Introduction to Records Management and Retention Services

1
Introduction to Records Management and Retention
Services

• UT Austin Records Management Services Office of
  Accounting

2
Record Retention Schedule

• The current University of Texas Records Retention
  Schedule (UTRRS) is adopted as an administrative
  rule of the University of Texas and is certified
  by the Texas State Library and Archives
  Commission as of September 29, 2004. It is
  developed in accordance with Texas Government
  Code, Section 441.185 and 13 Texas Administrative
  Code,Title 13, Part 1, Chapter 6, Subchapter A
• This retention schedule indicates the minimum
  length of time listed records series must be
  retained before destruction or archival
  preservation.  The retention periods given in the
  RRS are required minimums. They are also
  recommended as appropriate maximum retention
  periods.

3
RRS Components

• Inclusion in the RRS confers official State
  Record status.
• Each type of record is categorized and issued a
  records series title.
• The records series is assigned relevant
• Retention codes
• Medium codes
• Security codes
• Archival codes
• Comments may be included

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The Life of a Record

• An official state record captures and preserves
  interactions between official entities and
  citizens.
• Remains available for retrieval from the time it
  is created till its final disposition.
• The life of an official state record can only end
  one of two ways!
• Destruction, which follows a documented approval
  process. Confidential records must be destroyed
  in a manner that preserves confidentiality.
• Archival storage it is determined when a
  record series is created if a document should be
  archived or reviewed for archival value.

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Master Record vs. Convenience Copy

• Master records are the official records retained
  as the original, and subject to the retention
  schedule. These require a Request for Internal
  Approval to Dispose of State Records Form when
  retention requirements have been met.
• Convenience copies are all other copies of the
  record created for convenience, reference, or
  research. Convenience copies can be destroyed at
  any time and no approval for doing so is
  required.

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Convenience Copy Caution

• Do not retain or distribute copies after the
  retention period!
• A convenience copy retained AFTER the master
  record is destroyed BECOMES the master record.
• It is best practice to destroy convenience copies
  at or before the end of the retention period or
  as soon as they have served their purpose.

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Request for Internal Approval to Dispose of State
Records Forms

• Request for Internal Approval to Dispose of State
  RecordsForm AFor Records Not Requiring Archival
  Review
• Request for Internal Approval to Dispose of State
  RecordsForm B For Records Requiring Archival
  Review
• Note If you have some of each type of record,
  list them on separate forms in accordance with
  their archival review requirements

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Archival Review Requirements

• Archival Review Requirements are determined by
  record type at the time of certification of the
  UTRRS
• Record types requiring archival review are
  printed in red on the UTRRS
• Request for authorization to destroy record types
  requiring archival review must be submitted on
  Form B

10
Request to Dispose of State Records Resources

• Procedures, form, and instructions can be found
  at the Office of Accounting web site
  http//www.utexas.edu/business/accounting/retentio
  n/dispose.html
• Records Management staff will assist and support
  in the request and approval process.
• Records Management staff contact information
  http//www.utexas.edu/business/accounting/contact/
  ret.html

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Disposing of Confidential State Records

• Confidential records are any state records to
  which public access is or may be restricted or
  denied under the Texas Public Information Act,
  Chapter 552, or other state or federal law.
• Security controls must be developed and
  maintained for the life of the record.
• They must be disposed in a manner that preserves
  confidentiality.
• Departmental procedures must be developed if the
  records are destroyed in-house.

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Records Management Destruction Vendor

• Austin Task is the preferred vendor to use. The
  Austin Task blanket purchase order 2006C00291 is
  listed on the Purchasing website and contains
  information on the services provided by Austin
  Task and how to contact them to arrange for
  records pickup and destruction
  http//www.utexas.edu/admin/purchasing/blanket.htm
  l

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Departmental Shredder

• Departments may purchase shredders to destroy
  confidential records internally. If a department
  decides to shred documents, they must develop a
  standard procedure for doing so.
• Departmental procedures should document
• The people authorized to shred documents
• The schedule for shredding documents
• Measures for keeping confidential records secure
  throughout the disposal/destruction process
• Detail how the documents will removed from the
  department
• Shredded material may be recycled or disposed as
  regular paper material

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University of Texas Records Management and
Retention Services

• Contact Information
• Maryrose Hightower-Coyle 232-5647
• Email recordsmgmt_at_austin.utexas.edu
• Fax [phone]
• K5300Office of AccountingRecords ManagementMAI
  132
• URLs
• General Information http//www.utexas.edu/busines
  s/accounting/retention/
• Retention Schedule http//www.utexas.edu/business
  /accounting/retention/ret.html
• Request to Dispose of State Records
  http//www.utexas.edu/business/accounting/retentio
  n/dispose.html
• Training Resources http//www.utexas.edu/business
  /accounting/retention/training.html

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Roles and Responsibilities

• Texas State Librarymandates state agencies to
  enact Records Management programs in accordance
  with State and Federal guidelines
• UT System Records Management Officer, Mary
  Hilliard agency-wide supervision of Institution
  Records Management Programs.
• UT Austin Records Management, Maryrose
  Hightower-Coyle assists and supports
  departmental Records Management Programs,
  processes and approves Requests to Dispose of
  State Records, and is responsible for development
  and management of UTRRS
• Department/Division Head designates
  Departmental Records Management contact, reviews
  and signs Requests to Dispose of State Records.
• Departmental Records Management contact
  develops and maintains departmental procedures,
  prepares Request for Disposal of State Records
  forms document, oversees disposal of documents.