Transcript UTA RIM INFORMATION SESSION I Records Disposition November 11, 2009 Welcome, RMCs! U T A R I M Purpose of the Information Session To review information useful in deciding what to do.

UTA RIM INFORMATION SESSION I
Records Disposition
November 11, 2009
Welcome, RMCs!
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Purpose of the Information Session
To review information
useful in deciding
what to do with
records that are no
longer active.
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We will discuss…
Records vs. Record Series
Retention Schedules
Decisions, Decisions!
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Records vs. Record Series
13 Texas Administrative Code 6.1 (13) defines a record series
as, “a group of identical or related records that are normally
used and/or filed together and that permit evaluations as a
group for retention scheduling purposes.”
Using record series allows us to refer to groups of records
instead of each individual record. This simplifies retention
scheduling .
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Records vs. Record Series
Records Series
(State Code 2.1.009)
Records
Technical Documentation
User guides
System definitions
System specifications
System flowcharts
Program descriptions
Change notices
Program modifications
File layouts
Data element dictionary
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Records vs. Record Series
Records Series
Records
Employment Selection
(State Code 3.1.014)
Interview notes
Driving records
Physical exam
Drug screening
Polygraph tests
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Records Retention Schedules : The Texas
State Records Retention Schedule
The state schedule has been adopted as an administrative
rule of the Texas State Library and Archives Commission.
The schedule indicates the minimum length of time the
listed records series must be retained by state agencies
before they are destroyed or transferred for archival
preservation.
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Records Retention Schedules : The UT
Arlington State-certified Records Retention
Schedule
The UT Arlington schedule lists all official university
records and states how long the University retains the
records. Our schedule must be in line with the State
schedule.
Official UT Arlington records may not be destroyed
unless they are listed on the state-certified UT Arlington
records retention schedule. When an unlisted official
university record is identified, please contact RIM in Net
Solutions for resolution.
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Amendments
A long and high-profile process that begins with the Vice
President for Business Affairs and Controller and ends
with a letter to the President.
Amendments will be initiated based on critical needs: if
not an emergency, they will be batched for processing
quarterly or processed as part of the recertification
process every three years.
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Records Disposition Decision Flowchart
“What do I do with these records?”
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Contact
RIM
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“Correspondence – communication by an
exchange of letters”
Is it really just “correspondence”?
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Is it “administrative” or “general” correspondence?
How do we retrieve “correspondence” files?
Is administrative correspondence “archival”?
NEVER file under “miscellaneous”!!!
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Overview of Archival Records and
University Archives
 Archival Records:
- warrant preservation past required retention period
- must be transferred to University Archives, housed in
Library’s Special Collections
 University Archives:
- fulfill University’s legal obligations
- provide resource materials for scholarly research
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Step #1: Identification of Archival
University Records
 Records designated as archival on retention schedule:
- “I” designation = required to be sent to University
Archives
- “O” designation = required to be reviewed by University
Archivist
 Records that you think might have historic value
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Step #2: Transfer of Archival Records to
University Archives
 Contact University Archivist (please do not send records
until you have received notification to do so):
- 2-7511
- [email protected]
 University Archivist will:
- set up an appointment to view the records
- arrange for transfer of records to University Archives
- have you sign Transmittal of University Records form
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Shredding Records
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Determining When to Dispose of Records
Through Asset Management
The method of destruction should be based on:
Security level of the records
Space available for storage, staging and destruction
Costs
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Using Asset Management’s Shredding
Service
I. Before the Records are Picked Up by Asset Management:
a. Complete a Document Destruction Request Form
(Exhibit 2-50)
b. Complete the Records Disposition Log (Exhibit 13-6)
c. Prepare the boxes of records
1. Pack the boxes
2. Mark the boxes
3. Secure and seal the boxes
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Using Asset Management’s Shredding
Service
II. When a Department’s Records are Picked Up
a. Present to Asset Management staff a completed
Records Disposition Log (Exhibit 13-6)
b. Signatures authorize release of the records to the
Asset Management/Receiving department
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Using Asset Management’s Shredding
Service
III. After the Records Have Been Picked Up
a. Records will remain securely stored in the Receiving
warehouse
b. Destruction of the records takes place off-campus
c. Asset Management will return forms to the university
department
d. Vendor provides a certificate of destruction
e. Forward the certificate of destruction and the forms to
RIM in Net Solutions
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University Departments May Coordinate
the Destruction of Records Through a
Shredding Vendor of Their Choosing
 Complete the Records Disposition Log
(Exhibit 13-6)
 Obtain a certificate of destruction
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Disposal of Electronic Records Through
Asset Management
I. All tangible media (videos, audio tapes, computer disks,
and microfilm) may be shredded through Asset
Management
a. “Sanitize” all electronic media being disposed/sent
to surplus
b. Complete the Records Disposition Log
c. Transferring computers (and the hard drive)
1. Inventory Transaction Form (Exhibit 2-45)
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Retention Exercise!
Electronic Records Disposition
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 Retention applies to the content, not the medium.
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 Official record copies of university records maintained
electronically must be maintained according to State
regulations.
 All official record copies of university records listed
on the retention schedule must be deleted when
retention has been met, and they must be listed on a
records disposition log.
 If email contains official record copies of university
records, the rules apply to those records also.
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Next time……
The next session will be a work session!!
File plans.. What, Where, How long?