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Records Management Procedures – The Records Management Audit

In accordance with University policy, departments are subject to periodic records management audits to ensure compliance with and accuracy of retention schedules. Departments are notified in advance of an audit.

The department records management contact and a member of the University Archives staff will review the records retention schedule, series by series, to determine (1) the continued appropriateness of current retention periods, (2) records activities since the last audit, and, (3) any needed record description clarification on the schedule. Additions of new records or deletion of obsolete record series will also be noted on an Explanation of Changes to Records Schedule form.

Upon completion of the audit a report is generated and sent to the department records management contact, along with an audit sign-off form. This audit report lists compliance percentage, record activity, proposed records schedule changes and suggestions for improvement. A copy of the Audit Interview Report is retained at the Archives office.