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Compliance and Common Sense

Compliance:

Texas requires all state agencies, city and county governments, school districts, and other government entities to implement and maintain records management programs and appoint records management officers in order to promote more efficient use of public funds, protect confidential information, and provide better access to public information

UT Arlington is considered a state agency and is required to have a RIM program and records management officer

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Reduced legal liability

More efficient use of office space

More efficient use of employee time

More complete and accurate planning and decision-making

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The Vice President for Business Affairs and Controller has been appointed the records management officer (RMO) for UT Arlington by President Spaniolo

The Records Management Administrator (RMA) and other records management staff in the Net Solutions department maintain daily operations of the program and provide assistance as needed to all departments

Records management contacts (RMCs) appointed in all departments will receive training, information, and assistance

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Official records include:

all written, photographic, machine-readable, or other recorded information, including email, created or received by or on behalf of the University that documents activities in the conduct of business or use of public resources.

Official records do not include:• library or museum material made or acquired and preserved

solely for reference or exhibition purposes• extra copies (duplicates) for short-term use • stocks of publications or blank forms• certain documents associated with dispute resolution

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Disposal of records Electronic records

Preservation of archival records Maintenance of vital records

Protection of confidential records Access to public records

Records retention Microfilmed records

UT Arlington’s Fiscal Procedure 13-5, Records and Information Management, is based on these rules and procedures

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(RMCs and Additional Designated Staff)Receive information and training, and provide information related to:

Retention of departmental records according to the current posted records retention schedule Disposition of records that have met retention requirements using appropriate methods Maintenance of vital records plans for departmental records as needed for disaster recovery

Notification to UT Arlington Library's Special Collections Division regarding availability of archival records

Provision of retention schedule changes for departmental records to the RMA

Maintenance of records on microform and electronic media in accordance with the administrative rules of the Texas State Library

Choice of media for active and inactive records maintenance

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What comes first?

Records Disposition - Questions to ask ….

Record copy or duplicate?

Retention requirements?

Confidential information?

Shred in-house, or transfer to Asset Management?

Vital records?

Litigation hold or other hold in progress?

Transfer to Library Special Collections for archival preservation?

Recordkeeping!!

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What comes second?

File Plans: departmental maps to our information, where it is, how long we keep it, what we do with it

Record copy or duplicate

All media –paper, electronic, microfilm

Retention requirements

Confidential information

Toss, shred in-house, transfer to Asset Management

Vital records

Litigation hold or other hold in progress

Archival records

Locator codes

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The Texas State Records Retention Schedule provides information for records held by most state agencies

This retention schedule indicates the legal minimum length of time that some records series must be retained by a state agency before the records can be destroyed or transferred for archival preservation (these minimums cannot be changed)

We add records to the schedule as needed

In addition to the common records listed in the State schedule, each agency has additional records series that must be identified and added to its retention schedule

Schedules and amendments must be approved by Texas State Library and Archives Commission before records can be destroyed

The RMO must submit a current records retention schedule to the State and Local Records Management Division of the Texas State Library and Archives Commission (Government Code, §441.185) every three years for recertification. Between recertifications, amendments can be submitted by the RMO for approval

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Current Schedule:

Incomplete

State retention requirements altered

Invalid department names and state codes

Notations are needed for clarification

New Schedule:

New and improved formats for the retention schedule are now being developed, contents are being reviewed

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New Fiscal Procedure 13-5, Records and Information Management provides new procedures and forms and reference links, and new RIM website with links to current certified retention schedule is now available at http://www.uta.edu/rim/

RMC Training will be provided by Records Management staff

RIM program information will be incorporated into HR New Employee Orientation, Compliance Training, and the Management Leadership Tool.

Assistance is available now: contact Karen Phillips or David Prestianni at extension 20222

Email: netsolutions@uta.edu, attention Karen Phillips or David Prestianni

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