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State Archivist and Records Manager:

Chris LaPlante

Box 12927, Austin TX 78711

512-463-5467 fax: 512-463-5436

Carolyn Foster, State Archives Asst. Director

512-463-5502

William L. Dyess

Texas State Library

Box 12927, Austin TX 78711-2927

512-454-2705 ext. 111 fax: 512-323-6100

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State Records Management Laws

State Agency Bulletin Number Four

Current through the 74th Legislature,

Regular Session, 1995


Laws affecting records management aid decision making regarding

the control of records activity in state agencies. By being aware

of the statutes pertaining to records management in your agency,

you help ensure that all records procedures are in compliance

with those laws.


This bulletin contains laws and excerpts from laws that agencies

encounter most often in the course of managing state records. In

addition, most agencies must comply with statutes specific to

their mission and authority. Consult your legal department or

legal counsel about these laws and how they may affect the

management of records within your agency.


Note: For the most current edition of the Texas Open Records

Handbook, which contains the text of Chapter 552, Government

Code, as well as other information on the Open Records Act,

contact the Attorney General's Office at 512-462-0011.


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Contents


Records Management Division of Texas State Library

Government Code, Chapter 441, Subchapter C


Preservation of Essential Records Act

Government Code, Chapter 441, Subchapter D


Reduction and Simplification of Agency Paperwork

Government Code, Chapter 441, Subchapter K


Right of Recovery

Government Code, Chapter 441, Section 441.0105


Cost Recovery for Records Storage Services

Government Code, Chapter 441, Section 441.017


Texas Sunset Act

Government Code, Chapter 325, Section 325.017


Paper Supplies and Equipment (regulating legal size paper)

Government Code, Chapter 2051, Section 2051.021


Tampering With Governmental Record

Penal Code, Chapter 37, Section 37.10


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Records Management Division of Texas State Library


Government Code

Chapter 441, Subchapter C


441.031. Definitions.


In this subchapter:


(1) "Department or institution" means any executive,

educational, judicial, or eleemosynary state

department, institution, board, or commission.


(2) "Head of department or institution" means any

appointive or elective official with authority over the

records of the department or institution.


(3) "Local government" means a county, municipality,

public school district, appraisal district, or any

other special-purpose district or authority. The term

includes all offices, departments, divisions, programs,

commissions, bureaus, boards, or similar entities of

those governments and includes, with regard to county

government, all county, district, and precinct offices.


(4) "Photographic reproduction" means reproduction by

any photographic process and includes reproduction by

microprint or by microphotography on film and a

positive or negative copy.


(5) "State record" means a document, book, paper,

photograph, sound recording, or other material,

regardless of physical form or characteristic, made or

received by a state department or institution according

to law or in connection with the transaction of

official state business. The term does not include

library or museum material made or acquired and

preserved solely for reference or exhibition purposes,

an extra copy of a document preserved only for

convenience of reference, or a stock of publications or

of processed documents.


441.032. General Powers and Duties of Division.


(a) The Texas State Library and Archives Commission may

establish and maintain a records management division in the

state library.


(b) The division shall:


(1) manage all state records with the cooperation

of the heads of the various departments or

institutions in charge of the records; and


(2) operate a photographic laboratory to make

photographs, microphotographs, or reproductions on

film or to arrange for all or any part of the work

to be done by an established commercial agency

that meets the specifications established by this

section for the proper accomplishment of the work.


441.033. Director of Division.


(a) The commission shall appoint an assistant to serve as

the director of the records management division.


(b) To be eligible for appointment as director, a person

must have appropriate training and experience in the field

of government records management.


441.034. Classification of Records.


Under the direction of the records management division and with

the cooperation of the heads of departments and institutions, the

state records of the departments or institutions shall be

surveyed, indexed, and classified.


441.035. Destruction of Records.


(a) The director and librarian may transfer, destroy, or

otherwise dispose of a state record that has been consigned

by law to the custody of the director and librarian, that is

more than 10 years old, and that the director and librarian

determines to be valueless or of no further use to the state

as an official record if the comptroller, state auditor, and

attorney general agree with the director and librarian that

the preservation of the record is not necessary as evidence

and will serve no useful purpose in the future efficient

operation of state government. Any record disposed of as

agreed must be generally listed and referred to, and each

official shall consent to the disposition by subscribing to

the list.


(b) The director and librarian may destroy a record of a

local government that has been transferred or consigned by

law to the custody of the director and librarian if the

retention period for the record has expired in a records

retention schedule approved according to law. If the record

does not appear on a records retention schedule, it may be

destroyed if in the judgment of the director and librarian

it does not have sufficient historical value to merit

retention. An original record of a local government in the

custody of the director and librarian may be destroyed

before the expiration of its retention period if it is

microfilmed or duplicated on electronic media and the

microfilm or electronic media meets standards established by

the Texas State Library and Archives Commission under

Section 204.004 or 205.003, Local Government Code. A notice

of the destruction of the records shall be filed among the

records of the state library.


(c) Any state record that the director and librarian,

comptroller, state auditor, or attorney general considers

necessary to preserve may be preserved by microfilming the

record if funds are appropriated by the legislature to cover

the cost of microfilming for the state or are otherwise

available for that purpose. Once microfilmed, an original

record may be disposed of in a manner agreed on by the

officials. The microfilm copy constitutes an original for

all legal purposes.


(d) A state record determined to be no longer needed for the

operation of state government or replaced by microfilm copy

may be transferred to the archives division of the state

library if the director and librarian considers the record

to be of historical value.


(e) With the approval of the director and librarian, in

accordance with this section, the head of any department or

institution may destroy any state record in the custody of

the head of the department or institution that, in the

opinion of the head of the department or institution, does

not have any further legal, administrative, or historical

value. Before destroying the state record, the head of the

department or institution must file an application to do so

with the director and librarian that describes the original

purpose and the contents of the state record. In addition,

the approval of the state auditor is required in the case of

the destruction of a state record of a fiscal or financial

nature before the expiration of the retention period

recommended for that class of records by the director and

librarian in consultation with the state auditor.


441.036. Destruction of Certain Agency Records.


(a) An agency listed in Subsection (b) shall:


(1) examine all its books, papers, correspondence,

or records dated earlier than 1952 and stored with

the records management division;


(2) classify and index its records;


(3) furnish the records management division with a

copy of the index that includes a list of records

to be preserved;


(4) name a retention period on each record to be

stored for a definite time; and


(5) request destruction of any worthless record or

material as provided by Section 441.035(d).


(b) This section applies to the state auditor, State Board

of Barber Examiners, General Services Commission, Texas

Cosmetology Commission, Texas State Board of Medical

Examiners, Board of Pardons and Paroles, Board of Regents,

Texas State University System, Texas Department of Licensing

and Regulation, comptroller of public accounts, Court of

Appeals for the Third Court of Appeals District, governor,

Texas Department of Health, Texas Department of Insurance,

Legislative Budget Board, Parks and Wildlife Commission,

Railroad Commission of Texas, Texas Real Estate Commission,

secretary of state, State Securities Board, Teacher

Retirement System of Texas, Central Education Agency, Texas

State Library, Texas Natural Resource Conservation

Commission, and the state treasury department.


441.037. Duties of Head of Department or Institution Regarding

Records.


The head of any department or institution shall:


(1) establish and maintain an active, continuing

program for the economical and efficient management of

the records of the department or institution;


(2) make and maintain records containing adequate and

proper documentation of the organization, functions,

policies, decisions, procedures, and essential

transactions of the department or institution designed

to furnish information to protect the legal and

financial rights of the state and of any person

directly affected by activities of the department or

institution;


(3) submit to the director of the records management

division, in accordance with standards established by

the director, schedules proposing the length of time

after being adopted or received by the department or

institution each state records series should be

retained for administrative, legal, or fiscal purposes;


(4) submit a list of any state records in the custody

of the head of the department or institution that do

not have sufficient administrative, legal, or fiscal

value to warrant retention and that are to be disposed

of in accordance with Section 441.035; and


(5) act as or appoint an employee of the department or

institution performing other administrative duties to

act as a records administrator of the department or

institution and, in that role, to comply with the

rules, standards, and procedures issued by the director

of the records management division.


441.038. Photographic Reproductions.


(a) On request of the head of a department or institution,

or on the director and librarian's own initiative with the

consent of the head of the department or institution, the

director and librarian may provide for making photographic

reproductions of the state records of the department or

institution. State records are open to the director and

librarian for that purpose.


(b) Any photographic reproduction of a state record made by

microprint or by microphotography on film must comply with

the minimum standards of quality approved for permanent

photographic records by the National Bureau of Standards.


(c) Any device used to reproduce a state record must

accurately reproduce the original record in detail.


(d) The director and librarian may make photographic

reproductions for public use as follows:


(1) free of charge for official use of a

department or institution;


(2) for a fee to cover costs for official use of a

local government; or


(3) for standard commercial rates fixed by the

director and librarian for private use.


(e) Any money the state library receives in payment for

charges for photographic reproduction shall be deposited in

the state treasury.


(f) A state official may designate a photographic

reproduction of a state record in the officer's office as an

original record for all legal purposes, even though the

record is current. The officer may transfer the replaced

record to the director and librarian, who shall issue a

receipt for the record. The director and librarian may

further transfer or destroy the transferred record. Copies,

in any form, of a photographic reproduction that has been

designated an original record and certified or authenticated

according to the law may be introduced in evidence.


441.039. Auditor Reports on Records.


The state auditor may include in an audit report of a state

agency:


(1) the degree to which an agency has complied with

record disposal instructions and transfer agreements to

reduce filing space and equipment required to store

records;


(2) the date on which records last were reviewed for

transfer or disposal; and


(3) any revisions required in scheduled transfer and

disposal dates.


Preservation of Essential Records Act


Government Code, Chapter 441, Subchapter D


441.051. Short Title.


This subchapter may be cited as the Preservation of Essential

Records Act.


441.052. Definitions.


In this subchapter:


(1) "Agency" means a state executive, judicial,

legislative, or eleemosynary department, institution,

board, or commission.


(2) "Departmental records supervisor" means a person

having authority over a department's records.


(3) "Disaster" means a natural or man-made occurrence

of fire, flood, storm, earthquake, explosion, epidemic,

riot, sabotage, or other condition of extreme peril

resulting in substantial damage or injury to persons or

property in this state.


(4) "Essential record" means written or graphic

material that is made or received by an agency in the

conduct of official state business and that is filed or

intended to be preserved permanently or for a definite

period as a record of that business.


(5) "Preservation duplicate" means a copy of an

essential record used to preserve the record.


441.053. Records Management Interagency Coordinating Council.


(a) The Records Management Interagency Coordinating Council

is composed of each of the following officers or the

officer's designee:


(1) the secretary of state;


(2) the state auditor, who serves as a nonvoting

member;


(3) the comptroller of public accounts;


(4) the attorney general;


(5) the director and librarian;


(6) the executive director of the General Services

Commission; and


(7) the executive director of the Department of

Information Resources.


(b) The position of presiding officer rotates among the

members of the council. A term as presiding officer is two

years and expires on February 1 of each odd-numbered year.


(c) Service on the council is an additional duty of a

member's office or employment. A member of the council is

not entitled to compensation for performing the work of the

council but is entitled to reimbursement for actual expenses

incurred in performing that work.


(d) The council is subject to the open meetings law, Chapter

551.


(e) The council's member agencies shall provide the staff

for the council.


(f) The council shall:


(1) review the activities of each member agency

that affect the state's management of records;


(2) study other records management issues; and


(3) report its findings and any recommended

legislation to the governor and the legislature

not later than November 1 of each even-numbered

year.


(g) The council shall adopt policies that coordinate the

activities of each member agency and that make other

improvements in the state's management of records. The

council shall adopt policies under this subsection using the

rule-making procedures prescribed by Chapter 2001.


(h) Each member agency shall adopt the policies adopted

under Subsection (g) as the member agency's own rules,

except to the extent that the policies conflict with other

state or federal law.


(i) Each member agency shall report on its adoption and

implementation of rules under Subsection (h) to the council

not later than October 1 of each even-numbered year.


(j) In this section, "member agency" means each state

officer who is a member of the council or an agency that has

a representative who is a member of the council.


441.054. Records Preservation Officer.


The director of the records management division is the records

preservation officer. The records preservation officer shall

adopt rules concerning the selection and preservation of

essential records as necessary and proper to carry out the

purpose of this subchapter.


441.055. Bond.


The director and librarian and the records preservation officer

each shall execute and file with the secretary of state a good

and sufficient bond, payable to the state, in an amount set by

the committee consistent with the person's duties, and

conditioned on the faithful performance of those duties.


441.056. Categories of Essential Records.


Essential records in the following categories shall be preserved:


(1) Category A-Records containing information necessary

to the operation of government in an emergency created

by a disaster; and


(2) Category B-Records to protect the rights and

interests of individuals or to establish and affirm the

powers and duties of government in the resumption of

operation after a disaster.


441.057. Selection of Records.


(a) Each agency shall select the state records that are

essential to carry out its work and shall determine the

category of each record.


(b) Each departmental records supervisor, according to the

rules adopted by the records preservation officer, shall:


(1) inventory the state records in the

departmental records supervisor's custody or

control;


(2) submit to the records preservation officer a

report on the inventory containing, in addition to

the information required by the rules, specific

information showing which records are essential;

and


(3) periodically review the inventory and report

and if necessary revise the report so that it is

current, accurate, and complete.


441.058.Preservation Duplicates.


(a) The records preservation officer shall make preservation

duplicates or shall designate as preservation duplicates

existing copies of essential state records. A preservation

duplicate made by means of photography, microphotography,

photocopying, or microfilm must be made according to

standards that the records preservation officer prescribes

in conformity with the rules of the United States Bureau of

Standards.


(b) A preservation duplicate made by a process that

accurately reproduces or forms a durable medium for

accurately reproducing the original record has the same

force and effect for all purposes as the original record,

regardless of whether the original record exists. A

transcript, exemplification, or certified copy of such a

preservation duplicate is for all purposes a transcript,

exemplification, or certified copy of the original record.


441.059. Storage.


(a) The records preservation officer shall prescribe the

place and manner of safekeeping of essential records or

preservation duplicates and shall establish storage

facilities for the records and duplicates. At least one copy

of each essential record and a duplicate state seal shall be

stored in the safest possible location in facilities

constructed to withstand blast, fire, water, and other

destructive forces. The facilities must be in a place other

than the legally designated or customary storage location

for the records or duplicates. The records preservation

officer shall properly maintain essential records and

preservation duplicates that the records preservation

officer stores.


(b) The regularly designated custodian of an agency record

or preservation duplicate stored by the records preservation

officer may recall the record or duplicate for temporary use

as necessary for the proper conduct of an agency. The

custodian shall return the record or duplicate to the

records preservation officer immediately after the use.


(c) On request of the regularly designated custodian of an

essential record stored by the records preservation officer,

the records preservation officer shall provide the record

for inspection or the making of certified copies. Copies

certified by the records preservation officer have the same

force and effect as if certified by the regularly designated

custodian.


441.060. Confidentiality.


The departmental records supervisor shall label as confidential a

state record that is required by law to be treated in a

confidential manner. The records preservation officer and the

officer's staff shall protect the confidential nature of a

labeled record. An employee who fails in this responsibility

shall be dismissed from the employee's duties and may not hold

another state appointment.


441.061. Review.


At least once every two years the records preservation officer

and the committee shall review the entire program established by

this subchapter.


441.062. State Auditor's Report of Compliance.


In the audit of an agency the state auditor may report on the

agency's compliance with this subchapter.


Reduction and Simplification of Agency Paperwork


Government Code, Chapter 441, Subchapter K


441.171. Definitions.


In this subchapter:


(1) "Agency" means a state executive, judicial,

legislative, or eleemosynary department, institution,

board, or commission.


(2) "Committee" means the Records Management and

Preservation Advisory Committee created under Section

441.053.


441.172. Committee Powers and Duties.


(a) The committee shall make recommendations relating to the

reduction and simplification of paperwork generated by

agencies in the performance of their functions.


(b) In performing its duties under Subsection (a), the

committee shall develop a plan for:


(1) the reduction and simplification of agency

paperwork; and


(2) the analysis and classification of forms used

by agencies.


441.173. Report.


In the report submitted by the committee under Section

441.053(d), the committee shall include recommendations relating

to the reduction and simplification of state paperwork, including

proposals for legislation as necessary to implement the

recommendations.


441.174. Agency Cooperation.


Each agency shall fully cooperate in the implementation of this

subchapter. The agency shall analyze and classify the forms used

by the agency with the objective being form simplification and

overall reduction of paperwork in accordance with the plan

developed by the committee.


441.175. Review.


The records preservation officer and the committee shall review

the plan created under this subchapter at least once every two

years.


Right of Recovery


Government Code, Chapter 441, Section 441.0105


441.0105. Right of Recovery.


(a) The governing body of a state agency may demand and

receive from any person any state government record in

private possession the removal of which from the possession

of the agency or the agency's predecessor was not authorized

by law.


(b) The director and librarian may demand and receive from

any person any state government record of permanent value in

private possession.


(c) If the person in possession of the state government

record refuses to deliver the record on demand, the director

and librarian or the governing body of a state agency may

ask the attorney general to petition a district court in

Travis County for the recovery of the record as provided by

this section. If the court finds that the record is a state

government record, the court shall order the return of the

record to the custody of the state. As part of the petition

or at any time after its filing, the attorney general may

petition to have the record seized pending the determination

of the court if the director and librarian or governing body

finds the record is in danger of being destroyed, mutilated,

altered, secreted, or removed from the state.


(d) A state government record recovered as the result of a

petition by the attorney general shall be transferred to the

custody of the commission or other state agency for which

the return of the record was originally demanded.


(e) If the attorney general petitions a court for the

recovery of a record under Subsection (c) and prevails, the

court shall award attorney's fees and court costs to the

prevailing party.


(f) In this section, "state agency" means a state executive,

judicial, or legislative department, institution, board, or

commission, including an eleemosynary institution.


Cost Recovery for Records Storage Services


Government Code, Chapter 441, Section 441.017


441.017. Cost Recovery for Records Storage Services.


(a) This section:


(1) applies to a record stored by the commission

for a state agency; and


(2) does not apply to a record that is under the

permanent control of the commission for archival

purposes.


(b) The commission shall establish and keep current a cost

recovery schedule for its records storage services. The

schedule shall show the total cost, including indirect

costs, to the commission of its records storage services.


(c) Each state agency that will use the commission's records

storage services during a state fiscal biennium shall send

to the commission an estimate of the amount and nature of

the services that the agency will use during the biennium.

The commission shall prescribe:


(1) the time that the estimate must be sent; and


(2) the information that must be included in the

estimate.


(d) The commission shall base its legislative appropriations

request for providing records storage services to other

agencies for the biennium on the estimates received under

Subsection (c). The commission's appropriations request

must:


(1) show the estimated cost for each agency for

records storage services; and


(2) identify the estimated amount that would need

to be appropriated from the general revenue fund,

account in the general revenue fund, or other fund

or account to recover fully the commission's costs

in providing records storage services for other

agencies.


(e) The legislature may appropriate money to pay the

commission's costs in providing records storage services for

an agency:


(1) to the commission; or


(2) to the agency, which shall pay the commission

its costs as the services are provided.


(f) In this section, "agency" means a state executive,

judicial, or legislative department, institution, board, or

commission, including an eleemosynary institution.


Texas Sunset Act


Government Code, Chapter 325, Section 325.017


These provisions of the Texas Sunset Act determine the

disposition of the records of state agencies abolished as the

result of sunset review.


325.017. Procedure After Termination.


(a) A state agency that is abolished in an odd-numbered year

may continue in existence until September 1 of the following

year to conclude its business. Unless the law provides

otherwise, abolishment does not reduce or otherwise limit

the powers and authority of the state agency during the

concluding year. A state agency is terminated and shall

cease all activities at the expiration of the one-year

period.


(b), (c), (d), and (f) do not apply to records management.


(e) Unless the governor designates an appropriate state

agency as prescribed by Subsection (f), property and records

in the custody of an abolished state agency or advisory

committee on September 1 of the even-numbered year after

abolishment shall be transferred to the State Purchasing and

General Services Commission. If the governor designates an

appropriate state agency, the property and records shall be

transferred to the designated state agency.


Paper Supplies and Equipment


Government Code, Chapter 2051, Section 2051.021


2051.021. Uniform Size of Paper Supply and Cabinet.


(a) A state agency may not purchase:


(1) forms, bond paper, stationery, pads, or

similar paper supplies that exceed 8-1/2 inches by

11 inches in size; or


(2) a filing cabinet designed to store completed

documents that exceed 8-1/2 inches by 11 inches in

size.


(b) This section does not prohibit the purchase or use of:


(1) paper supplies that are perforated or

otherwise designed to produce completed documents

of 8-1/2 inches by 11 inches in size or smaller;


(2) fanfold paper designed for use in a computer

peripheral device; or


(3) forms or paper supplies used for:


(A) a document prepared on a form

developed by a national organization for

use by a state or a form designed to be

compatible with that document;


(B) preparation of a document required

by the federal government;


(C) maintenance of an accounting or

bookkeeping record;


(D) preparation of a financial report;


(E) a budget document;


(F) a nontextual computer report or

document;


(G) a chart, graph, table, or map;


(H) artwork;


(I) an architectural or engineering

draft or document;


(J) a diploma;


(K) an enlargement of small print

materials for a person with a visual

impairment;


(L) a resale purpose; or


(M) protection or preservation of a

historically valuable document.


(c) In this section, "state agency" means a board,

commission, department, office, institution, including an

institution of higher education as defined by Section

61.003, Education Code, or other agency of the state

government.


Tampering With Governmental Record


Penal Code, Chapter 37, Section 37.10


37.10. Tampering With Governmental Record.


(a) A person commits an offense if he:


(1) knowingly makes a false entry in, or false

alteration of, a governmental record;


(2) makes, presents, or uses any record, document,

or thing with knowledge of its falsity and with

intent that it shall be taken as a genuine

governmental record;


(3) intentionally destroys, conceals, removes, or

otherwise impairs the verity, legibility, or

availability of a governmental record;


(4) possesses, sells, or offers to sell a

governmental record or blank governmental record

form with intent that it be used unlawfully;


(5) makes, presents, or uses a governmental record

with knowledge of its falsity; or


(6) possess, sells, or offers to sell a

governmental record or blank governmental record

form with knowledge that it was obtained

unlawfully.


(b) It is an exception to the application of Subsection

(a)(3) that the governmental record is destroyed pursuant to

legal authorization. With regard to the destruction of a

local government record, legal authorization includes

compliance with the provisions of Subtitle C, Title 6, Local

Government Code.


(c) Except as provided in Subsection (d), an offense under

this section is a Class A misdemeanor unless the actor's

intent is to defraud or harm another, in which event the

offense is a state jail felony.


(d) An offense under this section is a felony of the third

degree if it is shown on the trial of the offense that the

governmental record was a license, certificate, permit,

seal, title, or similar document issued by government,

unless the actor's intent is to defraud or harm another, in

which event the offense is a felony of the second degree.


(e) It is an affirmative defense to prosecution for

possession under Subsection (a)(6) that the possession

occurred in the actual discharge of official duties as a

public servant.


(f) It is a defense to prosecution under Subsection (a)(1),

(a)(2), or (a)(5) that the false entry or false information

could have no effect on the government's purpose for

requiring the governmental record.


(g) A person is presumed to intend to defraud or harm

another if the person acts with respect to two or more of

the same type of governmental records or blank governmental

record forms and if each governmental record or blank

governmental record form is a license, certificate, permit,

seal, title, or similar document issued by government.


Electronic Records Standards and

Procedures


State Agency Bulletin Number One


As amended, effective 10 October 1995


Return to SLRM home page


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Administrative Rules of Texas State Library and Archives

Commission


Texas Administrative Code

Title 13, Chapter 6


6.91. Definitions.


The following words and terms, when used in this chapter, shall

have the following meanings, unless the context clearly indicates

otherwise. Terms not defined in these sections shall have the

meanings defined in the Government Code, 441.031-441.039 and

441.051-441.062.


AIIM-The Association for Information and Image

Management.


ANSI-The American National Standards Institute.


Archival record-A record of a state agency scheduled to

be reviewed by or that has been approved by an archives

for permanent preservation.


Database-(A) collection of digitally stored data

records; (B) collection of data elements within records

within files that have relationships with other records

within other files.


Database Management System (DBMS)-Set of programs

designed to organize, store, and retrieve

machine-readable information from a computer-maintained

database or data bank.


Data file-Related numeric, textual, sound, or graphic

information that is organized in a strictly prescribed

form and format.


Electronic media-All media capable of being read by a

computer including computer hard disks, magnetic tapes,

optical disks, or similar machine-readable media.


Electronic record-Any information that is recorded in a

form for computer processing and that satisfies the

definition of a state record in the Government Code,

441.031(5).


Electronic records system-Any information system that

produces, manipulates, and stores state records by

using a computer.


Records administrator-The person appointed by the head

of each state agency to act as the agency's

representative in all issues of records management

policy, responsibility, and statutory compliance.


Text documents-Narrative or tabular documents, such as

letters, memorandums, and reports, in loosely

prescribed form and format.


6.92. General.


(a) These sections establish the minimum requirements for

the maintenance, use, retention, and storage of:


(1) any electronic record of a state agency whose

retention period on the agency's records retention

schedule, certified under 6.4 of this title

(relating to Certification of Records Retention

Schedules and Amendments), is 10 years or more;


(2) any electronic record of a state agency whose

retention period on the Texas State Records

Retention Schedule, adopted under 6.10 of this

title (relating to Texas State Records Retention

Schedule), is 10 years or more, if the agency does

not have a certified records retention schedule;

and


(3) any archival electronic record of a state

agency.


(b) Unless otherwise noted, these requirements apply to all

electronic records storage systems, whether on

microcomputers, minicomputers, or main-frame computers,

regardless of storage media.


(c) An electronic storage authorization request certifying

that the requirements of these sections will be followed

must be submitted to and approved by the director and

librarian for all existing electronic storage, and before

any new electronic storage, of records subject to this

section. The authorization request must be submitted in a

form and manner to be determined by the director and

librarian and must be signed by the agency head or

designated records administrator.


(d) The agency head or designated records administrator

must:


(1) administer a program for the management of

records created, received, maintained, used, or

stored on electronic media;


(2) integrate the management of electronic records

with other records and information resources

management programs of the agency;


(3) incorporate electronic records management

objectives, responsibilities, and authorities in

pertinent agency directives;


(4) establish procedures for addressing records

management requirements, including recordkeeping

requirements and disposition;


(5) ensure that training is provided for users of

electronic records systems in the operation, care,

and handling of the equipment, software, and media

used in the system;


(6) ensure the development and maintenance of

up-to-date documentation about all electronic

records systems that is adequate to specify all

technical characteristics necessary for reading or

processing the records and the timely, authorized

disposition of records; and


(7) specify the location and media on which

electronic records are maintained to meet

retention requirements and maintain inventories of

electronic records systems to facilitate

disposition.


(e) Any electronic recordkeeping system not meeting the

provisions of these sections may be utilized for records

subject to this section provided the source document, if

any, or a paper copy is maintained, or the record is

microfilmed in accordance with the specifications in

American National Standard for Imaging Media

(Film)-Silver-Gelatin Type-Specifications for Stability

(ANSI IT9.1-1992).


6.93. Creation and Use of Data Files.


(a) Disposition instructions for the data must be

incorporated into electronic records systems that produce,

use, and store data files.


(b) State agencies must maintain up-to-date technical

documentation for each electronic records system that

produces, uses, and stores data files. Minimum documentation

required is:


(1) a narrative description of the system


(2) the physical and technical characteristics of

the records, including a record layout that

describes each field including its name, size,

starting or relative position, and a description

of the form of the data (such as alphabetic, zoned

decimal, packed decimal, or numeric), or a data

dictionary, or the equivalent information

associated with a database management system

including a description of the relationship

between data elements in databases; and


(3) any other technical information needed to read

or process the records.


6.94. Creation and Use of Text Documents.


(a) Electronic records systems that maintain the official

file copy of text documents or data used to generate the

official file copy of text documents on electronic media

must meet the following minimum requirements:


(1) provide a method for all authorized users of

the system to retrieve desired documents, such as

an indexing or text search system;


(2) provide security to ensure integrity of the

documents;


(3) provide a standard interchange format when

determined to be necessary by the agency to permit

the exchange of documents on electronic media

among the components of the agency using different

software/operating systems; and


(4) provide for the disposition of the documents

including, when necessary, the requirements for

transferring archival records to the State

Archives as detailed in 6.97 of this title

(relating to Retention of Electronic Records).


(b) A document created on an electronic records system must

be identified sufficiently to enable authorized personnel to

retrieve, protect, and carry out the disposition of

documents in the system. Agencies must ensure that records

maintained in such systems can be correlated with related

records on paper, microform, or other media.


6.95. Security of Electronic Records.


(a) State agencies must implement and maintain an electronic

records security program for office and storage areas that:


(1) ensures that only authorized personnel have

access to electronic records;


(2) provides for backup and recovery of records to

protect against information loss;


(3) ensures that personnel are trained to

safeguard confidential electronic records;


(4) minimizes the risk of unauthorized alteration

or erasure of electronic records; and


(5) documents that similar kinds of records

generated and stored electronically are created by

the same processes each time and have a

standardized retrieval approach.


(b) A duplicate copy of essential records and any software

or documentation required to retrieve and read the records

must be maintained in a storage area located in a separate

building from the building where the records that have been

copied are maintained.


(c) For records stored on rewritable electronic media, the

system must ensure that read/write privileges are controlled

and that an audit trail of rewrites is maintained.


6.96. Maintenance of Electronic Records Storage Media


(a) State agencies must ensure that the accuracy,

completeness, and accessibility of information are not lost

prior to its authorized destruction date because of changing

technology or media deterioration, by converting electronic

storage media and taking other action as required to provide

compatibility with current hardware and software. The

migration strategy for upgrading equipment as technology

evolves must be documented and include:


(1) periodically recopying to the same electronic

media as required, and/or transferring of data

from an obsolete technology to a supportable

technology; and


(2) providing backward system compatibility to the

data in the old system, and/or converting data to

media that the system upgrade and/or replacement

can support.


(b) Paragraphs (1)-(3) of this section outline the

maintenance of backup electronic media stored offsite.


(1) Magnetic computer tapes must be tested and

verified no more than 6 months prior to using them

to store electronic records. Pretesting of tapes

is not required if an automated system is used

that monitors read/write errors and there is a

procedure in place for correcting errors.


(2) The storage areas for electronic media must be

maintained within the following temperatures and

relative humidities:


(A) for magnetic media-65 degrees

Fahrenheit to 75 degrees Fahrenheit, and

30% to 50% relative humidity;


(B) for optical disks-14 degrees

Fahrenheit to 122 degrees Fahrenheit,

and 10% to 90% relative humidity.


(3) A random sample of all magnetic computer tapes

must be read annually to identify any loss of data

and to discover and correct the causes of data

loss. At least a 10% sample or a sample size of 50

magnetic tapes, whichever is less, must be read.

Tapes with unrecoverable errors must be replaced

and, when possible, lost data must be restored.

All other tapes which might have been affected by

the same cause (i. e. poor quality tape, high

usage, poor environment, improper handling) must

be read and corrected.


(c) State agencies must recopy data maintained on electronic

media according to the following schedule.


(1) Data maintained on magnetic tape must be

recopied onto new or used tape a minimum of once

every three years.


(2) An alternative option for recopying magnetic

tape is for the data to be recopied onto new tape

a minimum of once every ten years, provided the

tape is rewound under controlled tension every

three and one-half years. The requirement for

rewinding does not apply to 3480-type tape

cartridges.


(3) Data maintained on optical disks must be

recopied a minimum of once every 10 years.


(d) Floppy disks (diskettes) or any type of flexible disk

system may not be used for the exclusive storage of records

subject to these sections.


(e) External labels, or an eye-readable index relating to

unique identifiers, for electronic media used to process or

store electronic records must include the following

information:


(1) name or other identifier of the organizational

unit responsible for the records;


(2) descriptive title of the contents;


(3) dates of creation and authorized disposition

date;


(4) security classification;


(5) identification of the software (to include

specific application if appropriate) and hardware

used; and


(6) system title, including the version number of

the application.


(f) Additionally, the following information must be

maintained for electronic media used to store permanent

electronic records:


(1) file title(s);


(2) dates of coverage;


(3) the recording density;


(4) type of internal labels;


(5) volume serial number, if applicable;


(6) the number of tracks;


(7) character code/software dependency;


(8) information about block size;


(9) sequence number, if the file is part of a

multi-media set; and


(10) relative starting position of data, if

applicable.


(g) The following standards must be met for electronic

records stored as digital images on optical media.


(1) A non-proprietary image file header label must

be used, or the system developer must provide a

bridge to a non-proprietary image file header

label, or the system developer must supply a

detailed definition of image file header label

structure.


(2) The system hardware and/or software must

provide a quality assurance capability that

verifies information that is written to the

optical media.


(3) Periodic maintenance of optical data storage

systems is required, including an annual

recalibration of the optical drives.


(4) Scanner quality must be evaluated based on the

standard procedures in American National Standard

for Information and Image Management-Recommended

Practice for Quality Control of Image Scanners

(ANSI/AIIM MS44-1988) and American National

Standard for Information and Image

Management-Recommended Practice for Monitoring

Image Quality of Roll Microfilm and Microfiche

Scanners (ANSI/AIIM MS49-1993).


(5) A visual quality control evaluation must be

performed for each scanned image and related index

data.


(6) A scanning density with a minimum of 200 dots

per inch is required for recording documents that

contain no type font smaller than six point.


(7) A scanning density with a minimum of 300 dots

per inch is required for engineering drawings,

maps, and other documents with background detail.


(8) The selected scanning density must be

validated with tests on actual documents.


(9) The use of the Consultative Committee on

International Telegraphy and Telephony (CCITT)

Group 3 or Group 4 compression techniques is

required for document images without continuous

tonal qualities. If use of a proprietary

compression technique is unavoidable, the vendor

must provide a gateway to either Group 3 or Group

4 compression techniques.


(10) Optical drive systems must not be operated in

environments with high levels of airborne

particulates.


(11) All aspects of the design and use of the

imaging system must be documented, including

administrative procedures for digital imaging,

retrieval, and storage; technical system

specifications; problems encountered; and measures

taken to address them, including hardware and

software modifications.


(h) Smoking, drinking, and eating must be prohibited in

electronic media storage areas.


6.97. Retention of Electronic Records.


(a) State agencies must establish policies and procedures to

ensure that electronic records and any software, hardware,

and/or documentation, including maintenance documentation,

required to retrieve and read the electronic records are

retained as long as the approved retention period for the

electronic records.


(b) The retention procedures must include provisions for:


(1) scheduling the disposition of all electronic

records, according to statutory requirements, as

well as related software, documentation, and

indexes; and


(2) establishing procedures for regular recopying,

reformatting, and other necessary maintenance to

ensure the retention and usability of electronic

records until the expiration of their retention

periods.


(c) State records having archival value and scheduled to be

preserved at the State Archives must be transferred to the

State Archives as the source document, or printed out on

alkaline paper for computer generated information, or on

microforms that meet the specifications in American National

Standard for Imaging Media (Film)-Silver-Gelatin

Type-Specifications for Stability (ANSI IT9.1-1992).


6.98. Destruction of Electronic Records.


(a) Electronic records may be destroyed only in accordance

with a records retention schedule approved by the director

and librarian and the state auditor or, in lieu of an

approved records retention schedule, an approved records

disposition authorization request.


(b) Each state agency must ensure that:


(1) electronic records scheduled for destruction

are disposed of in a manner that ensures

protection of any confidential information; and


(2) magnetic storage media previously used for

electronic records containing confidential

information are not reused if the previously

recorded information can be compromised by reuse

in any way.


(c) The following requirements must be met for the court

ordered expungement of information recorded on an optical

Write-Once-Read-Many (WORM) system.


(1) Two methods are allowed for expunging

information from a WORM disk:


(A) the information may be overwritten

to obliterate the original image,

leaving no evidence of the original

information, or;


(B) all of the indices, pages, or

documents on a disk, other than the

expunged document(s), must be rewritten

to a new disk and the old disk must be

physically destroyed.


(2) In cases where a complete page or record is

expunged, all reference to the page or record must

be removed from the index. If the index has been

copied, the index must be recopied after the

reference to the page or record has been removed.


(3) Copies of the original WORM disk and copies of

the information removed by expungement must be

destroyed or changed to reflect the court order.

All copies of the record, index, or reference to

the original unrevised information on WORM disk

copies or copies in any other media must be

destroyed.


6.99. Public Access to Electronic Records.


An electronic recordkeeping system must not provide an impediment

to access to public records.


State and Local Records Management Division

Box 12927 Austin TX 78711-2927

Records Center 512-454-2705

Records Management 512-452-9242

ramona.cearley@tsl.state.tx.us


[Return to SLRM home page]


Electronic Records Standards and Procedures


Local Government Bulletin Number Two


Second edition, October 1995

(with amendments to administrative rules effective 2 October

1995)


Return to SLRM home page

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This bulletin contains the statutory law governing the electronic

storage of records by local governments (Local Government Code,

Chapter 205) and administrative rules concerning electronic

records adopted under authority of the statute by the Texas State

Library and Archives Commission (Texas Administrative Code, Title

13, Chapter 7).


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LOCAL GOVERNMENT CODE

Chapter 205


205.001. Definitions.

In this chapter:


(1) "Electronic storage" means the maintenance of local

government record data in the form of digital electronic signals

on a computer hard disk, magnetic tape, optical disk, or similar

machine-readable medium.

(2) "Local government record data" means the information that by

law, regulation, rule of court, ordinance, or administrative

procedure in a local government comprises a local government

record as defined by Section 201.003.

(3) "Source document" means the local government record from

which local government record data is obtained for electronic

storage. The term does not include backup copies of the data in

any media generated from electronic storage.


205.002. Authorization.

Any local government record data may be stored electronically in addition

to or instead of source documents in paper or other media, subject to the

requirements of this chapter and rules adopted under it.

205.003. Standards and Procedures to be Adopted.

(a) The commission shall adopt rules establishing standards and

procedures for the electronic storage of any local government record

data of permanent value and may adopt rules establishing standards and

procedures for the electronic storage of any local government record

data whose retention period is at least 10 years on a records

retention schedule issued by the commission. The rules must be

approved as required by Section 441.165, Government Code.

(b) With regard to the types of local government record data covered

by Subsection (a), the rules may require or prescribe:


(1) standards and procedures for the generation of backup or

preservation copies of the local government record data on paper,

microfilm, electronic, or other approved media;

(2) standards and procedures for the recopying or duplication of

the magnetic tape, optical disk, or similar machine-readable

medium on which the local government record data are stored;

(3) standards and procedures for the physical storage and

maintenance of magnetic tapes, optical disks, or similar

machine-readable media;

(4) standards and procedures for providing access by members of

the public to electronically stored local government record data

to which they are entitled under law; and

(5) other standards and procedures that the commission considers

necessary to ensure the availability, readability, or integrity

of the local government record data.


205.004. Rules to be Updated.

The director and librarian shall monitor standards and procedures relating

to electronic storage developed for use by federal agencies or adopted by

national organizations that develop and set standards in the fields of

records and information management in order to recommend to the commission

any needed amendments to rules.

205.005. Supreme Court Rules.

This chapter is not intended to conflict with Subchapter I, Chapter 51,

Government Code, relating to the electronic filing of certain documents in

district and county courts. The commission shall incorporate any rules

adopted under that subchapter into its own.

205.006. Index.

An index to local government record data stored electronically must provide

the same information that may be required by state law for an index to the

source document, if applicable.

205.007. Electronic Storage Authorization Requests.

(a) Before the electronic storage of any local government record data

of permanent value or, if stipulated in commission rules, any local

government record data whose retention period is at least 10 years on

a records retention schedule issued by the commission, an electronic

storage authorization request shall be submitted to the director and

librarian for approval.

(b) Electronic storage authorization requests shall be submitted by

the records management officer or under the officer's direction or, if

a records management officer has not yet been designated under Section

203.025, by the custodian of the local government record data to be

stored electronically.

(c) If the director and librarian or the designee of the director and

librarian approves the request, the local government record data may

be stored electronically.

(d) If the director and librarian or the designee of the director and

librarian disapproves the request, the reasons for the disapproval

shall be stated in writing within a reasonable time to the records

management officer or custodian. Electronic storage of the local

government record data may not take place until an electronic storage

authorization request receives the approval of the director and

librarian or the designee of the director and librarian.

(e) The director and librarian or the designee of the director and

librarian may disapprove an electronic storage authorization request

only if the standards and procedures proposed for the electronic

storage of the local government record data are in violation of this

chapter or rules adopted under it.

(f) The director and librarian shall determine the form and manner of

submission of authorization requests required by this chapter.

205.008. Destruction of Source Documents.

(a) The source document, if any, for electronically stored local

government record data covered by Section 205.007(a) may be destroyed

or returned to the person who filed it for record if the electronic

storage authorization request is approved.

(b) The magnetic tape, optical disk, or similar medium containing the

local government record data and the hardware and software necessary

to provide access to it must be retained by the local government or be

available to the local government until the expiration of the

retention period for all source documents, subject to the rules

adopted under this chapter.

(c) The source document, if any, for electronically stored local

government record data not covered by Section 205.007(a) may be

destroyed before the expiration of the retention period for the source

document in a records retention schedule issued by the commission if

the magnetic tape, optical disk, or similar medium and hardware and

software necessary to provide access to local government record data

on the media are retained for the retention period in the schedule.

Conversely, the magnetic tape, optical disk, or similar medium may be

erased, written over, or destroyed before the expiration of the

retention period for a source document for local government record

data not covered by Section 205.007(a), if the source document, if

any, is retained until the expiration of its retention period or, if

the source document has already been destroyed, paper or microfilm

copies are generated from the magnetic tape, optical disk, or similar

medium before destruction or erasure and retained until the expiration

of the retention period for the source document.

205.009. Denial of Access Prohibited.

A person under contract or agreement with a local government or elected

county officer to create, file, or store local government record data

electronically or to provide services, equipment, or the means for the

creation, filing, or storage, may not, under any circumstances, refuse to

provide local government record data to the local government in a timely

manner in a format accessible and useable by the local government.


Texas Administrative Code

Title 13, Chapter 7


7.71. Definitions.

The following words and terms, when used in this chapter, shall have the

following meanings, unless the context clearly indicates otherwise. Terms

not defined in these sections shall have the meanings defined in the Local

Government Code, Title 6, Subtitle C, Chapter 201.


AIIM-The Association for Information and Image Management.

ANSI-The American National Standards Institute.

Database-(A) collection of digitally stored data records, (B)

collection of data elements within records within files that have

relationships with other records within other files.

Database Management System (DBMS)-Set of programs designed to

organize, store, and retrieve machine-readable information from a

computer-maintained database or data bank.

Data file-Related numeric, textual, sound, or graphic information

that is organized in a strictly prescribed form and format.

Electronic media-All media capable of being read by a computer

including computer hard disks, magnetic tapes, optical disks, or

similar machine-readable media

Electronic record-Any information that is recorded in a form for

computer processing and that satisfies the definition of local

government record data in the Local Government Code, 205.001.

Electronic record system-Any information system that produces,

manipulates, and stores local government records by using a

computer.

Records custodian-The appointed or elected public officer who by

the state constitution, state law, ordinance, or administrative

policy is in charge of an office that creates or receives local

government records.

Records management officer-Each elected county officer or the

person designated by the governing body of each local government

pursuant to the Local Government Code, 203.025.

Text documents-Narrative or tabular documents, such as letters,

memorandums, and reports, in loosely prescribed form and format.


7.72. General.

(a) These sections establish the minimum requirements for the

maintenance, use, retention, and storage of any electronic record of a

local government whose retention period is 10 years or more on a

records retention schedule adopted under 7.125 of this title

(relating to Records Retention Schedules). These sections do not apply

to electronic records with retention periods of less than 10 years,

but they are subject to the applicable provisions of the Local

Government Code, Chapter 205.

(b) Unless otherwise noted, these requirements apply to all electronic

records storage systems, whether on microcomputers, minicomputers, or

main-frame computers, regardless of storage media.

(c) An electronic storage authorization request certifying that the

requirements of these sections will be followed must be submitted to

and approved by the director and librarian for all existing electronic

storage, and before any new electronic storage, of records subject to

this section. The authorization request must be submitted in a form

and manner to be determined by the director and librarian and must be

signed by the records management officer.

(d) The governing body of a local government and its records

management officer in cooperation with records custodians must:


(1) administer a program for the management of records created,

received, maintained, used, or stored on electronic media;

(2) integrate the management of electronic records with other

records and information resources management programs;

(3) incorporate electronic records management objectives,

responsibilities, and authorities in pertinent directives;

(4) establish procedures for addressing records management

requirements, including recordkeeping requirements and

disposition;

(5) ensure that training is provided for users of electronic

records systems in the operation, care, and handling of the

equipment, software, and media used in the system;

(6) ensure the development and maintenance of up-to-date

documentation about all electronic records systems that is

adequate to specify all technical characteristics necessary for

reading or processing the records and the timely, authorized

disposition of records; and

(7) specify the location and media on which electronic records

are maintained to meet retention requirements and maintain

inventories of electronic records systems to facilitate

disposition.


(e) Any electronic recordkeeping system not meeting the provisions of

these sections may be utilized for records subject to this section

provided the source document, if any, or a paper copy is maintained,

or the record is microfilmed in accordance with the provisions of

Local Government Code, Chapter 204, and the rules adopted under it.

7.73. Creation and Use of Data Files.

(a) Disposition instructions for the data must be incorporated into

electronic records systems that produce, use, and store data files.

(b) Local governments must maintain up-to-date technical documentation

for each electronic records system that produces, uses, and stores

data files. Minimum documentation required is:


(1) a narrative description of the system;

(2) the physical and technical characteristics of the records,

including a record layout that describes each field including its

name, size, starting or relative position, and a description of

the form of the data (such as alphabetic, zoned decimal, packed

decimal, or numeric), or a data dictionary, or the equivalent

information associated with a database management system

including a description of the relationship between data elements

in databases; and

(3) any other technical information needed to read or process the

records.


7.74. Creation and Use of Text Documents.

(a) Electronic records systems that maintain the official file copy of

text documents or data used to generate the official file copy of text

documents on electronic media must meet the following minimum

requirements:


(1) provide a method for all authorized users of the system to

retrieve desired documents, such as an indexing or text search

system;

(2) provide security to ensure integrity of the documents;

(3) provide a standard interchange format when determined to be

necessary by the local government to permit the exchange of

documents on electronic media among the components of the local

government using different software/operating systems; and

(4) provide for the disposition of the documents.


(b) A document created on an electronic records system must be

identified sufficiently to enable authorized personnel to retrieve,

protect, and carry out the disposition of documents in the system.

Local governments must ensure that records maintained in such systems

can be correlated with related records on paper, microform, or other

media.

7.75. Security of Electronic Records

(a) Local governments must implement and maintain an electronic

records security program for office and storage areas that:


(1) ensures that only authorized personnel have access to

electronic records;

(2) provides for backup and recovery of records to protect

against information loss;

(3) ensures that personnel are trained to safeguard confidential

electronic records;

(4) minimizes the risk of unauthorized alteration or erasure of

electronic records; and

(5) documents that similar kinds of records generated and stored

electronically are created by the same processes each time and

have a standardized retrieval approach.


(b) A duplicate copy of essential records and any software or

documentation required to retrieve and read the records must be

maintained in a storage area located in a separate building from the

building where the records that have been copied are maintained.

(c) For records stored on rewritable electronic media, the system must

ensure that read/write privileges are controlled and that an audit

trail of rewrites is maintained.

7.76. Maintenance of Electronic Records Storage Media.

(a) Local governments must ensure that the accuracy, completeness, and

accessibility of information are not lost prior to its authorized

destruction date because of changing technology or media

deterioration, by converting electronic storage media and taking other

action as required to provide compatibility with current hardware and

software. The migration strategy for upgrading equipment as technology

evolves must be documented and include:


(1) periodically recopying to the same electronic media as

required, and/or transferring of data from an obsolete technology

to a supportable technology; and

(2) providing backward system compatibility to the data in the

old system, and/or converting data to media that the system

upgrade and/or replacement can support.


(b) Paragraphs (1) - (3) of this subsection outline the maintenance of

backup electronic media stored offsite.


(1) Magnetic computer tapes must be tested and verified no more

than 6 months prior to using them to store electronic records.

Pretesting of tapes is not required if an automated system is

used that monitors read/write errors and there is a procedure in

place for correcting errors.

(2) The storage areas for electronic media must be maintained

within the following temperatures and relative humidities:


(A) for magnetic media-65 degrees Fahrenheit to 75 degrees

Fahrenheit, and 30% to 50% relative humidity;

(B) for optical disks-14 degrees Fahrenheit to 122 degrees

Fahrenheit, and 10% to 90% relative humidity.


(3) A random sample of all magnetic computer tapes must be read

annually to identify any loss of data and to discover and correct

the causes of data loss. At least a 10% sample or a sample size

of 50 magnetic tapes, whichever is less, must be read. Tapes with

unrecoverable errors must be replaced and, when possible, lost

data must be restored. All other tapes which might have been

affected by the same cause (i. e. poor quality tape, high usage,

poor environment, improper handling) must be read and corrected.


(c) Local governments must recopy data maintained on electronic media

according to the following schedule.


(1) Data maintained on magnetic tape must be recopied onto new or

used tape a minimum of once every three years.

(2) An alternative option for recopying magnetic tape is for the

data to be recopied onto new tape a minimum of once every ten

years, provided the tape is rewound under controlled tension

every three and one-half years. The requirement for rewinding

does not apply to 3480-type tape cartridges.

(3) Data maintained on optical disks must be recopied a minimum

of once every 10 years.


(d) Floppy disks (diskettes) or any type of flexible disk system may

not be used for the exclusive storage of records subject to these

sections.

(e) External labels, or an eye-readable index relating to unique

identifiers, for electronic media used to process or store electronic

records must include the following information:


(1) name or other identifier of the organizational unit

responsible for the records;

(2) descriptive title of the contents;

(3) dates of creation and authorized disposition date;

(4) security classification;

(5) identification of the software (to include specific

application if appropriate) and hardware used; and

(6) system title, including the version number of the

application.


(f) Additionally, the following information must be maintained for

electronic media used to store permanent electronic records:


(1) file title(s);

(2) dates of coverage;

(3) the recording density;

(4) type of internal labels;

(5) volume serial number, if applicable;

(6) the number of tracks;

(7) character code/software dependency;

(8) information about block size; (10) relative starting position

of data, if applicable.


(g) The following standards must be met for electronic records stored

as digital images on optical media.


(1) A non-proprietary image file header label must be used, or

the system developer must provide a bridge to a non-proprietary

image file header label, or the system developer must supply a

detailed definition of image file header label structure.

(2) The system hardware and/or software must provide a quality

assurance capability that verifies information that is written to

the optical media.

(3) Periodic maintenance of optical data storage systems is

required, including an annual recalibration of the optical

drives.

(4) Scanner quality must be evaluated based on the standard

procedures in American National Standard for Information and

Image Management-Recommended Practice for Quality Control of

Image Scanners (ANSI/AIIM MS44-1988) and American National

Standard for Information and Image Management-Recommended

Practice for Monitoring Image Quality of Roll Microfilm and

Microfiche Scanners (ANSI/AIIM MS49-1993).

(5) A visual quality control evaluation must be performed for

each scanned image and related index data.

(6) A scanning density with a minimum of 200 dots per inch is

required for recording documents that contain no type font

smaller than six point.

(7) A scanning density with a minimum of 300 dots per inch is

required for engineering drawings, maps, and other documents with

background detail.

(8) The selected scanning density must be validated with tests on

actual documents.

(9) The use of the Consultative Committee on International

Telegraphy and Telephony (CCITT) Group 3 or Group 4 compression

techniques is required for document images without continuous

tonal qualities. If use of a proprietary compression technique is

unavoidable, the vendor must provide a gateway to either Group 3

or Group 4 compression techniques.

(10) Optical drive systems must not be operated in environments

with high levels of airborne particulates.

(11) All aspects of the design and use of the imaging system must

be documented, including administrative procedures for digital

imaging, retrieval, and storage; technical system specifications;

problems encountered; and measures taken to address them,

including hardware and software modifications.


(h) Smoking, drinking, and eating must be prohibited in electronic

media storage areas.

7.77. Retention of Electronic Records.

(a) Local governments must establish policies and procedures to ensure

that electronic records and any software, hardware, and/or

documentation, including maintenance documentation, required to

retrieve and read the electronic records are retained as long as the

approved retention period for the electronic records.

(b) The retention procedures must include provisions for:


(1) scheduling the disposition of all electronic records,

according to statutory requirements, as well as related software,

documentation, and indexes; and

(2) establishing procedures for regular recopying, reformatting,

and other necessary maintenance to ensure the retention and

usability of electronic records until the expiration of their

retention periods.


7.78. Destruction of Electronic Records.

(a) Electronic records may be destroyed only in accordance with the

Local Government Code, 202.001.

(b) Each local government must ensure that:


(1) electronic records scheduled for destruction are disposed of

in a manner that ensures protection of any confidential

information; and

(2) magnetic storage media previously used for electronic records

containing confidential information are not reused if the

previously recorded information can be compromised by reuse in

any way.


(c) The following requirements must be met for the court ordered

expungement of information recorded on an optical Write-Once-Read-Many

(WORM) system:


(1) Two methods are allowed for expunging information from a WORM

disk: (A) the information may be overwritten to obliterate the

original image, leaving no evidence of the original information,

or;

(B) all of the indices, pages, or documents on a disk, other than

the expunged document(s), must be rewritten to a new disk and the

old disk must be physically destroyed.


(2) In cases where a complete page or record is expunged, all reference to

the page or record must be removed from the index. If the index has been

copied, the index must be recopied after the reference to the page or

record has been removed.

(3) Copies of the original WORM disk and copies of the information

removed by expungement must be destroyed or changed to reflect the

court order. All copies of the record, index, or reference to the

original unrevised information on WORM disk copies or copies in any

other media must be destroyed.


7.79. Public Access to Electronic Records.

An electronic recordkeeping system must not provide an impediment to access

to public records.


Local Government Records Act

Local Government Bulletin Number Four

Third edition, June 1995

(incorporating amendments, effective 1

September 1995, enacted by the 74th

Legislature)

---------------------------------------------------------------------------


This bulletin contains the text of the Local Government Records

Act of 1989 (Chapters 201 to 205, Local Government Code) and

provisions of Chapter 441, Government Code, relating to the

administration of the Act.


---------------------------------------------------------------------------


LOCAL GOVERNMENT CODE


Title 6. Records


Subtitle C. Records Provisions Applying To More Than One Type of

Local Government


Chapter 201. General Provisions


201.001. Short Title

201.002. Purpose

201.003. Definitions

201.004. Record Books

201.005. Declaration of Records as Public Property; Access

201.006. Records to be Delivered to Successor in Office

201.007. Records of Abolished Local Governments

201.008. Records of Abolished Offices of County Superintendent

of Schools

201.009. Access to Records


Chapter 202. Destruction and Alienation of Records


202.001. Destruction of Records

202.002. Litigation and Open Records Requests

202.003. Method of Destruction

202.004. Alienation of Records

202.005. Right of Recovery

202.006. Destruction of Nonrecord Material

202.007. Personal Liability

202.008. Penalty: Destruction or Alienation of Record

202.009. Penalty: Possession of Record by Private Entity


Chapter 203. Management and Preservation of Records


Subchapter A. Elective County Offices


203.001. Records Management Officer

203.002. Duties and Responsibilities of Elected County Officers

as Records Management Officers

203.003. Duties of Commissioners Court

203.004. Director and Librarian

203.005. Records Management Program to be Established


Subchapter B. All Other Local Government Offices


203.021. Duties and Responsibilities of Governing Body

203.022. Duties and Responsibilities of Custodians

203.023. Duties of Records Management Officers

203.024. Director and Librarian

203.025. Designation of Records Management Officer

203.026. Records Management Program to be Established


Subchapter C. Records Control Schedules


203.041. Preparation and Filing of Records Control Schedules

203.042. Retention Periods

203.043. Filing of Records Control Schedules

203.044. Initial Destruction of Obsolete Records

203.045. Destruction of Unscheduled Records

203.046. Recordkeeping Requirements

203.047. New Local Governments

203.048. Care of Records of Permanent Value

203.049. Transfer of Records of Permanent Value

203.050. Inspection of Permanent Records


Chapter 204. Microfilming of Records


204.001. Definitions

204.002. Authorization

204.003. Microfilm Produced Under Prior Law

204.004. Standards and Procedures

204.005. Rules to be Updated

204.006. Indexing

204.007. Destruction of Original Records

204.008. Destruction of Permanent Records

204.009. Microfilm of Permanent Records to be Supplied

204.010. Commercial Microfilm Storage Facilities

204.011. Effective as Original Record


Chapter 205. Electronic Storage of Records


205.001. Definitions

205.002. Authorization

205.003. Standards and Procedures to be Adopted

205.004. Rules to be Updated

205.005. Supreme Court Rules

205.006. Index

205.007. Electronic Storage Authorization Requests

205.008. Destruction of Source Documents

205.009. Denial of Access Prohibited


Chapter 201. General Provisions


201.001. Short Title.


This subtitle may be cited as the Local Government Records Act.


201.002. Purpose.


Recognizing that the citizens of the state have a right to

expect, and the state has an obligation to foster, efficient and

cost-effective government and recognizing the central importance

of local government records in the lives of all citizens, the

legislature finds that:


(1) the efficient management of local government

records is necessary to the effective and economic

operation of local and state government;


(2) the preservation of local government records of

permanent value is necessary to provide the people of

the state with resources concerning their history and

to document their rights of citizenship and property;


(3) convenient access to advice and assistance based on

well-established and professionally recognized records

management techniques and practices is necessary to

promote the establishment of sound records management

programs in local governments, and the state can

provide the assistance impartially and uniformly; and


(4) the establishment of uniform standards and

procedures for the maintenance, preservation,

microfilming, or other disposition of local government

records is necessary to fulfill these important public

purposes.


201.003. Definitions.


In this subtitle:

(1) "Commission" means the Texas State Library and

Archives Commission.


(2) "Custodian" means the appointed or elected public

officer who by the state constitution, state law,

ordinance, or administrative policy is in charge of an

office that creates or receives local government

records.


(3) "Designee" means an employee of the commission

designated by the director and librarian as provided by

Section 441.167, Government Code.


(4) "Director and librarian" means the executive and

administrative officer of the Texas State Library and

Archives Commission.


(5) "Essential record" means any local government

record necessary to the resumption or continuation of

government operations in an emergency or disaster, to

the re-creation of the legal and financial status of

the government, or to the protection and fulfillment of

obligations to the people of the state.


(6) "Governing body" means the court, council, board,

commission, or other body established or authorized by

law to govern the operations of a local government. In

those instances in which authority over an office or

department of a local government is shared by two or

more governing bodies or by a governing body and the

state, the governing body, for the purposes of this

subtitle only, is the governing body that provides most

of the operational funding for the office or

department.


(7) "Local government" means a county, including all

district and precinct offices of a county,

municipality, public school district, appraisal

district, or any other special-purpose district or

authority.


(8) "Local government record" means any document,

paper, letter, book, map, photograph, sound or video

recording, microfilm, magnetic tape, electronic medium,

or other information recording medium, 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 a local

government or any of its officers or employees pursuant

to law, including an ordinance, or in the transaction

of public business. The term does not include:


(A) extra identical copies of documents

created only for convenience of reference or

research by officers or employees of the

local government;


(B) notes, journals, diaries, and similar

documents created by an officer or employee

of the local government for the officer's or

employee's personal convenience;


(C) blank forms;


(D) stocks of publications;


(E) library and museum materials acquired

solely for the purposes of reference or

display; or


(F) 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

Statutes), or other state law.


(9) "Office" means any office, department, division,

program, commission, bureau, board, committee, or

similar entity of a local government.


(10) "Permanent record" or "record of permanent value"

means any local government record for which the

retention period on a records retention schedule issued

by the commission is given as permanent.


(11) "Record" means a local government record.


(12) "Records control schedule" means a document

prepared by or under the authority of the records

management officer listing the records maintained by a

local government or an elective county office, their

retention periods, and other records disposition

information that the records management program in each

local government or elective county office may require.


(13) "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 essential 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.


(14) "Records management officer" means the person

identified under Section 203.001 or designated under

Section 203.025 as the records management officer.


(15) "Records retention schedule" means a document

issued by the Texas State Library and Archives

Commission under authority of Subchapter J, Chapter

441, Government Code, establishing mandatory retention

periods for local government records.


(16) "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.


201.004. Record Books.


If a state law relating to the keeping of records by a local

government officer or employee requires the records to be kept in

a "book," "record book," or "well-bound book," or contains any

similar requirement that a record be maintained in bound paper

form, the record whose creation is called for in the provision

may be maintained on microfilm or stored electronically in

accordance with the requirements of Chapters 204 and 205 and

rules adopted under those chapters unless the law specifically

prohibits those methods.


201.005. Declaration of Records as Public Property; Access.


(a) Local government records created or received in the

transaction of official business or the creation or

maintenance of which were paid for by public funds are

declared to be public property and are subject to the

provisions of this subtitle and Subchapter J, Chapter 441,

Government Code.


(b) A local government officer or employee does not have, by

virtue of the officer's or employee's position, any personal

or property right to a local government record even though

the officer or employee developed or compiled it.


201.006. Records to be Delivered to Successor in Office.


(a) A custodian of local government records shall, at the

expiration of the custodian's term of office, appointment,

or employment, deliver to the custodian's successor, if

there is one, all local government records in custody. If

there is no successor, the governing body shall determine

which officer of the local government shall have custody.


(b) If the functions of an office of one local government

are assumed by another local government, the governing

bodies of the two local governments shall determine in which

local government custody of the records of the office shall

be vested.


201.007. Records of Abolished Local Governments.


(a) If a local government is abolished or declared void

pursuant to state law, the records of the local government

shall be dealt with according to this section.


(b) After the settlement of the outstanding indebtedness of

an abolished municipality and the satisfaction of the other

applicable requirements of Chapter 62, Local Government

Code, the municipality's governing body at the time the

municipality is abolished, or the receiver or trustees if

appointed by a court, shall transfer the records of the

municipality to the custody of the commission. A record of

an abolished municipality may not be sold to satisfy an

outstanding indebtedness.


(c) After the settlement of the outstanding indebtedness of

an abolished special-purpose district or authority, other

than a school district, and the satisfaction of the other

applicable requirements of state law establishing or

permitting the establishment of the district or authority or

governing its abolition, the district's governing body at

the time the district is abolished shall transfer the

records of the district to the custody of the commission. A

record of an abolished special-purpose district or authority

may not be sold to satisfy an outstanding indebtedness.


(d) As an exception to Subsections (b) and (c), if some or

all of the functions of an abolished municipality or

special-purpose district or authority, other than a school

district, are assumed by another local government, the

records of the abolished local government relating to the

assumed functions shall be transferred to the appropriate

offices of the local government assuming the functions.


(e) The records of annexed, consolidated, or abolished

school districts shall be transferred as provided by this

subsection. The records of an annexed school district shall

be transferred to the custody of the governing body of the

school district to which the abolished school district has

been annexed. The records of each of two or more school

districts that have been consolidated shall be transferred

to the custody of the governing body of the consolidated

school district. The records of an abolished school district

whose entire territory is annexed to another school district

shall be transferred to the custody of the governing body of

that school district. The commissioner of education shall

determine to which governing body custody of the records of

an abolished school district shall be transferred in those

instances in which the territory of the abolished district

is divided among two or more school districts.


(f) The cost of transfer of records to the commission under

this section shall be paid for out of funds of the

commission.


(g) The retention and disposition of local government

records transferred to the custody of the commission under

this section shall be based, as far as is practicable, on

records retention schedules issued by the commission.


201.008. Records of Abolished Offices of County Superintendents

of Schools.


(a) Regardless of the provisions of Section 17.97, Education

Code, all records of an office of county superintendent of

schools or county superintendent of education abolished

under Section 17.95, Education Code, before September 1,

1989, that are still in the possession of a custodian of

county records or a county officer shall be transferred to

the custody of the commission by order of the director and

librarian.


(b) The director and librarian shall determine the time and

manner of the transfer of the records on a county-by-county

basis. The cost of the transfer shall be paid for out of

funds of the commission.


(c) The county judge of a county in which a custodian of

county records has possession of the records of an abolished

office of the county superintendent of schools may petition

the director and librarian to allow the county to retain all

or part of the records and the director and librarian may

grant the petition.


201.009. Access to Records.


(a) Local government records are subject to Chapter 424,

Acts of the 63rd Legislature, Regular Session, 1973 (Article

6252-17a, Vernon's Texas Civil Statutes).


(b) Any local government record to which public access is

denied under Chapter 424, Acts of the 63rd Legislature,

Regular Session, 1973 (Article 6252-17a, Vernon's Texas

Civil Statutes), is, if still in existence, open to public

inspection 75 years after it was originally created or

received. However, a birth record maintained by a local

registrar is, if still in existence, open to public

inspection 100 years after it was originally created or

received and a death record maintained by a local registrar

is, if still in existence, open to public inspection 55

years after it was originally created or received. This

subsection does not limit the authority of a governing body

or an elected county officer to establish retention periods

for records under Section 203.042.


(c) Subsection (b) does not apply to a local government

record whose public disclosure is prohibited by an order of

a court or by another state law.


Chapter 202. Destruction and Alienation of Records.


202.001. Destruction of Records.


(a) A local government record may be destroyed if:


(1) the record is listed on a records control

schedule accepted for filing by the director and

librarian as provided by Section 203.041 and

either its retention period has expired or it has

been microfilmed or stored electronically in

accordance with the requirements of Chapters 204

and 205;


(2) the record appears on a list of obsolete

records approved by the director and librarian as

provided by Section 203.044; or


(3) a destruction request is filed with and

approved by the director and librarian as provided

by Section 203.045 for a record not listed on an

approved control schedule.


(b) The following records may be destroyed without meeting

the conditions of Subsection (a):


(1) records the destruction or obliteration of

which is directed by an expunction order issued by

a district court pursuant to state law; and


(2) records defined as exempt from scheduling or

filing requirements by rules adopted by the

commission or listed as exempt in a records

retention schedule issued by the commission.


202.002. Litigation and Open Records Requests.


(a) Regardless of any other provision of this subtitle or

rules adopted under it, a local government record the

subject matter of which is known by the custodian to be in

litigation may not be destroyed until the litigation is

settled.


(b) Regardless of any other provision of this subtitle or

rules adopted under it, a local government record subject to

a request under Chapter 424, Acts of the 63rd Legislature,

Regular Session, 1973 (Article 6252-17a, Vernon's Texas

Civil Statutes), may not be destroyed until the request is

resolved.


202.003. Method of Destruction.


(a) A local government record may be destroyed by burning,

shredding, pulping, or burial in a landfill or by sale or

donation for recycling purposes except as provided by

Subsection (b).


(b) Records to which public access is restricted under

Chapter 424, Acts of the 63rd Legislature, Regular Session,

1973 (Article 6252-17a, Vernon's Texas Civil Statutes), or

other state law may be destroyed only by burning, pulping,

or shredding.


(c) A local government that sells or donates records for

recycling purposes shall establish procedures for ensuring

that the records are rendered unrecognizable as local

government records by the recycler.


(d) The director and librarian may approve other methods of

destruction that render the records unrecognizable as local

government records.


202.004. Alienation of Records.


(a) A local government record may be sold or donated,

loaned, transferred, or otherwise passed out of the custody

of a local government to any public institution of higher

education, public museum, public library, or other public

entity with the approval of the local government's records

management officer and after the expiration of the record's

retention period under the local government's records

control schedule.


(b) A local government record may not be sold or donated

(except for the purposes of recycling), loaned, transferred,

or otherwise passed out of the custody of a local government

to any private college or university, private museum or

library, private organization of any type, or an individual,

except with the consent of the director and librarian and

after the expiration of its retention period under the local

government's records control schedule.


(c) A records management officer or custodian may

temporarily transfer a local government record to a person

for the purposes of microfilming, duplication, conversion to

electronic media, restoration, or similar records management

and preservation procedures.


202.005. Right of Recovery.


(a) The governing body may demand and receive from any

person any local government record in private possession

created or received by the local government the removal of

which was not authorized by law.


(b) If the person in possession of a local government record

refuses to deliver the record on demand, the governing body

may petition the district court of the county in which the

person resides for the return of the record. If the court

finds that the record is a local government record, the

court shall order the return of the record.


(c) As part of the petition to the district court or at any

time after its filing, the governing body may petition to

have the record seized pending the determination of the

court if the governing body finds the record is in danger of

being destroyed, mutilated, altered, secreted, or removed

from the state.


(d) The director and librarian may demand and receive from

any person any local government record of permanent value in

private possession.


(e) If the person in possession of the local government

record of permanent value refuses to deliver the record on

demand, the director and librarian may ask the attorney

general to petition for the recovery of the record as

provided by this section. As part of the petition or at any

time after its filing, the attorney general may petition to

have the record seized pending the determination of the

court if the governing body finds the record is in danger of

being destroyed, mutilated, altered, secreted, or removed

from the state.


(f) A local government record recovered as the result of a

petition by the attorney general shall be transferred to the

custody of the commission or, at the discretion of the

director and librarian, be returned to the local government

that originally had custody of the record.


(g) If a local government refuses to deliver custody of a

record to the commission as provided by Section 201.007,

201.008, or 203.050, the director and librarian may ask the

attorney general to petition for recovery of the record. If

the court determines that the director and librarian has

acted in accordance with Section 201.007, 201.008, or

203.050, as applicable, and with regard to Section 203.050,

the court finds that the survival of the record is

imperiled, the court shall order the record to be

transferred to the custody of the commission.


(h) If a governing body petitions a court for the recovery

of a record under Subsection (b) and prevails or if the

attorney general petitions a court for the recovery of a

record under Subsection (e) or (g) and prevails, the court

shall award attorney's fees and court costs to the

prevailing party.


202.006. Destruction of Nonrecord Material.


(a) Material that is not included in the definition of a

local government record and is described by Section

201.003(8)(A), (B), or (C) may be disposed of at the

discretion of the custodian or the creator of the document,

as applicable, subject to any policies developed in each

local government or elective county office regarding the

destruction.


(b) Extra identical copies of a local government record to

which public access is restricted under Chapter 424, Acts of

the 63rd Legislature, Regular Session, 1973 (Article

6252-17a, Vernon's Texas Civil Statutes), or other state law

may be destroyed only by burning, pulping, or shredding.


202.007. Personal Liability.


A custodian of local government records, records management

officer, or other officer or employee of a local government may

not be held personally liable for the destruction of a local

government record if the destruction is in compliance with this

subtitle and rules adopted under it.


202.008. Penalty: Destruction or Alienation of Record.


An officer or employee of a local government commits an offense

if the officer or employee knowingly or intentionally violates

this subtitle or rules adopted under it by destroying or

alienating a local government record in contravention of this

subtitle or by intentionally failing to deliver records to a

successor in office as provided by Section 201.006(a). An offense

under this section is a Class A misdemeanor.


202.009. Penalty: Possession of Record by Private Entity.


(a) A private college or university, a private museum or

library, a private organization of any other type, or an

individual commits an offense if the entity knowingly or

intentionally acquires or possesses a local government

record. An offense under this subsection is a Class A

misdemeanor.


(b) It is a defense to prosecution under this section that a

private college, university, museum, or library, by

agreement with the commission under Subchapter J, Chapter

441, Government Code, provides physical housing for a local

government record the title to which has been vested in the

commission.


Chapter 203. Management and Preservation of Records


Subchapter A. Elective County Offices


203.001. Records Management Officer.


Each elected county officer is the records management officer for

the records of the officer's office.


203.002. Duties and Responsibilities of Elected County Officers

as Records Management Officers.


The elected county officer shall:


(1) develop policies and procedures for the

administration of an active and continuing records

management program;


(2) administer the records management program so as to

reduce the costs and improve the efficiency of

recordkeeping;


(3) prepare and file with the director and librarian

the records control schedules and amended schedules

required by Section 203.041 and the list of obsolete

records as provided by Section 203.044;


(4) prepare requests for authorization to destroy

records not on an approved control schedule as provided

by Section 203.045, requests to destroy the originals

of permanent records that have been microfilmed as

provided by Section 204.008, and electronic storage

authorization requests as provided by Section 205.007;


(5) identify and take adequate steps to preserve

records that are of permanent value;


(6) identify and take adequate steps to protect the

essential records of the office;


(7) ensure that the maintenance, preservation,

microfilming, 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 this subtitle and rules adopted

under it; and


(8) cooperate with the commission in its conduct of

statewide records management surveys.


203.003. Duties of Commissioners Court.


The commissioners court of each county shall:


(1) promote and support the efficient and economical

management of records of all elective offices in the

county to enable elected county officers to conform to

this subtitle and rules adopted under it;


(2) facilitate the creation and maintenance of records

containing adequate and proper documentation of the

organization, functions, policies, decisions,

procedures, and essential transactions of each elective

office and designed to furnish the information

necessary to protect the legal and financial rights of

the local government, the state, and the persons

affected by the activities of the local government;


(3) facilitate the identification and preservation of

the records of elective offices that are of permanent

value;


(4) facilitate the identification and protection of the

essential records of elective offices;


(5) establish a county clerk records management and

preservation fund for fees subject to Section 118.0216,

and approve in advance any expenditures from the fund;

and


(6) establish a records management and preservation

fund for the records management and preservation fees

authorized under Sections 118.052, 118.0546, and

118.0645, Section 51.317, Government Code, and Article

102.005(d), Code of Criminal Procedure, and approve in

advance any expenditures from the fund, which may be

spent only for records management, preservation, or

automation purposes in the county.


203.004. Director and Librarian.


The director and librarian shall provide advice and assistance to

records management officers in establishing records management

programs and in carrying out the other requirements of this

subtitle and rules adopted under it.


203.005. Records Management Program to be Established.


(a) On or before January 1, 1991, 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.


(b) The plan must provide policies, methods, and procedures

to fulfill the duties and responsibilities set out in

Section 203.002 concerning the management and preservation

of records. The plan may establish additional policies or

procedures for the operation of the records management

program that are consistent with the requirements of this

subtitle and rules adopted under it.


(c) A copy of the plan must be filed by the elected county

officer with the director and librarian within 30 days after

the date of its adoption.


(d) A plan establishing or relating to a records management

program adopted before September 1, 1989, must be amended if

any provision of the plan is in conflict with this subtitle

or a rule adopted under it. A copy of the amended plan shall

be filed with the director and librarian as provided by

Subsection (c).


(e) A copy of an amended plan relating to the establishment

or operation of the records management plan must be filed

with the director and librarian within 30 days after the

date of its adoption.


(f) The director and librarian or the designee of the

director and librarian shall within a reasonable time bring

to the attention of the elected county officer in writing

any aspect of a plan filed in the office of the director and

librarian or that otherwise comes to the attention of the

director and librarian that is inconsistent with

requirements of this subtitle or rules adopted under it.


(g) An elected county officer is authorized, instead of or

in conjunction with submitting a plan and establishing an

independent records program for the elective office, to

participate in a county program established as provided by

Subchapter B or in one or more specific components of a

county program and to authorize the records management

officer of the county program to act as the records

management officer for the records of the elective office.


[Sections 203.006-203.020 reserved for expansion]


Subchapter B. All Other Local Government Offices


203.021. Duties and Responsibilities of Governing Body.


The governing body of a local government, including a

commissioners court with regard to nonelective county offices,

shall:


(1) establish, promote, and support an active and

continuing program for the efficient and economical

management of all local government records;


(2) cause policies and procedures to be developed for

the administration of the program under the direction

of the records management officer;


(3) facilitate the creation and maintenance of local

government records containing adequate and proper

documentation of the organization, functions, policies,

decisions, procedures, and essential transactions of

the local government and designed to furnish the

information necessary to protect the legal and

financial rights of the local government, the state,

and persons affected by the activities of the local

government;


(4) facilitate the identification and preservation of

local government records that are of permanent value;


(5) facilitate the identification and protection of

essential local government records; and


(6) cooperate with the commission in its conduct of

statewide records management surveys.


203.022. Duties and Responsibilities of Custodians.


(a) Custodians of records in each local government shall:


(1) cooperate with the records management officer

in carrying out the policies and procedures

established by the local government for the

efficient and economical management of records and

in carrying out the requirements of this subtitle;


(2) adequately document the transaction of

government business and the services, programs,

and duties for which the custodian and the

custodian's staff are responsible; and


(3) maintain the records in the custodian's care

and carry out their preservation, microfilming,

destruction, or other disposition only in

accordance with the policies and procedures of the

local government's records management program and

the requirements of this subtitle and rules

adopted under it.


(b) State law relating to the duties, other

responsibilities, or recordkeeping requirements of a

custodian of local government records do not exempt the

custodian or the records in the custodian's care from the

application of this subtitle and rules adopted under it and

may not be used by the custodian as a basis for refusal to

participate in the records management program of the local

government whose establishment is required by this chapter.


203.023. Duties of Records Management Officers.


The records management officer in each local government shall:


(1) assist in establishing and developing policies and

procedures for a records management program for the

local government;


(2) administer the records management program and

provide assistance to custodians for the purposes of

reducing the costs and improving the efficiency of

recordkeeping;


(3) in cooperation with the custodians of the records:


(A) prepare and file with the director and

librarian the records control schedules and

amended schedules required by Section 203.041

and the list of obsolete records as provided

by Section 203.044; and


(B) prepare or direct the preparation of

requests for authorization to destroy records

not on an approved control schedule as

provided by Section 203.045, of requests to

destroy the originals of permanent records

that have been microfilmed as provided by

Section 204.008, and of electronic storage

authorization requests as provided by Section

205.007;


(4) in cooperation with custodians, identify and take

adequate steps to preserve local government records

that are of permanent value;


(5) in cooperation with custodians, identify and take

adequate steps to protect essential local government

records;


(6) in cooperation with custodians, ensure that the

maintenance, preservation, microfilming, destruction,

or other disposition of records is carried out in

accordance with the policies and procedures of the

local government's records management program and the

requirements of this subtitle and rules adopted under

it;


(7) disseminate to the governing body and custodians

information concerning state laws, administrative

rules, and the policies of the government relating to

local government records; and


(8) in cooperation with custodians, establish

procedures to ensure that the handling of records in

any context of the records management program by the

records management officer or those under the officer's

authority is carried out with due regard for:


(A) the duties and responsibilities of

custodians that may be imposed by law; and


(B) the confidentiality of information in

records to which access is restricted by law.


203.024. Director and Librarian.


The director and librarian shall provide advice and assistance to

governing bodies, custodians, and records management officers in

establishing records management programs and in carrying out the

other requirements of this subtitle and rules adopted under it.


203.025. Designation of Records Management Officer.


(a) On or before June 1, 1990, the governing body of each

local government shall designate a records management

officer by:


(1) designating an individual; or


(2) designating an office or position, the holder

of which shall be the records management officer.


(b) The name, office, or position of the records management

officer shall be entered on the minutes of the governing

body.


(c) The name or the name and office or position of the

records management officer shall be filed by the records

management officer with the director and librarian within 30

days after the date of the designation.


(d) The designation of a new individual or a new office or

position shall be entered on the minutes and reported by the

records management officer to the director and librarian in

the same manner as the original designation.


(e) If the order designating a records management officer

designates an office or position rather than an individual,

a new holder of that office or position must file the

holder's name with the director and librarian within 30 days

after the date of assuming the office or position.


(f) Through an agreement or contract under The Interlocal

Cooperation Act (Article 4413(32c), Vernon's Texas Civil

Statutes), a person may serve as records management officer

to more than one local government if the person is employed

by one of the local governments that is party to the

contract or agreement or employed by an administrative

agency that is created by the contract or agreement.


(g) An elected county officer may not be designated as

records management officer for the nonelective offices of a

county without the county officer's consent.


203.026. Records Management Program to be Established.


(a) On or before January 1, 1991, each governing body by

ordinance or order, as appropriate, shall establish a

records management program to be administered by the records

management officer.


(b) The ordinance or order must provide methods and

procedures to enable the governing body, custodians, and the

records management officer to fulfill the duties and

responsibilities set out in Sections 203.021, 203.022, and

203.023 concerning the management and preservation of

records. The ordinance or order may prescribe any policies

or procedures for the operation of the records management

program that are consistent with the requirements of this

subtitle and rules adopted under it.


(c) A copy of the ordinance or order must be filed by the

records management officer with the director and librarian

within 30 days after the date of its adoption.


(d) An ordinance or order establishing or relating to a

records management program adopted before September 1, 1989,

must be amended if any provision of the ordinance or order

is in conflict with this subtitle or a rule adopted under

it. A copy of the amended ordinance or order shall be filed

with the director and librarian as provided by Subsection

(c).


(e) A copy of an amended ordinance or revised order relating

to the establishment or operation of the records management

program must be filed by the governing body with the

director and librarian within 30 days after the date of its

adoption.


(f) The director and librarian or the designee of the

director and librarian shall within a reasonable time bring

to the attention of the governing body in writing any aspect

of an ordinance or order filed in the office of the director

and librarian or that otherwise comes to the attention of

the director and librarian that is inconsistent with the

requirements of this subtitle or rules adopted under it.


(g) The governing body in a records management program

established under this section may require the mandatory

destruction of any record of the local government when its

retention period has expired on a records control schedule

developed under Section 203.041.


[Sections 203.027-203.040 reserved for expansion]


Subchapter C. Records Control Schedules


203.041. Preparation and Filing of Records Control Schedules.


(a) On or before January 4, 1999, the records management

officer shall prepare and file with the director and

librarian:


(1) a records control schedule listing the

following records and establishing a retention

period for each as provided by Section 203.042:


(A) all records created or received by

the local government or elective county

office;


(B) any record no longer created or

received by the local government or

elective county office that is still in

its possession and for which the

retention period on a records retention

schedule issued by the commission has

not expired; and


(C) any record no longer created or

received by the local government or

elective county office that is still in

its possession and for which the

retention period on a records retention

schedule issued by the commission has

expired but which will not be destroyed

as provided by Section 203.044; or


(2) the records management officer, in lieu of

filing a records control schedule, may 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.


(b) At the discretion of the records management officer the

records control schedule may also list and provide retention

periods for material that is excluded from the definition of

a local government record by Section 201.003(8) and exempted

records described by Section 202.001(b) if in the officer's

opinion the inclusion of the material or records is

necessary to ensure the periodic destruction of the material

or records in the interest of efficient records management.


(c) A records management officer, in lieu of filing an

amended records control schedule, may file with the director

and librarian an amended written certification of compliance

that the local government or the elective county office has

adopted amended records control schedules to comply with the

minimum requirements established on records retention

schedules issued by the commission including any revised

schedules issued by the commission.


(d) The records management officer shall review the records

control schedules of the local government or elective county

office and prepare amendments to the schedules as needed to

reflect new records created or received by the government or

office or revisions to retention periods established in a

records retention schedule issued by the commission.

Amendments to records control schedules shall be filed with

the director and librarian in the same manner as the

original schedules.


(e) The governing body shall require in the ordinance or

order establishing the records management program the review

or approval of a records control schedule or amended

schedule by the officers of the local government as it

considers necessary. The records control schedule or amended

schedule for an elective county office need only be approved

by the elected official in charge of that office.


(f) Records control schedules may be filed on an

office-by-office basis or on a department-by-department

basis within each office.


(g) A local government that intends to retain all records

permanently or that destroys only those records for which no

retention periods have been established in a records

retention schedule established under Section 441.158,

Government Code, is not required to submit a records control

schedule under this section.


(h) The director and librarian shall determine the form and

manner of the filing of records control schedules, amended

schedules, the written certification of compliance described

by Subsection (a)(2), and the amended written certification

of compliance described by Subsection (c). The director and

librarian may request that the records management officer

file with the written certification of compliance or the

amended written certification of compliance any amendment

that establishes a records series or retention requirement

other than that issued on a commission records retention

schedule.


203.042. Retention Periods.


(a) A retention period for each record on the records

control schedule shall be determined by the governing body

or under its direction or by the elected county officer, as

applicable.


(b) A retention period may not be less than:


(1) a retention period prescribed by a state or

federal law, regulation, or rule of court; or


(2) a retention period for the record established

on a records retention schedule issued by the

commission.


(c) If at the time a records control schedule is filed by a

local government or elected county officer with the director

and librarian as provided by Section 203.041, a records

retention schedule for the records of that type of local

government or elective county office has not been issued by

the commission, the records control schedule filed with the

director and librarian must be amended to conform with the

commission schedule when it is issued to the extent that any

retention period on a records control schedule is less than

a retention period for the same record on the commission

schedule.


203.043. Filing of Records Control Schedules.


(a) If the director and librarian or the designee of the

director and librarian accepts the records control schedule,

amended schedule, written certification of compliance

described by Section 203.041(a)(2), or amended written

certification of compliance described by Section 203.041(c)

for filing, the acceptable records control schedule may be

used as the basis for the destruction of records listed on

it without additional notice to the director and librarian.


(b) If the director and librarian or the designee of the

director and librarian rejects the records control schedule,

amended schedule, written certification of compliance

described by Section 203.041(a)(2), or amended written

certification of compliance described by Section 203.041(c)

for filing, the reasons for the rejection shall be stated in

writing within a reasonable time to the records management

officer and the schedule, amended schedule, written

certification of compliance, or amended written

certification of compliance shall be corrected and

resubmitted.


(c) The director and librarian or the designee of the

director and librarian may reject a records control schedule

or amended schedule for filing only if a retention period

listed on it is less than a retention period for the same

record established on a records retention schedule issued by

the commission or if the schedule is in violation of this

subtitle or a rule adopted under it. The director and

librarian or the designee of the director and librarian may

reject a written certification of compliance described by

Subsection (a)(2), or an amended written certification of

compliance described by Subsection (c) for filing only if

the records management officer files a written certification

of compliance in a form and manner that has not been

approved by the director and librarian.


(d) The director and librarian or the designee of the

director and librarian may make it a condition of acceptance

of a records control schedule or amended schedule for filing

that a record listed on the schedule be transferred to the

custody of the commission on the expiration of its retention

period rather than being destroyed.


203.044. Initial Destruction of Obsolete Records.


(a) In preparing a records control schedule required by

Section 203.041, the records management officer may list

separately those obsolete records no longer created or

received by the local government or elective county office

whose retention periods on a records retention schedule

issued by the commission have expired and that the local

government or elected county officer wishes to destroy.


(b) The lists of obsolete records to be destroyed must be

reviewed or approved in the same manner as records control

schedules must be reviewed or approved under Section

203.041(e).


(c) The lists shall be submitted to the director and

librarian for approval. If the director and librarian or the

designee of the director and librarian approves the list,

the records listed on it may be destroyed. If the director

and librarian or the designee of the director and librarian

disapproves the list, the director and librarian or the

designee shall state in writing within a reasonable time to

the records management officer the record or records on the

list that must be retained by the government or elective

county office or transferred to the custody of the

commission.


(d) The director and librarian shall determine the form and

manner of submission of requests to destroy obsolete

records.


203.045. Destruction of Unscheduled Records.


(a) Before the filing of a records control schedule or a

written certification of compliance as provided by Section

203.041, a local government record may be destroyed only

with the prior approval of the director and librarian.


(b) After the filing of a records control schedule, amended

schedule, written certification of compliance described by

Section 203.041(a)(2), or amended written certification of

compliance described by Section 203.041(c), a record that

does not appear on a records control schedule or amended

schedule may be destroyed only with the prior approval of

the director and librarian.


(c) Requests for authorization to destroy unscheduled

records shall be submitted by the records management officer

or under the officer's direction. However, if the request is

submitted before the filing of a records control schedule or

a written certification of compliance as provided by Section

203.041 and a records management officer has not yet been

designated as provided by Section 203.025, the request shall

be submitted by the custodian.


(d) If the director and librarian or the designee of the

director and librarian approves the request, the records

listed on it may be destroyed. If the director and librarian

or the designee disapproves the request, the director and

librarian or the designee shall state in writing within a

reasonable time to the records management officer or

custodian the record or records on the list that must be

retained by the government or transferred to the custody of

the commission.


(e) The director and librarian shall determine the form and

manner of submission of requests to destroy unscheduled

records.


203.046. Recordkeeping Requirements.


As the governing body may require, the records management officer

shall keep accurate lists of records destroyed, their volume, and

other information of records management activities.


203.047. New Local Governments.


A local government established after September 1, 1989, shall

fulfill the requirements of Sections 203.025, 203.026, and

203.041 within one year after the date of its establishment.


203.048. Care of Records of Permanent Value.


The commission shall adopt rules establishing standards for the

proper care and storage of local government records of permanent

value. The commission may require that certain local government

records of permanent value be created on permanent-durable paper,

the standards for which shall be established by rule. The rules

must be approved as required by Section 441.165, Government Code.


203.049. Transfer of Records of Permanent Value.


(a) The governing body or elected county officer may offer

to transfer records of permanent value not needed in the

day-to-day business of the local government to the custody

of:


(1) the commission; or


(2) another local government that operates an

archives, library, or museum that meets standards

for the care and storage of permanent records

established by the commission as provided by

Section 203.048.


(b) Transfers of permanent records to another local

government require the prior approval of the director and

librarian.


(c) In a transfer of permanent records under this section,

title and control of the records and all rights pertaining

to the records granted by law to the original custodian or

elected county officer are vested in the commission or the

local government that receives the records.


203.050. Inspection of Permanent Records.


(a) The director and librarian or the authorized

rep-resentative of the director and librarian is entitled to

inspect in the offices of any local government or elected

county officer the condition of any permanent record to

which access by the director and librarian or the

representative is not restricted by law. The inspection is

not a release of a record to a member of the public under

Chapter 424, Acts of the 63rd Legislature, Regular Session,

1973 (Article 6252-17a, Vernon's Texas Civil Statutes).


(b) The director and librarian, in writing, shall bring to

the attention of the governing body or elected county

officer, any aspect of the storage, handling, or use of the

record that imperils its survival and state what measures

must be taken to properly care for and preserve the record.


(c) If, after having been notified by the director and

librarian as provided by Subsection (b), the governing body

or the elected county officer fails to take required

measures to preserve the record, the director and librarian

may:


(1) if the record is an obsolete record whose

creation is no longer required by law, demand and

receive delivery of the record to the custody of

the commission; or


(2) if the record is required for current use by

the local government, make copies of the record

for the purpose of preservation by the commission.


(d) The cost of transferring or copying records under this

section shall be paid for out of funds of the commission.


Chapter 4. Microfilming of Records


204.001. Definitions.


In this chapter:


(1) "Microfilm" means roll microfilm, microfiche, and

all other formats produced by any method of

microphotography or other means of miniaturization on

film.


(2) "Microfilming" means the methods, procedures, and

processes used to produce roll microfilm, microfiche,

or other microphotographic formats.


204.002. Authorization.


Any local government record may be maintained on microfilm in

addition to or instead of paper or other media, subject to the

requirements of this chapter and rules adopted under it.


204.003. Microfilm Produced Under Prior Law.


(a) All microfilm produced before June 1, 1990, under prior

law is validated to the extent the microfilm was produced in

the manner and according to the standards prescribed by

prior law.


(b) In rules adopted under Section 204.004, the commission

may establish procedures for the retrospective certification

of uncertified or improperly certified microfilm produced

before April 1, 1990, that otherwise meets the standards

prescribed by prior law.


204.004. Standards and Procedures.


(a) The commission shall adopt rules on or before April 1,

1990, establishing standards and procedures for the

microfilming of local government records. The rules must be

approved as required by Section 441.165, Government Code.


(b) The rules must prescribe:


(1) standards for film quality, resolution,

density, definition, and chemical stability;


(2) tests and other methods of inspection required

to establish that prescribed standards have been

met;


(3) procedures for verifying that records have

been filmed accurately;


(4) procedures for the certification of

microfilmed records;


(5) standards for the use of editorial and

technical targets on microfilm;


(6) standards for the production of use copies

from and the storage of master microfilm

negatives;


(7) procedures for the labeling and indexing of

microfilmed records;


(8) procedures establishing the manner in which

court case papers must be filmed;


(9) procedures for the expunction of criminal

records on microfilm pursuant to court order;


(10) standards for computer-output microfilm; and


(11) standards for providing access by the members

of the public to records on microfilm to which

they are entitled under law.


(c) In rules adopted under this section, the commission may

establish differing standards and procedures for the

microfilming of:


(1) any permanent record;


(2) any record of a municipal, justice, county, or

district court; or


(3) any record to which access is restricted under

Chapter 424, Acts of the 63rd Legislature, Regular

Session, 1973 (Article 6252-17a, Vernon's Texas

Civil Statutes), or other state law.


204.005. Rules to be Updated.


The director and librarian shall monitor standards relating to

microfilming developed for use by federal agencies or adopted by

national organizations that develop and set standards in the

fields of information and records management in order to

recommend to the commission any needed amendments to rules.


204.006. Indexing.


An index to a microfilm record must show the same information

that may be required by state law for an index to the same record

if it is not microfilmed.


204.007. Destruction of Original Records.


(a) Except as provided by Section 204.008, the original of a

record that has been microfilmed pursuant to this chapter

and rules adopted under it may be destroyed before the

expiration of its retention period on a records retention

schedule issued by the commission.


(b) A list of the originals of microfilmed records destroyed

shall be filed with the records management officer.


(c) The microfilm record must be retained until the

expiration of the retention period for the original record.


204.008. Destruction of Permanent Records.


(a) The original of a permanent record may not be destroyed

until a destruction authorization request is submitted to

the director and librarian certifying that the microfilm of

the record meets the standards of this chapter and rules

adopted under it.


(b) Requests shall be submitted by the records management

officer or under the officer's direction or, if a records

management officer has not yet been designed under Section

203.025, by the custodian of the microfilm records.


(c) If the director and librarian or the designee of the

director and librarian approves the request, the original

record may be destroyed.


(d) In lieu of destruction, the director and librarian may

require that the original record be transferred to the

custody of the commission.


(e) If the director and librarian or the designee of the

director and librarian disapproves the request, the reasons

for the disapproval shall be stated in writing within a

reasonable time to the records management officer or

custodian. The original records may not be destroyed until

the microfilm of the records is brought into compliance with

this chapter and the rules adopted under it as evidenced by

the submission of a new destruction authorization request.


(f) The director and librarian shall determine the form and

manner of submission of destruction authorization requests

required by this section.


204.009. Microfilm of Permanent Records to be Supplied.


(a) A local government or elected county officer, at the

request of the director and librarian, shall supply to the

commission a copy of the microfilm of any permanent record

to which access is not restricted by law.


(b) The commission shall reimburse the local government or

elected county officer for the cost of the copy. If the film

duplication is performed by the local government or elected

county officer, the cost must be the same as that paid by

state agencies to the Texas State Library for a similar

microfilm copy. If the film duplication is done by a

commercial microfilming service under contract with the

local government or elected county officer, the cost of the

copy may not exceed the cost paid by the local government or

elected county officer for a copy under the contract.


(c) The director and librarian or an employee of the

commission may not provide certified copies of a record on

microfilm obtained under this section without the consent of

the original local custodian of the record.


204.010. Commercial Microfilm Storage Facilities.


(a) The commission may establish a program for the

certification of commercial microfilm storage facilities for

the storage of the master microfilm negatives of local

government records.


(b) If the commission establishes a certification program,

the procedures of this subsection apply. On request by the

commercial storage facility, the director and librarian

shall inspect the facility to determine if the facility

meets the minimum standards established by the commission

under Section 204.004 for the storage of the microfilm of

local government records. If the commercial storage facility

meets the minimum standards established by the commission,

the name of the facility shall be added to a list of

certified storage facilities to be prepared by the director

and librarian and made available on request to a local

government, elected county officer, or other interested

party. The inspection and certification of commercial

storage facilities shall be on a fee basis to be determined

by the commission.


(c) The commission shall determine the period a

certification made under this section is effective.


204.011. Effective as Original Record.


(a) A microfilmed record created in compliance with this

chapter and rules adopted under it, including microfilm

validated by Section 204.003, is an original record and

shall be accepted by any court or administrative agency of

this state.


(b) If issued and certified by a local government

recordkeeper, a copy on paper or film of a microfilmed

record shall be accepted by a court or administrative agency

of this state as a certified copy of an original record.


Chapter 205. Electronic Storage of Records


205.001. Definitions.


In this chapter:


(1) "Electronic storage" means the maintenance of local

government record data in the form of digital

electronic signals on a computer hard disk, magnetic

tape, optical disk, or similar machine-readable medium.


(2) "Local government record data" means the

information that by law, regulation, rule of court,

ordinance, or administrative procedure in a local

government comprises a local government record as

defined by Section 201.003.


(3) "Source document" means the local government record

from which local government record data is obtained for

electronic storage. The term does not include backup

copies of the data in any media generated from

electronic storage.


205.002. Authorization.


Any local government record data may be stored electronically in

addition to or instead of source documents in paper or other

media, subject to the requirements of this chapter and rules

adopted under it.


205.003. Standards and Procedures to be Adopted.


(a) The commission shall adopt rules establishing standards

and procedures for the electronic storage of any local

government record data of permanent value and may adopt

rules establishing standards and procedures for the

electronic storage of any local government record data whose

retention period is at least 10 years on a records retention

schedule issued by the commission. The rules must be

approved as required by Section 441.165, Government Code.


(b) With regard to the types of local government record data

covered by Subsection (a), the rules may require or

prescribe:


(1) standards and procedures for the generation of

backup or preservation copies of the local

government record data on paper, microfilm,

electronic, or other approved media;


(2) standards and procedures for the recopying or

duplication of the magnetic tape, optical disk, or

similar machine-readable medium on which the local

government record data are stored;


(3) standards and procedures for the physical

storage and maintenance of magnetic tapes, optical

disks, or similar machine-readable media;


(4) standards and procedures for providing access

by members of the public to electronically stored

local government record data to which they are

entitled under law; and


(5) other standards and procedures that the

commission considers necessary to ensure the

availability, readability, or integrity of the

local government record data.


205.004. Rules to be Updated.


The director and librarian shall monitor standards and procedures

relating to electronic storage developed for use by federal

agencies or adopted by national organizations that develop and

set standards in the fields of records and information management

in order to recommend to the commission any needed amendments to

rules.


205.005. Supreme Court Rules.


This chapter is not intended to conflict with Subchapter I,

Chapter 51, Government Code, relating to the electronic filing of

certain documents in district and county courts. The commission

shall incorporate any rules adopted under that subchapter into

its own.


205.006. Index.


An index to local government record data stored electronically

must provide the same information that may be required by state

law for an index to the source document, if applicable.


205.007. Electronic Storage Authorization Requests.


(a) Before the electronic storage of any local government

record data of permanent value or, if stipulated in

commission rules, any local government record data whose

retention period is at least 10 years on a records retention

schedule issued by the commission, an electronic storage

authorization request shall be submitted to the director and

librarian for approval.


(b) Electronic storage authorization requests shall be

submitted by the records management officer or under the

officer's direction or, if a records management officer has

not yet been designated under Section 203.025, by the

custodian of the local government record data to be stored

electronically.


(c) If the director and librarian or the designee of the

director and librarian approves the request, the local

government record data may be stored electronically.


(d) If the director and librarian or the designee of the

director and librarian disapproves the request, the reasons

for the disapproval shall be stated in writing within a

reasonable time to the records management officer or

custodian. Electronic storage of the local government record

data may not take place until an electronic storage

authorization request receives the approval of the director

and librarian or the designee of the director and librarian.


(e) The director and librarian or the designee of the

director and librarian may disapprove an electronic storage

authorization request only if the standards and procedures

proposed for the electronic storage of the local government

record data are in violation of this chapter or rules

adopted under it.


(f) The director and librarian shall determine the form and

manner of submission of authorization requests required by

this chapter.


205.008. Destruction of Source Documents.


(a) The source document, if any, for electronically stored

local government record data covered by Section 205.007(a)

may be destroyed or returned to the person who filed it for

record if the electronic storage authorization request is

approved.


(b) The magnetic tape, optical disk, or similar medium

containing the local government record data and the hardware

and software necessary to provide access to it must be

retained by the local government or be available to the

local government until the expiration of the retention

period for all source documents, subject to the rules

adopted under this chapter.


(c) The source document, if any, for electronically stored

local government record data not covered by Section

205.007(a) may be destroyed before the expiration of the

retention period for the source document in a records

retention schedule issued by the commission if the magnetic

tape, optical disk, or similar medium and hardware and

software necessary to provide access to local government

record data on the media are retained for the retention

period in the schedule. Conversely, the magnetic tape,

optical disk, or similar medium may be erased, written over,

or destroyed before the expiration of the retention period

for a source document for local government record data not

covered by Section 205.007(a), if the source document, if

any, is retained until the expiration of its retention

period or, if the source document has already been

destroyed, paper or microfilm copies are generated from the

magnetic tape, optical disk, or similar medium before

destruction or erasure and retained until the expiration of

the retention period for the source document.


205.009. Denial of Access Prohibited.


A person under contract or agreement with a local government or

elected county officer to create, file, or store local government

record data electronically or to provide services, equipment, or

the means for the creation, filing, or storage, may not, under

any circumstances, refuse to provide local government record data

to the local government in a timely manner in a format accessible

and useable by the local government.


Government Code


Chapter 441. Libraries and Archives


Subchapter J


PROVISIONS OF THE SUBCHAPTER RELATING TO THE MANAGEMENT OF LOCAL

GOVERNMENT RECORDS


441.158. Local Government Records Retention Schedules

441.159. Prior Retention Periods in County Records Manual

441.160. Revisions to Records Retention Schedules

441.161. Local Government Records Committee

441.162. Composition of the Committee

441.163. Appointment of Local Government Records Committee;

Compensation

441.164. Term; Qualification; Vacancy

441.165. Certain Commission Rules

441.166. State Agency Rules

441.167. Statutory Filing and Review


441.158. Local Government Records Retention Schedules.


(a) The director and librarian, under the direction of the

commission, shall prepare and distribute free of charge to

records management officers of affected local governments

the records retention schedules for each type of local

government, including a schedule for records common to all

types of local government. The commission shall adopt the

schedules by rule.


(b) Each records retention schedule must:


(1) list the various types of records of the

applicable local government;


(2) state the retention period prescribed by a

federal or state law, rule of court, or regulation

for records for which a period is prescribed; and


(3) prescribe retention periods for all other

records, which periods have the same effect as if

prescribed by law after the records retention

schedule is adopted as a rule of the commission.


(c) In preparing the records retention schedules, the

director and librarian shall consult with custodians and

other local government officials whose records are affected

by the schedules and with appropriate state agencies.


(d) Before the adoption of a records retention schedule by

the commission, it must be approved by the local government

records committee established under Section 441.161.


(e) After the adoption of a records retention schedule, a

retention period for a record prescribed in a new or amended

federal or state law, rule of court, or regulation that

differs from that in a records retention schedule prevails

over that in the schedule.


(f) The initial records retention schedules adopted by the

commission must be adopted not later than January 2, 1996.

This subsection expires January 5, 1999.


441.159. Prior Retention Periods in County Records Manual.


Retention periods for county records contained in the county

records manual or any amendments to the manual approved before

September 1, 1989, as provided under prior law are validated and

have the same effect as retention periods in a records retention

schedule adopted under Section 441.158. Any amendments to

retention periods in the manual after September 1, 1989, must be

in accordance with Section 441.160.


441.160. Revisions to Records Retention Schedules.


The records retention schedules may be revised and the revisions

take effect according to their terms when they are approved and

adopted in the same manner as provided by Section 441.158.

However, editorial changes that do not substantively change the

description of a record or its retention period and changes to

retention periods as the result of changes to retention periods

prescribed in a federal or state law, rule of court, or

regulation do not require approval of the local government

records committee before adoption.


441.161. Local Government Records Committee.


(a) A local government records committee shall be

established to:


(1) review and approve each of the records

retention schedules prepared by the director and

librarian as provided by Section 441.158;


(2) review and approve certain rules to be

considered for adoption by the commission as

provided by Section 441.165; and


(3) advise the commission and the director and

librarian on all matters concerning the management

and preservation of local government records.


(b) In reviewing and approving records retention schedules

and rules under this section, each committee member shall

consider the costs of implementation and other factors that

may affect local governments.


441.162. Composition of the Committee.


(a) The committee includes as ex officio members:


(1) the attorney general or the designee of that

officer; and


(2) the comptroller of public accounts or the

designee of that officer.


(b) The other members of the committee shall consist of 10

individuals; two of whom represent counties, one of whom

must be a county clerk or a district clerk; two of whom

represent municipalities; two of whom represent school

districts; two of whom represent appraisal districts; and

two of whom represent water districts. At least one member

must be a records management officer under Chapter 203,

Local Government Code, who is not also an elected county

officer. At least four members must represent either a

county with a population of fewer than 10,000 or a

municipality or district that does not extend into a county

with a population of 10,000 or more.


441.163. Appointment of Local Government Records Committee;

Compensation.


(a) Each of the members of the committee, except the ex

officio members, shall be appointed by the director and

librarian as provided by this section.


(b) On or before the 30th day before the date the director

and librarian makes an appointment, the director and

librarian shall cause to be published in the Texas Register

a notice of the intent to make an appointment.


(c) A nomination for appointment may be made by an

organization representing officers or employees of the type

to be appointed that has as members at least 50 of those

officers or employees. A nomination under this subsection

shall include a nominee who represents a county with a

population of 10,000 or more and a nominee who represents a

county with a population of fewer than 10,000 or a

municipality or district that does not extend into a county

with a population of 10,000 or more.


(d) After the 30th day after the date the notice is

published under Subsection (b), the director and librarian

shall appoint a nominee or shall appoint an officer chosen

by the director and librarian, if there are no nominees.


(e) The director and librarian shall appoint members to give

representation to all geographical regions of the state.


(f) On or before the 30th day after the date of the

appointment of the last committee member under Subsections

(a) through (e), the director and librarian shall have a

complete list of committee members published in the Texas

Register.


(g) Service on the local government records committee by a

local government officer or employee is an additional duty

of the person's office or employment. A member of the

committee may not receive compensation for service on the

committee but is entitled to be reimbursed from funds of the

commission for actual and necessary expenses incurred on

committee business, subject to any limit provided by the

General Appropriations Act. Expenses of the attorney general

and the comptroller of public accounts or their designees

shall be paid from the funds of their respective offices.


(h) The committee members shall elect a presiding officer at

the first meeting held by newly appointed or reappointed

members after February 1 of odd-numbered years. The director

and librarian shall call that first meeting.


441.164. Term; Qualification; Vacancy.


(a) Except for the ex officio members, committee members are

appointed for two-year terms expiring on February 1 of

odd-numbered years.


(b) To remain eligible to serve on the committee, a person

must continue to hold the office or position the person was

appointed to represent.


(c) A vacancy on the committee shall be filled in the same

manner as an original appointment.


(d) No two committee members may hold office in or be

employed by the same local government.


441.165. Certain Commission Rules.


Rules and any revisions to the rules developed under Sections

203.048, 204.004, and 205.003, Local Government Code, must be

approved by the local government records committee established

under Section 441.161.


441.166. State Agency Rules.


A state agency other than the commission, the Texas Supreme

Court, or the Texas Court of Criminal Appeals may not require a

local government to retain a record for any specific period of

time unless the requirements are imposed by federal law or

regulation, state law, or rules adopted by the agency under the

Administrative Procedure and Texas Register Act (Article

6252-13a, Vernon's Texas Civil Statutes).


441.167. Statutory Filing and Review.


The director and librarian may designate employees of the

commission to act as deputies in the approval or disapproval or

acceptance or rejection for filing of any records control

schedule, destruction authorization request, electronic storage

authorization request, or other statutory filing required by

Subtitle C, Title 6, Local Government Code, or rules adopted

under it.


 

Last modified: 30 August 1996

 

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