ADMINISTRATOR'S GUIDE
TO STATE RECORDS
RESPONSIBILITIES
2012
A Guideline of the Brownsville Independent School District’sRecords Management Office
POWER IS AN ENTITY’S ABILITY TOCONTROL ITS ENVIRONMENT /
● A strong administrator makes a superintendent more powerful
● A strong superintendent makes a school Districtmore powerful
● A strong district makes its students more powerful
COLLABORATION PRINCIPLES /● Speak with one voice.
WHY IS MANAGING RECORDS IMPORTANT? /● Supports effective decision-making
● Provides proof of existence, activities, processes.
●Defines the business purpose/function
● Documents compliance
● Provides litigation and audit support
●Provides a historical reference to the past
● Improves overall organizational efficiencies
NOT IMPORTANT UNTIL……SOMETHING HAPPENS /●Fire●flood●lawsuit●have to recreate something…
RECORDS IN THE NEWS
Headlines:
“Arthur Andersen: One of the world’s most reputableaccounting firms is forced into bankruptcy for a disputeover its policy for shredding information during theongoing audit of a company.” – Associated with Enron case
GETTING STARTED
This guide will assist you in some of the following:
●Understanding your responsibilities in managing your District records.
●Identifying records that must be incorporated into District files and maintained as public
records
●Identifying personal files that may be removed at your discretion and maintained separate from
public records
By following these guidelines your time in office and accomplishments will be well documented and preserved for future generations.
ADMINISTRATOR'S GUIDE AND RESPONSIBILTIES TO DISTRICT RECORDS
School District employees create and maintain public records as part of their official duties.
Section 201.005.Declaration of Records as Public Property; Access.
(a) Local government records created or received in the transaction of official business or the creation or maintenance of which were paid for by public funds are declared to be public property and are subject to the provisions of this subtitle and Subchapter J, Chapter 441, Government Code.
The State Library Archives Commission outlines how long school districts administrative and student record should be kept. The State provides detailed guidelines and the duties and responsibilities for employees handling State government records through an official mandate titled State Retention Schedule. / / What is a Records Retention Schedule?The State Retention Schedule is a legal document that describes a series of records and specifies how long those records must be maintained by the District before they can be destroyed. No local government office may dispose of a recordlisted in the State Retention Schedule prior to the expiration of its retention period.
Why a Records Retention Schedule is Needed
• To assist in the determination of what should be retained vs. disposed ( in a consistent manner).
• To restrict your filing equipment/space to house only “active” records for quicker retrieval – leads to gained efficiencies.
• To ensure records of enduring value and historic interest are properly maintained and available.
• To legally destroy records that have served their usefulness.
Disposal Considerations
Shredding
▪Used to destroy confidential (restricted) records.
▪Can use licensed and bonded external service. Proof oflicensure recommended (i.e. Certification).
▪Validate destruction process – stay involved.
Recycling
▪Dispose in recycling container. /
▪Archives/Preservation
▪Only those identified as permanent and/or historical
TOP 7 REASONS
WHY WE NEED A RECORDS MANAGEMENT SYSTEM
7 Running out of space
6 Lots of misfiles – can’t find anything
5 Don’t have storage room and our records are thrown in a room, closet, basement, etc.
4We had a fire and didn’t protect any of our vitalrecords… our student files are gone.
3 My boss told me to hang on to everything indefinitely…just in case…
2 Auditor’s came and told us we had to implement ‘astandard record-keeping system’.
#1 reason… we’re being sued and the lawyers toldus to halt destruction and turn everything over to them for discovery…
WHAT IS A PUBLIC RECORD?
By state law a government records is a:
book, letter, document, paper, map, plan, photograph, film, card, tape, recording, electronic data, or other documentary material regardless of physical form or characteristics that is prepared, owned, received, or retained by a governmental entity or political subdivision; and where all of the information in the original is reproducible by photocopy or other mechanical or electronic means.
The law also states that the following, among other materials, are not a government record:
●a personal note or personal communication prepared or received by an employee or officer of a governmental entity in the employee's or officer's private capacity
●a temporary draft or similar material prepared for the originator's personal use or prepared by the originator for the personal use of an individual for whom the originator is working
●material that is legally owned by an individual in the individual's private capacity
●junk mail or a commercial publication received by a governmental entity or an official or employee of a governmental entity
●a daily calendar or other personal note prepared by the originator for the originator's personal use or for the personal use of an individual for whom the originator is working
●a note or internal memorandum prepared as part of the deliberative process by a member of the judiciary, an administrative law judge, a member of the Board of Pardons and Parole, a member of any other body charged by law with performing a quasi-judicial function
WHO IS RESPONSIBLE FOR RECORDS?
(Policy CPC & FL)
As an administrator or principal, you are ultimately responsible for the proper management and disposal of records you and your staff have created and/or inherited in your department or campus.
To carry out this responsibility you must do the following:
●Designate a records officer(s) to oversee records management in each office of your department or campus. Records officers shall receive training in records management by the District’s Records Management Office.
●Ensure thatrecords policies and functions in your campus/department are being documented for the future and to protect the legal and financial rights of students and employees.
These and other responsibilities are outlined in the Records Management website and you should become familiar with all records management mandates.
WHO OWNS THE DISTRICT RECORDS?
All records created or maintained by a state governmental entity are the property of the state. They cannot be destroyed; mutilated, or otherwise damaged without proper and legal authority.
Developing good records management practices includes inventorying the records the office is creating to understand what they are, where they are, and who is responsible for maintaining them. Once records officers are designated, the agency needs to provide them the time and support they need.
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)]
PERSONAL RECORDS
Personal files are not considered District records. However, the rules of discovery are different and personal files maintained in the office may be subject to discovery in instances of litigation, unethical behavior, etc.
REASSIGNMENT OR SEPARATION
As you prepare to leave your position, a number of records issues should be considered. This is an opportune time to review the records in your office and fulfill their disposition. Records can be sent to the District’s Records Center to be destroyed as dictated by their approved retention schedules.
District records belong to the State and cannot be taken with you even if they have already met retention. The Internal Audit Department and Records Management Office shall be promptly notified to ensure that all records are secure.
Each administrator or principal shall ensure that his or her respective department has all records systematically identified and labeled as required by the state retention schedule. The Superintendent, administrator, or campus principal shall ensure that his or her department records staff has all records and boxes properly labeled in accordance with procedures outlined by the records management office. [CPC(LOCAL)]
Copies of District records classified on the State Retention Schedule, protected, or controlled should not be removed from District property. Furthermore, you are under obligation to hold information you may have acquired from such documents in accordance with their designated classification, even when you are no longer employed by the State. [Policy CPC(LOCAL)]
When you leave your position, your office will need to retain all email that has not met retention. Email should be managed according to the approved State Retention Schedule so that it can appropriately be retained after transitory messages are deleted and any personal messages forwarded to a private account.
WHO IS RESPONSIBLEFORMANAGING RECORDS? /
●Campus Principal is responsible for all ACTIVE administrative &
student records. / ►Policy FL(LOCAL)
●Department Administrator is responsible for all ACTIVE records. / ►Policy CPC(LOCAL)
The Records Management Officer is responsible for all the District’s INACTIVE records.
Policy mandates that school personnel shall:
● Cooperate with the Records Management Officer in carrying out policies &
procedures. [CPC(LEGAL)]
OUR MISSION AS RECORDS MANAGERS
●Study & follow State Retention Schedule
●Have the patience to retain what must kept
●Have the courage to destroy what must be destroyed
●Have the wisdom to know the difference between the two.
ASSIGNINGA RECORDS CLERK /The campus/department administrator shall assign a records clerk. [Policy CPC(LOCAL)]
Records Clerk Responsibilities
●Coordinate with the District’s Records Management Office toimplement records management
programs:
● Track annual disposal paperwork
● Document Inventories (annually)
● Keep current record series on retention schedules
● Act as “central receiver”, or Records Liaison, for yourcampus/department
●Follow established procedures when transferringrecords to the State Archives
●Coordinate and monitor alternative records management projects in their respective
department
STRATEGY FOR DEVELOPING
A SYSTEMATIC RECORDS FLOW PROCESS
The Records Management Office (RMO) seeks to create a highly trained, effective records workforce for its District that reflects and complies with State & Federal mandate.
To this end the RMO strategy for developing a trained records workforce assists in;
▪ supporting the ongoing modernization administrative and student records
▪ supporting the development of the Districts goals
▪ committing and understanding to the principles of collaboration
▪ providing central support through the development of campus & department records staff