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.
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
MANAGING RECORDS
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 ….. 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.
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 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
§ 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.
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 everyone’s job and is as important as anything
else we do.
We Have Responsibilities…Cont’d
 Break 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
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


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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.
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,
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.
E-MAIL
 If the email pertains to the development of
policies and programs, then retain 3 years: 100026a
 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 RECORDS
 In 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 THE
RECORDS 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 SCHEDULE
No local government office
may dispose of a record
listed in the State Retention
Schedule prior to the
expiration of its retention
period.
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.
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 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?
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
OUR GOAL
Understand
and commit to
principles of
collaboration.
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;
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 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
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
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.
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.
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)
PROPERLY LABELED
PROPERLY LABELED
UNACCEPTABLE
Proper Labels – Easy Access
Checklist for Preparing Records for Storage
No hanging
files
No 3Ring
binders
Do not over
pack boxes.
Do not tape or
bind boxes shut.
No unauthorized storage boxes
Storage Boxes
BOXES…………..
order online from
BISD or use paper boxes
“THE DON’Ts”
-NO
-NO
-NO
-NO
-NO
LEGAL SIZE PAPER –
hanging file folders
binders
binder clips
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 carefully
 Fill out box label & transfer form sheets
 Improperly PACKED records will be
returned….
 Thanks for your patience!
Visit Our Website
http://www.bisd.us/records_management/
Download forms -- procedures
Request information
View retention schedules
Review CPC & Fl policies and
procedures