Create, Store, Shred, Toss, Repeat

Records Management

The application of management techniques to the creation, use, maintenance, retention, preservation,

and destruction of records for the purposes of improving the efficiency of recordkeeping, ensure access to public information under Chapter 552, and reducing costs.

The term includes:

• The development of records retention schedules

• The management of filing and information retrieval systems

• The adequate protection of state records that are vital, archival, or confidential

• The economical and space-effective storage of inactive records

• Control over the creation and distribution of forms, reports, and correspondence

• Maintenance of public information in a manner to facilitate access [by all stakeholders]

And….it’s the law.

Basics of Records Management

Record Management Laws/Rules

• Legal requirement

• Timely response to inquiries

• Efficiency

• Records protection

• Timely disposition

• Cost reduction

• Legal protection

Why Records Management?

• The Local Government Records Act (LGRA) was passed by the 74th Texas State Legislature and became effective in September 1, 1989. The purpose of the LGRA is to provide guidance on how to manage records as a local government.

• The Local Government Custodian of Records is authorized under Local Government Code, Chapters 201-205, and provisions of Chapter 441, of the Texas Government Code, relating to the administration of the LGRA.

Local Government Records Act

The first compliance step with the LGRA is to legally authorize the establishment of a Records Management Program.

• 1. School District – Review District’s Board Policy CPC (Legal) and (Local).

• 2. Local Government Bulletins – https://www.tsl.texas.gov/slrm/publications

• 3. Local Government Forms – https://www.tsl.texas.gov/slrm/forms

1. SLR 504: Designation of Local Government Records Management Officer (RMO) Form

2. SLR 508: Declaration of Compliance with the Records Scheduling Requirement of the Local Government Records Act

3. SLR 540: Records Control Schedule – Certification and Acceptance

4. SLR 500: Local Government Records Control Schedule5. SLR 520: Amendment to Local Government Records Control Schedule

Compliance

• Authority to Destroy Records – the authority to destroy records is a major benefit to having an authorized Records Management Program.

• Preserve Records Value – ability to identify records of value and take measures to preserve these in the event of a disaster, or to maintain the ability to exist.

• Effective Use of Resources – Resources to consider when creating a Records Management Program are staff, equipment, space, and money.

• Compliance with Legal Requirements – Allows local government be in compliance with all applicable laws, rules, regulations, and policies to provide the necessary protection to a local government.

Benefits

• The Local Government Records Act provides the following definition of a Local Record: “any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium or other information recording medium, regardless of physical form or characteristic and regardless of whether public access to it is open or restricted under laws of the State, created or received by a local government or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business”

• It does not include: Convenience Copies, Blank Forms, Stocks of Publications, Library or Museum Materials, copies of documents furnished to the public under the Public Information Act (formerly known as the Open Records Act), and Alternative Dispute Resolution Documentation §201.003(8).

Definition

What is a record?• Documents the transaction of public business

• Is created or received by a local government

• Is a record whether it is open or closed

• May exist in any medium

Non-Records• Convenience copies: “Extra identical copies of documents created only for

convenience of reference or research

• Blank forms/stocks of publications

• Alternative Dispute Resolution working files

• Reports

Records versus Non-Records

• Essential (Vital) Record: “any local government record necessary to the resumption or continuation of government operations in an emergency or disaster, to the re-creation of the legal and financial status of the government, or the protection and fulfillment of obligations to the people of the State”§201.003(5).

• Records Series: “A grouping of records that all serve the same function and are all kept the same length of time.”

• Retention Period: “The minimum time that must pass after the creation, recording or receipt of a record, or the fulfillment of certain actions associated with a record, before it is eligible for destruction” §201.003(16).

Definitions

• Records Control Schedule: “A document prepared by or under the authority of the records management officer listing the records maintained by a local government or elected county office, their retention periods and other records disposition information that the records management program in each local government or elective county office may require” §201.003(12).

• Records Retention Schedule: “A document issued by the Texas State Library and Archives Commission under authority of Subchapter J, Chapter 441, Government Code, establishing mandatory retention periods for local government records” §201.003(15).

• Records Management Officer (RMO): “The person designated under the provisions of the Local Government Records Act to manage the government’s records and file control schedules §201.003(14). See also: §203.001 and §203.025.

Definitions (cont.)

• Records Management (RM): “The application of management techniques to the creation, use, maintenance, retention, preservation and disposal of records for the purposes of reducing the costs and improving the efficiency of record keeping. The term includes the development of records control schedules, the management of filing and information retrieval systems, the protection of essential and permanent records, the economical and space – effective storage of inactive records, control over the creation and distribution of forms, reports and correspondence, and the management of micrographics and electronic and other records storage systems.” §201.003(13).

Definitions (cont.)

• Routine Records – Many records are generated and received in the course of business and each type of record has management and retention requirements attached to it based on its function. It is important to know that each record will need to be managed based on its content rather than its form.

• Record Series – Same function and same retention period. Understanding these two components is critical to determining how records are to be managed and how long they are to be retained. • Records that have the same function is obvious and should not present an

obstacle to understanding that component of a records series.

• While the retention period is the same for records that have the same function, it does not necessarily mean they will be kept for the same retention period.

• Essential (Vital) Records – A record that is considered vital to District’s ability to recover, reinstate itself as a local government and resume business after a disaster, or to protect the interest of the people represented by the District, such as property deeds, tax records, accounts payables or receivable ledgers, and payroll.

Types

• Most local government records have an assigned record number, record title, record description, and a retention period determined by the Texas State Library and Archives Commission (TSLAC).

• There are different types of records, there are different types of government agencies that are responsible for managing records according to the LGRA. Not all the schedules apply to school districts.

Record Retention Schedules

• Records Common to All Governments contains guidance needed for managing most records of a business nature for school districts. This schedule contains retention requirements for records such as open meetings, completed job applications, purchase orders, competitive bids, budgets, accounts payable and receivable records, and personnel files.

Record Retention Schedule GR

• Records for Public Schools contains retention requirements for records that are unique to school district and include such records like student records, attendance records, special education records, student health records, and other records unique to school districts.

Record Retention Schedule SD

• Needed to interpret the guidance provided.

Retention Schedule Codes

• Texas school districts resources are available online at https://www.tsl.state.tx.us/.

• TSLAC provides everything needed to

• establish a Records Management Program

• view current records retention schedules

• training opportunities

• access publications essential to this process

Records Management Program

Implementation Resources

• The Records Management Officer (RMO) – responsible for establishing a Records Management Program designed to control records through the lifecycle (from creation to disposition) and for developing and furnishing policy guidelines.

• Records Management Liaisons (RML) – Records Coordinators within each department, campus or facility.

• Records Management Committee – Oversee matters related to the Records Management Program for the district

• Originators/Creators – Employees who receive, create, and maintain district records.

Record Management Key Personnel

• Records Management Officer• Defined in CPC (Local)

• Records Custodian• Campus Principal – Campus Records

• Nurse

• Secretary

• Bookkeeper

• Record Management Liaison• Campus Designee

• Campus Registrars

• Campus Secretary/Bookkeeper

• Others as assigned

Roles and Responsibilities

• Campus Principals are typically the custodians of records on campuses.

• Student Records

• Administrative records

• Cooperate with the RMO in carrying out established policies and procedures.

• Maintain the records in their care and carry out the preservation, retention and destruction schedules.

Records Custodian (FL LOCAL)

• Campus Designee

• Student cumulative folders

• Administrative campus records

• Health records

• Transportation forms

• Special Education

Records Management Liaison (RML)

According to the National Archives and Records Administration, “the records lifecycle consists of three stages: creation or receipt of the record; maintenance and use of the record; and disposition of the record.”

Records

Lifecycle

Content Originator – reviews, evaluates, and costs the information created in the following manner:

• The originator reviews the content to ensure that a legitimate requirement exists for the information being created.

• The information is evaluated in terms of its current and future worth to the district.

• Finally, the cost of the information is assigned in terms of its worth by assigning the correct retention value to the record.

Records Creation Requirements

• Section 202.007. Personal Liability. A custodian of local government records, records management officer, or other officer or employee of a local government may not be held personally liable for the destruction of a local government record if the destruction is in compliance with this subtitle and rules adopted under it. Source: Added by Acts 1989, 71st Leg., Ch. 1248, Sec. 1, eff. Sept. 1, 1989.

• Section 202.008. Penalty: Destruction or Alienation of Record. An officer or employee of a local government commits an offense if the officer or employee knowingly or intentionally violates this subtitle or rules adopted under it by destroying or alienating a local government record in contravention of this subtitle or by intentionally failing to deliver records to a successor in office as provided by Section 201.006(a). An offense under this section is a Class A misdemeanor. Source: Added by Acts 1989, 71st Leg., Ch. 1248, Sec. 1, eff. Sept. 1, 1989.

• Section 202.009. Penalty: Possession of Record by Private Entity. (a) A private college or university, a private museum or library, a private organization of any other type, or an individual commits an offense if the entity knowingly or intentionally acquires or possesses a local government record. An offense under this subsection is a Class A misdemeanor. (b) It is a defense to prosecution under this section that a private college, university, museum, or library, by agreement with the commission under Subchapter J, chapter 441, Government Code, provides physical housing for a local government record the title to which has been vested in the commission. Source: Added by Acts 1989, 71st Leg., Ch. 1248, Sec. 1, eff. Sept. 1, 1989.

• 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 Public Information Act (Government Code, Chapter 552).

Non-Compliance Penalties

The following minimum requirements will be adhered to by all offices:

• Local government records created by local government offices (to include contractors performing functions for the local government) are the property of the local government. Procedures should be established to ensure that the record is maintained under the general supervision of the Local Government and in accordance with the adopted Record Retention Schedule and the local government-unique records schedule.

• Local government records and personal papers should not be maintained in the same file.

• Local government records should be maintained in a manner which facilitates the easy retrieval of the information when needed.

• All records maintained should be reviewed, at least annually, to ensure that only authorized records are being maintained, the appropriate storage method has been selected, and the records that are no longer of value have been properly disposed of in accordance with instructions contained in these procedures and commensurate with all adopted Records Retention Schedules approved by TSLAC.

• Any system used to generate and retain electronic records should undergo annual inspections in order to ensure all requirements for electronic records are compliant.

Records Maintenance

• Filing procedures should be developed and incorporated at the organization level in order to provide consistency throughout the local government and facilitate the efficient retrieval of records.

• Establish filing systems that will enable users to retrieve information. Three principal systems: alphabetic filing, subject filing, and numeric filing.

• Standard rules for indexing alphabetic data.

• A file plan is needed to facilitate locating the information. In addition to identifying the subject matter of the material being maintained, the file plan shall include the physical or logical location of all records being maintained by the campus, department or facility within the local government.

Maintenance Procedures

A local government record may be destroyed if:

• The record appears on a records retention schedule approved by TSLAC; and

• The retention period of the record has expired.

TSLAC Retention Schedules Compliance

• Authenticity

– Record is what it says it is

• Reliability

– Record is a full and accurate representation of the business transaction

• Integrity

– Record is complete, unaltered, and protected from unauthorized access and alteration

• Usability

– Record can be located, retrieved, and used

Scanning Original Documents

• Integral part of records management.

• The final stage of the lifecycle of records.

• These actions require a sorting process that separates records into categories of destruction, transfer of temporary records, or transfer of permanent records for permanent retention.

• Records accumulating in your local government that are temporary in nature may not require any formal destruction plan or retention requirements. These are usually coded Administratively Valuable (AV) and require no formal disposition requirements, such as destruction by pulping, shredding or incineration.

Disposition Plan

• Records outside of their retention period

• Non-Records with sensitive information

• Date of Birth

• Social security numbers

• Discipline information

What Must be Shredded?

It is illegal to destroy any record that is involved in ongoing:

• Litigation

• Claim

• Negotiation

• Public Information Request

• Audit

Destruction Holds

The National Archives and Records Administration (NARA) recommends the following steps to cut off records on a regular basis:

1. Normally, correspondence files are by the business cycle (fiscal) in which they accumulated.

2. Business, personnel, student and other files are defined by the end of the fiscal year in which final action is taken.

3. Unscheduled records (if any) should also be cut off to make their disposition possible once the local government has received the necessary authority from TSLAC.

4. Non-record materials do not require a defined period, but should be purged periodically, at least annually, and in accordance with the needs of the office, campus, department, facility or local government.

5. Defined periods are needed before local government disposition instructions can be applied, because retention periods usually begin with the end of the defined period, not with the creation or receipt, of the records.

6. This process is critically important during any impact to the organization such as reorganization, a legal proceeding, Freedom of Information Act (FOIA) actions, and employee transfers or terminations.

Transfer of Records

• Records disposition is defined as when a record has reached its complete lifecycle and is eligible for final disposition.

1. Destruction

2. Conversion to another format for permanent retention

3. Permanent retention in its current form

• The assigned retention period assigned to each record series will determine the final disposition.

• Check on legal holds before destruction.

Disposition Authority

• Central or offsite storage facilities warehouse records that are no longer needed in immediate office space. Benefits of transferring records to a central storage include:

• Local government saves money, time, space, equipment, and supplies;

• the central or offsite storage facility provides reference service; and

• the central or offsite storage facility makes final disposition action easier.

Transfer to Storage

• Temporary records are those determined by TSLAC to be disposable, or nonpermanent.

• Many temporary records are determined to be eligible for destruction when no longer needed in an office to conduct current business.

Disposal of Temporary Records

• No difference between requirements for non-electronic retention, access and safeguarding records simply because they are in an electronic format.

• Local Government Bulletin B – Electronic Records Standards and Procedures was developed by TSLAC in July 1998 to provide guidance in the area of electronic records management; however, advancements in available technology have rendered this document outdated as other technologies, such as web content management and social media, are part of government information.

Record Management Principles

• Electronic records can be accepted or rejected as evidence in court.

• A government’s records must be:

• authentic

• accurate

• trustworthy

Electronic Records Legality Issues

• Establish written procedures for records creation, maintenance and disposition.

• Destroy records on a regular schedule.

• Document electronic records and digital imaging systems.

• Enforce stringent security controls.

• Train staff and monitor work habits.

• Audit the process. (Electronic Records for Texas Local Governments, TSLAC, July 1998)

Legal Acceptance

• Electronic Storage: The maintenance of local government record data in the form of digital electronic signals on a computer hard disk, magnetic tape, optical disk, or similar machine-readable medium.

• Local Government Record Data: The information that by law, regulation, rule of court, ordinance, or administrative procedure in a local government comprises a local government record as defined by Section 201.003.

• Source Document: The local government record from which local government record data is obtained for electronic storage. The term does not include backup copies of the data in any media generated from electronic storage.

Electronic Records Management

Definitions

• AIIM: The Association for Information and Image Management.

• ANSI: The American National Standards Institute.

• Database: (a) collection of digitally stored data records, (b) collection of data elements within records within files that have relationships with other records within other files.

• Database Management System (DBMS): Set of programs designed to organize, store, and retrieve machine-readable information from a computer-maintained database or data bank.

Electronic Records Management

Definitions (cont.)

• Data File: Related numeric, textual, sound, or graphic information that is organized in a strictly prescribed form and format.

• Electronic Media: All media capable of being read by a computer including computer hard disks, magnetic tapes, optical disks, or similar machine-readable media.

• Text Documents: Narrative or tabular documents, such as letters, memorandums, and reports, in loosely prescribed form and format.

Electronic Records Management

Definitions (cont.)

• Electronic Record: Any information that is recorded in a form for computer processing and that satisfies the definition of local government record data in the Local Government Code, Section 205.001.

• Electronic Records System: Any information system that produces, manipulates, and stores local government records by using a computer.

• Records Custodian: The appointed or elected public officer who by the State constitution, State law, ordinance, or administrative policy is in charge of an office that creates or receives local government records.

• Records Management Officer (RMO): Each elected county officer or the person designated by the governing body of each local government pursuant to the Local Government Code, Section 203.025.

Electronic Records Management

Definitions (cont.)

• Much of this electronic information is a record because it is used in State agencies and local governments to make decisions or affects citizens; therefore, it must be managed as a record.

• Though electronic information processing systems contain very important information, they do not perform electronic recordkeeping functions.

• Distinction between local government information and the local government record must be made prior to establishing any electronic recordkeeping system.

1. Information versus a Record

2. Ownership

Electronic Recordkeeping Systems

• Until the information has been validated by someone knowledgeable of the subject matter, and authenticated by someone authorized by the local government, the information is considered a "working paper" or raw data.

• Records may now be found on a variety of media from creation to final disposition, making the task of properly accounting for the official record increasingly complicated.

• Document attributes and the overall system integrity to preserve and validate the record as authentic.

Validation/Authentication Process

•Word Processing

•Electronically Authenticated Records

•Databases and System-Originated Records

•Electronic Mail Systems

Electronic Recordkeeping Systems

• It is important to distinguish the difference between an “electronic information processing system” and an “electronic records keeping system.”

• An example of an electronic information processing system would be an e-mail messaging system, whereas an electronic records keeping system is designed to not only manage e-mail reception, creation, identification, storage, accessibility, and integrity of the e-mail as records, but also the disposition of that email through an electronically integrated records retention schedule.

Electronic Information Processing System

vs Electronic Records Keeping System

• A natural choice for the retention of permanent records is to convert them into an electronic format for easy access, security and retrieval. While this is allowed, there are some factors to consider when making this decision as conversion generally requires a considerable investment.

• Any record with a retention rate of 10 years or less, the local government is allowed to use any method of electronic generation, conversion, and retrieval system

• Records with retention rate greater than 10 years have very specific requirements, which require the approval of TSLAC before incorporating it in the Records Management Program (Texas Local Government Code 205.007).

Electronic Records Keeping System –

Permanent Records

1. Indexing

2. System Backups

3. Security of Electronic Records

• It is the responsibility of the local government to ensure accuracy, accessibility, retrieval and preservation of all electronic records prior to the authorized destruction date, regardless of the media.

• Most difficult records to control:

1. Social Media

2. Email

Electronic Records Keeping System

Considerations

• Many organizations assume they will never experience a disaster, so they never develop a strategy for preventing or responding to one.

• Even if there is a formal disaster response plan, chances are it does not address the need to protect one of the most valuable assets: records.

Disaster Recovery or Business Continuity

Plan

• Disaster: A sudden event or misfortune whose timing is unexpected and whose consequences are destructive. It creates an inability to provide critical business functions or services.

• Essential/Vital Records: Records in any media necessary to the resumption or continuation of operations after a disaster. Records required in the recreation of the legal and financial status of the government and the protection and fulfillment of obligations to the people of the State.

• Risk Assessment: Identifies areas where a Local Government is most vulnerable and the probability of encountering that impact within a specified period of time.

• Risk Analysis: Identifies the probable consequences or risks associated with the organization’s vulnerabilities and provides the basis for establishing a cost-effective security program that eliminates or minimizes the effects of risks.

Disaster Recovery or Business Continuity

Plan Definitions

• Before beginning any disaster planning that includes a component for Records Management Disaster Recovery planning, it is necessary to assemble the correct team to develop the disaster plan.

• While it is necessary to participate in this process, it is not recommended for the Records Management Officer to spearhead the Disaster Recovery Planning process since Records Management is but one component of the Plan.

Disaster Planning Team

Key Phases of a Disaster Recovery Plan are:

• Establishing Proactive Measures

• Creation of an Effective Disaster Recovery Plan

• Establishing Reactive Measures

• Know Your Legal Requirements

• Know What Needs Protection

• Know Your Potential Risks

• Identify Ways to Mitigate Risks to Identified Assets

• Categories of Assets

Disaster Planning Objectives

Areas that require a Risk Assessment are:

• Environmental

• Physical

• Personnel

• Security

• Outside Impact

Disaster Planning Potential Risks

• According to the TSLAC, “An emergency management plan is a written and tested plan that outlines how an organization will continue its operations during and after an incident.” (Emergency Preparedness Brochure, Texas State Library and Archives Commission, July 2011)

Disaster Recovery Plan

• Adequately addresses safety and well-being of the employees, customers, clients, recovery workers, and the general public.

• Identifies and adequately protects the organization’s vital records, to limit the extent of damage and prevent the escalation of a disaster.

• Reduces the risk of disasters caused by human error, deliberate destructiveness and building/equipment failure as well as the adverse consequences of all disasters by mandating specific security, maintenance and training programs.

• Ensures the government’s ability to effectively resume operations after a disaster and minimize the disaster’s economic impact.

• Ensures the government’s ability to rapidly reconstruct essential information and/or salvage damaged records by establishing disaster recovery procedures.

Disaster Recovery Plan Objectives

• Policy, Goals and Objectives: Includes clear, direct authority from top management and defines goals and objectives indicating what the plan will and will not accomplish.

• Activation Authority: Specifies who can initiate the recovery plan and the conditions which trigger the plan’s activation.

• Organization: Identifies individual members of the various disaster teams by title or position and by name. Teams may report to a coordinator and be responsible for building recovery, public communication, electronic data processing, purchasing, etc.

• Information Distribution: Includes specific methods for contacting team members and alternates, vendors, support agencies, suppliers, consultants and all those who hold contracts and agreements with regard to disaster recovery.

• Disaster Reactions: Specifies which disaster will not be addressed, provides for both major and minor disasters, and address localized and wide-spread disasters.

• Training: Requires initial and ongoing training for the reconstruction and salvage phases of the recovery process.

• Review and Revision: Requires testing, ongoing review, and revision of the plan.

Disaster Recovery Plan Key Elements

• Reactive Measures

1. Actions

2. Notification

3. Assess Damage

4. Stabilize the Environment

• Implementation

1. Establish Priorities

2. Relocate Operations

3. Retrieve Vital Records

4. Salvage Other Records as appropriate

Establish Reactive Measures and

Implement Plan

Dealing with records that cannot be recovered

•1. Identify Destroyed Records

•2. Document Disposition

•3. Verify Destruction

Records Beyond Salvage

Local government employees/appointees create and maintain records as part of their official responsibilities.

• Personal Papers – All employees shall clearly designate as personal, and maintain separately from the records of the office, those papers of a private or nonofficial nature that pertain to their personal affairs.

• Upon separation of employment of employees from any local government, it is prudent to consider the need to protect and preserve records that were under the care of the departing employee and include provisions for reviewing any and all papers and other information prior to the departure of any employee as part of the exit process.

Official Responsibilities

• Ensure that non-record material being removed by a departing employee or official is examined by the local government reviewing official for the purpose of providing the appropriate protection for information that is restricted from release under the Privacy Act or other statutes, regulations or executive orders;

• Obtain a signature from departing employees as a mutual agreement to what is being removed. Included in this section is a sample form which may be used for this purpose. (See “Documentary Material Removal/Non-Removal Certification and Non-Disclosure Agreement”)

• Ensure that any form, and related documentation are retained in a centralized file for at least 10 years within the Personnel or Records Management office; and ensure that no departing official or employee shall remove records or non-record materials relating to any pending or contemplated civil, criminal, or administrative proceeding or other program activity when the information, if released, would impair or prejudice the outcome of the proceeding or Government policy determinations, decisions, or other actions.

Record Officer Official Responsibilities

All local government staff including employees and contractors are responsible for:

• Participating in the development of policy or initiating local government Records Management policy that is not less restrictive, less comprehensive or less compliant with the local government Records Management policy;

• Responding timely to comments made regarding policy during the annual policy Review Process;

• Adherence to the local government Records Management Policies;

• Working collaboratively to address issues with the Records Management Officer;

• Seeking guidance from their supervisor, Records Liaison or Records Management Officer when in doubt about the implementation of a specific Records Management policy;

• Familiarizing themselves with any special requirements for accessing, protecting and utilizing data, including Privacy Act requirements, copyright requirements, records usage restrictions and sensitive data.

• Returning and ensuring that all records remain in the custody of the proper authority and obtain written concurrence from their supervisor and/or Records Management Officer.

District Staff Responsibilities

• Information to perform the duties of a Records Management Officer

• Requirement to create and utilize Records Retention Schedules

• Introduced to the Texas State Library and Archives Commissions (TSLAC)

• Introduced to Electronic Records Managements

• Learned of the need for Disaster Planning and the role Records Management

• Employee separation has a records management action tied to it

• Records Management is not just the duty of the Records Management Officer, but a responsibility that lies with the entire organization

Summary

Questions?