UT Tyler Records Management Training

1. UT TylerRecords ManagementTraining

2. Records Management Basic Training • What is Records Management? • Why is Records Management so important? • Who is responsible for Records Management at UT Tyler? • What is a record? • What is a records retention schedule? • Electronic Records • E-Mail Retention Guidelines • Archiving and Storage • Final Disposition of Records • Who to Contact for Questions

3. 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 fundamental and necessarytask of every individual within a department.

4. Why is Records Management so important? For a several reasons, including: • Records are vitally important to the operation of UT Tyler. The university records serve as evidence of the 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, UT Tyler is vulnerable to lawsuits, negligence and improper destruction of university records.

5. Who is Responsible for Records Management at UT Tyler? In short, YOU ARE. All employees are responsible for proper records management and disposal of the university’s records. • 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.

6. 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.

7. 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. *UT Tyler Records Retention Schedule (approved April 2010) *Texas State Records Retention Schedule 4th Edition, Effective September 1, 2007 • Considerations are given to the legal, fiscal administrative and historical value of records in establishing retention periods and prescribing disposal methods.

8. The Records Retention Schedule (RRS) has four broad objectives: • Maintenance of the records in office while inactive use. • Storage of inactive records which must be temporarily retained after they are no longer needed by the department. • Prompt disposal of inactive records whose retention period has ended. Not destroying records is not an excuse to keep the records “just in case”. • Preservationof records which are long-term value (permanent).

9. Electronic Records • The rules apply to ALL electronic state records, regardless of the retention period. • Electronic State Record-Information that meets the definition of a state record in the Government Code, S441.180. and is maintained in electronic format for computer processing, including the product of computer processing of the information. • Electronic Mail Record-An electronic state record sent or received in the form of a message on an electronic mail system of a state agency, including any attachments transmitted with the message.

10. Electronic Records; continued • 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 Records Retention Schedule. • All university official correspondence and business records are subject to the records 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.

11. E-Mail Retention Guidelines • Correspondence conducting official state business may be delivered by surface mail or by e-mail and in both cases constitutes a state record that must be managed accordingly. It is the content and function of a message that determines its retention requirements. Each message must be retained or disposed of according to the certified The University of Texas at Tyler Records Retention Schedule. • E-mail may be categorized into one of the following record series categories:

12. E-Mail Retention Guidelines; continued Guideline for Correspondence Administrative Incoming/outgoing and internal correspondence pertaining to the formulation, planning, implementation, interpretation, modification, or redefinition of the programs, services, or projects of an agency and the administrative regulations, policies, and procedures that govern them. Retention Period: 3 years. Guideline for Correspondence General Non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of an agency. Retention Period: 1 year.

13. E-Mail Retention Guidelines; continued Guideline for Transitory Information Correspondence that would not be classified as general or administrative, and does not pertain to case or project files or other record series listed in the RRS may be categorized as transitory. This would include announcements and memos non-business-related staff events, personal e-mails, unsolicited advertisements, and information (the department/person sending the information announcement should keep one copy). See RRS for more information about transitory information. Retention Period: AC-(after closed) after the purpose of the record has been fulfilled. NO Disposition form is required to dispose of Transitory Records. Note: Routinely delete or remove transitory e-mails as soon as they have served their purpose. Be able to demonstrate timely and consistent management and disposition of transitory e-mails.

14. E-Mail Retention Guidelines; continued Correspondence to be Filed with Case or Project Files Correspondence that pertains to another record series should be filed with and retained for the same retention as that series. For example, correspondence about a particular building project would be filed with other documentation about the project under Building Project Files and retained for the full 10 years after the completion of the project (AC+10 yrs) retention requirement. Other examples include litigation files, complaint files, and other record series that frequently include collaboration and correspondence. CAUTION: An e-mail record may not be destroyed, even if it has met retention requirements, when an action has been initiated or is anticipated against it. Actions may include audits, litigation, public information requests, or administrative reviews. Records must be retained until the resolution of the action and all issues arising from it.

15. Archiving and Storage Each record goes through two basic stages during its lifecycle • Active stage, the record is kept in the office for immediate reference (file cabinet). • Inactive stage, the record is seldom referred to and is moved into a storage closet within the office (old boxes) and/or the box is moved to the records storage room in Physical Plant. It is the responsibility of each department to identify, group, label, and pack your records into the proper boxes. Contact Mary Barr or Joy Shogry for questions.

16. Archiving and Storage; continued • Archive records properly into appropriate boxes and use the required labels for the outside of the box. (check with Joy Shogry or Paul Weil on box specifications and labels). • Archived records can be stored within the department itself or transferred to the Physical Plant Records Room.

17. Final Disposition of Records • State law mandates that certain records be destroyed once their respective retention periods have been met. • All university departments are required to consult with the Compliance Office on the destruction of records. • Compliance will have an on campus shredding service come to campus each February to destroy the documents that have met or exceeded the retention date. Budget Authorities will receive an email announcing the shredding with instructions on how to include the boxes they have in their own areas that have met or exceeded the retention date or stored in Physical Plant. • Caution: Verification that records up for disposal are not involved in any litigation, claim, negotiation, audit, open records request, administrative review should be conducted.

18. Final Disposition of Records; final stage • For those records stored in Physical Plant, the department head is required to check and sign off on the stored boxes a final time before they can be marked for final disposition by Facilities Management. • The department will provide a copy of the signed/approved Records Disposition Log form to the Compliance Office before the records that have met or exceeded the retention date can be shredded. This is both for those stored within the department’s area or in Physical Plant. • Note: If the department chooses to shred the documents themselves, a Records Disposition Log form is still required to be completed, signed, and sent to the Compliance Office. Note: The Records Disposition Log form can be found on the Records Retention website – web address is on the next slide.

19. Who to Contact for Questions For more information, visit the Records Management website: http://www.uttyler.edu/recordsretention For questions, contact: Mary Barr at 903/566/7151 or by email: mbarr@uttyler.edu or Joy Shogry at 903/565-5859 or by email: jshogry@uttyler.edu