Procedures and Information
Disposal of Records Procedures
CAUTION: “A university record whose retention period has expired may not be destroyed if any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record is initiated; its destruction shall not occur until the completion of the action and the resolution of all issues that arise from it.”
“A university record whose retention period expires during any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record may not be destroyed until the completion of the action and the resolution of all issues that arise from it.”
To dispose of your department records that have met their respective retention period use the record retention schedule approved/recertified on (08/24/2018) which can be found on the records management website at: https://admin.utep.edu/recordsmgmt
Please download as many copies of the UTEP Retention Schedule as you wish.
The RRS is your guide in identifying and classifying your records in your department.
Please follow the simple steps and if you have questions please contact Carmen C. Gonzalez, Records Management at (747-8726) or email@example.com for a consultation.
- Identify and classify your records; it is important to create an index or catalog list.
- Group and your records by FISCAL YEAR; DO NOT MIX FISCAL YEARS. NO EXCEPTIONS.
- Arrange your records by record title (for example: all statements of accounts together, purchase orders with supporting documentation together) within that FISCAL YEAR.
- After you have finished identifying your records and arranged by record title, the next step is to determine whether any records have met their retention periods.
- Refer to your retention schedule you downloaded from the website to guide you with this process.
- Locate the retention period in column 7, in calculating the date when the record can be destroyed. Note: The record destruction date needs to be determined by the LATEST date of a record series.
- Keep you records together by fiscal year and placed into old boxes. (pending destruction)
- In advance, the departments are required to submit a list of records for destruction.
- Records Management will schedule an initial consultation to review & assess your departmental records.
- After review Records Management will process the “official disposition log form” and deliver to your department for a signature approval from the (department head) Dean/Chair/Director.
- The final signature approval will be granted from the Director of Purchasing and General Services.
- The department will be informed of the final approval via e-mail and/or phone call.
- The Departments must contact Facilities-Work Control to schedule the pickup of boxes and transport to Central Receiving “holding area”. Place an orange cover sheet on each box, Attention: Records Management, Carmen Gonzalez.
- You are required to issue a purchase requisition to Work-Control-Facilities Services, in order to pay for the labor, use your departmental budget funds.
- ALL BOXES REQUIRED TO HAVE A LID, NO EXCEPTIONS! SEAL your boxes to avoid paper documents from flying out during transport!!
- Records Management coordinates a monthly mobile on-site shredding with a local vendor.
Note: Managing your department records should be an on going goal of each department to ensure the proper disposal of records. This process will help ensure the integrity, confidentiality and safeguarding of university records; as mandated by the Texas State Library and Archives Commission and UT Systems.
Each department at UTEP has a responsibility and accountability for its records.
UTEP Records Management Staff are available to provide advice and guidance in managing your departmental records. There is a monthly records retention training available to the UTEP community, please visit Human Resources website; Please click on the left side under “training and development” to sign up.
Archiving Procedures Checklist
Each department must meet Records Management storage criteria.
Any box transported to storage must be NEW 1 cubic foot in size.
Archival boxes (brown) must be purchased directly from Facilities Services, please contact Facilities-Work-Control for instructions.
Use your department’s budget funds to pay for the boxes. Do not send old worn out boxes. Please CHECK the following:
- Each department are required to contact Records Management for an initial consultation prior to sending your boxes.
- Contact Carmen Gonzalez at firstname.lastname@example.org and/or by phone (747-8726 or Fax 747-8443).
- It is the responsibility of each department to identify and classify your records.
- Group your records by FISCAL YEAR.
- Do not mix years together; good example: FY 2000-2001. No exceptions!!
- NO miscellaneous records accepted.
- NO HANGING FOLDERS, NO BINDERS, NO METAL BLACK CLIPS, NO PRESSBOARD DIVIDERS.
- The records are dispose by box and NOT removing one file at a time, therefore; store records with same retention period and fiscal year.
- You are required to assign a retention period to each record type and a destruction date.
- Please visit us at: https://admin.utep.edu/recordsmgmt to view and/or download a copy of the approved/recertified on (08/24/2018) UTEP Records Retention Schedule; use is at your guide to identify your departmental records and also retention.
- You must include an index list or catalog list (list each file) and tape a copy to the inside of each lid.
- The departments are required to provide Records Management with a list of all records stored, prior to the boxes being sent to storage and leave a copy at the department’s main office for future reference.
- Records Management will provide a label(s) at NO CHARGE. The labels will be hand delivered to your department.
- Records Management will track all incoming boxes into our database tracking
- It is the responsibility of each department to contact Facilities Services (Work Control) and arrange to have the new boxes transported to Central Receiving “holding area”. Issue a purchase requisition using your departmental budget to pay for the “labor services”.
- Please Notify Records Management when you receive confirmation from Work Control-Facilities Services.
Missing Documents/File Folders
Records Management will not be responsible or liable for missing documents and/or file folders not properly stored in your archival boxes.
Please identify and verify your records prior to sending off to storage.
Create an index or catalog list for each box; make 3 copies.
- One copy you tape inside the lid of the box
- 2nd copy you forward to Records Management
- 3rd Copy leave in your office for future reference/retrievals.
If an inactive document and/or box is requested by a department from storage, they must contact Records Management via e-mail (email@example.com) no phone calls accepted. Records Management will conduct a search, retrieval and delivery to the department. PLEASE NOTE: The storage facility is off-site and away from main campus.
- Retrievals Requested: Monday thru Friday before 11:00am will be delivered same day delivery by 4:30pm.
- Retrievals Requested: Monday thru Friday after 11:00am will be delivered on the next business day by 4:30pm.
EMERGENCY Retrieval Request:
If the emergency retrieval constitutes a “legal issue” and/or an “audit issue” an approval from the supervisor or department head will be required in the request. The retrieval will be delivered same day.
When a document or box is no longer needed the department must contact Records Management for pick up. Please follow the retrieval schedule above.
Please DO NOT return your document or box thru campus mail.
THANK YOU FOR YOUR DUE DILIGENCE.
Non-Record Material Checklist
The following specific types of materials are designated as “non-record material” and do not contain sensitive/confidential information. These items may be disposed of as soon as they have served their purpose; requiring no administrative decisions.
- CataCatalogs, trade journals, and other printed or published materials received from other offices, commercial firms, or private institutions which require no action and are not needed for documentary purposes.
- Photocopy or other copies of correspondence, completed forms, bulletins, etc. prepared for reference and rapid informational distribution.
- Letters of transmittal which do not add any information to the transmitted material.
- Miscellaneous notices or memoranda which do not relate to the functional responsibility of the department, e.g., employee meetings, holiday schedules, luncheons, UTEP community fairs/functions flyers.
- Preliminary drafts of letters, memos, reports, worksheets and informal notes which do not contain sensitive/confidential university information of record documents.
- Reproduction material, e.g., stencils, master copies.
- Routing slips used to direct the distribution of documents.
- Notes tape recordings which have been transcribed into printed form.
- Department publications, catalogs which are retained for supply purposes, which have been superseded.
- Telephone message slips that do not contain sensitive/confidential university information.
Student coursework mid-term and final exams.
This series documents student subject mastery in institution courses. Records may include but not limited to:
- Examinations and answers
- Quizzes and answers
- Homework assignments
- Course papers
- Term papers
- Essay assignments
Additional student records with AC + 1 year (AC= afterclousure) retention:
- Grade Reports
- Class Schedule
- Student Correspondence Relevant - Who do not enter
- Changes of Course-Add/Drop
- Changes of Grade Form
- Class Lists
Note: Although the retention period recommended for the student records listed above is one year; is is up to the discretion of the chair/dean/director of each college/department to dictate otherwise.
Please do not shred or destroy records without consultation from Records Management Services, Carmen Gonzalez, Records Analyst, ext. 8726, firstname.lastname@example.org