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Records Management Plan Template 042022

This document is a departmental records management plan that [1] outlines the department's records management policies and procedures, [2] identifies the types of records created and stored by the department, and [3] provides guidance on properly storing, retaining, and disposing of records in accordance with university policies. The plan covers topics such as records inventory management, digital and paper storage of records, email management, and the process for requesting authorization to dispose of records.

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Eunice Sagun
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64 views4 pages

Records Management Plan Template 042022

This document is a departmental records management plan that [1] outlines the department's records management policies and procedures, [2] identifies the types of records created and stored by the department, and [3] provides guidance on properly storing, retaining, and disposing of records in accordance with university policies. The plan covers topics such as records inventory management, digital and paper storage of records, email management, and the process for requesting authorization to dispose of records.

Uploaded by

Eunice Sagun
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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[DEPARTMENT]

Records Management Plan


[Creator Name]
[Job Title]
[Email]
[Phone]
[Creation Month and Year]

DRMP, 2023-11-28 1|4


Departmental Information
Department Head or Administrative Manager:
Department Records Management Contact:
Records Management Plan Review Schedule:
Records Inventory Review Schedule:

Records Disposition Schedule: Records are requested and disposed of on an annual [Planned Cycle],
but unscheduled disposition may be required for specific records management projects.

Creating Records
Departmental Records Owned by [DEPARTMENT]
If you are a business process owner, or a processing office, you will have records that are unique to
your department. You need to be aware of the management of these records. All records should be
noted in the Records Inventory, which is kept with the Records Management Plan.

[EXAMPLE - Department Unit]


 Correspondence with Customers
 Planning
 Training
 Guidelines
 [UNIQUE BUSINESS PROCESS]

[EXAMPLE - Department Unit 2]


 Guidelines
 Web & Wiki Content
 Correspondence with Customers

Business Processes Owned by Other University Departments


[EXAMPLE - Financial]
 Purchasing
 Contract Management
[EXAMPLE - HR]
 Managing Employees
 Hiring

Types of Records
Anything created or received in the course of university business are records, which fall under one of
these three types:

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Master Records: one copy of every record created or received through university business processes
retained according to the University of Texas at Austin Records Retention Schedule. Master Records
require an authorized request to dispose before destruction or archival transfer.

Convenience copies: copies of master records that are created for convenience, reference, or
research. Convenience copies are retained until they are no longer needed but not longer than the
master record. Convenience copies do not require a request to dispose of records.

Transitory information: records of temporary usefulness that are kept until they have served their
purpose and do not require a request to dispose of records. Transitory information does not
document, support, or arise from university business processes. They can be records that are
transferred to a master record, e.g., notes transferred to an email. They cannot be classified as an
integral part of any record series in the University of Texas at Austin Records Retention Schedule
(UTRRS) other than UT Item AALL083 Transitory Information or another series that does not require
request to dispose of records. The department must document requirements to dispose of transitory
information in a consistent and timely manner when it has served its purpose.

Planning for Retrievability


Storage of Records
Digital: Records are stored in [DEPARTMENTAL STORAGE – UTBOX, SharePoint, Microsoft Teams,
Austin Disk, OneDrive].

Paper: Paper Records are labeled and kept in multiple places indicated in the Records Inventory.

University Systems: Departments are responsible for any records stored in university enterprise
systems; records stored in systems such as Workday. Departments are responsible for the entire
record life cycle of any records received in the course of university business. Records stored in a
university third-party system should be noted in the Records Inventory.

Non-University Systems: Departments are responsible for records stored anywhere. 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. 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. Records must be able to
have a hold placed on them. Records stored in a non-university system should be noted in the Records
Inventory.

Converting Paper to Digital Records


All paper documents that are digitized to be used as master records must be in compliance with
scanning guidelines. Departmental records that are sent to university recordkeeping systems—such as
the Image Retrieval System (IRS) or Workday—and verified, are accepted as the master record, and
departmental copies or hardcopy originals may be destroyed. A digitizing acknowledgment is read,
signed, and kept with the Records Management Plan.

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Naming Records
Naming records should be seen as an opportunity to create a logical and organized filing system that
allows for quick and accurate records retrieval.

Email Management
Email is a record that must be retained following records retention rules. Email is managed based on its
content. Email that is not transitory requires an authorized request to dispose before destruction can
occur. Transitory email must be managed following the departmental guidelines for transitory
information. At a minimum, departmental staff should be informed that email contains business
records and should not be deleted without referring to records management policy.

Planning for Disposition


Convenience copies are marked with “Copy” or equivalent. Records are organized and managed with
retention and disposition in mind. Records with archival requirements are managed with this in mind
and are noted in the Records Inventory.

Retaining Records
Master records cannot be changed, redacted, or edited once they have been used to make a decision
or take an action. They must be accessible for as long as they are retained. Any records stored off-site
are stored at the Texas State Library and Archives Commission (TSLAC).

Records Inventory
The Records Inventory is stored [STORAGE LOCATION].

Disposing of Records
Requesting to Dispose and Approval
Records are requested to dispose through the disposition process after the review of records in
accordance with [Internal Cycle]. Records are destroyed or transferred to archives after authorization
is obtained.

Document Destruction
Records are securely destroyed [DESTRUCTION METHOD]. Records that do not require shredding are
placed in any blue recycling bin.

Department Head: Date of Review

Department Records Management Contact: Date of Review

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