Introduction to Records Management Policy

1. Introduction to Records Management Policy UT Austin Records Management Services Office of Accounting

2. UT Records Management Program • Developed in accordance with • Texas Government Code, Section 441.180-200 • Texas Administrative Code, Title 13, Part 1, Chapter 6

3. Texas Government Code, Section 441 "State record" means any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency or an elected state official that documents activities in the conduct of state business or use of public resources.

4. Texas Government Code, Section 441 • "Records management" means the application of management techniques to the creation, use, maintenance, retention, preservation, and destruction of state records for the purposes of improving the efficiency of recordkeeping, ensuring access to public information under Chapter 552, and reducing costs. • The development of records retention schedules • The management of filing and information retrieval systems in any media • The adequate protection of state records that are vital, archival, or confidential according to accepted archival and records management practices • The economical and space-effective storage of inactive records • Control over the creation and distribution of forms, reports, and correspondence • Maintenance of public information in a manner to facilitate access by the public under Chapter 552

5. Texas Government Code, Section 441 Records Retention Schedule

6. Retention Schedule Development • State records retention schedule (RRS) is used as authoritative guide in development of agency schedules • State schedule sets required minimum requirements for records common to all state agencies • Codes for records agency-specific processes developed by agency, codes must comply with the Code of Federal Regulations (CFR) and other regulatory requirements

7. UT Records Retention Schedule (UTRRS) • Certified by Texas State Library and Archives • Recertified every three years • Adopted as an administrative rule of the University of Texas at Austin

9. Texas Government Code, Section 441 Maintenance of public information in a manner to facilitate access by the public under Chapter 552

10. Public Information Act and Records Retention Policy • Determination of exempt status of records • State RRS and UTRRS no longer identify exempt/non-exempt status of records • Exempt status to be determined by agency processes

11. Public Access to State Records • Agencies are required to produce records upon appropriate request for public information unless the records have been destroyed in compliance with records retention requirements • Consistent management of records demonstrates good faith • Records not destroyed when retention requirements have been satisfied create risk and undermine appearance of good faith

12. Consistent Management of Records • Records are routinely destroyed when retention requirements are fulfilled • Records are never destroyed before retention requirements are filled • Records destruction is documented-disposition logs • Records management policy includes provision for record holds-litigation, audit, and public information requests

13. Life of a Record • An official state record captures and preserves interactions between official entities and citizens • A record must remain available for retrieval from the time it is created till its final disposition • The life of an official state record can only end one of two ways: • Destruction—in accordance with a documented approval process; records containing confidential information must be destroyed in a manner that preserves confidentiality. • Archival accession— archival review or archival transfer

14. Request to Dispose of State Records Overview • Departments must obtain authorization to dispose of Official State Records • Procedures, forms, and instructions can be found at the Office of Accounting web site: http://www.utexas.edu/business/accounting/retention/dispose.html • Records Management staff provides assistance and support in the request and approval process

15. Archival Review and Transfer • Archival review and transfer requirements are designated at the time a record series is created; State RRS sets requirements for records common to all agencies • Request to Dispose of Official State Records form submitted to Records Management Services to initiate archival review or transfer • Records transferred to archives are noted in disposition logs

16. Research Related Codesin the UTRRS

17. Roles and Responsibilities • Texas State Library—mandates state agencies to enact Records Management programs in accordance with State and Federal guidelines • UT System Records Management Officer, Kim Scofield — support of University of Texas Institution Records Management Programs • UT Austin Records Management, Maryrose Hightower-Coyle—assists and supports departmental Records Management Programs, processes and approves Requests to Dispose of State Records, and is responsible for development and management of UTRRS • Department/Division Head — designates Departmental Records Management contact, reviews and signs Requests to Dispose of State Records • Departmental Records Management contact— develops and maintains departmental procedures, prepares Request for Disposal of State Records forms document, oversees disposal of documents, assists in development of department UTRRS codes