UTEP
Records
Management
Records Management
Mission Statement
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The role of Records Management Services is to provide
university departments with information of all facets of UT
Systems Records Retention Guidelines & UT El Paso Policies
and Procedures by providing advice and guidance.
Upon request, we are here to guide you with the necessary
steps to ensure that your official departmental records are
being maintained and dispose of according to Texas State
Library and Archives Commission.
Records Management Basic
Training
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What is Records Management?
Why is Records Management so important?
The role of UTEP’s Records Management.
Who is responsible for Records Management at UTEP?
What is a record?
What is a records retention schedule?
Electronic Records
What is E-Mail?
Imaging of Records=Advantages/Disadvantages
Storage Procedures
Retrieval process/schedule
Final Disposition of Records
Questions or Comments?
What is Records
Management?
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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 fundamentally important and
necessary task of every individual within a department.
Why is Records Management
so important?
For a number of reasons:
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Records are vitally important to the operation of UTEP. The university
records serve as evidence of their 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, UTEP is
vulnerable to lawsuits, negligence and improper destruction of
university records.
Records Management Role at
UTEP
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Our role is to ensure the storage and final disposition of all official
university records which are created by the university departments
and to be in full compliance with the mandates handed down by the
State of Texas.
In addition; UTEP’s Records Management is responsible for providing
(in an advisory capacity) guidelines, laws and services to help
university departments become and remain compliant with records
retention guidelines as established by the Texas State Library and
Archives Commission.
Who is Responsible for
Records Management at
UTEP?
In short,
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YOU ARE.
Records Management staff does not act as an enforcer or policing
capacity. Once we provide the guidelines and services designed for
your department needs; 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.
This is where accountability takes place…..
What is a Record?
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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.
What is a Records Retention
Schedule?
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Records retention schedule* is the establishment of written
standards/laws, known as Records Retention Schedule, for the
retention and disposition of records.
*UTEP State of Texas Records Retention Schedule
(approved 07/11/2012)
*Texas State Records Retention Schedule Revised 4th Edition,
Effective July 4, 2012.
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These standards/laws are based on information supplied by each
department of each component (universities) and with the knowledge
of the Texas State Library and Archives Commission and with the
Texas System Records Management staff.
Considerations are given to the legal, fiscal administrative and
historical value of records in establishing retention periods and
prescribing disposal methods.
Electronic
Records
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Records created, managed, or retained in electronic format systems as
original records must be retained and disposed of in accordance with The
University of Texas at El Paso Records Retention Schedule
(approved/certified 07/11/2012).
State law regarding electronic records requires that they are individually
identifiable and retrievable for their entire retention period. Backup tapes
cannot be considered a method of retaining records unless the backup is
indexed for individual record retrieval.
All departments at the university who use automated systems for records
maintained in Application Extender or any other electronic media have a
“responsibility” to ensure the integrity of the date entered and the quality
of the imaged records.
A department may choose to image records at the department level, each
department has a responsibility to follow the federal and state regulations
regarding electronic records: (image resolution, retrievable standards,
security requirements). Measures must be taken to ensure the ongoing
and readability of the records for the length of time they must be retained.
Electronic
Records; continued
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UTEP Records Management recommend all University departments,
when possible and pertinent, to use all available electronic
technologies that increase efficiency, cost effectiveness or improve
the methods to process, handle, retrieve, transmit and retain
University records and information.
Please Contact UTEP IT Department for advice and guidance!
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 Record Retention Schedule.
All University official correspondence and business records are subject
to the record 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.
What is E-Mail?
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E-Mail is a method of delivering information. It is not a kind of record.
E-mail is a lot like regular mail. You get junk mail. You may also
receive correspondence from H.R., other departments, contracts and
purchase vouchers, etc.
You manage your e-mail the same way you manage your paper
records by subject and business function.
In order to run the university business and meet UTEP legal
obligations, we have to maintain must of the information we receive
by e-mail in the same way we manage paper records.
Please contact UTEP IT Department for advice and guidance!
E-Mail Guidelines;
continued
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Correspondence that is delivered as email for the purpose of
conducting university official business must be categorized by its
content and function.
The following rules apply to emails that must be retained as official
university records:
If no response is sent via email, retain the incoming message.
Example: if a phone call is made in response to an email received,
retain the email.
If a response or a series of responses (a thread) is sent by email, keep
the last outgoing email showing the final response, or the last
incoming email that shows the final resolution of the correspondence.
If an email is forwarded to someone else for resolution, retain the
forwarding email.
E-Mail Guidelines;
continued
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Note: Emails that are categorized as “transitory information” can be
disposed of as soon as their purpose has been fulfilled.
Retain the email in an electronic format. State law requires the
retention of transmission data, also known as metadata (the date
describing context, content, and structure of records), to establish the
authenticity and integrity of the record. Data that must be retained
includes:
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Name of Sender
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Name of recipient/addressee
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Date/time the message was sent
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Attachments
As with paper records, when an employee departs, it is best practice
to transfer email original records to a common folder where they can
be managed by the department until the retention requirements are
met.
Imaging of Paper Records
Definition: Electronic imaging is a system and technology for
converting and process paper documents and/or microfilm to digital
electronic information Images are scanned (stored as image) or
processed as OCR (Optical Character Recognition) and stored on
optical disks. Contact your IT Department for advice and guidance.
Advantages: Fast Retrieval, packing (storage) density, transmission
speed, and workflow improvements.
Disadvantages: Cost of system, software, and supplies. Detailed
procedures must be written and implemented; Training is ongoing and
continuing audits are necessary. Back file conversions create a need
for additional planning to avoid the confusion of running two retrieval
systems simultaneously. You must budget for migration and upgrades.
When to Image? High volume of paper copies
High demand of retrievals
Please contact UTEP IT Department for advice and guidance!
Storage Procedures
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Each department must meet Records Management warehouse
storage criteria.
Any box transported to storage must be NEW; 1 cubic
foot in size.
Archival boxes (brown) must be purchased directly from
Contact Work Control, Facilities Services, contact them at ext. 7187.
Please use your department’s budget to pay for the boxes. You will
need to issue a purchase requisition.
Old worn out boxes will not be accepted. Invest in long term storage!
Storage Procedures;
continued
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Organize your records by alpha range or numeric sequence and/or
account # and you must create an index/catalog list of your records;
tape a copy inside the box lid. It is your responsibility to submit a list
to Records Management in advance, for review and in order to process
labels for your boxes at no charge.
NO HANGING FOLDERS. NO BINDERS. NO BLACK CLIPS.
NO EXCEPTIONS.
Archive records properly into (1 cubic foot) archival banker boxes.
(Brown boxes must be purchased directly from Facilities).
It is the responsibility of each department to arrange and transport
the boxes to storage by contacting Facilities Services, Work Control,
ext. 7187. Use your department’s budget to pay for the labor, you will
need to issue a purchase requisition. Please contact Carmen Gonzalez
2 working days in advanced in order to open the warehouse.
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Records Management will not be responsible for missing documents
and/or file folders not properly stored in your archival boxes.
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Verify your records prior to transferring to the warehouse for storage.
Retrieval of Records
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If an inactive document is requested by a department, they must
contact Records Management via e-mail (ccgonzalez@utep.edu).
Retrieval Schedule:
Retrievals requested on Thursday-Friday and on Monday until 1:00pm,
will be delivered on Tuesday afternoon by 5:00pm.
Retrievals requested on Monday after 1:00pm, Tuesday-Wednesday
will be delivered on Wednesday afternoon by 5:00pm.
Emergency Retrieval Request:
If the emergency constitutes a “legal issue” or “audit” an approval
from the department head or department supervisor; will be required
in the request. The retrieval will be delivered the same day.
Return Schedule:
When a document is no longer needed the department must contact
Records Management for pick up. Please follow the retrieval
schedule. Please do NOT return via campus mail.
Final Disposition of Records
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State law mandates that certain records be destroyed once their
respective retention periods have been met.
All university departments are required to consult with Records
Management for the destruction of records.
Records Management will conduct an initial consultation for
assessment and review of records to verify the records have met their
retention period based on the approved UTEP records retention
schedule (07/11/2012).
Do Not Destroy Records without signature approval.
Final Disposition of Records;
continued
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Records Management will process, complete and deliver the
official disposition log (SLR 105C).
Records Management will obtain the signature and approval from the
department chair/dean and/or director of the respective department.
Director of Purchasing & General Services will grant the final approval
to destroy any record.
Caution: A university 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 university 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.
Final Disposition of Records;
final step
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Records Management will notify the department of the final approval
to proceed with final disposal of records.
Each department must contact Work Control-Facilities Services and
arrange for your records/boxes be transported to Records
Management storage facility. You will need to use your departmental
budget to pay for the labor fee and issue a purchase requisition.
UTEP has a contract with a local vendor for shredding services.
Shredding is conducted on-site at NO charge to the department.
Records Management is consistent with state & university policy to
ensure all approved university records are processed for destruction
by protecting the integrity and confidentiality of the record without
exposing sensitive information.
Any Questions or
Comments?
Please visit us at:
http://admin.utep.edu/recordsmgmt
http://www.tsl.state.tx.us/slrm/recordspubs/stbull01.html
Please download an electronic copy of the approved:
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UTEP Records Retention Schedule (07/11/2012)
Texas State Records Retention Schedule, Revised 4th Edition
Effective July 4, 2012.
THANK YOU FOR ATTENDING
Please consider the environment & cost efficient methods with records management!
UTEP
Records Off-Site Storage Facility