RECORDS RETENTION AND DISPOSITION October 30, 2013

1. RECORDS RETENTION AND DISPOSITION October 30, 2013 Welcome, RMCs and Guests!

2. 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

3. 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 record-keeping, 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.

4. University Records Management Program Focus of this Information Session Retention Schedules, Storage of Inactive Records, Disposition of Records

5. 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.

6. 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.

7. 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

8. University Records Management Program Managing Inactive Records Retention requirements apply to the official record copy and not extra/reference copies. If you cannot confidentlyidentify 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.

9. University Records Management Program • Storage: “Managing in Place” on Campus • Responsibility is with the department to ensure that the records are: • 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. • Control access • Control environment • Don’t forget retention…“out of sight, out of mind”

10. 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. • 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

11. 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.

12. 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.”

13. 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!

14. University Records Management Program • Disposing of Records • Through Central Receiving and Surplus • Before the Records are Picked Up by Central Receiving: • Complete a Document Destruction Request Form (Exhibit 2-50) and email or fax to Central Receiving (receiving@listserv.uta.edu, 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

15. 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

16. University Records Management Program • Disposing of Records • Through Central Receiving and Surplus • After the Records Have Been Picked Up • 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

17. 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 • “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)

18. 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.

19. 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

20. University Records Management Program • Disposing of Records: Document it!

21. 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!)