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City of Dallas AD2-51

City of Dallas AD2-51

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Administrative

SUBJECT: 1. POLICY RECORDS MANAGEMENT

irective 2-51

It is the policy of the City of Dallas to create accurate and complete records of all city business transactions, to preserve those records in a manner that ensures they have not been lost, damaged or altered without authorization and documentation, and that the records are destroyed in accordance with state law and City Code. This policy applies to all formats of official city records, such as paper, audio or video tape, and electronic media. The destruction of all city records will comply with departmental retention schedules which meet State of Texas retention requirements, and will be performed promptly when records are eligible, unless there is a legal or audit requirement, pending Public Information Act request, or a specific, compelling operational need to cause a delay. Records that require express, written authorization for destruction according to State of Texas retention requirements 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 by shredding or similar process. The City will comply with all State of Texas laws and requirements related to the creation, storage, backup, and disaster recovery capability for electronic records. The City 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 City management resulting from a variety of State of Texas laws and administrative codes, such as the Local Government Records Act, the Public Information Act, the Texas Local Government Records Retention Schedules, the Texas Attorney General Rules regarding the cost of public information to be charged to citizens, and the Electronic Records Standards and Procedures. In addition, City policy 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 version of these documents, all of which are available on the City Secretary's Office Records Management page 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. It applies 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 or any 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 video recording, microfilm, magnetic tape, electronic media including electronic messages, or other information recording medium, and regardless of whether public access to it is open or
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restricted under state law. A city record does not include library or museum material acquired solely for reference, exhibit, or display or stocks of publications, advertisements, or unsolicited written 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 records storage operation provided by the City Secretary's Office for inactive city records from all departments. It also serves as the repository for permanent and historical city records transferred by departments to the custody of the City Secretary's Office. Electronic Message means the transfer via electronic medium of information from one location to another. Electronic message refers to any document created or received via a digital communications system, including brief notes, formal or substantive narrative documents, and any attachments, such as word processing or other electronic objects, that may be transmitted with the message along with its descriptive transmission metadata. This term includes email, text, voice and video communication methods. Online dialogues, such as chat sessions, if they do not create a saved record of the dialogue, are not electronic messages. Any electronic 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.

4.3

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 financial status 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 to track message origin and destination, date/time sent/received, sender’s identity, addressee(s) identity, subject, attachments, and return receipts, among other things. Official Record Copy means the single copy of a record, which is preserved by the organization, secured from tampering, indexed, and retrieved for production of copies throughout the required retention of the record. While other copies are usually non-record material, there are times when there are at least two official copies, e.g. when a sender and receiver both have separate business reasons for their copy to be the official copy. Record Management Policy Committee means the committee established under City Code section 39C-8 consisting of the City Attorney, the City Auditor, the City Manager, and the City Secretary. Record Series means a group of identical or related documents that are used and filed as a unit.

4.6

4.7

4.8

5. RESPONSIBILITIES 5.1 It is the responsibility of all department directors, as legal custodian of records of their department, to:

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Latest Revision Date: 1/1/2011 Page 2 of 16

Records Management 5.1.1

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Ensure that all departmental business transactions are documented adequately with accurate records, and that departmental records and correspondence, including electronic messages, are handled in accordance with record retention requirements. 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 business continuity plan adequately protects the department from loss of essential records including records maintained in electronic recordkeeping systems. (See section 5.1.16) Determine official record copy, identify records series, and apply retention schedules to the records of the department. Develop records retention and disposition schedules for all department records; justify any operational need or historical value for the retention of specific records that is longer than the legal retention; approve department specific retention schedules; and review the schedules annually to keep current. Maintain files and indexes to records adequately for their timely retrieval; respond to open records requests in a timely manner according to law; set charges for open records requests in compliance with the Texas Attorney General Rules regarding the cost of public information to be charged for such requests. Conduct cost feasibility studies that incorporate document profiles and a work flow analysis for proposed electronic recordkeeping systems or systems enhancements. Ensure that legal and business requirements to create data and electronic records have been identified including defining metadata that needs to be captured. The creation and capture of metadata should occur as a normal part of business and recordkeeping operations. Notify the Records Management Officer to review proposed electronic recordkeeping systems to ensure compliance with electronic recordkeeping requirements. Ensure that electronic records are accessible for as long as they have a legal or operational value. Maintenance of legacy systems or migration of information as technology changes are acceptable preservation methods.

5.1.2

5.1.3

5.1.4

5.1.5

5.1.6

5.1.7

5.1.8

5.1.9

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 for Record Disposal form (AFRD) or destroy the records if they are exempt from the destruction request requirement. 5.1.12 Review records stored in the Records Center that have been identified by the Records Management Officer as having met their retention requirement and approve for

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destruction or note any operational, legal or audit issues that are unresolved involving the records. 5.1.13 Ensure that when the official record copy is approved for destruction, that all existing copies of the same type for the time period are destroyed, including electronic records, email, paper, or copies in any format in the department or in storage. 5.1.14 Take possession of all departmental business correspondence in the electronic message systems accounts of all former employees upon their transfer or termination. Maintaining the electronic copy of electronic messages in archive is preferred to printing it to paper. Comply with AD 2-24, Computer Security, and AD 3-8, Human Resources Records Processing. 5.1.15 Notify the Records Management Officer within 24 hours of the discovery of any loss, theft, or damage to a city record. 5.1.16 In cooperation with the Records Management Officer, identify essential records of the department and establish a records disaster and recovery plan to ensure maximum availability of the records to re-establish operations quickly and with minimum disruption and expense. 5.1.17 Incorporate records management policies, objectives, responsibilities, and authorities in pertinent departmental directives. 5.1.18 Submit a Records Management Compliance Status Report to the Records Management Officer twice a year on or before January 31st and July 31st of each year. 5.1.19 Appoint, in writing to the Records Management Officer, one or more department records liaison officer(s). The records liaison officer(s) shall be thoroughly familiar with departmental policies and activities and have full knowledge of and access to all city records created and maintained by the department and by all officers and employees of the department. 5.2 It is the responsibility of the department Records Liaison Officer to: 5.2.1 In cooperation with the Records Management Officer and the department director, coordinate and implement the requirements, policies, and procedures of the records management program in the department. 5.2.2 Disseminate information to department staff concerning the records management program. 5.2.3 Review department recordkeeping practices for compliance with the records management program and, in consultation with the records management officer, identify practices that require improvement for the purposes of increasing efficiency or implementing corrective action for program compliance.

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5.2.4 Report any noncompliance with the records management program to the department director in writing. 5.2.5 Maintain a list of legal, audit, and Public Information Act request holds in effect for the records of the department. 5.3 It is the responsibility of all City officers and employees to: 5.3.1 Determine official record copy, identify records series, and apply retention schedules to the records they create or receive, including electronic records and electronic messages. 5.3.2 File paper copies or electronically archive official records, including electronic messages with longer retentions, in accordance with departmental policy and CIS procedures for electronic records to ensure preservation within their legal retention cycle and accessibility to all appropriate personnel. 5.3.3 Review electronic messages at least monthly to delete any records, both sent and received, that no longer have any operational need and there is no legal retention requirement; empty the “trash” folder to complete the deletion process. 5.3.4 Review personal computer files such as word processing documents and spreadsheets to identify record copy from drafts in order to ensure the preservation of the record copy. 5.3.5 Deliver to any successor or reporting manager all city records pertinent to the office held by the city officer or employee. 5.4 It is the responsibility of the Records Management Officer to: 5.4.1 Provide advice and assistance to department directors in the implementation of the records management program within their department. Review departmental retention schedules or amendment(s) to a schedule to ensure compliance with the Texas State Library retention schedules, prior to approval by the department director. Present for review and approval by the Records Management Policy Committee and City Council any departmental request and justification for a longer retention period based on operational need of the records. Instruct records liaison officers and other employees in records management program, policies and procedures. Annually review all records stored in the DMARC, identify those records that have met the retention requirement, and distribute a list to each department for review. Create Authorization For Records Disposal (AFRD) forms listing records a department has determined are to be destroyed and route for approval.

5.4.2

5.4.3

5.4.4

5.4.5

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Latest Revision Date: 1/1/2011 Page 5 of 16

Records Management 5.4.6

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After all required approval is obtained on the AFRD form, destroy records that are stored in DMARC. Create policy, procedure, and instructional materials to assist department directors with implementing their records management program. Monitor changes in state and federal statutes and provide information to the City Council, department directors, and the records management policy committee concerning state law and administrative rules relating to City records. Review user requirements, cost feasibility studies, systems requirements, systems specifications, bid specifications, and other systems design documents to ensure that recordkeeping requirements and public access requirements are incorporated into electronic recordkeeping systems at the design phase in accordance with the records management program.

5.4.7

5.4.8

5.4.9

5.4.10 Review and monitor departmental recordkeeping practices and records retention schedules and report to the Record Management Policy Committee any noncompliance by a department director or other personnel with the requirements, policies, and procedures of the records management program, City Code, or state law. 5.5 It is the responsibility of the Record Management Policy Committee to: 5.5.1 Review and recommend for consideration to the City Council department-specific retention schedules that justify operational need or historical value longer than the legal retention requirements as specified in the Texas State Library retention schedules. Review records legally eligible for destruction and approve or note any operational, legal or audit issues that are unresolved involving the records. Review and determine, as necessary, custodial responsibilities for citywide electronic applications. Custodial responsibility must be determined prior to implementation. Approve changes in records management policy and propose changes to City Code Chapter 39-C in order to update the City’s compliance with State of Texas law and good business practice, as changes in law, technology, and business practice occur.

5.5.2

5.5.3

5.5.4

5.6 It is the responsibility of the City Attorney’s Office to: 5.6.1 Notify director(s) of affected department(s) of any legal holds on records due to pending or reasonably anticipated litigation at the time the hold is established and at the time the hold is removed. Maintain the City’s official records of requests for legal opinions submitted to the City Attorney’s Office and legal opinions issued by the City Attorney’s Office.

5.6.2

5.7 It is the responsibility of the City Auditor’s Office to:
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5.7.1

Notify director(s) of affected department(s) of any audit holds on records due to pending or anticipated audits at the time the hold is established and at the time the hold is removed.

5.8 It is the responsibility of the Public Information Office to: 5.8.1 Notify director(s) of affected department(s) of any pending open record request(s) so that records are not destroyed until the request(s) are completed.

5.9 It is the responsibility of the Communications and Information Services department (CIS), the City Attorney’s Office, the City Auditor’s Office, or the director of any other department that maintains its electronic records independent of CIS to: 5.9.1 Ensure that systems that manage electronic records have recordkeeping capability including the ability to apply retention principles so that records that have met retention requirements can be identified and disposed of according to the departmental retention schedules. Develop policies and practices to ensure that standardized metadata is created and maintained to facilitate recordkeeping and disposition and that creation and capture of metadata occurs as a normal part of business and recordkeeping operations. Perform system backups on a regular basis. Perform regular integrity checks on electronic storage devices and ensure that electronic storage media are monitored and periodically refreshed to prevent data loss through media degradation and obsolescence. Ensure that procedures and practices control the appropriate assignment of access permissions to users and that mechanisms are in place to supervise access and to protect confidential information from unintended or unauthorized release. Ensure that procedures are in place to identify and respond to incidents or attempted security breaches of systems that create or store data and electronic records and that systems and practices prevent unauthorized alteration of data and electronic records, and ensure their authenticity. Ensure that procedures for security and authentication mechanisms do not inadvertently make data and electronic records of enduring value inaccessible in the long term. Ensure that electronic records of enduring historical value and the data that supports them are maintained after they are no longer required for business purposes and that preservation strategies are capable of retaining the integrity and functionality of the data and electronic records retained permanently. Ensure that procedures and practices are in place to minimize the risk of data and electronic records being lost or damaged as a result of disaster and that business
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5.9.2

5.9.3 5.9.4

5.9.5

5.9.6

5.9.7

5.9.8

5.9.9

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continuity plans include appropriate recovery and restoration procedures for data and electronic records. 6. PROCEDURES 6.1 Official Record Copy 6.1.1 The City or a department need only preserve and retain a single, official record copy of a record. This is usually an original, but not a requirement. All other copies of the record within the department are duplicates. Duplicate, or extra copies, are non-record and may be destroyed at any time without authorization. If the record contains confidential information, it should be shredded or otherwise disposed of securely. The originator of a document or correspondence has the official record copy. When the originator is not a City officer or employee, the official record copy is the copy received by the primary recipient within the City. City Charter, City Code or other directive, may identify a designated record holder. Only the official record copy must be retained to meet the retention requirements. Other copies including cc copies, such as the recipient copy of records originating in the city, should be maintained only as long as they are actively being used and should never be retained longer than the official record copy. Records retention and records management procedures apply to all city records, including electronic records and electronic messages. While technology may influence the way records are created, stored, used, and destroyed, the principles of records management are the same.

6.1.2

6.1.3

6.1.4

6.2

Electronic Records 6.2.1 Electronic record keeping systems containing long retention records, those with a required retention of ten years or longer, must be in compliance with the Local Government Records Act and the Electronic Records Standards and Procedures. The department director must notify the Records Management Officer of any proposed electronic recordkeeping system design for long retention records prior to purchase or implementation of the system. The department director shall appoint a contact person to communicate with the Records Management Officer. The Records Management Officer will review user requirements, cost feasibility studies, systems requirements, systems specifications, bid specifications, and other systems design documents to ensure that recordkeeping requirements and public access requirements are incorporated into electronic recordkeeping systems at the design phase in accordance with the records management program The Records Management Officer and CIS will advise the department throughout the design and procurement process to keep the project on a path to meet the requirements

6.2.2

6.2.3

6.2.4

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of the records management program, the Local Government Records Act and the Electronic Records Standards and Procedures. 6.2.5 The Records Management Officer will determine if records management staff will be required to be present during the design and/or procurement process. The department director may determine the level of voting participation of records management staff on the selection committee. The department director must ensure the development and maintenance of up-to-date documentation for all electronic records systems that will adequately specify the technical characteristics of each system necessary to reading, processing, or preserving city records until the disposition of the records is authorized. Upon request a copy of this documentation must be provided to the Records Management Officer, who may require additional documentation as needed to comply with state law. Annually, the Records Management Officer will identify new technologies that were implemented in the last year for long retention record systems and report to the Record Management Policy Committee on any records management issues for each system.

6.2.6

6.2.7

6.3

Security of Records 6.3.1 Security for all records must be maintained to ensure true and accurate documentation of City business. Departmental procedures for the care and use of records should include measures to keep records from being tampered with and safe from loss. Notify the Records Management Officer within 24 hours of the discovery of any loss, theft, or damage to a city record. Electronic records should be backed up on a regular basis, as part of a comprehensive disaster recovery plan. Backup may be online redundancy at a second location or offline copies on tape or other media. Offline copies for disaster recovery should be stored at a remote location and should be kept for at least two backup cycles before being reused. The Communications and Information Services Department provides advice and support for departments developing and implementing business continuity plans for electronic records. Backup procedures must also take into account that some records, such as electronic messages, are properly and legally being destroyed daily. For most users, only a small fraction of electronic messages has retentions of one to five years. No long-term retention backup tape (a tape scheduled to be kept for several months or more) should be made of electronic messages, because this would prevent the destruction of the records. Only short term, disaster recovery tapes should be made of electronic messages and any other records with a large portion of short retention records. Electronic record keeping systems containing long retention records or financial records should maintain records in a way that tracks versions of documents and must create audit trails to document use and changes.

6.3.2

6.3.3

6.3.4

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Latest Revision Date: 1/1/2011 Page 9 of 16

Records Management 6.3.5

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Departments must have policies and procedures to safeguard confidential information in their possession and ensure that access is restricted to only those employees that must use the information in order to complete their work. The Texas Public Information Act (PIA) specifies that certain types of records, such as employee medical records, contain confidential information that may not be released to the public. Departments must be knowledgeable about the confidential information in their records and must comply with these PIA privacy provisions. The method of records destruction must also maintain the legally required security. Shredding or rendering information unreadable is recommended for the destruction of records with information that is confidential under the PIA.

6.3.6

6.4

Records Disaster and Recovery Plan 6.4.1 Identify essential records of the department in order to establish a records disaster and recovery plan to ensure maximum availability of the records to re-establish operations quickly and with minimum disruption and expense. Each function of the department should be analyzed to determine what information is critical to that operation. Safeguard essential records by protecting them not only from the ordinary hazards of fire, water, windstorms, insects, and excessive humidity; but also human hazards of theft, misplacement, unauthorized access, and terrorist actions. While all hazards cannot be eliminated, the objective is to reduce loss to an acceptable minimum. Determine appropriate protection and recovery methods for each type of essential record. Duplication with secure offsite storage is the best method of protecting records with evidential value, while alternative sources for reconstructing information may be acceptable for other records. The department disaster and recovery plan is to be filed with the Records Management Officer. At least annually, the plan must be reviewed and updated to reflect current operations in the department.

6.4.2

6.4.3

6.4.4

6.5

Responsiveness to Open Records Requests 6.5.1 The department must comply with the Texas Public Information (Open Records) Act (PIA) and must maintain records, including electronic records and electronic messages, in a manner that permits timely, effective responsiveness to requests for the production of records under the PIA. Records that are destroyed in compliance with this directive, the Texas Local Government Records Act, and department retention schedules are not subject to request for production under open records or from courts of law. Departments should carefully maintain compliance with retention schedules in order to reduce the burden of responding to these requests, and to reduce the legal liability exposure of the City.

6.5.2

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Latest Revision Date: 1/1/2011 Page 10 of 16

Records Management 6.5.3

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The department must comply with the Texas Administrative Code, Title 1, Part 3, Chapter 70, Rule §70.3 – Cost of Copies of Public Information or other approved fee schedule for the City of Dallas. The department must apply rules regarding charges consistently, and may not organize information and records in a way intended to make the cost of copies more expensive.

6.6

Retention Schedules 6.6.1 Records have three retention values: operational need, legal requirement, and historical value. Operational need is based on the department’s use of the record, and must be determined by the department. Legal requirement is the retention period stipulated by federal or state law for a specific record type. The Texas State Library retention schedules include applicable legal citations to federal and state law. Historical value is the worth of the information to researchers and historians in the future. The City Archivist can assist with determining historical value. The City, by Resolution 98-3152, dated October 28, 1998, filed a Declaration of Compliance with the Texas State Library and Archives Commission (TSL). The City agreed to comply with legal retention requirements as detailed in the TSL retention schedules. Nearly all city record types are included in these schedules. The records common to all departments: personnel, accounting, purchasing, etc. are included in the General Record (GR) schedule. Other schedules include records unique to Public Safety (PS), Health (HR), Public Works (PW), etc. These schedules are available on the City Secretary's Office intranet site and the TSL web site (www.tsl.state.tx.us). A record series could be all one type of document, or various types of documents related to the same person, project or subject. The record series is not an individual file folder but a larger group of related file folders. For example, the record series “Purchase Requisitions” might have a file folder for each separate requisition, and within each folder there would be various documents for one purchase such as the purchase order, bid specifications, price inquiry and quote, packing slip, and copy of the invoice. All records within the series are evaluated together to determine retention requirements. If the retention requirements are different for various types of documents within the series, usually all records are kept for the longest period. It is usually impractical to purge individual documents. If the intent to dispose of documents when legally eligible, it may require filing documents with different retention requirements as separate record series.

6.6.2

6.6.3

6.6.4

6.6.5

When various types of records are filed together, in a combination of more than one type of record series found on the retention schedules, the record series with the longest retention period determines the length of time that the entire group is retained. Each department must prepare records retention and disposition schedules that describe and establish the retention periods for all city records created or received by the
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6.6.6

Original Effective Date: 1/1/2011 Issuing Department: City Secretary's Office

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department. These schedules must be submitted to the Records Management Officer for review before approval by the department director. Any records retention and disposition schedule, amendment to a schedule, or request for destruction of a record that contains general terms such as "miscellaneous" and "various" to describe any record identified in such a document may not be submitted to the Records Management Officer for consideration. 6.6.7 When a department determines that, as a policy, their operational need for a record series is longer than the legal requirement shown on the state retention schedules on an on-going or long-term basis, the longer retention must be justified and approved by the Records Management Officer, the Record Management Policy Committee and the City Council. Department retention schedules must be reviewed at least annually for any necessary amendments due to operational changes in the department that effect information needs or new legal requirements to create and retain specific record types. Electronic records must be maintained in a readable and reproducible format until the retention period has expired. Hardware and software to read and produce copies of the records must be available. When hardware and/or software changes, options to maintain older records are: 1) migrate the information to the new technology in a way that preserves the integrity of the record, 2) keep the old system operational until all retention requirements have expired, or 3) print the information to another format such as computer-output microfilm.

6.6.8

6.6.9

6.6.10 When specific records in a series are eligible for destruction, but are needed for operational, audit, or legal reasons, in the short term, the destruction of those records will be delayed until the reason is satisfied. This delay requires notification from the department or a member of the Records Management Policy Committee to the Records Management Officer. The Records Management Officer may notify a department director that records be held pending historical appraisal by the City Archivist. 6.7 Inactive Storage 6.7.1 The City Secretary's Office operates DMARC, part of which is a records storage facility, which provides storage for inactive records from all City departments. Some records are stored with a commercial storage vendor at an offsite location. Records that still have a legal retention requirement, but are no longer used frequently, may be stored with DMARC. The City Secretary's Office does not take ownership of records stored in the records storage facility; the records are still the property of the department. Guidelines for use of DMARC are available on the City Secretary’s Office Records Management intranet site. This guide includes instructions for preparing boxes and transfer forms, and procedures for retrieval of records. [\\ts-wbtst00\www.cod\Cso\records_mgt\index.html]
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6.7.2 6.7.3

6.7.4

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6.8

Destruction of Records 6.8.1 Annually each department must inspect all records in their office and inactive storage to determine those eligible for destruction. This review should be reported, as appropriate, on the semi-annual records management compliance status report. No city record may be destroyed until its legal retention period has been met. When the legal retention has been met, a record may be destroyed if there is no longer an operational need or historical value and if there are no open records requests in progress or ongoing or anticipated litigation or audits that involve these records. The departmental Records Liaison Officer must maintain a list of legal, audit, and Public Information Act request holds in effect for the records of the department. Some records may be destroyed without documentation and approval. These are records with a retention period of not more than one year, until superseded (US), or until the purpose of the record has been fulfilled. The Texas State Library retention schedules and the departmental retention schedules state when a record is “Exempt from destruction request requirement.” Duplicates and extra copies can be destroyed without documenting destruction. While duplicates and extra copies do not have to be retained until the legal retention period has expired and can be destroyed at any time, they must never be retained longer than the record copy is retained. All records destruction should maintain the confidentiality of information when required. Destruction of most records must be documented and approved using the Authorization for Records Disposal (AFRD) process. The Authorization for Records Disposal (AFRD) form is created by the Records Management Officer and routed for signature to the department division manager (if required by departmental policy), department director and the Record Management Policy Committee. When records housed within a department are eligible for destruction, notify the Records Management Officer to create the AFRD form if required. The director when approving the AFRD, is also ensuring that all records of the same type for the time period covered by the AFRD are being destroyed. This includes electronic records, e-mail, paper, or copies in any format in the department or in storage. After all approvals are collected on the AFRD, the records can be destroyed. The employee or vendor that actually destroys the records must complete a Certificate of Destruction and submit it to the Records Management Officer. Departments are responsible for destruction of records in their possession, while the Records Management Officer will destroy records stored in DMARC.

6.8.2

6.8.3

6.8.4

6.8.5

6.8.6

6.8.7

6.8.8

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Latest Revision Date: 1/1/2011 Page 13 of 16

Records Management 6.8.9

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The department determines the method of destruction. Most records may be destroyed by recycling. State law requires that confidential records, such as medical records, be shredded, burned, or pulped.

6.9

Ownership and Custody of Records 6.9.1 Every city record is the property of the city. No city officer or employee has, by virtue of the position of the city officer or employee, any personal or property right to possession, custody, or control of a city record even though the city officer or employee may have developed or compiled the record. Legal custody of records belongs to the department that creates or receives the records. Legal custody is transferred when a department reorganization occurs. The department Records Liaison Officer is responsible for notifying the Records Management Officer of ownership changes. Usually that transfer is for all records assigned to a particular org number. An original city record may not leave the custody of the department in which it is being reviewed when being used by a member of the public. A department may transfer legal custody of historical records to the City Secretary's Office. The City Archivist will appraise records for historical research value and recommend to the department which records should be transferred. Legal custody is transferred to the City Secretary's Office by memorandum. Historical records in archival custody of the City Secretary's Office are open to review by the public and City departments. In accordance with Administrative Directive 2-10, three copies of all departmental publications should also be sent to the City Archivist and two copies to the Urban Information Center of the Dallas Public Library at the time of publication. This transfer fulfills the permanent retention requirement of any city publication. When an employee terminates employment or moves to another department, any records in the possession of the employee belonging to that department must be returned. The employee’s supervisor should review records stored on personal computers, as well as paper records, and determine any retention requirements. The employee’s electronic messages should be reviewed and messages that must be retained should be saved as electronic files or printed to paper.

6.9.2

6.9.3

6.9.4

6.9.5

6.9.6

7. LEGAL REFERENCES (Available on the City Secretary's Office Records Management intranet page) [\\ts-wbtst00\www.cod\Cso\records_mgt\index.html] 7.1 Texas Administrative Code, Title 1, Part 3, Chapter 70, Rule §70.3 – Cost of Copies of Public Information. Texas Government Code, Chapters 201 – 205 – Local Government Records Act.

7.2

Original Effective Date: 1/1/2011 Issuing Department: City Secretary's Office

Latest Revision Date: 1/1/2011 Page 14 of 16

Records Management 7.3 7.4 7.5

AD 2-51

Texas Government Code, Chapter 552 – Texas Public Information Act (Open Records). Dallas City Code, Chapter 39C – Records Management Program. Texas State Library and Archives Commission 7.5.1 7.5.2 7.5.3 7.5.4 7.5.5 7.5.6 7.5.7 7.5.8 7.5.9 Local Government Bulletin A – Microfilming Standards and Procedures. Local Government Bulletin B – Electronic Records Standards and Procedures. Local Schedule EL: Records of Elections and Voter Registration. Local Schedule GR: Records Common to All Local Governments. Local Schedule HR: Records of Public Health Agencies. Local Schedule LC: Records of Justice and Municipal Courts. Local Schedule PS: Records of Public Safety Agencies. Local Schedule PW: Records of Public Works and Services. Local Schedule TX: Records of Property Taxation.

7.5.10 Local Schedule UT: Records of Utility Services. 7.6 City of Dallas Administrative Directive 2-10 – Publications Policy, effective date October 10, 1985. City of Dallas Administrative Directive 2-24 - Computer Security, effective date July 15, 1998. City of Dallas Administrative Directive 2-25 - Data Classification and Ownership, effective date July 15, 1998. City of Dallas Administrative Directive 2-33 - Acceptable Use of City Provided E-mail and Internet Services, effective date July 31, 2001.

7.7 7.8

7.9

7.10 City of Dallas Administrative Directive 3-8 - Human Resources Records Processing, effective date December 1, 1994. 7.11 Departmental retention schedules. 8. PRIOR ACTION 8.1 Latest Revision Date: September 21, 2010 Effective Date of Revised AD: September 21, 2010

Original Effective Date: 1/1/2011 Issuing Department: City Secretary's Office

Latest Revision Date: 1/1/2011 Page 15 of 16

Records Management 9. ISSUING DEPARTMENT: City Secretary's Office

AD 2-51

Original Effective Date: 1/1/2011 Issuing Department: City Secretary's Office

Latest Revision Date: 1/1/2011 Page 16 of 16

CITY OF DALLAS RECORDS MANAGEMENT COMPLIANCE STATUS REPORT DEPARTMENT: _____________________ SIX MONTH REVIEW PERIOD: ________________________

NOTE: Considering the six month period covered by this report, respond to each

statement by placing X in appropriate column. Please provide any additional information requested. Please explain all “No” responses in the comment section F. Departmental Records Management Program

N/A

No

Yes

A.

A-1 Is there a Records Liaison Officer appointed for the department? A-2 A-3 A-4 A-5 A-6 A-7 A-8 B. Name of Records Liaison Officer:________________________________ Are records management policies, objectives, responsibilities and authorities incorporated into pertinent departmental directives and procedures? Have the departmental directives and procedures been reviewed and if necessary, revised to reflect any changes to the type or format of records of the department? Have copies of all departmental publications been forwarded to the Municipal Archives and Urban Information Center of the Dallas Public Library in accordance with Administrative Directive 2-10? Are departmental resources, procedures and training adequate to ensure preservation, filing, and security of records of the department? Has information concerning the records management program been disseminated to all staff? Has department recordkeeping practices been reviewed for compliance and to improve efficiency? Have all issues raised in any report of non-compliance with the records management program been corrected? Electronic Records

B-1 For any new electronic recordkeeping system purchased and/or implemented, was the Records Management Officer notified prior to purchase of the system? B-2 For any replacement to an existing electronic recordkeeping system, was all legacy information migrated to a new system or converted to another format for access to the information to meet retention requirements ? B-3 If there is legacy information, which was not migrated to a replacement system, is the old system being maintained to meet retention requirements? B-4 Is there equipment and technology available in the department to access all records in whatever format or media they exist? B-5 Has all documentation for existing electronic record keeping systems reviewed to ensure that it adequately specifics the technical characteristics of each system necessary to read, access, process, and preserve the information until destruction is authorized ? B-6 Has the Records Management Officer been notified of all proposed new electronic recordkeeping systems? B-7 Has all electronic information that has met retention requirements been reviewed and appropriately destroyed?

Records Management Compliance Status Report Office of the City Secretary

Page 1 of 3

City of Dallas, Texas 1/1/2011

NOTE: Considering the six month period covered by this report, respond to each

statement by placing X in appropriate column. Please provide any additional information requested. Please explain all “No” responses in the comment section F.

N/A

No

Yes

B-8 For those electronic records whose retention requirement is ten years or greater, is the recordkeeping system in compliance with the Local Government Records Act and the Electronic Records Standards and Procedures? C. Retention Schedules, Record Clean Up and Destruction of Records C-1 Has the departmental retention schedule been reviewed? C-2 Have changes in the laws or regulations that effect the records of the department been incorporated into revisions to the departmental retention schedule? C-3 Have any necessary revisions to the departmental retention schedule been sent to the Records Management Officer for review? C-4 Have records in storage identified as eligible for destruction been reviewed and the determination to destroy or the justification for retaining longer been returned to the Records Management Officer? C-5 Have all Authorization for Records Disposal requests been reviewed and approved by the department director and returned to the Records Management Officer? C-6 Has your department cleaned up the records in office and storage area and transferred those records that are not actively used, but must be retained to DMARC? C-7 Have all convenience copies which are no longer useful been destroyed? C-8 Has the Records Management Officer been notified to prepare the Authorization for Records Disposal, if necessary, for all records to be destroyed by the department? C-9 Have all records in the department’s procession with destruction approval been destroyed? D. Custody and Security of Records D-1 If any records have been lost, damaged or stolen was the Records Management Officer notified? D-2 Are departmental policies and procedures adequate to ensure that records containing confidential information protected from unauthorized release? D-3 Have all records been returned from employees leaving the department? D-4 Did the department take possession of all electronic records including email of employees leaving the department? D-5 Were the records of former department employees reviewed and retained or destroyed in accordance with departmental retention schedules? D-6 If any duties or functions have been transferred to another department, have the related records been transferred to that department? D-7 If question D-6 was Yes, was the Records Management Officer notified to transfer ownership of appropriate records stored with DMARC to the new department? D-8 If your department assumed any duties or functions from another department, have all related records been transferred to your department?

Records Management Compliance Status Report Office of the City Secretary

Page 2 of 3

City of Dallas, Texas 1/1/2011

NOTE: Considering the six month period covered by this report, respond to each

statement by placing X in appropriate column. Please provide any additional information requested. Please explain all “No” responses in the comment section F.

N/A

No

Yes

E.

Essential Information, Disaster and Recovery Plan

E-1 Has the departmental disaster and recovery plan been reviewed? E-2 Has the disaster and recovery plan been tested? Date tested: __________________________________________________ E-3 If the types of information classified as essential have changed, were these changes noted in a revision of the disaster and recovery plan? E-4 If there the processes to protect essential information were changed, were these changes noted in a revision of the disaster and recovery plan? E- If necessary, has the departmental disaster and recovery plan been revised? Date revised: _________________________________________________ F. Comments (Required to explain any No response). Attach additional sheets if needed: ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________

_________________________________________________________________________________
________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________

_________________________________________________________________________________
________________________________________________________________________________________

_________________________________________________________________________________
G. RM Compliance Conducted By:_____________________ Title: _______________________ Date: ____________
RM Compliance Reviewed By:______________________ Title: _______________________ Date: ____________ Department Director Approval:__________________________ Records Management Compliance Status Report Office of the City Secretary Page 3 of 3 Date: ____________ City of Dallas, Texas 1/1/2011

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