CIA(LEGAL) - EQUIPMENT AND SUPPLIES MANAGEMENT: RECORDS MANAGEMENT
Note: For record retention requirements under specific statutes or rules, see the applicable policy code.
Local Government Record
A "local government record" means any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium, or other information-recording medium, regardless of physical form or characteristic and regardless of whether public access to it is open or restricted under the laws of the state, created or received by a local government, including a college district, or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business. The term does not include:
- Extra identical copies of documents created only for convenience of reference or research by officers or employees of the local government.
- 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.
- Blank forms.
- Stocks of publications.
- Library and museum materials acquired solely for the purposes of reference or display.
- 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.
- 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.
Local Gov't Code 201.003(8)
The governing body of a local government, including a college district, shall:
- Establish, promote, and support an active and continuing program for the efficient and economical management of all local government records;
- Cause policies and procedures to be developed for the administration of the program under the direction of the records management officer;
- 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;
- Facilitate the identification and preservation of local government records that are of permanent value;
- Facilitate the identification and protection of essential local government records; and
- Cooperate with the State Library and Archives Commission in its conduct of statewide records management surveys.
Local Gov't Code 203.021
Custodians of Records
Custodians of records in each local government, including each college district, shall:
- 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;
- Adequately document the transaction of government business and the services, programs, and duties for which the custodians and their staff are responsible; and
- 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.
State law relating to the duties, other responsibilities, or recordkeeping requirements of a custodian of local government records do not exempt the custodian or the records in the custodian's care from the application of Subtitle C and rules adopted under it and may not be used by the custodian as a basis for refusal to participate in the records management program of the local government whose establishment is required by Local Government Code Chapter 203.
Local Gov't Code 203.022
Records Management Officer
The governing body of each local government shall designate a records management officer by:
- Designating an individual; or
- Designating an office or position, the holder of which shall be the records management officer.
The name, office, or position of the records management officer shall be entered on the minutes of the governing body. The name or the name and office or position of the records management officer shall be filed by the records management officer with the director and librarian within 30 days after the date of the designation.
The designation of a new individual or a new office or position shall be entered on the minutes and reported by the records management officer to the director and librarian in the same manner as the original designation. If the order designating a records management officer designates an office or position rather than an individual, a new holder of that office or position must file the holder's name with the director and librarian within 30 days after the date of assuming the office or position.
Local Gov't Code 203.025(a)–(e)
The records management officer in each local government shall:
- Assist in establishing and developing policies and procedures for the records management program for the local government.
- Administer the records management program and provide assistance to custodians for the purposes of reducing costs and improving the efficiency of recordkeeping.
- 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.
- In cooperation with custodians, identify and take adequate steps to preserve local government records of permanent value.
- In cooperation with custodians, identify and take adequate steps to protect essential local government records.
- 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.
- Disseminate to the governing body and custodians information concerning state laws, administrative rules, and policies of the government relating to local government records.
- 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.
Local Gov't Code 203.023
Duties of Local Governments
Each local government shall:
- 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;
- 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;
- 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
- 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
- Establishes a retention period for each local government record as required by Local Government Code Chapter 203, Subchapter C; and
- 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.
Gov't Code 441.169
On or before January 4, 1999, the records management officer shall:
- Prepare a records control schedule listing the following records and establishing a retention period for each as provided by Local Government Code 203.042:
- All records created or received by the local government or elective county office;
- 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
- 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
- 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.
At the discretion of the records management officer the records control schedule may also list and provide retention periods for material that is excluded from the definition of a local government record by Local Government Code 201.003(8) and exempted records described by Local Government Code 202.001(b) if in the officer's opinion the inclusion of the material or records is necessary to ensure the periodic destruction of the material or records in the interest of efficient records management.
The records management officer shall review the records control schedules of the local government or elective county office and prepare amendments to the schedules as needed to reflect new records created or received by the government or office or revisions to retention periods established in a records retention schedule issued by the commission. The records management officer shall file with the director and librarian a written certification of compliance that the local government or the elective county office has amended the records control schedules to comply with the minimum requirements established on records retention schedules issued by the commission.
The governing body shall require in the ordinance or order establishing the records management program the review or approval of a records control schedule or amended schedule by the officers of the local government as it considers necessary. The records control schedule or amended schedule for an elective county office need only be approved by the elected official in charge of that office.
Records control schedules may be prepared on an office-by-office basis or on a department-by-department basis within each office.
A local government that intends to retain all records permanently or that destroys only those records for which no retention periods have been established in a records retention schedule established under Government Code 441.158 is not required to prepare a records control schedule.
Local Gov't Code 203.041
The records retention schedules adopted in 1 Administrative Code 7.125 shall be considered minimum requirements and shall in no way affect the authority of the governing bodies of local governments to establish longer periods of time for which records of their government are to be retained. The applicable records retention schedules adopted by the State Library and Archives Commission include:
- Local Schedule GR—Records Common to all Governments;
- Local Schedule EL—Records of Elections and Voter Registration;
- Local Schedule TX—Records of Property Taxation; and
- Local Schedule JC—Records for Public Junior Colleges.
13 TAC 7.123(b), .125
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
A local government record may be destroyed if:
- 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;
- The record appears on a list of obsolete records as provided by Local Government Code 203.044; or
- 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.
The following records may be destroyed without meeting the above conditions:
- Records the destruction or obliteration of which is directed by an expunction order issued by a court pursuant to state law.
- 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.
Local Gov't Code 202.001
A local government record the subject matter of which is known by the custodian to be in litigation may not be destroyed until the litigation is settled. A local government record subject to a request under Government Code Chapter 552 may not be destroyed until the request is resolved. Local Gov't Code 202.002
Manner of Destruction
A local government record may be destroyed by burning, shredding, pulping, or burial in a landfill or by sale or donation for recycling purposes except that records, including extra identical copies of a local government record, to which public access is restricted under Government Code Chapter 552 or other state law may be destroyed only by burning, pulping, or shredding.
A local government that sells or donates records for recycling purposes shall establish procedures for ensuring that the records are rendered unrecognizable as local government records by the recycler.
The director and librarian may approve other methods of destruction that render the records unrecognizable as local government records.
Local Gov't Code 202.003, .006
Alienation of Records
A local government record may be sold or donated, loaned, transferred, or otherwise passed out of the custody of a local government to any public institution of higher education, public museum, public library, or other public entity with the approval of the local government's records management officer and after the expiration of the record's retention period under the local government's records control schedule.
A local government record may not be sold or donated (except for the purposes of recycling), loaned, transferred, or otherwise passed out of the custody of a local government to any private college or university, private museum or library, private organization of any type, or an individual, except with the consent of the director and librarian and after the expiration of its retention period under the local government's records control schedule.
A records management officer or custodian may temporarily transfer a local government record to a person for the purposes of microfilming, duplication, conversion to electronic media, restoration, or similar records management and preservation procedures.
Local Gov't Code 202.004
Right of Recovery
In accordance with Local Government Code 202.005, the governing body may demand and receive from any person any local government record in private possession created or received by the local government the removal of which was not authorized by law. Local Gov't Code 202.005(a)
Preservation of Records
A governmental body, including a college district board of trustees, may determine a time for which information that is not currently in use will be preserved, subject to any applicable rule or law governing the destruction and other disposition of local government records or public information. Gov't Code 552.004(a)
Any local government record may be maintained on microfilm in addition to or instead of paper or other media, subject to the requirements of Local Government Code Chapter 204 and rules adopted under it by the State Library and Archives Commission. Local Gov't Code 204.002–.003
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 Local Government Code Chapter 205 and rules adopted under it by the State Library and Archives Commission. Local Gov't Code 205.002–.003
Destruction or Alienation of Record
An officer or employee of a local government commits an offense if the officer or employee knowingly or intentionally violates this subtitle or rules adopted under it by destroying or alienating a local government record in contravention of Local Government Code Title 6, Subtitle C or by intentionally failing to deliver records to a successor in office as provided by Local Government Code 201.006(a). Local Gov't Code 202.008
Federal Investigations and Bankruptcy
Whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under U.S.C. Title 11 (bankruptcy), or in relation to or contemplation of any such matter or case, shall be fined, imprisoned not more than 20 years, or both. 18 U.S.C. 1519
Chapter 176 Disclosures
A records administrator shall:
- 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
- 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.
Local Gov't Code 176.0065
"Records administrator" means the director, county clerk, municipal secretary, superintendent, or other person responsible for maintaining the records of the local governmental entity or another person designated by the local governmental entity to maintain statements and questionnaires filed under Local Government Code Chapter 176 and perform related functions. Local Gov't Code 176.001(5)