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Records Management (D-28)

Original Implementation: February, 1975
Last Revisions: January 31, 2012

The university shall adhere to state regulations for the management of its records. All university records, regardless of medium, created by or received by an office or employee in connection with the normal course of business are considered state records. Extra copies maintained only for reference are not subject to this Records Management Policy. Certain inactive records are retained to meet legal and fiscal requirements or future administrative needs, or because of historical significance. Department heads are responsible for the management of their department's records, including the records of all staff and faculty within their departments. In managing their records, they should adhere to the following guidelines.

  1. Records of the official activities of university officers and offices are the property of the university.
  2. Official records should not be destroyed without the approval of the officer in charge of the department where the records accumulate. They should be destroyed in accordance with the approved SFA Records Retention Schedule. Records that are not listed on the Records Retention Schedule may not be destroyed without the approval of the Records Management Division of the State of Texas Library and Archives Commission. In addition, the approval of the State Auditor is required in the case of the destruction of a state record of a fiscal or financial nature.
  3. When records cease to have current value for an office and when they are listed on the Records Retention Schedule as having archival value, the officer in charge shall arrange for their systematic transfer to the East Texas Research Center of the library. For records determined to have archival value, but not listed as such on the schedule, contact the Director of the East Texas Research Center.
  4. Administrative officers shall consult with the general counsel on any question of compliance with the Texas Public Information Act.
  5. Each administrative office shall designate an individual to consult with the East Texas Research Center's Records Retention Assistant with questions regarding implementation of the records management program in his/her office. The name and telephone number of this person should be given to the ETRC Records Retention Assistant.
    1. Each department is responsible for evaluating files at least once a year to ensure that records are being retained in accordance with the approved SFA Records Retention Schedule.
    2. Records determined to be obsolete by the department should be disposed of according to the SFA Records Retention Schedule.
    3. If a department has records not listed on the schedule, special permission from the state must be obtained to dispose of them. Records exempted from the need to be listed on the Records Retention Schedule by rules adopted by the State Library need not receive approval for destruction. The Records Retention Assistant should be contacted for specific instructions.
    4. Before final disposition of records, regardless of whether the records are listed on the Records Retention Schedule, a Records Disposition Log must be prepared. Enter the records series title, retention period, inclusive dates of the records, and appropriate disposition method on the log. The person authorizing disposition of the records series, usually the department head, must sign the log.
    5. After the log authorizing disposition is signed by the department head, the records must be disposed of in the appropriate manner. If a records series has archival requirements as indicated by the schedule, contact the Records Retention Assistant for specific instructions. If records are to be destroyed, destruction is to be accomplished by shredding if the records are confidential; by recycling or trash if the records are open; and by erasure if the records are electronic. Enter the volume and actual date of records disposition on the log.
    6. The records disposition log is maintained in the department responsible for disposing of the records until the end of the fiscal year and is then forwarded to the Records Retention Assistant at Steen Library, Box 13055.


Records Retention Schedule

  1. The approved SFA Records Retention Schedule establishes the official life span for records series maintained in university offices. This schedule shall be reviewed and approved by the State Library and State Auditor as periodically required by the State Records Administrator.
  2. The Records Retention Schedule is a listing of SFA's records series; it identifies special considerations regarding a records series, such as legal, audit, or archival requirements, and the length of time a records series must be retained before final disposition. Statutory confidentiality requirements must be maintained regardless of the special identifications noted on the Records Retention Schedule.
  3. The university's Records Retention Schedule, detailing the length of time records series must be retained (examples of records series include correspondence, time sheets, travel requests, expenditure vouchers, and numerous others) is available in the East Texas Research Center and in university departments upon request from the Records Retention Assistant in ETRC.
  4. The Records Retention Assistant in the East Texas Research Center of the Ralph W. Steen Library is the central contact person for information about policy compliance in records retention and disposal procedures.

 

Cross Reference: Tex. Gov’t Code §§ 441.180-.205; 13 Tex. Admin. Code Ch. 6

Responsible for Implementation: President

Contact for Revision: SFA Records Administrator; General Counsel

Forms: Records Inventory Worksheet (RMD 103); Records Disposition Log; Request to Dispose of Records not listed in Records Retention Schedule (RMD 102); andRecords Retention Schedule (SLR 105C)

Board Committee Assignment: Academic and Student Affairs