Records Management

» »

University Records Management

Texas A&M University, as part of a state agency, is required to have an active and on-going records management program. Records management is "that field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including processes for capturing and maintaining evidence of and information about the business activities and transactions in the form of records" (ISO 15489).

As a state agency, The Texas A&M University System is required to submit a records retention schedule to the Texas State Library and Archives Commission for certification, and to establish policies and procedures for the management of state records created, received, retained, used, and transmitted for both paper and electronic records.

The term "Records Management" includes:

Development of records retention schedules
Meeting legal requirements and obligations for retention of records
Management of filing and information retrieval systems in any format
Ensuring adequate protection of records in any format that are vital, archival or confidential according to accepted archival and records management practices
Economical and space-effective storage of active and inactive records
Maintenance of public information records in any format in a manner to facilitate access by the public as required by Chapter 552 of the Texas Government Code

The benefits of using Records Management include:

Improved managerial decision-making
Higher employee productivity
A greater ability to control costs
Continuity in the event of a disaster
Ensured accountability to present and future stakeholders
Preservation and protection of the university's history
Reduced legal liability
Improved conduct of university business in an orderly and accountable manner

Mission and Goals:

The mission of University Records Management is to support Texas A&M University vision and goals to ensure access to past, present, and future records by applying records management principles to all University records. Through collaboration with the legal, compliance, risk management, finance, technology and business functions of the University, we will seek to manage and deliver records throughout their life cycle.

The goals of University Records Management are to:

            Implement an active and continuing program for the economical and efficient management of University records regardless of format in all University departments
           Promote the use of progressive and innovative technologies to provide records creation, access, retention, and disposition
            Minimize risks to University records
            Provide effective records management training and service to all University departments
            Exercise leadership for the advancement of records management at Texas A&M University and the profession

The University Records Center

The University Records Center is located in the Purchasing and Stores Building, 330 Agronomy Road, Suite 160. This location serves as the box storage space, box viewing area, shredding room, and staff offices. This is a secure facility.

Roles and Responsibilities:

Everyone at Texas A&M has a role to play in records management. Everyone who creates, receives, sends or files documents in any format must determine whether or not these are records documenting the business activities of the University. Records must be maintained in a system that allows access to the right people at the right time throughout the life cycle of those records.

Records Retention:

Please refer to the TAMU System Records Schedule to determine the length of time your records need to be retained.
To send records to the University Records Center for storage, they must be in a standard records storage box or voucher box with a secure lid. A Records Storage Form must accompany the boxes. Complete instructions are included on the form.

Boxes in storage can be requested or viewed by authorized departmental personnel at any time. Please call 458-1470 or email RMDesk@lib-gw.tamu.edu in advance so we can have your boxes waiting for you. If you are sending someone not on the authorization form, such as a student worker, to view or pick up your boxes, please let us know the person's name by phone, email, or letter. Anyone requesting boxes may be asked for a photo ID.

You will be notified in writing when boxes in the University Records Center are due for destruction. No records are destroyed without the department's approval. We will store your records as long as they have administrative, legal, financial, or historical value. However, we do ask that you inform the Records Center if your records need to be stored for a longer period of time than is indicated on the TAMU System Records Retention Schedule.

Archival Records:

Some records are required to be retained in the University Archives or reviewed by the archivist before destruction. These records are marked on the retention schedule with an A or R. Departments may have additional records that they feel are of historical significance to the University. You can contact the University Archivist Dr. David Chapman at the Cushing Memorial Library, 979-845-1951. Boxes in storage indicated as having archival value will be evaluated by the University Archivist at the end of their retention period, and the contents will be retained or destroyed at his discretion.

Delivery Schedule:

During the Summer, we will be doing pickups and deliveries from 8:30-12:00 Monday-Friday. If this is not convenient, we will try to accommodate your schedule. If you have any questions or need assistance, please call 458-1470 or email RMDesk@lib-gw.tamu.edu.

Boxes:

We usually have a few used records storage boxes available. Please call 458-1470 or email RMDesk@lib-gw.tamu.edu to check on availability.

Due to the closing of the University's Stores operation, white boxes printed with "Texas A&M Records Management" are no longer available. Office Max carries sturdy storage boxes (#P5OM97213, #P5OM97207 or #P512775). Please use these boxes or equivalent maximum strength boxes for sending records for storage. Do not use single-wall boxes for storage (Office Max calls these "basic strength"). Please put assigned box numbers on the Records Storage Form AND the boxes.

Records Disposition:

As stated above, not all University records are destroyed. Some have lasting historical value to the University.
To send records to the University Records Center for shredding, we request that they be in records storage boxes or in equivalent sturdy boxes of the same dimensions (1.2 cubic feet) with a secure lid and which weigh no more than 35 lbs. A Records Destruction Form is required. Complete instructions are included with the form. Please put assigned box numbers on the Records Destruction Form AND the boxes. We also request that the boxes contain records that actually require secure disposal, as opposed to recycling. Any non-paper items, such as photos, video or audio tapes, computer disks, or plastics, that are sent to the University Records Center are directed to a commercial vendor for proper environmental and secure disposal.

Records can also be destroyed in your department by staff or a commercial vendor. To provide a record of this activity, complete the Records Destruction Form and check "Request for Departmental Destruction." Send the completed form to Records Management before destroying records so we can check to be certain that you are following the proper retention guidelines.

Records Security:

Records containing personal information or account numbers, personnel files, medical files, or student academic records all require security. Paper records should be stored in locked cabinets or rooms with limited access. Electronic records should be password protected or possibly encrypted. Special vigilance is required with portable devises. Destruction should be done in such a manner that the data is not available to be seen or reconstructed. A vital record is one that is necessary for the resumption or continuation of business operations in the event of an emergency or disaster. Vital records require special security, regular and frequent backups, and /or duplication of records in a location separate from where the origianal records are located.

Litigation Holds:

A litigation or legal hold is defined as stopping the normal disposition or processing of records as a result of current, pending, or anticipated legal action, audit, or investigation. Once a litigation hold is instituted, records cannot be destroyed or altered. Penalties can be severe for failure to comply. A litigation hold could affect one department or could possibly involve the entire campus. Contact University Reocrds Management if your department becomes involved with such an action.

University Records Management Workshops:

We are now offering a basic records management workshop in conjunction with Employee Training. See the training calendar at http://employees.tamu.edu/employees/training/workshops/ to sign up for classes. The first class is July 8. Future class dates are tentatively set for 11-18-08, 4-9-09, and 7-16-09.

We currently do not have any large workshops scheduled, but we are in the planning stages of having a Texas State Library and Archives Commission Government Records Analyst give a presentation in the Fall of 2008. Watch for updates.

We will continue to offer individualized, small group, and departmental training. We can customize a workshop to answer your specific questions and address your records management needs. Possible topics include records management basics, using the campus records center, using the retention schedule, new employee training, new records coordinator training, setting up a filing system, and managing paper and electronic records. Please contact us to arrange to come to the Records Center or for us to visit your department. To schedule individual or group training please call the Records Center at 458-1470 or email us at RMDesk@lib-gw.tamu.edu.

Records Management Forms

Form	Description
Records Storage Form	List of boxes being sent to the Records Center for storage
Records Destruction Form	List of boxes of official records or convenience copies being sent to the Records Center for destruction or records being destroyed in the department
Authorization Form	List of departmental personnel authorized to handle records stored in the Records Center
Inventory Form	List of departmental records