Handbook of Operating Procedures

I. POLICY AND GENERAL STATEMENT

休斯敦（“大学”）得克萨斯大学健康科学中心（“大学”）认识到有必要通过国家规定的记录管理计划和已批准的所有记录和信息来管理所有记录和信息Records Retention and Disposition Schedule，也称为“记录保留时间表”，与所有州和联邦法律及相关法规一致。所有记录和信息（纸，微型，电子，电子或任何其他媒体）至少将保留在至少在该规定的最低时期内Records Retention Scheduleapproved by the Texas State Library and Archives Commission and the Texas State Auditor's Office in compliance with德州政府代码,441章。记录通过了其法律保留期之后，没有其他理由保留记录（例如，法律持有，审计，潜在诉讼或其他部门或大学使用），必须以符合，与，一致的方式处置记录并根据规定的记录和信息管理指南和程序进行系统地进行。

这Senior Executive Vice President, Chief Operating Officer (COO) is the official custodian of all university records and information. As such, he or she is responsible for ensuring that the university is in compliance with all relevant legislation. The COO delegates to the records management officer in Records Management the responsibility to establish and maintain the Records Management Program and to department heads the responsibility to protect and efficiently maintain their departmental records in accordance with the university's Records Management Program.

Records include, but are not limited to, information pertaining to (1) documentation of student academic performance, (2) documentation of patient health care, (3) documentation of research activities, and (4) documentation of the administration of policy and expenditures in accordance with state, local, and federal requirements. Records and information containing personally identifying information (PII), personal health information (PHI) and confidential data are subject to applicable university policies and state and federal requirements.

在大学创建或收到的任何记录都是大学的财产，应根据记录管理计划的政策和程序进行维护。这Records Retention Schedule,which is the basis for the Records Management Program, supersedes any and all other policies pertaining to records retention and disposition.

Duplicate files, duplicate copies, library materials, and stocks of obsolete forms or pamphlets originally intended for distribution are not considered to be official records or record copies. Duplicates or non-record convenience copies should be destroyed when they cease to be useful and should never be kept longer than the official record copy.

Vital records are identified in theRecords Retention Schedule并根据德州政府代码,441章。State law defines a vital record as any record necessary to the resumption or continuation of state agency operations in an emergency or disaster, the recreation of the legal and financial status of the agency, or the protection and fulfillment of obligations to the people of the state.

Archival records are identified in theRecords Retention Scheduleand maintained in accordance with德州政府代码,441章。According toGovernment Code, Chapter 441, 13 TAC § 6.1, andUTS 115, an ”archival state record” is defined as any state record of enduring value that will be preserved on a continuing basis until the archivist indicates that based on a reappraisal of the record it no longer merits further retention。

II. PROCEDURE

A. Records Retention Schedule

这Records Retention Scheduleis prepared and maintained by the records management officer. The schedule is a list of record series titles classified by departments on campus and prescribes the retention period, open or confidential status and vital and/or archival status of each record. The schedule is revised periodically by the records management officer to include newly created record series, to change retention periods, or to delete a record series no longer used. Appropriate approval procedures must be followed and completed before any revision becomes effective.

All records are to be kept for the minimum periods listed in theRecords Retention Schedule。Notwithstanding such minimum retention periods, all records must be maintained until all required audits are completed and should be retained beyond the listed retention periods when there is a probability of litigation either involving records or requiring their use.

Records kept only in electronic format are identified in theRecords Retention Scheduleand must comply with the administrative rules of the Texas State Library,13 Texas Administrative Code, Sections 6.91 - 6.97。这university must ensure that the accuracy, completeness and accessibility of information are not lost prior to its authorized destruction date by migrating electronic storage media and taking other action as required to provide compatibility with current hardware and software.

B. Destruction of Records

未经德克萨斯州立图书馆的允许，不会销毁任何记录Texas Government Code Section 441。德克萨斯州立图书馆有两种既定的方法来获得法律权限来销毁记录。程序在列出的记录方面有所不同Records Retention Scheduleand any records not listed. Contact the records management officer in Records Management for the proper method to use.

包含机密数据，PII或PHI的记录和信息应以保护数据的机密性的方式被丢弃，例如粉碎，重新格式化，擦除或以其他方式修改材料以使其无法阅读或难以理解。

C.发行记录

Records deemed as public information under the Texas Public Information Act may be released in accordance withHOOP政策132处理公共信息请求。

III. CONTACTS

• • Records Management Systems and Services
  • 713-500-8508
  • https://inside.uth.edu/admin-tech/records/

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