2014 County Court Assistants Training Conference Embassy Suites Hotel & Conference Center San Marcos, Texas February 12-14, 2014

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1 2014 County Court Assistants Training Conference Embassy Suites Hotel & Conference Center San Marcos, Texas February 12-14, 2014 Thursday, February 13 9:30 a.m. 10:30 a.m. RECORD RETENTION Ms. Erica Wilson Government Information Analyst Texas State Library and Archives ERICA WILSON received her Bachelor of Arts in English from the University of Texas at Austin. Wilson has been working in different divisions of the Texas State Library and Archives Commission for over 10 years, and spent the last eight with the State and Local Records Management Division. Wilson joined the Records Management Assistance Unit s team of Government Information Analysts in September Wilson had a supervisor who was fond of telling employees that the three pillars that support democratic government in Texas are the Public Information Act, the Open Meetings Act, and Records Management laws, as these promote transparency and accountability in government. This is what drew Wilson to Records Management. She enjoys helping others in government work to improve their own records management programs.

2 Welcome to Introduction to Records Management 2014 County Court Assistants Training Conference Texas State Library and Archives Commission State and Local Records Management Division P.O. Box 12927, Austin, TX (512) About Us: TSLAC Records Management Assistance 6 Government Information Analysts 150 state agencies 10,000+ local governments Consulting and Training Retention, destruction, imaging, managing , disaster preparedness and recovery Retention Schedule Reviews/Development Records Management Assistance TSLAC Website Records Management Services for Governments: https://www.tsl.texas.gov/slrm/ Publications Forms Retention schedules Training materials Contact information

3 Objectives: 1. Define records management terms 2. Understand the Local Government Records Act and records retention rules 3. Understand the role of Records Management Officer (RMO) and the Records Manager 4. Know where to go to find out how long to retain your government s records 5. Understand how to prepare and submit compliance documents 6. Know where to go for more information WHAT IS RECORDS MANAGEMENT? (and why bother?) 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.

4 Records Management Officer (RMO) Records Management Officer s role: Development of records control schedule Management of filing systems and information retrieval systems Protection of essential and permanent records Economical storage of inactive records 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 ) Local Government Records Act Effective & economic government operations Preserve records of permanent value Establish standards and procedures Local Government Code, Chapters

5 Local Government Records Act Bulletin D Definitions Local authority Role of Records Management Officer (RMO) Compliance requirements Why Records Management? Legal requirement Timely response to inquiries Efficiency Records protection Timely disposition Cost reduction Legal protection Why Records Management? Legal requirement Timely response to inquiries Efficiency Records protection Timely disposition Cost reduction Legal protection

6 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 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 RECORDS RETENTION

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

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

9 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 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 plus 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

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

11 Records Disposition Log A log of the records you have destroyed Not required but strongly recommended Download a blank form at: Destruction Holds It is illegal to destroy any record that is involved in ongoing: Litigation Claim Public Information Request Audit

12 MANAGING ELECTRONIC RECORDS Managing Electronic Records See Bulletin B: Electronic Records Standards and Procedures: Must be able to access the electronic version for the full retention period Source Document Destruction After imaging, test: Quality control Functionality of index See Bulletin B, Destruction of Source Documents Before destroying original, consider: Audit, legal hold, or business need that necessitates keeping original? Law, statute, rule, or ordinance mandating retention of original? Recommendation from state agency to keep original? Would the paper original be useful if a disaster destroyed our servers? Is this a permanent record? Will I have the software, hardware, and technical documentation needed to read this record in 5, 10, 50, 100 years?

13 Managing s are records Their retention is based on content Keep personal and business s in separate accounts STORAGE Storing Historical Records H.B took effect September 1, Text: TSLAC shall adopt rules for storage of these historical court records and permanent records. Bulletin F (created in cooperation with Local Government Records Storage Task Force) published April Rules go into effect April 2015.

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

15 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 SLR 504: Elected Officials 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).

16 Compliance Element 3: Retention Decision Option B: Declaration of Compliance - Adopt TSLAC local schedules - Form SLR Choose schedules that apply to your organization Compliance Element 3: SLR 508: Declaration of Compliance Compliance Element 3: SLR 508: Declaration of Compliance

17 Compliance Element 3: SLR 508: Declaration of Compliance Countywide RMO (g): An elected county officer is authorized, instead of or in conjunction with submitting a plan and establishing an independent records program for the elected office, to participate in a county program established as provided by Subchapter B or in one or more specific components of a county program and to authorize the records management officer of the county program to act as the records management officer for the records of the elected office. Countywide RMO You are not responsible for making elected offices compliant. The CW RMO often helps elected officials get into compliance The countywide program operates under a single policy that is adopted by Commissioner s Court (Policy Model #2) One SLR 508 filed for entire county with all appropriate schedules selected

18 Recap Define records management terms Understand the Local Government Records Act and records retention rules Understand records management roles Know where to go to find out how long to retain your government s records Know how to fill out and submit paperwork to be compliant WAIT, IS THAT IT? 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://slrmtraining.tsl.texas.gov

19 I want to stay informed! Read our blog, The Texas Record: Retention rule updates New training classes available Analyst tips Subscribe we ll you new posts I want to find my analyst! Find the analyst assigned to your county: Questions?

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