Purchasing and Distribution Services Department

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Purchasing and Distribution Services Department

• Records Retention Understand and Prepare

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Agenda

• Meeting the Records Retention Staff
• Purpose of a Records Retention Program
• Understanding Terms
• Reading the UTSA Records Retention Schedule
• Examples
• Archiving Records
• Electronic Records
• Preparing for Storage
• Requesting Records for
• Retrieval
• Certification

Records Retention
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Purchasing and Distribution Services Department
Hierarchy
Business Affairs
Mail Services 1604 Campus
Central Receiving
Contracts
HUB
Receiving
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Downtown General Services

• Robert Dickens
• Purchasing and Distribution Services Department
  Director (Interim)
• Ext 4060
• Frank Salinas
• Manager, Mail Services
• Ext 2781
• John Salas
• Senior Mail Clerk
• Ext 2780
• Ernest Valdez
• Mail Clerk II
• Ext 2780

Ernest, John and Frank
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Purpose of a Records Retention Program

• Comply with legal requirements.
• Destroy records that no longer have value to the
  agency.
• Provide legal protection to the agency when
  destroying records.
• Retain records of permanent value.
• Improve protection of vital records.

• Provide security for records with confidential or
  sensitive information.
• Provide offsite storage access to inactive
  records.
• Move inactive records into less expensive storage
  areas, if possible.
• Maintain records in the formats offering optimum
  cost-effectiveness.

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Purpose of Records Retention Schedule

• The foremost purpose of the records retention
  schedule is to provide a solid foundation for an
  agencys records management program.

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Records Retention

• All records created by UTSA are considered
  property of the sate and must be retained and
  disposed of according to the Texas State Library
  guidelines.

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Records Retention Terms

• Record Management
• The systematic control of all records, regardless
  of media format, from initial creation to final
  disposal.
• Record Retention
• Holding documents for future use.
• Retention Schedule
• A table that identifies retention periods for
  official records.

• Retention Period
• The amount of time a record series must be
  retained before destruction or archival
  preservation.
• Final Disposition
• The final treatment of the record, which will be
  either archival preservation or destruction.

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Reading the UTSA Records Retention Schedule
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Reading the Retention Schedule

• Retention Codes
• Records Series Item and Agency Item Number
• Record Series Title
• Retention Period
• Retention Remarks

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Retention Codes

• Schedule Key
• AC After Closed, Terminated, Completed,
  Expired, Settled
• AC14 Keep 14 years after it has expired.
• CE Calendar Year End
• LA Life of Asset
• LA3 Retain 3 years past ownership.
• PM Permanent
• AV As Long As Administratively Valuable
• FE Fiscal Year End
• FE3 Retain current fiscal year plus 3
  additional years
• US Until Superseded
• US3 Retain until the record is replaced by an
  updated version, plus 3 years.

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Record Series Item and Agency Item Number

• Identifies how records are filed at the State of
  Texas.
• The Record Series Item Number corresponds to the
  State Library Retention numbering system.
• The Agency Item Number corresponds to UTSA
  Retention numbering system.

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Record Series Title

• Indicates how each content area is classified.
• Records titles are determined by the State and
  University needs.
• Records are divided into categories, sections,
  and specific content.
• Administration Records (Category)
• Section 1.1 General (Section)
• 1.1.102 Audits (Specific Content Title)

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Retention Period

• The records life expectancy
• Separated into three areas
• A Agency Retention Period
• S Storage
• T Total Retention Period
• Follow the Agency (A) Retention column for UTSA
  record processing.

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Retention Remarks

• Provides additional clarification for the
  retention period.
• May also provide specific instructions in the
  retention of a particular record.
• List additional information the state may use
  when archiving records.

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Searching within the Retention Schedule

• Example 1
• Retaining Departmental leave reports
• Identify the proper Record Series Title
• Employment Records (Category)
• Find the appropriate Subsection
• Section 3.4 - Time and Leave Reports (Subsection)
• Identify the Agency Item Number
• 3.4.102 Leave Status Report (Agency Item )

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Determining Retention Period

• Use the Agency (A) column to determine the
  Retention Period
• 3.4.102 Leave Status Reports
• A (Agency) Retention period is FE 3
• Records are retained FE (Current FY) plus 3
  previous years
• Records must be retained current fiscal year
  (2009) plus 3 previous years (2008, 2007, 2006)
• UTSA calendar runs 2008/2009 (FY09) therefore,
  retention will be maintained until 2005/2006
  (FY06)
• Records Previous to FY06 (2005/2006) maybe
  destroyed

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Determining Retention Time Frame

• Example 2
• Position/Job Description
• 3.1.123 Position/Job Descriptions
• A (Agency) Retention period AC5
• Records are kept on file until the position has
  been filled or terminated, plus an additional
  five years
• Records must be retained from 2009 until 2014

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Records RetentionUniversity Archives/ Electronic
Records

• Angela Ossar

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University Archives

• At the end of the retention period
• Who maintains it?
• Purpose of the University Archives

Letter from first ITC director to Gov. John
Connally, UTSA Institute of Texan Cultures
Records, 1965-2006, Archives and Special
Collections, UTSA Library
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Archival Codes

• Indicates whether the material is, or might be,
  appropriate for permanent retention in the
  University Archives

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Archival Codes

• UTSA Archival Codes
• I Transfer to University Archives
• O Review by University Archivist

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Archival Codes

• Some examples
• Organizational charts (I)
• University Catalogs (I)
• Publications (I)
• Subpoenas (I)
• Speeches, Papers, and Presentations (O)
• Building Plans and Specifications (O)

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Archival Codes

• Archives Notes (9. Remarks)
• What is and isnt archival
• Level of authority
• Significance of action
• Subgroups of records (e.g., data processing
  planning records)
• Where to send the records
• University Archives
• Texas State Publications Depository Program
  http//www.tsl.state.tx.us/statepubs/docs/Summary_
  Sheet.Univ.2008-01.pdf
• Archives Notes without Archival Codes?

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University Archives

• We also collect
• Copies of UTSA newsletters and magazines
  (official, student-produced, departmental
  newsletters)
• Photographs documenting UTSAs early years up to
  2000
• Meeting minutes of the Faculty Senate, University
  Assembly, Graduate Council
• Papers of selected faculty, staff, and
  administrators
• Faculty/staff and student directories
• Brochures, posters, and artifacts
• Upcoming

The Discourse, Vol. 1, No. 5 (June 1973).
Archives and Special Collections, UTSA Library
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University Archives

• Benefits
• Preserve organizational memory
• Policy background
• Histories
• Marketing and community relations

Gil Barrera Photographs of UTSA, 1972-1978, MS
27, Archives and Special Collections, UTSA
Library.
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E-Records are Records

• Format doesnt matter
• Content, context, and structure do
• New challenges posed by e-records dont negate
  their status as records
• Technological obsolescence
• Diversity of formats
• Complicated preservation

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Designating the Record Copy

• Electronic files are dispersed easily
• Theyre found throughout the organization
• The Record Copy is
• Copy created or received originally
• Copy managed well
• Most complete copy

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Inventorying Records

• What kind of e-records is your office creating?
• Talk to everyone in the office
• Forms, email, newsletters or other publications,
  reports, strategic plan goals everything that
  is
• Maintained strictly electronically (no paper)
• Create the inventory
• Will work best with a spreadsheet or database.

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Scheduling Records

• Using your inventory, compare to the retention
  schedule.
• Find each item on the retention schedule and
  record its retention period in the inventory.
• Integrate retention into your Electronic Records
  system.
• Doesnt only apply if youre just using software
  consider folders
• Include dates in folder names Annual Reports,
  FY 2008-2009
• Designate folder for storing PERMANENT and
  ARCHIVAL records

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Retaining or Disposing of Records

• If retaining
• Determine the appropriate preservation format
• Paper, microfilm, or electronic
• If disposing
• Ensure timely destruction
• Control all copies (have one copy)
• Purge hard drives before transferring

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Taking Care of Electronic Records

• Storage
• Save copies to network it gets backed up
• Dont save to C drive
• Dont use flash drives (USB drives) physical
  loss
• Our network is full. Can I just burn everything
  to a CD or DVD?

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Transferring Records to the Archives

• Handout (How to Transfer your Departments
  Records)
• Different information needed, slightly different
  procedure
• Records Transfer Authorization form
• Forms on Archives website http//www.lib.utsa.edu
  /archives/forms.html

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University Archives Services

• Please Contact Us!
• Items to transfer to Archives
• Items needing archival review
• Questions about Archival Codes or Notes
• Help interpreting the retention schedule
• Help creating a File Plan
• Using University Archives holdings
• Questions about the transfer process

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University Archives

• Locations
• Institute of Texan Cultures
• John Peace Library Special Collections
• Staff
• Angela Ossar, University Archivist
• Ext. 2383 or Angela.Ossar_at_utsa.edu
• Mark Shelstad, Head of Archives and Special
  Collections
• Ext. 2385 or Mark.Shelstad_at_utsa.edu
• Website
• http//www.lib.utsa.edu/archives/ua/

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Records RetentionStoring Boxes

• Frank Salinas

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Preparing for Storage

• Order Record Retention Boxes
• Create Record Retention Labels
• Complete Request for Storage Form

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Order Record Retention Boxes

• Create a General Store Requisition to obtain
  storage boxes.
• Use the Commodity code 615-37-09030-2
• Fax the Requisition to 4607
• Boxes will be delivered to the requesting
  department.

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UTSA Records Retention Storage Area
Proper Boxes
Improper Boxes will be RETURNED
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Create Record Retention Box Labels

• Create a Retention Label from the PDS website
• Include the following information on the label
• Agency Item Number
• Record Title and Year of Material
• Destruction Date
• Print and place label on the outside of the box.

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Complete Request for Record Storage Form

• Submit a Request for Storage Form
• Fill in the contact information
• Length of time the material will be stored
• Box Number
• Record Series Number
• Description / Content
• Mail original form via Campus Mail
• DT Mail Services
• Attn Frank Salinas
• Approved form will be returned

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Helpful Information

• Create a Record Retention Folder or Notebook
• Tips for record retrieval

Records Retention
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A Retention Notebook

• It helps to be organized
• Create a Retention Records Notebook
• This will help when requesting records to be
  pulled from retention
• File by Box Number
• Copies of Box Labels
• Copies of Request for Storage forms
• File Plan can be helpful

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Requesting Records for Retrieval

• Contact DT Mail Services Manager, Frank Salinas,
  at the Records Retention Center
• Frank.Salinas_at_utsa.edu
• 2781
• Box number(s) and content description
• Boxes will be couriered to the requesting office

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Records Retention Certification
Records Retention Representative
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Records Retention Representative

• Assist others within the department on how to
  read the Records Retention Schedule
• Prepare department documents for Records Storage
• Complete annual training

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Certification

• What is the purpose of Records Retention?
• Name at least three Retention Codes.
• If you need assistance with Records Retention,
  who do you contact?
• What are at least two things you learned today,
  that you didnt already know.

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Certification Practical Exercise

• You have been provided a records retention
  schedule, label and request for records storage
  form.
• Create a label and a request for storage form for
  the following records
• Departmental Budget Reports, FY 08
• Departmental Budget Adjustments, FY 08
• Expenditure Reports, FY 08
• Daily Cash Receipts, FY 08

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Certification Practical ExerciseRecords
Retention Label Answers
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Certification Practical Exercise Request for
Storage Form Answers
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Records Retention Resources

• UTSA Records Retention Center
• Frank Salinas
• Ext 2781
• UTSA Electronic Records
• Dr. Annette Evans, Information Security Officer
• Ext 5899
• University Archives
• Angela Ossar
• Ext 2383

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Records Retention Resources

• Websites
• UTSA Records Retention
• http//www.utsa.edu/pds/records/
• UTSA University Archives
• http//www.lib.utsa.edu/archives/ua/
• General Stores
• httpwww.utsa.edu
• Records and Information Management and Retention
• HOP Chapter 9
• http//www.utsa.edu/hop/chapter9/9-21.cfm

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