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Effective Records Management Willie Hobbs HSC Records Officer.

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Presentation on theme: "Effective Records Management Willie Hobbs HSC Records Officer."— Presentation transcript:

1 Effective Records Management Willie Hobbs HSC Records Officer

2 Records Management 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 https://www.tsl.state.tx.us/landing/records-mgt.html

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 members 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 members records destruction form. However, a system members 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 WrittenPhotographic Machine readable orOther 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 ConsistencyRegulatory Compliance Litigation Protection Identification and Protection of Vital Records Identification and Protection of Archival Records

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

9 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? Secure Storage

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

11 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. Secure Records Disposition

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 Records5. Support Services Records 2. Automation Records6. Student Records 3. Employment Records7. 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 agencys 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)

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19 Good File Management is not… We have to make this into an office now. Oh no! Bobs retiring. What should we do with his files? I cant get rid of anything. Its all important!

20 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? Effective File Management You need a File Plan and a Migration Plan.

21 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. File Management

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.

23 1. Is this the official document of record or a convenience copy? 2. What is it – identify document series in Records Retention Schedule? 3. What year was finalized, done, completed, terminated, settled, closed, or superseded? 4. 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 ( ) 5. Ineligible for disposition, IT MUST BE KEPT. –Scan into proper folder (Record Series Number, Year, Department) LaserFiche Filing Instructions

24 LaserFiche Scanning Process Eligible for Disposition? Original Check Retention Schedule Retention Period Flexible AC or US Retention Period Finite FE(+), CE(+), # CompleteIncomplete 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 Records Management Liaison Form Records Disposition Form Link to System Records Retention Schedule HSC Records Officer Willie Hobbs (979)


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