To the

1
Welcome

• To the
• Records ManagementRoundtable
• October 4, 2005

2
Records Management Roundtable Meeting Agenda

• Welcome and Introductions
• Overview of June 8th meeting
• Whats new in UT Records Management
• Official Records Management Contacts
• Request for Internal Approval to Dispose of State
  Records Form (a.k.a. disposal form) How to fill
  out a disposal form
• Evaluation form
• Next meeting --- February 2006

3
Overview of June 8th meeting

• Review of Records Management
• Discussion of Recertification of Texas State
  Records Retention Schedule
• Retention period for audits (Section 1.1.002)
• Proposed 2005 Amendment to The University of
  Texas at Austin Records Retention Schedule
• Visit
• http//www.utexas.edu/business/accounting/retentio
  n/index.html
• for the PowerPoint presentation

4
Whats New in UT Records Management

• UT-Retention mailing list is used for the
  records management team to disseminate
  information to subscribers.
• RECORDS mailing list is used for questions and
  answers between subscribers and the records
  management team.
• Visithttp//www.utexas.edu/business/accounting/re
  tention/subscribe.html for instructions to
  subscribe.
• Help us evaluate the records management and
  records retention services web pages. Visit
• http//www.utexas.edu/business/accounting/retentio
  n/feedback.html

5
Official Records Management Contacts

• The UT department system is an organization,
  information and communication system available
  through UT Direct.
• Contacts are individuals in departments with
  specific roles with regard to campus-wide issues
  for their department.
• Contact Types are the roles that these contacts
  can have.
• We have a added a new department contact type for
  records management!
• https//utdirect.utexas.edu/dept/index.WBX

6
Records Management and Retention Contact Type

• This type has been created as a required contact.
  As your department updates or develops your
  department profile you will be required to name a
  Records Management and Retention contact.
• One person can be the contact for more than one
  department.
• One person can fill the role of more than one
  department type.

7
Records Management and Retention Contact Type
Purpose

• Reinforce campus awareness of records management
  and retention.
• Provide an additional method to communicate
  important information campus-wide.
• As the department system grows and develops,
  records management will be integrated into the
  business processes of campus life.

8
Records Management and Retention Contact Type
Duties

• Relay information about records management issues
  and requirements to departmental administrative
  entities.
• Acquire needed information and training in UT
  records management policy.
• Work with the records management team to perform
  departmental records management tasks.

9
Request for Internal Approval to Dispose of State
Records Form (a.k.a. disposal form)

• How to complete a disposal form

10
Overview

• Before you start information you will need to
  complete the Request for Internal Approval to
  Dispose of State Records form (disposal form).
• Anatomy of a disposal form a step by step look
  at the form.
• Prepare a disposal form.
• Audience participation.
• Required departmental and administrative
  signatures to complete the disposal form.
• Your questions.

11
Preparation steps

• Some preparation work needs to be done prior to
• completing the disposal form
• Review your records.
• Use the UT RRS to assign a UT and record title
  to each record.
• Check the retention period for your records to
  see if they have met their retention period and
  can be destroyed.
• If you have trouble with any of these steps,
  contact the records management staff for
  assistance.

12
Preparation step 1 Review your records

• Lets look at one record you probably have in
  your
• department
• In a folder, you have information from 30 people
  who
• applied for the Administrative Assistant position
  in your
• department in September of 1999. This folder
  contains
• copies of resumes, references, applications, etc.
  from the
• applicants. None of these people were hired for
  the
• position.

13
Preparation step 2 Use the UT RRS to assign a
UT and record title

• How do you do this?
• Go UT RRS. http//www.utexas.edu/business/accounti
  ng/retention/ret.html
• Search for your type of record.
• What is the UT that applies to these records?
• AALL191
• What is the Record Title?
• Applications for Employment Not Hired

14
Preparation step 3 Check the retention period
for your records

• What is the retention period for your record?
• FE 2 (Fiscal year end 2 years)
• What are the dates of your records?
• September of 1999
• Can these records be destroyed?
• Yes
• Why? Because on August 31, 2002 they met their
  retention period.

15
Preparation step 4Trouble classifying your
records

• Could you classify the records in this exercise?
  If not, this would be the time to contact the
  records management staff.
• We can be reached
• by email recordsmgmt_at_austin.utexas.edu
• by phone
• 232-5648 Karen Griffin
• 232-5647 Maryrose Hightower-Coyle
• by fax [phone]
• by campus mail Office of Accounting---K5300
  

16
Anatomy of a disposal form

• We have all of the information we need to prepare
  the disposal form.
• Before we prepare the disposal form, lets review
  all of the sections.

17
Anatomy of a disposal form

• Disposal form http//www.utexas.edu/business/acco
  unting/hbp/forms/dispose.pdf
• Instructions for filling out the disposal form
• http//www.utexas.edu/business/accounting/retentio
  n/instructions.html

Section 1
18
Anatomy of a disposal form
Section 2
19
Anatomy of a disposal form
Section 3
20
Anatomy of a disposal form
Section 4
21
Prepare a disposal form

• Lets use the folder we talked about earlier
  which contains
• information from 30 people who applied for the
  Administrative
• Assistant position in your department in
  September of 1999. None of these people were
  hired for the position.
• Remember we classified this folder as UT
  AALL191,
• Record title -- Applications for Employment-Not
  Hired
• with a retention period of FE 2.
• We figured out that this record can be destroyed
  after
• August 31, 2002.

22
Prepare a disposal form

• We are going to the disposal form online and
  prepare it for our records.
• http//www.utexas.edu/business/accounting/hbp/form
  s/dispose.pdf

23
Prepare a disposal form
24
Prepare a disposal form
25
Audience Participation

• Do you have a packet of papers you picked up when
  you arrived?
• You should have in your packet
• Agenda
• Example and Instructions seven types of records
  to classify.
• A sample of the UT RRS.
• Quick reference guide.
• Request for Internal Approval to Dispose of State
  Records form.
• Evaluation form
• You will have 25 minutes to review the records
  and fill out the form.
• We will go over the answers together.
• Good luck!!

26
Audience Participation

• Today is October 4, 2005.
• You are the Records Management Contact in ABC
  Department.
• Your departments file cabinets are full and you
  wonder if you have records that can be destroyed
  that have met their retention period.

27
Audience Participation
Having fun???
28
Audience Participation
29
Audience Participation
We are ready to discuss the examples.
30
Audience Participation

• Today is October 4, 2005.
• You are the Records Management Contact in ABC
  Department.
• Your departments file cabinets are full and you
  wonder if you have records that can be destroyed
  that have met their retention period.

31
Audience ParticipationDiscussion

• Your department has organizational charts dated
  January 1999, April 2004, and October 2005.
• How did you classify these records?
• UT AALL050
• Record title -- Organizational Charts
• Retention period -- US (until superseded)
• Archival review Yes
• Which records can you destroy?
• January 1999 April 2004
• When can you destroy the October 2005
  organizational charts?
• When they have been superseded
• How do you handle archival review?
• Records Management staff will supply instructions

32
Audience Participation Discussion

• You find in the file cabinet original time sheets
  dated October 1, 1979 July 31, 2005.
• How did you classify these records?
• UT AALL306
• Record title --Time Cards and Time Sheets
• Retention period -- 4 years
• Archival review No
• Which records can you destroy?
• October 1979 September 2001
• Next year, what records can you destroy?
• October 2001 actual 2002 actual date you are
  completing the disposal form

33
Audience Participation Discussion

• Dr. Jones is leaving the University effective
  August 31, 2005. The last classes Dr. Jones
  taught were in the Spring Semester of 2005. He
  has tests, course materials and other records in
  his file cabinets. The records are dated from
  Fall Semester 1980 Spring Semester 2005.
• How did you classify these records?
• UT AALL350
• Record title -- Course Materials, Tests,
  Assignments, Rosters
• Retention period -- AC 1 where AC after close
  of course semester
• Archival review Yes
• Which records can you destroy?
• September 1980 June 2004
• Next year, which records can you destroy?
• July 2004 - June 2005
• How do you handle archival review?
• Records Management staff will supply instructions

34
Audience Participation Discussion

• You are responsible for maintaining receipts for
  the Procards that the faculty in your department
  use. You have receipts for Procard vouchers from
  January 2001 August 2005.
• How did you classify these records?
• UT AALL470
• Record title -- ProCard and Office Depot Vouchers
  Documentation
• Retention period -- FE 8
• Archival review No
• Which records can you destroy?
• None unless all backup has been sent to the
  Office of Accounting for imaging.
• Next year, what records can you destroy?
• None
• When is the earliest you can destroy any of these
  records?
• January 2001 August 2001 can be destroyed in
  September, 2009

35
Audience Participation Discussion

• Chair Alice Wilson of ABC Department has letters
  and memos from July 1965 August 2005. Some of
  the letters and memos are copies sent from Dean
  Pat Brown. Some of the letters and memos she
  wrote to Dean Brown in response to questions
  about the department.
• Disclaimer These letters and memos
  dont deal with development and administration of
  policies,
• procedures, and major transactions.
• Hint You are going to have to separate these
  records into master records
• and convenience copies. What do you know about
  convenience copies?
• How did you classify these records?
• UT AALL025
• Record title -- Correspondence General
• Retention period -- 1 year
• Archival review No
• What records can you destroy?
• July 1965 September 2004
• Next year, what records can you destroy?
• October 2004 August 2005

36
Audience Participation Discussion

• You open a box in your storage room and it is
  full of VP2 documents dated January of 1995 thru
  May of 2002.
• How did you classify these records?
• UT AALL436
• Record title -- Accounts Payable Vouchers,
  Billing Detail
• Retention period -- FE 8
• Archival review No
• What records can you destroy?
• January 1995 May 2002 You probably have
  convenience copies of these documents.
  Convenience copies can be destroyed at any time
  before the end of the retention period.
  Remember that convenience copies only need to be
  kept as long as they are administratively
  valuable. Refer to Note 3 on the UT RRS.
• Please note Payment voucher documentation is
  sent to the Office of Accounting for
• imaging. Therefore, you probably have
  convenience copies in your files. To check to
  see if
• you have convenience copies, you can go to the
  Image Retrieval System (IRS) and check by
• document ID . IRS came online in 2000.

37
Audience Participation Discussion

• On March 12, 2005 you created a spreadsheet to
  help you prepare for your official inventory
  report. You listed each tagged item in your
  department and its location. You transferred all
  of the information into your official report.
• How did you classify these records?
• UT AALL083
• Record title Transitory Information
• Retention period AC Purpose of record has
  been fulfilled. The disposal of transitory
  information need not be documented through
  destruction sign-offs or in records disposition
  logs, but departments should establish procedures
  governing disposal of these records as part of
  its records management plan.
• Archival review No
• These documents do not require approval from the
  Records Management staff so they dont have to be
  entered on the disposal form. These comments
  will be added to the UT RRS when the 2005
  amendment is approved.

38
Lets look at the completed disposal form
39
Lets look at the completed disposal form
40
Required Signatures

• No disposal form is complete until it has been
  reviewed and signed by appropriate, authorized
  signers.
• Departmental signatures required
• Preparer
• Unit head, dean, or appropriate supervisor signs
  and dates
• Note The form may be approved with only the
  department heads signature
• Administrative signatures required
• UT Austin Records Administrator Jane Goss
• Records management team will send the preparer a
  memo and copy of approved disposal form for their
  records.
• Now you are ready to destroy the records.

41
Your Questions

• Have you ever had a problem completing the
  disposal form?
• Do you have any suggestions at this time?
• Please feel free to follow up on this session.
  The next time you fill out a disposal form, let
  us know if this training session has been useful.
  We want to support you in effective practices.

42
Reminders

• Blanket P.O. for document shredding has been
  temporarily cancelled.
• Iron Mountain is no longer the vendor for the
  blanket P.O. for document shredding.
• The new vendor is Austin Task. If you must shred
  documents before the blanket P.O. is reinstated
  contact your buyer in Purchasing.
• We will send a notification to UT-Retention and
  to the UT Department Records Management contact
  list when the P.O. is reinstated.

43
Reminders

• Office of Accounting will scan all prior year
  VP7/VP9 documentation, not just 2004-2005.
  Remember when documentation is sent for scanning,
  it must be doc prepped. See http//www.utexas.e
  du/business/accounting/image/docprep.html for
  instructions
• All VP7 documents dated prior to 9/1/97 can now
  be destroyed. You will need to complete a
  disposal form and receive approval.
• UT Archivist Ralph Elder retired on August 31st.
  Interim UT Archivist is Brenda S. Gunn.

44
Evaluation Form

• Thank you for participating in the records
  management roundtable meeting today.
• We would like to ask that you take a few moments
  to fill out the evaluation form in your packet of
  papers.
• We appreciate your feedback on this session.

45
Next Roundtable Meeting

• When February 2006
• What time ?
• Where MAI 212
• Hope to see all of you then!

46
University of Texas Records Management and
Retention Services

• Contact Information
• Karen Griffin 232-5648
• Maryrose Hightower-Coyle 232-5647
• Email recordsmgmt_at_austin.utexas.edu
• Fax [phone]
• K5300Office of AccountingRecords ManagementMAI
  2102
• Records Management staff will assist and support
  the Records Management process, as needed by the
  user
• URLs
• General Information http//www.utexas.edu/busines
  s/accounting/retention/
• Retention Schedule http//www.utexas.edu/business
  /accounting/retention/ret.html
• Request for Internal Approval to Dispose of State
  Records http//www.utexas.edu/business/accounting
  /retention/dispose.html