20.2.2. HOW TO USE THE UNIVERSITY OF TEXAS AT AUSTIN RECORDS RETENTION SCHEDULE (UTRRS)
The University of Texas Records Retention Schedule (UTRRS) is used by departments to determine the retention code to apply to a record. The information found for each record series is used in the Request to Dispose of Records Form and is also used to develop a records inventory. Refer to 20.4.2. Records Inventory for more information. UTLearn class RIM101 and UTLearn module RIM001 include demonstrations of the use of the UTRRS, which is available in an interactive PDF format. The interactive features of the PDF provide information about fields, codes, department codes, terms, notes, and calculation of retention requirements. The PDF also includes the following helpful features:
- Each page has a link to a reproduction of this set of instructions at the end of the PDF.
- Keys to archival review codes and retention codes are also displayed at the bottom of each page. When a UT Code corresponds to a state of Texas Records Retention Schedule (RRS) item number, a link is provided for reference purposes only to assist in determining which record series to use when two UT Codes are similar. State Item numbers from the state of Texas Records Retention Schedule (RRS) cannot be used in place of UT Codes to complete a Request to Dispose of Records Form or on the records inventory.
- When a records series has a retention period that includes the FE retention code, clicking on the retention period will take you to a fiscal year calculator that can assist in determining the eligible disposition date.
- Performing a search looks for a term in the entire UTRRS and the state RRS.
For more information or assistance with the UTRRS, contact Records Management Services (RMS).
B. UTRRS Columns
State item numbers (e.g., 2.1.002 Master Files) are assigned to the state of Texas Records Retention Schedule (RRS) by the State and Local Records Management Division of the Texas State Library and Archives Commission. When a UT Code corresponds with a State Item, the State Item number appears in the State Item column.
The UT Code is an alphanumeric code (e.g. AALL025, REG329) assigned by The University of Texas at Austin records management officer (RMO). The UT Code is composed of a UT Code prefix and a set of three numbers to identify the record series. Refer to 20.2.5. UT Codes and Prefixes for more information.
Record Series Title
A title for the type of records for which retention requirements are being set. A broad or general title is chosen to include records with similar functions that have the same retention requirements.
A description of the type of records for which retention requirements are being set.
When a code is used in addition to years, months, or days to set a retention period, the code will appear here.
The most common retention codes are listed here:
- AC = After Closed (event), e.g., termination of employment, graduation, publication of report
- AV = Administratively Valuable
- CE = Calendar Year-End (Dec. 31)
- FE = Fiscal Year-End (Aug. 31)
- LA = Life of Asset
- PM = Permanent
- US = Until Superseded
The length of time a record must be retained before destruction or archival preservation. This may be expressed as years, months, or days, and may be used in conjunction with a retention code (e.g., FE+3).
When the AC retention code is listed in the Retention Code column, the exact parameters for that trigger will be defined here.
Records that have historical value may have archival requirements listed in the UTRRS regarding review and transfer to university archives. Record series marked with archival review codes "I" or "O" in the Archival column must be transferred or evaluated for archival preservation, and Records Management Services (RMS) must be contacted to begin the appropriate process.
- I – Transfer
The records must be transferred to the university archives when the records have met retention requirements or they are no longer needed in the department.
- O – Review
The university archivist must review records before disposal. Some or all of the records in a record series may be selected for transfer to the archives in lieu of destruction once the retention period has been met.
For more information, refer to 20.2.3. Archival Requirements.
Vital records are those that are listed at the end of the schedule. Vital records are essential to resume operations and recreate the legal and financial status of the university in the event of an emergency or disaster. Most university records designated as vital are managed in university enterprise systems and not at the department level. A department must identify any vital record series it manages in its records inventory. Vital records are not necessarily permanent records. Records that have vital designation may be disposed when all retention requirements have been met.
The Remarks column contains information about the record series that may be critical in making determinations about classifying records. This column contains other information about retention requirements and notes about additional requirements. For more information, refer to C. Notes 1-5, Cited in Remarks Column.
This column cites applicable federal or state laws or regulations.
C. Notes 1-5, Cited in Remarks Column
The following notes are certified as part of the UTRRS.
Note 1 – Known audit requirements are taken into account in setting the retention requirement for this record series. However, if a department becomes aware that there are additional audit requirements that extend beyond the listed retention requirement, the department must retain the records until the additional audits are completed.
Summary: If there are audit requirements that extend beyond the retention requirement for a record series, the department must retain the records until the audit is completed.
Note 2 – Electronic or imaged records must be retrievable and readable for as long as they are retained. In order to sustain the ability to read electronically stored information, departments must plan to maintain original software and hardware or document plans to migrate files through technology changes. System tapes used for data backup or disaster recovery, unless indexed for accessibility, must not be used to satisfy records retention requirements. Refer to Chapter 13 of the Texas Administrative Code rule 6.94.
Summary: For electronic or imaged records, the software and hardware required to read them must be retained for the life of the records, or plans to migrate the electronic files through technology changes must be documented.
Note 3 – Departments are responsible for the integrity of their financial records maintained in the Image Retrieval System (IRS). Departments have additional responsibilities for the completeness and accuracy of imaged and uploaded supporting documentation files. Refer to Handbook of Operating Procedures Part 20.3.3 Financial Records.
Summary: At The University of Texas at Austin, most master financial records are maintained in the Image Retrieval System (IRS). Each department must verify that the imaged record is complete and accurate in the IRS before destroying the departmental copy. Each department must maintain all original documentation that has not been imaged or has not been verified as complete and accurate in the IRS by the department.
Note 4 - Electronic data, records, or information that are part of an official investigation will be kept beyond its retention requirement by Information Technology Services (ITS) or other administrative units until the investigation and all issues arising from it have been resolved and any further retention requirements have been met.
Summary: Electronic data that is part of an official investigation is kept beyond its retention requirement by Information Technology Services (ITS). In this case, ITS and the instigator of the investigation will establish a date on which the data can be deleted.
Note 5 – Contracts with a private contractor that will create, manage, or maintain state records must expressly provide that the contractor will comply with applicable state laws and University policies relating to the management, access, retention and destruction of state records. Refer to University of Texas at Austin Handbook of Operating Procedures 3‐1410 VII.D.5 and Handbook of Business Procedures Part 20.4.4 Contracts Pertaining to State Records.
Summary: If a unit chooses to contract with a third party who will create, manage, or maintain university records, the language of the contract must state that the third party will follow state laws and University policies regarding University records that are in its care.
Part 20. Records Management - Table of Contents