Records Management

January 25, 2016

Paper Files

CDs

Encrypted Software

Film

USBs

Policies and

Procedures

Per TSLAC Local Retention Schedules

Electronic Records Text Messages, Emails, etc.

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Overview of District Records Management Program Authorized Campus/Department Contacts

o Records Management Liaisons (RMLs)

Harris County Department of Education (HCDE) o Alief ISD membership & HCDE services

The Alief ISD Records Management Web Page

How To Read Records Retention Schedule o Sample Record Retention Schedule o Terminology

Preparing Boxes for Storage

o Packing boxes o Organizing contents by destruction date o Labeling & Numbering boxes

Sending Materials for Storage

o Authorization o Records Transfer and Request Form o Records pick up o Receipt of Records at HCDE

Requesting and Returning Records from Storage

o Requesting records o Requesting a fax o Emergency requests & after hours

services o Keeping retrieved records o Returning records

Destruction of Materials

o Guidelines o Records Destruction Certificate

information o Preparing boxes o Destruction at campus/department or

destruction by HCDE o What should be shredded o Records Destruction Certificate o Destruction label

Required Training and Record Keeping at the Campus/Department

o Create internal procedures and train staff o Transfer and Request records o Inventory listing o Documentation for destroyed records

Additional Information

o Staff in-service guidelines o Conserving budgeted funds

Happy Filing

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Records Management Alief ISD is a local government agency; therefore, the information generated by and for the district belongs to the public and is protected by law. The state divides the information into different categories. The most commonly used categories by Alief ISD are:

EL, Series EL3100-3150 EL: Records of Elections and Voter Registration

GR, Series GR1000-5825 GR: Records Common to All Local Governments

PS, Series PS4025- 4575, 2575-2600 PS: Records of Public Safety Agencies (Police, Fire, EMS, ME, etc.)

SD, Series SD3200-3650 SD: Records of Public School Districts

TX, Series TX2950-4000 TX: Records of Property Taxation

PW, Series PW5200-5725 Pertains to building permits and occupancy permits PW: Records of Public Works and other Government Services

The state updates retention schedules as revisions become necessary.

The entire local retention schedule can be found at:

https://www.tsl.texas.gov/slrm/recordspubs/localretention.html

What is a record? According to the Texas Local Government Code, a local government record is:

...any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium or other information recording medium, regardless of physical form or characteristic and regardless of whether public access to it is open or restricted under laws of the state, created or received by a local government or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business. [LGC §201.003(8)]

What is records management? It is the management of records throughout the creation, use, maintenance, storage, preservation, and disposition of the records. The goals of records management are to:

Reduce costs Improve efficiency Ensure legal compliance

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Improve access Capture government history Protect the rights of Texans

The components of an effective records management program are:

Filing and retrieval systems Records media selection & maintenance Inactive records storage Vital and permanent records protection Forms management

Disaster planning and recovery

Locate information in appropriate category to determine retention period. What needs to be saved:

Original records whose information is protected by state law. You can find the category usually in the GR or SD series. For example, look in the GR section for series number #GR1000-26c whose retention is AV: CORRESPONDENCE, INTERNAL MEMORANDA, AND SUBJECT FILES  Routine ‐ Correspondence and internal memoranda such as letters of transmittal, requests for publications, internal meeting notices, and similar routine matters. May also include subject files, which are collections of correspondence, memos and printed materials on various individuals, activities, and topics.

Options to manage electronic information:

if email contains two or more different types of information, you must keep the email for the type of information whose

retention period is the longest.

1. Print hard copies and file them accordingly so you can delete electronic version.

2. Create folders to archive emails to remain readily accessible.

Always refer to Series Number when locating retention instructions in local retention schedule.

Examples: 1050-56 Payroll Records 3325-02 Grade Books

Retention: Per state law:

No record may be destroyed before the end of prescribed retention period. Per district policy and/or campus/department decision:

Records may be retained longer than state-prescribed retention period. Per district policy:

For some record series, retention of “copies” is required. Example: Petty Cash – district conducts internal audits necessitating that each campus/department keeps copies on site.

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State Law Requirements

Local Schedule SD

Retention Schedule for Records of Public School Districts

Preface

This schedule establishes mandatory minimum retention periods for the records listed. No local government office may dispose of a record listed in this schedule prior to the expiration of its retention period. A records control schedule of a local government may not set a retention period for a record that is less than that established for the record on this schedule. The originals of records listed in this schedule may be disposed of prior to the expiration of the stated minimum retention period if they have been microfilmed or electronically stored pursuant to the provisions of the Local Government Code, Chapter 204 or Chapter 205, as applicable, and rules of the Texas State Library and Archives Commission adopted under authority of those chapters. Actual disposal of such records by a local government or an elective county office is subject to the policies and procedures of its records management program. Destruction of local government records contrary to the provisions of the Local Government Records Act of 1989 and administrative rules adopted under its authority, including this schedule, is a Class A misdemeanor and, under certain circumstances, a third degree felony (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).

DEFINITION A "local government record" means any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium, or other information-recording medium, regardless of physical form or characteristic and regardless of whether public access to it is open or restricted under the laws of the state, created or received by the District or any of its officers or employees, pursuant to law or in the transaction of public business. The term does not include:

1. Extra identical copies of documents created only for convenience of reference or research by District officers or employees.

2. Notes, journals, diaries, and similar documents created by a District officer or employee for his or her own personal convenience.

3. Blank forms, stocks or publications, and library and museum materials acquired solely for the purposes of reference or display.

4. Copies of documents in any media furnished to the public under the Open Records Act or other state law.

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Records Schedules and Responsibilities

Loc. Gov't. Code 203.023

RETENTION SCHEDULES

In developing the District's records retention schedule, the records management officer shall ensure it is consistent with the applicable minimum retention schedules adopted by the State Library and Archives Commission, i.e., Local Schedule GR-Records Common to All Governments, Local Schedule EL-Records of Elections and Voter Registration, Local Schedule TX-Records of Property Taxation, and Local Schedule SD-Records for Public School Districts. 13 TAC 7.125

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CUSTODIANS OF RECORDS

In implementing the Local Government Records Act, school personnel who are custodians of records shall:

1. Cooperate with the records management officer in carrying out the policies and procedures established by the District for the efficient and economical management of records and in carrying out the requirements of the Act.

2. Adequately document the transaction of District business and the services, programs, and duties for which they and their staff are responsible.

3. Maintain the records in their care and carry out the preservation, microfilming, destruction, or other disposition of the records in accordance with the policies and procedures of the District’s records management program.

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RECORDS MANAGEMENT OFFICER

DESIGNATION

The Board must designate an individual or an office or position as the records management officer for the District.

The designation of a records management officer must be entered into the minutes of the Board and the name, office, or position of the records management officer must be filed by the records management officer with the director and librarian of TSLAC within 30 days after the date of the designation.

Any subsequent designations of a new individual or a new office or position must be entered into the minutes and reported to TSLAC in the same manner as the original designation.

If the order designating a records management officer designates an office or position rather than an individual, a new holder of that office or position must file the holder’s name with TSLAC within 30 days after the date of assuming the office or position.

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Records Schedules and Responsibilities

Loc. Gov't. Code 203.022

RECORDS MANAGEMENT OFFICER

In implementing the Local Government Records Act, the records management officer shall:

1. Assist in establishing and developing policies and procedures for the District's records management program.

2. Administer the records management program and provide assistance to the custodians in order to reduce costs and improve record-keeping efficiency.

3. In cooperation with the custodians of records, prepare and file records control schedules, amended schedules, and lists of obsolete records, as required by the Local Government Records Act.

4. In cooperation with the custodians of records, prepare or direct the preparation of requests for authorization to destroy records, when such requests are required under the Local Government Records Act.

5. In cooperation with the custodians of records, identify and take adequate steps to preserve District records of permanent value.

6. In cooperation with the custodians of records, identify and take adequate steps to protect essential District records.

7. In cooperation with the custodians of records, ensure that the maintenance, preservation, microfilming, destruction, or other disposition of records is carried out in accordance with the District's records management program and legal requirements.

8. Disseminate to the Board and custodians of records information concerning state laws, administrative rules, and government policies relating to the District's records.

9. In cooperation with the custodians of records, establish procedures to ensure that the handling of records is carried out with due regard for the duties and responsibilities of custodians that may be imposed by law and the confidentiality of information in records to which access is restricted by law.

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Authorized Campus/Department Contacts

Principals, Directors and/or Administrators designate personnel to act as the Custodian of Records for their respective areas. Within Alief ISD, these designated employees are identified as Records Management Liaisons (RMLs). Once trained, designated RMLs have the authority to move records, recommend records for destruction, and send records to storage as specified by the district records retention schedules. Designated RMLs are the only persons authorized to complete records management forms and/or approve records transactions for their area. Harris County Department of Education maintains an authorization list to protect records from access by unauthorized individuals.

**************************************************************************************************

It is the responsibility of Campus/Department RMLs to: Make all staff aware of the campus/department Records Control Schedule. Create written campus/department procedures to ensure that all records-related

questions and actions are routed to the campus/department RML for appropriate approval.

Ensure that employees receive approval from the campus/department RML before records are moved or destroyed.

CAMPUS RECORDS MANAGEMENT LIAISONS

CAMPUS PRIMARY SECONDARY

Albright Cathy Baltz Kay Francis

ALC Debra Stearnes Amy Walker

Alexander Anita Vasquez Yvonne Harper

Alief MS Maria Rodriguez Rubia Hyatt

Best Renee Leviege Jeanette Byrd

SSAAMMPPLLEE

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Standard Membership Services

The HCDE Records Management membership fee includes all of the following services:

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Records Management Web Page

For Records Management information, retention schedules and forms: Go to Alief Home page. Scroll down to easily see Departments in the green bar

From Departments, go down to Finance, then from Finance, click on

Central Distribution

There is a great deal of information at the top of Central Distribution’s web page.

Access a Resource Link for information about Records Management.

Resource links are at the bottom left.

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Records Control Schedule Terminology COLUMN TITLE WHAT IT MEANS Series Number The records series number refers to a designated record number in the Texas State

Library and Archives Commission’s local retention schedule. Record Title and

Description The Record Title is the name the office or campus uses to refer to a record series. The

Description identifies the different documents that make up a record series. The description area may note that a particular record series is a duplicate. It will then note

where the original is maintained. Office Retention Office retention refers to how long a record is kept at the office or campus. Office

retention may be less than the total retention if the records are sent to the record center storage after a period of time.

Storage Retention Storage Retention refers to the length of time a record is kept in the Record Center. For records that are not sent to storage, this column will read “keep in office.”

Total Retention Total Retention refers to the total period of time the records are maintained in the office and/or in the Record Center.

Disposition The Disposition column describes destruction responsibilities.

TERMINOLOGY WHAT IT MEANS US US (Until Superseded) means to keep a copy of a manual or report until an updated

version is received or created. Upon receiving the updated version, dispose of the old version.

FE + 7 Years (example)

FE (Fiscal Year End) records created or received must be kept until the end of the fiscal year, plus 7 additional years. A fiscal year is from September 1st to August 31st.

Current Year + 1 Year

Keep the current year and the previous year of a record in the office.

Send Years 2 – 7 To District

Storage Facility

If this is fiscal year (FY) 2008 keep FY 2008 and FY 2007 in office. Send FY 2006 and older records to storage.

Permanent Records must be maintained forever. Keep In Office DO NOT send records marked “keep in office” to storage. They are to remain in the

office (or on a campus) until the end of their retention period. Destroy In Office. At the end of the retention period, office staff should put records in the trash/recycle or

shred. It is optional to send to HCDE for shredding. Copies Of These words, before the description of a record series, mean the office does not have

the “official” version of a record. The department holding the “official” version should be identified at the end of the record description.

Destruction Initiated In District

When on-site records are eligible for destruction.

Discard After Reading

Referring usually to routine correspondence. This means to dispose of a memo after the information has been read or action has been taken.

Render Unrecognizable

Records marked “render unrecognizable” should be shredded in the office or sent to the record center for shredding.

AV As long as administratively valuable CE Calendar year end

CFR Code of Federal Regulations TAC Texas Administrative Code LA Life of Asset

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Preparing Boxes/Records for Storage

Packing Boxes All records sent to storage must be packed in the appropriate records storage box.

Please use the heavy duty HCDE records storage box Alief ISD warehouse stock number 35-2285 for records storage. Please note that other types of storage boxes will not be picked up. Please do not use larger boxes.

1. they may or may not be picked up 2. if they are picked up, increased storage fees will be charged to Alief ISD

To prevent injury, packed boxes should not weigh more than 40 pounds. Without over-filling the box, please make efficient use of space within the box.

**Remember the fee is per box (regardless of the number of folders in the box). Organize the contents of the box in an alphabetical or numerical manner for easy access.

Organizing by Destruction Dates To facilitate efficient storage and handling, it is helpful to pack boxes with like records. Please ensure that records with different retention periods are not combined within a box.

For example, do not pack records scheduled for destruction in two years in a box with records scheduled for destruction in seven years.

If it is not feasible to separate records by destruction date, then the oldest destruction date must be listed on the box.

Labeling Boxes - Either use labels per instructions on next page or write needed information on the side of the HCDE box, with a permanent black ink marker.

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All boxes must be labeled/marked at one end. It is not necessary to label/mark the top or

sides of the boxes. If using a label (not writing directly on the box), this label is available for ordering from the

warehouse catalog. The Alief ISD stock number for this label is 45-1005 and the labels are sold in packs of 20. See example below.

In the section titled “Client Name : (District)”, label the boxes “Alief ISD”, not “AISD”, as these boxes could be confused at HCDE with boxes from other districts.

Numbering Boxes Campuses or departments may use any numbering system they wish; however, these

numbers should be consecutive and never repeated. For example, box numbers 1 – 8 were used to number 1999/2000 records. Once the box numbers 1 – 8 have been used, they would never be used again, even in subsequent years.

Using the campus or department’s individual numbering system, number the box. **Please note that only records per retention schedule instructions may be sent to storage and must be approved in advance by the district Records Management Officer. Please call ext. 3300 with any questions that may arise during the records preparation process.

Records Storage Box Label Warehouse catalog stock item 45-1005

($4.20 per package of 20)

HCDE BARCODE

HCDE USE:

DESTROY DATE: (MM/YYYY)

09/2017

CLIENT NAME: (DISTRICT)

Alief ISD CLIENT BOX NUMBER:

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CLIENT DEPT: (CAMPUS)

Campus ABC

DATE RANGE:

01/01/XX – 08/31/XX

CONTENTS:

Cumulative File Folders

ALPHA-NUMERIC RANGE:

A - Broussard

AISD stock # 45-1005

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Sending Records to HCDE for Storage Before packing records/boxes for storage, be sure to carefully examine the Records Control Schedule that pertains to your area. Only records listed on the Records Control Schedule as “Send to district storage facility” can be approved for storage. Authorization All records sent to HCDE for storage must be approved in advance by the district

Records Management Officer. To receive authorization, complete a “Records Transfer and Request Form” listing the

boxes to be stored. Once the form is completed, please mail the form via interoffice mail to Central

Distribution or fax it to 281-988-3403 or 281.988.3304 In some instances, it may be advisable to scan the request in your campus/department

copier and email the PDF attachment to Warehouse Manager or District RMO. Upon receipt of request to store, the following procedures will apply:

Harris County Department of Education has implemented a procedural change designed to keep costs down. The way requests to store records will be handled is as follows, effective immediately:

1. as always, please check the records control schedule first to confirm records are eligible to be stored at HCDE

2. as always, fax signed request to Central Distribution at 281.988.3403 or 281.988.3304 3. Central Distribution will send you bar code labels to be affixed to the boxes at the campus

or department 4. re-fax or email a scanned copy of the original storage request with bar code information

on the request 5. District RMO will review request, sign it and then storage request will be forwarded to

HCDE for pick up from your location 6. this will add at least one day to the process, so please plan accordingly

RecordstobestoredatHCDE:BOXPICKUPPROCEDUREINSTRUCTIONS 1. Label each new box by applying the larger barcode label onto the box in the square (on the

left side) that says HCDE Barcode. See photo, next page. 2. Next label the corresponding line item on the new material form. The barcode labeling

process is critical. Care must be taken to assure that the label on the box and the label on the line item of the transfer form are the SAME.

3. Verify by counting the number of labels on the transfer form with the number of new boxes being sent on the new material form. Fill in each square on the box as you normally would with your client box number, client name, and client department, content; destroy date, date range and alpha-numeric range. Please write legibly (print is preferred), so that the information is captured correctly. Scan and email the completed new material form once the barcodes are applied.

4. Place the original new material form with your boxes that need to be picked up. 5. The number of boxes being picked up and the number listed on the new material form must

be the same {if there are any discrepancies boxes will not be picked up}.

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Implementing this process helps keep labor costs down

Example of completed Record Transfer Form and box ready to be picked up by HCDE FOR STORAGE.

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Records Transfer and Request Form A “Records Transfer and Request Form” must be completed prior to the transfer of any

records. This form is available on the Central Distribution web page. Please ensure that the information recorded on the form corresponds exactly to the

information recorded on each box label. Please remember that all shipments to and from HCDE must be approved by the

Campus/Department RML and routed through Central Distribution. Please keep a copy of this form for your records.

Original Records Pick-Up Central Distribution will forward all pick up requests for records to be stored. Campuses

and departments cannot contact HCDE directly to request that new record shipments be picked up.

After a “Records Transfer and Request Form” has been approved, Central Distribution will contact HCDE to arrange the pick-up.

An HCDE delivery truck will pick up the records from your location. Receipt of Records at HCDE Upon receipt of records at HCDE, HCDE personnel will enter the box/record information

into their computer system.

Records Management

ALIEF HCDE

$30,000. annual budget

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RECORDS TRANSFER AND REQUEST FORM

School District: Alief ISD Campus/Dept: _________________________

Address & Pick-up Location: __________________ Contact Person: ________________________ (Print Name) Phone Number: _____________________ Fax Number: _________________________

Check one: X New Records Return Records Request Records Request * to Storage to Storage * from Storage * Fax from Storage (*include HCDE barcode number)

SERIES

NO. DESTROY

DATE

BOX NO.

DATE AND/OR ALPHA-

NUMERIC RANGE

CONTENTS OF BOX

HCDE BARCODE BAR CODE LABELS

CORRESPONDING TO EACH BOX

3200-01 9/2017 17 A-B FE 20XX Cumulative Folders LABELS 3200-01 9/2017 18 C-E FE 20XX Cumulative Folders AFFIXED

Please Note:

When using this

form to request

records from

storage, please

write numbers

in bold, to be

readable,

when faxed.

TOTAL NUMBER OF BOXES 2 Authorization to send records to storage: ____________________________ Date: _______ (New records only) Alief ISD Records Management Officer

Request to/from storage _______________________________________________ (Campus/Dept. RML signature) Records Received by: ________________________________ Date: __________ ______

Campus Physical Address

Campus phone no.

Campus RML

1/11/2013 Joe Schuster

Curtis, the nice HCDE guy 1/15/2013

Campus fax no.

Campus Name

Campus RML

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Requesting and Returning Stored Records Requesting Records from Storage Records stored at HCDE may be requested by a campus/department at any time. To request stored records, please complete the “Records Transfer and Request Form”

which can be printed from the Central Distribution/Records Management web page. All requests must be completed by the campus/department’s authorized contact

(RML) and faxed to Central Distribution at 281-988-3403. Requests for records from storage will be forwarded to HCDE immediately. (these requests will not be held by Central Distribution)

To ensure the accuracy of the request, please be sure to fill out all sections of the form. Requesting Fax Service Records that are less than 10 pages can be retrieved by HCDE personnel and faxed to

the campus/department upon request. To receive fax service, please complete the “Records Transfer and Request Form” and

select the “Request Fax from Storage” option. If there is a problem locating the exact record, or if the file is too large to fax, HCDE

personnel will contact you regarding the problem. Emergency Requests If an emergency arises, please contact the HCDE Records Center at 713-694-9022 to

request assistance. If needed, records may be picked up in person during normal hours of operation. Please fax a completed and signed “Records Transfer and Request Form” prior to

arriving. Please also indicate the name of the person making the pick up. HCDE will require proof of identity (drivers license) and a signature when picking up the materials.

HCDE records center hours are 8:00 a.m. – 4:30 p.m. Contacting HCDE to retrieve records outside of normal working hours is discouraged. If

an emergency need arises, call 713-694-9022 and follow the recorded directions. Please be advised that special charges will be assessed for services requested outside of normal hours of operations and these charges will be the responsibility of the campus/department.

Keeping Retrieved Records If necessary, retrieved records may be retained by the campus or department. Please fax the “Records Transfer and Request Form” back to Central Distribution noting

the records that will be retained. It is important to notify us of retained records so that we may update the

campus/department inventory and discontinue applicable storage charges. (If records equal less than a box, storage fees remain unchanged.)

Returning Requested Records To return records to HCDE, use the same “Records Transfer and Request Form” and

mark the “return records to storage” section of the form. Fax the form to Central Distribution requesting a pick-up by HCDE.

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Destruction Records with sensitive information must be shredded, rendered unrecognizable. Records with no sensitive information may be either discarded or recycled by Alief ISD Recycling Services (under Nutrition Dept.). Signed Destruction Certificates are required for destroyed documents whether they are sent to HCDE, discarded, “destroyed in office” and/or sent to Recycling Services.

WITH REGARD TO DESTRUCTION OF RECORDS, PLEASE NOTE

DO NOT DESTROY IF:

If the retention period for a record has expired, the District will not destroy certain documents as shown below. Pursuant to Section 202.002 of the Local Government Code, the District shall not destroy any record, including electronic records, if: • the subject matter of the record is known by the custodian to be in litigation or anticipated litigation; • the record is subject to a pending request for disclosure under the Public Information Act; • there is an outstanding request to inspect and review the record under FERPA; • the record is subject to a pending audit by a federal or state grantor or subgrantor agency; or • a question remains unresolved from a conducted audit until audit finds are resolved.

THERE CAN BE A LITIGATION HOLD:

When an event giving rise to a potential claim occurs, appropriate records, including electronic records, will be subject to a litigation hold designed to prevent their routine destruction. A school district has an obligation to preserve documents and evidence related to an event once a lawsuit is filed and sometimes even when litigation is only anticipated.

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Preparing Records for Destruction Per existing state law, records associated with a pending lawsuit or an open records request may not be destroyed. Because employees who have been assigned records management duties may not be aware of pending lawsuits or records requests, it is required that all Records Destruction Certificates be signed by both the Campus/Department RML and the Campus Principal/Department Administrator, prior to destruction. Please use the current Records Destruction Certificate located on the Central Distribution web page. Guidelines Records are marked for destruction in two separate manners:

1. Destroy in office or destroy on campus. (records can be discarded in the trash, shredded on site and/or recycled or sent to HCDE for shredding)

2. Destroy and render unrecognizable. (records that must be/should be shredded) Please note: it is highly recommended that all records governed by the Records Control

Schedule to be shredded should be processed by HCDE. Records for shredding will be picked up by HCDE. Records with no sensitive information may be:

1. discarded 2. recycled by Alief ISD Recycling Services (under Nutrition Dept.) 3. or still picked up by HCDE for shredding @ $15.00 trip charge

Records Destruction Certificate A “Records Destruction Certificate” for all records listed on control schedules must be

completed and signed by the campus/department RML and the campus principal/department administrator prior to destruction of a state mandated/controlled record.

The above includes records that are destroyed at the campus/department and/or records that are destroyed by HCDE.

Please be sure to indicate on the “Records Destruction Certificate” if the records were destroyed at the campus or department. If destroyed at campus or department, also write the date records were destroyed.

If the records were not destroyed at the campus/department, a request for pick up must be faxed to Central Distribution at 281-988-3403.

Please note: “Records Destruction Certificates” must be kept permanently, as this form is a legal document, serving as proof in court if necessary, that the records no longer exist.

Preparing boxes Place the obsolete records in a box no larger than 12" x 18" (a copy paper size box). It is

not necessary to use records storage boxes; however, the weight of the packed box cannot exceed 40 pounds. Smaller boxes will be picked up. Larger than copy paper boxes will not be picked up.

Tape an orange “Records Destruction Label” to each box noting the contents of the box to be shredded. The label should be taped to one end of the box.

The orange label is available for ordering from the warehouse. The Alief ISD stock number for this label is 45-1003. The bright orange Records Destruction Labels are sold in packs of 100 at $1.00 per pack. This is the only label that may be used to mark records for destruction/shredding.

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Preparing Records for Destruction

(continued) Destruction at the Campus/Department If the records were destroyed at the campus or department, ensure that a Records

Destruction Certificate is properly signed and completed. The campus/department RML is responsible for ensuring that the “destroyed by” section

of the “Records Destruction Certificate” has been completed. Please note that when records (with no sensitive information) are placed in a recycling

container at the campus/department, the records are considered “destroyed” at that time. Remember that all “Records Destruction Certificates” must be retained permanently.

Please note:

CDs and USBs should be destroyed too. CDs and USBs containing information are to be destroyed per the information’s

retention period, as applicable. Encrypted software should be destroyed when it is time to do so, not sent to the

warehouse as surplus or for auction. Destruction by HCDE When the records are picked up at your location by HCDE, make a copy of the completed

“Records Destruction Certificate” after the HCDE pick-up personnel have signed the “Received for destruction” section of the form.

Keep this copy for your records. Once the destruction has been completed by HCDE, a signed and “completed” copy of

the “Records Destruction Certificate” will be returned to you. Please retain this copy for your records also.

Records/reports that contain the following student and/or staff information should be shredded.

Student grades Student status Student/Employee ID numbers Demographic information Social security numbers Telephone numbers Home addresses Health information Salary information

Please note that guidelines for shredding are not limited to the records listed above. If information found on a document or record contains any information of a confidential nature, please have it shredded.

Please protect the privacy of our students, parents and staff.

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RECORDS DESTRUCTION LABEL

Sample:

ALIEF ISD

________________________ ____Central Distribution___

DEPARTMENT/CAMPUS

BOX ______8______ of ____13_______

For pick up and shredding by HCDE

45-1003

Tape an orange “Records Destruction Label” to each box noting the contents of the box to be shredded. The label should be taped to one end of the box.

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When Records Management was a simpler, static task, customized retention schedules were prepared for each department and schools. Records Management is subject to change and growth. Since the state changes retention periods as needed, when you’re ready to dispose of a record, you’ll need to confirm retention period with the state’s “local retention schedule” online. Compare the series number you have to the retention period for that same series number on the state’s online retention schedule.

As the state changes retention periods for some records, old schedules may be used to reference where records will be stored – on site or sent to off site storage at HCDE..

Please remember to always indentify records by the Series number.

The Series numbers are key to identifying records by category.

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Required Training and Record Keeping at the Campus/Department Each Campus and Department is required to: Create Internal Procedures and Train Staff Create written campus/department procedures that ensure all records related questions

and/or actions are routed to the campus/department RML for appropriate approval. Include these records management procedures in a hand-out or in-service so that all staff

members are aware of the campus/department Records Control Schedule and procedures.

Keep Records of Transfers and Requests Each campus/department is required to keep documentation relating to all records

transfers. It is recommended that a binder be created to store all campus/department related

records management information. Retain a Records Inventory List A current campus/department inventory list must be maintained at all times.

Retain Documentation of Destroyed Records If records are listed on a records retention schedule, a “Records Destruction Certificate”

is required for all records that are destroyed. This “Records Destruction Certificate” must be retained as proof of destruction. Remember that the “Records Destruction Certificate” is a legal document, which serves

as proof in court if necessary, that the record no longer exists. Please also remember that “Records Destruction Certificates” must be kept

permanently.

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Alief ISD Records Management On Site In-Service Guide

Information

Principals/Department Administrators designate a minimum of two employees to manage and coordinate records activities within each campus/department.

o These designated employees are referred to as Records Management Liaisons (RMLs)

o RMLs attend annual in-services conducted by Central Distribution. Once trained, Campus RMLs are the only employees authorized to send records to

storage, or recommend the destruction of records.

The State establishes mandatory minimum retention periods for many of the records a school district generates and uses.

These mandatory minimums are listed on the TSLAC website. https://www.tsl.texas.gov/slrm/recordspubs/localretention.html

School district employees may not dispose of records listed on these retention schedules

prior to the expiration date of the record retention period. o Additionally, records associated with a pending lawsuit or an open records request

may not be destroyed. To have records picked up for destruction, campuses/departments must complete a

Records Destruction Certificate authorizing the destruction. Procedure: Because Campus RMLs may not always be aware of pending lawsuits or

records requests, all Records Destruction Certificates must be signed by both the Campus RML and the Campus Principal/Department Administrator.

o Records Destruction Certificates are legal documents, which serve as proof in court if necessary, that the record no longer exists.

o Please note that “Records Destruction Certificates” must be kept permanently on site at the campus/department.

o Penalties for the disposal of records contrary to State Law range from a Class A Misdemeanor, to a third degree felony and criminal penalties and fines.

Alief ISD utilizes the records storage and destruction services of the Harris County

Department of Education (HCDE). o Services provided by HCDE are paid for by the district and offered to all

campuses/departments at no cost to campus/department. HCDE will pick up all records a campus/department requests to be shredded for a trip

charge. HCDE shredding services are not limited to records listed on the Alief ISD Records Control Schedule(s).

Once a written request is received, HCDE will pick up records for storage and/or destruction directly from your campus/department.

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Alief ISD Records Management

Action Plan

Principals/Department Administrators appoint appropriate personnel as RMLs and ensure they receive adequate administrative support to enforce campus/department policies.

Principals/Department Administrators ensure that two or more employees are trained as RMLs to make certain that campus/department records can be managed at all times.

Principals/Department Administrators assist RMLs in the creation of written

campus/department procedures to ensure that all records-related questions and/or actions are routed to the campus RML for appropriate approval and processing.

Include the written campus records management procedures in a hand-out or in-service so that all staff members are aware of the campus Records Control Schedule and campus procedures.

o A complete Records Management Policy Manual, along with procedures and forms can be found on the Alief ISD Webpage, Central Distribution → Records Management.

Review campus/department generated records/reports and ensure that records

containing confidential/sensitive information are stored appropriately prior to destruction. Records/reports that contain the following student and/or staff information should

be shredded. o Student grades o Student status o Student/Employee ID numbers o Demographic information o Social security numbers o Telephone numbers o Home addresses o Health information o Salary information

Please note that guidelines for shredding are not limited to the records listed above. If information found on a document or record contains any information of a confidential nature, please have it shredded.

Please protect the privacy of our students, parents and staff.

Review campus/department documentation relating to records in storage and records destruction periodically.

o Each campus/department is required to retain copies of: Campus/department records inventory list Records transfer requests Records destruction certificates (permanently)

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Conserving Budgeted Funds

Here are some suggestions to help decrease expenses, whenever possible:

1. consolidate requests for storage and/or destruction into fewer ones for boxes to be picked in fewer trips

2. after receiving files needed from storage, return them once per month or even once every other month

3. if a file requested from storage is 10 pages or less, ask that it be scanned and emailed or faxed to you, rather than delivered in person

4. if there is no sensitive information that needs to be shredded on documents, put old records in local recycling bin for Alief ISD Nutrition Services to pick up. (Remember Destruction Certificates are still required for documents “destroyed in office”)

Thank You!