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HomeMy WebLinkAboutORD 1955 Updating the Records Management Program and PlanCITY OF WEST UNIVERSITY PLACE ORDINANCE NUMBER 1955 AN ORDINANCE OF THE CITY OF WEST UNIVERSITY PLACE, TEXAS, AMENDING ARTICLE IV, CHAPTER 2 OF THE CODE OF ORDINANCES, PERTAINING TO RECORDS MANAGEMENT; UPDATING THE RECORDS MANAGEMENT PROGRAM; ADOPTING A REVISED RECORDS MANAGEMENT PLAN; REPEALING ORDINANCE NUMBER 1887; AND CONTAINING FINDINGS AND PROVISIONS RELATING TO THE SUBJECT WHEREAS, Title 6, Subtitle C of the Texas Local Government Code (known as the Local Government Records Act) provides that a municipality must establish by ordinance an active and continuing records management program to be administered by a Records Management Officer; and WHEREAS, the City Council of the City of West University Place, Texas ("City Council") investigated and determined that the City's existing records management program needed to be reviewed and revised to apply procedural changes that correspond with today's technology and to comply with changes made to the Records Retention Schedules by the Texas State Library and Archives Commission (Commission); and WHEREAS, City staff has revised the City's records management plan (Exhibit "A") which prescribes policies and procedures consistent with the Local Government Records Act; and WHEREAS, the City Council has investigated and determined that Ordinance Number 1887 should be repealed and the revised records management plan be adopted. NOW THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF WEST UNIVERSITY PLACE, TEXAS: SECTION 1. The findings set forth above are incorporated into the body of this Ordinance as if fully set forth herein. SECTION 2. Repeal of Ordinance Number 1887. Ordinance Number 1887 is repealed upon the effective date of this Ordinance. Such repeal shall not affect the applicability and/or enforceability of the City's records management program in effect before the effective date of this Ordinance. This Ordinance shall apply prospectively from the effective date hereof. SECTION 3. Article VI of Chapter 2 (Sections 2-193 through 2-225) of the Code of Ordinances of the City of West University Place, Texas, is hereby amended to read in its entirety as follows: ARTICLE VI. RECORDS MANAGEMENT Section 2-193. Definition of City Records. A. All documents, papers, letters, books, maps, photographs, sound or video recordings, microfilm, magnetic tape, electronic media, or other information recording media, 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 the City or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business, except as provided below, are hereby declared to be the records of the City and Ordinance Number 1955 shall be created maintained and disposed of in accordance with the provisions of this Article or as defined in the Texas State Library's Retention Schedule. . B. The term "records" does not include: 1. extra identical copies of documents created only for convenience of reference or research by officers or employees of the City; 2. notes, journals, diaries, and similar documents created by an officer or employee of the City for the officer's or employee's personal convenience; 3. blank forms; 4. stocks of publications; 5. library and museum materials acquired solely for purposes of reference or display; 6. copies of documents in any media furnished to members of the public to which they are entitled under Chapter 424, Acts of the 63rd Legislature, Regular Session, 1973 (Article 6252-17a, Vernon's Texas Civil Statures), or other State law; or 7. any other items heretofore or hereafter excepted from the definition of "records" or the scope of the Local Government Records Act under or pursuant to State law. Section 2- 194. Additional Definitions. A. "Department Director" means the officer who by ordinance, order or administrative policy is in charge of an office of the City that creates or receives records. B. "Vital record" means any record of the City necessary to the resumption or continuation of operations of the City in an emergency or disaster, to the re-creation of the legal and financial status of the City, or the protection and fulfillment of obligations to the people of the State. C. "Permanent record" means any record of the City for which the retention period on a records control schedule is given as permanent. D. "Records control schedule" means a document prepared by or under the authority of the Records Management Officer listing the records maintained by the City, their retention periods, and other records disposition information that the records management program may require. E. "Records management" means 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. The term includes the development of records control schedules, the management of filing and information retrieval systems, the protection of vital and permanent records, the economical and space- effective storage of inactive records, control over the creation and distribution of forms, reports, and correspondence, and the management of micrographics and electronic and other records storage systems. Page 2 Ordinance Number 1955 F. "Records liaison officers" mean the persons so designated in accordance with this Article. G. "Records management committee" means established as such in this Article. H. "Records management officer" means the person so designated in this Article. Records management plan" means the plan so developed under this Article. J. "Retention period" means the minimum time that must pass after the creation, recording, or receipt of a record, or the fulfillment of certain actions associated with a record, before it is eligible for destruction. Section 2-195. City Records Declared Public Property. All City records as defined in this Article are hereby declared to be the property of the City. No City official or employee has, by virtue of his or her position, any personal or property right to such records even though he or she may have developed or compiled them. The unauthorized destruction, removal from files, or use of such records is prohibited. Section 2-196. Policy. It is hereby declared to be the policy of the City to provide for effective, efficient, and economical, controls over the creation, distribution, organization, maintenance, use, and disposition of all the City's records through a comprehensive system of integrated procedures for the management of records from their creation to their ultimate disposition, consistent with the requirement of the Texas Local Government Records Act and accepted records management practice. Section 2- 197. Designation of Records Management Officer. The City Secretary, and the successive holders of said office, shall serve as Records Management Officer (RMO) for the City. As provided by State law, each successive holder of the office shall file his or her name with the director and librarian of the Texas State Library within thirty (30) days of the initial designation or of taking up the office, as applicable. Section 2-198. Records Management Committee; Duties. A Records Management Committee consisting of the RMO, the City Manager, the Director of Finance and Administration, the Director of Public Works, the Fire Chief; the Chief of Police, the Director of Information Technology, and the Director of Human Resources, is hereby established. The committee shall: A. Assist the RMO in the development of policies and procedures governing the records management program; B. Review the performance of the program on a regular basis and propose changes and improvements, if needed; C. Review and approve records control schedules submitted by the RMO; D. Give final approval to the destruction of departmental records in accordance with approved records control schedules; and Page 3 Ordinance Number 1955 E. Actively support and promote the records management program throughout the City. Section 2-199. Records Management Plan A. The City shall maintain a Records Management Plan that shall contain policies and procedures designed to protect essential and historical records in a legally compliant and cost-effective manner. The plan shall be reviewed every two (2) years to ensure that the City is up-to-date with the latest schedules and technology so that the Records Management Officer can effectively carry out duties prescribed by State law and this Article. B. Once approved by the City Council the records management plan shall be binding on all offices, departments, divisions, programs, commissions, bureaus, boards, committees, or similar entities of the City, and records shall be created, maintained, electronically stored, or disposed of in accordance with the plan. C. State law relating to the duties, other responsibilities, or recordkeeping requirements of a Department Director do not exempt the Department Director or the records in the Department Director's care from the application of this Article and the records management plan adopted under it and may not be used by the Department Director as a basis for refusal to participate in the records management program of the City. Section 2-200. Duties of Records Management Officer. In addition to other duties assigned in this Article, the Records Management Officer (RMO) shall: A. Maintain the records management program and provide assistance to Department Directors and liaisons as needed; B. In cooperation with Department Directors, identify essential records and establish a disaster plan for each City office and department to ensure maximum availability of the records in order to re-establish operations quickly and with minimum disruption and expense; C. Monitor records retention schedules and administrative rules issued by the Texas State Library and Archives Commission to determine if the records management program and the City's records control schedules are in compliance with State regulations; D. Disseminate to the Council and Department Directors information concerning State laws and administrative rules relating to local government records; E. Instruct Records Liaison Officers and other personnel in policies and procedures of the records management plan and their duties in the records management program; F. Direct Records Liaison Officers or other personnel in the conduct of records inventories in preparation for the development of records control schedules as required by State law and this Article; G. Ensure that the maintenance, preservation, electronic storing, destruction, or other disposition of records is carried out in accordance with the policies and procedures of the records management program and the requirements of State law; H. Document the identity of records destroyed under approved records control schedules and those that are stored electronically. Page 4 Ordinance Number 1955 Bring to the attention of the Council non-compliance by Department Directors or other Council personnel with the policies and procedures of the records management program or the Local Government Records Act. Section 2-201 . Duties and Responsibilities of Department Directors. In addition to other duties assigned in this Article, department director Department Directors shall: A. Cooperate with the RMO in carrying out the policies and procedures established in the City for the efficient and economical management of records and in carrying out the requirements of this Article. B. Adequately document the transaction of government business and the services, programs, and duties for which the Department Director and his or her staff are responsible; and C. Maintain the records in his or her care and carry out their preservation, destruction, or other disposition only in accordance with the policies and procedures of the records management program of the City and the requirements of this Article. Section 2-202. Designation of Records Liaison Officers. Designated by the Department Director, each Department Director shall have a representative to serve as its Records Liaison Officer to carry out the departmental responsibilities outlined in this ordinance and the Records Management Plan. Department Director personnel designated as Records Liaison Officers shall be thoroughly familiar with all the records created and maintained by the department and shall have full access to all records of the City maintained by the department. In the event of the resignation, retirement, dismissal, or removal of a person designated as Records Liaison Officer, the Department Director shall promptly designate another person to fill the vacancy and report this change to the RMO. A Department Director may serve as Records Liaison Officer for his or her department. Section 2-203. Duties and Responsibilities of Records Liaison Officer. In addition to other duties assigned in this Article, Records Liaison Officers shall: A. Maintain inventory of the records of the department; B. In cooperation with the Records Management Officer (RMO) maintain the policies and procedures of the records management program in their departments; and C, Disseminate information to department staff concerning the records management program. Section 2-204. Records Control Schedules. A. The City of West University Place shall adopt the schedules of the Texas State Library and Archives Commission (Commission). Should it be necessary, the RMO, in cooperation with Department Directors and Records Liaison Officers, shall prepare records control schedules on a department by department basis listing all records created or received by the department and the retention period for each record. Records control schedules shall also contain such other information regarding the disposition of City records as the records management plan may require. Page 5 Ordinance Number 1955 B. Each records control schedule shall be monitored and amended as needed by the RMO on a regular basis to ensure that it is in compliance with records retention schedules issued by the State and that it continues to reflect the record keeping procedures and needs of the department and the records management program of the City. C. Before a records control schedule is amended within a department, a request must be submitted to the RMO on the State form. Once received by the Records Management Officer, that amendment will be submitted to the Texas State Library and Archives for approval. Once approval has been received, the record series will be added to the department's schedule. D. The State schedules adopted by the City are incorporated herein by reference as if fully set forth at length. Section 2-205. Records Control Schedules; Destruction of Records Under Schedule. A. The City has submitted and been approved to follow the State retention schedules by the Director of the Texas State Library and Archives Commission. These schedules shall be maintained by Department Directors and Records Liaison Officers according to the policies and procedures of the records management plan. B. A record whose retention period has expired on a records control schedule shall be destroyed unless a public information request is pending on the record, the subject matter of the record is pertinent to a pending law suit, or the Department Director requests in writing to the Records Management Committee that the record be retained for an additional period of time. If the record series will be kept for a longer period of time, the RMO will follow the procedures in accordance with Section 2-204 of this Article. C. Prior to the destruction of a record under an approved records control schedule, authorization for the destruction must be obtained by the RMO and the Department Director. D. Records may also be destroyed as authorized by Chapter 204 of the Texas Local Government Code (relating to microfilming) or by other applicable State law. Section 2-206. Destruction of Unscheduled Records. A record that has not yet been listed on an approved records control schedule may be destroyed if its destruction has been approved in the same manner as a record destroyed under an approved schedule and the RMO has submitted to and received back from the director and librarian of the Commission an approved destruction authorization request. Section 2-207. Off-site Records Facility. An offsite records retention facility, developed pursuant to the plan required by this Article, shall be under the direct control and supervision of the RMO. Policies and procedures regulating the operations and use of the records facility shall be contained in the records management plan developed under this Article. Section 2-208. Electronic Records Storage. Page 6 Ordinance Number 1955 Electronic storage of records is under the direct supervision of the RMO. The records management plan establishes policies and procedures for the electronic storage of City records, including policies to ensure that all electronic storage is done in accordance with standards and procedures for the electronic storage of local government records established in rules of the Commission. The plan also establishes criteria for determining the eligibility of records for electronic storage, and protocols for ensuring that an electronic storage program that is exempted from the centralized operations is, nevertheless, subject to periodic review by the RMO as to cost-effectiveness, administrative efficiency, and compliance with Commission rules. SECTION 4. This ordinance shall take effect upon its passage and approval and shall coincide with the Records Management Plan. Existing records retention schedules shall continue to be applicable until they are replaced by new schedules adopted under the amended Article adopted by this ordinance. SECTION 5. All ordinances and parts of ordinances in conflict herewith are hereby repealed to the extent of the conflict only. SECTION 6. If any word, phrase, clause, sentence, paragraph, section or other part of this ordinance or the application thereof to any person or circumstance, shall ever be held to be invalid or unconstitutional by any court of competent jurisdiction, the remainder of this ordinance and the application of such word, phrase, clause, sentence, paragraph, section or other part of this ordinance to any other persons or circumstances shall not be affected thereby. SECTION 7. The City Council officially finds, determines and declares that a sufficient written notice of the date, hour, place and subject of each meeting at which this ordinance was discussed, considered or acted upon was given in the manner required by the Open Meetings Act, Chapter 551, Texas Government Code, as amended, and that each such meeting has been open to the public as required by law at all times during such discussion, consideration and action. The City Council ratifies, approves and confirms such notices and the contents and posting thereof. PASSED AND APPROVED on first reading this 23rd day of January , 2012. D AND APPROVED on second reading this 91h day of February , 2012. Signed: ca a Leqfl- ~auv ;16A8 a A. Lenz, City Secretary Bob Fry, Mayor Recommended: Approved as to Form: Michael Ross, City Manager Ian Petrov, City Att rney Page 7 Exhibit "A" to Ordinance 1955 City of West University Place RECORDS MANAGEMENT PLAN Approved and Adopted by City Council February 13, 2012 Ordinance No. 1955 Orf¢inaUy adopted by Ordinance No. 1887 on February 23, 2009 Part I: Introduction Records Management Manual TABLE OF CONTENTS 1. INTRODUCTION Records Management 4 ➢ What is a Records Management Program? ➢ Why does the City of West University Place need a Records Management Program? ➢ Where does Records Management fall in the organization? Statement of Goals 5 Duties of Records Manager and Records Liaisons 7 If. RETENTION/DISPOSITION SCHEDULES Retention/Disposition Schedules 9 III. RECORDS CENTER West University Place Municipal Records Center 10 IV. RECORDS DISPOSITION Records Disposition 11 ➢ Purging of Files ➢ Destruction of Records ➢ Litigation Support Policy V. RECORDS RETRIEVAL Records Retrieval 13 ➢ Procedures for Requesting Records ➢ Check-out and Follow-up VI. ELECTRONIC SCANNING OF RECORDS Electronic Storage 14 VII. VITAL RECORDS PROGRAM Vital Records Program 15 ➢ Definition ➢ Identification Page 2 of 21 VIII. HISTORICAL RECORDS Guidelines: Appraising the Historical Value of Modern Records 17 ➢ Organizational Documents ➢ Procedural Documents ➢ Reportorial Documents IX. E-MAIL RETENTION E-mail Rention Policy 19 ➢ Purpose ➢ Scope ➢ Definitions ➢ Authority ➢ Policy ➢ Guidelines ➢ Procedure ➢ Enforcement EXHIBITS Adopted State Retention Schedules (in Laserfiche) Exhibit A Supplemental Records Control Schedule (form) Exhibit B West U Request to Destroy Records (form) Exhibit C Request for Authority to Destroy Unscheduled Records Exhibit D Page 3 of 21 I. INTRODUCTION Records Management What is a Records Management Program? Records Management is the managing of records from their creation through their destruction. A comprehensive Records Management Program consists of: reports management, mail management, correspondence management, files management, records protection program, e-mail management, electronic files management, and records disposition. Why does the City of West University Place need a Records Management Program? Every original record created within a municipality in the State of Texas belongs to the State and falls under State retention codes. Therefore, when an original record governed by State or Federal codes is destroyed, State or Federal property is destroyed. If litigation should arise involving destroyed records, the City is liable for the destruction of those records. This could result in the loss of litigation or a jail sentence (in severe cases). When cities have an official Records Management Program that has been registered with the State, they are protected from further repercussions once they have submitted proof that the records were destroyed in the ordinary course of business, under an approved records retention program, prior to litigation. The City of West University Place has been approved by the State of Texas for State retention schedules. Where does Records Management fall in the organization? The City Secretary also serves as City's Records Management Officer (RMO) and is answerable to the City Manager. Page 4 of 21 Statement of Goals To maintain a city-wide Records Management Program that will create a more orderly approach of managing the volume of municipal records throughout the City. Goals: 1. To release space and reduce the need for storage and filing equipment. Continue to reduce the volume of inactive records held in City offices and at the off- site storage facility. Periodically research new and cost-effective measures for electronic records. Evaluate and make recommendations regarding technology. Provide records management consultation to all City departments. Maintain offsite retention facility for inactive records until their destruction. 2. To develop and maintain an efficient retrieval operation for City records. Advise and assist departments in organizing electronic files, using Laserfiche or a subsequent replacement system. 3. To provide for routine disposition of paperwork. Maintain retention schedules for each series of records generated by each department, using the approved State schedules. Periodically audit the retention schedules to determine the need for revision. Promote the destruction of inactive records stored at the Offsite Records Facility. Contact departments annually to encourage electronic storage for easy access to records and to reduce costs associated with storing records at offsite facility. 4. To maintain total security over City records. Periodically review procedures and safety controls for City's records stored electronically and offsite. Electronically store certain designated record types before destruction (less than 10 year retention with authorization) of the hard copy or for use as convenience copies. Electronically file in Laserfiche all Destruction of Records Requests. . Identify and protect vital records. Page 5 of 21 5. To communicate the need for an effective records management program. Keep lines of communication open with all departments. Page 6 of 21 Duties of Records Manager Officer (RMO) 1. Maintain the City of West University Place's Records Management Program. 2. Maintain a West University Place Offsite Records Center through a contracting company and a secure location to store and preserve vital, historical, and inactive records prior to disposition. 3. Maintain retention and disposition schedules based upon State and Federal retention periods for all City records. 4. Consult and assist City departments in all areas of records management, including records maintenance, transfer, storage, retrieval, and disposition. 5. Manage the Laserfiche program for all City of West University Place departments. 6. Maintain all records/logs required by law pertaining to the Records Management program. 7. Keep up-to-date on all aspects of records management and advise City departments of any developments in technology that would benefit their operations. 8. Develop a Disaster Recovery Plan for detailing the procedures to be followed by City employees when recovering records after a disaster. Records Liaisons are the vital link between their department and the RMO. They are responsible for records management activities in their respective departments to help identify and implement specific programs with the guidance of the RMO. Liaisons will be responsible for: 1. Reviewing departmental records at least annually to purge and transfer inactive records to the offsite facility or process for destruction. 2. Preparing records for transfer according to instructions in the Records Manual and arrange for their transfer to the offsite facility. 3. Reviewing records periodically to assure they are properly protected and to assure that vital and historical records are so classified. 4. Notifying the RMO when new categories of records are created, when changes are required to Records Retention Schedules, and when records become obsolete. 5. Acting as liaison person between their department and the RMO to resolve any problems which arise relating to the Records Management Program. 6. Notifying their Director and the RMO of pending litigation to ensure the safe keeping of all records pertaining to the litigation. Page 7 of 21 7. Acquiring knowledge of their department's electronic storage applications in order to communicate desired changes of additional needs to the RMO. 8. Working with the RMO in developing and implementing new records management programs. Page 8 of 21 II. RETENTION/DISPOSITION SCHEDULES Retention schedules (Exhibit A - Go to Laserfiche for copies of the Retention Schedules) are necessary to provide the department with guidelines for purging filed, destroying records and registering with the State of Texas so that regular destruction schedules can be established and maintained without having to get approval for each record's destruction from the RMO, State, and City Council. Before records can be stored or destroyed, the State or Federal code must be assigned to each record category (record series). The assigned code will designate the amount of time the State or Federal government requires that particular record to be retained. If departments wish to retain records beyond the mandatory retention period, it is permitted with the approval of the State, but department liaisons must first contact the RMO to request in writing from the State a revision to the State schedules. Note: All records must be retained for at least the minimum amount of time stipulated by law. When there is reorganization or a program is added to a department's responsibilities, thus creating new categories on an existing retention schedule, the RMO will revise the department's schedule and file the revisions with the State (See Exhibit 8 for a copy of the Supplemental Records Control Schedule form). Retention schedules are a department's working tool for management of their records. Please advise the RMO when changes occur. Page 9 of 21 Ill. RECORDS CENTER The City of West University Place has a records center located offsite, currently managed by SafeSite, Inc. SafeSite Inc., provides a secured, centralized storage area for inactive, hard copy records. Each box of records received in the offsite records center is assigned a bar code identifying its shelf location. This number enables SafeSite to provide quick retrieval of records when requested by departments or the Records Management Officer. SafeSite provides destruction of records once the records have met or exceeded their retention schedules and the RMO has approved the records for destruction. The RMO is the Administrator of the documents stored at SafeSite and the only person who has the ability to make any changes to the users of SafeSiteIs online Records Management process. The RMO should be notified immediately of any changes in staff personnel so that new/former staff can be added or removed from online access to the records. Each department will be responsible for the online process of adding boxes, retrieving boxes, removing boxes permanently, indicating retention dates for the records according to the State's retention schedule, etc. for their records stored at SafeSite. Page 10 of 21 IV. RECORDS DISPOSITION In accordance with State guidelines, the following procedures should be followed when purging files or destroying records of any kind. Purging of Files Departments may purge their files of "non-records" without consulting with the RMO. Records are considered non-records when they are not the original or official copies of a document and do not furnish information on organization, function, policy, procedure, operation, or other activities and are retained in addition to the official copy. Some examples are: • duplicate copies of memos, letters, and obsolete blank forms; • surplus copies of publications, circulars, or bulletins; • notes used as reminders; • telephone messages; • convenience files (working papers); • "tickler" files. Copies of records that are classified as "timely" (i.e., City Policies and Procedures or Departmental Policies and Procedures) may be disposed of when superseded by a newer version or voided because they have outlived their usefulness. Destruction of Records Before destroying office records: Check document to determine whether it can be destroyed or needs to be scanned and kept until its retention period has been met. If you do not know a document's retention period, refer to your department's retention schedule or contact the RMO for assistance. • Inventory each box of records to be destroyed on a records destruction form and remove from the department inventory list. Department liaisons should periodically (at least once a year) review their records. When the retention period expires, making records eligible for destruction, the appropriate department liaison will list all record series on a destruction form (Exhibit C) and submit it to the department director for review. If the Department Director concurs, s/he will sign the destruction list form and submit it to the RMO. The RMO will review the records to determine the eligibility of the records for destruction. If approved for destruction, the department liaison will be advised that s/he can begin the destruction process for the approved records. All records that are to be destroyed, if not already at SafeSite, should be processed and sent to SafeSite so that SafeSite can destroy the records (unless the department has the time, personnel, and proper equipment to destroy (shred) them in-house). If the records have to be shipped to SafeSite, follow the process of adding a box online and scheduling pickup as outlined in the previous section. If the records are already at Page 11 of 21 SafeSite, go to the SafeSite website as outlined in a previous section, select the option to "Request permanent removal of records". Once you have submitted the records for destruction print out the transmittal form and submit it to the RMO for approval/signing. Once the RMO has signed, she will return the form to the liaison to fax to SafeSite. Return confirmation of fax with original transmittal form to RMO. If you receive a destruction certificate from SafeSite, after the records have been destroyed, forward the certificate to the RMO. The RMO will retain electronic confirmations from SafeSite in Laserfiche. The manner of destruction will be determined by the RMO. There are presently four methods of destruction recognized by the State: shredding, burning, recycling or burial in a landfill. Note that records of confidential matters must be destroyed by shredding and then may be recycled. Regarding all other records, at the time of destruction, the RMO will select one of the above methods and note the preferred method on the destruction form. If there are records in your files that you would like to destroy, but there is no set retention period, you will need to request authority to destroy unscheduled records (See Exhibit D - Request for Authority to Destroy Unscheduled Records) and submit to the RMO so that the RMO can submit the form to the TSLAC. Note: Do not destroy unscheduled records until authority from the TSLAC is received. Litigation Support Policy In the event the City or a department is implicated in a Court action, any records which may be involved must be retained and safeguarded from destruction or tampering regardless of the retention period specified in the City's/department's retention/disposition schedule. Page 12 of 21 V. RECORDS RETRIEVAL Procedures for Requesting Records Designated department liaisons are given complete access to records online and are responsible for completing and submitting the online SafeSite form when requesting retrieval of boxes. When boxes are requested and delivered, the requestor must provide any and all original paperwork to the RMO. If desired, the department can retain an electronic copy of the paperwork in their files. Once a request for retrieval from SafeSite has been processed, the records will be brought to the department by carrier. 24-hour service is free of charge, but a fee is associated with emergency delivery. Costs involved with emergency retrieval of records will be incurred by the department or, if records are being retrieved due a request for public information, passed on to the person/entity requesting the information. . As boxes are retrieved from SafeSite, they are to be scanned into Laserfiche and a request for permanent removal of the box is to be sent to SafeSite via the online process. Page 13 of 21 VI. ELECTRONIC SCANNING OF RECORDS The City is utilizing Laserfiche software and each department is responsible for scanning its records into Laserfiche. Request the assistance of the RMO if assistance is needed to set up folder structures. Remember, not all files should be scanned into Laserfiche. It should be carefully considered when deciding to scan records requiring retention of 10 years or less, especially if the file has been inactive for some time. Note: Records with a retention period of 10 years or more must be retained in original paper form. All liaisons and/or those persons responsible for scanning are to have an "imaged" or "scanned" stamp to stamp all records after they have been scanned into Laserfiche. The records should then be placed in a file drawer or storage box until the documents are ready to be processed for storage and/or destruction. If storing in boxes, be sure and file documents with the same retention period together to avoid having to sort through them later. If for some reason you have a box with different retention periods, be sure that the date of destruction coincides with the record with the longest required retention period. Page 14 of 21 VII. VITAL RECORDS PROGRAM Definition Vital Records are defined as those: • irreplaceable records for which reproductions do not have the same value as the originals; • records needed to recover money promptly; • records needed to avoid delay in restoration of services; and • records that give direct evidence of legal status, ownership, accounts receivable and incurred obligations. In the City of West University Place vital records, regardless of medium, are those records essential to the organization in order to continue with its business-crucial functions both during and after a disaster. Each department is responsible for identifying its vital records and for ensuring that those records are safe and can be immediately accessed if the need arises both during and after a disaster. Identification Identification of vital records is difficult since most departments have records that are vital to them but not necessarily to the City as a whole. Ask the following questions to determine if records are vital: 1. Will these records assure the City of collecting the income due it? (Ex: accounts receivable records, contracts) 2. Will these records protect the City against possible fraud or overpayment of claims against it? (Ex. accounts payable records, contracts, pension benefit records) 3. Do these records provide adequate information about City assets? (Ex. fixed assets inventories, real estate deeds and/or maps) 4. Are these essential records (records that the City must have to keep operating) or important records (records that would enable the City to function more easily if it had them)? (Ex. general ledgers, journal entries) If doubt still exists, contact the RMO for a determination. Page 15 of 21 Protection Each Department is responsible for the protection of records vital to the City or department within their care. Page 16 of 21 VIII. HISTORICAL RECORDS Guidelines for Appraising the Historical Value of Modern Records There are three types of documents that need to be retained permanently for historical purposes and should be considered for electronic storage. They are: (a) Organizational, (b) Procedural, and (c) Reportorial. Examples of these documents are listed below. Organizational Documents 1. Executive orders (relating to the creation, organization, and reorganization of the City- (examples: Ordinances, Resolutions, and Annexations). 2. Budgets and budget planning records. 3. Interpretations, opinions, and memoranda of law (including legal opinions from the City Attorney). 4. Organizational and functional charts. 5. Directories. 6. Maps and aerial photographs. 7. Correspondence and memoranda delegating or defining powers of the City Council, Mayor, Boards and Commissions, Task Forces, and City employees. 8. Studies and special reports relating to organization problems. 9. Original signed documents relating to legislation and opinions/directives of the City Council in the process of conducting City business. (examples: Minutes Resolutions and Ordinances) Procedural Documents 1. Procedure manuals. 2. Written directives and instructions governing the operations of the City. (Ex. instructions concerning use of floating holiday). 3. Rules and regulations. (Ek personnel rules). 4. City circulars and publications. 5. Staff studies or special reports relating to methods, techniques, and operations. Page 17 of 21 Reportorial Documents Annual reports. 2. Periodic progress reports if data not included in an annual report. 3. Special reports of accomplishments, awards, recognition, etc. 4. Transcripts of hearings. 5. Minutes of meetings and conferences. Common sense and good judgment are key factors in determining whether or not to keep a record for historical purposes. To determine whether or not a document has historical value, contact the RMO or the City Manager. Page 18 of 21 IX. E-MAIL RETENTION Purpose The City of West University Place maintains an electronic messaging system to provide a quick, accessible, and efficient platform for conducting business. The e-mail system is not intended to be an archive. This section of the Records Management Plan covers general guidelines for purging and retaining correspondence records stored on the City's electronic messaging system. Scope Definitions E-mail Any type of electronic message transmitted through an e-mail system or service, including the message, transmission information, and attachments. E-mail System Any type of messaging system or service that transmits information electronically, either explicitly through an electronic mail protocol or implicitly through services such as electronic bulletin boards, list servers, and newsgroups. Message The content of the body of an e-mail that conveys its purpose. It may be text, graphics, hyperlinks, or any combination of elements. Correspondence Any written communication that, depending on the content of the message, may be complete in itself or an integral part directly linked to another record, such as a cover letter to a contract. Record Any type of recorded information that is created or received by a local government pursuant to law or in the transaction of public business. Non-Record Any type of recorded information that does not meet the definition of "record," as defined by statute or regulation, including duplicate (or reference or convenience) copies of official records. Retention Schedules E-mail records that are not directly linked to a record series listed in the State retention schedules are classified as general correspondence (Record No. 1000-26) and fall under one of three categories: a. Policy and Program Development - Correspondence and internal memoranda pertaining to the formulation, planning, implementation, modification, or redefinition of the policies, programs, services, or projects of a local government. RETENTION: 5 YEARS Page 19 of 21 Administrative - Correspondence and internal memoranda pertaining to or arising from routine administration or operation of the policies, programs, services, or projects of a local government. RETENTION: 2 YEARS c. Routine - Correspondence and internal memoranda such as letters of transmittal, requests for publications, internal meeting notices, and similar routine matters. RETENTION: AV (as long as administratively valuable) Authority: Retention of local government records, in any format, is required by the Local Government Records Act and by City ordinance 1955. Policy: The City of West University Place imposes space and time limits on all City e-mail accounts. All electronic information maintained on City systems remains the property of the City and employees have no right of privacy in the use of the system. Periodic purging of all a-mails is necessary to maintain reliable performance of the e-mail system and manage available space. Users are responsible for determining the classification of their sent and received a-mails and managing and managing them according to the guidelines and procedures of this policy. E-mails left in the messaging system will be automatically purged according to the default time limit set by the City. Guidelines: 1. For acceptable use of e-mails, see the City's E-mail and Acceptable Use Procedures. 2. Any e-mail that is not work-related is considered a non-record. Non-records should be deleted immediately. 3. Work-related a-mails of an administrative nature should be deleted as soon as the issue, task, decision or activity has been concluded or resolved. 4. E-mails left on the messaging system will be automatically deleted after three years. If there is a litigation hold on e-mail records, they must be printed immediately and stored separately. 5. Once an e-mail, its header and all attachments are transferred to an unalterable storage medium outside the e-mail system (paper, CD, Laserfiche), the transferred documents are considered the official record copy. The original e-mail, its header and all attachments are considered non-records and will be deleted after three years, if the user doesn't delete it before that time. 6. The time period of the applicable retention period of the printed e-mail document is determined by the content of the message and attachments. If an attachment requires a different retention from the e-mail message, the longest retention period applies. 7. Internal, work-related electronic conversations (e-mails back and forth) are considered internal memoranda, and all threads of the conversation must be deleted or retained as a whole. Page 20 of 21 8. The City has adopted the retention schedules published by the Texas State Library and Archives Commission and a-mails and their attachments must be retained according to the subject matter of their content. 9. When an employee leaves the City's employment, the Department Head will be given access to said employee's archived e-mail account for 90 days. All a-mails that need to be kept for official record purposes shall be printed and stored. After the 90 days, the e-mail accountle-mail of a former employee will be deleted. 10. The burden of responsibility for determining retention of an e-mail rests on the individual user. a. Internally sent messages - sender (originator) is responsible owner/custodian. b. Externally received messages - the first City employee in the "To:" field is responsible owner/custodian. Procedure: E-mails without attachments - read and determine the value of the content. If it has a retention period move the file to Laserfiche and delete the electronic copy from your e-mails. 2. E-mails with attachments - read and determine the value of the content. If it has a retention period, move the file to Laserfiche and delete the electronic copy from your e-mails. 3. Back-up copies of e-mail will be kept for no more than 14 days. Backups are for system restoration and disaster recovery efforts and are not designed to facilitate retrieval of deleted messages. 4. The Information Technology Division will purge continually to ensure that only three years of a-mails are available on the messaging system. Enforcement: The Information Technology Division is responsible for general enforcement of this section. Each Department Head is responsible for implementation and maintenance of this section in their area. Page 21 of 21 EXHIBITA (RETENTION SCHEDULES) REFER TO LASERFICHE Exhibit B - Page 1 of 2 Texas State Library and Archives Commission State and Local Records Management Division P.O. Box 12927, Austin, TX 78711-2927 Telephone: (512) 463-7610 Supplemental Records Control Schedule Q 203.041 (h), Local Government Code) Name of Government Address City and Zip Telephone As records management officer for the local government or elective county office named. I seek approval of the proposed retention periods for the following records that do not appear on records retention schedules issued by the Texas State Library and Archives Commission. I understand that if the retention periods are approved: • my government or elective county office is obligated by law to keep the records for the retention periods listed before they are destroyed; • the records may be destroyed at the expiration of their retention periods without additional approval from the director and librarian of the Texas State Library; and • if any of the records series subsequently appear on a records retention schedule issued by the commission with a longer minimum retention period, we are obligated by law to follow the longer retention period. Records Series Title and Description Proposed Retention Period Texas State Library and Archives Commissions Use Only Approved: Date: SLR 509 (1/08) Name (printed or typed): Signature: Date: Exhibit B - Page 2 of 2 Records Series Title and Description Proposed Retention Period Instructions for Completing Form SLR 509 Supplemental Records Control Schedule • Two signed copies of this form must be submitted and be typewritten or printed neatly. • Elective county officers should indicate both their county and office (and precinct number, if applicable) under the name of the government. For example, Travis County Commissioner #3. • The form must be signed by the designated records management officer of the local government or elective county office. Declarations not signed by the records management office will be returned for re-submission. • Describe the record series in sufficient detail to permit commission staff to determine if the series does not in fact appear on a records retention schedule issued by the commission and, if not, whether the retention period proposed for the record series is acceptable. • Be certain to include a telephone number, as commission staff mat have to contact you to obtain additional information concerning the record. Exhibit C - 1 of 2 ' City of West University Place Request for Destruction of Records Dept./Division Submitting Request: Date Request Submitted: Box Label Number: Type of Records/Documents: State Schedule & Category Titles: State Category Number: State Destruction Date: Dept. Assigned Destruction Date: The signatures below indicate that these designated records have been approved for destruction by both the Department Liaison and Department Director and both agree that the records have met the minimum retention schedule date set by the State and/or the City. Department Director Date Department Records Liaison Date Do not request destruction until Records Manager Officer has reviewed and approved. Approved: Records Manager Officer Date Suggested Method of Destruction: Note: The Records Manager Officer or his/her designee determines the Destruction Method for records depending on the sensitivity of the records. The Records Manager Officer will retain this original form and provide a copy to the originating department. Exhibit C - Page 2 of 2 City of West University Place Request for Destruction of Paper Records (Records Retained in Laserfiche) Dept./Division Submitting Request: Date Request Submitted: Type of Records/Documents The signatures below indicate that these designated paper records have been approved for destruction by both the Department Liaison and Department Director and both agree that the records have been scanned electronically for permanent retention or until they have met the minimum retention schedule date set by the State and/or the City. Department Director Date Department Records Liaison Date Do not destroy records until Records Manager Officer has reviewed and approved. Approved: Records Manager Officer Date Suggested Method of Destruction: Note: The Records Manager Officer or his/her designee determines the Destruction Method for records depending on the sensitivity of the records. The Records Manager Officer will retain this original form and provide a copy to the originating department. Exhibit D REQUEST FOR AUTHORITY TO DESTROY UNSCHEDULED RECORDS Texas State Library State and Local Records Management SLR 501 (1/08) LOCAL GOVERNMENTS ONLY Refer to instructions on reverse before completing. SLR Control Numbei SUBMITTING OFFICE: Government Office Address City Zip Phone CERTIFICATIONS: Check Appropriate Block) ❑ I hereby certify that the records to be disposed of are correctly listed below, that the destruction of the records is not prohibited by Local Government Code §202.002, and that their disposal will be carried out in accordance with Local Government Code §202.003. ❑ I hereby certify that the records listed below have been microfilmed in strict accordance with Local Government Code, Chapter 204, and the rules adopted under it. The destruction of the original records will be carried out in accordance with Local Government Code §202.003 and the microfilm copy will be maintained as the original records. Name and Title Signature Date RECORD RECORDS SERIES TITLE INCLUSIVE DATES QUANTITY NUMBER (in cubic feet) ❑ The destruction of the records listed above is approved. FOR THE COMMISSION ❑ The destruction of the records listed above is approved subject to Signature the conditions in the attached letter. Title ❑ The destruction of the records listed above is NOT APPROVED Date for reasons state in the attached letter.