This section includes general information about sustainably managing records in an organization, such as a campus unit, student group, unions, or community organization. Topics in this section:
Use these questions to map out how your organization works and how it creates and uses records. Take stock: Do your systems fit the work you do, who does it, and how you do it?
|Assessment Category||Questions to Ask|
|What does your organization do?||What are the main programs and activities?
What is the structure?
What external organizations do you collaborate with or report to?
How do you document these programs, activities, sub-units, and collaborations?
|Where do you manage records?||What systems and spaces do you use to manage information?
What workflows and routines, such as backup, do you use?
Who has access to which systems and spaces?
|Who does what?||Who is involved in each program, activity, and collaboration?
Who uses each system and how?
|How do you manage records?||What guidelines or policies do you use to manage records, files, and data?
How do you train, on-board, and off-board participants?
How do you start and end programs and activities?
What happens to old or inactive content?
How do you track versions of records, files, and data?
How do you name files?
|What records do you manage?||What records do you create and receive?
Who uses the records? How? For what purposes?
How long is it useful to retain the records of your programs and activities?
What records do you manage in each space or system?
|Personal or sensitive information||What programs and activities involve personal or sensitive information? (such as personnel files, human subjects research data, student records, health information)
How do you manage personal or sensitive information?
Who are these records about?
Answer the following questions using the university records schedules.
Use this section to identify your organization’s risks and needs related to digital/electronic systems where records management takes place. What risks are acceptable to your organization, and why?
For IT security guidance, see the Division of Information Technology's Security page.
For guidance specific to managing and curating research data, see Libraries Data Management Resources.
|Sustainability Category||Questions to Ask|
|Systems inventory||What hardware, software, and platforms does your organization use?
Who has access to each system? For what purposes?
|Economic factors||What is the business model of each system?
|Data portability||Can you export all data you created on the system?
Can you use files and software on multiple operating systems?
Can you use files and data created with one software and version in other software/versions?
How common are the hardware and software?
Do you anticipate having long-term access to the hardware, software, or platform?
|File format sustainability||For text:
Two key workflows for effective records management are:
Establish a review cycle to regularly screen and identify records that:
Based on your records self-assessment, identify a practical, recurring time to review records, or an event that can trigger a records review. For example:
Review cycles work best when they fit the life cycles of programs and activities in your organization, with clearly stated roles and responsibilities.
Establish processes for moving records from active to inactive status, and from inactive status to disposition (archive or destroy). For example:
Provide the following information in the certificate:
Number the groups of records to be disposed of, 1 to N
|Description of Records||Title, description, and/or form number of the relevant Records Series|
|Retention Schedule No.||State Archives-assigned identifier for each schedule:
|Item No.||Item Number of the applicable Record Series as listed in the schedule|
|Inclusive Dates||Provide a date range for when the records were created|
|Volume (Cubic Feet)||Applies to paper records in boxes only|
|Date of Disposal||Date on which records were destroyed or transferred to University Archives|
|Method of Disposal||Destruction or transfer to University Archives, depending on the disposition specified in the applicable records schedule|
Records may only be destroyed if they have met their retention conditions and the applicable records schedule indicates that they must be disposed of by destruction.
The disposition for some records series specifies that they be transferred to University Archives, with or without screening by the unit and/or the University Archivist. Visit the section on University Archives and records management to learn more.