Records Management for County and District Clerks

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1 Records Management for County and District Clerks County and District Clerks Association of Texas 2015 Conference Texas State Library and Archives Commission https://www.tsl.texas.gov

2 About Us Records Management Assistance unit 6 Government Information Analysts serving: 150 state agencies 10,000 local government entities Consulting and Training Retention, destruction, imaging, managing , disaster preparedness and recovery, filing systems, preservation Rule Development 1,500 records series for local governments Standards for managing e-records, microfilm, inventory

3 WHAT IS RECORDS MANAGEMENT? (and why bother?)

4 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.

5 Why do we have RM laws/rules? Open Meetings Act (Government Code Chapter 551) Public Information Act (Government Code Chapter 552) Local Government Records Act (Local Government Code Chapters )

6 Local Government Records Act Effective & economic government operations Preserve records of permanent value Establish standards and procedures Local Government Code, Chapters

7 Local Government Records Act Bulletin D Definitions Local authority Role of Records Management Officer (RMO) Compliance requirements

8 Why Records Management? Legal requirement Timely response to inquiries Efficiency Records protection Timely disposition Cost reduction Legal protection

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

10 Can t we just keep everything? There are consequences of keeping things too long Storage costs (physical & electronic) Time spent on retrieval Responsibility for protecting records Legal risk

11 Can t we just get rid of it all? And for not keeping them long enough... Class A Misdemeanor Third Degree Felony Criminal penalties and fines under the Public Information Act

12 Records Retention

13 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

14 Non-Records Convenience copies: Extra identical copies of documents created only for convenience of reference or research (Local Government Code (8)(A)) Copies of documents furnished to the public as part of a Public Information Act request

15 Non-Records Blank forms/stocks of publications Library or museum materials Alternative Dispute Resolution working files

16 Designating a Record Copy Which copy of a record needs to be kept for the full retention period?

17 Record Values Fiscal Historical Administrative Legal

18 Record Values Primary Value: the value of the record based on the purpose for which the record was created. Secondary Value: the value of a record beyond the purpose for which it was created.

19 Primary Value vs. Secondary Value Primary: Proving that you can drive legally Secondary: Voting Applying for loan Lottery tickets/ R movies / 6 th street!

20 2010 census data for Texas - Page from the 1940 census, via

21 Record Series A grouping of records that all serve the same function and are all kept the same length of time Tax Return Forms: 1040 W-2 s 1099 Receipts: Charitable donations Day care Medical bills Property tax Other: Confirmation or tracking #

22 Record Series A grouping of records that all serve the same function and are all kept the same length of time. Employment Application Application form Résumé Cover letter Transcripts Letters of reference

23 Retention Period Retention Period: The length of time you must keep a record. Employment Applications 2 years Application form Résumé Cover letter Transcripts Letters of reference

24 Retention Codes (just #) AV CE Add this number to the creation/receipt date of the record As long as administratively valuable (there is some sort of business use for it) CalendarYear End: December 31 st FE Fiscal Year End: August 31 st? September 30 th? LA PM US Life of the Asset (keep the record about the asset until you don t have the asset anymore) Permanent (never destroy) Until superseded (keep until replaced by an updated version)

25 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

26 Local Retention Schedules GR General Records CC County Clerk PS Public Safety DC District Clerk PW Public Works EL Elections/Voter SD Schools HR Health TX Taxation JC Junior Colleges UT Utility Services LC Justice/Municipal Courts

27 Local Schedule GR Retention Schedule for Records Common to All Local Governments Part 1: Administrative Records Part 2: Financial Records Part 3: Personnel and Payroll Records Part 4: Support Services Records Part 5: Information Technology Records

28 Local Schedule CC Retention Schedule for Records of County Clerks Part 1: County Clerk as Clerk to Commissioners Court Part 2: County Clerk as Recorder Part 3: County Clerk as Clerk of County Court Part 4: Official Public Records of County Clerks Part 5: Records of the County Surveyor Part 6: Records of the County Superintendent of Schools

29 Local Schedule DC Retention Schedule for Records of District Clerks Part 1: Civil Case Records Part 2: Tax Suit Records Part 3: Family Law Case Records Part 4: Juvenile Records Part 5: Criminal Case Records Part 6: Multi-Case/Multi-Court Records Part 7: Miscellaneous Court Records Part 8: Jury Records Part 9: Grand Jury Records Part 10: Naturalization Records Part 11: Administrative and Financial Records Part 12: Business and Professional Records Part 13: Miscellaneous Records

30 How to read a records series Unique # assigned to this record series by TSLAC What TSLAC calls this series The scope of the series: what kinds of records would be classified here Minimum amount of time you have to keep these records Statutes that govern the retention of this record series and other notes about retention added by TSLAC. Record Number Record Title Record Description GR f MINUTES Certified audiotapes of closed meetings. Retention Period Remarks 2 years By law - Government Code, Section (a).

31 Compliance

32 Compliance 1. Records Management Policy (Order, Ordinance, Resolution) 2. Records Management Officer (RMO) 3. Records Retention Schedule/Decision

33 Compliance Element 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 file with TSLAC

34 Compliance Element 1: Policy Models PM1 Elected county official PM2 Counties or large local governments PM3 Small municipality PM4 Small local government Policy Models:

35 Compliance Element 1: 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?

36 Compliance Element 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

37 SLR 504: Elected Officials

38 Compliance Element 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).

39 Compliance Element 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

40 Compliance Element 3: Retention Decision Option B: Declaration of Compliance - Adopt TSLAC local schedules - Form SLR Choose schedules that apply to your organization

41 Compliance Element 3: SLR 508: Declaration of Compliance

42 Compliance Element 3: SLR 508: Declaration of Compliance

43 Compliance Element 3: SLR 508: Declaration of Compliance

44 Compliance Element 3: Retention Decision Option C: Records Control Schedule - Conduct records inventory - Enter records on Form SLR Meet minimum retention periods in TSLAC local schedules - Include signature page: Form SLR 540 RMO must sign

45 Compliance Element 3: SLR 500

46 Compliance Element 3: SLR 540

47 Compliance Element 3: Schedule Rejection Incorrect or missing signature Approved policy not on file Minimum retention not met Substitute form not approved in advance

48 Compliance Element 3: DoC vs. RCS Declaration of Compliance Easier to fill out Easier to file approved within a week or two No need to re-file when new schedules published just start following new guidelines Records Control Schedule Based on an inventory of only your records no irrelevant items Ability to customize: divide into sections, or by department Include additional records that are not on TSLAC schedules

49 Compliance Element 3: Switch Schedule Options Permanent to Adoption or RCS New policy approved by governing body or elected official Submit Declaration of Compliance or RCS RCS to Adoption Submit Declaration of Compliance Be sure to indicate that it supersedes your RCS; otherwise combination

50 Compliance Element 3: Making Schedule Changes Increase retention period No TSLAC approval needed, but recommended Document as internal policy change Add a record Form SLR 520/540 (Amendment) Form SLR 500/540 (Amended Schedule)

51 Compliance Element 3: Making Schedule Changes (SLR 520)

52 RECORDS DISPOSITION

53 Why dispose of records? Creates room Reduces operating, equipment, storage, supply, and personnel costs Speeds up retrieval Provides legal protection (when done properly)

54 Records Disposition Log A log of the records you have destroyed Required for state agencies Not required for local governments, but strongly recommended Download a blank form at

55

56 Destruction Holds It is illegal to destroy any record that is involved in ongoing: Litigation Claim Public Information Request Audit

57 DIGITAL IMAGING

58 What is imaging? Digital imaging: The conversion of a document from a human-readable format to a machine-readable digital image file

59 What is machine-readable?

60 What is indexing? (and why is it important?) Indexing: assigning specific metadata to each document to enable the computer system to retrieve it. Metadata: structured search terms

61 What records can you scan? Any local government record data may be stored electronically in addition to or instead of source documents in paper or other media subject to the requirements of this chapter and rules adopted under it. Local Gov t Code

62 What retention rules apply? A record is a record is a record All retention schedules are media neutral the same retention rules apply to a record no matter what format it s in.

63 When to destroy the paper? Local Government rules: Bulletin B: 13 TAC 7.72(a) Technology changes 10 years is considered long-term retention for electronic records

64 When to destroy the paper? Short Term Records (0-10 Years Retention) If the source document is destroyed, must retain the necessary record, hardware, and software Local Government Code (c)

65 When to destroy the paper? Long-term records (10+ Years Retention) Source documents may be destroyed (If you have an approved Declaration of Compliance or Records Control Schedule on file with TSLAC)

66 When to destroy the paper? Long-term records (10+ Years Retention) but: Bulletin B rules apply Adequate technical documentation is kept (Sec for data files, Sec for text documents, Sec for electronic records in general) You have an electronic records security program (Sec. 7.75) Storage media is maintained in the right environmental conditions, is being recopied on a set schedule, and is labeled with all required information (Sec. 7.76) The scanning conforms to ANSI/AIIM standards and is done at the right resolution (Sec. 7.76) A visual quality control check is performed on every document (Sec. 7.76) The recordkeeping system that holds the records does not provide an impediment to public access (Sec. 7.79)

67 STORAGE

68 Storing Historical Records H.B took effect September 1, Text: Court may not destroy a court document created before TSLAC shall adopt rules for storage of these historical court records. Bulletin F (created in cooperation with Local Government Records Storage Task Force) published April Rules go into effect April 2015.

69 WAIT, IS THAT IT?

70 I want more training! Archived Webinars: Records Retention 101 Managing Storage Rules Long-term preservation Imaging projects Shared drive management Disaster recovery/salvage And others https://www.tsl.texas.gov/slrm/webinars/index.html

71 I want to stay informed! Read our blog, The Texas Record Retention rule updates New training classes available Analyst tips https://www.tsl.texas.gov/slrm/blog/ Subscribe we ll you new posts

72 I want to find my analyst! Find the analyst assigned to your county: https://www.tsl.texas.gov/slrm/local/countylist.html

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