Purpose
The following procedures are to provide for consistent, systematic, and documented disposition of College records.
Definitions
- College Records – any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium, regardless of physical form or characteristic, created or received by the College, any of its officers, or employees in the transaction of public business.
- Non-Record Material – extra identical copies of documents created for convenience of reference; notes, journals, and similar documents created for the employee’s personal convenience; blank forms (unless subject to audit, such as blank checks); stocks of publications; library materials acquired for reference or display; and any records associated with a matter conducted under an alternative dispute resolution procedure in which personnel of the College participated as an impartial third party, or facilitated as the administrator of a dispute resolution.
- Retention Period – the period of time during which records must be kept before final disposition. The retention period for a record applies to the record regardless of the medium in which it is maintained.
- Records Retention Schedule – a document that identifies the records created and maintained by employees in the course of College business, the retention periods, and other records disposition information that the records management program may require.
Disposition of College Permanent Records
College records identified for permanent retention will be reviewed for proper storage medium. Documents may be retained in present format, microforms, or converted to electronic images.
Paper documents will be stored in the Records Center. Microforms and electronic media will be stored in the Records Center and/or at an off-site facility as deemed appropriate.
Disposition of College Long-Term and Permanent Records
College records identified for long-term or permanent retention will be reviewed during their cycle listed in the Records Retention Schedule to ensure proper storage. Records may be retained in present format, converted to other media in the Records Center and/or at an off-site facility as deemed appropriate.
Procedures
- Authorization for Records Disposition – The Records Management Officer will prepare an Authorization for Records Disposition form that lists all records eligible for long term or permanent retention. The form will include the document name, Record Series number and title, Record Center Box Code, date of records, eligible destruction date, and previous holds and send to the Records Custodian.
- Review – The Records Custodian is to review the Authorization for Records Disposition form and verify that none of the listed records are the subject of an audit, Open Records Request, litigation or legal retention requirement. The disposition of any of these records will be suspended until after resolution of the suit or request.
- Department Approval – The Records Custodian will sign and return the Authorization for Records Disposition form to Records and Information Management.
- Transfer – The Records Custodian will then prepare physical records for transfer and storage by following the instructions in Guideline/Procedure 3.0901.01.1, Records Center.
The Records Management Officer will carry out the disposition by storing the physical records in the Records Center and electronic records will be stored using media appropriate for long-term or permanent preservation. - Recordkeeping – Documentation will be maintained by the Records and Information Management Department in accordance with the College Records Retention Schedule.
Destruction of Records Stored in the Records Center
All records will be destroyed once their retention period has expired unless an Open Records Request is pending, the subject matter is pertinent to a pending lawsuit or audit, or the department head requests in writing to the Records Management Officer that the record be retained for an additional period.
Procedures
- Authorization for Records Disposition – The Records Management Officer will prepare an Authorization for Records Disposition that lists all records eligible for destruction. The form will include the document name, Record Series number and title, Record Center Box Code, date of records, eligible destruction date, and previous holds. The Authorization for Records Disposition form will be sent to the Records Custodian identified to authorize destruction of the corresponding records.
- Review – The Records Custodian is to review the Authorization for Records Disposition and verify that none of the listed records are the subject of litigation, an audit, or an Open Records Request. Any records involved in litigation or an access request must not be destroyed until after resolution of the suit or request.
- Department Approval – The Records Custodian will sign and return the Authorization for Records Disposition to Records Management.
- Destruction – The Records Management Officer will carry out the destruction by using an approved method as outlined in the Local Government Code, Chapter 202, Section 202.003, Method of Destruction.
- Recordkeeping – Documentation will be maintained by the Records and Information Management Department in accordance with the College Records Retention Schedule.
Destruction of Records Stored in Departments
College unit/department managers have the primary responsibility for the proper and legal management of the records in their custody to ensure they are complete and accessible for the designated retention period. The destruction of any record identified on the College Records Retention Schedule must be documented and authorized by the Records Management Officer. Contact the Records Management Officer for records not listed on the College Records Retention Schedule.
Procedures
- Request for Records Destruction – After the retention period of a record has expired, the department’s Records Custodian must complete Part I of the Authorization for Records Disposition form (RECE.002.1121) and forward it to the Records Management Officer.
- Authorization to Destroy Records – The Records Management Officer shall verify that the retention period has expired for the specified records. As appropriate the Records Management Officer will complete Part II of the form and return it to the requesting department.
- Destruction/Verification – The requesting department can proceed with destruction of the specified records only if the Records Management Officer authorizes the destruction. The appropriate method of destruction as designated on the Records Retention Schedule must be followed. The date and method of destruction of the records are recorded in Part III of the form and it is returned to the Records Management Officer. If the destruction is not authorized, the documents must be retained as noted on the form. As a final check, Part III is verified and completed by Records and Information Management staff.
- Recordkeeping – Documentation will be maintained by the Records and Information Management Department in accordance with the College Records Retention Schedule.
Destruction of Non-Record Materials
General Information – Non-record material that does not include confidential information may be recycled.
Confidential/Sensitive Information – All non-record material that contains confidential information (refer to FERPA and Public Information Act for details on privacy information) such as Social Security numbers, home addresses, telephone numbers, grades, and other personal privacy information must be rendered unrecognizable before being recycled. The Records Center contracts with a destruction service to make the destruction of confidential records convenient, secure, and reliable.
Transferring Confidential/Sensitive Non-record Materials to the Records Center for Destruction
Procedures
- Pack non-record materials in a box no larger than a 12″W x 10″H x 18″L box. Packed records weight should not exceed 35 lbs.
- Complete the online Non-Record Material Transfer form
- After submission of the on-line form, a confirmation page is displayed. Print the confirmation page and include it in the first box of records.
- Print a Shipping Label for each box.
http://www2.austincc.edu/records/pdf/shipping_label_NRec.pdf
Labels can be printed on plain paper and taped to the boxes. - Complete the label information and adhere a label to each box.
- The Records Center staff will notify you by email with instructions regarding the transfer of the records.
Related Forms:
Authorization for Records Disposition (RECE.002.1121)
Non-Record Material Transfer (online)
Resources:
College Records Retention Schedule
FERPA
HIPAA
Public Information Act