Click here to jump directly to the Student Records Retention Guidelines.
The guidelines are also available in pdf format here.
For questions and concerns, contact the Records Manager.
Introduction
The following records retention guidelines provide recommendations for the disposition of Duke University student records. Those records represent many facets of each student’s career at Duke and are generated as part of the admissions process to document academic achievement and student advisement and to track student financial transactions.
Student records may exist in a number of formats, including paper, microfilm/fiche, or digital environments, such as the Oracle Campus Solutions student information system managed by the University Registrar and maintained by Student Information Services and Systems (SISS). These records retention guidelines apply to student records and data stored on any and all media. Please note that some University departments, such as the Medical School or the Law School, may maintain specific student records.
Using the Retention Guidelines
The Retention Guidelines identify minimum retention periods for several categories of student records.
Those categories include:
• Admissions Records for Applicants Who Do Not Enroll (Whether Accepted or Rejected)
• Admissions Records for Applicants Who Enroll
• General Records Related to Admissions and the Admissions Process
• Student Academic Records
• Student Record Electronic Data
• Publications, Statistical Data, and Institutional Reports
• Family Educational Rights and Privacy Act (FERPA) Records
• Federal Disclosure Records
• Federal Student Financial Aid (SFA) Records
These guidelines are based on AACRAO standards as well as University best practices. Student records not identified in the guidelines should not be disposed of without first consulting the University Registrar and the Duke University Archives. If you maintain student records that are not identified in these guidelines, contact the Duke University Archives for assistance.
Following the minimum retention period, the records in question 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. Get more information at Procurement Services.
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 student records or data if an investigation, legal action or proceeding, audit or program review is forthcoming or in progress.
The Records Manager, the University Registrar and record guardians in Duke University’s departments and schools will review the retention guidelines for student records periodically and will issue revisions as necessary.
Duke University Student Records Retention Guidelines
(Effective March 23, 2018)
Admissions Records for Applicants Who Do Not Enroll (Whether Accepted or Rejected)
Admissions Documents
|
Series Title |
Description |
Minimum Retention |
|
Admission Letters |
Notices of admission, waitlist, and denials |
1 year after application term |
|
Correspondence, relevant |
Correspondence relevant to student's acceptance or rejection |
1 year after application term |
|
Waiver of Rights of Access (admissions) |
Waiving right of access to admission letters of recommendation |
1 year after application term1 |
Application Materials
|
Series Title |
Description |
Minimum Retention |
|
Application for admission or readmission |
Admission application such as undergraduate, graduate, international, or non-degree/special admittance |
1 year after application term |
|
Credit by Examination |
Reports/scores on Advanced Placement, CLEP, PEP, etc. |
1 year after application term |
|
Entrance Examination Reports/ Test Scores |
Standardized test scores, such as ACT/SAT, LSAT, MCAT, GRE, TOEFL |
1 year after application term |
|
Medical Records |
i.e. immunization records |
1 year after application term |
|
Letters of Recommendation (admissions) |
may also include other evaluative records |
1 year after application term |
|
Military Documents |
|
1 year after application term |
|
Placement tests records/scores |
|
1 year after application term |
|
Test scores (other) |
1 year after application term |
|
|
Transcripts (high school or other colleges) |
1 year after application term2 |
International Student Documents
|
Series Title |
Description |
Minimum Retention |
Notes |
|
Alien Registration Receipt Card |
Evidence of admissibility as a permanent resident |
1 year after application term |
These records are maintained separate from the admission process. |
|
DS-2019 |
Certificate of eligibility for J1 visa status (formerly IAP-66) |
1 year after application term |
These records are maintained separate from the admission process. |
|
Employment Authorization (work permit), if granted |
|
1 year after application term |
|
|
I20 |
Certificate of eligibility for F1 Visa Status |
1 year after application term |
|
|
I94 Card (copy) |
Document issued to nonimmigrants, also known as Arrival Departure Record |
1 year after application term |
|
|
Passport number |
1 year after application term |
||
| Statement of Educational Costs | Estimate of total school year costs | 1 year after application term | |
| Statement of Financial Responsibility | Evidence of adequate financial resources | 1 year after application term |
1 Records for applicants who do not enter are not covered by FERPA. Any waiver would be in effect while the record is maintained.
2 Some documents from institutions in other countries may be original and therefore difficult or impossible for the applicant to replace. The records custodian may want to return these documents to the applicant rather than destroy them.
Admissions Records for Applicants Who Enroll
Admission Documents
|
Series Title |
Description |
Minimum Retention |
|
Admission Letters |
Notices of admission, waitlist, and denials |
3 years after graduation term or of last term of attendance |
|
Correspondence, relevant |
|
3 years after graduation term or of last term of attendance |
|
Waiver of Rights of Access (admissions) |
Waiving right of access to admission letters of recommendation |
3 years after graduation term or of last term of attendance |
Application Materials
|
Series Title |
Description |
Minimum Retention |
|
Application for admission or readmission |
Admission application such as undergraduate, graduate, international, or non-degree/special admittance |
1 year after first term of enrollment |
|
Credit by Examination |
Reports/scores on Advanced Placement, CLEP, PEP, etc. |
3 years after graduation term or of last term of attendance |
|
Entrance Examination Reports/ Test Scores |
Standardized test scores, such as ACT/SAT, LSAT, MCAT, GRE, TOEFL |
3 years after graduation term or of last term of attendance |
|
Medical Records |
i.e. immunization records |
3 years after graduation term or of last term of attendance |
|
Letters of Recommendation (admissions) |
may also include other evaluative records |
Until admitted |
|
Military Documents |
|
3 years after graduation term or of last term of attendance |
|
Placement tests records/scores |
|
3 years after graduation term or of last term of attendance |
|
Test scores (other) |
3 years after graduation term or of last term of attendance | |
|
Transcripts (high school or other colleges) |
3 years after graduation term or of last term of attendance |
International Student Documents
|
Series Title |
Description |
Minimum Retention |
|
Alien Registration Receipt Card |
Evidence of admissibility as a permanent resident |
3 years after graduation term or of last term of attendance |
|
DS-2019 |
Certificate of eligibility for J1 visa status (formerly IAP-66) |
3 years after graduation term or of last term of attendance |
|
Employment Authorization (work permit), if granted |
|
3 years after graduation term or of last term of attendance |
|
I20 |
Certificate of eligibility for F1 Visa Status | 3 years after graduation term or of last term of attendance |
|
I94 Card (copy) |
Document issued to nonimmigrants, also known as Arrival Departure Record |
3 years after graduation term or of last term of attendance |
|
Passport number |
3 years after graduation term or of last term of attendance | |
| Statement of Educational Costs | Estimate of total school year costs | 3 years after graduation term or of last term of attendance |
| Statement of Financial Responsibility | Evidence of adequate financial resources | 3 years after graduation term or of last term of attendance |
General Records Related to Admissions and the Admissions Process
|
Series Title |
Description |
Minimum Retention |
Notes |
|
Annual Reports |
Annual Statistical Reports concerning admissions activities, enrollment statistics, etc. |
Permanent |
Transfer one copy to University Archives |
|
Recruitment Materials |
May include brochures, catalogues, etc. dealing with admissions, programs, and scholarships |
Permanent |
Transfer one copy to University Archives |
Student Academic Records
Academic Program Records
|
Series Title |
Description |
Minimum Retention |
|
Academic advisement records |
|
3 years after graduation term or of last term of attendance |
|
Academic Warning |
Notice of academic action related to academic non-performance/deficiency |
3 years after graduation term or of last term of attendance |
|
Academic Suspension |
Notice of academic action related to academic non-performance/deficiency |
3 years after graduation term or of last term of attendance |
|
Academic Dismissal |
Notice of academic action related to academic non-performance/deficiency |
Permanent |
|
Academic integrity code violations (with sanctions) |
Notice of violation of academic integrity policies, including sanctions, if any |
Permanent |
|
Academic Records (miscellaneous) |
Narrative evaluations, competency assessments, etc. |
Permanent (if required to be part of transcript) |
|
Correspondence (student) |
Related to academic records, inquiries |
3 years after graduation term or of last term of attendance |
|
Disciplinary Action Records |
Grade of program actions, notice of sanctions related to personal conduct |
3 years after graduation term or of last term of attendance |
|
Grievance/complaint (by student) |
Various course/exam related issues (not grade or FERPA disputes) |
Until administrative need is satisfied |
|
Leave of absence |
|
Until administrative need is satisfied |
|
Major changes, certification of 2nd majors, minors |
Until administrative need is satisfied |
|
|
Petitions (academic) |
Exceptions to academic rules |
Until administrative need is satisfied |
|
Thesis/Dissertation |
Permanent |
|
|
Transcripts |
Permanent |
Certification/Verification Records
|
Series Title |
Description |
Minimum Retention |
|
Athlete eligibility reports |
Until administrative need is satisfied; pursuant to athletics association rules |
|
|
Athlete records |
Initial and continuing eligibility information, academic information, documentation of participation, tutor evaluation and assessment |
Until administrative need is satisfied; pursuant to athletics association rules |
|
Enrollment verifications |
Verification of enrollment, graduation, GPA, and other related academics |
Until administrative need is satisfied |
|
Residency verification records |
Documents in support of verifying residency in state for tuition purposes |
Until administrative need is satisfied |
|
Teacher certifications |
|
Until administrative need is satisfied |
|
Transcript requests (students) |
Official transcript requests by student |
Until administrative need is satisfied |
|
VA certification records |
Certifying documents for federal VA benefits |
3 years after graduation term or of last term of attendance |
Degree and Certificate Records
|
Series Title |
Description |
Minimum Retention |
|
Application for Degree or Other Credential |
Degree application, record of degree name |
3 years after graduation term or of last term of attendance |
|
Degree Audit records |
Degree audits in support of graduation clearing |
3 years after graduation term or of last term of attendance |
|
Graduation Lists |
|
Permanent |
|
Substitutions/Waivers |
Approvals to meet program requirements with administrative action |
Until administrative need is satisfied |
Grade and Scholarship/Deficiency Records
|
Series Title |
Description |
Minimum Retention |
|
Exams (final/graded coursework) |
|
1 year after course completion |
|
Grade appeal/complaint |
Student final grade dispute |
1 year |
|
Grade book (faculty) |
Record of students in course and work completed |
5 years after course completion |
|
Grade change forms |
Record of authorization to change grade |
Until administrative need is satisfied |
|
Grade reports (midterms) |
Record of midterm grades submitted at the end of the term |
End of term |
|
Grade submission sheets/data |
Original record of grades submitted at the end of the term |
Permanent |
Miscellaneous Records
|
Series Title |
Description |
Minimum Retention |
Notes |
|
Name change authorizations |
Until administrative need is satisfied |
||
|
Personal data information forms |
Change of address, race/ethnicity questionnaires, and other demographic data |
Until administrative need is satisfied | |
| Transfer credit evaluations |
3 years after graduation term or of last term of attendance; Permanent if part of academic transcript |
||
|
Medical Student Performance Evaluations |
Evaluation of medical students' academic/professional performance |
Permanent |
Med School maintains |
|
State Bar Verification Forms |
Form from other states' bar boards used to verify presence or absence of disciplinary actions against students |
Permanent |
Law School maintains |
Registration and Enrollment Records
|
Series Title |
Description |
Minimum Retention |
|
Class schedules (students) |
Student schedules for each term |
Until administrative need is satisfied |
|
Class lists |
Record of class rosters for each term |
Until administrative need is satisfied |
|
Course repeat form/approval |
|
Until administrative need is satisfied |
|
Credit/no credit, audit or pass/no pass approvals |
Authorization for various enrollment options |
Until administrative need is satisfied |
|
Enrollment changes |
Record of student add/drop/withdraw from class |
Until administrative need is satisfied |
|
Hold or encumbrance authorizations |
Registration and transcript holds |
Until administrative need is satisfied |
| Registration/enrollment records | Initial registration forms, current enrollment records | Until administrative need is satisfied |
| Withdraw/cancellation of enrollment records | Record of request to withdraw from all classes | Until administrative need is satisfied |
Student Record Electronic Data
|
Series Title |
Description |
Minimum Retention |
|
Data Change Logs |
Electronic log of changes to enrollment and other data, including date/time stamp information and user that changed data if that data is maintained separately in the system |
10 years |
|
Email data/information |
Emails and other electronic communication that authorize academic/enrollment actions and/or provide directory/non directory information about a student |
Until administrative need is satisfied |
|
Enrollment data |
Electronic record or enrollment in classes, including records of drop, add, and enrollment change activity |
10 years |
|
Grade data |
Electronic record of submitted grades and grade changes, including date/time stamp and user data |
Permanent |
|
Student demographic information |
Electronic student data including student characteristics, date of birth, former names, address information, photo ID and ethnic information |
50 years |
Publications, Statistical Data, and Institutional Reports
|
Series Title |
Description |
Minimum Retention |
|
Catalogs |
Published annually or bi-annually, record of courses, degrees, and programs of study offered |
Permanent |
|
Commencement Programs |
Published record of graduates for public distribution |
Permanent |
|
Degree statistics |
Record of degrees granted by institution per graduation term and/or annually |
Permanent |
|
Enrollment statistics |
Per term record of enrolled students, e.g., by class, by course, totals, headcount, and FTE |
Permanent |
|
Grade distribution and other grade statistics |
Report of grades given, including summary grade point statistics by class |
Permanent |
|
Instructor Evaluations (by students) |
Until administrative need is satisfied |
|
|
Race/ethnicity reporting |
Report of student enrollment, graduation, and other metrics by race and ethnic origin |
Permanent |
Family Educational Rights and Privacy Act (FERPA) Records
|
Series Title |
Description |
Minimum Retention |
|
Request for formal hearings |
Student initiated request for formal hearing regarding amendment of educational record |
PermanentA |
|
Requests for and disclosures of personally identifiable information |
Necessary for compliance with recordkeeping requirments in FERPA |
PermanentB |
|
Requests for nondisclosure of directory information |
Student request to opt-out of directory information disclosure |
Permanent or until terminated by student |
|
Written consent for records disclosure |
Student signed (electronic or paper) authorization for disclosure of educational record |
PermanentC |
| Waivers for rights of access | Covers confidential letters and statements of recommendations related to the student's admission; application for employment; or receipt of an honor or honorary recognition (section 99.12(b)(3)) |
PermanentA |
| Written decisions of hearing panels | Decisions resulting from formal hearings regarding amendment of educational records |
PermanentA |
A As long as the record is maintained
B As long as disclosed record is maintained
C Or 180 days for one-time disclosure consents
Federal Disclosure Records
|
Series Title |
Description |
Minimum Retention |
|
Athletic Participation/EADA documents |
|
3 years from date of required disclosure |
|
College costs, accreditation, textbook information, transfer credit policy |
Complies with Higher Education Opportunity Act |
3 years from date of required disclosure |
|
Crime statistics/security reports |
Complies with Higher Education Opportunity Act |
3 years from date of required disclosure |
|
Graduation/completion, Transfer-out Data |
Complies with Higher Education Opportunity Act |
3 years from date of required disclosure |
|
Institutional information (cost of attendance, withdrawal procedures, accreditation, etc.) |
3 years from date or required disclosure/end of award year |
Federal Student Financial Aid (SFA) Records
SFA Program Records
|
Series Title and Description |
Minimum Retention |
|
Accrediting and licensing agency review, approvals, and reports |
3 years from award year |
|
Audit reports and school responses |
3 years from award year |
|
Records pertaining to financial responsbility and standards of administrative capability |
3 years from award year |
|
Program participation agreement |
3 years from award year |
|
Self-evaluation reports |
3 years from award year |
|
State agency reports |
3 years from award year |
SFA Fiscal Records
|
Series Title and Description |
Minimum Retention |
|
Bank statements for accounts containing SFA funds |
3 years from award year |
|
Federal work-study payroll records |
3 years from award year |
| Ledgers identifying SFA transactions | 3 years from award year |
|
Records of SFA program transactions |
3 years from award year |
|
Records of student accounts |
3 years from award year |
|
Records supporting data on required reports (SFA program reconciliation reports, audit reports and school responses, Pell Grant statements of accounts, accrediting and licensing agency reports) |
3 years from award year |
SFA Recipient Records
|
Series Title and Description |
Minimum Retention |
|
Application data submitted to the Dept. of Education or lender by the school on behalf of the student |
3 years from award year |
|
Data used to establish student's admission, enrollment status, and period of enrollment |
3 years from award year |
|
Date and amount of disbursements |
3 years from award year |
|
Documentation of student's eligibility |
3 years from award year |
|
Documentation of student's satisfactory academic progress |
3 years from award year |
|
Documentation of student's program of study and enrolled courses |
3 years from award year |
| Documentation related to the receipt of aid, such as the amount of the grant, loan, or FWS award, and calculations used to determine amounts | 3 years from award year |
| Documentation of initial or exit loan counseling | 3 years from award year |
| Documentation supporting the school's calculation of its completion/graduation or transfer-out rate | 3 years from award year |
| Documents used to verify applicant's data | 3 years from award year |
| Financial aid history for transfer students | 3 years from award year |
| Reports and forms used for participation in the SFA program | 3 years from award year |
| Student Aid Report (SAR) or Institutional Student Information Record (ISIR) | 3 years from award year |
Requirements for Specific Aid
|
Series Title and Description |
Minimum Retention |
|
Borrowers eligibility records |
3 years from award year |
|
Campus-based aid (Perkins loan, SEOG, and Federal Work Study) |
3 years from award year |
|
FFEL and Direct Loans |
3 years from award year |
|
Fiscal Operations Report and Application to Participate (FISAP) |
3 years from award year |
|
Pell Grant |
3 years from award year |
|
Perkins repayment records |
3 years from award year |
| Perkins original promissory notes | 3 years from award year |
| All other records/reports | 3 years from award year |
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. Click here for more information on FERPA and the release of students’ information.
Some student records 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). Click here for more information on HIPAA and the protection of private health information.
Official Transcripts
Students’ official transcripts are one of only a few student-related records identified for permanent retention. The University Registrar will work with SISS and the University Archives to implement measures to ensure the long-term accessibility, reliability, and accuracy of those records.
For more information on requesting a transcript, please contact the University Registrar.
Definitions
Archives: The University Archives
Description: A brief description of the kinds of records included in a record series.
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 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 Title): 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
