Office of Institutional Compliance

Entity Leaders and Department Administrators
Department Records Coordinators
Records Management Department

Entity Leaders and Department Administrators

• Ensure that Records Retention Schedules (RRS) are applied to records
  

• Prevent the creation of unnecessary records in any media
  

• Promote the application of filing systems and structures for the efficient organization, maintenance and use of records to facilitate retrieval and use
  

• Ensure that records of continuing value are preserved, but that valueless or non-current information is disposed of or transferred to storage in a timely manner in accordance with departmental Records Retention Schedules
  

• Ensure that the acquisition and use of all direct paper to microfilm systems and equipment or electronic digital images are technically feasible, cost-effective and most appropriately satisfy program needs
  

• Ensure that appropriate criteria justifying the acquisition of information storage equipment is applied
  

• Preserve and protect information that is vital to the essential functions of UTMB during an emergency; or that information essential to the legal rights and interests of individual citizens and UTMB
  

• Provide for department-wide management of machine-readable and microfilm records in accordance with applicable statutes and regulations
  

• Ensure that file custodians are designated within their areas of responsibility
  

• Appoint Department Records Coordinators

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Department Records Coordinators

• Act as liaison to the UTMB Records Management Program
  
  
• Assist Records Management in developing and maintaining an accurate record survey
  
  
• Review and suggest changes and/or deletions on the department's RRS
  
  
• Provide documentation of federal/state rules/regulations governing the retention period of specific records within the department
  
  
• Maintain Department Records Retention Manual
  
  
• Send eligible records to storage
  
  
• Complete appropriate forms accurately and according to established Records Management procedures
  
  
• Manage disposition of office records according to the certified RRS
  
  
• Maintain Disposition Logs
  
  
• Identify vital records
  
  
• Notify Records Management of any changes in Department Records Coordinators and Alternate Coordinators, e.g., name changes, new phone, route, fax, new location, etc.
  
  
• Notify Records Management of organizational changes: e.g., department name changes, department head changes, new divisions created, mergers, etc.
  
  
• Authorize the Records Center to dispose of records in storage that have met their retention period
  
  
• Attend and/or request Records Management training when needed
  
  
• Educate others in the department on Records Management procedures
  
  
• Follow all published Records Management procedures

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Records Management Department

• Develop policies, directives, and instructional materials governing the organization, maintenance and disposition of all records, including machine-readable and audiovisual records
  
  
• Provide advice, guidance, assistance and training in all aspects of the Records Management Program
  
  
• Coordinate program efforts and evaluate program effectiveness by making periodic surveys of information systems, equipment and services
  
  
• Plan and coordinate the Vital Records Program
  
  
• Coordinate the retirement and retrieval of UTMB records to the Records Center
  
  
• Maintain the UTMB master RRS

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