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Records Management for Election Records Texas State Library and Archives Commission https://www.tsl.state.tx.us/ Presented by Michael Reagor, Government.

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Presentation on theme: "Records Management for Election Records Texas State Library and Archives Commission https://www.tsl.state.tx.us/ Presented by Michael Reagor, Government."— Presentation transcript:

1 Records Management for Election Records Texas State Library and Archives Commission https://www.tsl.state.tx.us/ Presented by Michael Reagor, Government Information Analyst

2 Agenda What is Records Management Records Retention (“How long do we have to keep this?”) Records Disposition Managing Electronic Records Resources

3 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 , disaster preparedness and recovery, filing systems, preservation Rule Development 1,500 records series for local governments Standards for managing e-records, microfilm, inventory

4 WHAT IS RECORDS MANAGEMENT? (and why bother?)

5 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.”

6 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 )

7 Local Government Records Act  Effective & economic government operations  Preserve records of permanent value  Establish standards and procedures Local Government Code, Chapters

8 RECORDS RETENTION

9 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

10 “Non-Records”  Convenience copies: “Extra identical copies of documents created only for convenience of reference or research” (Local Government Code § (8)(A))  Copies of documents furnished to the public as part of a Public Information Act request

11 “Non-Records”  Blank forms/stocks of publications  Library or museum materials  Alternative Dispute Resolution working files

12 Designating a “Record Copy” Which copy of a record needs to be kept for the full retention period?

13 Definitions Retention Period: The minimum amount of time you are legally required to keep a record

14 Definitions Record Series: A group of records, all with the same function, regardless of format Examples of record series: Case papers Correspondence: sent, received, paper letter sent or received, form letter, internal memo… Employment applications: application form, letters of reference, writing samples, transcripts…

15 How to read a record series Record Number Record TitleRecord Description Retention Period Remarks EL aCAMPAIGN 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 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.

16 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.

17 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

18 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 GR – General Records

19 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

20 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

21 RECORDS DISPOSITION

22 Disposition Benefits Creates physical space Reduces costs: Physical storage Network server storage Protection E-Discovery Speeds up retrieval Provides legal protection

23 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

24 Types of Disposition Archival TransferDestruction

25 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 § : Alienation of Records

26 Destruction: Paper Records Confidential records Shredding Pulping Burning Open records Recycling Landfills

27 Destruction: Microforms Microfilm Entire rolls 5/8 in. Cross-Cut Microfiche Shred twice 5/8 in. Cross-Cut 3/8 in. Cross-Cut

28 Disposition Process Internal approval Disposition log

29 Internal Approval RMO should verify eligibility for destruction against retention schedule Might be signed by: Department head/ program manager Financial officer Legal counsel

30 Records Disposition Log Records series title Dates of records disposed Date of disposal Volume of records disposed Disposal method Approval signatures

31

32

33 Destruction Holds It is illegal to destroy any record that is involved in ongoing: Litigation Claim Negotiation Public Information Request Audit

34 RECORDS WITH SPECIAL REQUIREMENTS

35 Records with Special Requirements Confidential Permanent Microfilm Electronic Essential

36 Confidential Records Secure environment Follow security procedures Office of the Attorney General https://www.oag.state.tx.us/open/index.shtml (877) OPEN-TEX ( )

37 Permanent Records H.B took effect September 1, Text: 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 Rules go into effect April 2015.

38 Permanent Records Storage Webinar: Importance of proper storage Storage standards Minimum conditions Optional enhanced conditions Funding sources

39 Microfilm Records Bulletin A: Microfilming Standards and Procedures Temperature not over 70 degrees Constant 35% humidity Retain masters offsite

40 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

41 Electronic Records Bulletin B: Electronic Records Standards and Procedures E-records must be available, accessible, usable for full retention period Store backups offsite First computer “bug,” Harvard University,1947

42 RESOURCES

43 I want more training! Archived Webinars: Records Retention 101 Managing Storage Rules Long-term preservation Imaging projects Shared drive management Disaster recovery/salvage And others… https://www.tsl.texas.gov/slrm/webinars/index.html

44 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 you new posts

45 I want to find my analyst! Find the analyst assigned to your county: https://www.tsl.texas.gov/slrm/local/countylist.html https://www.tsl.texas.gov/slrm/local/countylist.html

46 QUESTIONS? Michael Reagor Government Information Analyst State and Local Records Management Texas State Library and Archives Commission (512) https://www.tsl.texas.gov/slrm


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