SECTION: GENERAL INDEX A-36
SUBJECT: RECORDS RETENTION
POLICY
Chapter 441, Texas Government Code,
established the State and Local Records Management Division (SLRMD)
of the Texas State Library and requires
that each state agency develop and maintain an active, continuing program for
the economical and efficient management of the records of the agency or
institution, including the appointment of an employee performing other
administrative duties to act as the records management officer.
The records management officer is to comply with the rules, standards and
procedures issued by the SLRMD, UH
System Administrative Memorandum 03.H.01 Records Retention, and the policy
and procedures set forth herein.
In
compliance with this requirement:
DEFINITIONS
Records
Retention Schedule - A timetable that identifies the length of time records must
be retained in active and inactive status before final disposition.
The official records retention schedule of UHV is published by the
University of Houston and is certified by the Texas State Library and
Archive Commission, State and Local Records Management Division.
State Record – As defined by Government Code 441.180(11), 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 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 maintained only for reference
A stock of publications or blank forms
Personal,
temporary or transitory e-mails
Vital
Record – Those records that are essential to resume business or continue
the university’s operations; the records necessary to recreate the
University’s financial or legal position, or to preserve the rights of the
university, employees or students. Records regarded as vital are designated within the
Records Retention Schedule.
Record
Copy – The state record document that is kept on file as an original or
official record for the total retention period.
This is not to be confused with “working” or “convenience”
copy, which is a duplicate used for reference purposes.
A record is simply recorded information that has been created or
received by the university and has been used by the university as evidence
of its activities or because of the information contained.
Records produced in the workplace are included in the Records
Retention Schedule.
Electronic
mail record – An electronic document, meeting the definition of a state
record, sent or received in the form of a message on an electronic mail
system of a state agency, including any attachments transmitted with the
message.
Records
of Historical Value - Includes important historical documents and other materials
that provide Evidence of agency functions or contain information of enduring
value to the state of Texas and its citizens.
Only a very small percentage of the records maintained by a state
agency have historical value. Such
records are usually listed in the records retention schedule and are
required to be transferred to
the UHV Library for archival preservation after they are no longer needed in
the school or department; other records may be subject to archival review
for historical or other value by Library staff before disposal.
These records
become “archives” when their period of required use by the
originating agency ends. The
State Archives and Informational Services Division maintains generic
descriptions of records of historical archival value.
Duplicate
Records/Convenience Copies/Working Copies -
Records where the original documents exist in another area or are in
the possession of another department and includes such records as voucher
copies, monthly automated budget reports and similar.
PROCEDURES
RECORDS
RETENTION SCHEDULE
The
university records retention schedule was created by the University of Houston
System for use by all UH components and is periodically reviewed and
re-certified by the Texas State Library and Archives Commission.
The
retention schedule lists the required minimum length of time that listed records
series must be retained before destruction or archival preservation. In
accordance with UHV policy, these times are also recommended as appropriate
maximum retention periods
RECORDS
MANAGER APPOINTMENT AND RESPONSIBILITIES
The
Records Manager has the following
responsibilities:
ELECTRONIC
RECORDS
Although
departments are encouraged to use available electronic technologies to increase
efficiency and improve the methods to process, handle, retrieve, transmit and
retain university records and information,
electronic records must be retained and disposed of in accordance with
the University’s approved Record Retention Schedule. All official correspondence and business records are subject
to the record retention policy whether in electronic or other format.
The
time table for the retention of records is based on the content of the records
and not the medium used for the storage of information.
Therefore, records stored electronically, on the network, hard disk of a
computer, magnetic tape, or in other electronic format shall be maintained in accordance
with the official records retention schedule.
Departments shall notify the UHV Records Management Officer
if the medium for storing the official or record copy of any record is
changed from one media type to another i.e. from paper to electronic format as
shown on the records retention schedule. All
changes of this nature must be reflected in
the Records Retention Schedule for the next re-certification.
The
original hardcopy source documents that were converted into electronic documents
can be destroyed after a minimum of three months has passed since the conversion
and the department is confident that the conversion has been completely
successful. In the interim,
hardcopy source documents should be held at the department or can be transferred
to local storage by submission of
Records Disposition Request
Attachment
A to Business Services.
INFORMATION
TECHNOLOGY RESPONSIBILITIES
The
Department of Information Technology is
responsible for compliance with applicable directives of State
Agency Bulletin Number One, Electronic
Records Standards and Procedures, as published by the Texas State Library and
Archives Commission. Compliance includes:
Providing
training for users of electronic records systems, including electronic mail
systems, in the operation, care, and handling of the information, equipment,
software, and media used in the systems.
Developing
and maintaining written documentation about institutional electronic records
that is adequate for retaining, reading, or processing the records and
ensuring their timely, authorized disposition.
Developing
a security program for electronic state records that is in compliance with
subsection 9B) of 1TAC 201.13 (relating to Information Resource Standards)
Developing
capability for preserving any electronic state record resident in the system
for its full retention period; or, there must not be any system impediments
that prevent migrating the record to another electronic records system, in
as complete a form as possible.
Providing
for the exchange of records on electronic media between agency computers
using different software/operating systems and the conversion or migration
of records on electronic media from one system to another, when determined
to be necessary by the University.
Coordinating
the documentation and destruction of electronic state records through the
university Records Management Officer and disposing in a manner that ensures
protection of any confidential information.
Maintaining
proper climatic temperature control for any storage of electronic media, within
65-75 degrees Fahrenheit and 30-50% relative humidity.
Conducting
random sampling of electronically stored media on an annual basis to identify any loss of
data.
Establishing
a schedule for recopying of electronic state records maintained on
electronic media to ensure that no information is lost.
Annual review and other destruction of electronic records that have met the required minimum retention period or continued retention until destruction is operationally practical.
Caution
- Electronic records
shall be destroyed only in
accordance with a records retention schedule approved in accordance with
Government Code 441.185 or, in lieu of an state certified and approved records
retention schedule, an approved records disposition authorization request.
DETAILED
PROCEDURES FOR DISPOSITION OF STATE RECORDS
Transferring
departments shall complete an original and one copy of the
Records
Disposition Request (Attachment
A) for each box to be stored locally. The form must accurately
describe the contents of the box and indicate the most recent Fiscal Year of
documents in the box. That year
will govern the required retention period.
A copy of the Records Disposition Request must be taped on one end of
each box. See example in Records Retention Schedule.
In describing the documents in a box, departments must use the Records Retention Schedule for proper classification of each record series. The retention schedule is available on-line or a hardcopy can be checked out from Business Services.
In
some cases, the state records to be transferred will have already met the
required retention period and, in those instances, those
records will be disposed of once they have been properly documented. Caution:
departments are not authorized to destroy any state records (with the exception
of duplicate, working or convenience copies)
Prior
to admitting to storage, Business Services will verify that each Records
Disposition Request has been properly completed and will verify that the
retention periods indicated on the form and the requested action is correct.
The department will be contacted if the disposition form is incomplete
and the box(s) may be returned to the department.
With
the exception of boxes whose contents are to be microfilmed, Business Services
is not required to open the boxes to verify that the descriptions are accurate.
Proper description of documents is the departments responsibility.
Business
Services will provide the department with a completed copy of the Records
Disposition Request, including the storage location information for each box.
If
a department requires access to their inactive stored files, the department
should contact Business Services to set a time for a meeting at the storage
facility. The department must always reference the Record Retention location
information when requesting access to their inactive files so the box can be
located easily.
RECORDS
DESTRUCTION PROCEDURES FOR DUPLICATE OR CONVENIENCE COPIES
If
the records are classified as "open records", they will be
discarded without further preparation.
If
the records are classified as "confidential", (contain
personal information such as SSN, birth dates, etc.) they will be
shredded.
At
the discretion Business Services, records may be destroyed by outside
vendors. In that instance, the
actual charges (about 25 cents per pound)
will be billed back to the department.
ELECTRONIC
MAIL (E-MAIL)
E-mail
messages must be retained or disposed of according to the UHS Retention
Schedule. However, e-mail systems must meet the retention requirements
found in Texas Administrative Code 6.94(e). E-mail generally falls into
several common record series categories. These are: