Item 6M - MemoCITY OF
SOUTH LAKE
MEMORANDUM
April 12, 2022
To: Shana Yelverton, City Manager
From: Amy Shelley, City Secretary
ITEM 6M
Subject: Ordinance No. 1256 2nd Reading, 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.
Action
Requested: Approve Ordinance No. 1256, 2nd Reading, 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.
Background
Information:
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.
To comply with the Act, the City Council passed Ordinance No. 497
on March 6, 1990, providing for the establishment of a records
management program and named the City Secretary as the
Records Manager for the City of Southlake.
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, on or before January 4, 1999.
To comply with the new Act requirement, the City Council adopted
Resolution No. 98-74 on December 1, 1998, declaring the records
retention schedules issued by TSLAC.
Providing a solid foundation for a local governments' records
management program is the foremost purpose of the records
control schedule. Some of the benefits of the records management
program are:
• Complying with legal requirements.
• Destroying records that no longer have value to the
government.
• Providing legal protection to the government when destroying
records.
• Retaining records of permanent value.
• Providing security for records with confidential or sensitive
information.
• Efficiently using office space for active records.
• Moving inactive records into less expensive storage areas, if
possible.
• Releasing equipment and reusable media for other productive
uses.
• Maintaining records in the formats offering optimum cost-
effectiveness.
It is now the desire to update and consolidate the City's records
management policies and procedures consistent with the Local
Government Records Act to achieve an efficient recordkeeping
program.
It has further been 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 in the proposed ordinance.
Financial
Considerations: Non -applicable
Strategic Link: C5: promote opportunities for partnerships and volunteer
involvement
Citizen Input/
Board Review: Non -applicable
Legal Review: Non -applicable
Alternatives: None
Supporting
Documents: Ordinance No. 497
Resolution No. 98-74
Ordinance No. 1256
Staff
Recommendation: Approve Ordinance No. 1256
ORDINANCE NO. 497
AN ORDINANCE OF THE CITY COUNCIL OF THE
CITY OF SOUTHLAKE, TEXAS, PROVIDING FOR
THE ESTABLISHMENT AND ADMINISTRATION OF
A RECORDS MANAGEMENT PROGRAM FOR THE CITY;
PROVIDING FOR PURPOSE OF RECORDS MANAGEMENT
PROGRAM; AUTHORIZING THE CITY SECRETARY TO
ESTABLISH AND ADMINISTER THE RECORDS MANAGE-
MENT PROGRAM; PROVIDING RECORDS MANAGEMENT
DUTIES FOR THE CITY SECRETARY, CITY COUNCIL,
AND CUSTODIANS OF RECORDS; PROVIDING OWNER-
SHIP OF MUNICIPAL RECORDS, AND THE RESPONSI-
BILITIES OF OFFICERS AND EMPLOYEES WITH RESPECT
THERETO; PROVIDING FOR THE DESTRUCTION, OR
OTHER DISPOSITION OF ORIGINAL MUNICIPAL PUBLIC
RECORDS AND ALL OTHER MUNICIPAL RECORDS; PRO-
VIDING A PENALTY CLAUSE; PROVIDING REPEALING AND
SEVERABILITY CLAUSES; AND, PROVIDING AN EFFECTIVE
DATE.
WHEREAS, State Law through the Texas Local Government
Records Act, enacted by the State Legislature in 1989 under the
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 City of Southlake in conformity with said
Act desires to establish, promote and support an active and
continuing program for the efficient and economical management of
all City of Southlake records and cause policies and procedures to
be developed for the administration of the program under the
direction of the Records Management Officer;
NOW THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
SOUTHLAKE, TEXAS:
Section 1. That the governing body of the City of Southlake,
Texas, does hereby establish and adopt a management program for the
orderly and efficient retention, retrieval and destruction of the
records of the City of Southlake, Texas, as follows:
Ordinance No. 497, Creating Records Management
page 2
Section 1. Definitions:
Local Government Record. 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 local City government officers or
any of its officers or employees pursuant to the law, including an
ordinance, or in the transaction of public business are hereby
declared to be records of the City of Southlake, and shall be
created, maintained, and disposed of in accordance with the
provisions of this Ordinance and the provisions of the Act. 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 City of Southlake;
B. Notes, journals, diaries, and similar documents created
by an officer or employee of Southlake for the
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 Article
6252-17a, Vernon's Texas Civil Statutes or other State
Law.
Commission. The Texas State Library and Archives Commission.
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. For the purpose of this Ordinance, a custodian is a
Department Head, under the administration of the City Manager or
the City Council, who is responsible for all records in his/her
department.
Director and Librarian The executive and administrative officer
of the Texas State Library and Archives Commission.
Essential Record 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 City, or to the protection and fulfillment of obligations to
the people of the State.
Ordinance No. 497, Creating Records Management
page 3
Governing Body The City Council of the City of Southlake.
Office Any office, department, division, program, commission,
bureau, board, committee, or similar entity of the City of
Southlake.
Permanent Record
government record
retention schedule
A record of permanent value. Any local
for which the retention period on a records
issued by the Commission is given as permanent.
Record A record of the City of Southlake.
Records Control Schedule A document prepared by or under the
authority of a Records Management Officer listing the records
maintained by the City of Southlake, their retention periods, and
other records disposition information that the records management
program in Southlake or State Law may require.
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.
Records Retention Schedule A document issued by the Commission
establishing mandatory retention periods for local government
records.
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.
Section 2. Establishment and
Administration of Southlake Records Management Program
That the Office of City Secretary is authorized to establish and
administer the Records Management Program for the City of
Southlake, Texas, pursuant to legal, fiscal, administrative, and
archival requirements and the City Secretary or his/her designee is
hereby named Records Management Officer. To this end, the City
Secretary will implement, but not be limited to, a program to
encompass such areas of records management as are required to
Ordinance No. 497, Creating Records Management
page 4
preserve and keep in order all books, papers, documents, records
and files of the City Council and of the executive departments to
achieve the following goals:
A. Release space and reduce the need for storage and filing
equipment.
B. Establish an efficient retrieval operation for both
active and inactive municipal records;
C. Provide for routine disposition of paperwork;
D. Maintain total security over municipal records;
E. Communicate the need of an effective Records Management
Program; and,
F. Secure a central records storage facility which can be
operated and maintained by records management staff.
Section 3 Purpose of Records Management Program
That this Ordinance shall be known and may be cited as the "Records
Management Program of the City of Southlake, Texas", providing for
the proper and efficient management of the municipal records of the
City of Southlake, Texas.
Since the citizens of Southlake have a right to expect efficient
and cost-effective government and recognizing the importance of
local government management of City records is necessary to the
effective and economic operation of the City, the preservation of
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, and the establishment of
uniform standards and procedures for the maintenance, preservation,
microfilming, or other disposition of City records is necessary to
fulfill the higher public purpose.
Section 4. City Records Declared Public Propert
All City records as defined in Section 1, herein 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.
Ordinance No. 497, Creating Records Management
page 5
Section 5. Polic
It is hereby declared to be 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.
Section 6 Duties of Records Managment Officer
The Records Management Officer shall have the following duties, and
others as assigned by the City Council and as provided by State Law:
A. Assist in establishing and developing policies and
procedures for a Records Management Program for the
City, which program shall include basic files management
and records disposition policies, systems, standards,
and, procedures;
B. Administer the Records Management Program and provide
assistance to custodians for the purposes of reducing
the costs and improving the efficiency of recordkeeping;
C. In cooperation with the custodians of the records:
a. Prepare and file with the director and librarian
before January 2, 1995, the records control
schedules and the list of obsolete records,
required by the Act;
b. Prepare and file with the director and librarian
amended schedules as needed to reflect new records
created or received by the City.
C. Prepare or direct the preparation of requests for
authorization to destroy records not on an approved
control schedule as provided by the Act, of
requests to destroy the originals of permanent
records that have been microfilmed, and of
electronic storage authorization requests;
D. In cooperation with custodians, identify and take
adequate steps to preserve City records that are of
permanent value;
E. In cooperation with custodians, identify and take
adequate steps to protect essential City records;
Ordinance No. 497, Creating Records Management
page 6
F. In cooperation with custodians, ensure the
maintenance, preservation, microfilming,
destruction of records is carried out in accordance
with the policies and procedures of the City's
Records Management Program and requirements of
State Law;
G. Report annually to the City Council on program
effectiveness;
H. Provide records management advice and assistance to
all City offices and departments, by preparation of
manuals of procedure and policies and by on -site
consultation;
I. Carry out destruction and transfers that are
required by records schedules, and carry out
microphotography tasks when staff and central
facility becomes available;
J. Design and manage the operations of a Records
Center for the low cost storage of inactive records
and as a future site for a centralized
micrographics program;
K. Develop a Citywide forms design and control system;
L. Establish in cooperation with other responsible
town officials a disaster plan for each City office
and department to insure maximum availability of
records for re-establishing operations quickly and
with minimum disruption and expense;
M. Bring to the attention of the City Manager any
office not in compliance with laws or ordinances
regarding public access to information or
protection of privacy;
N. Disseminate to the City Council and custodians
information concerning State Laws, administrative
rules, and the policies of the City relating to
local government records through a records manual
which may be amended from time to time and other
means of communication; and,
0. In cooperation with custodians, establish procedures
to ensure that the handling of records in any
context of the Records Management Program by the
Ordinance No. 497, Creating Records Management
page 7
Records Management Officer or those under the
Officer's authority is carried out with due regard
for the duties and responsibilities of custodians
that may be imposed by law and the confidentiality
of information in records to which access is
restricted by law.
Section 7. Duties and Responsibilities of City Council
The City Council shall:
A. Establish, promote, and support an active and
continuing program for the efficient and economical
management of all City of Southlake records;
B. Cause policies and procedures to be developed for
the administration of the program under the
direction of the Records Management Officer;
C. Facilitate the creation and maintenance of City
records containing adequate and proper
documentation of the organization, functions,
policies, decisions, procedures, and essential
transactions of the City and designed to furnish
the information necessary to protect the legal and
financial rights of the City, the State, and
affected by the activities of the City government;
D. Facilitate the identification and preservation of
City Records that are of permanent value;
E. Facilitate the identification and protection of
essential City records;
F. Cooperate with the Commission in its conduct of
Statewide records management surveys; and,
G. Review of a records control schedule or amended
schedule by the officers of the City as it
considers necessary.
Section 8. Duties and Responsibilities of Custodians
Custodians of Records in the City shall:
A. Cooperate with the Records Management Officer in
carrying out the policies and procedures established
Ordinance No. 497, Creating Records Management
page 8
by the city for the efficient and
economical management of records and in carrying
out requirements under the Act;
B. Adequately document the transaction of City
business and the services, programs, and duties for
which the custodian and the custodian's staff are
responsible;
C. 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
City's Records Management Program and the
requirements of the Act and rules adopted
thereunder; and
D. Designate records officers within their offices and
provide the Records Management Officer the names of
the designees and all persons working under their
supervision, such records officers to report
directly to the custodian in their department on
matters relating to the Records Management Program
and have full access to all files in their
respective departments.
State law relating to the duties, other responsibilities, or
reordering requirements of a custodian of local government records
does not exempt the custodian or the records in the custodian's
care from the application of this Ordinance and rules adopted by
the State under the Local Government Records Act of 1989 and may
not be used by the custodian as a basis for refusal to participate
in the City of Southlake Records Management Program, the
establishment of which is required by State Law.
Section 9. Microfilminq of Records
For the benefit of this section, "Microfilm" means roll microfilm,
microfiche, and all other formats produced by any method of
microphotography or other means of miniaturization on film.
For the benefit of this section, "Microfilming" means the methods,
procedures, and processes used to produce roll microfilm,
microfiche, or there microphotographic formats.
All microfilming activities by custodians must be carried out on or
after April 1, 1990, under rules established by the Commission
which rules will establish standards and procedures for the
microfilming of City records under Chapter 204, of the Act. All
Ordinance No. 497, Creating Records Management
page 9
microfilm produced before June 1, 1990, under law prior to the Act
is validated to the extent the microfilm was produced in the manner
and according to the standards prescribed by prior law.
All City of Southlake procedures and materials used for microfilm
and microfilming City records shall be done and acquired under the
aegis of State Law, and the City will be subject to all the law,
rules, standards and procedures as outlined in the Act.
Section 10. Electronic Storage of Records
For the purpose of this section "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.
For the purpose of this section, "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.
Any City record data may be stored electronically in addition to or
instead of source documents in paper or other media, subject to the
requirements of the Act and rules adopted under it.
The City will be subject to rules established by the Commission for
standards and procedures for electronic storage and will be subject
to the provisions of Chapter 205 of the Act.
Section 2. Upon the adoption of this Ordinance, the City Secretary
is directed to file with the director and librarian within thirty
(30) days the name and office of the Records Management Officer of
the City and a copy of this Ordinance which establishes the Records
Management Program of the City of Southlake, Texas.
Section 3. Any individual, association or corporation violating
any portion or provision of this ordinance shall be deemed guilty
of a misdemeanor and, upon conviction therefore, shall be punished
by the assessment of a fine not exceeding $500.00, and a separate
offense shall be deemed committed upon each day during on or which
a violation occurs or continues.
Section 4. All ordinances or parts of ordinances in direct
conflict herewith are repealed to the extent of conflict only.
Section 5. Should any section, subsection, sentence, provision,
clause or phrase hereof be held to be invalid, void or
unconstitutional, for any reason, such holding shall not render
invalid, void, or unconstitutional any other sections, subsection,
sentence, provision, clause or phrase of this ordinance, and the
same are deemed severable for this purpose.
Ordinance No.497 , Creating Records Management
page 10
Section 6. This Ordinance shall take effect and
on and after approval by the City Council, and upc
PASS AND APPROVE'aD NyFIRST READING ON THIS
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Date: 5- � S" 70
ADOPTED: '�p / 0
EFFECTIVE:
be in full force
n publication.
y4�a _ DAY OF
DAY OF
LOCAL GOVERNMENT
RECORDS ACT
TIMETABLE
June 1, 1990 - Deadline for designation of a
records management officer (RMO) by each local
government. Elected county officers are automatically
designated RMOs under the Act.
June 1, 1990 - Deadline for conforming ongoing
microfilming projects with standards and procedures of the
Texas State Library and Archives Commission. These
standards will be adopted by the commission on or before
April 1, 1990. Ne«- programs began after the adoption of
standards must conform to the standards from the start.
January 1, 1991 - Deadline for adopting written
records management plan. Copy to be filed with the
director and librarian.
January 2, 1995 - Deadline for filing records
control schedules for the records of your office.
City of Southlake, Texas
CITY OF SOUTHLAKE, TEXAS
RESOLUTION NO.98-74
A RESOLUTION ADOPTING THE TEXAS STATE LIBRARY AND
ARCHIVES COMMISSION RECORDS RETENTION SCHEDULES;
AUTHORIZING THE RECORDS MANAGEMENT OFFICER TO SIGN
THE DECLARATION OF COMPLIANCE; AND DIRECTING THE
RECORDS MANAGER TO FILE THE DECLARATION
OF COMPLIANCE WITH THE TEXAS STATE LIBRARY.
WHEREAS, the Local Government Records Act of 1989, Chapter 203 of the
Local Government Code, 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 in lieu of developing local schedules for records retention;
and,
WHEREAS, Section 203.041 of the Local Government Code provides that the
declaration of compliance be signed by the records management officer and that the
declaration of compliance be filed with the director and librarian of the Texas State
Library and Archives Commission; and,
WHEREAS, the City of Southlake passed Ordinance No. 497 on March 6, 1990
providing for the establishment of a records management program; and,
WHEREAS, the City of Southlake desires to adopt the Texas State Library and
Archives Commission schedules and guidelines;
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF
THE CITY OF SOUTHLAKE, TEXAS, THAT:
I.
The City of Southlake, Texas, hereby adopts the Texas State Library and Archives
Commission schedules for records retention.
II.
The records manager of the City of Southlake shall complete a Declaration of
Compliance with the Records Scheduling Requirement of the Local Government Records
Act.
The records manager of the City of Southlake shall file, via certified mail return
receipt requested, the Declaration of Compliance with the director and librarian of the
Texas State Library and Archives Commission, State and Local Records Management
Division, Post Office Box 12927, Austin, Texas 78711-2927.
IV.
It is hereby officially found and determined that the meeting at which this
Resolution was passed was open to the public and that public notice of the time, place
and purpose of said meeting was given, all as required by law.
V.
This Resolution shall be effective upon passage.
PASSED AND APPROVED THIS THE 1ST DAY OF DECEMBER,1998.
Mayor, Rick Stacy
City of Southlake, Texas
ATTEST:
' leiy� A
Sandra L. LeGrand
City Secretary
APPROVED AS TO FORM AND LEGALITY:
L 7a
City Attorne
M:\WP-FILES SOLUTI\Res-98-74-Record-Retention.doc\sl
ORDINANCE 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 VII, "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 day of , 2022.
MAYOR
ATTEST:
CITY SECRETARY
PASSED AND APPROVED on the 2nd reading the day of , 2022.
MAYOR
ATTEST:
CITY SECRETARY
APPROVED AS TO FORM AND LEGALITY:
CITY ATTORNEY
DATE:
ADOPTED:
EFFECTIVE:
EXHIBIT A
RECORDS MANAGEMENT PROGRAM
Contents
INTRODUCTION....................................................................................................................
2
DEFINITIONS......................................................................................................................
2-3
POLICY STATEMENT............................................................................................................
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
Department Directors..........................................................................................................
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 or continuation
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.
2
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
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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:
k,
➢ 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.
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
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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.
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