Records & Records Management

BPM-910 Records Audits

Revised September 1, 1998

POLICY

All University departments will be periodically audited by Records Management staff to:

• Identify new records series that need to be added to records retention authorizations.


• Identify records series that are no longer produced and should be deleted from the records retention authorizations.


• Update records retention period to comply with current administrative, fiscal, legal, research and historical requirements.


• Verify department compliance with University records management policy and procedures.

RECORDS AUDIT PROCEDURES

1. Departments will normally be advised thirty (30) days in advance of audit.


2. Departments will appoint an individual to work with the Records Management staff during the audit.


3. Non-compliance with retention authorizations or records management policies will be discussed with department personnel.


4. Approximately ten (10) days after the audit, a formal record audit report will be sent to the department head and next higher management level.


5. Where appropriate, additions, deletions and changes will be made to Records Retention Authorizations. If necessary, a completely new Records Retention Authorization will be prepared and submitted for approval.


6. Any items mentioned in the audit report as being in non-compliance with University policy will require a response by the department head as to the steps the department will take to correct the non-compliance.