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O-90-2524 - 12/13/1990ORDINANCE NO. a s a 4 AN ORDINANCE AMENDING CHAPTER 1, CODE OF ORDINANCES, CITY OF ROUND ROCK, TEXAS; BY ADOPTING A NEW SECTION 1.2400, THEREBY CREATING A RECORDS MANAGEMENT PROGRAM PURSUANT TO AND IN ACCORDANCE WITH THE PROVISIONS OF THE "LOCAL GOVERNMENT RECORDS ACT" (LOCAL GOVERNMENT CODE §201.001 et seq.); AND PROVIDING A SAVINGS CLAUSE AND REPEALING CONFLICTING ORDINANCES AND RESOLUTIONS. WHEREAS, Title 6, Subtitle C, Local Government Code (Local Government Records Act) provides that a municipality must establish by Ordinance an active and continuing Records Management Program to be administered by a Records Management Officer; and WHEREAS, the City of Round Rock, Texas, desires to adopt an Ordinance for that purpose and to prescribe policies and procedures consistent with the Local Government Records Act and in the interests of cost-effective and efficient recordkeeping; Now Therefore: BE IT ORDAINED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS: I. That Chapter 1, Code of Ordinances, 1990 Edition, City of Round Rock, Texas is hereby amended to include a new Section 1.2400 which shall read as follows: SECTION 1.2400: RECORDS MANAGEMENT PROGRAM 1.2401. DEFINITION OF MUNICIPAL RECORDS All documents, papers, letters, books, maps, photographs, sound or video recordings, microfilm, magnetic tape, electronic media, or other information recording media, 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 ORRECORDS received by the City of Round Rock, Texas, or any of its officers or employees pursuant to law or in the transaction of public business are hereby declared to be the records of the City of Round Rock, Texas, and shall be created, maintained, and disposed of in accordance with the provisions of this Section or procedures authorized by it and in no other manner. 1.2402. ADDITIONAL DEFINITIONS Terms used in this Section shall have the following meanings: (1) Department Head The officer who by ordinance, order, or administrative policy is in charge of an office of the City of Round Rock, Texas that creates or receives records. (2) Director The Director of the Texas State Library. (3) Essential Record Any record of the City of Round Rock, Texas necessary to the a) resumption or continuation of operations of the City of Round Rock, Texas in an emergency or disaster, b) re-creation of the legal and financial status of the City of Round Rock, Texas, or c) protection and fulfillment of obligations to the people of the state. (4) Librarian The Librarian of the Texas State Library. (5) Permanent Record Any record of the City of Round Rock, Texas for which the retention period on a records control schedule is given as permanent. (6) Records Control Schedule A document prepared by or under the authority of the Records Management Officer listing the records maintained by the City of Round Rock, Texas, their retention periods, and other records disposition information that the records management program may require. 2. (7) Records Liaison Officers The person(s) designated under Subsection 1.2410. (8) Records Management 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. (9) Records Management Committee The committee established in Subsection 1.2406. (10) Records Management Officer The person designated in Subsection 1.2405. (11) Records Management Plan The plan developed under Subsection 1.2407. (12) Retention Period 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. 1.2403. MUNICIPAL RECORDS DECLARED PUBLIC PROPERTY All municipal records as defined in Subsection 1.2401 are hereby declared to be the property of the City of Round Rock, Texas. No municipal official or employee has, by virtue of his or her position, any personal or property right to such records even though he or she may have developed or compiled them. The unauthorized destruction, removal from files, or use of such records is prohibited. 3. 1.2404. POLICY It is hereby declared to be the policy of the City of Round Rock, Texas to provide for efficient, economical, and effective controls over the creation, distribution, organization, maintenance, use, and disposition of all municipal records through a comprehensive system of integrated procedures for the management of records from their creation to their ultimate disposition, consistent with the requirements of the Texas Local Government Records Act and accepted records management practice. 1.2405. DESIGNATION OF RECORDS MANAGEMENT OFFICER The City Secretary, and the successive holders of said office, shall serve as Records Management Officer for the City of Round Rock, Texas. As provided by state law, each successive holder of the office shall file his or her name with the Director and Librarian of the Texas State Library within thirty days of the initial designation or of taking up the office, as applicable. 1.2406. ESTABLISHMENT OF RECORDS MANAGEMENT COMMITTEE• DUTIES. A Records Management Committee consisting of the Library Director, Finance Director, City Attorney, and City Manager is hereby established. The committee shall: (1) Assist the Records Management Officer in the development of policies and procedures governing the records management program; (2) Review the performance of the program on a regular basis and propose changes and improvements if needed; (3) Review and approve records control schedules submitted by the Records Management Officer; (4) Give final approval to the destruction of records in accordance with approved records control schedules; and (5) Actively support and promote the records management program throughout the City of Round Rock, Texas. 1.2407. RECORDS MANAGEMENT PLAN TO BE DEVELOPED• APPROVAL OF PLAN• AUTHORITY OF PLAN. (1) The Records Management Officer and the Records Management Committee shall develop a records management plan for the City of Round Rock, Texas 4. for submission to the City Council. The plan must contain policies and procedures designed to reduce the costs and improve the efficiency of recordkeeping, to adequately protect the essential records of the municipality, and to properly preserve those records of the municipality that are of historical value. The plan must be designed to enable the Records Management Officer to carry out his or her duties prescribed by state law and this Section effectively. (2) Once approved by the City Council, the records management plan shall be binding on all offices, departments, divisions, programs, commissions, bureaus, boards, committees, or similar entities of the City of Round Rock, Texas and all municipal records shall be created, maintained, stored, microfilmed destroyed and/or disposed of in accordance with the records management plan. (3) State law relating to the duties, other responsibilities, or recordkeeping requirements of a department head do not exempt the department head or the records in the department head's care from the application of this Section and the records management plan adopted under it. Said law may not be used by the department head as a basis for refusal to participate in the records management program of the City of Round Rock, Texas. 1.2408 DUTIES OF RECORDS MANAGEMENT OFFICER. In addition to other duties assigned in this Section, the Records Management Officer shall: (1) Administer the records management program and provide assistance to department heads in its implementation; (2) Plan, formulate, and prescribe records disposition Policies, systems, standards, and procedures; (3) In cooperation with department heads identify essential records and establish a disaster plan for each municipal office and department to ensure maximum availability of the records in order to re- establish operations quickly and with minimum disruption and expense; (4) Develop procedures to ensure the permanent preservation of the historically valuable records of the city; 5. (5) Establish standards for filing and storage equipment and for recordkeeping supplies; (6) Study the feasibility of and, if appropriate, establish a uniform filing system and a forms design and control system for the City of Round Rock, Texas; (7) Provide records management advice and assistance to all municipal departments by preparation of a manual or manuals of procedure and policy and by on-site consultation; (8) Monitor records retention schedules and administrative rules issued by the Texas State Library and Archives Commission to determine if the records management program and the municipality's records control schedules are in compliance with state regulations; (9) Disseminate to the City Council and department heads information concerning state laws and administrative rules relating to local government records; (10) Instruct Records Liaison Officers and other personnel in policies and procedures of the records management plan and their duties in the records management program; (11) Direct Records Liaison Officers or other personnel in the conduct of records inventories in preparation for the development of records control schedules as required by state law and this Section; (12) Ensure that the maintenance, preservation, microfilming, destruction, or other disposition of municipal records is carried out in accordance with the policies and procedures of the records management program and the requirements of state law; (13) Maintain records on the volume of records destroyed under approved records control schedules, the volume of records microfilmed or stored electronically, and the estimated cost and space savings as the result of such disposal or disposition; (14) Report annually to the City Council on the implementation of the records management plan in each department of the City of Round Rock, Texas, including summaries of the statistical and fiscal data compiled under paragraph (13); and 6. (15) Bring to the attention of the City Council non- compliance by department heads or other municipal personnel with the policies and procedures of the records management program or the Local Government Records Act. 1.2409 DUTIES AND RESPONSIBILITIES OF DEPARTMENT HEADS. In addition to other duties assigned in this Section, department heads shall: (1) Cooperate with the Records Management Officer in carrying out the policies and procedures established in the City of Round Rock, Texas for the efficient and economical management of records and in carrying out the requirements of this Section; (2) Adequately document the transaction of government business and the services, programs, and duties for which the department head and his or her staff are responsible; and (3) Maintain the records in his or her care and carry out their preservation, microfilming, destruction, or other disposition only in accordance with the policies and procedures of the records management program of the City of Round Rock, Texas and the requirements of this Section. 1.2410 DESIGNATION OF RECORDS LIAISON OFFICERS. Each department head shall designate a member of his or her staff to serve as Records Liaison Officer for the implementation of the records management program in the department. if the Records Management Officer determines that in the best interests of the records management program more than one Records Liaison Officer should be designated for a department, the department head shall designate the number of Records Liaison Officers specified by the Records Management Officer. Persons designated as Records Liaison Officers shall be thoroughly familiar with all the records created and maintained by the department and shall have full access to all records of the City of Round Rock, Texas maintained by the department. In the event of the resignation, retirement, dismissal, or removal by action of the department head of a person designated as a Records Liaison Officer, the department head shall promptly designate another person to fill the vacancy. A department head may serve as Records Liaison Officer for his or her department. 7. 1.2411 DUTIES AND RESPONSIBILITIES OF RECORDS LIAISON OFFICERS. In addition to other duties assigned in this Section, Records Liaison Officers shall: (1) Conduct or supervise the conducting of inventories of the records of the department in preparation for the development of records control schedules; (2) In cooperation with the Records Management Officer, coordinate and implement the policies and procedures of the records management program in their respective departments; and (3) Disseminate information to department staff concerning the records management program. 1.2412 RECORDS CONTROL SCHEDULES TO BE DEVELOPED• APPROVAL• FILING WITH STATE. (1) The Records Management Officer, in cooperation with department heads and Records Liaison Officers, shall prepare records control schedules on a department by department basis listing all records created or received by the department and the retention period for each record. Records control schedules shall also contain such other information regarding the disposition of municipal records as the records management plan may require. (2) Each records control schedule shall be monitored and amended as needed by the Records Management Officer on a regular basis to ensure that it is in compliance with records retention schedules issued by the state and that it continues to reflect the recordkeeping procedures and needs of the department and the records management program of the City of Round Rock, Texas. (3) Before its adoption, a records control schedule or amended schedule for a department must be approved by the department head and a majority vote of the members of the Records Management Committee. (4) Before its adoption, a records control schedule must be submitted to and accepted for filing by, the Director and Librarian of the Texas State Library as provided by state law. If a schedule is not accepted for filing, the schedule shall be amended to make it acceptable for filing. The Records Management Officer shall submit the records control schedules to said Director and Librarian. 8. 1.2413 IMPLEMENTATION OF RECORDS CONTROL SCHEDULES• DESTRUCTION OF RECORDS UNDER SCHEDULE. (1) A records control schedule for a department that has been approved and adopted under Section 1.2407 shall be implemented by department heads and Records Liaison Officers according to the policies and procedures of the records management plan. (2) A record whose retention period has expired on a records control schedule shall be destroyed unless an open records request is pending on the record, the subject matter of the record is pertinent to a pending law suit, or the department head requests in writing to the Records Management Committee that the record be retained for an additional period. (3) Prior to the destruction of a record under an approved records control schedule, authorization for the destruction must be obtained by the Records Management Officer from the Records Management Committee. 1.2414 DESTRUCTION OF UNSCHEDULED RECORDS. A record that has not yet been listed on an approved records control schedule may be destroyed if its destruction has been approved in the same manner as a record destroyed under an approved schedule and the Records Management Officer has submitted to and received back from the Director and Librarian an approved destruction authorization request. 1.2415 RECORDS CENTER A records center, developed pursuant to the plan required by Subsection 1.2407, shall be under the direct control and supervision of the Records Management Officer. Policies and procedures regulating the operations and use of the records center shall be contained in the records management plan developed under Subsection 1.2407. 1.2416 MICROGRAPHICS Unless a micrographics program in a department is specifically exempted by order of the municipality, all microfilming of records will be centralized and under the direct supervision of the Records Management Officer. The records management plan will establish policies and procedures for the microfilming of municipal records, including policies to ensure that all microfilming is done 9. in accordance with standards and procedures for the microfilming of local government records established in the rules of the Texas State Library and Archives Commission. The plan will also establish criteria for determining the eligibility of records for microfilming, and protocols for ensuring that a microfilming program that is exempted from the centralized operations is, nevertheless, subject to periodic review by the records management officer as to cost-effectiveness, administra- tive efficiency, and compliance with commission rules. II. A. All ordinances, parts of ordinances, or resolutions in conflict herewith are expressly repealed. B. The invalidity of any section or provision of this ordinance shall not invalidate other sections or provisions thereof. Alternative 1. By motion duly made, seconded and passed with an affirmative vote of all the Council members present, the requirement for reading this ordinance on two separate days was dispensed with. . READ, PASSED, and ADOPTED on first reading this � day of , 1990. Alternative 2. of READ and APPROVED on first reading this the day , 1990. READ, APPROVED and ADOPTED on second reading this the day of , 1990. — - el."& MIKE ROBINSON, Mayor City of Round Rock, Texas 10. ATTEST: JOANNE D, City Secretary 11. DATE: December 10, 1990 SUBJECT: City Council Meeting, December 13, 1990 ITEM: 13.G. Consider an ordinance adopting a Records Management Program for the City of Round Rock. (First Reading) STAFF RESOURCE PERSON: Joanne Land STAFF RECOMMENDATION: The ordinance does not include a records control schedule because in addition to stating a retention period for each record series as state law requires, records control schedules customarily contain other information regarding the life cycle or special characteristics of records. Since these additional elements in a records control schedule will differ from city to city, they are best defined in the records management plan rather than an ordinance. According to State law all local governments shall submit a records control schedule listing all records created or received by the City to the director and librarian of the Texas State Library no later than January 2, 1995. Staff recommends Council approve the proposed ordinance.