Presentation on theme: "Introduction to Records Management Policy"— Presentation transcript:
1 Introduction to Records Management Policy UT Austin Records Management Services Office of Accounting
2 UT Records Management Program Developed in accordance withTexas Government Code, SectionTexas Administrative Code, Title 13, Part 1, Chapter 6This is a very brief overview to establish the basis of UT Records Management policy and practiceTGC sets forth the requirement for each state agency to develop and enact records management programs and policy. This requirement is also set forth in TAC Title 13.
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.The code defines State record
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 schedulesThe management of filing and information retrieval systems in any mediaThe adequate protection of state records that are vital, archival, or confidential according to accepted archival and records management practicesThe economical and space-effective storage of inactive recordsControl over the creation and distribution of forms, reports, and correspondenceMaintenance of public information in a manner to facilitate access by the public under Chapter 552And it defines the term records management.
5 Texas Government Code, Section 441 Records Retention ScheduleThe legislation requires the development and implementation of a records retention schedule. A listing of all the records created, retained, and disposed in the course of agency business.
6 Retention Schedule Development State records retention schedule (RRS) is used as authoritative guide in development of agency schedulesState schedule sets required minimum requirements for records common to all state agenciesCodes for records agency-specific processes developed by agency, codes must comply with the Code of Federal Regulations (CFR) and other regulatory requirements1
7 UT Records Retention Schedule (UTRRS) Certified by Texas State Library and ArchivesRecertified every three yearsAdopted as an administrative rule of the University of Texas at AustinEach state agency is required to develop a records retention schedule and submit it to the Texas State Library and Archives to be certifiedThe agency RRS must undergo a comprehensive review and analysis and be submitted for recertification every three years. The rational for this process to continue to capture new business process and to eliminate obsolete codes, fine tune retention requirements, and respond to changes in the State RRS, and other regulatory changes. We’ve just undertaken this review which involved consultation with records management contacts across the campus. The schedule may be amended in the interim periods to respond to new developments and changes—providing a great deal of flexibility and responsiveness to agency needs and practices.
8 This is the first page of the current UTRRS This is the first page of the current UTRRS. I would like to just quickly point out a few elements.1-where there is a correspondence with the state RRS it is indicated2-archival review is indicated both by notation in the archival review column and with the visual cue of red ink3-retention time is in years unless otherwise noted.4-when the retention period is calculated based on an event, this notes column provides information5-regulatory requirements and procedural instructions may also be included in the notes columnAnd going back to the UTRRS- here is the entry from the state schedule to compare to the
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 recordsState RRS and UTRRS no longer identify exempt/non-exempt status of recordsExempt status to be determined by agency processesGenerally State records are open to the public. But there are exceptions, records that are exempt from the requirement to provide the public access to them.
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 requirementsConsistent management of records demonstrates good faithRecords 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 fulfilledRecords are never destroyed before retention requirements are filledRecords destruction is documented-disposition logsRecords management policy includes provision for record holds-litigation, audit, and public information requestsRecords managed using prescribed records management practices are more readily retrievableHolds must go into effect when there is an active lawsuit, audit, or public information request, and when it is known that any of these conditions are pending. This warning, using language from TGC (b), appears as the first page of both the State RRS and the UTRRS:A state 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 state 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.NOTE-When records are imaged, or retained electronically and there is automated dispostion, provisions must be made for placing and lifting document holds.
13 Life of a RecordAn official state record captures and preserves interactions between official entities and citizensA record must remain available for retrieval from the time it is created till its final dispositionThe 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 transfer1 Capturing this interaction is the *birth* of the record2. The period when the record is actively referenced and used is the active life of the record. Plus any period of inactive storage to complete retention requirements.3. Final disposition
14 Request to Dispose of State Records Overview Departments must obtain authorization to dispose of Official State RecordsProcedures, forms, and instructions can be found at the Office of Accounting web site:Records Management staff provides assistance and support in the request and approval processThe authorization process is the means by which institutional disposition logs are maintainedProcedure stepsIdentify correct listing in retention scheduleDetermine whether retention requirements have been fulfilledUse correct form to request authorization to dispose of state recordsUpon receipt of authorization documents may be destroyedFinal step is to notify RMS of document destruction to complete disposition logs
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 agenciesRequest to Dispose of Official State Records form submitted to Records Management Services to initiate archival review or transferRecords transferred to archives are noted in disposition logsThe authorization process is the means by which institutional disposition logs are maintained
17 Roles and Responsibilities Texas State Library—mandates state agencies to enact Records Management programs in accordance with State and Federal guidelinesUT System Records Management Officer, Kim Scofield — support of University of Texas Institution Records Management ProgramsUT 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 UTRRSDepartment/Division Head — designates Departmental Records Management contact, reviews and signs Requests to Dispose of State RecordsDepartmental 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