BISD Records Management

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BISD Records Management
Call us 956-544-3972 956-698-0230 Visit us 5
Boulevard of Champions Hours Monday
Friday 800 a.m. - 500 p.m.
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What will you do and learn?

• 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

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MANAGING RECORDS

• Proper records management is vital to an
  organizations knowledge management, legal
  defense, and regulatory compliance.

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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

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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 Districts
  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.

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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

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NON-RECORDS .. continued

• The 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.

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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.

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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.

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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.

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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.

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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.

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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)

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SUBCHAPTER I. CRIMINAL VIOLATIONS

• Tx 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 or
• Both the fine and confinement

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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 or
• Both the fine and confinement.
• A violation under this section constitutes
  official misconduct.

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We ALL Have Responsibilities

• We 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
  everyones job and is as important as anything
  else we do.

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We Have ResponsibilitiesContd

• Break the extra copy habit. Duplicate records
  cost money to make and keep.
• Always put records in the right place. Dont
  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.

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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.

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HOW ARE EMAILS TREATED?

• 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, its 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. 

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E-MAIL

• If 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

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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)

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CUSTODIANS OF RECORDS

• In implementing the Local Govt 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)

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DUTIES OF THERECORDS MANAGEMENT OFFICER

• The Records Management Officer SHALL
• (1) Assist in establishing developing policies
  procedures for the Districts 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

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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.

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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.

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RETENTION SCHEDULE

• No local government office may dispose of a
  record listed in the State Retention Schedule
  prior to the expiration of its retention period.

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PUBLIC INFORMATION ACT

• Texas 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.

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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

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WORKING TOGETHER

• Think 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?

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COLLABORATION

• the 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

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OUR GOAL

• Understand and commit to principles of
  collaboration.

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BENEFITS OF STANDARDIZATION

• Standards are widely accepted practices, or
  guidelines.
• Supports innovation increases productivity
• Creates uniform terminology
• Function requirements are specified
• Reduces costs, minimizes waste errors
• Facilitates processes and tasks

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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)

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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/principa
  l

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Compliance Audit Contd

• AFTER THE AUDITthe Records Center may
• Provide an overview about the campus or
  departments 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.

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TYPES OF PERMANENT RECORDS

• ALL student transcripts
• Accreditation Reports Financial Reports
• Board Minutes ? Dedications Minutes
• Audits ? Appraisal Records Deeds Easements
• Election Minutes Return Records Election
  Fraud Reports Wage Salary Rate Tables
• Legal Opinions
• Budgets documentation
• District publications

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COLLECTING DATA

• The District has struggled with
• issues 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

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EDUCATION TRAINING

• Policy 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 process
• Training 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.

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EDUCATION TRAINING

• Training 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.

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Preparing Records to be BOXED

• Remove duplicate copies
• Do Not Send Pendaflex folders
• Departments must keep a list of records being
  Transferred.
• Bar Code Box Label ( Destroy Date 0r Permanent)
  

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PROPERLY LABELED
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PROPERLY LABELED
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UNACCEPTABLE
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Proper Labels Easy Access
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Checklist for Preparing Records for Storage
No 3-Ring binders
No hanging files
Do not over pack boxes. Do not tape or bind
boxes shut.
No unauthorized storage boxes
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Storage Boxes

• BOXES..
• order online from
• BISD or use paper boxes
• THE DONTs
• NO LEGAL SIZE PAPER
• NO hanging file folders
• NO binders
• NO binder clips
• NO manila folders
• - BOX MUST BE BarCode Labeled

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Help us serve you better . . .

• Follow retention schedules..its the law
• Pack ONLY records listed by the Retention
  Schedule.
• Pack files carefully
• Fill out box label transfer form sheets
• Improperly PACKED records will be returned.
• Thanks for your patience!

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Visit Our Website
http//www.bisd.us/records_management/

• Download forms -- procedures
• Request information
• View retention schedules
• Review CPC Fl policies and procedures