Records Management Manual

Introduction

This manual provides guidelines and policies for managing digital records within the ISU Records Management System. It is designed to ensure that all records are properly collected, processed, stored, retrieved, and disposed according to institutional standards and compliance requirements.

Purpose

To establish standard procedures for the effective management of the University's records throughout their lifecycle, from creation to either permanent preservation or disposal.

Scope

This manual applies to all digital records created, received, or maintained by Isabela State University staff and administrators in the conduct of official university business.

Records Management Workflow

1. Collection and Identification
  • Scanning of physical documents
  • Direct upload of digital files
  • Metadata extraction using OCR
  • Classification into record categories
  • Control number assignment

Responsible: Department Staff

2. Review and Approval
  • Automated routing to reviewers
  • Digital annotations and comments
  • Secure e-signature verification
  • Version control maintenance
  • Audit trail documentation

Responsible: Central Records Office

3. Storage and Protection
  • Centralized digital repository
  • Role-based access controls
  • Data encryption protocols
  • Regular backup procedures
  • Disaster recovery solutions

Responsible: Central Records Office / IT

4. Retrieval and Access
  • Metadata and full-text search functionality
  • Department-specific access levels
  • Tracked usage and access logs
  • Automated retention alerts
  • Version tracking and historical view

Responsible: All Authorized System Users

5. Maintenance and Disposition
  • Automated retention scheduling
  • Archival of inactive records
  • Secure disposition process
  • Permanent record preservation
  • Disposition documentation

Responsible: Central Records Office

Record Categories and Retention Periods

Category Description Types of Records Retention Period Disposition
Administrative General administrative operations Memos, correspondence, reports, policies 7 years Review for archival value
Academic Student records and academic documents Transcripts, syllabi, curricula, research papers 10 years / Permanent Archive / Permanent
Financial Financial records and reports Budgets, financial statements, receipts, audits 10 years Dispose after retention period
Personnel Human resources documents Employment records, evaluations, contracts 15 years after separation Permanent for key documents
Legal Legal documents and contracts Contracts, agreements, litigation documents 25 years Permanent for significant cases
Research Research papers and grants Grant proposals, research data, publications 10 years Archive significant research
Note: Retention periods begin from the date of document creation or the date the document becomes inactive, whichever is later. Permanent records must be preserved indefinitely in the system's archive.

User Roles and Responsibilities

Department Staff
  • Upload and classify departmental records
  • Ensure proper metadata entry for all documents
  • Review document information for accuracy
  • View and track departmental documents
  • Report any issues with document access or integrity
System Administrators
  • Create and manage user accounts and roles
  • Monitor system performance and security
  • Generate system-wide reports and statistics
  • Implement system updates and maintenance
  • Enforce data privacy and security protocols
Records Manager (Central Records Office)
  • Approve document classifications and metadata
  • Manage retention schedules and disposition processes
  • Enforce records management policies
  • Train users on proper records management
  • Conduct periodic records audits
University Administration
  • Establish records management policies
  • Review and approve records retention schedules
  • Ensure compliance with legal requirements
  • Allocate resources for records management
  • Address escalated records management issues

Best Practices

Document Naming Conventions

Use consistent naming patterns to facilitate search and retrieval:

[Department]-[DocumentType]-[YYYY-MM-DD]-[BriefDescription]

Example: ADMIN-MEMO-2025-05-15-BudgetGuidelines

Avoid special characters, spaces, and excessively long names.

Metadata Requirements

Always include the following metadata for each document:

  • Title: Descriptive and concise document title
  • Document Date: Creation or effective date
  • Author/Creator: Individual or department
  • Document Type: Memo, report, policy, etc.
  • Category: Administrative, academic, etc.
  • Keywords: Terms for enhanced searchability
File Format Standards
Preferred Formats
  • PDF/A: For final documents
  • XLSX: For spreadsheets
  • DOCX: For editable text documents
  • JPEG/PNG: For images
File Preparation
  • Optimize for text searchability
  • Ensure OCR is applied to scanned documents
  • Compress files when possible
  • Remove personally identifiable information when not necessary
Formats to Avoid
  • Proprietary formats without open specifications
  • Formats requiring special software
  • Compressed archives for individual documents
  • Formats with embedded active content