Records Management Basic Training

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Records Management Basic Training

• University of Texas at AustinRecords Management
  Services

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Our Agenda

• What is a record?
• Why do we have to manage them?
• Who is responsible for managing them?
• What do I keep and what do I throw away?
• How do I dispose of records?
• How often do I need to review and purge records?

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What Is a Record?

• A record captures or documents the relationships
  and transactions between the university and our
  students, faculty, staff, donors, and sponsors as
  well as with the general public and governmental
  entities.

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What Is a Record Life cycle of a record

• Created through interaction between the
  university and its constituents
• Activethe record is used in business processes
• Stored to meet regulatory requirements or to
  support decisions or actions throughout audit and
  dispute cycles
• Disposed
• Destroyed
• Archived

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What Is a Record Its not the mediumits the
message!

• Retention requirements apply to
• PDFs and imaged records.
• Electronically Stored Information (ESI).
• correspondence in any medium that is declared as
  a record based on its content.
• good old paper documents.

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Why Do We Do This?
State Law sets records management authority and
responsibilities for the Texas State Library and
requires the establishment of a Records
Management Officer for each state agency. It also
sets forth requirements for each state agency to
develop a records management program and a
records retention schedule and establishes
standards for retention of electronic records and
the destruction of records containing
confidential information. Federal Law sets
retention requirements for documentation of
federally regulated activities or funded
programs.
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Why Do We Do This?

• Texas Government Code 441.183 et seq
• Texas Administrative Code Title 13 Part 1 Chapter
  6 Subchapter A
• Code of Federal Regulations

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Why Do We Do This To minimize risk and lower
liability

• In the event of a lawsuit, audit, or request for
  public information, will we have the required
  documentation?
• Records must be retained and available throughout
  the life-cycle.
• Record retention requirement calculations are
  based on statute of
  limitation requirements, state
  and federal regulatory requirements, cycles of
  dispute, and business practices.
• Records must be kept as long as required and
  destroyed soon after retention requirements are
  met.
• Consistent and routine management of records
  demonstrates a good faith effort to comply with
  legal requirements.

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Why Do We Do This To provide efficient and
transparent business processes

• Good records management practice supports the
  goal of getting the right information to the
  right people at the right time.
• Knowing which documents and information should be
  retained, why they are retained, and how long to
  retain them reduces clutter and streamlines
  workflow.
• Well organized and managed information is quickly
  and easily retrieved when required.
• Awareness of the requirement to retain records to
  support actions and decisions enhances
  transparency ingovernance.

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Why Do We Do This To preserve our institutional
story

• University archives are kept at the Center for
  American History.
• The archival value of a record series is
  determined at the time the record series is added
  to the UTRRS.
• Staff judgment of the historical value of records
  not listed as requiring archival review is
  valuable. You are often the experts on the
  significance of some records.

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Who Is Responsible?

• Everyone!
• Everyone is responsible and accountable for
  keeping accurate and complete records of the
  business activities they conduct.

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Who Is Responsible University roles and
responsibilities

• Texas State Library and Archives
  Commissionmandates records management rules and
  requirements for all state agencies it develops
  the state records retention schedule.
• Records Management Officerdevelops university
  records management policy, administers university
  records management program, manages University of
  Texas at Austin Records Retention schedule,
  maintains the records disposition log, and
  provides training and support for department
  records management contacts and university staff.

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Who Is Responsible University roles and
responsibilities

• Department or Unit Headsdesignate Department
  Records Management contact in the university
  department system they review and approve
  Requests for Internal Authorization to Dispose of
  Official State Records.
• Department Records Management Contactsdevelop
  and maintain departmental procedures and
  retention plans they prepare the Request for
  Internal Authorization to Dispose of Official
  State Records form they oversee disposal of
  documents.

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What Do I Keep. . .

• . . . and what do I throw away?
• Meet the UTRRSUniversity of Texas at Austin
  Records Retention Schedule is a list all of the
  records created in the course of university
  business and the retention requirement for each
  one.

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What Do I Keep Master records vs. convenience
copies

• The UTRRS sets retention requirements for master
  records.
• State law requires documentation of disposition
  for master records.
• Convenience copies can be disposed when they are
  no longer needed and do not require RMS
  authorization to do so.
• Caution Do not retain convenience copies past
  the retention requirements of the master record.

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What Do I Keep Transitory information

• Some examples of transitory information, which
  can be in any medium (voice mail, fax, e-mail,
  etc.) are routine messages, internal meeting
  notices, routing slips, and similar routine
  information used for communication but not for
  the documentation of a specific university
  transaction.

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What Do I Keep Retention requirements

• State Codes
• The State records retention schedule (RRS) sets
  minimum requirements for records managed by all
  state agencies.
• The UTRRS contains reference links to
  corresponding State RRS codes.

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What Do I Keep Retention requirements

• University Codes
• AALL codes are developed for general use by all
  departments.
• Department codes are developed for specialized
  department records.
• University codes must be used for all requests to
  dispose of records.

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What Do I Keep Retention requirements

• Archival Review Requirements
• Archival review requirements for entire record
  series are set at the time the record series is
  added to the UTRRS.
• UTRRS archival review codes
• I Transfer to the university archives
• O Review by archivist
• UTRRS codes requiring archival review are printed
  in red in the UTTRS

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What Do I Keep Retention requirements

• Vital Records
• Vital records are records necessary to the
• resumption or continuation of university
  operations in an emergency or disaster.
• re-creation of the legal and financial status of
  the university.
• protection and fulfillment of obligations to the
  people of the state.
• UTRRS is guided in designating record series as
  vital by the State RRS.

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What Do I Keep Retention requirements

• Retention Codes
• AC After close
• AV As long as administratively valuable
• CE Calendar year-end
• FE Fiscal year-end
• LA Life of asset
• PM Permanent
• US Until superseded

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Now its time for a visit to the UTRRS online!
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How Do I Dispose of Records?

• The end of the life cycle of a record
• Destruction
• Archival Transfer

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How Do I Dispose of Records?

• Request for Authorization to Dispose of Official
  State Records
• A request must be submitted and approved prior to
  destroying any Master Record. The request form
  provides the essential information to complete
  the records disposition log that is required by
  state law.
• Failure to maintain complete and accurate
  disposition logs exposes the university to
  serious risk in the case of lawsuits, public
  information requests, audits, and other claims
  and disputes.

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How Do I Dispose of Records?

• Request for Authorization to Dispose of Official
  State Records
• Incomplete logs and inconsistent application of
  retention requirements strips away the
  protections that good faith records management
  programs provide.
• Request to Dispose www.utexas.edu/business/accoun
  ting/retention/ disposeforms.html

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How Do I Dispose of Records Disposition
requirements

• Master Records
• Prepare and submit a request to dispose form
• Wait for authorizing letter
• Dispose per authorizing letter instructions
• Notify RMS after the disposition of the records
• Convenience copiesmay be disposed without
  authorization when no longer needed
• Transitory Informationshould be routinely
  disposed as soon as it has served its purpose

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How Do I Dispose of Records Confidential
information

• Any record (master record, convenience copy, or
  transitory information) that contains
  confidential information must be destroyed in a
  manner that preserves confidentiality.
• Do not place records containing confidential
  information in a blue recycle bin!
• Austin Task is the authorized vendor for
  disposing of records containing confidential
  information.

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Caution!

• Even if a record meets retention requirements it
  may not be destroyed if any litigation, claim,
  negotiation, audit, public information request,
  administrative review, or other action involving
  the record is initiated, impending, or imminent
  until the completion of the action and the
  resolution of all issues that arise from it.

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How Often Do I Need To Review and Purge Records?

• At least once per year.
• Document departmental records management
  procedures www.utexas.edu/business/accounting/ret
  ention/ checklist.html
• Be routine and consistent in management and
  disposition of records in accordance with the
  UTRRS, university records management policy, and
  written department procedures.

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How Often Do I Dispose of Records Departmental
procedures

• List the department Records Management Contact
  and other records management roles and
  responsibilities.
• Inventory records to be managed.
• List retention practices for records with AV
  retention requirements.
• List retention practices for any records that you
  routinely retain longer than UTRRS requirements

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How Often Do I Dispose of Records Departmental
procedures

• Document review and purge procedures and
  schedule.
• Document automated disposition protocols for ESI.
• Document any activity that results in the
  destruction of records.

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Questions?