Recomendações técnicas para a gestão de documentos em acervos acadêmicos de Instituições de Ensino Superior no Brasil

Abstract

This dissertation discusses records management practices applied to the academic archival holdings of Higher Education Institutions (HEIs). The academic archival holdings are understood as the organic set of records produced and received by HEIs as a result of their core (end) activities, directly linked to students’ academic trajectories. Their legal compliance is regulated by specific infralegal normative acts, namely: Decree No. 9,235 of December 15, 2017, and MEC Ordinances No. 315 of April 4, 2018; No. 360 of May 27, 2022; and No. 613 of July 4, 2022. The objective of this study is to propose technical recommendations to support the archival adequacy of records management practices within HEIs, in accordance with the requirements set forth in MEC Ordinances 315/2018, 360/2022, and 613/2022, and grounded in the theoretical and functional principles of archival science. The research question investigates how records management initiatives—identified in scholarly publications within Archival Science and Information Science over the past thirteen years—reflect compliance with the regulatory guidelines established by the aforementioned ordinances. This is an applied, qualitative, and descriptive study, structured in three interrelated modules: (1) a Systematic Literature Review (SLR); (2) a conceptual and normative analysis; (3) the formulation of technical recommendations for archival adequacy. The findings reveal a predominance of diagnostic actions, a low degree of institutionalization of records management programs, and a general lack of adherence to archival and normative frameworks. As a result, the study proposes technical recommendations structured into six sequential steps, with potential for practical implementation, aimed at formalizing records management in academic archival holdings, fostering compliance with MEC regulations, and strengthening archival policies within higher education institutions.