4.015 Records Management - Texas Association of Counties

Report
Texas State Library and Archives Commission
State and Local Records Management Division
P.O. Box 12927, Austin, TX 78711-2927
(512) 463-7610 | [email protected]
www.tsl.texas.gov/slrm/
Outline

Importance of Records Management

Terminology

Components of Compliance

Storage Standards

Our Website
About Us: TSLAC

Records Management
Assistance
◦ 6 Government Information
Analysts
 150 state agencies
 10,000+ local governments
◦ Consulting and Training
 Retention, destruction, imaging,
managing email, disaster
preparedness and recovery…
◦ Retention Schedule
Reviews/Development
Local Governments

County
◦ Elected Officials
◦ Non-elected offices (Auditor,
Veterans Service Office, etc.)
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
Images: “Picture Texas with
TSLAC” Flickr pool,
http://flic.kr/g/jSigF
Municipalities
Special Purpose Districts
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Appraisal
Water/utilities
Schools
Many others
What is Records Management?

“The application of management techniques to the
creation, use, maintenance, retention, preservation,
and disposal of records for the purposes of
reducing the costs and improving the efficiency of
recordkeeping.”
Records Life Cycle
Creation/
Creation/
Receipt
Receipt
Maintenance
Maintenance
and
andUse
Use
Disposition
Disposition
Permanent
Permanent:
(1–3%)
Transfer
To
to Archives
Archives
Retention Met:
Destroyed
Why Records Management?
Timely response
 Records protection
 Timely disposition
 Cost reduction
 Legal protection
 Legal requirement

Why do we have RM laws/rules?
Open Meetings Act
Public Information Act
(Government Code Chapter 551)
(Government Code Chapter 552)
Local Government Records Act
(Local Government Code Chapters 201-205)
Local Government Records Act

Elected County Offices are responsible for:
◦ Records Management Officer for records of the
officer’s office
◦ Develop policies & procedures for an active and
continuing records management program
◦ Administer program to reduce costs
◦ Preserve records of permanent value
◦ Protect essential records
◦ Ensure proper maintenance, preservation, microfilming,
destruction, disposition of records
Title 6. Records, Subtitle C, Chapter 203 Subchapter A
Local Government Records Act

Bulletin D
◦ Definitions
◦ Local authority
◦ Role of Records
Management Officer (RMO)
◦ Compliance requirements

http://bit.ly/bulletind
TERMINOLOGY
Local Government Record
Documents the transaction of public business
 Is created or received by a local government
 Is a record whether it is open or closed
 May exist in any medium

Types of Electronic Records
Obviously, there’s…
But what about…
◦ Word processing
• E-mail?
◦ Spreadsheets
• Websites?
◦ PDF and PDF/A
◦ Databases
◦ Digital images
◦ GIS (Geographic
Information System) data
◦ CAD (Computer-aided
Design) files
• Tweets?
• Facebook statuses?
• Webcasts?
• Electronic
publications?
“Non-Records”
 Convenience
copies: “Extra identical copies
of documents created only for convenience of
reference or research” (Local Government
Code §201.003(8)(A))
 Copies of documents furnished to the public as
part of a Public Information Act request
“Non-Records”
 Blank
forms/stocks of publications
 Library or museum materials
 Alternative
Dispute Resolution working files
Records Inventory
Bulletin C: Inventorying and Scheduling
Records
 When to do an inventory
 Complete, accurate and detailed listing

Benefits of Inventory
Tells you what you have –
record series, media, date
ranges
 Enables you to create a
Records Control Schedule
 Shows volume of records
 Identifies records eligible
for destruction

http://bit.ly/bulletinc
Designating a “Record Copy”
Which copy of a record needs to be
kept for the full retention period?
Record Series
Same function and retention period
 Medium does not matter
 Examples

-
Correspondence
Budgets and budget documentation
Certificates and licenses
Warranties
Reports and studies
Record Series

A grouping of
records that all
serve the same
function and are
all kept the same
length of time.
Employment Applications
Application Résumé
form
Cover
letter
Transcripts
Letters of
reference
Retention Period

Retention
Period: The
length of time
you must keep
a record.
2 years
Employment Applications
Application Résumé
form
Cover
letter
Transcripts
Letters of
reference
Retention Codes
(just #)
Add this number to the creation/receipt date of the record
AV
As long as administratively valuable (there is some sort of business
use for it)
CE
Calendar Year End: December 31st
FE
Fiscal Year End: August 31st ? September 30th?
LA
Life of the Asset (keep the record about the asset until you don’t
have the asset anymore)
PM
Permanent (never destroy)
US
Until superseded (keep until replaced by an updated version)
Records Retention Schedule

A document that lists the records series of
an organization, with mandatory minimum
retention periods for each records series.

TSLAC Local Schedules
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12 schedules
Include 1,500+ records series
Mandatory minimum retention
Same retention regardless of medium
Available to print from website
Local Retention Schedules
GR – General Records
o
o
o
o
o
o
CC – County Clerk
DC – District Clerk
EL – Elections/Voter
HR – Health Agencies
JC – Junior Colleges
LC – Justice/Municipal
Courts
o
o
o
o
o
plus…
PS – Public Safety
PW – Public Works
SD – Schools
TX – Taxation
UT – Utility Services
http://bitly.com/localschedules
Local Schedule GR

Records Common to All Local Governments
◦
◦
◦
◦
◦
Part 1:
Part 2:
Part 3:
Part 4:
Part 5:
Administrative Records
Financial Records
Personnel and Payroll Records
Support Services Records
Information Technology Records
http://bit.ly/schedulegr
Local Schedule EL

Records of Elections and Voter Registration
◦ Part 1: Election Records
◦ Part 2: Records of Candidacy and Campaign
Finance
◦ Part 3: Voter Registration Records
http://bit.ly/schedulegr
How to read a record series
Record
Number
Record Title
Record
Description
Retention Period
GR1000-26b
CORRESPONDENCE,
INTERNAL
MEMORANDA, AND
SUBJECT FILES
General –
2 years
Incoming/outgoing and
internal
correspondence
pertaining to the
regular and routine
operation of the
policies, programs,
services, or projects of
a local government.
May also include
subject files, which are
collections of
correspondence,
memos and printed
materials on various
individuals, activities
and topics.
Remarks
COMPONENTS OF
COMPLIANCE
Components of Compliance
1.
Approved records management policy/
order/ordinance on file with TSLAC
2.
Records Management Officer (RMO)
appointment on file with TSLAC
3.
Retention decision
Compliance Component 1:
Records Management Policy

Should designate Records Management
Officer (RMO) – by position is recommended

Must be approved by:
◦ Elected official (for elective offices); or
◦ Governing body. Must also file documentation
showing governing body approval of policy.

Must be filed with TSLAC
Policy Models
PM1 – Elected county official
 PM2 – Counties or large local
governments
 PM3 – Small municipality
 PM4 – Small local government


Policy Models: http://bit.ly/tslac-forms
Policy Model 1

Records Management Policy
Statement by an Elected County
Official
Does the official want to serve as his/her own
RMO, or designate the Countywide RMO as
the RMO for this office’s records?
Does the official want to file a records control
schedule, a declaration of compliance adopting
TSLAC schedules (recommended), or keep all
records permanently?
Compliance Component 2:
RMO Appointment

Must match policy

Designation of Local
Government RMO
- Form SLR 504

Notify us within 30 days

Not required from elected
officials designating
Countywide RMO
SLR 504: Elected Officials
Compliance Component 3:
Retention Decision
Three Options:
A. Permanent retention of all records;
B. Declaration of Compliance (SLR 508); OR
C. Records Control Schedule (SLR 540/500).
Compliance Component 3:
Retention Decision
Option A: Permanent
Retention of All
Records
-
Keep every record
forever
By choice or by default
RCS not required
Policy and RMO
appointment on file with
TSLAC is still required
Costs of Permanent Retention
Storage – physical and electronic
 Maintenance and protection
 Retrieval
 Legal Risk

Compliance Component 3:
Retention Decision
Option B: Declaration of
Compliance
-
Adopt TSLAC local
schedules
Form SLR 508
Choose schedules that
apply to your organization
Compliance Component 3:
SLR 508: Declaration of Compliance
Compliance Component 3:
SLR 508: Declaration of Compliance
Compliance Component 3:
SLR 508: Declaration of Compliance
Compliance Component 3:
Retention Decision
Option C: Records Control
Schedule
-
-
Conduct records
inventory
Enter records on Form
SLR 500
Meet minimum retention
periods in TSLAC local
schedules
Include signature page:
Form SLR 540 – RMO
must sign
Compliance Component 3:
SLR 500
Compliance Component 3:
SLR 540
STORAGE STANDARDS
Storage Standards

H.B. 1559 took effect September 1,
2011. Text: http://bit.ly/hb1559

TSLAC shall adopt rules for
storage of permanent and
historical court records.

Bulletin F (created in cooperation
with Local Government Records
Storage Task Force) published April
2013. http://bit.ly/bulletinf

Rules go into effect April 2015.
Storage Standards

Storage Webinar:
◦ Importance of
proper storage
◦ Storage standards
 Minimum
conditions
 Optional
enhanced
conditions
◦ Funding sources
http://bit.ly/storagestandards
Minimum requirements

Chapter 7.163
(a) Pre-1951 court records with retention
periods less than permanent shall be
stored under conditions that meet the
requirements of this section. Pre-1951
court records with permanent retention,
e.g., case papers, shall be stored under
conditions that meet the requirements of
§7.164 of this title (relating to Minimum
Storage Conditions for Permanent
Records).
Minimum requirements

Chapter 7.163
(b) Records shall be stored in a manner
that offers protection from fire, water,
steam, structural collapse, unauthorized
access, theft, and other similar hazards.
Minimum requirements

Chapter 7.164
(a) Permanent records shall be stored under
conditions that meet the requirements of
this section.
(b) Records shall be stored in a manner that
complies with the following:
(1) offers protection from fire, water,
steam, structural collapse, unauthorized
access, theft, and other similar hazards;
(2) does not expose records to direct
sunlight.
Minimum requirements

Chapter 7.164
(c) Records or storage boxes shall not
be stored in contact with the floor.
Minimum requirements

Chapter 7.164
(d) Records stored in a building or storage
area constructed after the effective date of
this section shall be protected by an
operational fire detection system or the
facility must be in compliance with local fire
codes.
Minimum requirements

Chapter 7.164
(e) Records shall not be stored in any area
of a building or storage area constructed
after the effective date of this section that is
located in a 100 year flood plain area, as
established by the U.S. Geological Survey at
the time of the construction of the building,
unless the floor of said area is at least five
feet above the 100 year flood level.
Optional enhanced conditions
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Chapter 7.165
Fire suppression system
Environmental controls
Pest management
Appropriate shelving
UV protection
OUR WEBSITE
TSLAC Website

Records Management Services for
Governments:
https://www.tsl.texas.gov/slrm/

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Publications
Forms
Retention schedules
Training materials
Contact information
Courses
Introduction to Records Management
 Managing Electronic Records
 Emergency Preparedness for Government
Records
 Archival Records Basics
 Improving Filing Systems
 Forms Management

Webinars
Disaster Preparedness
 Disaster Planning: Make a Plan with dPlan
 Disaster Planning: Panel Discussion
 Disaster Recovery and Salvage for Government Records
Electronic Records Management
 Automating Records Management with EDRMS
 E-Discovery for Records Managers
 E-mail Management Part 1
 E-mail Management Part 2
 Imaging Project Planning, Part 1 - What, When, and Why
 Imaging Project Planning, Part 2 - Who and How
 Managing Social Media Records
 Shared Drive Management
 Strategies for Preserving Electronic Records, Part 1 - Introduction
 Strategies for Preserving Electronic Records, Part 2 - Managing
Digital Content
…and more webinars
Records Retention and Disposition
 Improving Your Disposition Program – Local
Governments
 Records Retention 101 for Local Governments
Records Storage and Preservation
 Protection and Storage of Permanent Paper
Records
 Storage Facilities
 Using Microfilm for Preserving Electronic Records
Summary
Records Management is a legal requirement
 Importance
 Compliance Components
 Schedules EL and GR
 Storage Standards
 You’re not alone!

Resources

TSLAC
◦
◦
◦
◦

[email protected]
http://www.tsl.texas.gov/slrm/
http://www.tsl.texas.gov/slrm/blog
512-463-7610
Office of Attorney General (OAG)
(confidentiality of records)
◦
◦
◦
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Toll-free hotline: (877) 673-6839
512-478-6736
[email protected]
www.oag.state.tx.us
Stay Connected

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questions
◦ https://www.tsl.texas.gov/slrm/blog/
Questions?

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