1. Effective Records Management
Willie Hobbs
HSC Records Officer

2. State Records Management Laws
Preservation and Management of State Records and other Historical Resources, administered by the Texas State Library and Archives Commission, State and Local Records Division

3. Records Management Texas A&M System Regulations
Retention and Disposition of Public Records, administered by the Records Management Officer in the Office of General Counsel
Each system member’s records retention procedures must require that state records may not be destroyed or otherwise disposed of unless approved in writing by the records officer or designee using that system member’s records destruction form. However, a system member’s procedures need not require that the destruction of transitory information be approved by the records officer or designee. The records officer for each system member will coordinate with the RMO to develop a records destruction form for that member.

4. Why should I participate in this program?
Texas Government Code Section mandates that each state agency and local government entity shall have an on-going and active records management program.
Texas Penal Code “Tampering with Governmental Records” states the penalty for destroying governmental records is a Class A misdemeanor, but, depending on circumstances, could be as severe as a 2nd degree felony.
Federal laws and court decisions pertaining to records maintenance and security list retention periods and penalties for failure to do so.
It makes good business sense.

5. What is a State Record? A state record is any
Written Photographic
Machine readable or Other recorded information
created or received by or on behalf of a state agency or an elected state official that documents activities in the conduct of the state business or use of public resources.
s are state records and should be maintained in accordance with the retention schedule.

6. Benefits of Effective Records Management
Reduced Space Requirements
Increased Efficiency
Cost Savings
Improved
Decision
Making
Consistency
Regulatory
Compliance
Litigation Protection
Identification and Protection
of Vital
Records
of Archival

7. Effective Records Management
Secure Records Storage
Records Disposition
Training on Records Management
Effective Filing Systems
Input into Records Retention Schedule

8. Records Life Cycle Creation/ Receipt Maintenance and Use Disposition
Permanent (1 –
3%)
to Archives
Permanent:
Transfer To Archives
Retention Met:
Destroyed

9. Secure Storage
Does this look like your records storage area - stacks of old boxes that are unlabeled, in no discernible order, falling over, in a hot, dusty, dark, back room?
This is the storage area for a county voter registration office. No wonder dead people have been known to vote in this county.

10. Secure Records Disposition
This is non-secure shredding and improper disposal of records. Would you want your personal information handled in this manner?
Trash to Treasure?

11. Secure Records Disposition
Secure shredding is accomplished using a shredder – preferably a cross cut shredder. A commercial vendor may be utilized for shredding of paper records and for the proper environmental disposal of non-paper records.

12. Division/Member Records Management Liaisons
Who Should be a Division/Member Records Management Liaison?
Full-time employee
Willing to become familiar with all records created or received by the division/member
Willing to work with other staff to manage records
Duties
Liaison between HSC Records Officer and the Department Records Management Liaisons
Receive training and train others
Notify appropriate office(s) of holds on disposal of records received from:
VP for Communications & Development – Open Records Request
VP for Finance & Administration – Audits
Chief Legal Officer – Litigation Holds
Complete the Authorization form and update annually
Help identify the following records held by the division/member in any format
Official records or copies
Vital records
Archival records
Coordinate records retention activities in the division/member
Coordinate records disposition
Approve disposition forms for division/member

13. College of Medicine Records Management Liaison
Melodie Payne

14. Texas A&M System Records Retention Schedule
Certified every 3 years by the Texas State Library and Archives Commission
Applies to the entire TAMU System
Divided into 7 sections:
1. Administration Records 5. Support Services Records
2. Automation Records 6. Student Records
3. Employment Records 7. Agency Program Records
4. Fiscal Records

15. Texas A&M System Records Retention Schedule
The Schedule is based on the Texas State Records Retention Schedule. Each of the 6 sections lists:
Records Series Item # - the number assigned to a particular record or record series by the State of Texas.
Agency Item # - the number assigned to a particular record or record series by the Texas A&M University System.
Records Series Title – the name and a brief description.
Retention Period – the minimum length of time to retain a record to comply with the State of Texas, Federal law, or best practice. Usually the retention period is triggered by an event, such as the end of the fiscal year, termination, or graduation.
Security – indicates if the record is open (O) or confidential (C).

16. Texas A&M System Records Retention Schedule
The Schedule is based on the Texas State Records Retention Schedule. Each of the 6 sections lists:
Archival – indicates if the record is required to be retained by Health Science Center Archives (I), needs to be reviewed by Archives for possible historical value (R), or can be disposed of with approval of the department.
Vital – indicates if the record is considered essential to the business function. Vital records should be backed up and copies retained off site for use in the event of an emergency.
Remarks – lists the triggering event for retention, any applicable State or Federal laws pertaining to the record, or any special instructions that may apply to the record.

17. Texas A&M System Records Retention Schedule
Correspondence – Administrative – Incoming/outgoing and internal correspondence, in any format, pertaining to the formulation, planning, implementation, interpretation, modification, and redefinition of the programs, services, or project of an agency and the administration of policies, procedures and programs that govern them. Retention period – Correspondence – General -- Non-administrative incoming/outgoing and internal correspondence, in any media, pertaining to or arising from the routine operations of the policies, programs, services, or projects of agency. (includes interoffice correspondence; excludes directories). Retention period – AC Transitory Information – Records of temporary usefulness that are not an integral part of a records series of an agency, that are not regularly filed within an agency’s recordkeeping system, and that are only required for a limited period of time for the completion of an action by an official or employee of the agency or in the preparation of an on-going record series. Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of agency functions. Some examples of transitory information, which can be in any medium (can be recorded on any medium (voice mail, fax, , hard copy, etc) are routine messages,, internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routine information used for communication, but not for the documentation, of a specific agency transaction. Retention period – AC (after closed)

19. Good File Management is not…
“We have to make this into an office now.”
“I can’t get rid of anything. It’s all important!”
Knowing the Records Retention Schedule for your agency is important. At my previous place of employment, I was responsible for maintaining purchasing documents. It seemed that every year more and more documentation was required and I was doing more and more purchasing (I know many of you can relate to purchasing documentation). It got to the point that my department was using almost six horizontal file cabinets to keep 5 years worth of documentation and even then it was over flowing. Don’t ask me what happened to the 6th year. If I only knew that purchasing documents were only kept years instead of 5 years.
“Oh no! Bob’s retiring. What should we do with his files?”

20. You need a File Plan and a Migration Plan.
Effective File Management
How many times have you not been able to find a file you were working on? How often has a computer hardware or software upgrade caused your work to be unusable?
You need a File Plan and a Migration Plan.

21. File Management
File Plans are tools to make it easy to find both paper and electronic records. If your office works in multiple formats, the systems should be the same. Everyone who needs access to the records should be able to find them easily and quickly.

22. Filing Basics
Inventory existing records
Clean out unnecessary files
Evaluate current equipment & supplies
Evaluate current filing system
Receive input from users
Standardize filing rules in a filing manual and train all users
Tie filing to records retention
Monitor new system and revise as necessary
The electronic records filing system should mirror the paper system. Electronic records are a method of delivering and storing information, not a record type.
These are just some simple rules for filing if you now inspired to set up a new system.

23. LaserFiche Filing Instructions
Is this the official document of record or a convenience copy?
What is it – identify document series in Records Retention Schedule?
What year was finalized, done, completed, terminated, settled, closed, or superseded?
Eligible for disposition- DO NOT SCAN. 
Complete disposition form and obtain approval, then the document may be destroyed.
File approved Disposition Form in
TAMHSC\1.0 Administration Records\1.2 Records Management\ Destruction Authorizations ( )
Ineligible for disposition, IT MUST BE KEPT.
Scan into proper folder (Record Series Number, Year, Department)

24. LaserFiche Scanning Process
Eligible for Disposition?
Original
Check Retention Schedule
Retention Period Flexible
AC or US
Retention Period Finite FE(+), CE(+), #
Complete
Incomplete
Active
Folder
Inactive Folder Year
Scan
File in Appropriate Folder
Yes
Do Not Scan
Complete Disposition Form
Dispose of Document No

25. LaserFiche Scanning Process
Eligible for Disposition?
Convenience Copy
Scanning Not Required
Administratively Valuable
Check Retention Schedule
Retention Period Flexible
AC or US
Retention Period Finite FE(+), CE(+), #
File as If Complete
Inactive Folder Year
Scan
File in Appropriate Folder
Yes
Do Not Scan
Complete Disposition Form
Dispose of Document No

26. LaserFiche File Structure

27. Additional Resources

28. Questions? – Ask Your Records Management Liaison
Melodie Payne

29. Willie Hobbs (979)436-9203 whobbs@tamhsc.edu
Records Management Liaison Form
Records Disposition Form
Link to System Records Retention Schedule
HSC Records Officer
Willie Hobbs (979)