Back To Basics: Retention, Disposition, And

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9/28/2015To hide or unhide your Control PanelClick the arrow key at the top of the Grab TabTrouble hearing with headset or computer speakers?Click on the Audio Setup link in the Audio Pane for source selection and/or adjustthe volume settings on your speakers or computerHave a question or comment?Type it in the blank box in the Questions PaneClick “Send”1

9/28/2015 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 preparednessand recovery Rule Development 1,500 record series for local governments Standards for managing e-records,microfilm, inventory “We need more training on recordsretention and basic recordsmanagement” “How to interpret your records retentionschedule” “Process by which retention periodsare determined” “Records retention is very confusing”Survey results, 2012-2013 webinars Understand what a “record” is Understand why retention rules exist, and how theyare developed Know whereto go to find out how long to retainyour records Know whereto go when you don’t know what to do Get your retention questions answered!2

9/28/2015Public Information ActOpen Meetings Act(Government Code Chapter 552)(Government Code Chapter 551)Records Management Laws(Government Code Chapter 441) Local Government Records Act, 1989 Local Government Code, Chapters 201-205 Effective and economic government operations Preserve records of permanent value Establish standards and proceduresRECORDS: WHAT ARETHEY AND WHAT DO IDO WITH THEM?3

9/28/2015 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 (on any device) Convenience copies: “Extra identical copies ofdocuments created only for convenience of reference orresearch” (Local Government Code §201.003(8)(A)) Copies of documents furnished to the public as part of aPublic Information Act request Blank forms/stocks of publications Library or museum materials Alternative Dispute Resolution Working Files FiscalHistoricalAdministrativeLegal4

9/28/2015 Primary Value: the value of the record based onthe purpose for which the record was created. Secondary Value: the value of a record beyondthe purpose for which it was created.Primary:Proving that you can drive legallySecondary:VotingApplying for loanLottery tickets/ R movies / 6th street!2010 census data for Texas - 5

9/28/2015 There are consequences ofkeeping things too long Storage costs (physical &electronic) Time spent on retrieval Responsibility for protectingrecords Legal risk and for not keeping themlong enough. Class A Misdemeanor 4,000 fine Up to 1 year in jail Third Degree Felony 10,000 fine 2 to 10 years in jail Criminal penalties and finesunder the Public Information ActWhich copy of a record needs to bekept for the full retention period?6

9/28/2015RECORDS RETENTIONTERMINOLOGY“Records Retention Schedule”Recorded informationthat documentsgovernment businessThe continuedpossession, use, orcontrol of somethingA plan for carrying outa processRecords Retention Schedule: Adocument that lists all of yourgovernment’s records and how long tokeep them.7

9/28/2015Record Series:A grouping ofrecords that allserve the samefunction and areall kept the samelength of time.2012 Tax le donations ConfirmationMedical billsemail orChildcaretracking #Record Series:A grouping ofrecords that allserve the samefunction and areall kept the samelength of time.Employment ApplicationsApplication forEmploymentformResume/CVCoverletterLetters ofreferenceRetention Period:The minimumamount of timeyou are legallyrequired to keep arecord.Employment ApplicationsApplication forEmploymentformResume/CVCoverletterLetters ofreferenceWritingsample2 years from thecreation (orreceipt) of therecord or thepersonnel actioninvolved,whichever later.Writingsample8

9/28/2015 Schedule CC Schedule DC Schedule EL Schedule GR Schedule HR Schedule JC Schedule LC Schedule PS Schedule PW Schedule SD Schedule TX Schedule UT Records Control Schedule a customized retentionschedule based upon the schedules published byTSLAC. Declaration of Compliance form that states thatan entity will be following TSLAC’s publishedschedules. Federal and state laws, statutes, and regulationsAppraisal of fiscal, administrative, legal, and/orhistorical valueRecommendations from organizations 9

9/28/2015HOW TO READ ASCHEDULEUnique #assigned tothis recordseries byTSLACWhatTSLACcalls thisseriesThe scope of theseries: what kindsof records wouldbe classified hereMinimum amount oftime you have tokeep these recordsStatutes that govern theretention of this recordseries and other notesabout retention addedby tionPeriodRemarksGR1000-03fMINUTESCertified audiotapes ofclosed meetings.2 yearsBy law - GovernmentCode, Section551.104(a).10

9/28/2015 AV – As long as Administratively Valuable The record’s immediate purpose has been served. You may destroy it whenever it ceases to have value toyour government. FE – Fiscal Year End The last day of the fiscal year. US – Until Superseded The record is replaced by an updated version.BEYOND THESCHEDULE you don’t knowwhat to do? Look at the websiteCall an analystCall your RMO11

9/28/2015 RMO Records Management OfficerRM Duties include: Administering the Records ManagementProgram Submitting compliance paperwork toTSLAC Identifying and taking adequate steps topreserve permanent and essential localgovernment records Disseminating information regardingrecords management You are the subject matterexpertHave a conversation with yourRMO Do you have new records? Are you managing emailcorrectly? Are there records that are readyto be destroyed?What happens whenyou call TSLAC? Tc Morgan12

9/28/2015 What is the record used for? Who handles the record? Is this submitted elsewhere? Can you send me a sample?How long do Ikeep insurancepolicies?GR1000-29Insurance Policies4 years afterexpiration ortermination of thepolicyaccording to itsterms.How long do Ikeep employeepersonnel files?Smith, JaneCertificate/License(US or separation of employee 5 years)Employment Application(2 years from the creation or receipt ofthe record or the personnel actioninvolved, whichever later)Performance Appraisals(US 2 years or separation ofemployee 2 years)Employee Service Record(Date of separation 75 years)13

9/28/2015How long do I keepan ETR-35?I can’t find Red LightCamera recordsin the schedules –what should I do?I can’t find emailin the schedules –how long do I keep them?14

9/28/2015If an 8th grader takes theSTAAR Algebra test, howlong should we retain thatrecord?Wait, is that it? Read our blog, The Texas Record http://bit.ly/texasrecord Alerts of new articles delivered to your inbox Can control categories of articles you receive alerts for15

9/28/2015Do an inventory of yourrecords Identify what’s past retention Set up a file planCall us to find out who yourRMO isAsk your RMO whatschedules are in place Records Control Schedule orDeclaration of Compliance? Archived Webinars:Managing emailImaging projectsShared driveDisaster recoveryLong-term preservationof records Storage facilities And others Find the analyst assigned to your county: Call our main line:(512) 463-7610 Email /slrm/local/countylist16

9/28/2015 Take the 5-question quiz: http://bit.ly/retention101-local Questions for Julie: jwagner@tsl.texas.gov or (512) 4636623 To exit: Unhide the Control Panel (click red arrow key) File / Exit – Leave Webinar Please answer the exit survey that will pop up! Thesurvey will not pop up until you leave the webinar.Q&A17

Standards for managing e-records, microfilm, inventory “We need more training on records retention and basic records management” “How to interpret your records retention schedule” “Process by which retention periods are determined” “Records retention is very

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RECORDS RETENTION AND DISPOSITION SCHEDULE AGENCY # SCHEDULE # PAGE # S462000 001 1 OF 30 DEPARTMENT: New Jersey Health Care Facilities AGENCY REPRESENTATIVE: Susan Glick DIVISION: TITLE: Manager, Special Projects/ UMDN J BUREAU: PHONE #: 973-972-8609 SCHEDULE APPROVAL: Unless in litigation, t

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