Records Management Essentials Texas Education Agency Charter School Orientation April 2013 Texas State Library and Archives Commission State and Local Records Management Division P.O. Box 12927, Austin, TX ) |

About Your Instructor Angela McClendon Ossar Government Information Analyst Records Management Assistance State and Local Records Management Division Texas State Library and Archives Commission Phone: (512)

About Us Texas State Library & Archives Commission (TSLAC) Records Management Assistance – 6 analysts 150 state agencies 10,000+ local governments or

Objectives Understand legal requirements Prepare compliance paperwork for submission to TSLAC Implement a Records Management program – Disposition – Electronic records

RETENTION BASICS

“Local Government?” Open-enrollment charter school a “local government” for records management purposes - by TEA Rule: 19 TAC § (a)

Local Government Records Act Effective & economic government operations Preserve records of permanent value Establish standards and procedures Local Government Code, Chapters Published as Bulletin D:

Definition of Record Transaction of school business Created or received by a local government Whether open or closed Any medium: – Paper – Spreadsheet – – Digital photo – Audiovisual – Microfilm – Text, tweet, Facebook status… – And others…

NOT Records: Convenience copies: “Extra identical copies of documents created only for convenience of reference or research.” Copies of documents furnished to the public (to fulfill a Public Information Act request) Blank forms/stocks of publications Library or museum materials Alternative Dispute Resolution working files

Records Retention Schedule A document that lists the records series of an organization, with mandatory minimum retention periods for each records series. Charter Schools use: – Local Schedule GR – revised 7/4/12 – Local Schedule SD – revised 9/22/10, then 7/4/12

Local Schedule GR Retention Schedule for Records Common to All Local Governments (4 th ed., effective 7/4/12) – Part 1: Administrative Records – Part 2: Financial Records – Part 3: Personnel and Payroll Records – Part 4: Support Services Records – Part 5: Information Technology Records

Local Schedule SD Retention Schedule for Records of Public School Districts (Revised 2 nd ed., effective 7/4/12) – Part 1: Student Academic Records – Part 2: FERPA Records – Part 3: Records of Special Populations and Services Special Education, Dyslexia, Gifted and Talented, etc. – Part 4: Attendance Records – Part 5: Student Health Records – Part 6: Instruction and Grade Reporting Records

Local Schedule SD, cont. – Part 7: Discipline and Counseling Records – Part 8: Adult and Vocational Education Records – Part 9: Drivers Education Records – Part 10: Accreditation Records – Part 11: Food Service Records – Part 12: Textbook Records – Part 13: Transportation Records – Part 14: School Safety Records

Local Schedule SD, cont. – Part 15: Financial Records – Part 16: Personnel and Staffing Records – Part 17: Miscellaneous Reports and Surveys – Part 18: Miscellaneous Records – Part 19: Library Records

How to read a records series Record Number Record TitleRecord Description Retention Period Remarks SD PARENTAL PERMISSION RECORDS Parental consents for a student to engage in school activities or programs, except consents noted elsewhere in this schedule. Until cessation of activity for which consent granted + 2 years; or, if annually renewable, until superseded + 2 years. Retention Note: If a student is involved in an accident while engaged in an activity for which parental consent was granted, see SD Unique # assigned to this record series by TSLAC What TSLAC calls this series The scope of the series: what kinds of records would be classified here Minimum amount of time you have to keep these records Statutes that govern the retention of this record series and other notes about retention added by TSLAC.

Why Records Management? Improve efficiency Timely response to information requests Timely disposition Reduce costs Minimize legal risk

COMPLIANCE REQUIREMENTS

Are you in compliance? Why should you care? Non-compliance – All records have permanent retention – It is illegal to destroy any record

Compliance 1.Records Management Policy – And proof of its approval 2.Records Management Officer designation 3.Records Retention Schedule

Records Management Policy Policy Model #4 Approved by charter school’s governing body File copy with TSLAC Identifies Records Management Officer (RMO) – position rather than individual

RMO Appointment Form SLR 504 Individual’s name, position, contact information Must match policy 30-day change notification SLR 504 – RMO Designation

Records Retention Schedule 3 Options: – Adopt TSLAC schedules – Create your own schedule – Permanent retention – all records

Declaration of Compliance Form SLR 508 Adopt TSLAC Local Schedules Choose Local Schedules GR and SD SLR 508 – Declaration of Compliance

Records Control Schedule Create your own retention schedule – Records Inventory (SLR 503) – Enter records on TSLAC forms (SLR 540, 500) – Meet minimum retention periods in TSLAC local schedules SLR 503 – Records InventorySLR 500 – Records Control Schedule

Permanent Retention Policy states all records kept permanently. What it means: – Illegal to destroy any records without permission – SLR 501 destruction request

Fast Track to Compliance 1.Records Management Policy Policy Model 4 2.RMO Appointment SLR Records Retention Schedule SLR 508

RECORDS MANAGEMENT PROGRAM

Records Management Program Policies and procedures consistently followed Normal course of business

Active and Continuing Program Records management team Records disposition program Protecting essential, confidential, and permanent records Managing electronic records Emergency preparedness

Records Disposition Program Schedule regular disposition, e.g., “Shred Days” Destruction methods for paper – Confidential: Burn, shred, pulp – Open: Burn, shred, pulp, recycle, landfill burial Maintain a Records Disposition Log and retain with other records management records (Download as Word doc:

Destruction Holds It is illegal to destroy any record that is involved in ongoing: Litigation Claim Negotiation Public Information Request Audit

Penalties Class A Misdemeanor: – Not on approved schedule – Not held for retention period – Destruction hold ignored – Alienation of records

Electronic Records The big picture: – Retention applies regardless of the medium/format – Records may be kept electronically instead of in hard copy Let’s talk about: – Scanning – Managing

Scanning (Imaging) Records Do a visual quality control schedule on every document Make sure the index works Make sure you’re complying with Electronic Records Standards and Procedures when scanning (Bulletin B,

Scanning (Imaging) Records Can I destroy the original after scanning? – Check with legal counsel/auditor – Historical value of original? – Permanent Records: not recommended Long-term preservation – Obsolete technology (migration plan) – Consider archival quality microfilm

Managing s are records when they document any kind of school business, however trivial

Obstacles to Managing Some don’t consider a record Overwhelming – don’t have time Difficult to organize

You Can Delete: Junk mail or personal – no relevance to your organization’s business CC’s – is the responsibility of someone else Convenience copies – record is retained elsewhere

How long do you keep ?

Correspondence (GR ) – Administrative (4 years) - formulation, planning, implementation, modification, or redefinition of programs, services, or projects Organize by year Part of a case file, student file, etc. – save it to that file (centralize records) either electronically or in hard copy Don’t use personal account for school matters

How do you organize ? Try to make your folders “retention- conscious” Try to organize by year (will help you dispose)

CONCLUSION

Outsourcing Private consultants/vendors – RMO responsible for consultant’s work – TSLAC cannot recommend vendors – At least 3 references – Verify consultant understands local government records management laws

Want more records management training? Archived Webinars: – Long-term preservation – Managing – Imaging projects – Shared drive management – Disaster recovery and salvage – And others…

Need more training? Classes in Austin and around Texas Online training (free) Webinars (free) More information:

TSLAC Resources Main Contact Info: – – (512) Website: forms, FAQs, Find Your Analyst – Stay connected (The Texas Record blog): news, updates, featured questions –

Thank you! Angela M. Ossar, MSLS, CA Government Information Analyst State and Local Records Management Texas State Library and Archives Commission (512)