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COMPLIANCE
The Incredible Fast Track to Achieving
Requirements for Local Governments in Texas
512‐463‐[email protected]
https://www.tsl.texas.gov/slrm
Review the laws.
Achieve compliance!
Next steps…
Course Objectives
YES!
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Legal Obligations
Records Management Laws and Rules for Local Governments
○ Earning a PhD
○ Open heart surgery
○ Mountain climbing
○ Operating efficiently, maintaining transparency, and saving on costs without following records laws.
Achievements that are hard:
Achievements that are easy:
○ Ensuring compliance with the Local Government Records Act by asking your analyst what you need to get on file with TSLAC!
https://www.tsl.texas.gov/slrm/local/countylist
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Public Information
Act(Gov. Code
Chapter 552)
Open Meetings Act
(Gov. Code
Chapter 551)
Local Government Records Act (Local Gov. Code Chapters 201‐205)
Three Pillars of Open Government
○ Improve efficiency and economic operation of government.
○ Preserve records of permanent and historical value.
○ Provide impartial access to records management assistance.
○ Establish standards and procedures for managing local government records.
Local Government Records Act
○ Definitions
○ Local authority
○ Role of RMO
○ Compliance requirements
○ https://www.tsl.texas.gov/slrm/pubs/bulletind
Laws Published as Bulletin D
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Which local governments must file compliance paperwork?
Over 10,000 local government entities are required to file evidence of their records management program with the Texas State Library and Archives Commission.
All of them!
Achieving COMPLIANCE
Filing documents with TSLAC to formally establish the records
management program.
Records Management Policy
○ aka “Order, Ordinance, Resolution”
○ Establishes the records management program.
○ File within 30 days of adoption.
Elective county offices
Elective county offices All other local
government officesAll other local
government offices
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“…each elected county officer shall adopt a written plan establishing an active and continuing program for the efficient and economical management of the records of the elective office of which the elected officer is custodian.”
LGC §203.005
○ Definitions applicable to managing records
○ Statement that records are declared public property
○ Implementation of policies covering the lifecycle of records
○ Cooperation with other county offices
○ Designation of the Records Management Officer (RMO)
The Written Plan Includes:
○ 2 options:
To each their own. Elected official is the RMO for the records of their office.
Designate the RMO of a countywide records program, who must also sign the form to confirm approval of the designation.
○ Elected County Officer signs regardless of the option chosen.
Designation of the RMO
Mr. Tax Assessor-Collector
Angelina Eberly, County Judge
Angelina Eberly
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“…each governing body by ordinance or order, as appropriate, shall establish a records management program to be administered by the records management officer.”
LGC §203.026
○ Template available from TSLAC.
Short, fillable form that may be expanded as desired.
○ Comparable templates accepted, such as CPC‐Local or an ordinance format.
○ Designate the Records Management Officer.
○ Requires documentation of governing body approval.
Policy Template For Nonelective Offices
○ Does not designate a specific RMO
• “Board shall designate…” or “Superintendent shall oversee…” is too vague
• Designates more than one individual.
○ No documentation of approval from governing body
○ Incomplete or too short; missing elements
Policy Blunders
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Do you have a policy on file with TSLAC?
YES! NO! I DON’T KNOW!
○ “The records management officer in each local government shall:
(1) assist in establishing and developing policies and procedures…
(2) administer the records management program…”
LGC §203.023
○ Utilize the local retention schedules.
○ Oversee filing systems and information retrieval systems.
○ Protect essential and permanent records.
○ Ensure economical storage of inactive records.
Records Management Officer (RMO):
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There’s No “I” in Records Management Team
Records Management
Officer
Records Liaison
Records Custodian
Records Custodian
Records Liaison
Records Custodian
Records Custodian
○ On the appropriate form:
Elected County Offices – Form 512
Nonelective Offices – Form SLR 504
○ Signed by the RMO designated in policy.
○ Update within 30 days of personnel change.
○ Option to be subscribed to The Texas Record blog for news and updates.
Designating the RMO
…file with the director and librarian a written certification of compliance that the local government or the elective county office has adopted records control schedules that comply with the minimum requirements established on records retention schedules issued by the commission..”
LGC §203.041
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○ Adopt the retention schedules that apply to the records maintained by your office.
Form SLR 512 for elective county offices.
Form SLR 508 for non‐elective offices.
○ Signed by RMO designated in policy and mail hard copy to TSLAC for filing.
Declaration of Compliance
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https://www.tsl.texas.gov/slrm/localretention
Forms for Nonelective Offices
SLR 508
SLR 504
PolicyDesignation of Records
Management Officer Declaration
of Compliance
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○ Form SLR 512 – Records Management Policy and Declaration of Compliance By an Elected County Official
○ All‐in‐one form
○ Signed by RMO and mail hard copy to TSLAC for filing.
Form for Elective County Offices
SLR 512
Declaration of
Compliance
Designation of RMO
Policy Statement
○ https://www.tsl.texas.gov/slrm/forms
○ SLR 504 – Designation of RMO
○ SLR 508 – Declaration of Compliance
○ Policy model for nonelective offices
○ SLR 512 – Policy and Declaration of Compliance by Elected County Official
○ Sample inventory worksheet, amendment template, and disposition log
Download Forms and Templates
Your local government’s records management policy/order/ordinance must be approved by:
A. The governing body or elected official
B. The citizens
C. TSLAC
Pop Quiz
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You are a new RMO. What is the timeframe in which you are required to notify TSLAC?
A. Within 3 weeks
B. Within 30 days
C. Within 3 months
Pop Quiz
You (the new RMO) can’t find your policy, appointment form, or schedule. Do you:
A. Assume the last RMO didn’t get around to it.
B. Assume the documents will turn up eventually.
C. Ask a TSLAC analyst to check your file.
Pop Quiz
Achievement Unlocked!
What Next?
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○ Conduct an inventory
Bulletin C: https://www.tsl.texas.gov/slrm/pubs/bulletinc
○ Evaluate storage conditions
Bulletin F: https://www.tsl.texas.gov/slrm/pubs/bulletinf
○ Do routine disposition of eligible records
Templates available: https://www.tsl.texas.gov/slrm/forms
#GOALS
Get more training
○ https://www.tsl.texas.gov/slrm/training
○ Classes – virtual and in‐person
○ Webinars – live and pre‐recorded
○ Conference sessions upon request
○ Annual e‐Records conference sponsored by TSLAC and DIR
Find the analyst assigned to your county:
https://www.tsl.texas.gov/slrm/local/countylist
Call: (512) 463‐7610
Email: [email protected]
Questions?
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