Effective Records Management Willie Hobbs HSC Records Officer

State Records Management Laws 441.180 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

Records Management Texas A&M System Regulations 61.99.01 Retention and Disposition of Public Records, administered by the Records Management Officer in the Office of General Counsel 1.4.3. 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. http://policies.tamus.edu/61-99-01.pdf

Why should I participate in this program? Texas Government Code Section 441.182 mandates that each state agency and local government entity shall have an on-going and active records management program. Texas Penal Code 37.10 “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.

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. E-mails are state records and should be maintained in accordance with the retention schedule.

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

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

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

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.

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?

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.

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

College of Medicine Records Management Liaison Melodie Payne mlpayne@medicine.tamhsc.edu 979-436-0212

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 http://www.tamus.edu/assets/files/legal/pdf/RecordsRetentionSchedule1March2012.pdf

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).

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.

Texas A&M System Records Retention Schedule 01.103.10 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 – 3 01.104.10 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+1 01.124.10 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, email, 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)

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 3 + 1 years instead of 5 years. “Oh no! Bob’s retiring. What should we do with his files?”

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.

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.

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.

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\1.2.01 Destruction Authorizations (01.200.10) Ineligible for disposition, IT MUST BE KEPT. Scan into proper folder (Record Series Number, Year, Department)

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

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

LaserFiche File Structure

Additional Resources

Questions? – Ask Your Records Management Liaison Melodie Payne mlpayne@medicine.tamhsc.edu 979-436-0212

Willie Hobbs (979)436-9203 whobbs@tamhsc.edu http://tamhsc.edu/departments/finance-admin/records.html Records Management Liaison Form Records Disposition Form Link to System Records Retention Schedule HSC Records Officer Willie Hobbs (979)436-9203 whobbs@tamhsc.edu