1256ORDINANCE NO. 1256
AN ORDINANCE OF CITY OF SOUTHLAKE, TEXAS, AMENDING
CHAPTER 2, "ADMINISTRATION," ARTICLE VII, "PUBLIC RECORDS,"
OF THE SOUTHLAKE CODE OF ORDINANCES TO UPDATE AND
CLARIFY THE CITY'S ACTIVE AND CONTINUING RECORDS
MANAGEMENT PROGRAM; PROVIDING A SAVINGS CLAUSE;
PROVIDING THAT THIS ORDINANCE SHALL BE CUMULATIVE OF ALL
ORDINANCES; PROVIDING A SEVERABILITY CLAUSE; PROVIDING
FOR A PENALTY FOR VIOLATIONS HEREOF; PROVIDING FOR
PUBLICATION IN THE OFFICIAL NEWSPAPER; AND PROVIDING AN
EFFECTIVE DATE.
WHEREAS, State Law through the Texas Local Government Records Act, enacted by
the State Legislature in 1989 under title H.B. 1285, as amended from time
to time, hereafter referred to as the "Act", provides that each governing body
in local government shall designate a Records Management Officer on or
before June 1, 1990; and,
WHEREAS, the Act requires the governing body of each local government to adopt an
ordinance, order or plan as appropriate, establishing a Records
Management Program on or before January 1, 1991; and,
WHEREAS, the Act was amended to permit local governments to file a written
declaration that records control schedules have been adopted that comply
with the minimum requirements on records retention schedules issued by
the Texas State Library and Archives Commission ("TSLAC") in lieu of
developing local schedules for records retention; and
WHEREAS, the City of Southlake previously adopted an ordinance, and later adopted a
resolution, for the purpose of establishing a records management program
and adopting the TSLAC schedules and guidelines; and
WHEREAS, the City now desires to update and consolidate the City's records
management policies and procedures consistent with the Local
Government Records Act in order to achieve more cost-effective and
efficient recordkeeping; and,
WHEREAS, the City Council has further determined that Ordinance No. 497 and
Resolution No. 98-74 should be repealed and replaced to establish a clear
and comprehensive records management program as set forth in Exhibit
"A" attached hereto.
NOW THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
SOUTHLAKE, TEXAS, THAT:
SECTION 1.
All findings in the preamble are found to be true and correct and the City Council
hereby incorporates said findings into the body of this ordinance as if copied in its entirety.
SECTION 2.
Division 2 of Article VI I, "Public Records," of Chapter 2, "Administration," of the
Southlake Code of Ordinances is hereby amended to read as follows:
"DIVISION 2. — RECORDS MANAGEMENT PROGRAM
Sec. 2-305. Records Management Program Adopted.
That a certain document, attached hereto as Exhibit A, being marked and
designated as the Records Management Program, be and is hereby
adopted as the records management program of the City of Southlake. The
material contained in Exhibit A, "Records Management Program," shall not
be included in the formal municipal codification of ordinances but shall be
maintained as a public record in the office of the City Secretary and will be
available for public inspection and copying during regular business hours.
Sec. 2-306. Records Management Officer.
The City Secretary will serve as the Records Management Officer for the
City and will develop policies and procedures to ensure that the
maintenance, preservation, security, destruction, electronic storage, and
other disposition of the records of the City are carried out in accordance
with the requirements of the Local Government Records Act.
Sec. 2-307. Records Control Schedules.
Appropriate records control schedules issued by the Texas State Library
and Archives Commission shall be adopted by the Records Management
Officer for use in the City. The Records Management Officer shall prepare
amendments to the schedules as needed to reflect new records created or
received by the City, or revisions to retention periods established in a
records retention schedule issued by the Commission.
Sec. 2-308-2-325. — Reserved."
SECTION 3.
Upon adoption of this Ordinance, the City Secretary is directed to file with the
director and librarian of the Texas State Library Archives Commission within thirty (30)
days the name and office of the Records Management Officer of the City, a copy of this
ordinance which establishes the Records Management Program of the City, and a
declaration of compliance as required by state law.
SECTION 4.
Ordinance No. 497 and Resolution No. 98-74 are repealed upon the effective date
of this ordinance. Such repeal shall not affect the applicability and/or enforceability of the
City's records management program in effect before the effective date of this ordinance.
This ordinance shall apply prospectively from the effective date hereof.
SECTION 5.
All rights and remedies of the City of Southlake are expressly saved as to any and
all violations of the provisions of any ordinances affecting records management which
have accrued at the time of the effective date of this ordinance; and, as to such accrued
violations and all pending litigation, both civil and criminal, whether pending in court or
not, under such ordinances, same shall not be affected by this ordinance but may be
prosecuted until final disposition by the courts.
SECTION 6.
This ordinance shall be cumulative of all provisions of ordinances and of the Code
of Ordinances of the City of Southlake, Texas, except where the provisions of this
ordinance are in direct conflict with the provisions of such ordinances, in which event the
conflicting provisions of such ordinances are hereby repealed.
SECTION 7.
It is hereby declared to be the intention of the City Council that the phrases,
clauses, sentences, paragraphs and sections of this ordinance are severable, and if any
phrase, clause, sentence, paragraph or section of this ordinance shall be declared
unconstitutional by the valid judgment or decree of any court of competent jurisdiction,
such unconstitutionality shall not affect any of the remaining phrases, clauses, sentences,
paragraphs and sections of this ordinance, since the same would have been enacted by
the City Council without the incorporation in this ordinance of any such unconstitutional
phrase, clause, sentence, paragraph or section.
SECTION 8.
Any person, firm or corporation who violates, disobeys, omits, neglects or refuses
to comply with or who resists the enforcement of any of the provisions of this ordinance
shall be fined not more than Five Hundred Dollars ($500.00) for each offense. Each day
that a violation is permitted to exist shall constitute a separate offense.
SECTION 9.
The City Secretary of the City of Southlake is hereby directed to publish caption,
penalty clause, and effective date clause in the official newspaper at least once within ten
(10) days after the passage of this ordinance.
SECTION 10.
This ordinance shall be in full force and effect from and after its passage and
publication as required by law, and it is so ordained.
PASSED AND APPROVED on the 1st reading the fi% day of 2022.
MAYOR
ATTEST:
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6TY SECRETARY
PASSED AND APPROVED on the 2"d reading the day of , 2022.
KEtr MAYOR
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CITY SECRETARY
APPROVED AS TO FORM AND LEGALITY:
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CITY ATTORNEY I
DATE: u 11l CL I aa-
ADOPTED: uIa3�2-
EFFECTIVE: I ya Iry
EXHIBIT A
RECORDS MANAGEMENT PROGRAM
Contents
INTRODUCTION....................................................................................................................
2
DEFINITIONS......................................................................................................................
2-3
POLICYSTATEMENT............................................................................................................
4
RECORDS MANAGEMENT PROGRAM................................................................................
4
Objectives...........................................................................................................................
4
Purpose..............................................................................................................................
4
Authority..............................................................................................................................
4
RESPONSIBILITIES IN THE RECORDS MANAGEMENT PROGRAM (RMP).......................
4
Employees/Custodians.......................................................................................................
4
Records Management Officer(RMO)...............................................................................
4-5
DepartmentDirectors..........................................................................................................
5
RecordsLiaisons.............................................................................................................
5-6
MAINTENANCE AND RETENTION OF RECORDS...............................................................
6
DESTRUCTION OR DISPOSITION OF RECORDS............................................................
6-7
ELECTRONIC RECORDS......................................................................................................
7
Standards and Procedures..................................................................................................
7
ElectronicMail (Email)........................................................................................................
7
ESSENTIAL RECORDS PROGRAM POLICY........................................................................
7
MUNICIPAL RECORDS DECLARED PUBLIC PROPERTY ...................................................
7
1
INTRODUCTION
The Texas Local Government Records Act of 1989 (Title 6, Subtitle C, Local Government
Code) requires that each local government, including municipalities, designate a Records
Management Officer and establish a Records Management Program by ordinance, order, or
resolution. This document must provide methods and procedures to enable the governing body,
custodians, and the Records Management Officer to fulfill the duties and responsibilities as
described in Local Government Code (LGC) Sections 203.021, 203.022, and 203.023
concerning the management of records.
DEFINITIONS
TERM
DEFINITION
Commission
The Texas State Library and Archives Commission(TSLAC).
Custodian of Records
The City Secretary or City employees.
Department
A City Department, or the functional equivalent that provides
specific responsibilities for City operations.
Department Director
The person who oversees a department.
Disaster
A sudden event, such as an accident or a natural catastrophe,
that causes great damage, loss, or destruction.
Disposition
The action taken on a record at the end of a retention period.
Employee
A person employed by the City (full or part time).
Essential Record
Any City record necessary for the resumption orcontinuation
of City operations in the event of an emergency or disaster,
and for the re-creation of the City's legal and financial status,
or for the protection and fulfillment of its obligations.
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,
Section 205.001.
Historical Record
Records which, depict persons or events which are or have
been a part of occasions which significantly affect or have
affected the City of Southlake, its functional activities, its
heritage, growth and/or development.
Librarian
The Director/Librarian, Texas State Library and Archives
Commission.
Local Government
Title 6 (Records), Subtitle C (Records provisions applying to
Records Act
more than one type of local government), of the Texas Local
Government Code, and includes the rules adopted by the
commission under the Local Government Records Act.
Medium
The form in which the record is available (e.g., paper,
electronic, audio, video, etc.)
Official
The Mayor, a member of the City Council, a Municipal Court
Judge (including a Substitute Judge), and a person appointed
by the Mayor or the City Council to a City board, commission,
committee, task force, or other City body.
E
Original Official
Only copy of a record to which no duplicates exist.
Record
Permanent Record
A City record identified on the records control schedule that
has a retention period of permanent.
Record
All documents, papers, letters, books, maps, photographs,
sound or recordings, microfilm, magnetic tape, electronic
media, or other information -recording media, regardless of
physical form or characteristic, created or received by any of
its officers or employees in the transaction of public business.
Records Control
A document prepared by or under the authority of the RMO
Schedule
listing the records maintained by the City, their retention
periods, and other records disposition information.
Records Inventory
The process of locating, identifying, and describing in detail
the records of a department.
Records Liaison
Any person(s) assigned this responsibility by the Department
Director.
Records
Providing for efficient, economical, and effective controls over
Management
the creation, distribution, organization, maintenance, use,
disposition, training, and preservation of records. The term
includes:
a. The development of records retention and
disposition schedules.
b. The management of manual, micrographic,
electronic, and other records storage systems.
C. The protection of essential and permanent
records.
d. The economical and space -saving storage of
inactive records.
The control over the creation and distribution of forms,
reports, and correspondence.
Records Manager
The position that is subject to the direction of the City
(RM)
Secretary who performs records management duties.
Records
The City Secretary of the City of Southlake shall serve at
Management Officer
the Records Management Officer (RMO) under Local
(RMO)
Government Code, 203.025.
Records
The minimum time that must pass after the creation,
Management
recording, or receipt of a record, or the fulfillment of
Program (RMP)
certain actions associated with a record, before it is
eligible for destruction
Retention Period
The minimum amount of time required to keep records
before eligible for destruction.
Texas Open Records
The Public Information Act in Chapter 552 of the Texas
Act
Government Code.
Texas State Library
An organization that provides an infrastructure for
and Archives
managing state and local public records.
Commission (TSLAC)
POLICY STATEMENT
It is the policy of the City of Southlake to provide for efficient, economical, and effective controls
over the creation, distribution, 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. This policy shall apply to all employees, agents,
contractors, and volunteers of the City.
RECORDS MANAGEMENT PROGRAM
Objectives
➢ To protect and maintain the records of the City, including essential information in
the event of a disaster.
➢ To ensure prompt and accurate retrieval of records regardless of medium.
➢ To ensure compliance with legal and regulatory requirements and to minimize
litigation risks.
Purpose
➢ To identify all documents, thereby improving efficiency and productivity.
➢ To maintain City records in a manner that reduces operating costs.
➢ To dispose of records in the normal course of business according to records
retention schedules.
Authority
The RMP requirements, policies, and procedures are binding on all City officers, employees,
departments, offices, divisions, boards and commissions, task forces, ad hoc committees, and
similar entities of the City.
RESPONSIBILITIES IN THE RECORDS MANAGEMENT PROGRAM (RMP)
EMPLOYEES/CUSTODIANS
All City employees (also known as custodians) shall:
➢ Be responsible for properly managing records that were created or received during
the course of daily operations for which they serve as the custodian.
➢ Utilize available resources, and coordinate with the Department Records Liaison or
the RMO for instructions regarding the proper care of City records.
➢ Notify the RMO immediately should they observe or suspect actual or potential
damage to City records
➢ Cooperate with the RMO in carrying out the policies and procedures established by
the City for the efficient and economical management of records.
➢ Adequately document the transaction of City business and the services, programs,
and duties for which the custodian and the custodian's staff are responsible.
RECORDS MANAGEMENT OFFICER (RMO)
In addition to other duties assigned by Ordinance or state law, the RMO shall:
➢ Administer the City's RMP and provide advice and assistance to Department
Directors and Records Liaisons in its implementation.
➢ Recommend and prepare policies, and procedures for the RMP.
➢ Serve as the City's liaison for the TSLAC Librarian for RMP requirements.
➢ Review and submit for approval of the City Council records retention and disposition
schedules for the City.
➢ In cooperation with Department Directors and Records Liaisons, identify essential
4
records and ensure availability of those records in order to re-establish operations
quickly.
➢ Monitor records retention schedules and administrative rules issued by the TSLAC to
ensure the RMP remains compliant with state regulations, and disseminate
information concerning state laws and administrative rules related to City records to
Department Directors and Records Liaisons.
➢ File a written certification of compliance with the TSLAC Librarian stating that the
City has adopted a records retention and disposition schedule, or an amended
schedule that meets minimum requirements adopted by the TSLAC, in lieu of filing
the records retention and disposition schedule with the Librarian.
➢ File any revisions to the RMP with TSLAC within 30 days after adoption, as required
by state law.
➢ Conduct surveys, interviews, and inspect and review departmental records policies,
to ensure compliance with the RMP and state law, including Texas Administrative
Code Title 13, Section 7.164 (required minimal storage conditions) for permanent
records.
➢ Inform the City Manager of noncompliance by Department Directors or other
personnel with the requirements, policies, and procedures of the RMP or state law.
➢ Develop procedures to ensure the permanent preservation of the historically valuable
records of the City, in coordination with the Records Manager.
➢ Provide the resources necessary for the management of City records to all
employees, including uniform standards and efficient controls over the creation,
identification, appraisal, maintenance, protection, preservation, transfer, retention,
and disposition of City records, and all applicable forms.
➢ Create policies to address records requirements and needs as technology evolves.
➢ Maintain confidentiality of information in records to which access is restricted by law.
DEPARTMENT DIRECTOR
Every Department Director shall:
➢ Cooperate in conjunction with the RMO in executing the RMP and this Ordinance in
a way that is both efficient and economical in the management of records.
➢ Designate a Records Liaison(s) within their offices and provide the RMO the names
of such designee(s). Persons designated as Records Liaisons must report directly to
the Department Director on matters relating to the RMP and should have full access
to all files in their department. If the Records Liaison cannot fulfill duties pertaining to
the RMP, the Department Director shall promptly designate another person to fill the
vacancy. A Department Director may serve as the Record Liaison for the
department.
➢ Document the transaction of government business and the services, programs, and
duties for which the Department Director and their staff are responsible.
➢ Maintain the records in their department and be responsible for record(s) transfers
and dispositions, and other activities within their areas of responsibility, in
coordination with the designated Records Liaison(s), and in accordance with the
RMP and this Ordinance.
➢ Be prepared to appear in court in response to the City being served a subpoena
regarding records that were created or received by the department for which they are
the legal custodian, or to complete an Affidavit of Authenticity to that effect, as
applicable. Department Directors may also select a designee for this purpose.
RECORDS LIAISONS
The Records Liaison(s) in each department is responsible for coordinating with the RMO or
Records Manager to ensure that provisions of the RMP are complied with. This responsibility
shall include:
5
➢ Promoting the RMP and serve as the primary resource on records information within
their department.
➢ Overseeing the application of records schedules within the department and
coordinating with the RMO or Records Manager for proper records handling
procedures, including the filing and disposition of records, and use of all applicable
forms.
➢ Working with the Records Manager in gathering records within their Department for
Public Information Requests, litigation, or other requests as warranted, and in
accordance with state law.
➢ Informing the RMO if there are space limitations for record storage, or any other
record needs.
➢ Duties and responsibilities that may be imposed by law, and to protect the
confidentiality of information for records by which access is restricted by law.
MAINTENANCE AND RETENTION OF RECORDS
All records of the City of Southlake, regardless of format will be maintained, organized, and
classified consistent with and according to the retention schedules set forth by TSLAC and
adopted by Resolution 98-74. As general guidance, City records must be organized and
classified into the standardized system, protected from loss or misclassification through proper
handling and secure storage, and efficiently retrieved to meet the City's needs. This will ensure
all information is maintained in the same manner and will provide for better sharing of
information and less duplication.
City records, in paper format, which are scanned electronically, and quality control ensured,
may be destroyed physically. The electronic record then becomes the official record. Electronic
records are to be stored according to the Records Management Program, state law, and the
adopted retention schedules administered by TSLAC.
An amendment in the length of a retention period, shall be determined after a consultation with
the RMO. Once the amendment is approved, a custom retention schedule for internal use
should be filed.
DESTRUCTION OR DISPOSITION OF RECORDS
When the retention period for a record has expired, the RMO shall approve the destruction of
the record unless:
➢ A request for the record under Chapter 552 (Public Information Act) of the
Government Code is pending;
➢ The City Attorney determines the subject matter of the record is related to pending or
anticipated litigation, or to an ongoing legal matter;
➢ The subject matter of the record is related to an ongoing audit, or an ongoing review
by a governmental regulatory agency;
➢ A Department Director or RMO requests in writing to TSLAC the record be permitted
to be retained for an additional period;
➢ The RMO determines the record is of historical value.
To ensure compliance with the rules established by TSLAC, a City-wide records destruction
shall be initiated by the RMO on a bi-annual basis.
The Record Liaisons shall provide records to be destroyed to the RMO upon approval of the
Department Director. Once approval for destruction has been made of any record that has met
6
retention, any duplicate of that record should also be destroyed by the department.
The RMO shall record the destruction of records and maintain the destruction log.
ELECTRONIC RECORDS
STANDARDS AND PROCEDURES
Employees are encouraged to create and store records electronically to the extent possible, and
within the procedures of the RMP. Consult with the RMO or IT to determine if the program or
application where City records are created or stored are acceptable for long-term storage
needs.
Data of permanent value for any City record must be saved on the City's server or other
Enterprise Content Management System approved by IT.
All employees must adhere to the Policies and Procedures as described in the City's Employee
Handbook - Electronic Communication and Internet Use, Section 507.
ELECTRONIC MAIL (EMAIL)
The retention requirements are the same for emails as paper correspondence. The content of
the email will determine the retention period.
Refer to the City's official retention schedule to determine what emails (correspondence or
information) you need to keep and how long.
When an employee leaves, the IT Division secures and archives email records of former
employees in accordance with the City's retention schedule.
ESSENTIAL RECORDS PROGRAM POLICY
Records essential to the survival of the City must be identified for protection from destruction in
the event of a disaster as part of the RMP.
Each department will determine which records in their area contain essential information
needed for continued operations should a disaster occur and by which method those records
will be protected, in accordance with the RMP.
MUNICIPAL RECORDS DECLARED PUBLIC PROPERTY
All City records as defined in this program, are hereby declared to be property of the City of
Southlake, Texas. No City 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.
VA