Records and Information Management

Records are essential to managing Arizona State University’s complex enterprise and to preserving its history. 

The university’s Records and Information Management program supports departments in managing records to fulfill legal requirements, to meet operational needs and to preserve the university’s institutional history.

Records and Information Management provides training, consultation and guidance to assist units with decisions about what, how and when to manage university records. Every university department is responsible for maintaining records of the university’s work in accordance with state law, ABOR and university policy.

As an integrated component of information management, the policies and practices of records management ensure the proper handling of university information in accordance with industry and legal regulations. Information management is the process of managing information in all formats from creation to disposition.

• Content management, also called document management, is a service that efficiently and securely stores, organizes and tracks active information assets.
• Records management is a governance activity that stewards inactive assets of enduring value.
• Together, records and content management support the complete information lifecycle from creation and active use to final disposition.

University Enduring Records

The university creates or collects a wide variety of information in both physical and digital form during daily operations. 

ASU is required to make and keep records that document its decisions, activities and transactions.  An accurate copy of each University Enduring Records must be maintained for the period of time specified in the State of Arizona retention schedules and must follow specific guidelines for disposal at the end of the retention period. 

See Managing University Records for guidance on retention schedules, disposition and destruction procedures.

What are not University Enduring Records

ASU both makes and receives information that is not needed to document its decisions, activities and transactions but that may be useful for a limited time (i.e., transitory materials). Examples include workpapers, drafts, convenience copies, notes and correspondence, especially where the final decision or action is documented in University Enduring Records.

Transitory materials may be discarded when they are no longer needed. There is no specific disposition or destruction procedure, though units should shred or securely dispose of any transitory materials that contain confidential or sensitive information.

Notices to Preserve Evidence

Occasionally, the Office of General Counsel may issue a Notice to Preserve Evidence to a unit or employee. After a Notice to Preserve Evidence is received, the unit or employee should not dispose of either University Enduring Records or transitory materials without first contacting the Office of General Counsel.

Roles and responsibilities

Records Trustees are the ASU Leadership Team and the highest-ranking divisional leaders with responsibility for ensuring that records are managed as institutional assets and for promoting robust records and information management practices and procedures. Each Trustee appoints one or more Records Stewards for their division.

Records Stewards are appointed by the Records Trustee and responsible for implementing processes to manage records held in the college or divisional unit, and for coordination with Records and Information Management about records care and disposition. Records Stewards have broad institutional knowledge about the information created and retained in their division and deeply understand the value of that information for the institution.

Records Custodians are university employees with specific records or information management responsibilities within their unit and are assigned by the Records Steward. Custodians are responsible for understanding business needs, applying consistent records practices and for the continuity of care for records management within their business unit.

University employees are required to maintain the university’s records in accordance with State of Arizona statutes, and ABOR and ASU policies.

Office of General Counsel provides and manages legal services for the university, coordinates requests from the public for access to records, and has the authority to suspend retention periods for specified information assets.

Enterprise Records Manager directs the Records and Information Management program consistent with legal requirements, operational needs and preservation standards, and is the designated records officer for the university.