UCOP Central Records Collection Guidelines for Submission of Materials

Contact: Records Management Services

These guidelines describe and provide examples of the types of materials that UCOP departments should send to the UCOP Central Records Collection, as well as examples of materials not suitable for the collection.

Table of Contents

  1. How to Submit Materials
  2. Types of Documents in the Collection
  3. Records Not Appropriate for the Collection
    1. Records Maintained Elsewhere
    2. Materials with No Long-Term Value
    3. Records Not Pertinent to the University’s Mission
  1. How to Submit Materials
    Administrators in executive offices forward pertinent materials to RMS. With permission, RMS staff open and scan executives’ incoming mail, and subsequently forward the originals to the recipient

    It is preferable to include materials that may not be pertinent to the collection than to fail to submit important University records. Where there is uncertainty, please submit the material in question and RMS staff will determine whether to include it in the collection.

    Documents in any format (e-mail, hard copy, etc.) should be submitted to Record Management or Records Management Services, 7th Floor, Franklin Building.

  2. Types of Documents in the Collection
    Documents in the collection have either historical value or a contemporary administrative purpose. The collection focuses on University of California rather than external, non UC related materials (e.g., state agencies, non UC research groups). An effort is made not to duplicate materials that are maintained elsewhere: for example, campus financial reports may be found on campus Web sites, so there is no need to capture them in the UCOP Central Records Collection.

    Examples of documents appropriate for the collection include the following:
    • All correspondence to or from the President and executives to the associate vice president level
    • Correspondence in which substantive University / UCOP issues or policies are discussed or a decision pertaining to them is made
    • Policy issuance letters – UCOP or Universitywide policies
    • Requests for approval, e.g., for acceptance of large gifts, establishment of new academic programs/degrees/majors, exceptions to salary policy, exceptions to the Mortgage Origination Program guidelines
    • Authorization or denial of approval requests (see above)
    • Delegations of authority and re-delegations
    • Requests to serve on and/or appointments to high-level committees and ad-hoc groups addressing substantive University issues
    • Charge letters to work groups and committees
    • Requests for comments on proposed policy and subsequent comments
    • Replies to incoming mail, e.g., when the letter writer replies for or on behalf of the president, a vice president, or associate vice president
    • Requests for nominations, and subsequent nomination letters
    • Audit reports of UC entities
    • Transmittal letters with annual reports, and/or reports, studies, or other work products from UC committees and groups
    • Annual reports, and final versions of reports, studies, or other work products from UC committees and groups
    • Agendas and meeting minutes for Universitywide committees or working groups
    • Executive speeches and statements (not Powerpoint slides)
    • Regents’ Items signed by the President
    • Official University position statements on proposed state or federal legislation

  3. Records Not Appropriate for the Collection
    Materials that are not added to the collection are usually those that
    • are more appropriately maintained elsewhere,
    • have no long-term value, or
    • are not pertinent to the University’s mission.
    1. Records Maintained Elsewhere
      These records are maintained at the department or campus level and can be easily obtained from their original sources. Many records in this category are specific record types that have an official retention period (see the University Records Retention Schedules Manual) and a record proprietor (essentially, the Office of Record) in the Office of the President. Some examples are:
      • Personnel actions
      • Salary actions for specific individuals
      • Grievances
      • Workers' compensation records
      • Peer reviews
      • Staff performance evaluations
      • Background checks
      • Contracts
      • Leases
      • Patent filings
      • Regents' minutes
      • Statements of economic interests (Conflict of Interest forms, follow-up)
      • Grants
      • Research proposals
      • Applications (for employment, fellowships)
      • Consultant/independent contractor agreements
      • Transfers of funds
      • Manuals (Contracts and Grants, Facilities Management and Construction Manual, Academic Senate Manuals, etc.) and their updates / new chapters
      • Travel reimbursements
      • Accounting forms
      • Job applications
      • Resumes
    2. Materials with No Long-Term Value
      Items that are background material or works in progress are not usually of interest. Examples include:
      • Drafts (letters, reports, studies) or other works in progress
      • Proposed Regents’ Items
      • Preliminary analyses of or comments on proposed legislation
      • Questionnaires / surveys sent to UCOP for completion
      • Presentation notes (e.g., bullet points, Power Point slides)
      • Transmittal memos without the associated attachment

    3. Records Not Pertinent to the University’s Mission
      Items in this category are not pertinent to the ongoing mission or business of the University. Some examples include:
      • Personal memberships
      • Thank you notes
      • Newspaper or magazine clippings
      • Political solicitations
      • Promotional material
      • Material received by executives in their academic, rather than administrative, capacities
      • Requests to individuals for charitable donations
      • Materials related to external, non UC organizations
      • Vendor solicitations
      • Spam or junk mail