Transcript Records Management Role at UTEP

UT Tyler
Records
Management
Training
Records Management Basic
Training
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What is Records Management?
Why is Records Management so important?
Who is responsible for Records Management at UT
Tyler?
What is a record?
What is a records retention schedule?
Electronic Records
E-Mail Retention Guidelines
Archiving and Storage
Final Disposition of Records
Who to Contact for Questions
What is Records
Management?
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Records Management (RM) is defined as the management of records
=(paper, digital, electronic format, magnetic media, photographic
media, CD, etc.) regardless of the medium from their creation to their
final disposition.
Every employee within a department performs records management
in one form or another.
Records Management is the fundamental and necessary task of every
individual within a department.
Why is Records Management
so important?
For a several reasons, including:
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Records are vitally important to the operation of UT Tyler. The
university records serve as evidence of the day-to-day business
transactions, evidence of research, grants, decisions to implement
policies and procedures and for historical purposes.
Without accurate and responsible maintenance of records, UT Tyler is
vulnerable to lawsuits, negligence and improper destruction of
university records.
Who is Responsible for
Records Management at UT
Tyler?
In short, YOU ARE. All employees are responsible for proper records
management and disposal of the university’s records.
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The ultimate responsibility for the orderly maintenance and disposal
of university records lies in the hands of the department to which the
records belong to.
What is a Record?
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As defined by the Texas Government Code 441.180(11), a state record
is any written, photographic, machine-readable, or other recorded
information created or received by or on behalf of a state agency or an
elected official that documents activities in the conduct of state
business or use of public resources.
The term does not include library or museum material made or
acquired and maintained solely for reference or exhibition purposes;
an extra copy of recorded information only for reference; or a stock of
publications or blank forms.
A record is a record regardless of the medium and must follow the
retention schedule.
What is a Records Retention
Schedule?
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Records retention schedule* is the establishment of
written standards/laws, known as Records Retention
Schedule, for the retention and disposition of records.
*UT Tyler Records Retention Schedule
(approved April 2010)
*Texas State Records Retention Schedule 4th Edition,
Effective September 1, 2007
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Considerations are given to the legal, fiscal
administrative and historical value of records in
establishing retention periods and prescribing disposal
methods.
The Records Retention Schedule
(RRS) has four broad objectives:
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Maintenance of the records in office while inactive use.
Storage of inactive records which must be temporarily retained after
they are no longer needed by the department.
Prompt disposal of inactive records whose retention period has ended.
Not destroying records is not an excuse to keep the records “just in
case”.
Preservation of records which are long-term value (permanent).
Electronic Records
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The rules apply to ALL electronic state records, regardless of the retention
period.
Electronic State Record-Information that meets the definition of a state
record in the Government Code, S441.180. and is maintained in electronic
format for computer processing, including the product of computer
processing of the information.
Electronic Mail Record-An electronic state record sent or received in the
form of a message on an electronic mail system of a state agency,
including any attachments transmitted with the message.
Electronic Records;
continued
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Ensure that electronic state record and any software,
hardware and documentation, including maintenance
documentation, required to retrieve and read the
electronic state record are retained as long as the
approved retention period for the record and disposed of
in accordance with the university certified Records
Retention Schedule.
All university official correspondence and business
records are subject to the records retention policy
whether in electronic or other tangible form.
Preliminary drafts of letters, memos, spreadsheets, and
transitory e-mails are normally not considered official
state records therefore do not need to be retained.
E-Mail
Retention Guidelines
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Correspondence conducting official state business may be delivered by
surface mail or by e-mail and in both cases constitutes a state record that
must be managed accordingly. It is the content and function of a
message that determines its retention requirements. Each message must
be retained or disposed of according to the certified The University of
Texas at Tyler Records Retention Schedule.
E-mail may be categorized into one of the following record series
categories:
E-Mail
Retention Guidelines;
continued
Guideline for Correspondence Administrative
Incoming/outgoing and internal correspondence pertaining to the
formulation, planning, implementation, interpretation, modification,
or redefinition of the programs, services, or projects of an agency and
the administrative regulations, policies, and procedures that govern
them. Retention Period: 3 years.
Guideline for Correspondence General
Non-administrative incoming/outgoing and internal correspondence, in
any media, pertaining to or arising from the routine operations of the
policies, programs, services, or projects of an agency.
Retention Period: 1 year.
E-Mail
Retention Guidelines;
continued
Guideline for Transitory Information
Correspondence that would not be classified as general or
administrative, and does not pertain to case or project files or other
record series listed in the RRS may be categorized as transitory.
This would include announcements and memos non-business-related
staff events, personal e-mails, unsolicited advertisements, and
information (the department/person sending the information
announcement should keep one copy). See RRS for more information
about transitory information. Retention Period: AC-(after closed)
after the purpose of the record has been fulfilled. NO Disposition form
is required to dispose of Transitory Records.
Note: Routinely delete or remove transitory e-mails as soon as they have
served their purpose. Be able to demonstrate timely and consistent
management and disposition of transitory e-mails.
E-Mail
Retention Guidelines;
continued
Correspondence to be Filed with Case or Project Files
Correspondence that pertains to another record series should be filed
with and retained for the same retention as that series. For example,
correspondence about a particular building project would be filed with
other documentation about the project under Building Project Files
and retained for the full 10 years after the completion of the project
(AC+10 yrs) retention requirement. Other examples include litigation
files, complaint files, and other record series that frequently include
collaboration and correspondence.
CAUTION: An e-mail record may not be destroyed, even if it has met
retention requirements, when an action has been initiated or is
anticipated against it. Actions may include audits, litigation, public
information requests, or administrative reviews. Records must be
retained until the resolution of the action and all issues arising from it.
Archiving and Storage
Each record goes through two basic stages during its lifecycle
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Active stage, the record is kept in the office for immediate reference
(file cabinet).
Inactive stage, the record is seldom referred to and is moved into a
storage closet within the office (old boxes) and/or the box is moved
to the records storage room in Physical Plant.
It is the responsibility of each department to identify, group, label, and
pack your records into the proper boxes.
Contact Mary Barr or Joy Shogry for questions.
Archiving and Storage;
continued
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Archive records properly into
appropriate boxes and use the required
labels for the outside of the box. (check
with Joy Shogry or Paul Weil on box
specifications and labels).
Archived records can be stored within
the department itself or transferred to
the Physical Plant Records Room.
Final Disposition of Records
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State law mandates that certain records be destroyed once their
respective retention periods have been met.
All university departments are required to consult with the
Compliance Office on the destruction of records.
Compliance will have an on campus shredding service come to campus
each February to destroy the documents that have met or exceeded
the retention date. Budget Authorities will receive an email
announcing the shredding with instructions on how to include the
boxes they have in their own areas that have met or exceeded the
retention date or stored in Physical Plant.
Caution: Verification that records up for disposal are not involved in
any litigation, claim, negotiation, audit, open records request,
administrative review should be conducted.
Final Disposition of
Records; final stage
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For those records stored in Physical Plant, the department head is
required to check and sign off on the stored boxes a final time before
they can be marked for final disposition by Facilities Management.
The department will provide a copy of the signed/approved Records
Disposition Log form to the Compliance Office before the records that
have met or exceeded the retention date can be shredded. This is
both for those stored within the department’s area or in Physical
Plant.
Note: If the department chooses to shred the documents themselves,
a Records Disposition Log form is still required to be completed,
signed, and sent to the Compliance Office.
Note: The Records Disposition Log form can be found on the Records
Retention website – web address is on the next slide.
Who to Contact for Questions
For more information, visit the Records Management
website:
http://www.uttyler.edu/recordsretention
For questions, contact:
Mary Barr at 903/566/7151 or by email: [email protected] or
Joy Shogry at 903/565-5859 or by email: [email protected]