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HomeMy WebLinkAboutORD 90-53 ORDINANCE NO. 10- 673 ENTITLED AN ORDINANCE ESTABLISHING A RECORDS MANAGEMENT PROGRAM; PROVIDING DEFINITIONS; PROVIDING FOR SEVERABILITY AND PROVIDING FOR REPEAL. WHEREAS, Title 6, Subtitle C, Local Government Records Act of the Local Government Code provides that a' City must establish by ordinance an active and continuing records management program to be administered by a Records Management Officer, and WHEREAS, the City of Beaumont 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 record keeping, and WHEREAS, on February 27, 1990, the City Council of the City of Beaumont passed Ordinance No. 90-14 which defined city records, declared city records to be public property and designated the City Clerk as Records Management Officer; NOW, THEREFORE, BE IT ORDAINED BY THE CITY OF BEAUMONT Section 1. DEFINITIONS. (1) "Department Head" means the officer who by ordinance, order, or administrative policy is in charge of an office of the City of Beaumont that creates or receives records. (2) "Essential record" means any record of the city necessary to the resumption or continuation of operations of the City of Beaumont in an emergency or disaster, to the re-creation of the legal and financial_ status of the City of Beaumont, or to the protection and fulfillment of obligations to the people of the state. (3) "Permanent Record" means any record of the City of Beaumont for which the retention period on a records control schedule is given as permanent. (4) "Records control schedule" means a document prepared by or under the authority of the Records Management officer listing the records maintained by the City of Beaumont, their retention periods and other records disposition information that the records management program may require. (5) "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 record keeping. 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, the management of micrographics and electronic and other records storage systems. (6) "Records liaison officers" means the persons designated under Section 7 of the ordinance. (7) "Records management . committee" means the committee established in Section 3 of this ordinance. (8) "Records management plan" means the plan developed under Section 4 of this ordinance. 2- (9) "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. ef Section 2 . POLICY. It is hereby declared - to be the policy of the City of Beaumont to provide for efficient, economical, and effective controls over the organization, maintenance, use, and disposition of all city 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. Section 3 . ESTABLISHMENT OF RECORDS MANAGEMENT COMMITTEE. DUTIES. �e,,,r..F _w» ,, .• A Records Management C_om__mittee consisting of the City Manager, City Clerk, City Attorney and Finance Director is hereby established. The committee shall: (a) assist the Records Management Officer in the development of policies and procedures governing the records management program; (b) review the performance of the program on a regular basis and propose changes and improvements if needed; (c) review and approve records control schedules submitted by the Records Management Officer; -3- (d) give final approval to the destruction " of records in accordance with approved record control schedules; (e) study the feasibility of and, if appropriate, establish a uniform filing system and a forms design and control system for the creation of records; If (f) study the feasibility of, recommend and approve the electronic storage of city records and the microfilming of city records; and (g) actively support and promote the records management program throughout the City of Beaumont. Section 4. RECORDS 'MANAGEMENT PLAN TO BE DEVELOPED; APPROVAL OF PLAN; AUTHORITY OF PLAN. (a) The Records Management Officer and the Records Management Committee shall develop a records management plan for the City of Beaumont for submission to the City Council. The plan must contain policies and procedures designed to reduce the costs and improve the efficiency of record keeping, to adequately protect the essential records of the city, and to properly preserve those records of the city that are of historical value. The plan must be designated to enable the Records Management Officer to carry out his or her duties prescribed by state law and this ordinance effectively. (b) Once approved by the City Council,. fthe records management plan shall be binding on all offices, departments, divisions, programs, commissions, bureaus, boards, committees, or similar entities of the City of Beaumont and records shall be --4.- created, maintained, stored, and microfilmed in accordance with said plan. (c) State law relating to the duties, other responsibilities, or record keeping requirements of a department head do not exempt the department head or the records ins the department head's care from the application of this ordinance and the records management plan adopted under it and may not be used by the department head as a basis for refusal to participate in the records management program of the City of Beaumont. Section 5. DUTIES OF RECORDS MANAGEMENT OFFICER. In addition to other duties assigned in the ordinance, 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 city 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) establish standards for filing and storage equipment and for record keeping supplies; -5- (6) study the feasibility of and, if appropriate, r' establish a uniform filing system and a forms design and control system for the City of Beaumont; -(7) provide records management advice and assistance to all city 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 city'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 policies of records inventories in preparation for the development of records control schedules as required by state law and this ordinance; (12) ensure that the maintenance, preservation, microfilming, destruction, or other disposition of city records is carried out in accordance with the policies and procedures of the records management program and the requirements of state law; -G- (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 Manager and to the City Council on the implementation of the records management plan in each department of the City of Beaumont, including summaries of the statistical and fiscal data compiled under Subsection (13) ; and (15) bring to the attention of the City Manager non- compliance- by department heads or other city personnel with the policies and procedures of the records management program or the Local Government Records Act. Section 6. DUTIES AND RESPONSIBILITIES OF DEPARTMENT HEADS. In addition to other duties assigned in this ordinance, department heads shall: (1) cooperate with the Records Management Officer in carrying out the policies and procedures established by the City of Beaumont for the efficient and economical management of records and in carrying out the requirements of this ordinance; (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 7 (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 Beaumont and the requirements of this ordinance. Section 7. 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 Beaumont 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. Section 8. DUTIES AND RESPONSIBILITIES OF RECORDS LIAISON OFFICERS. In addition to other duties assigned in this ordinance, Records Liaison Officers shall: (a) supervise or conduct inventories of the records of the department in preparation for the development of records control schedules and amended records control schedules; (b) in cooperation with the Records Management Officer coordinate and implement the policies and procedures of the records management program in their departments; and (c) disseminate information to department staff concerning- the records management program. Section 9. RECORDS CONTROL SCHEDULES TO BE DEVELOPED; APPROVED; FILED WITH STATE. •(a) 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 city records as the records management plan may require. (b) 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 record keeping procedures and needs of the department and the records management program of the City of Beaumont. (c) Before its adoption, a records control schedule or amended schedule for a department must be approved by the department head and the members of the Records Management Committee. (d) Before its adoption, a records control schedule must be submitted to and accepted for filing by the director and librarian 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 the director and librarian. Section 10. IMPLEMENTATION OR RECORDS CONTROL SCHEDULES; DESTRUCTION OF RECORDS UNDER SCHEDULE. (a) A records control schedule for a department that has been approved and adopted under Section 4 shall be implemented by department heads and Records Liaison Officers according to the policies and procedures of the records management plan. (b) 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. • (c) 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. Section 11. 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. Section 12. RECORDS CENTER. A records center, developed pursuant to the plan required by Section 4, 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 Section 4. Section 13. MICROGRAPHICS. All microfilming of records will be centralized and under the direct supervision of the Records Management Officer. -11- The records management plan will establish policies and procedures for the microfilming of city records, including policies to ensure that all microfilming is done in accordance with standards and procedures for the microfilming of local government records established in rules of the Texas State Library and Archives Commission. The plan will also establish criteria for determining the : ' eligibility of records for microfilming and the Records Management Officer will perform periodic reviews of the microfilming program as to cost- effectiveness, administrative efficiency, and compliance with commission rules. Section 14 . ELECTRONIC STORAGE. All electronic storage of records will be reviewed by the Records Management Officer. The records management plan will establish policies and procedures for the electronic storage of local government records established in rules of the Texas State Library and Archives Commission. The plan will also establish criteria for determining the eligibility of electronic storage of records and the Records Management officer will request permission of the Texas State Library and Archives Commission for the electronic storage of records and perform periodic reviews of the electronic storage of records as to cost- effectiveness, administrative efficiency and compliance with commission rules. Section 15. That if any section, subsection, sentence, clause or phrase of this ordinance, or the application of same to a particular set of persons or circumstances, should for any reason be held to be invalid, such invalidity shall not affect the remaining portions of this ordinance, and to such end the various portions and provisions of this ordinance are declared to be severable. PASSED BY THE CITY COUNCIL of the City of Beaumont this the 11,6�12.1 day of 1990. Mayor - ORDINANCE NO. ID- 3 ENTITLED AN ORDINANCE ESTABLISHING A RECORDS MANAGEMENT PROGRAM; PROVIDING DEFINITIONS; PROVIDING FOR SEVERABILITY AND PROVIDING FOR REPEAL. WHEREAS, Title 6, Subtitle C, Local Government Records Act of the Local Government Code provides that a City must establish by ordinance an active and continuing records management program to be administered by a Records Management Officer, and WHEREAS, the City of Beaumont 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 record keeping, and WHEREAS, on February 27, 1990, the City Council of the City of Beaumont passed Ordinance No. 90-14 which defined city records, declared city records to be public property and designated the City Clerk as Records Management Officer; NOW, THEREFORE, BE IT ORDAINED BY THE CITY OF BEAUMONT Section 1. DEFINITIONS. (1) "Department Head" means the officer who by ordinance, order, or administrative policy is in charge of an office of the City of Beaumont that creates or receives records. (2) "Essential record" means any record of the city necessary to the resumption or continuation of operations of the City of Beaumont in an emergency or disaster, to the re-creation of the legal and financial status of the City of Beaumont, or to q the protection and fulfillment of obligations to the people of the state. (3) "Permanent Record" means any record of the City of Beaumont for which the retention period on a records control schedule is given as permanent. (4) "Records control schedule" means a document prepared by or under the authority of the Records Management Officer listing the records maintained by the City of Beaumont, their retention periods and other records disposition information that the records management program may require. (5) "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 record keeping. 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, the management of micrographics and electronic and other records storage systems. (6) "Records liaison officers" means the persons designated under Section 7 of the ordinance. (7) "Records management committee" means the committee established in Section 3 of this ordinance. (8) "Records management plan" means the plan developed under Section 4 of this ordinance. -2- (9) "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. Section 2 . POLICY. It is hereby declared to be the policy of the City of Beaumont to provide for efficient, economical, and effective controls over the organization, maintenance, use, and disposition of all city 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. Section 3 . ESTABLISHMENT OF RECORDS MANAGEMENT COMMITTEE• DUTIES. A Records Management Committee consisting of the City Manager, City Clerk, City Attorney and Finance Director is hereby established. The committee shall: (a) assist the Records Management Officer in the development of policies and procedures governing the records management program; (b) review the performance of the program on a regular basis and propose changes and improvements if needed; (c) review and approve records control schedules submitted by the Records Management Officer; -3- (d) give final approval to the destruction of records in accordance with approved record control schedules; (e) study the feasibility of and, if appropriate, establish a uniform filing system and a forms design and control system for the creation of records; (f) study the feasibility of, recommend and approve the electronic storage of city records and the microfilming of city records; and (g) actively support and promote the records management program throughout the City of Beaumont. Section 4. RECORDS MANAGEMENT PLAN TO BE DEVELOPED; APPROVAL OF PLAN; AUTHORITY OF PLAN. (a) The Records Management Officer and the Records Management Committee shall develop a records management plan for the City of Beaumont for submission to the City Council. The plan must contain policies and procedures designed to reduce the costs and improve the efficiency of record keeping, to adequately protect the essential records of the city, and to properly preserve those records of the city that are of historical value. The plan must be designated to enable the Records Management Officer to carry out his or her duties prescribed by state law and this ordinance effectively. (b) 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 Beaumont and records shall be --4- created, maintained, stored, and microfilmed in accordance with said plan. (c) State law relating to the duties, other responsibilities, or record keeping 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 ordinance and the records management plan adopted under it and may not be used by the department head as a basis for refusal to participate in the records management program of the City of Beaumont. Section 5. DUTIES OF RECORDS MANAGEMENT OFFICER. In addition to other duties assigned in the ordinance, 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 city 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) establish standards for filing and storage equipment and for record keeping supplies; �5_ (6) study the feasibility of and, if appropriate, establish a uniform filing system and a forms design and control system for the City of Beaumont; (7) provide records management advice and assistance to all city 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 city'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 policies of records inventories in preparation for the development of records control schedules as required by state law and this ordinance; (12) ensure that the maintenance, preservation, microfilming, destruction, or other disposition of city records is carried out in accordance with the policies and procedures of the records management program and the requirements of state law; -6- (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 Manager and to the City Council on the implementation of the records management plan in each department of the City of Beaumont, including summaries of the statistical and fiscal data compiled under Subsection (13) ; and (15) bring to the attention of the City Manager non- compliance by department heads or other city personnel with the policies and procedures of the records management program or the Local Government Records Act. Section 6. DUTIES AND RESPONSIBILITIES OF DEPARTMENT HEADS. In addition to other duties assigned in this ordinance, department heads shall: (1) cooperate with the Records Management Officer in carrying out the policies and procedures established by the City of Beaumont for the efficient and economical management of records and in carrying out the requirements of this ordinance; (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 -7- (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 Beaumont and the requirements of this ordinance. Section 7. 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 Beaumont 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. Section 8. DUTIES AND RESPONSIBILITIES OF RECORDS LIAISON OFFICERS. In addition to other duties assigned in this ordinance, Records Liaison Officers shall: (a) supervise or conduct inventories of the records of the department in preparation for the development of records control schedules and amended records control schedules; (b) in cooperation with the Records Management Officer coordinate and implement the policies and procedures of the records management program in their departments; and (c) disseminate information to department staff concerning the records management program. Section 9. RECORDS CONTROL SCHEDULES TO BE DEVELOPED; APPROVED; FILED WITH STATE. -(a) 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 city records as the records management plan may require. (b) 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 record keeping procedures and needs of the department and the records management program of the City of Beaumont. (c) Before its adoption, a records control schedule or amended schedule for a department must be approved by the department head and the members of the Records Management Committee. (d) Before its adoption, a records control schedule must be submitted to and accepted for filing by the director and librarian 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 the director and librarian. Section 10. IMPLEMENTATION OR RECORDS CONTROL SCHEDULES; DESTRUCTION OF RECORDS UNDER SCHEDULE. (a) A records control schedule for a department that has been approved and adopted under Section 4 shall be implemented by department heads and Records Liaison Officers according to the policies and procedures of the records management plan. (b) 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. (c) 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. Section 11. 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. Section 12 . RECORDS CENTER. A records center, developed pursuant to the plan required by Section 4, 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 Section 4. Section 13 . MICROGRAPHICS. All microfilming of records will be centralized and under the direct supervision of the Records Management Officer. -11® The records management plan will establish policies and procedures for the microfilming of city records, including policies to ensure that all microfilming is done in accordance with standards and procedures for the microfilming of local government records established in rules of the Texas State Library and Archives Commission. The plan will also establish criteria for determining the eligibility of records for microfilming and the Records Management Officer will perform periodic reviews of the microfilming program as to cost- effectiveness, administrative efficiency, and compliance with commission rules. Section 14 . ELECTRONIC STORAGE. All electronic storage of records will be reviewed by the Records Management Officer. The records management plan will establish policies and procedures for the electronic storage of local government records established in rules of the Texas State Library and Archives Commission. The plan will also establish criteria for determining the eligibility of electronic storage of records and the Records Management Officer will request permission of the Texas State Library and Archives Commission for the electronic storage of records and perform periodic reviews of the electronic storage of records as to cost- effectiveness, administrative efficiency and compliance with commission rules. Section 15. That if any section, subsection, sentence, clause or phrase of this ordinance, or the application of same to a particular set of persons or circumstances, should for any reason be held to be invalid, such invalidity shall not affect the remaining portions of this ordinance, and to such end the various portions and provisions of this ordinance are declared to be severable. PASSED BY THE CITY COUNCIL of the City of Beaumont this the 11,67/ day of t 1990. - Mayor -