Records Management Compliance Training Developed by The University of Texas at Dallas Department of Environmental Health & Safety Records Management Program Updated February 2018

Policies and Regulations As a State of Texas agency, UT Dallas and all of its employees must comply with Texas Records Management policies and regulations. Below are the policies that identify your responsibilities as handlers of state records. Policies Preservation and Management of State Records and Other Historical Resources, Government Code, Chapter 441, Subchapter L - State Records Management Laws - 441.180. Administrative Rules of Texas State Library and Archives Commission Texas Administrative Code, Title 13, Chapter 6 - Texas Administration Code. UT Dallas’ Policy of Records Management and Retention - Records Management and Retention - UTDBP3001. UT System’s Records and Information Management - UT System Policy - UTS115. UT Dallas’ Records Retention Schedule - Records Retention Schedule.

Your Responsibilities Below are your main Records Management responsibilities. Coordinate with the RRO before disposing of any state records Correctly dispose of state records that have reached their retention Follow specifications laid out by the RRO regarding how to dispose state records Coordinate with the RRO to correctly store state records Store state records for their mandated retention periods Follow specifications laid out by the RRO regarding how to store state records Refer to the UT Dallas Records Retention Schedule for the retention periods of state records Work with the RRO to make any necessary addendums to the schedule Your Responsibilities Corresponding Duties

What does this training cover? Texas Records Management laws only apply to State Records. Records considered “State Records” are identified in this section. Identifying State Records Each type of State Record is handled differently. The four types of records are clarified in this section. Classifying Types of State Records There are mandated requirements for handling certain types of records. Handling requirements are reviewed in this section. Handling State Records There are mandated procedures for disposing of State Records. Disposal procedures are reviewed in this section. Destroying Records

Identifying State Records Texas Records Management laws only apply to state records. State records are defined as- Most of what we handle on a daily basis fits this definition and is considered a state record. Classifying Types of Records “…any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency…that documents activities in the conduct of the state business or use of public resources.” Handling State Records Destroying Records

Identifying State Records Examples of State Records include… Emails Meeting minutes/notes/recordings Calendar entries Time sheets Vacation requests Account reconciliations Classifying Types of Records Handling State Records Destroying Records

Classifying Types of State Records Identifying State Records The four types of State Records are: Record Type Record Description Example of Record Confidential Records under restricted access or inaccessible to the public due to state or federal law. Information in personnel file; Student records; Audit working papers Vital Records containing information needed to continue operations during/after a crisis. Records that fulfill our obligations. Contracts; Patents; Academic records; Customer records; Lab notebooks; Policy or Procedure manuals Archival Records with enduring historical value that will be preserved on a continuing basis until an archivist indicates it no longer needs to be retained. Manuscripts; Maps; Photographs; Printed materials/recorded information relating to their history and culture of UT Dallas Transitory* Records with temporary usefulness and are not integral part of any other set of records. These records are required for only a limited period of time to complete an action. Routine messages; Junk mail; Preliminary document drafts; Materials with no informational value Classifying Types of Records Handling State Records Destroying Records *Transitory records are the only records that can be disposed of without ever having been kept on file.

Handling State Records Identifying State Records The law requires us to handle state records in specific ways The Texas Public Information Act requires that our records remain accessible to the public Some state records are important for the operation of the university, while others have value as original source materials The proper handling of state records allows for: Improved access to information Efficient use of space Classifying Types of Records Handling State Records Destroying Records

Handling State Records Identifying State Records The best handling practice for each of the 4 types of State Records can be found below. Confidential Records Keep on file for the retention period Vital Records Archival Records Keep on file until reviewed by archivist Transitory Records Dispose of when convenient Classifying Types of Records Handling State Records Destroying Records

Guidelines on What to Keep Identifying State Records Make sure you only keep the original record. You can keep the copies, but never longer than the original record. Original records should only be retained by the initiating office. Records must be kept if the record… Was created by your department. Details a business action with which you or your office are directly involved. Contains certain information that is not available anywhere else. Was received from outside UT Dallas and relates to UT Dallas matters. Classifying Types of Records Handling State Records Destroying Records

Guidelines on How Long to Keep Records Identifying State Records Records must be kept for their allotted retention period. All retention periods are listed in the Records Retention Schedule. Records need to be kept longer than their retention period if the record is involved in any claim, audit, litigation, negotiation, administrative review, public information request, or other action. Classifying Types of Records Handling State Records Destroying Records Helpful Hint: Filing records by date makes it easier to follow the Records Retention Schedule.

Destroying Records Identifying State Records Once a record reaches its retention period (identified in the Records Retention Schedule), follow the disposal procedures below: After receiving approval to dispose of your records, you must use one of the below record destruction methods: Shredding the records using an office shredder Placing the records in a secured shred bin provided by EH&S Complete a Request for Disposal of State Records form Send the completed form to RecordsManagement@utdallas.edu Wait for a response to your request Once your approval has been granted, have your records shredded Classifying Types of Records Handling State Records Destroying Records

Resources & Contacting Us For more information about our program and additional resources UT Dallas Records Management website To review the retention periods of your records UT Dallas Records Retention Schedule To dispose of records that have reached their retention period Request for Disposal of State Records form If you have any questions, please contact the Records Management Team. Email: RecordsManagement@utdallas.edu Phone: 972-883-4111