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
Texas Administrative Code, Title 13, Part 1, Chapter 6
This is a very brief overview to establish the basis of UT Records Management policy and practice
TGC 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 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
And it defines the term records management.

5. Texas Government Code, Section 441
Records Retention Schedule
The 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 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 1

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
Each state agency is required to develop a records retention schedule and submit it to the Texas State Library and Archives to be certified
The 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 indicated
2-archival review is indicated both by notation in the archival review column and with the visual cue of red ink
3-retention time is in years unless otherwise noted.
4-when the retention period is calculated based on an event, this notes column provides information
5-regulatory requirements and procedural instructions may also be included in the notes column
And 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 records
State RRS and UTRRS no longer identify exempt/non-exempt status of records
Exempt status to be determined by agency processes
Generally 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 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
Records managed using prescribed records management practices are more readily retrievable
Holds 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 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
1 Capturing this interaction is the *birth* of the record
2. 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 Records
Procedures, 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 process
The authorization process is the means by which institutional disposition logs are maintained
Procedure steps
Identify correct listing in retention schedule
Determine whether retention requirements have been fulfilled
Use correct form to request authorization to dispose of state records
Upon receipt of authorization documents may be destroyed
Final 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 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
The authorization process is the means by which institutional disposition logs are maintained

16. Research Related Codes in 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