Handbook of Operating Procedures 3-1410
Records Management
Effective May 6, 2026
Executive Sponsor: Vice President of Operations and Chief Operating Officer
Policy Owner: Records Management Officer and Director of Records and Information Management Services
- Policy Statement
The University of Texas at Austin ("University") is committed to the systematic management and retrieval of official University records and appropriate maintenance of a records retention schedule in compliance with applicable federal and state laws and regulations.
- Reason for Policy
To provide structure, responsibilities, and procedures for an active and ongoing Records Management Program in accordance with applicable federal and state laws and regulations, and The University of Texas System ("UT System") Policy UTS115, Records and Information Management.
- Scope & Audience
This policy applies to all employees and to all contractors to the University that create, manage, or maintain a University record.
- Definitions (specific to this policy)
Archival University Record:
A University record of enduring value to be preserved on a continuing basis by the University until the University archivist indicates that based on a reappraisal of the record it no longer merits further retention. See Texas Government Code (TGC) § 441.180(2).
Confidential University Record:
A University record to which public access is or may be restricted or denied under TGC Chapter 552, or other federal or state law. See TGC § 441.180(4), 13TAC § 6.1(7).
Convenience Copy:
Copies of a master record created for convenience, reference, or research. Convenience copies may be in any medium (e.g., electronic or hard copy). See Handbook of Business Procedures (https://afm.utexas.edu/hbp/part-20/6-2-convenience-copies).
Departmental Records Management Assessment:
An assessment completed by the department identifying the policies, procedures, and roles utilized by the department to ensure the retention or disposition of University records held by the department in accordance with the University of Texas at Austin Records Retention Schedule (UTRRS), University disposition procedures, and this policy.
Departmental Records Management Contact (DRMC):
University staff designated by the department or unit head to coordinate records management activities for the department..
Master Record:
The record retained by the University and subject to the University's records retention schedule and disposition policies. The master record may or may not be the original and may be created or retained in any medium (e.g., electronic or hard copy). Refer to HBP 20.6.1 and University Record definition below.
Record Series:
A group of identical or related records that are normally used and/or filed together or that serve the same purpose, and that permit evaluation as a group for retention scheduling purposes. Record series are published collectively as part of the UTRRS. See 13 Texas Administrative Code (TAC) § 6.1(13).
Records Management:
Application of management techniques to the creation, use, maintenance, retention, preservation, and destruction of University records. The term includes the development of retention schedules, the management of filing and information retrieval systems in any media, and the adequate protection of University records that are confidential, vital, or archival. See TGC § Chapter 441.180(7).
Records Management Officer (RMO):
The University employee appointed by the president to administer the University Records Management Program established under TGC § 441.183. See also TGC § 441.180(8).
Records Management Program:
A program established on an active and ongoing basis to implement records management controls for University records and recordkeeping systems; identify and protect confidential and vital University records; and cooperate with the Texas State Library and Archives Commission (TSLAC) for the purposes of improving the efficiency of recordkeeping, ensuring access to public information under Chapter 552, and reducing costs. See TGC § 441.183.
State Record:
See University record.
Texas State Library and Archives Commission (TSLAC):
The state agency charged with aiding and encouraging, by adoption of policies and programs, the development of effective records management and preservation programs in state agencies and the local governments of the state. See TGC § 441.006(10).
Transitory Records:
Records of temporary usefulness that are neither an integral part of a record series listed in the UTRRS nor regularly filed within a University recordkeeping system. This includes records required for a limited time for completion of an action by an official or employee or in the preparation of an ongoing record series, including drafts or temporary notes not explicitly described elsewhere on the UTRRS.
Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of agency functions. See the UTRRS for more information.
University Disposition Log:
Document for recording the destruction or archival transfer of official University records that have met retention requirements listed in the UTRRS.
University Record:
Recorded information created or received in the conduct of official University business. University record includes 1) a record that is created or maintained by the University, and 2) a record that is created or maintained for the University, and the University owns the information or has a right of access to it (e.g., a University record in the possession of a private contractor to the University). Also referred to as state record, official record, and master record. See TGC § 441.180(11).
University of Texas at Austin Records Retention Schedule (UTRRS):
A document listing University record series and providing retention periods and other information necessary for the operation of an effective records management program. The UTRRS must be recertified within five years of the date of the most recent recertification by TSLAC. See TGC § 441.185 and 13 TAC §§ 6.1-6.10.
Vital University Record:
A record necessary to the resumption or continuation of University 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. See TGC § 441.180(13), 13 TAC § 6.1(21).
- Website (for policy)
https://secure4.compliancebridge.com/utexas/public/getdoc.php?file=3-1410
Contacts
| CONTACT | DETAILS | WEB |
|
Records & Information Management Services | Phone: 512-232-5647 | Website: https://records.utexas.edu/ |
- Responsibilities & Procedures
- General
- The records management program for the University follows all applicable state laws and UT System policies including UTS115, Records and Information Management.
- Master records may be created or retained in paper or electronic formats. When a paper record is imaged in accordance with University procedures the resulting image may be retained as the master record and the paper original disposed as a convenience copy. Refer to HBP Section 20.6.6.
- A master record may only be destroyed if
- there is a retention period certified for the record type in the UTRRS,
the record has met all retention requirements,
- a request to dispose form has been processed by Records and Information Management Services, and
- any action against the record (e.g., audit, lawsuit, request for public information, etc.) has been resolved.
- Institutional Responsibilities
The University is responsible for taking actions to:
- Establish and maintain a records management program on a continuing and active basis.
- Create and maintain records containing adequate and proper documentation of University functions, policies, decisions, procedures, and essential transactions designed to furnish information to protect the financial and legal rights of the state and any person affected by the activities of the University. Ensure continuity of records and recordkeeping through successions of University presidents.
- Assure that electronic University records are maintained in a secure environment for the duration of the period the electronic record must be retained.
- Assure that all University records created, accessed, or maintained by a private contractor to the University are maintained and accessible to the same extent as if the records were maintained by the University.
- Identify and protect confidential and vital University records.
- Cooperate with TSLAC, the TSLAC director and librarian, and any other authorized designees of the TSLAC director in the conduct of state agency records management surveys and other TSLAC state records management program initiatives.
- Records Management Officer (RMO)
The RMO must:
- Develop and maintain the UTRRS.
- The UTRRS will provide:
- retention requirements for University records in all formats and media in accordance with the State of Texas Records Retention Schedule (Texas RRS) and other federal, state, and accrediting/regulating requirements, rules, and standards.
- archival value for record series in accordance with Texas RRS and the guidance of the University archives director.
- The RMO must submit the UTRRS for recertification by the TSLAC State and Local Records Management Division (TSLAC-SLRM) as required.
- The RMO must submit UTRRS amendments to TSLAC-SLRM for certification as needed.
- Collaborate with University stakeholders to identify confidential and vital record series in accordance with Texas RRS and provide guidance for departments to adequately protect those records.
- Provide procedures for University staff to request record series for new or undocumented types of records, or to make changes to record series as needed.
- Prior to submitting the UTRRS for recertification, conduct a University-wide survey and review of UTRRS record series to ensure they are current, meet legal and regulatory requirements, and accurately map recordkeeping practices.
- Provide training, guidance, and information to University staff concerning federal and state records and information management laws, administrative rules, TSLAC policies, and University records and information management policies.
- Develop University policy and procedures for the disposition of University records and maintain oversight of the disposition of those records.
The disposition policy must ensure that:
UTRRS retention requirements apply to all official University records, including records created, accessed, or maintained by a private contractor to the University, and internal authorization processes provide the means to document their destruction or archival transfer in the University disposition log.- All copies of any records, including official University records meeting retention requirements as well convenience copies and transitory records then in existence, regardless of format, will not be destroyed when litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the records has been initiated. Destruction must not occur until the completion of the action and resolution of all issues that may arise from it.
- Confidential information, whether in master records, convenience copies, or transitory records, is disposed in a manner that preserves confidentiality.
- Maintain the University disposition log.
- Departmental/Unit Level
Each department head/unit manager must:
- Designate a DRMC to complete records management training, receive records and information management news and information, and disseminate that news and information to their department or unit.
- Conduct and maintain a departmental inventory of records created, received, and managed within the department, including University records that are created, accessed, or maintained for the department by a private contractor. Departmental inventories must be submitted to the RMO at least every two years.
- Perform a departmental records management assessment outlining the department's records management policies, procedures, and roles. Departmental Records Management Assessments must be submitted to the RMO at least every two years.
- Dispose of records in accordance with the UTRRS, University records disposition procedures, and the department's internal records management policies and procedures.
- Ensure that contracts with a private contractor that will create, manage, or maintain University records expressly provide that the contractor will comply with applicable state laws and University policies relating to the management, access, retention, and destruction of University records.
- Individual Employee
Every University employee is responsible for complying with his or her department's records and information management policies and procedures, in addition to the University’s records and information management policies and procedures.
- Procedures for Records Management
Procedures related to this policy may be found within the University's HBP, Part 20 - Records Management.
- Records Management Training
In accordance with 13 TAC § 6.93(1)(G)(ii), UT employees who create, manage, or maintain electronic University records must complete records management training explaining their responsibilities to create, protect, and manage electronic University records.
- Forms & Tools
Handbook of Business Procedures (HBP):
Departmental Records Management Contact (DRMC) Responsibilities
Instructions for Inventory of Departmental Records (forthcoming)
Records Management Assessment (forthcoming)
Records Retention - General Information
Master Records
Convenience Copies
Destruction Procedures and Form
- Frequently Asked Questions
None
- Related Information
Texas Government Code, Section 441.183
Texas Government Code, Chapter 552
State Records Management Laws
UT System Policy UTS115 - Records and Information Management
- History
Modified: May 6, 2026
Next scheduled review date: May 2029
Modified: January 30, 2014
Editorial change made January 17, 2024
Editorial change made March 15, 2016