Town Meeting Presentation May 2007

1. Town Meeting Presentation May 2007 UT Austin Records Management Services Office of Accounting

2. Topics Covered The University of Texas at Austin Records Retention Schedule or UTRRS Amendment Recertification Classifying Correspondence

3. Amendment to the UTRRS Approved March 21, 2007

4. Amendment Facts 27 changes Deletions (4) Changed (11) Additions (12) Codes for general use (19) and codes for use by specified departments (8) How do I find and use these new or amended codes?

5. When classifying records- use sections 1 and 2. You will rarely or never use section 2 unless your department has specially designated codes. There is a lot of information tucked into these links in the middle. Record Copies Certified Retention Schedule Approved Amendment Reference Resource Texas Records Retention ScheduleWhen classifying records- use sections 1 and 2. You will rarely or never use section 2 unless your department has specially designated codes. There is a lot of information tucked into these links in the middle. Record Copies Certified Retention Schedule Approved Amendment Reference Resource Texas Records Retention Schedule

6. Amended 2004 UTRRS Section 1 Visual cues blue means new. Red means requires archival review. The state code ties many of the AALL codes to the state RRS. Review the columns The security and medium codes will not be included in the next certified UTRRS. Section 1 Visual cues blue means new. Red means requires archival review. The state code ties many of the AALL codes to the state RRS. Review the columns The security and medium codes will not be included in the next certified UTRRS.

7. Commonly Used Codes that have Changed AALL020 Administrative Correspondence - Clarification of archival requirementsSee updated webpage: http://www.utexas.edu/business/accounting/retention/faq08.html�  AALL029 Meeting Minutes - Change title from Staff Meeting Minutes AALL083 Transitory Information - Clarification for determining whether an item can be classified as transitorySee updated webpage: http://www.utexas.edu/business/accounting/retention/faq02.html�  AALL279 Request for Travel Authorization - Retention period increased from FE+3 to FE+8 AALL425 UT Sponsored Conference/Orientation Registration - Code added AALL451 Interdepartmental Transfers - Code added AALL455 Departmental Cash Vouchers - Retention period increased from FE+3 to FE+8 AALL020- Archival review requirements were clarified AALL029 was called Staff Meeting Minutes we have changed the title to cover all meeting minutes except Open Meeting minutes which must be certified and are covered by code AALL085 AALL083--Transitory Information notes were clarified AALL279- RTA�retention requirement increased�this may not affect you much since most departments are submitting entire documentation to be imaged and the imaged record is the master record. AALL425�this code is for use by all departments, it replaces HFS425 used for UT Orientation registration AALL451�this code was inadvertently omitted during the last recertification AALL455�retention period increased corrected to match other financial transaction codes, and retain information for the duration of all tax and audit requirementsAALL020- Archival review requirements were clarified AALL029 was called Staff Meeting Minutes we have changed the title to cover all meeting minutes except Open Meeting minutes which must be certified and are covered by code AALL085 AALL083--Transitory Information notes were clarified AALL279- RTA�retention requirement increased�this may not affect you much since most departments are submitting entire documentation to be imaged and the imaged record is the master record. AALL425�this code is for use by all departments, it replaces HFS425 used for UT Orientation registration AALL451�this code was inadvertently omitted during the last recertification AALL455�retention period increased corrected to match other financial transaction codes, and retain information for the duration of all tax and audit requirements

8. Recertification of the UTRRS Goals and Information

9. Why Recertify? The current UTRRS is adopted as an administrative rule of the University of Texas and is certified by the Texas State Library and Archives Commission as of September 29, 2004. It is developed in accordance with Texas Government Code, Section 441.185 and 13 Texas Administrative Code, Title 13, Part 1, Chapter 6, Subchapter A  13 Texas Administrative Code, Title 13, Part 1 Chapter 6, Subchapter A requires Records Retention Schedule recertification every three years for each state agency. The recertification process for the University of Texas at Austin is underway and should be completed in the fall of 2007. If the schedule has been amended� why recertify? To an extent, the amendment views the code from the perspective of an exposed need or change. The recertification provides an opportunity for the type of comprehensive review that evaluates all the codes and their interrelated functionality. If the schedule has been amended� why recertify? To an extent, the amendment views the code from the perspective of an exposed need or change. The recertification provides an opportunity for the type of comprehensive review that evaluates all the codes and their interrelated functionality.

10. Recertification Goals Comprehensive review Simplify schedule Add recently created forms and processes Rectify omissions Revise retention periods Ensure the RRS works for us rather than making our jobs harder! Compare department codes against general codes, review for duplications, look at the activity over the past three years check for state and federal regulations that may require changes in retention requirementsCompare department codes against general codes, review for duplications, look at the activity over the past three years check for state and federal regulations that may require changes in retention requirements

11. Earlier, I referred to the State RRS as a reference resource. It is also the resource used to develop UTRRS codes that correspond to codes that most state agencies share in common. This sample is provided to show how the code in the state RRS compares to the code in the UTRRS. The state RRS sometimes provides more detail than the UTRRS. Example: Code AALL467 Purchase Voucher corresponds to state code 4.2.005 The state RRS includes the following information in the records series title: Requisitions, orders, receiving reports, invoices or statements, change orders, best value determinations, etc. While the UTRRS says simply: Purchase Vouchers Earlier, I referred to the State RRS as a reference resource. It is also the resource used to develop UTRRS codes that correspond to codes that most state agencies share in common. This sample is provided to show how the code in the state RRS compares to the code in the UTRRS. The state RRS sometimes provides more detail than the UTRRS. Example: Code AALL467 Purchase Voucher corresponds to state code 4.2.005 The state RRS includes the following information in the records series title: Requisitions, orders, receiving reports, invoices or statements, change orders, best value determinations, etc. While the UTRRS says simply: Purchase Vouchers

12. Recertification Information Due to be completed in the Fall of 2007 Department code reviews are underway--departments with designated codes�Section 2 of the UTRRS�will be contacted for review Please call if you have questions, concerns, or ideas!

13. Classifying Correspondence General, Administrative, and Transitory

14. AALL020 Administrative Correspondence The State of Texas records retention schedule defines administrative correspondence as incoming/outgoing and internal correspondence pertaining to the formulation, planning, implementation, interpretation, modification, or redefinition of the programs, services, or projects of an agency and the administrative regulations, policies, and procedures that govern them. It must be retained for 3 years and may require archival review. Archival review is required only for the administrative correspondence of the Office of the President, Senior Vice Presidents and Vice Presidents Offices Including: Employee and Campus Services; Resource Development; Student Affairs; Public Affairs; Chief Financial Officer, Provost; Institutional Relations & Legal Affairs; Information Technology; Community and School Relations; Research; and the Office of Internal Audits.

15. AALL025 General Correspondence The State of Texas records retention schedule defines general correspondence as non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of an agency. It must be retained for 1 year.

16. A Word of Caution CAUTION: Records series AALL020 and AALL025 should be used only for correspondence that is not included in or directly related to another records series on the University of Texas records retention schedule. For example, a memorandum that documents an appropriations request must be retained for the minimum retention period for AALL011, a letter concerning an audit would be retained for the same retention period as AALL003, etc.

17. AALL083 Transitory Information Records of temporary usefulness that are not an integral part of a records series of an agency, that are not regularly filed within an agency�s record keeping system, and that are required only for a limited period of time for the completion of an action by an official or employee of the agency or in the preparation of an ongoing records series. Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of agency functions. Some examples of transitory information, which can be in any medium (voice mail, fax, email, hard copy, etc.) are routine messages; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routine information used for communication, but not for the documentation, of a specific agency transaction. Some examples of transitory information, which can be in any medium (voice mail, fax, email, hard copy, etc.) are routine messages; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routine information used for communication, but not for the documentation, of a specific agency transaction.

18. Transitory Correspondence Clarifications If a record can be classified as Transitory Information, you are free to destroy the record as soon as the purpose has been fulfilled CAUTION: Before designating any record as transitory ensure that it is not listed as part of another records series in the UTRRS Records designated as transitory do not require authorization for disposal but departments should establish procedures governing disposal of these records as part of their departmental records management plan. Records designated as transitory do not require authorization for disposal but departments should establish procedures governing disposal of these records as part of their departmental records management plan.

19. Final Thoughts on Classifying Correspondence Correspondence Codes AALL020 Administrative Correspondence AALL025 General Correspondence AALL083 Transitory Information When in doubt� call Records Management Services for assistance with determining the correct classification of correspondence

20. University of Texas Records Management Services Contact Information Maryrose Hightower-Coyle 232-5647 Email: recordsmgmt@austin.utexas.edu Fax: 232-1492 K5300Office of AccountingRecords ManagementMAI 132 URLs General Information: http://www.utexas.edu/business/accounting/retention/ Retention Schedule: http://www.utexas.edu/business/accounting/retention/ret.html Request to Dispose of State Records: http://www.utexas.edu/business/accounting/retention/dispose.html Training Resources: http://www.utexas.edu/business/accounting/retention/training.html

21. Roles and Responsibilities Texas State Library�mandates state agencies to enact Records Management programs in accordance with State and Federal guidelines UT System Records Management Officer, Kim Scofield � agency-wide supervision of Records Management Programs for UT System and component Institutions UT Austin Records Management Services, Maryrose Hightower-Coyle �assists and supports departmental Records Management Programs, processes and approves Requests to Dispose of State Records, and is responsible for development and management of UTRRS Department/Division Head � designates Departmental Records Management contact, reviews and signs Requests to Dispose of State Records. Departmental Records Management contact � develops and maintains departmental procedures, prepares Request for Disposal of State Records forms document, oversees disposal of documents.