Transcript RECORDS RETENTION AND DISPOSITION October 30, 2013 University Records Management Program  The University of Texas at Arlington is a State Agency/State Funded Institution  Texas State Agencies.

RECORDS RETENTION AND
DISPOSITION
October 30, 2013
University Records Management
Program

The University of Texas at Arlington is a State Agency/State
Funded Institution

Texas State Agencies are Required to Implement and Maintain
Records Management Programs and Appoint a Records
Management Officer (RMO)

The Vice President for Business Affairs is the currently
appointed RMO for UT Arlington.

Administrative Information Management Staff have been
appointed by the RMO to implement and maintain the Records
Management Program
University Records Management
Program
Texas State Library and Archives Commission provides a definition
of records management:
“…the application of management techniques to the creation, use,
maintenance, retention, preservation, and destruction of state
records for the purpose of improving the efficiency of recordkeeping, ensuring access to public information, and reducing
costs.”
Included: records retention schedules, filing and retrieval systems,
protection of vital, archival, and confidential state records,
economical and space-effective storage of inactive records, and
appropriate disposal of records that have met retention
requirements.
University Records Management
Program
Focus of this Information Session
Retention Schedules,
Storage of Inactive Records,
Disposition of Records
University Records Management
Program
The Texas State Records Retention
Schedule (Coming Soon, The Texas State University
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 official state
records series must be retained by state agencies before they are
destroyed or transferred for archival preservation. These
records are common to all types of state agencies.
A standard schedule for state university records is being developed
now and should be published within the next year.
University Records Management
Program
The UT Arlington State-Certified
Records Retention Schedule
The UT Arlington schedule lists official university records and states
how long the University retains them. Our schedule is based on
retention standards provided by the State plus applicable laws,
rules, and regulations, and our own operational requirements.
Official record copies of UT Arlington records may not be destroyed
unless they are listed on the state-certified UT Arlington records
retention schedule. If you have records that cannot be matched
to items listed in the records retention schedule, please contact
AIM for resolution.
University Records Management
Program
Official State Records
A "State Record” is described by the Texas State Library as: Any
written, photographic, machine-readable, or other recorded
information created or received by or on behalf of a state agency
that documents activities in the conduct of the state business or
use of public resources.
The definition does not include:

library or museum material made or acquired and maintained
solely for reference or exhibition purposes

an extra reference copy of recorded information

a stock of publications or blank forms
University Records Management
Program
Managing Inactive Records
Retention requirements apply to the official record copy and not
extra/reference copies.
If you cannot confidently identify where the official record copy
resides, assume your copy is the official one and apply retention
requirements until the official record copy is identified.
Inactive records must be managed by the owner-department
wherever and however the records are stored – paper, electronic,
etc., and disposed of properly when retention requirements have
been met.
University Records Management
Program
Storage: “Managing in Place” on
Campus
Responsibility is with the department to ensure that the records are:
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Secured
Accessible until retention is met
Disposed of appropriately with documentation of disposition
forwarded to AIM
Hard copy records stored onsite must be managed by department.
•
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Control access
Control environment
Don’t forget retention…“out of sight, out of mind”
University Records Management
Program
Storage: “Managing in Place” on
Campus
State rules apply when official record copies of records are stored
electronically, including imaged records.
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All images must be validated and QC procedures documented.
Send documentation of deleted images to AIM
Long-term retention requires retention of hardware, software, etc.,
retention of image, data integrity through migrations

State requirements for Email
TSLA Electronic Records Standards and Procedures
6.94 (e)(5)” A state agency must provide for the organization of
electronic mail records according to the agency’s approved records
schedule.”

Trend is the Capstone approach based on work and position of email
account owner.
•
TAC 202.78
University Records Management
Program
Storage: Offsite Vendor
Offsite storage of hard copy and other tangible items:
Contact AIM for information regarding specifications
Owner-department is responsible for vendor compliance with state rules,
security access for open records, and documentation of destruction when
retention requirements have been met.
Offsite electronic storage, including cloud: Courts do not distinguish
between “data in possession” and “data under control”. Department is
responsible for vendor compliance with SLA specs, including state rules for
official records. Contact AIM for checklist of SLA information.
University Records Management
Program
Open Records Requests and
Subpoenas
“Are you aware that it may be necessary to subpoena you or your employer
to court at the time of trial if you have not provided all of the papers,
notes, documents, records, general correspondence, or other tangible
items of any kind pertaining to the above named individual to the Notary
Public taking your deposition?”
“In the event that no records can be found, are there document archives or
document retention policies which explain their absence? If so, please
identify who has knowledge of those archives or policies of the above
named facility.”
“All records for the time period in question have been destroyed in accord
with our document retention policy. We normally destroy these records
after____ years.”
“I declare under penalty of perjury that the foregoing is true and correct.”
University Records Management
Program
When Stored Records have met
Retention
Preserve or Destroy?
If the retention schedule indicates the records have been designated
archival by the University Archivist, contact the Archivist. Do not
send records to the library prior to contacting the University
Archivist.
The University Archivist will:
 set up an appointment to view the records
 arrange for transfer of records to University Archives
 require you to sign a Records Transmittal form
Don’t forget to complete the disposition log for AIM!
University Records Management
Program
Disposing of Records
Through Central Receiving and
Surplus
Before the Records are Picked Up by Central Receiving:
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
Complete a Document Destruction Request Form (Exhibit 250) and email or fax to Central Receiving
([email protected], 817-272-5220)
Complete the Records Disposition Log (Exhibit 13-6)
Prepare the boxes of records
• Pack the boxes
• Mark the boxes
• Secure and seal the boxes
University Records Management
Program
Disposing of Records
Through Central Receiving and
Surplus
When your Department’s Records are Picked Up

Present to Central Receiving staff a completed Records
Disposition Log (Exhibit 13-6)

Signatures authorize release of the records to the Central
Receiving department
University Records Management
Program
Disposing of Records
Through Central Receiving and
Surplus
After the Records Have Been Picked Up
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Records will remain stored in the Receiving warehouse
Destruction of the records takes place on or off-campus
based on volume
Central Receiving will return forms to the university
department
Vendor provides a certificate of destruction
Forward the certificate of destruction and the forms to AIM
University Records Management
Program
Disposing of Electronic Records
Through Central Receiving and
Surplus
All tangible media (videos, audio tapes, computer disks, and
microfilm) must be shredded
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“Sanitize” all electronic media being disposed/sent to
surplus. Per TAC Rule 202.78, electronic state records that
have not met retention are to be removed from data
processing equipment and should be printed or retained
electronically.
Complete the Records Disposition Log for any state records
that have met retention
Transfer computers (and the hard drive) and complete
Inventory Transaction Form (Exhibit 2-45)
University Records Management
Program
Electronic Records Disposition

Retention applies to the content, not the medium.

If emails or email attachments meet criteria for official records,
the same retention rules apply as they would to paper records
with the same content.

Texas Administrative Code information security standards for
higher education require that all official records on a hard drive
scheduled for destruction be either printed or transferred to
another system for preservation for the remainder of their
required retention.
University Records Management
Program
University Departments May also
Choose a Shredding Vendor

Department becomes responsible for ensuring that the
process is secure from pickup to destruction.
 Complete the Records Disposition Log
(Form 13-6)
 Obtain a certificate of destruction
 Send documentation to AIM
University Records Management
Program
Disposing of Records: Document it!
University Records Management
Program
Litigation Holds and
“Instructions of Negative Inference”
APPLE v. SAMSUNG
In Apple Inc. v. Samsung Electronics Co. Ltd., a magistrate judge
ordered an adverse inference instruction against Samsung
for automatically deleting emails, but the trial judge found
Apple had failed in its data preservation duties, too, and
ordered identical adverse inference instructions against both
parties. Apple issued lit hold notices late and Samsung did
not disable an automatic delete of emails.
(Even big computer companies destroy documents!)