Administrative irective 2-51
SUBJECT: RECORDS MANAGEMENT
Original Effective Date: 1/1/2011 Latest Revision Date: 1/1/2011 Issuing Department: City Secretary's Office Page
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1. POLICY
It is the policy of the City of Dallas to create accurate and complete records of all city businesstransactions, to preserve those records in a manner that ensures they have not been lost, damaged oraltered without authorization and documentation, and that the records are destroyed in accordancewith state law and City Code. This policy applies to all formats of official city records, such aspaper, audio or video tape, and electronic media. The destruction of all city records will complywith departmental retention schedules which meet State of Texas retention requirements, and will beperformed promptly when records are eligible, unless there is a legal or audit requirement, pendingPublic Information Act request, or a specific, compelling operational need to cause a delay. Recordsthat require express, written authorization for destruction according to State of Texas retentionrequirements will only be destroyed by the Authorization for Records Disposal (AFRD) process.Records that are confidential, by law, under the Texas Public Information Act, must be destroyed byshredding or similar process. The City will comply with all State of Texas laws and requirementsrelated to the creation, storage, backup, and disaster recovery capability for electronic records. TheCity will comply with the Texas Public Information Act and the related rules regarding the cost of public information to be charged for such requests.
2. PURPOSE
This Directive describes the records management responsibilities and required actions of Citymanagement resulting from a variety of State of Texas laws and administrative codes, such as theLocal Government Records Act, the Public Information Act, the Texas Local Government RecordsRetention Schedules, the Texas Attorney General Rules regarding the cost of public information tobe charged to citizens, and the Electronic Records Standards and Procedures. In addition, Citypolicy must comply with Chapter 39C of the Dallas City Code. (This directive relies on these laws,rules and code. Therefore the user of this policy should ensure they are relying on the latest versionof these documents, all of which are available on the City Secretary's Office Records Managementpage on the intranet.) [ \\ts-wbtst00\www.cod\Cso\records_mgt\index.html]
3. SCOPE
This directive applies to all City of Dallas departments and all city officers and employees. Itapplies to all city records, as defined below.
4.
DEFINITIONS
4.1
City Record
means recorded information that is created or received by the City of Dallas orany of its officers or employees pursuant to law or in the transaction of public business,regardless of physical format, including paper, letter, book, map, photograph, sound or videorecording, microfilm, magnetic tape, electronic media including electronic messages, or otherinformation recording medium, and regardless of whether public access to it is open or
Records Management AD 2-51
Original Effective Date: 1/1/2011 Latest Revision Date: 1/1/2011 Issuing Department: City Secretary's Office Page
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restricted under state law. A city record does not include library or museum material acquiredsolely for reference, exhibit, or display or stocks of publications, advertisements, or unsolicitedwritten materials received by the city or any of its officers or employees.4.2
Dallas Municipal Archives and Records Center (DMARC)
is a centralized, secure recordsstorage operation provided by the City Secretary's Office for inactive city records from alldepartments. It also serves as the repository for permanent and historical city recordstransferred by departments to the custody of the City Secretary's Office.4.3
Electronic Message
means the transfer via electronic medium of information from onelocation to another. Electronic message refers to any document created or received via adigital communications system, including brief notes, formal or substantive narrativedocuments, and any attachments, such as word processing or other electronic objects, that maybe transmitted with the message along with its descriptive transmission metadata. This termincludes email, text, voice and video communication methods. Online dialogues, such as chatsessions, if they do not create a saved record of the dialogue, are not electronic messages. Anyelectronic message sent or received and saved through the city digital communications network that relates to a city business function or transaction may be a city record.4.4
Essential Record
means any city record necessary for (a) the resumption or continuation of operations of the city in an emergency or disaster; (b) the re-creation of the legal and financialstatus of the city; or (c) the protection and fulfillment of obligations to the citizens of the city.4.5
Metadata
means the data linked to or embedded in an electronic record that describes content,context, or structure of that record. Metadata can be used in the management of records totrack message origin and destination, date/time sent/received, sender’s identity, addressee(s)identity, subject, attachments, and return receipts, among other things.4.6
Official Record Copy
means the single copy of a record, which is preserved by theorganization, secured from tampering, indexed, and retrieved for production of copiesthroughout the required retention of the record. While other copies are usually non-recordmaterial, there are times when there are at least two official copies, e.g. when a sender andreceiver both have separate business reasons for their copy to be the official copy.4.7
Record Management Policy Committee
means the committee established under City Codesection 39C-8 consisting of the City Attorney, the City Auditor, the City Manager, and the CitySecretary.4.8
Record Series
means a group of identical or related documents that are used and filed as aunit.
5. RESPONSIBILITIES
5.1
It is the responsibility of all department directors, as legal custodian of records of theirdepartment, to:
Records Management AD 2-51
Original Effective Date: 1/1/2011 Latest Revision Date: 1/1/2011 Issuing Department: City Secretary's Office Page
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5.1.1
Ensure that all departmental business transactions are documented adequately withaccurate records, and that departmental records and correspondence, includingelectronic messages, are handled in accordance with record retention requirements.5.1.2
Ensure that resources, procedures and training are adequate for the preservation, filing,and security of records of the department and that a disaster recovery or businesscontinuity plan adequately protects the department from loss of essential recordsincluding records maintained in electronic recordkeeping systems. (See section 5.1.16)5.1.3 Determine official record copy, identify records series, and apply retention schedules tothe records of the department.5.1.4 Develop records retention and disposition schedules for all department records; justifyany operational need or historical value for the retention of specific records that islonger than the legal retention; approve department specific retention schedules; andreview the schedules annually to keep current.5.1.5
Maintain files and indexes to records adequately for their timely retrieval; respond toopen records requests in a timely manner according to law; set charges for open recordsrequests in compliance with the Texas Attorney General Rules regarding the cost of public information to be charged for such requests.5.1.6
Conduct cost feasibility studies that incorporate document profiles and a work flowanalysis for proposed electronic recordkeeping systems or systems enhancements.5.1.7
Ensure that legal and business requirements to create data and electronic records havebeen identified including defining metadata that needs to be captured. The creation andcapture of metadata should occur as a normal part of business and recordkeepingoperations.5.1.8
Notify the Records Management Officer to review proposed electronic recordkeepingsystems to ensure compliance with electronic recordkeeping requirements.5.1.9
Ensure that electronic records are accessible for as long as they have a legal oroperational value. Maintenance of legacy systems or migration of information astechnology changes are acceptable preservation methods.5.1.10
Annually review records in your department for compliance with retention schedules.5.1.11
Identify the records eligible for destruction, determine appropriate destruction method,and either request the Records Management Officer to prepare the Authorization forRecord Disposal form (AFRD) or destroy the records if they are exempt from thedestruction request requirement.5.1.12
Review records stored in the Records Center that have been identified by the RecordsManagement Officer as having met their retention requirement and approve for
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