HBP Part 20.4.3. Records Management Plan

Handbook of Business Procedures

Date published: October 23, 2012
Last revised: April 6, 2017
Issued by: Records Management Service


Each unit records manager (URM) at The University of Texas at Austin is responsible for creating a records management plan to provide information about how the department will enact university records management policy. The records inventory spreadsheet or database is the primary document of the plan. The records inventory is a list of all departmental records and provides specific details about their management.

The following information must be documented in a records management plan:

  1. Records Inventory Workbook or database.
  2. Name(s) and contact information for the unit records manager(s) (URMs) and other staff assigned to records management duties or responsibilities.
  3. If not included as part of the records inventory, list quality assurance processes for reviewing and verifying the legibility and completeness of departmental records that are sent to university recordkeeping systems, such as the Image Retrieval System (IRS), the Human Resources Management System (HRMS), or the Financial Resource Management System (FRMS). Upon verification of the image, it is accepted as the master record, and departmental copies or hardcopy originals may be destroyed.
  4. If records are scanned and retained as images (e.g., PDF and TIFF) on departmental servers or networks for retention as master records:
    1. The signed Departmental Management of Imaged Master Records Acknowledgment must be included.
    2. The department must document their procedures for managing electronic and imaged records following the guidelines listed in the Departmental Management of Imaged Master Records Acknowledgement.
  5. Departmental rules for email retention. For more information, refer to 20.6.5. Email Records.
  6. Schedule for annual review of the following documents:
    1. Records inventory: compare to the current UTRRS to ensure that all retention information is up to date.
    2. Records management plan: When review is completed, list the date reviewed.
      Note: Every date that the plan was reviewed should be listed in the plan.
  7. If not included as part of the records inventory, list procedures for managing all types of records, including:
    1. Master Records
      • Develop a schedule for routine disposition of master records, e.g., Master records that have met retention requirements are reviewed and purged annually after fiscal year-end.
      • List the name(s) of the people responsible for preparing and signing the Request to Dispose of Records Form prior to disposing of master records that meet UTRRS retention requirements.
    2. Convenience Copies
      • A convenience copy must be disposed of on or before the disposal date of its master record.
      • Document any other departmental practices for managing convenience copies. For example, a department may choose to retain copies of payment vouchers that are stored in the Image Retrieval System for use in departmental reconciliation and budgeting activities. The department then designates a destruction date for when the copy will no longer be useful, e.g., at the end of the fiscal year in which it was created when all reconciliation and budgeting activities are concluded.
      • At the time a record is determined to be the master record, it is best practice to mark or stamp all other copies with the words "convenience copy" and the assigned destruction date, which is calculated in accordance with the retention requirement for the master record.
    3. Transitory Information
      • The department must document requirements to dispose of transitory information in a consistent and timely manner when it has served its purpose.
      • The person who creates or receives transitory information must determine when it has served its purpose.
      • Tip: Create a recurring calendar notification as a reminder to discard transitory information on a regular basis.
    4. Records Retained in Non-University Systems
      • The department must document contract provisions requiring contractors to comply with state laws, codes, and rules pertaining to state records and with university records management policy. For more information, refer to 20.4.4 Contracts Pertaining to State Records.
      • The department must ensure that retention and destruction requirements and procedures for each record series maintained through a private contractor are listed in the departmental records inventory.
  8. Procedures for using a departmental shredder to dispose of documents that contain confidential or sensitive information:
    1. Use of a level 3 or higher shredder is required. For more information, refer to 20.7.2. Destruction Options for Confidential or Sensitive Records.
    2. Name(s) of those authorized to shred documents.
    3. Schedule for shredding documents.
    4. Measures for keeping confidential or sensitive records secure throughout the disposal/destruction process, e.g. retaining the confidential or sensitive records in locked cabinets prior to shredding.
    5. Method for disposing of resulting shred. Note: The resulting shred can be placed in recycle bins or disposed of by any method available.
  9. List of vendor(s) used for secure destruction of documents that contain confidential or sensitive information.
  10. Procedures for disposing of records that do not contain confidential or sensitive information, e.g., use of blue recycle bins.
  11. Any other departmental activity related to disposition of university records.

Contact Records Management Services for assistance.


Part 20. Records Management - Table of Contents