Sec. 1 Purpose
To provide a framework for the systematic management of University of Texas System Administration (“System”) records in accordance with applicable federal and state laws and regulations.
Sec. 2 Principles
System is committed to conducting business with transparency and accountability. System activities, transactions, and decisions must be documented appropriately. Records must be retained for an appropriate length of time and maintained in a manner that ensures timely, efficient, and accurate retrieval of needed information.
Sec. 3 Scope & Audience
This policy applies to all System employees and contractors who create, manage, or maintain state records.
Sec. 4 Responsibilities & Procedures
4.1 Records Creation and Disposition.
a) Records may be created or retained in any medium.
b) When the same record serves different business purposes in two or more departments, each department must manage the record.
c) Convenience copies of master records should be destroyed when no longer needed and never retained longer than the master record.
d) A master record may only be destroyed when:
i. there is a record series certified for the record type in the University of Texas System Administration records retention schedule (UTSRRS);
ii. the record has met all retention requirements;
iii. final disposition has been approved by the department head or delegee and the Records Management Officer, either through a records disposition request form or automated disposition plan; and
iv. any audit, lawsuit, Texas Public Information Act request, negotiation, claim, or other action involving the record has been resolved.
4.2 Departmental/Unit Level Responsibilities.
In cooperation with the Records Management Officer (RMO), each department head or delegee must:
a) Approve the final disposition of master records.
b) Ensure the timely disposition of eligible records in accordance with the UTSRRS and, System records disposition procedures.
c) Ensure that records of departing employees are appropriately captured in official recordkeeping systems within 30 days of separation. The supervisor of the departing employee may request that the contents of the employee's OneDrive and email account be made available for review or moved to another location for long-term retention.
d) Assure that contracts with a private contractor that will create, manage, or maintain state records, expressly provide that the contractor will comply with applicable state laws and System policies relating to the management, access, retention, and destruction of state records.
e) Designate at least one departmental records management coordinator (RMC) to complete records management training, serve as a liaison to the RMO, maintain the department's file plan, and disseminate records management news and information to other departmental staff.
4.3 Individual Employee Responsibilities.
Every System employee must:
a) Comply with departmental records management procedures.
b) Comply with the UTSRRS.
c) Complete required records management training no later than 30 days after beginning of employment, and then at least once every two years thereafter.
Definitions
Archival Transfer - The transfer of master records with enduring value, as indicated on the UTSRRS, to the Dolph Briscoe Center for American History.
Convenience Copy - A copy of a master record created for convenience of reference. Convenience copies may be in any medium.
File Plan - A departmental records inventory listing all records series created, received, and managed within or on behalf of the department, the information system(s) in which they are stored, their retention and disposition requirements, and the party responsible for managing them. The file plan must align with the most current version of the UTSRRS.
Final Disposition - Destruction or archival transfer of a master record.
Master Record - An authoritative System record that is retained in accordance with UTSRRS requirements. Also referred to as an official record.
Record - Recorded information, in any medium, that is created or received by or on behalf of System in the conduct of official business. Also referred to as a System record or state record.
Records Management - The application of management techniques to the creation, use, maintenance, retention, preservation, and destruction of state records. The term includes the development of retention schedules, the management of filing and information retrieval systems in any medium, and the adequate protection of records that are confidential, vital, or archival.
Records Management Coordinator (RMC) - A System employee designated by the department head or delegee to coordinate records management activities for the department.
Records Management Officer (RMO) - A System employee appointed by the Chancellor to administer the System Administration Records Management Program established under Texas Government Code, Section 441.183.
University of Texas System Administration Records Retention Schedule (UTSRRS) - A document listing all records series of the agency and providing retention periods and other information necessary for the operation of an effective records management program.
