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Handbook of Operating Procedures
Chapter 9 - General Provisions
Publication Date: February 3, 2012
Responsible Executive: President

 

9.21 Records and Information Management and Retention


I. POLICY STATEMENT


The University of Texas at San Antonio (UTSA) recognizes the need for orderly management and retrieval of all official records and a documented records retention and destruction schedule in compliance with all state and federal laws and related regulations. All official records will be retained for the retention periods stated in UTSA’s certified Records Retention Schedule. After the specified period of time, official records must be disposed of in a manner that is consistent with, and systematically carried out in accordance with, prescribed records and information management guidelines and procedures.   


II. RATIONALE


The president of UTSA, as its state agency head, is responsible for the proper management of State records as outlined in Texas Government Code, Chapter 441. State law requires each state agency head to appoint a Records Management Officer (RMO) to act as the agency's representative in all issues of records and information management policy, responsibility and statutory compliance pursuant to Texas Government Code Section 441.184.  The UTSA RMO is also referred to as the Records Retention Officer.


III. SCOPE


This policy applies to all UTSA faculty, staff, and students.


IV. WEBSITE ADDRESS FOR THIS POLICY


http://www.utsa.edu/hop/chapter9/9-21.html


V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS


UTSA or UT System Policies or the Board of Regents Rules & Regulations

  1. The University of Texas System (UT System) policy UTS115 Records and Information Management and Retention Policy
  2. UTSA HOP policy 9.08 Texas Public Information Act

Other Statutes, Policies & Standards

  1. Texas Government Code, Chapter 441, Libraries and Archives
  2. 13 Texas Administrative Code, Sections 6.91-6.97, State Records
  3. Texas Government Code, Chapter 552, The Texas Public Information Act

VI. CONTACTS


  • If you have any questions about HOP policy 9.21, Records and Information Management and Retention, contact the Records Retention Officer, within the Public Information Office.
    http://www.utsa.edu/openrecords/retention.html

    If you have any questions regarding off-site records storage contact the Mail Services Department.
    http://www.utsa.edu/pds/records


    VII. DEFINITIONS


    Official State Record
    Any written, photographic, machine-readable, or other recorded information, including all electronically stored information (ESI), or any other media that has been created or received by or on behalf of UTSA that documents activities in the conduct of UTSA business .

    Duplicate and Non-Record Copies
    Duplicate files, duplicate and/or convenience copies, library materials, and stocks of obsolete forms or pamphlets originally intended for distribution are not considered official records or record copies.

    Vital State Record
    Vital state records are those necessary to the resumption or continuation of state agency operations in an emergency or disaster; the re-creation of the legal and financial status of the agency; or the protection and fulfillment of obligations to the people of the state. These records are to be identified and protected in accordance with Texas Government Code Section 441.183.

    Archival State Record
    Archival state records are those of enduring historical value that will be preserved on a continuing basis by the institutional archives until its archivist indicates that based on a reappraisal of the record it no longer merits further retention. These records are to be identified and maintained in accordance with Texas Government Code Section 441.181.

    Confidential State Record
    Any state record to which public access is or may be restricted or denied under Texas Government Code, Chapter 552, or other state or federal law.

    Records Retention Schedule
    The UTSA Records Retention Schedule provides a list of official state records for each department on the campus and prescribes the periods of authorized retention. State agency Records Retention Schedules must be approved by the Texas State Library and Archives Commission and the Texas State Auditor's Office in compliance with Texas Government Code, Chapter 441.


    VIII. RESPONSIBILITIES


    1. Employees
      1. Maintains records in accordance with the Records Retention Schedule and this policy.
    2. Public Information Officer (PIO)
      1. Coordinates responses to requests for public information appropriately submitted to UTSA.
    3. Records Management Officer (RMO)/Records Retention Officer
      1. Acts as representative in all issues of records and information management, policy, responsibility and statutory compliance. The RMO is appointed as UTSA’s records management officer by the President, and must report to the President annually.
    4. Texas State Library
      1. Oversees certification of state agency Records Retention Schedules and destruction/archiving of records not listed on the retention schedules. 

    IX. PROCEDURES


    1. Retention & Destruction of State Records

    All official state records are to be kept for the minimum length of time listed in the Records Retention Schedule. Duplicates or non-record convenience copies should be destroyed when they cease to be useful and should never be kept longer than the official record copy.

    Notwithstanding the minimum retention periods, an official state record whose retention period has expired may not be destroyed if any litigation, claim, negotiation, audit, open records/public information request, administrative review, or other action involving the record is initiated prior to the expiration of the retention period for the record. Upon completion of the action and the resolution of all issues that arise from it the official state record may be destroyed.

    If no such litigation or other action as described above has been initiated, records may be destroyed in accordance with the approved retention periods shown in the Records Retention Schedule. Prior to disposal of official records, all state and institutional records and information management regulations and policies must be followed.

    State records not listed on the approved Records Retention Schedule may not be destroyed unless expressly approved by the Texas State Library. Consult with the RMO in order to seek this approval.

    Documents may be maintained for the prescribed minimum retention periods in microform if the microform reproduction is accomplished pursuant to a procedure that complies with Texas Government Code Section 441.188; 13 Texas Administrative Code Sections 6.21-6.35. If you have questions regarding the Texas Government Code referenced please contact the Office of Legal Affairs.

    1. Release of Records (Texas Public Information Act)
      Written requests for documents under the Texas Public Information Act should be directed to the Public Information Officer and handled immediately pursuant to the provisions of the Texas Public Information Act. See UTSA HOP policy 9.08, Texas Public Information Act.

    2. Retention Schedule and Amendments
      The Records Retention Schedule may be revised periodically to include a newly created record series, to change retention periods, or to delete a record series no longer held. Appropriate approval procedures must be followed and completed before any revisions become effective. Consult with the RMO in order to propose any amendments to the existing Records Retention Schedule.

    X. SPECIAL INSTRUCTIONS FOR IMPLEMENTATION


    None


    XI. FORMS AND TOOLS/ONLINE PROCESSES


    UTSA Records Retention Schedule
    Records Request for Storage
    Storage Box Labels


    XII. APPENDIX


    None