records management for election records texas state library and archives commission presented by...
TRANSCRIPT
Records Managementfor
Election Records
Texas State Library and Archives Commissionhttps://www.tsl.state.tx.us/
Presented by Michael Reagor, Government Information Analyst
Agenda• What is Records Management• Records Retention
(“How long do we have to keep this?”)
• Records Disposition• Managing Electronic Records• Resources
About Us• Records Management Assistance unit
• 6 Government Information Analysts serving:• 150 state agencies• 10,000 local government entities
• Consulting and Training• Retention, destruction, imaging, managing email,
disaster preparedness and recovery, filing systems, preservation
• Rule Development• 1,500 records series for local governments• Standards for managing e-records, microfilm, inventory
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.”
Why do we have RM laws/rules?
Public Information Act
(Government Code Chapter 552)
Open Meetings Act (Government Code Chapter
551)
Local Government Records Act
(Local Government Code Chapters 201-205)
Local Government Records Act Effective & economic government operations Preserve records of permanent value Establish standards and procedures
Local Government Code, Chapters 201-205
RECORDS RETENTION
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 §201.003(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
Designating a “Record Copy”
Which copy of a record needs to be kept for the full retention period?
Definitions• Retention Period: The minimum
amount of time you are legally required to keep a record
Definitions• Record Series: A group of records, all
with the same function, regardless of format
• Examples of record series:• Case papers• Correspondence: e-mail sent, e-mail received, paper
letter sent or received, form letter, internal memo…• Employment applications: application form, letters of
reference, writing samples, transcripts…
How to read a record series
Record Number
Record Title Record Description
Retention Period
Remarks
EL3125-01a
CAMPAIGN FINANCE REPORTS AND FILINGS
Campaign Contribution and expenditure statements (including annual reports of unexpended contributions)
Date of filing + 2 years.
By law – Election Code, Section 254.040.
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.
Retention Codes• AV – As long as Administratively Valuable
• The record’s immediate purpose has been served. • You may destroy it whenever it ceases to have
value to your office.
• FE – Fiscal Year End• The last day of the fiscal year.
• US – Until Superseded• The record is replaced by an updated version.
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
• CC – County Clerk• DC – District Clerk• EL – Elections/Voter• HR – Health• JC – Junior Colleges• LC – Justice/Municipal
Courts
• PS – Public Safety• PW – Public Works• SD – Schools• TX – Taxation• UT – Utility Services
http://bitly.com/localschedules
GR – General Records
Local Schedule GR• Retention Schedule for Records
Common to All Local Governments• Part 1: Administrative Records • Part 2: Financial Records• Part 3: Personnel and Payroll Records• Part 4: Support Services Records• Part 5: Information Technology Records
Local Schedule EL
• Retention Schedule for Elections and Voter Registration• Part 1: Election Records• Part 2: Records of Candidacy and
Campaign Finance• Part 3: Voter Registration Records
RECORDS DISPOSITION
Disposition Benefits• Creates physical space• Reduces costs:
• Physical storage• Network server storage• Protection • E-Discovery
• Speeds up retrieval• Provides legal
protection
When To Do Disposition• Maintain regular
schedule• Fiscal Year End• Calendar Year End• Slow time of year
• Do not wait until you run out of room
Types of DispositionArchival Transfer Destruction
Transfer to Archives• Change of ownership
• To approved receivers, after retention has been met and with RMO’s approval:• public institution of higher
education;• public museum;• public library; or • other public entity
• Local Government Code §202.004: Alienation of Records
Destruction: Paper Records• Confidential records
• Shredding• Pulping• Burning
• Open records• Recycling• Landfills
Destruction: Microforms• Microfilm
• Entire rolls• 5/8 in. Cross-Cut
• Microfiche• Shred twice• 5/8 in. Cross-Cut• 3/8 in. Cross-Cut
Disposition Process• Internal approval• Disposition log
Internal Approval• RMO should verify eligibility for
destruction against retention schedule
• Might be signed by:• Department head/ program manager• Financial officer• Legal counsel
Records Disposition Log• Records series title• Dates of records disposed• Date of disposal• Volume of records disposed• Disposal method• Approval signatures
Destruction HoldsIt is illegal to destroy any
record that is involved in ongoing:
• Litigation• Claim• Negotiation• Public Information Request• Audit
RECORDS WITH SPECIAL REQUIREMENTS
Records with Special Requirements
• Confidential• Permanent• Microfilm• Electronic• Essential
Confidential Records• Secure environment• Follow security procedures
• Office of the Attorney General• https://www.oag.state.tx.us/open/index.s
html
• (877) OPEN-TEX (673-6839)• [email protected]
Permanent Records• H.B. 1559 took effect September
1, 2011. Text: http://bit.ly/hb1559
• TSLAC shall adopt rules for storage of permanent and historical court records.
• Bulletin F (created in cooperation with Local Government Records Storage Task Force) published April 2013. http://bit.ly/bulletinf
• Rules go into effect April 2015.
Permanent Records• Storage
Webinar: • Importance of
proper storage• Storage standards
• Minimum conditions
• Optional enhanced conditions
• Funding sourceshttp://bit.ly/storagestandards
Microfilm Records • Bulletin A: Microfilming Standards
and Procedures http://bit.ly/BulletinA• Temperature not over 70 degrees• Constant 35% humidity• Retain masters offsite
Essential Records• Records needed to:
• Respond to an emergency (building maps, contact information)
• Resume or continue operations (payroll, contracts, delegations of authority)
• Protect the health, safety, property, and rights of residents (birth/marriage records, active court proceedings, voter registration records)
• Document the history of communities and families (town charters, photographs)
• Identify and store backups offsite
Electronic Records• Bulletin B:
Electronic Records Standards and Procedures http://bit.ly/bulletinb
• E-records must be available, accessible, usable for full retention period
• Store backups offsite
First computer “bug,” Harvard University,1947
RESOURCES
I want more training!• Archived Webinars:
• Records Retention 101• Managing email• Storage Rules• Long-term preservation• Imaging projects• Shared drive management• Disaster recovery/salvage• And others…
https://www.tsl.texas.gov/slrm/webinars/index.html
I want to stay informed!• Read our blog, The Texas
Record• Retention rule
updates• New training
classes available• Analyst tips
https://www.tsl.texas.gov/slrm/blog/ Subscribe – we’ll email you new posts
I want to find my analyst!• Find the analyst assigned to your county:
https://www.tsl.texas.gov/slrm/local/countylist.html
QUESTIONS?
Michael ReagorGovernment Information AnalystState and Local Records ManagementTexas State Library and Archives Commission(512) 463-5494 [email protected]
https://www.tsl.texas.gov/slrm