Managing State Records

Intended Audience: Faculty and Staff

Summary

State Records are official documents created or received in the course of conducting state business or using public resources. They include everything from emails to personnel files, financial transactions, and student records. Proper management, retention, and disposal of these records are required under Texas law to ensure compliance and accountability.

Problem

Faculty and staff often encounter confusion about what qualifies as a State Record and how to manage different types of records (e.g., convenience copies vs. record copies). Mismanaging these records may result in non-compliance, legal liability, or unnecessary storage costs.

Solution

This guide explains what qualifies as a State Record, the different categories of records (Record Copies, Convenience Copies, Transitory Records, and Electronic Records), and the rules for retaining and disposing of them. Understanding these distinctions helps ensure compliance with the Texas Government Code §441.180 and PVAMU’s Records Retention Schedule.

Steps

To help faculty and staff properly manage State Records, follow these guidelines:

  1. Identify State Records

    • State Records include any written, photographic, or recorded information created or received in the course of state business.

    • Examples: general correspondence, administrative files, financial transactions, employment documentation, student/class records, websites, emails, IMs, and voicemails.

  2. Understand Record Copies

    • Record copies are the official version of a State Record kept on file as the “master” copy.

    • These are subject to the Retention Schedule and must not be destroyed until the retention period has expired.

    • Before disposing of record copies, faculty/staff must complete a Record Destruction Form and a Record Disposition Log. Approval is required before any destruction occurs.

  3. Recognize Convenience Copies

    • Convenience copies are duplicates created for reference or research.

    • These can be disposed of at any time without approval.

    • ⚠️ If they are kept after the original record copy is destroyed, they become the new official record copy—creating risk of liability and unnecessary storage.

  4. Handle Transitory Records

    • Transitory Records are temporary in nature and not essential for documenting agency functions.

    • Examples: routing slips, short memos, notes, draft documents, informal messages, or transmittals with no future value.

    • These records can be disposed of without documentation or prior approval. Departments should establish routine disposal procedures for efficiency.

  5. Manage Electronic Records

    • An electronic record is any record stored digitally, whether on state systems or personal devices used for business.

    • Under Texas Government Code, Chapter 441.189:

      • Certified electronic outputs are accepted as original state records in court or administrative settings.

      • Records created before Sept. 1, 1997, may also be accepted under prior applicable laws.

Additional Resources

State Record
Any written, photographic, or other recorded information created or received by or on behalf of a System member that documents activities in the conduct of the state business or use of public resources (Texas Government Code §441.180). E-mails received on office computers fall under this definition of State Record. Therefore, they should be treated as such regardless of the nature of the e-mail content. Examples of records include:

  • General correspondence and administrative records
  • Financial transactions
  • Personnel & employment documentation
  • Student and class documentation
  • Websites
  • Electronic messages (Email, IM, Voicemail)

Record Copies
Record copies are the official state records that are kept on file as original or master copies, and these are maintained by the institution for the total retention period. These records are subject to the Retention Schedule and must be disposed of promptly as per the retention schedule. Failure to do so will result in non-compliance. These records require internal approval before they can be disposed of. The Record Destruction form and the Record Disposition log must be completed before any disposition can take place.

Convenience Copy
This is a copy of a record that is already being held by other offices or departments.

Transitory Records
These are records that have temporary usefulness and are needed only for a limited time for the completion of a particular action. These records are not essential to the documentation of agency functions. Departments should establish a procedure for disposing of this type of record. These records are not an integral part of any record series and are not listed in the Record Retention Schedule; hence, they can be disposed of without prior approval. Disposal of these records is not required to be documented through destruction sign-offs or in record disposition logs. Examples of Transitory Records include:

  • Temporary Information, such as routing slips, memos, notes, and telephone messages that have short-term value.
  • Draft documents and working materials.
  • Incoming letters or memoranda of transmittal that add nothing of substance and have no future value.
  • Other routine information used for communication, but not for the documentation, of any specific action.

Convenience Copies
Convenience copies are all other copies of the record copy created for convenience, reference, or research. They can be disposed of at any time without prior approval or documentation. If they are kept after the record copy has been destroyed, they will now become the new record copy. It is very important to dispose of this type of record so as to avoid legal liability and excessive storage costs.

Electronic Records
An electronic record is any record stored electronically.  A record is anything created or received by an agency, official, or employee during the transaction of business, on that agency's time and /or resources, which could also be a personal device, regardless of the medium.

According to the Preservation and Management of State Records and Other Historical Resources, Government Code, Chapter 441, Sub Charter L Section 441.189. Electronic Records

  • Any state record may be created or stored electronically in accordance with standards and procedures adopted as administrative rules of the commission.
  • Certified output from electronically digitized images or other electronic data compilations created and stored in accordance with the rules of the commission shall be accepted as original state records by any court or administrative agency of this state unless barred by a federal law, regulation, or rule of court.
  • Certified output from electronically digitized images or other data compilations created before September 1, 1997, in accordance with any applicable prior law, shall be accepted as original state records or, in the absence of an applicable prior law, at the discretion of the court or administrative agency.

 

 

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