Introduction to Records Management 90 th Annual West Texas County - PowerPoint PPT Presentation

Introduction to Records Management 90 th Annual West Texas County Judges and Commissioners Association Conference April 25, 2019

INTRODUCTION Records Management Assistance  5 Government Information Analysts  Consulting and Training  Retention Schedule Reviews and Development Call: 512-463-7610 | Email: slrminfo@tsl.texas.gov

INTRODUCTION www.tsl.texas.gov/slrm  Forms and publications  Retention schedules  Training opportunities  SRC services  Contact information

BASICS OBJECTIVES:  Understand the legal framework of records laws and retention rules.  Know the definition of a record.  Learn how to use a records retention schedule .  Ensure compliance with the Local Government Records Act

BASICS Three Pillars of Open Government Public Local Open Information Act Government Meetings Records Act Act (Gov. Code Chapter 552) (Local Gov. Code (Gov. Code Chapters 201-205) Chapter 551)

BASICS Local Government Records Act of 1989: 1. Improve efficiency and economic operation of government. 2. Preserve records of permanent and historical value. 3. Provide impartial access to records management assistance. 4. Establish standards and procedures for managing local government records. LGC § 201.002 Purpose

BASICS Local Government Records Act http://bit.ly/bulletind Published as: Bulletin D  Definitions  Local authority  Role of RMO  Compliance requirements

RETENTION Records Life-Cycle Maintenance and Use Creation or Disposition Receipt Transfer Destroy

RETENTION Benefits of records management:  Legal requirement and protection  Workflow efficiency  Timely disposition  Protection of essential records  Cost reduction

RETENTION A 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 LGC §201.003

RETENTION Definition of a record does not include: Alternative Blank Forms Convenience Library or Dispute & Stocks of Copies Museum Resolution Publications Materials Working Files LGC §201.003

BASICS Electronic Record:  Any information that is recorded in a form for computer processing and that satisfies the definition of local government record data in the Local Government Code §205.001.  Machine-readable 13 TAC §7.71

BASICS Born digital Digitized  Original record is  Original record was electronic analog – Word doc, MP3, – Paper, receipt, webpage audiotape, etc.

BASICS Metadata:  Data about data  Part of the electronic record – Information about the e-record – Stays with record – Created by systems or people

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

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

RETENTION Common retention period codes: • Add this number to the creation/receipt date of [just a number] the record • As long as administratively valuable (there is AV some sort of business use for it) CE • Calendar Year End: December 31 st FE • Fiscal Year End: August 31 st ? September 30 th ? • Life of the Asset (keep the record about the asset LA until you don’t have the asset anymore) PM • Permanent (never destroy) • Until superseded (keep until replaced by an US updated version

RETENTION RETENTION SCHEDULE Lists all records Same series with retention mandatory regardless of minimum medium. retention periods .

RETENTION TSLAC Local Retention Schedules available to adopt: GR – General Records plus… PS – Public Safety CC – County Clerk 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 http://bit.ly/localschedules

RETENTION Unique # What The scope; Minimum Statutes assigned TSLAC what kinds of amount of governing by TSLAC calls this records time you the retention series would be have to keep and other classified these records notes here affecting the retention Record Number Record Title Record Retention Period Remarks Description GR1050-56 TIME AND Time cards or 4 years By regulation - ATTENDANCE sheets 40 TAC REPORTS 815.106(i).

RETENTION Texas Government Code, § 552.002 (Texas Public Information Act)

RETENTION Case study: Text messaging during open meetings: http://bit.ly/council-texts Led to OAG opinion that text messages are subject to the Public Info Act. http://bit.ly/texting-AG-opinion

RETENTION When you ask: How long do I keep my email? We will tell you: 1. Email is a format for a record, not a type of record. 2. You must determine the retention by analyzing the content of the email. http://bit.ly/emailmgmt-1

DISPOSITION Promotes: Prevents:  Cost savings  Information overload  Faster information  Human error retrieval  Use of space  Negative perception of public  Legal protection

DISPOSITION  Has it met retention? Before  Are there copies? disposition,  Do I have a ask: disposition log?  Did I receive internal approval?  Is there a destruction hold?

COMPLIANCE Are you in compliance? 1. Records Management Policy (Order, Ordinance, Resolution) 2. Records Management Officer (RMO) 3. Records Retention Schedule/Decision Download forms: http://bit.ly/tslaclocalforms

COMPLIANCE Compliance Element #1: Records Management Policy (Ordinance/Order/Resolution)  Establishes the records management program  Identifies the position of designated RMO  Must first be approved by: – Elected Official – Governing body  File approved policy with TSLAC

COMPLIANCE Policy Model 1 • Elected Officials • Statement signed by official Policy Model 2 • Counties and Large Local Governments • Requires governing body approval

COMPLIANCE Compliance Element #2: Form SLR 504 – Designation of Records Management Officer  Position must match policy  Signed by Records Management Officer  File new form within 30 days of personnel change

COMPLIANCE Form SLR 504 – Elected offices: Buford rd T T. Justice ice

COMPLIANCE Form SLR 504 – Non-elected offices: Angeli lina Eberly erly

COMPLIANCE Records Management Officer’s role:  Utilize records retention schedule  Oversee filing systems and information retrieval systems  Protect essential and permanent records  Ensure economical storage of inactive records

COMPLIANCE Compliance Element #3: Retention Decision 3 Options:  Permanent  Adopt TSLAC schedules  Create custom schedule

COMPLIANCE Retention Option: Permanent RISKS If you don’t make a  Storage costs retention decision, you  Retrieval times are REQUIRED to keep  Continued responsibility to protect records all records permanently .  Increased legal risk Permanent

COMPLIANCE Retention Option: Adopt TSLAC Local Retention Schedules  Form SLR 508 – Declaration of Compliance  Comprehensive schedules  Up-to-date with statutes, regulation, or rule of court

COMPLIANCE Declaration of Compliance – form SLR 508 Angeli lina Eberly erly

COMPLIANCE Retention Option: Records Control Schedule Why? • Instructions for disposition • Different structural needs • Unique records * Use the SLR 500 with cover page SLR 540

COMPLIANCE CHECKLIST  Records Management Policy:  Policy Model 1 / 2  Governing body approves policy  Mail policy and board approval documentation to TSLAC  Records Management Officer:  Ensure policy designates an RMO  Complete and mail form SLR 504  Adopt Retention Schedules:  Complete and mail form SLR 508 form adopting Schedules GR + applicable schedules

CONTACT The Texas Record blog:  Announcements  Upcoming training  New services  Featured questions http://bit.ly/txrecord

CONTACT Find the analyst assigned to your county: http://bit.ly/contact-analyst Call: (512) 463-7610 Email: slrminfo@tsl.texas.gov

CONTACT Questions? Benjamin Barlow Government Information Analyst Phone: (512) 463-5448 Email: bbarlow@tsl.texas.gov https://www.tsl.texas.gov/slrm