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UT Tyler Records Management Training

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UT Tyler Records Management Training Records Management Basic Training What is Records Management? Why is Records Management so important? Who is responsible for ... – PowerPoint PPT presentation

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Title: UT Tyler Records Management Training


1
UT Tyler Records
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?
  • Records Management (RM) is defined as the
    management 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
    necessary task 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 universitys 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 written standards/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.
  • Preservation of 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 (AC10 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 departments 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_at_uttyler.edu or
  • Joy Shogry at 903/565-5859 or by email
    jshogry_at_uttyler.edu
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