Handbook of Operating Procedures > Series 400 Budget, Finance and Operations > 4.10.1 Records and Information Management and Retention Schedule

4.10.1 Records and Information Management and Retention Schedule

A. Purpose

The purpose of the Records and Information Management and Retention Policy is to provide procedures for the management and retention of University records.

The University of Texas at Tyler (“University”) recognizes the need for orderly management and retrieval of all official state records and a documented records retention schedule in compliance with all state and federal laws and related regulations.

All official records (paper, microform, electronic, including all electronically stored information (ESI), or any other media) will be retained for the retention periods stated in the institutional Records Retention Schedule as approved by the Texas State Library and Archives Commission and the Texas State Auditor's Office in compliance with Texas Government Code, Chapter 441. After a 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.

Convenience copies, duplicate files, library materials, and stocks of obsolete forms or pamphlets originally intended for distribution are not considered to be official state records. Convenience copies should be destroyed when they cease to be useful and should never be kept longer than the official record copy.

B. Persons Affected

All employees of the University.

C. Definitions

Vital State Record:  Any state record necessary to the resumption or continuation of state agency operations in an emergency or disaster; the recreation of the legal and financial status of the agency; or the protection and fulfillment of obligations to the people of the state.

Archival State Record:  Any state record of enduring 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.

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.

D. Policy and Procedures

1. Records Management Officer.
   1. State law requires each state agency to appoint a Records Management Office ("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 Vice President, Chief Finance Officer serves as the RMO.
   2. The RMO ensures that all records required by federal or state law or by other regulatory agencies are created, maintained and safeguarded on an ongoing basis. The RMO is responsible to oversee the establishment and maintenance of the University's policies and procedures necessary for the creation, distribution, retention, storage and retrieval and destruction of all documents noted above, including all compliance-related documents. The University has adopted the following standards to assist the RMO with oversight of all documents required by law and necessary to its operations:
      1. All hospital records, including computer tapes and electronic paper, are prepared accurately, reliably, and honestly;
      2. Employees never knowingly enter false or misleading information into University records;
      3. Records are organized in a manner that facilitates prompt retrieval;
      4. All records are stored in a safe and secure manner for the period required by federal and state law or by University policy, whichever is longer, as determined by University Administration;
      5. Material is disposed of or destroyed when it no longer needs to be retained under federal and state law or University policy, whichever is longer, as determined by University Administration.
      6. Adequate records are developed and maintained to document the University's compliance with all relevant laws;
      7. The confidentiality and security of records is appropriately assured and adhered to based upon the policies of the University; and
      8. No employee may destroy or alter any University documents in anticipation of a request for those documents from any government agency or court.
2. Records Retention Schedule.
   1. The institutional Records Retention Schedule provides a list of official state records for each department on the campus and prescribes the periods of authorized retention. The schedule may be revised periodically to include a newly created records series, to change retention periods, or to delete a records series no longer held. Appropriate approval procedures must be followed and completed before any revisions would become effective.
   2. All records are to be kept for the minimum periods listed in the Records Retention Schedule. Notwithstanding such minimum retention periods, an official state 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.
   3. An official state 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.
   4. Documents may be maintained for the prescribed retention periods in microform if the microform reproduction is accomplished pursuant to a procedure that complies with Texas Government Code Section 441.188.
   5. Per Texas Administrative Code, Title 13, Part 1, Chapter 6, Subchapter A, Rules 6.21-6.35, official records kept only in electronic format must be identified in the Retention Schedule and must comply with administrative rules of the Texas Administrative Code Title 13, Part 1, Chapter 6, Subchapter A, Rules 6.91- 6.97.
   6. Vital records are identified in the Retention Schedule and protected in accordance with Texas Government Code Section 441.183. State law defines a vital state record as any state record necessary to the resumption or continuation of state agency operations in an emergency or disaster; the recreation of the legal and financial status of the agency; or the protection and fulfillment of obligation to the people of the state.
   7. Archival documents are identified in the Retention Schedule and maintained in accordance with Texas Government Code Section 441.181. An archival state record is any state record that is retained permanently for lasting historical value and is used for research and reference by university offices and the general public. Archival or historical records are preserved in the archives of the institution.
3. Destruction of State Records.
   1. No official state records may be destroyed without permission from the Texas State Library as outlined in Texas Government Code Section 441.187; Texas Administrative Code Title 13, Part 1, Chapter 6, Subchapter A Rule 6.7. The Texas State Library has two established methods for obtaining legal authority to destroy state records. Procedures differ for records listed on an approved Records Retention Schedule and any records not listed.
   2. A state record may not be destroyed if any litigation, claim, negotiation, audit, open records request, administrative review, or other action involving the record is initiated before the expiration of the retention period for the record set in the approved institutional Records Retention Schedule. If no action as described above has been taken, 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.
   3. State records not listed on the approved Records Retention Schedule may be destroyed after receiving approval by officials at the Texas State Library. The Form RMD 102, Request for Authority to Dispose of State Records, must be completed and submitted to the Records Management Division of the Texas State Library to obtain approval for the destruction of such official state records. Unlisted records must not be destroyed until the State Library Administrator approves and returns the form to the appropriate university officials. 

E. Responsibilities

Employees.  Maintain records in accordance with the Records Retention Schedule and this policy.

Records Management Officer (RMO).  See section D.1 above.

F. References

Texas Government Code Section 441

Texas Administrative Code Title 13, Part 1, Chapter 6, Subchapter A

Health Science Center Records Retention Schedule: https://www.tsl.texas.gov/sites/default/files/public/tslac/slrm/state/schedules/785.pdf

Main Campus Records Retention Schedule: https://www.uttyler.edu/recordsretention/

G. Review

This policy shall be reviewed by Human Resources and Institutional Compliance every five years or as legislation requires.