UTEP Records Management Services: Ensuring Compliance and Proper Disposition of University Records

1. UTEPRecords Management

2. Records ManagementMission Statement • The role of Records Management Services is to provide university departments with information of all facets of UT Systems Records Retention Guidelines & UT El Paso Policies and Procedures by providing advice and guidance. • Upon request, we are here to guide you with the necessary steps to ensure that your official departmental records are being maintained and dispose of according to Texas State Library and Archives Commission.

3. Records Management Basic Training • What is Records Management? • Why is Records Management so important? • The role of UTEP’s Records Management. • Who is responsible for Records Management at UTEP? • What is a record? • What is a records retention schedule? • Electronic Records • What is E-Mail? • Imaging of Records=Advantages/Disadvantages • Storage Procedures • Retrieval process/schedule • Final Disposition of Records • Questions or Comments?

4. What is Records Management? • RecordsManagement (RM) is defined as themanagement of records =(paper, digital, electronic format, magnetic media, photographic media, CD, etc.) regardless of the medium from their creation to their final disposition. • Every employee within a department performs records management in one form or another. • Records Management is the fundamentally important and necessarytask of every individual within a department.

5. Why is Records Management so important? For a number of reasons: • Records are vitally important to the operation of UTEP. The university records serve as evidence of their day-to-day business transactions, evidence of research, grants, decisions to implement policies and procedures and for historical purposes. • Without accurate and responsible maintenance of records, UTEP is vulnerable to lawsuits, negligence and improper destruction of university records.

6. Records Management Role at UTEP • Our role is to ensure the storage and final disposition of allofficial universityrecords which are created by the university departments and to be in full compliance with the mandates handed down by the State of Texas. • In addition; UTEP’s Records Management is responsible for providing (in an advisory capacity) guidelines, laws and services to help university departments become and remain compliant with records retention guidelines as established by the Texas State Library and Archives Commission.

7. Who is Responsible for Records Management at UTEP? In short, YOU ARE. • Records Management staff does not act as an enforcer or policing capacity. Once we provide the guidelines and services designed for your department needs; the ultimate responsibility for the orderly maintenance and disposal of university records lies in the hands of the department to which the records belong to. • This is where accountability takes place…..

8. What is a Record? • As defined by the Texas Government Code 441.180(11), a state record is any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency or an elected official that documents activities in the conduct of state business or use of public resources. • The term does not include library or museum material made or acquired and maintained solely for reference or exhibition purposes; an extra copy of recorded information only for reference; or a stock of publications or blank forms. • A record is a record regardless of the medium and must follow the retention schedule.

9. What is a Records Retention Schedule? • Records retention schedule* is the establishment of writtenstandards/laws, known as Records Retention Schedule, for the retention and disposition of records. *UTEP State of Texas Records Retention Schedule (approved 07/11/2012) *Texas State Records Retention Schedule Revised 4th Edition, Effective July 4, 2012. • These standards/laws are based on information supplied by each department of each component (universities) and with the knowledge of the Texas State Library and Archives Commission and with the Texas System Records Management staff. • Considerations are given to the legal, fiscal administrative and historical value of records in establishing retention periods and prescribing disposal methods.

10. Electronic Records • Records created, managed, or retained in electronic format systems as original records must be retained and disposed of in accordance with The University of Texas at El Paso Records Retention Schedule (approved/certified 07/11/2012). • State law regarding electronic records requires that they are individually identifiable and retrievable for their entire retention period. Backup tapes cannot be considered a method of retaining records unless the backup is indexed for individual record retrieval. • All departments at the university who use automated systems for records maintained in Application Extender or any other electronic media have a “responsibility” to ensure the integrity of the date entered and the quality of the imaged records. • A department may choose to image records at the department level, each department has a responsibility to follow the federal and state regulations regarding electronic records: (image resolution, retrievable standards, security requirements). Measures must be taken to ensure the ongoing and readability of the records for the length of time they must be retained.

11. Electronic Records; continued • UTEP Records Management recommend all University departments, when possible and pertinent, to use all available electronic technologies that increase efficiency, cost effectiveness or improve the methods to process, handle, retrieve, transmit and retain University records and information. • Please Contact UTEP IT Department for advice and guidance! • Ensure that electronic state record and any software, hardware and documentation, including maintenance documentation, required to retrieve and read the electronic state record are retained as long as the approved retention period for the record and disposed of in accordance with the University certified Record Retention Schedule. • All University official correspondence and business records are subject to the record retention policy whether in electronic or other tangible form. Preliminary drafts of letters, memos, spreadsheets, and transitory e-mails are normally not considered official state records therefore do not need to be retained.

12. What is E-Mail? • E-Mail is a method of delivering information. It is not a kind of record. • E-mail is a lot like regular mail. You get junk mail. You may also receive correspondence from H.R., other departments, contracts and purchase vouchers, etc. • You manage your e-mail the same way you manage your paper records by subject and business function. • In order to run the university business and meet UTEP legal obligations, we have to maintain must of the information we receive by e-mail in the same way we manage paper records. • Please contact UTEP IT Department for advice and guidance!

13. E-Mail Guidelines;continued • Correspondence that is delivered as email for the purpose of conducting university official business must be categorized by its content and function. • The following rules apply to emails that must be retained as official university records: • If no response is sent via email, retain the incoming message. Example: if a phone call is made in response to an email received, retain the email. • If a response or a series of responses (a thread) is sent by email, keep the last outgoing email showing the final response, or the last incoming email that shows the final resolution of the correspondence. • If an email is forwarded to someone else for resolution, retain the forwarding email.

14. E-Mail Guidelines;continued • Note: Emails that are categorized as “transitory information” can be disposed of as soon as their purpose has been fulfilled. • Retain the email in an electronic format. State law requires the retention of transmission data, also known as metadata (the date describing context, content, and structure of records), to establish the authenticity and integrity of the record. Data that must be retained includes: • Name of Sender • Name of recipient/addressee • Date/time the message was sent • Attachments • As with paper records, when an employee departs, it is best practice to transfer email original records to a common folder where they can be managed by the department until the retention requirements are met.

15. Imaging of Paper Records Definition: Electronic imaging is a system and technology for converting and process paper documents and/or microfilm to digital electronic information Images are scanned (stored as image) or processed as OCR (Optical Character Recognition) and stored on optical disks. Contact your IT Department for advice and guidance. Advantages: Fast Retrieval, packing (storage) density, transmission speed, and workflow improvements. Disadvantages: Cost of system, software, and supplies. Detailed procedures must be written and implemented; Training is ongoing and continuing audits are necessary. Back file conversions create a need for additional planning to avoid the confusion of running two retrieval systems simultaneously. You must budget for migration and upgrades. When to Image? High volume of paper copies High demand of retrievals Please contact UTEP IT Department for advice and guidance!

16. Storage Procedures • Each department must meet Records Management warehouse storage criteria. • Any box transported to storage must be NEW; 1 cubic foot in size. • Archival boxes (brown) must be purchased directly from Contact Work Control, Facilities Services, contact them at ext. 7187. • Please use your department’s budget to pay for the boxes. You will need to issue a purchase requisition. • Old worn out boxes will not be accepted. Invest in long term storage!

17. Storage Procedures; continued • Organize your records by alpha range or numeric sequence and/or account # and you must create an index/catalog list of your records; tape a copy inside the box lid. It is your responsibility to submit a list to Records Management in advance, for review and in order to process labels for your boxes at no charge. • NO HANGING FOLDERS. NO BINDERS. NO BLACK CLIPS. NO EXCEPTIONS. • Archive records properly into (1 cubic foot) archival banker boxes. (Brown boxes must be purchased directly from Facilities). • It is the responsibility of each department to arrange and transport the boxes to storage by contacting Facilities Services, Work Control, ext. 7187. Use your department’s budget to pay for the labor, you will need to issue a purchase requisition. Please contact Carmen Gonzalez 2 working days in advanced in order to open the warehouse. • Records Management will not be responsible for missing documents and/or file folders not properly stored in your archival boxes. • Verify your records prior to transferring to the warehouse for storage.

18. Retrieval of Records • If an inactive document is requested by a department, they must contact Records Management via e-mail (ccgonzalez@utep.edu). • Retrieval Schedule: Retrievals requested on Thursday-Friday and on Monday until 1:00pm, will be delivered on Tuesday afternoon by 5:00pm. Retrievals requested on Monday after 1:00pm, Tuesday-Wednesday will be delivered on Wednesday afternoon by 5:00pm. • Emergency Retrieval Request: If the emergency constitutes a “legal issue” or “audit” an approval from the department head or department supervisor; will be required in the request. The retrieval will be delivered the same day. • Return Schedule: When a document is no longer needed the department must contact Records Management for pick up. Please follow the retrieval schedule. Please do NOT return via campus mail.

19. Final Disposition of Records • State law mandatesthat certain records be destroyed once their respective retention periods have been met. • All university departments are required to consult with Records Management for the destruction of records. • Records Management will conduct an initial consultation for assessment and review of records to verify the records have met their retention period based on the approved UTEP records retention schedule (07/11/2012). • Do Not Destroy Records without signature approval.

20. Final Disposition of Records; continued • Records Management will process, complete and deliver the official disposition log (SLR 105C). • Records Management will obtain the signature and approval from the department chair/dean and/or director of the respective department. • Director of Purchasing & General Services will grant the final approval to destroy any record. • Caution: A university record whose retention period has expired may not be destroyed if any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record is initiated; its destruction shall not occur until the completion of the action and the resolution of all issues that arise from it. • A university record whose retention period expires during any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record may not be destroyed until the completion of the action and the resolution of all issues that arise from it.

21. Final Disposition of Records; final step • Records Management will notify the department of the final approval to proceed with final disposal of records. • Each department must contact Work Control-Facilities Services and arrange for your records/boxes be transported to Records Management storage facility. You will need to use your departmental budget to pay for the labor fee and issue a purchase requisition. • UTEP has a contract with a local vendor for shredding services. Shredding is conducted on-site at NO charge to the department. • Records Management is consistent with state & university policy to ensure all approved university records are processed for destruction by protecting the integrity and confidentiality of the record without exposing sensitive information.

22. Any Questions or Comments? Please visit us at: http://admin.utep.edu/recordsmgmt http://www.tsl.state.tx.us/slrm/recordspubs/stbull01.html Please download an electronic copy of the approved: • UTEP Records Retention Schedule (07/11/2012) • Texas State Records Retention Schedule, Revised 4th Edition Effective July 4, 2012. THANK YOU FOR ATTENDING Please consider the environment & cost efficient methods with records management!

23. UTEPRecords Off-Site Storage Facility