulness of a record in the conduct of the office’s business
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Archives: The University Archives or the Medical Center Archives
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Minimum Retention: the minimum amount of time a particular series of records should be retained prior to disposition
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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.
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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
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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
