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Purchasing and Distribution Services Department. Records Retention: Understand and Prepare. 1. Agenda. Meeting the Records Retention Staff Purpose of a Records Retention Program Understanding Terms Reading the UTSA Records Retention Schedule Examples Archiving Records Electronic Records

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Purchasing and Distribution Services Department


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    1. Purchasing and Distribution Services Department Records Retention: Understand and Prepare 1

    2. Agenda • Meeting the Records Retention Staff • Purpose of a Records Retention Program • Understanding Terms • Reading the UTSA Records Retention Schedule • Examples • Archiving Records • Electronic Records • Preparing for Storage • Requesting Records for Retrieval • Certification Records Retention 2

    3. Purchasing and Distribution Services Department Hierarchy Business Affairs Mail Services 1604 Campus Central Receiving Contracts HUB Receiving 3

    4. Downtown General Services • Robert Dickens • Purchasing and Distribution Services Department Director (Interim) • Ext 4060 • Frank Salinas • Manager, Mail Services • Ext 2781 • John Salas • Senior Mail Clerk • Ext 2780 • Ernest Valdez • Mail Clerk II • Ext 2780 Ernest, John and Frank 4

    5. Purpose of a Records Retention Program • Comply with legal requirements. • Destroy records that no longer have value to the agency. • Provide legal protection to the agency when destroying records. • Retain records of permanent value. • Improve protection of vital records. • Provide security for records with confidential or sensitive information. • Provide offsite storage access to inactive records. • Move inactive records into less expensive storage areas, if possible. • Maintain records in the formats offering optimum cost-effectiveness. 5

    6. Purpose of Records Retention Schedule The foremost purpose of the records retention schedule is to provide a solid foundation for an agency’s records management program. 6

    7. Records Retention All records created by UTSA are considered property of the sate and must be retained and disposed of according to the Texas State Library guidelines. 7

    8. Records Retention Terms • Record Management The systematic control of all records, regardless of media format, from initial creation to final disposal. • Record Retention Holding documents for future use. • Retention Schedule A table that identifies retention periods for official records. • Retention Period The amount of time a record series must be retained before destruction or archival preservation. • Final Disposition The final treatment of the record, which will be either archival preservation or destruction. 8

    9. Reading the UTSA Records Retention Schedule 9

    10. Reading the Retention Schedule • Retention Codes • Records Series Item and Agency Item Number • Record Series Title • Retention Period • Retention Remarks 10

    11. Retention Codes Schedule Key • AC – After Closed, Terminated, Completed, Expired, Settled • AC+14 – Keep 14 years after it has expired. • CE – Calendar Year End • LA – Life of Asset • LA+3 – Retain 3 years past ownership. • PM – Permanent • AV – As Long As Administratively Valuable • FE – Fiscal Year End • FE+3 – Retain current fiscal year plus 3 additional years • US – Until Superseded • US+3 – Retain until the record is replaced by an updated version, plus 3 years. 11

    12. Record Series Item and Agency Item Number Identifies how records are filed at the State of Texas. • The Record Series Item Number corresponds to the State Library Retention numbering system. • The Agency Item Number corresponds to UTSA Retention numbering system. 12

    13. Record Series Title Indicates how each content area is classified. • Records titles are determined by the State and University needs. • Records are divided into categories, sections, and specific content. • Administration Records (Category) • Section 1.1 – General (Section) • 1.1.102 – Audits (Specific Content Title) 13

    14. Retention Period The records life expectancy • Separated into three areas • A – Agency Retention Period • S – Storage • T – Total Retention Period • Follow the Agency (A) Retention column for UTSA record processing. 14

    15. Retention Remarks • Provides additional clarification for the retention period. • May also provide specific instructions in the retention of a particular record. • List additional information the state may use when archiving records. 15

    16. Searching within the Retention Schedule Example 1 • Retaining Departmental leave reports • Identify the proper Record Series Title • Employment Records (Category) • Find the appropriate Subsection • Section 3.4 - Time and Leave Reports (Subsection) • Identify the Agency Item Number • 3.4.102 – Leave Status Report (Agency Item #) 16

    17. Determining Retention Period • Use the Agency (A) column to determine the Retention Period • 3.4.102 – Leave Status Reports • A (Agency) Retention period is FE +3 • Records are retained FE (Current FY) plus 3 previous years • Records must be retained current fiscal year (2009) plus 3 previous years (2008, 2007, 2006) • UTSA calendar runs 2008/2009 (FY09) therefore, retention will be maintained until 2005/2006 (FY06) • Records Previous to FY06 (2005/2006) maybe destroyed 17

    18. Determining Retention Time Frame Example 2 • Position/Job Description • 3.1.123 – Position/Job Descriptions • A (Agency) Retention period AC+5 • Records are kept on file until the position has been filled or terminated, plus an additional five years • Records must be retained from 2009 until 2014 18

    19. Records RetentionUniversity Archives/ Electronic Records Angela Ossar 19

    20. University Archives • At the end of the retention period… • Who maintains it? • Purpose of the University Archives Letter from first ITC director to Gov. John Connally, UTSA Institute of Texan Cultures Records, 1965-2006, Archives and Special Collections, UTSA Library 20

    21. Archival Codes • Indicates whether the material is, or might be, appropriate for permanent retention in the University Archives 21

    22. Archival Codes • UTSA Archival Codes: • I = Transfer to University Archives • O = Review by University Archivist 22

    23. Archival Codes • Some examples… • Organizational charts (I) • University Catalogs (I) • Publications (I) • Subpoenas (I) • Speeches, Papers, and Presentations (O) • Building Plans and Specifications (O) 23

    24. Archival Codes • Archives Notes (9. Remarks) • What is and isn’t “archival” • Level of authority • Significance of action • Subgroups of records (e.g., data processing planning records) • Where to send the records • University Archives • Texas State Publications Depository Program: http://www.tsl.state.tx.us/statepubs/docs/Summary_Sheet.Univ.2008-01.pdf • Archives Notes without Archival Codes? 24

    25. University Archives We also collect: • Copies of UTSA newsletters and magazines (“official,” student-produced, departmental newsletters) • Photographs documenting UTSA’s early years up to 2000 • Meeting minutes of the Faculty Senate, University Assembly, Graduate Council • Papers of selected faculty, staff, and administrators • Faculty/staff and student directories • Brochures, posters, and artifacts • Upcoming… The Discourse, Vol. 1, No. 5 (June 1973). Archives and Special Collections, UTSA Library 25

    26. University Archives Benefits: • Preserve organizational memory • Policy background • Histories • Marketing and community relations Gil Barrera Photographs of UTSA, 1972-1978, MS 27, Archives and Special Collections, UTSA Library. 26

    27. E-Records are Records • Format doesn’t matter • Content, context, and structure do • New challenges posed by e-records don’t negate their status as records • Technological obsolescence • Diversity of formats • Complicated preservation

    28. Designating the Record Copy • Electronic files are dispersed easily • They’re found throughout the organization • The Record Copy is: • Copy created or received originally • Copy managed well • Most complete copy

    29. Inventorying Records • What kind of e-records is your office creating? • Talk to everyone in the office • Forms, email, newsletters or other publications, reports, strategic plan goals – everything that is: • Maintained strictly electronically (no paper) • Create the inventory • Will work best with a spreadsheet or database.

    30. Scheduling Records • Using your inventory, compare to the retention schedule. • Find each item on the retention schedule and record its retention period in the inventory. • Integrate retention into your Electronic Records system. • Doesn’t only apply if you’re just using software – consider folders • Include dates in folder names – “Annual Reports, FY 2008-2009” • Designate folder for storing PERMANENT and ARCHIVAL records

    31. Retaining or Disposing of Records • If retaining: • Determine the appropriate preservation format • Paper, microfilm, or electronic • If disposing: • Ensure timely destruction • Control all copies (have one copy) • Purge hard drives before transferring

    32. Taking Care of Electronic Records • Storage • Save copies to network – it gets backed up • Don’t save to C drive • Don’t use flash drives (USB drives) – physical loss • Our network is full. Can I just burn everything to a CD or DVD?

    33. Transferring Records to the Archives • Handout (“How to Transfer your Department’s Records…”) • Different information needed, slightly different procedure • Records Transfer Authorization form • Forms on Archives website: http://www.lib.utsa.edu/archives/forms.html 33

    34. University Archives Services Please Contact Us! • Items to transfer to Archives • Items needing archival review • Questions about Archival Codes or Notes • Help interpreting the retention schedule • Help creating a File Plan • Using University Archives holdings • Questions about the transfer process 34

    35. University Archives Locations: • Institute of Texan Cultures • John Peace Library – Special Collections Staff: • Angela Ossar, University Archivist • Ext. 2383 or Angela.Ossar@utsa.edu • Mark Shelstad, Head of Archives and Special Collections • Ext. 2385 or Mark.Shelstad@utsa.edu Website: • http://www.lib.utsa.edu/archives/ua/ 35

    36. Records RetentionStoring Boxes Frank Salinas 36

    37. Preparing for Storage • Order Record Retention Boxes • Create Record Retention Labels • Complete Request for Storage Form 37

    38. Order Record Retention Boxes Create a General Store Requisition to obtain storage boxes. Use the Commodity code: 615-37-09030-2 Fax the Requisition to 4607 Boxes will be delivered to the requesting department. 38

    39. UTSA Records Retention Storage Area Improper Boxes will be RETURNED Proper Boxes 39

    40. Create Record Retention Box Labels • Create a Retention Label from the PDS website • Include the following information on the label • Agency Item Number • Record Title and Year of Material • Destruction Date • Print and place label on the outside of the box. 40

    41. Complete Request for Record Storage Form Submit a Request for Storage Form • Fill in the contact information • Length of time the material will be stored • Box Number • Record Series Number • Description / Content Mail original form via Campus Mail • DT Mail Services • Attn: Frank Salinas Approved form will be returned 2008 41

    42. Helpful Information • Create a Record Retention Folder or Notebook • Tips for record retrieval Records Retention 42

    43. A Retention Notebook It helps to be organized Create a Retention Records Notebook • This will help when requesting records to be pulled from retention • File by Box Number • Copies of Box Labels • Copies of Request for Storage forms • File Plan can be helpful 43

    44. Requesting Records for Retrieval • Contact DT Mail Services Manager, Frank Salinas, at the Records Retention Center • Frank.Salinas@utsa.edu • 2781 • Box number(s) and content description • Boxes will be couriered to the requesting office 44

    45. Records Retention Certification Records Retention Representative 45

    46. Records Retention Representative • Assist others within the department on how to read the Records Retention Schedule • Prepare department documents for Records Storage • Complete annual training 46

    47. Certification • What is the purpose of Records Retention? • Name at least three Retention Codes. • If you need assistance with Records Retention, who do you contact? • What are at least two things you learned today, that you didn’t already know. 47

    48. Certification – Practical Exercise • You have been provided a records retention schedule, label and request for records storage form. • Create a label and a request for storage form for the following records: • Departmental Budget Reports, FY 08 • Departmental Budget Adjustments, FY 08 • Expenditure Reports, FY 08 • Daily Cash Receipts, FY 08 48

    49. Certification – Practical Exercise:Records Retention Label Answers 49

    50. Certification – Practical Exercise: Request for Storage Form Answers