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BISD Records Management

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Title: Basic Records Management Workshop Author: Isaac Wallace Last modified by: at Created Date: 1/13/2000 4:02:38 PM Document presentation format – PowerPoint PPT presentation

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Title: BISD Records Management


1
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.
2
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

3
MANAGING RECORDS
  • Proper records management is vital to an
    organizations knowledge management, legal
    defense, and regulatory compliance.

4
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

5
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.

6
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

7
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.

8
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.

9
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.

10
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.

11
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.

12
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.

13
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)

14
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

15
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.

16
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.

17
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.

18
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.

19
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. 

20
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

21
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)

22
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)

23
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

24
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.

25
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.

26
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.

27
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.

28
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

29
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?

30
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

31
OUR GOAL
  • Understand and commit to principles of
    collaboration.

32
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

33
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)

34
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

35
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.

36
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

37
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

38
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.

39
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.

40
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)

41
PROPERLY LABELED
42
PROPERLY LABELED
43
UNACCEPTABLE
44
Proper Labels Easy Access
45
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
46
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

47
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!

48
Visit Our Website
http//www.bisd.us/records_management/
  • Download forms -- procedures
  • Request information
  • View retention schedules
  • Review CPC Fl policies and procedures
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