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.) Images: “Picture Texas with TSLAC” Flickr pool, http://flic.kr/g/jSigF Municipalities Special Purpose Districts ◦ ◦ ◦ ◦ 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 ◦ ◦ ◦ ◦ ◦ 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 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/ 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) ◦ ◦ ◦ ◦ Toll-free hotline: (877) 673-6839 512-478-6736 [email protected] www.oag.state.tx.us Stay Connected The Texas Record blog: announcements, new training, new services, featured questions ◦ https://www.tsl.texas.gov/slrm/blog/ Questions?