Identification and Disposition

of Official University Records

University of Texas at ArlingtonRecords Management

Identification and Disposition ofOfficial University Records

Texas Administrative Code (TAC) 202.78Removal of Data from Data Processing

Equipment

“Electronic records shall be destroyed in accordance with 441.185 , Government Code. If the record retention period applicable for an electronic state record has not expired at the time the record is removed from data processing equipment, the institution of higher education shall retain a hard copy or other electronic copy of the record for the required retention period.”

Identification and Disposition of Official University Records

Hard drives cannot be destroyed until all official records have been removed and:• migrated to another storage medium, or • printed out, or• deleted with documentation, depending

on their retention requirements, any applicable holds, and archival status

Identification and Disposition of Official University Records

UT Arlington Information Resources Acceptable Use Policy

“All critical University data (electronic files) will be saved on network servers to ensure backup of the data. All data, including research data, should be backed up for disaster recovery reasons. All records (electronic or paper) will be maintained in accordance with the UTA Records Retention Policy.”

Identification and Disposition of Official University Records

UT Arlington University Procedure 13-5, Records and Information Management

“Discarded computers are transferred to Central Receiving. Department managers should ensure that all information stored on computers transferred to Central Receiving has been inventoried and disposed of, saved, protected if confidential, or distributed as needed prior to transfer of the computer.

NOTE: Departmental managers are responsible for ensuring all hard drives are sanitized prior to transfer to Central Receiving.

Identification and Disposition of Official University Records

The Procedure

Reviewed by collaborative group representing IT support, RMCs, Central Receiving, and department heads and others with authority to destroy a hard

drive.• Department head authorizes destruction• User complies with Information Resources Acceptable Use Policy• RMCs assist in assessing remaining records on hard drive and ensuring

proper documentation• IT staff may address storage issues if a large number of official records have

been found on the hard drive• IT staff may assist in sanitization of hard drive• Department head signs off for completed procedure prior to transfer to

Receiving

Identification and Disposition of Official University Records

Information Resources Acceptable Use Policy: all individual employees who are given access to computers must sign the acceptable use policy, which includes maintenance of critical (official) records on shared drives and not on hard drives.

University Procedure 13-5: Department managers are responsible for ensuring that all records are removed from hard drives before the hard drives are destroyed.

An employee may not always be able to determine if a record on a hard drive is an official record subject to retention requirements

Identification and Disposition of Official University Records

Answering the following questions can help ensure that official records are identified and legally disposed of or moved if needed.

• Are the records subject to a current litigation or other type of hold?

• Are they official records?• Are they official records copies or duplicates/reference

copies?• What is their required retention? Has the retention been

met?• Should they be migrated to another storage medium?• Should they be printed out?• Should they be deleted? • How are these actions documented?

Identification and Disposition of Official University Records

#1 Are the records on Litigation Hold? Are the records subject to current litigation or other type of hold that would prevent destruction of the records until the hold is lifted? The departmental manager will have received a litigation hold notice from the Office of General Counsel if the records are on hold.

• If yes, then move the records to the designated location

• If no, then go to question #2.

Identification and Disposition of Official University Records

#2 Are the records considered an “official record”? Is it recorded information created or received by or on behalf of the University and that documents the conduct of university business? You may also check the retention schedule or assessment guide to see if the records are listed.

• If yes, go to question #3

Identification and Disposition of Official University Records

#3 What is the retention requirement on the records? Search the UT Arlington records retention schedule or the records assessment guide for a records series that includes the records in question

• If it is not found in the UT Arlington retention schedule, then contact the RMA.

• If it is found in the UT Arlington retention

schedule, then go to #4.

Identification and Disposition of Official University Records

#4 Has the required retention been met?

• If it is a duplicate/reference copy, then notify the employee that it should be removed from the hard drive and that it may be disposed of if it no longer needed.

• If it is the official record copy and it has not met retention, then notify the employee that the record must be removed from the hard drive to a shared drive or other area or printed, and go to #6.

• If it is the official record copy and it has met retention,

then go to # 5.

Identification and Disposition of Official University Records

#5 An official record copy that has met retention should be deleted unless the retention schedule has an “I” or “O” under “archival”. An “I” or “O” indicates that the University Archivist should be contacted. The action should be documented on a records disposition log, which is then forwarded to the RMA to be retained as proof of legal disposition of either destruction or transfer to the archives. The records should be moved to another location until the University Archivist/Special Collections can be contacted.

#6. An official record copy that has not met retention should be moved to a secure location where it can be retained, or printed out on a hard copy to be retained until retention has been met. Notify the employee that the record must be moved or printed and document the action taken. Include the UTA retention code.

Identification and Disposition of Official University Records

Primary Resources:

UT Arlington Records Retention Schedule and Records Assessment Guide

• Use the search function to find listed records series that might be or might include the records.

• A records series that was submitted by one department can be used by any department.

• If in doubt, contact the RMA for assistance!

Identification and Disposition of Official University Records

• Procedure 2-74 Shredding of Records Through Asset Management

• Section III.A Disposal of Electronic Records Through Asset Management

• “Department managers should ensure that all information stored on computers transferred to Asset Management has been inventoried and disposed of, saved, protected if confidential, or distributed as needed prior to transfer of the computer.”

What new procedure?

I’ll do it myself

Only help when asked

Some difficulty may be

encountered

If you get to this point……

Contact me for assistance!

• Thank you!