Record Retention Schedule

Archival Codes

I – The records must be transferred to the University Archives.

O – The University Archives must be contacted for an archival review of the records before disposition. Those records determined to be archival must be transferred to the University Archives for long-term preservation.

Special Note: Archives staff conduct archival appraisals on a series-by-series basis. As a result of these appraisals, one or more records series bearing the Archival Code O may be found to lack sufficient archival value to merit transfer to the University Archives.

The following criteria should be considered when identifying archival litigation files (see RSIN 1.1.048):

• any landmark legal opinion;
• cases that change the way an agency operates;
• any case with a high degree of inherent legal interest;
• any case that involved significant people or events;
• any case that received a high degree of media attention;
• natural resource litigation (land and /or oil disputes with statewide impact, water rights and open beach cases);
• cases where monetary judgments exceed $10 million;
• cases involving a minimum of $1 million in state tax revenue; or
• records that, in the opinion of the agency’s legal counsel, contain highly concentrated, unique, and valuable information unlikely to be found in any other source available to researchers.

Retention Codes

All numbers used with retention periods are expressed in years unless otherwise indicated.

• AC – After Closed (or terminated, completed, expired, or settled): The record is related to a function or activity with a finite closure date.
• AV – As Long as Administratively Valuable: The immediate purpose for which the record was created has been fulfilled and any subsequent need for the record to conduct the operations of the agency, if any, has been satisfied.
• CE – Calendar Year End: December 31.
• FE – Fiscal Year End: August 31.
• LA – Life of Asset: The record is retained until the deposit of the asset.
• PM – Permanent: A record that possesses enduring legal, fiscal, or administrative value and must be preserved permanently by the university.
• US – Until Superseded: The record is replaced by an updated version. If a record subject to this retention period is discontinued or is no longer required by law, the date of supersession is the date the decision to discontinue the record is made or the law takes effect. If the record relates to an employee, the date of supersession is the date of termination or the last date the record is needed with reference to the employee, as applicable.

AGENCY – This alphanumeric code represents a records series identification number unique to UTHSA (the agency). Each record series has its own agency identification number, and It can be used to search specific series in the RRS.

RECORDS SERIES ITEM NUMBER - Records series item numbers are assigned by the State and Local Records Management Division of the Texas State Library and Archives Commission.

RECORDS SERIES TITLE - The most general titles possible have been chosen by the Texas State Libraries and Archive Commission. Explanations are provided for those titles which are not self-explanatory.

RETENTION CODE - A two-letter code that designates the length of time a record must be kept to meet retention requirements. Retention codes are found at the top of each page of the schedule. For more details, see Explanation of Codes.

RETENTION PERIOD – Retention is expressed in years unless otherwise noted. Retention codes are listed at the top of each page of the schedule.

ARCHIVAL - Identifies those records series that must be transferred to the UTHSC University Archives for archival management. Archival codes are shown in the upper right corner of each page of the schedule. For more information, see Explanation of Codes.

REMARKS - This column contains caution statements, notes, and other information regarding the records series.

LEGAL CITATIONS – This column contains citations to applicable federal or state laws or regulations.

CFR – Code of Federal Regulations – Regulations of federal agencies adopted under authority of laws enacted by the U. S. Congress.

CONVENIENCE COPY – additional copies of records that are held by individuals or offices. Convenience copies are often distributed for information, are not necessarily related to the function of the department, their existence in the department does not trigger an action, and are exact duplicates of the record copy. Convenience copies are considered non-records if they are held no longer than the retention period for the record copy.

NON-RECORD - recorded information that has no administrative, legal, fiscal, or archival value. Non-records do not have any retention requirements; they may be disposed of at any time and do not require a Records Disposition Log.

RECORD – recorded information, in any format, created or received while performing university business and maintained as evidence of and information about the transaction of university business. Active records are those covered during the RRS. After that period, records are either added to archived collections or disposed of.

RECORD COPY – the primary copy of recorded information – often referred to as the “official” record. The official record copy must be retained according to the Records Retention Schedule and must be listed on a Records Disposition Log prior to disposition. It is distinct from a “working” or “convenience” copy, which is a duplicate used for reference purposes.

RECORDS MANAGEMENT – the application of management techniques to the creation, use, maintenance, retention, preservation, and destruction of records for the purpose of improving the efficiency of record keeping.

RECORDS RETENTION SCHEDULE (RRS) – the RRS is an authoritative document listing all records the university creates or receives and provides information on how long records must be kept before they are disposed of. UTHSA’s RRS complies with Federal and State retention requirements.

RETENTION PERIOD – the amount of time a records series must be retained before destruction or archival preservation.

STATE PUBLICATION – information in any format that is produced by the authority of or at the total or partial expense of the University or is required to be distributed under law by the university or is publicly distributed.  The term does not include information the distribution of which is solely limited to contractors with or grantees of the University, staff persons within the University or within other governmental agencies, or members of the public under a request made under the Public Information Act, Government Code, Chapter 552.  The term includes but is not limited to  a publication distributed in print, online publications, one or more text, graphic, or other digital files, or a user interface to a computer database.

STATE RECORD – any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency or elected state official that documents activities in the conduct of state business or use of public resources.

The following are examples of documents that are not considered state records: library or museum material, reference materials, stocks of publications, blank forms, and convenience copies.

TAC – Texas Administrative Code.  Regulations of state agencies are adopted under the authority of laws enacted by the Texas legislature.

TRANSITORY RECORDS AND INFORMATION -  transitory records, such as telephone messages, are records of temporary usefulness that are not an integral part of a records series of the University, that are not regularly filed within the University’s record-keeping system, and that are required only for a limited period of time for the completion of an action by an official or employee of the University or in the preparation of an on-going records series. Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of university functions.

VITAL RECORDS – vital records are records that are necessary for the resumption or continuation of university operations in case of an emergency or disaster. They may also be records that are necessary to the recreation of the legal and financial status of the university. State law requires that vital records be backed up and stored off-site.