BISD Records Management

Call us 956-544-3972 956-698-0230

Visit us 5 Boulevard of Champions

Hours Monday – Friday 8:00 a.m. - 5:00 p.m.

During this session, you will:Gain clarity on your roles and

responsibilities.Understand Collaboration

Principles.Assess your current practices.Commit to new Record

Keeping standards

Proper records management is vital to an organization’s knowledge management, legal defense, and regulatory compliance.

What is records management?

A system for providing control over records from creation to destruction

A system for ensuring that District records are retained until their mandatory retention periods have been met

A system for ensuring that District records are destroyed in accordance with the State Retention Schedule

WHAT IS A RECORD?Records are recorded

information, regardless of the medium or characteristics, made or received by the District that are useful in the District’s operation.

Records include contracts, work orders, invoices, meeting minutes, purchase orders, e-mail, photographs, drawings, etc.

A record may be in the form of paper, microfilm, computer tape / disk, CD, videotape, e-mail, etc. Regardless of the form, the recorded information is the record and the medium only contains the information.

WHAT IS A NON-RECORD?

copies of correspondence, directives, forms and other documents on which the District takes no administrative action;

routing slips and transmittal sheets that provide no additional information;

catalogs, trade journals and other publications received from other entities, commercial firms, or private institutions that require no action and are not part of a case on which action is taken;

NON-RECORDS ….. continuedThe following items are generally NOT records:

Extra copies of publications and brochures.

References such as books, periodicals, and other technical reference materials.

Unsolicited announcements, invitations or other materials that are not filed as evidence of office or production operations.

Preliminary drafts, worksheets, memoranda, and informal notes that do not represent significant steps in the preparation of record documents.

Routing slips that contain no pertinent information or approvals, or are used to direct the distribution of papers and correspondence.

Extra copies of records in addition to “official” records contained elsewhere.

Blank forms and office supplies.

MANAGING NON-RECORDS

The following guidelines apply to managing

non-records:Non-records should not be interfiled with

records.Non-records must be destroyed when they

are no longer needed for reference; extra copies may not be retained after the record is destroyed.

DOCUMENTS vs RECORDS

Before the District can begin the process of managing records, it must have an understanding of what is being managed. This means knowing the difference between documents and records.

Wikipedia-Encyclopedia -- A document provides information in written, printed, or electronic form. The term document is now used more and more to describe any file produced by an application, i.e. (“Word, Excel, Powerpoint).

Documents are formatted information that can be accessed and used by a person. They have a beginning and an end and may be represented through alphanumeric text, a digital map, spreadsheets and databases, moving images, or audio data. Regardless of format, documents serve the purpose of transmitting ing information.

WHAT IS A RECORD?A record relates to an activity or

transaction that has happened in the past; it is a record of history. A record can consist of one or more documents, which all relate to a single event in time.

Records are documents that have been set aside as evidence and protected from alteration or change.

SUMMARY DOCUMENT vs. RECORDS

A document provides evidence for what has taken place in the past.

A document can be changed as times goes on - a work in progress.

Once a document becomes a record, it should not be changed.

Why is Records Management Necessary?

FYI……..In the corporate world most companies have records management policies in place, less than 33% of such businesses actually enforce records laws, and more than 50% of users (employees) actually comply with such policies.

Such a lack of enforcement poses potential risk for lawsuits: the process of not having records can be tedious and costly and priceless.

While the District may have records management policies in place, they are only effective and successful if users adhere to them.

FALSIFYING RECORDS….Destruction of local government records contrary to the provisions of the Local Government Records Act of 1989 and administrative rules adopted under its authority is a Class A misdemeanor and, under certain circumstances, a third degree felony (Texas Penal Code, Section 37.10).

Anyone destroying local government records without legal authorization may also be subject to criminal penalties and fines under the Open Records Act (Government Code, Chapter 552). See [Policy CPC(LEGAL)]

SUBCHAPTER I. CRIMINAL VIOLATIONSTx Govt Code § 552.351. Destruction,

Removal, or Alteration of Public Information A person commits an offense if the person

willfully destroys, mutilates, removes without permission as provided by this chapter, or alters public information.

An offense under this section is a misdemeanor punishable by:

A fine of not less than $25 or more than $4,000;Confinement in the county jail for not less than

three days or more than three months; orBoth the fine and confinement

§ 552.352. Distribution of Confidential Information

A person commits an offense if the person distributes information considered confidential under the terms of this chapter.

An offense under this section is a misdemeanor punishable by:

A fine of not more than $1,000;Confinement in the county jail for not more

than six months; orBoth the fine and confinement. A violation under this section constitutes

official misconduct.

We ALL Have ResponsibilitiesWe must manage records in accordance with established policies and procedures. To achieve district-wide control of records, the result is an orderly and efficient flow of information, thus, strengthening problem solving and decision making.

Your campus/department is required to comply with the State Records Retention Schedule…..it identifies what records are to be maintained and how long these records are to be kept in the campus/department or Records Center.

Identifying & KNOWING your records properly is everyone’s job and is as important as anything else we do.

We Have Responsibilities…Cont’dBreak the extra copy habit. Duplicate records

cost money to make and keep.Always put records in the right place. Don’t

just leave them in your desk drawer, on a convenient bookshelf, or on an unlabeled diskette. Records should be filed according to the department file plan so they can be used by others more efficiently.

Be careful to keep personal material separate from department records.

Records belong to the State (District), not the employee. When you change jobs, be sure to turn over the records to someone in the department (supervisor) who will take responsibility for them.

Ensure destruction procedures are followed and document the destruction of records within the department and the Records Center.

WORKING FILES In many cases, individuals may destroy working files

once the content has been incorporated into official records. Working files that are disposable once a document is finalized are those that:

Files that receive no official action themselves, are not reviewed or approved by others, and are only used to prepare documents for official action as review signature. Working Files may include:

~ budget calculations, comments, rough notes, proposals, evaluations

~ preliminary outlines for a report, and~ lists of suggested topics to be included in a

memorandum.~ informal comments received on draft publications, and~ documents used to brief staff on a proposed item.

you treat e-mails the same you would paper records, meaning that you retain them for as long as you'd keep their paper equivalent. Email is just a delivery method, it’s not a records series. 

Email has to be retained according to its content.  If an email serves as a contract, it is retained as long as contracts are retained.  If an email is a sick leave request, it is treated just like a paper sick leave request.  For all other emails, you can use the record series GR 1000-26, Correspondence and Internal Memoranda. 

HOW ARE EMAILS TREATED?

E-MAILIf the email pertains to the development

of policies and programs, then retain 3 years: 1000-26a

If the email pertains to the routine administration or operations of policies and programs, then retain 1 year: 1000-26b

If the email is transitory correspondence with little value (e.g., a meeting reminder, a fax transmittal): just keep as long as you need it (AV): 1000-26c

Policy CPC & FL (LEGAL)

Who is the Records Custodian at the:

(1) Administrative Offices---Department administrators [Policy CPC(LOCAL)]

(2) Campus --- Principals [Policy FL(LOCAL)

Policy mandates that school personnel shall:

“Cooperate with the Records Management Officer in carrying out policies & procedures.” [CPC(LEGAL)]

CUSTODIANS OF RECORDSIn implementing the Local Gov’t Records

Act, the Administrator/Principal who is the custodian of records shall:

(1) cooperate with the records management officer in carrying out the policies & procedures.

(2) Adequately document the transaction of District business & the services, programs, & duties for which they and their staff are responsible

(3) maintain the records in their care & carry out the preservation, microfilming & destruction. [CPC(LEGAL)]

DUTIES OF THERECORDS MANAGEMENT OFFICER

The Records Management Officer SHALL:(1) Assist in establishing & developing policies &

procedures for the District’s management program.

(2) Administer records program & provide assistance to administration & campuses in order to reduce costs & improve record-keeping efficiency.

(3) Prepare & file records control schedules(4) Prepare & direct requests for authorization to

destroy records.(5) Identify & take steps to preserve permanent

records

SECRETARY DUTIES……Example -- Secretaries are responsible for

coordinating an office's administrative activities in a manner which ensures that the office runs smoothly. There are a wide variety of clerical and administrative duties that secretaries need to accomplish in order to make this happen. They schedule appointments, draft correspondence, provide information to outsiders, and create and maintain files in either hard-copy or electronic form.

What is a Retention Schedule?A legal document MANDATED BY The Texas State

Library Archives Commission which describes a series of records and specifies how long those records must be maintained by the District before they can be destroyed.

RETENTION SCHEDULENo local government office may dispose of a record listed in the State Retention Schedule prior to the expiration of its retention period.

PUBLIC INFORMATION ACTTexas Government Code, Chapter 552,

gives individuals the right to access government records; and an officer for public information and the employee may not ask why you want them. All government information is presumed to be available to the public. Certain exceptions may apply to the disclosure of the information.

Governmental bodies shall promptly release requested information that is not confidential by law.

TYPES OF RECORDS

► TWO TYPES BISD WORKS WITH

Records identified to be DESTROYED when they reach the retention period.

Records that are identified to be kept PERMANENT. (i.e., Transcripts, some payroll records, board agendas……

WORKING TOGETHERThink about it, most of the time throughout our life it is

what we do individually that determines our success. So you need to recognize that for most people looking after their own interests . There are people who would much rather pass the buck than take responsibility for playing their part in the team. Passing the buck and not taking responsibility is toxic and impacts heavily on team working.

BOTTOM LINE -- Getting results from teams takes effort and energy. The question is, are you willing to invest to leverage the benefits?

COLLABORATIONthe act of working together with one or more

people in order to achieve something – reach a common goal.

it is a process where two or more people work together to realize shared goals

ADVANTAGES …… an efficient records flow system makes a department efficient & transparent.

COMPLIANCE...…conformity in fulfilling official requirements

OUR GOALUnderstand and commit to principles of collaboration.

BENEFITS OF STANDARDIZATIONStandards = are widely accepted

practices, or guidelines. Supports innovation & increases

productivityCreates uniform terminologyFunction requirements are specifiedReduces costs, minimizes waste &

errorsFacilitates processes and tasks;

SEPARATION FROM DISTRICT

An administrator or a principal or designee shall promptly notify the Internal Audit Dept and Records Center when a staff member who handles records is retiring or separating from the employment with the District. A compliance audit shall be conducted. [Policy CPC(LOCAL)]

What is a Compliance Audit?Periodically, Records Management staff will meet with campus and department staff to conduct a compliance audit. What does the compliance audit consist of?

●Inventory Analysis of all department/campus records…

●Reviewing retention schedules●Discuss & recommend procedures●Assist in streamlining records flow● Submit findings report to administrator/principal

Compliance Audit – Cont’d

AFTER THE AUDIT……the Records Center may…

Provide an overview about the campus or department’s role in district-wide records management.

Determine the extent to which the campus or department is following established records management procedures

Propose & make recommendations to Administrator or Principal and/or Superintendent.

TYPES OF PERMANENT RECORDS

ALL student transcriptsAccreditation Reports * Financial ReportsBoard Minutes ٭ Dedications * MinutesAudits ٭ Appraisal Records * Deeds *

EasementsElection Minutes & Return Records * Election

Fraud Reports * Wage & Salary Rate TablesLegal Opinions Budgets & documentationDistrict publications

COLLECTING DATAThe District has struggled withissues related to the quality of the data reported and collected. We need to tighten & improve our work processes.

Standards are simply -- doing things in a consistent way

EDUCATION & TRAININGPolicy CPC(LEGAL – LOCAL) mandates the Records

Officer to implement procedures and the District staff to comply. The Records Center will continually do their part to train and convey:

Policies and procedures - new/revised business processes

what records staff must keep in order to document the business processTraining is a vital element of compliance. It is the primary way in WHICH the District communicates…

Training is an ongoing effort. Continuous TRAINING provides a review of existing policies and procedures for staff and an introduction to new policies and procedures.

EDUCATION & TRAININGTraining sessions will be offered at least once a year. Announcements of future scheduled trainings will be emailed and faxed to designated personnel.

The Records Center will make this Power Point slide available and post it on the Records website.

Offices and departments are encouraged to see this presentation when training is not currently offered or as a refresher for previous training and/or new employees.

Preparing Records to be

BOXED

Remove duplicate copiesDo Not Send Pendaflex foldersDepartments must keep a list of records being Transferred.

Bar Code Box Label ( Destroy Date 0r Permanent)

Checklist for Preparing Records for Storage

No hangingfiles

No 3-Ring

binders

No unauthorized storage boxes

Do not overpack boxes.

Do not tape orbind boxes shut.

Storage Boxes BOXES…………..

order online from BISD or use paper boxes

“THE DON’Ts”

-NO LEGAL SIZE PAPER –-NO hanging file folders-NO binders-NO binder clips-NO manila folders

- BOX “MUST” BE BarCode Labeled

Help us serve you better . . .

Follow retention schedules…..it’s the law

Pack ONLY records listed by the Retention Schedule.

Pack files carefullyFill out box label & transfer form sheets

Improperly PACKED records will be returned….

Thanks for your patience!

Visit Our Website

Download forms -- procedures

Request informationView retention schedulesReview CPC & Fl policies and procedures

http://www.bisd.us/records_management/