CIA(LEGAL) - EQUIPMENT AND SUPPLIES MANAGEMENT: RECORDS MANAGEMENT

Note: For records retention under the Public Information Act, see GCB. For records retention under Title IX, see DIAA and FFDA.

Local Government Record

  1. Extra identical copies of documents created only for convenience of reference or research by officers or employees of the local government.
  2. Notes, journals, diaries, and similar documents created by an officer or employee of the local government for the officer's or employee's personal convenience.
  3. Blank forms.
  4. Stocks of publications.
  5. Library and museum materials acquired solely for the purposes of reference or display.
  6. Copies of documents in any media furnished to members of the public to which they are entitled under Government Code Chapter 552 (Public Information Act) or other state law.
  7. Any records, correspondence, notes, memoranda, or documents, other than a final written agreement described by Government Code 2009.054(c), associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state department or institution, local government, special district, or other political subdivision of the state participated as a party, facilitated as an impartial third party, or facilitated as the administrator of a dispute resolution system or organization.

Board's Responsibilities

  1. Establish, promote, and support an active and continuing program for the efficient and economical management of all local government records;
  2. Cause policies and procedures to be developed for the administration of the program under the direction of the records management officer;
  3. Facilitate the creation and maintenance of local government records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the local government and designed to furnish the information necessary to protect the legal and financial rights of the local government, the state, and persons affected by the activities of the local government;
  4. Facilitate the identification and preservation of local government records that are of permanent value;
  5. Facilitate the identification and protection of essential local government records; and
  6. Cooperate with the State Library and Archives Commission in its conduct of statewide records management surveys.

Custodians of Records

  1. Cooperate with the records management officer in carrying out the policies and procedures established by the local government for the efficient and economical management of records and in carrying out the requirements of Local Government Code Title 6, Subtitle C;
  2. Adequately document the transaction of government business and the services, programs, and duties for which the custodians and their staff are responsible; and
  3. Maintain the records in the custodians' care and carry out the preservation, microfilming, destruction, or other disposition only in accordance with the policies and procedures of the local government's records management program and the requirements of Subtitle C and rules adopted under it.

Records Management Officer

Designation

  1. Designating an individual; or
  2. Designating an office or position, the holder of which shall be the records management officer.

Duties

  1. Assist in establishing and developing policies and procedures for the records management program for the local government.
  2. Administer the records management program and provide assistance to custodians for the purposes of reducing costs and improving the efficiency of recordkeeping.
  3. In cooperation with the custodians of the records, prepare the records control schedules and amended schedules required by Local Government Code 203.041 and the list of obsolete records as provided by Local Government Code 203.044.
  4. In cooperation with custodians, identify and take adequate steps to preserve local government records of permanent value.
  5. In cooperation with custodians, identify and take adequate steps to protect essential local government records.
  6. In cooperation with custodians, ensure that the maintenance, preservation, microfilming, destruction, or other disposition of records is carried out in accordance with the policies and procedures of the local government's records management program and the requirements of Local Government Code Title 6, Subtitle C and rules adopted under it.
  7. Disseminate to the governing body and custodians information concerning state laws, administrative rules, and policies of the government relating to local government records.
  8. In cooperation with custodians, establish procedures to ensure that the handling of records in any context of the records management program by the records management officer or those under the officer's authority is carried out with due regard for the duties and responsibilities of custodians that may be imposed by law and the confidentiality of information in records to which access is restricted by law.

Duties of Local Governments

  1. Submit to the director and librarian the name of the local government's records management officer identified under Local Government Code 203.001 or designated under Local Government Code 203.025 and the name of the new officer in the event of a change;
  2. File a plan or an ordinance or order establishing a records management program and any amendments to the plan or ordinance or order with the director and librarian as required by Local Government Code 203.005 and 203.026;
  3. Notify the commission at least ten days before destroying a local government record that does not appear on a records retention schedule issued by the commission; and
  4. File with the director and librarian a written certification as provided by Local Government Code 203.041 that the local government has prepared a records control schedule that:
    1. Establishes a retention period for each local government record as required by Local Government Code Chapter 203, Subchapter C; and
    2. Complies with a local government records retention schedule distributed by the director and librarian under Government Code 441.158 and any other state and federal requirements.

Retention Schedules

  1. Prepare a records control schedule listing the following records and establishing a retention period for each as provided by Local Government Code 203.042:
    1. All records created or received by the local government or elective county office;
    2. Any record no longer created or received by the local government or elective county office that is still in its possession and for which the retention period on a records retention schedule issued by the commission has not expired; and
    3. Any record no longer created or received by the local government or elective county office that is still in its possession and for which the retention period on a records retention schedule issued by the commission has expired but which will not be destroyed as provided by Local Government Code 203.044; and
  2. File with the director and librarian a written certification of compliance that the local government or the elective county office has adopted records control schedules that comply with the minimum requirements established on records retention schedules issued by the commission.
  1. Local Schedule GR—Records Common to all Governments;
  2. Local Schedule EL—Records of Elections and Voter Registration;
  3. Local Schedule TX—Records of Property Taxation; and
  4. Local Schedule JC—Records for Public Junior Colleges.

Note: Local government records retention schedules are available on the Texas State Library and Archives Com-mission website.

Destruction of Records

Records That May Be Destroyed

  1. The record is listed on a valid records control schedule and either its retention period has expired or it has been microfilmed or stored electronically in accordance with the requirements of Local Government Code Chapters 204 and 205;
  2. The record appears on a list of obsolete records as provided by Local Government Code 203.044; or
  3. The record is not listed on a records retention schedule issued by the commission and the local government provides notice to the commission at least ten days before destroying the record as required by Government Code 441.169.
  1. Records the destruction or obliteration of which is directed by an expunction order issued by a court pursuant to state law.
  2. Records defined as exempt from scheduling or filing requirements by rules adopted by the commission or listed as exempt in a records retention schedule issued by the Commission.

Exceptions

Manner of Destruction

Alienation of Records

Right of Recovery

Preservation of Records

Microfilming

Electronic Storage

Penalties

Destruction or Alienation of Record

Federal Investigations and Bankruptcy

Chapter 176 Disclosures

  1. Maintain a list of local government officers of the local governmental entity and shall make that list available to the public and any vendor who may be required to file a conflict of interest questionnaire under Local Government Code 176.006 [see CFE]; and
  2. Maintain the statements and questionnaires that are required to be filed under Local Government Code Chapter 176 [see BBFA, CFE, and DBD] in accordance with the local governmental entity's records retention schedule.

Records Administrator

Trinity Valley Community College

CIA(LEGAL)-LJC

UPDATE 39

DATE ISSUED: 7/30/2020