Slide 1 ___________________________________ Disposition 101 ___________________________________ For Local Government & State Agency Records ___________________________________ State and Local Records Management Division Texas State Library and Archives Commission (512) 463-7610 | slrminfo@tsl.texas.gov https://www.tsl.texas.gov/slrm ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 2 ___________________________________ We Provide: ▹ Consulting and training Records services for state agencies and local governments Management ___________________________________ ▹ Development of retention PRESENTERS Assistance schedules and @ TSLAC interpretation of administrative rules ___________________________________ ▹ Storage and imaging services at the State Records Center ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 3 ___________________________________ WEBINAR OBJECTIVES ▸ Learn what disposition means and why we do it. ▸ Review how to read a retention schedule to Webinar ___________________________________ determine when records can be disposed. Objective ▸ Discuss the various methods of destruction, s archival transfer, and tips about using vendors. ▸ Know when not to destroy records. ___________________________________ ▸ Understand the importance of documenting disposition and involving a team. ___________________________________ ___________________________________ ___________________________________ ___________________________________
Slide 4 ___________________________________ ___________________________________ ___________________________________ What is Disposition? ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 5 ___________________________________ “ actions taken with regard to ___________________________________ government records that are no longer needed for current government business as determined by their appraisal ___________________________________ pursuant to legislation, regulation, or administrative procedure. ” ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 6 ___________________________________ ___________________________________ Records Transfer to Life Archives ___________________________________ Creation/ Maintenance Disposition Cycle Receipt and Use Retention ___________________________________ met: Destroy ___________________________________ ___________________________________ ___________________________________
Slide 7 ___________________________________ ___________________________________ ___________________________________ ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 8 ___________________________________ Benefits of Disposition ▸ Creates Space ___________________________________ ▸ Reduces Costs: ▹ Physical Storage ▹ Network Server Storage ___________________________________ ▹ Recovery ▸ Speeds up Retrieval ▸ Provides Legal Protection ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 9 ___________________________________ Why can’t we get rid of it all? ▸ Illegal ___________________________________ ▸ Intentional Destruction is Unlawful ▸ Consequences for Not ___________________________________ Keeping Records Long Enough ▹ Criminal Penalties and ___________________________________ Fines Under the Public Information Act ___________________________________ ___________________________________ ___________________________________
Slide 10 ___________________________________ Why can’t we just keep everything? ___________________________________ ▸ Cost of Physical and Electronic Storage ___________________________________ ▸ Time Spent on Retrieval ▸ The RMO (Government/Agency) Is Responsible for Protecting Records ___________________________________ ▸ The Legal Risk ___________________________________ ___________________________________ ___________________________________ Slide 11 ___________________________________ ▸ A local government record may be destroyed if: ▹ The record appears on a ___________________________________ records retention schedule that’s been approved by TSLAC. ▹ The retention period of the ___________________________________ record has expired, or the record has been microfilmed or stored electronically. ___________________________________ LGC §202.001. Destruction of Records. ___________________________________ ___________________________________ ___________________________________ Slide 12 ___________________________________ ▸ A state record may be destroyed if: ___________________________________ ▹ The record appears on a records retention schedule that’s been approved by TSLAC. ___________________________________ ▹ The record’s retention period has expired. ___________________________________ Gov. Code § 441.187. Destruction of State Records. ___________________________________ ___________________________________ ___________________________________
Slide 13 ___________________________________ Local Governments: State Agencies and Universities: ▪ Policy ▪ RMO ___________________________________ ▪ RMO Designation Designation ▪ SLR 104 Ensure ▪ Certified ▪ Declaration of Compliance ___________________________________ retention Compliance schedule ▪ Follow updated https://www.tsl.texas.gov/slrm/rrs retention ___________________________________ schedules https://www.tsl.texas.gov/slrm/forms#local ___________________________________ ___________________________________ ___________________________________ Slide 14 ___________________________________ ▸ Get Support (aka “Buy - In”) ▹ Point Out Benefits ▹ Advertise “Shred Day” or “Delete Day” ___________________________________ How ▹ Incentives ▸ Who should be involved? do we ▹ RMO ___________________________________ start? ▹ Division or Department Head ▹ Legal Counsel ▹ IT/IRT ___________________________________ ▹ Liaison or Coordinator ___________________________________ ___________________________________ ___________________________________ Slide 15 ___________________________________ ▪ Lists all records series maintained by the state agency with mandatory prescribed What is a minimum retention periods . ___________________________________ Records ▪ Retention schedules are media-neutral . Retention ▪ Benefits: Schedule? ▪ Comply with state records management ___________________________________ laws. ▪ Convey retention rules to all agency staff. ▪ Identify, secure, and protect vital records. ___________________________________ ___________________________________ ___________________________________ ___________________________________
Slide 16 ___________________________________ How to Read a Local Government Schedule Record Record Title Record Description Retention Period Remarks Number ___________________________________ GR1000- MINUTES Certified 2 years By law - 03f audiotapes of Government Code, closed meetings. Section 551.104(a). ___________________________________ Unique # What The scope of Minimum Statutes that assigned TSLAC the series: amount of govern the to this calls this what kinds of time the retention of this record series records would records must record series and series by be classified be kept. other notes about TSLAC here retention added ___________________________________ by TSLAC. ___________________________________ ___________________________________ ___________________________________ Slide 17 ___________________________________ 7. Ret. Code 8. Retention Period 3. 4. 5. 6. Years Months Days Record Agency Series Item No. Item No. Record Series Title Description How to ___________________________________ Any document that initiates, rescinds, or amends a regulation, policy, or Read a GEN.010 1.1.011 Executive Orders US 3 procedure that governs the programs, services, or projects of an agency. State Agency Notes, memoranda, or reports relating to the counseling of an employee for work- Schedule ___________________________________ 3.1.006 Employee Counseling GEN.046 related, personal, or substance abuse AC 3 Records problems. Usually maintained at the supervisorial level. Used to make increases or decreases to 3.2.004 Income Adjustment employees' gross pay, Federal Insurance 1E.059 FE 2 Authorizations Contributions Act (FICA), retirement, or in the computation of taxes. ___________________________________ ___________________________________ ___________________________________ ___________________________________ Slide 18 ___________________________________ 10. Archival 9. 11. 12. AC Definition Remarks Legal Citations How to ___________________________________ Read a A VITAL RECORD State Agency Schedule ___________________________________ AC = Termination of CONFIDENTIAL RECORD counseling. 29 CFR §516.6 (a) ___________________________________ ___________________________________ ___________________________________ ___________________________________
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