The State Record


January 2000

A Semi-Annual Newsletter of the


State and Local Records Management Division

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Contents


Records Management


and the Public Information Act

As government records managers we have a special duty to preserve and protect information that directly affects peoples� lives.

In Texas, this duty is formalized in laws that require state agencies to maintain active and continuing records management programs. Likewise, Texas lawmakers have taken strong measures to ensure the public access to information created, received and maintained by governments. These laws state that �the people insist on remaining informed so that they may retain control over the instruments they have created.�1

This required openness presents special challenges for your records management program. Imagine what would happen if you could not find records requested under the Texas Public Information Act. How could you verify that the requested records were maintained by the agency at all? Or what if you had never inventoried a record that was requested in its electronic format? Could you say for sure where that record could be found? Could you determine within the allotted time whether it�or any part of it�might be confidential?

If these questions cause you to panic a little, you are not alone. A public information request can become an instant and unexpected audit of your records management program. For example, you may be asked to identify records that are maintained by your agency under a different name, or that have already met their retention periods, or that have been copied and distributed throughout the agency.

An active and continuing records management program is your best defense in handling open records requests properly. An effective program also ensures that the individual�s rights are protected and the needs of the agency are met efficiently and quickly. To be prepared for these challenges you must understand fully the scope of the Public Information Act and know how it relates to your records management program.

First, the need to �err on the side of openness� cannot be overemphasized. Information created, received and maintained by state agencies is presumed to be open. You may withhold records if you determine that the records fall under statutorily defined exemptions from disclosure. The Attorney General must then decide whether the exemption you assert is applicable and render an opinion on the matter.

To handle public information requests effectively, you must know and understand your agency�s records. You must know the proper way to discuss the scope of a request with the requester. You must be able to locate the records and examine their content. You must be able to provide access to the information in the time allotted to comply with the law and to protect the requester�s rights. Records inventories, retention schedules, and disposition logs are among the many useful tools in your records management program.

Open Records Basics

A request for records may be either verbal or written (including fax and e-mail).2 Many agencies choose to accommodate verbal requests for their own convenience. You may require requests to be written, and you can prepare forms for the purpose of making requests. However, you must honor written requests even if they are not made on the form you provide. When you receive a written request, you cannot withhold information unless you obtain an Attorney General opinion that the records are exempt from disclosure.

Once the request has been made, your agency has 10 working days to respond. This does not mean that you must fulfill the request in 10 working days. Agencies are required to �promptly produce� records, but the time period will vary depending on the volume, type and accessibility of the records.3 If for some reason the request will take more than 10 days, you must notify the requester, stating the reason that the request cannot be fulfilled and giving a reasonable date and hour for providing access to or copies of the records.

Once you have located the records being requested, you must determine whether the records are confidential. You must make the records available unless they are confidential by law or subject to an exemption from public disclosure. In any case, you must seek an Attorney General�s ruling if information is to be withheld. Either consult the Public Information Handbook, formerly called the Open Records Handbook (in addition to any other applicable laws, statutes or codes) to find an existing Attorney General�s opinion on the specific records in question, or request a ruling from the Attorney General�s office. To do this, you must respond to the requester explaining that an open records ruling has been initiated. This must occur within the first 10 days of receipt of the request and the appropriate documentation must be received by the Attorney General no later than 15 days after the original request was submitted.4

Records Management Program

Remember that the basic philosophy behind records management is coordination and control over the life cycle of your records. If properly executed, the fundamental management techniques of a continuing records management program can help you handle each phase of a public information request effectively. Here are some examples of the tools you could already have working for you.

Inventory

Every records management program must be based on a survey or inventory of your records. This inventory is important in handling a public information request. Knowing the location, medium, volume, and other descriptive information about your records can make or break your ability to handle a request.

A request for information is an additional duty that may take a lot of staff time. This time can be reduced if you have information readily available. An inventory helps to identify record copies and reduces the time needed to track records down. The inventory also identifies whether the record is in a special format�such as an oversized map or blueprint, microfiche or film, or electronic file�so that you can take steps to provide access or make provisions for copying. Such special records may take more time or cost more to make available to the public.

Remember that there are provisions in the Public Information Act for discussions about the scope of a request. The best way to handle these discussions is to provide specific information about the records you maintain and work with the requester on satisfying his/her request. An inventory provides a quick assessment of the records you have and helps you determine a scope for the request that meets the requester�s needs efficiently.

Records Control Schedules

Much like the inventory, your approved retention schedule is a valuable resource for handling a public information request. It is another good reference for discussing the scope. Often, someone requesting information knows very little about the specific records they request or they may request information that exists in several different record series. Your records retention schedule can help both staff and the requester identify which specific records will best meet the requester�s needs. The retention schedule can also show you whether the record being requested has met its retention period and no longer exists.5 Other information available on the schedule includes the record format (paper, electronic, microform), vital record status, and off-site storage information.

Disposition Log

The destruction of your records plays a vital role in the proper management of a record�s life cycle. The log that documents the disposition of records plays a vital role in fulfilling open records requests.6 After all, you cannot provide a record that does not exist anymore. Documentation of records destruction and coordination throughout the agency are essential parts of handling public information requests.

First, a record that has been disposed of according to your approved schedule must be listed on a disposition log. Further, a record may not be destroyed if a public information request has been made prior to its disposition. This means that you must allow time for the staff to review records proposed for destruction so they can determine that no open records request has been initiated.7 Since any staff member may receive a public information request, all staff members must understand where to send incoming requests so that they can be handled appropriately.8

One final consideration is that you are required to destroy records with confidential information. You must destroy confidential records in all formats in such a way that they would be impossible to recreate. This too involves an understanding of which records fall into this category and by what means you may properly dispose of such records.

Management Tools

Your records management program depends on three important tools in order to run as it is intended: communication, coordination and documentation. Not surprisingly, these tools are also important in handling requests for information. Remember that a request may be made to any person in the agency, so all staff must be trained in the initial handling and appropriate communication of these requests. Once a request has been initiated there are many questions that need to be answered:

  • To whom should the request be forwarded?




  • What records can be identified that are responsive to the request?




  • Where are these records and in what format?




  • Are any of these records confidential or subject to an exemption from disclosure?




  • If these are electronic records, is the software available to allow their viewing?




  • Are any of these records located off-site? If so, what date and hour might we be able to retrieve this record to be made available for viewing?




  • Has any record responsive to the request been destroyed under the approved retention schedule? If so, when and by what means?

Without proper communication, coordination and documentation gathered from your records program, the task of answering these questions may become more laborious and costly.

Caution: This article summarizes many requirements from Chapter 552 of the Texas Government Code, interpretations in the Public Information Handbook, and other applicable Attorney General opinions. Please contact the office of the Attorney General if you have questions related to the handling of an open records request or requesting the opinion of the Attorney General. For information call 800-252-8011.

by Sam Burns, government records consultant

Footnotes

1 Texas Government Code Section 551.001 (b)

2 Texas Government Code Section 552.301 (a). Fax and e-mail requests are acceptable forms of open records requests but the agency may require that a specific individual(s) receive the request before it will be answered.

3 Texas Government Code Section 552.221 (a)

4 There may be a period of time where the scope of a request is being discussed by the agency and the requester During this period, the deadline for requesting a ruling is put on hold. Otherwise, an agency has 10 days to respond that an open records ruling has been requested. Otherwise, an agency has 10 days to respond that an open records ruling has been requested. An additional five days (15 total) is allowed to send the appropriate documentation to the Attorney General. Refer to the Public Information Handbook for specific information on interpreting the provisions of the Public Information Act.

5 Texas Government Code Sections 552.002, .021, .227, .351. The Public Information Act refers to records already in existence. If convenience copies are kept after the record copy has been destroyed, the convenience copy may be requested from the agency for the purposes of the act.

6 Texas Administrative Code Chapter 13, Section 6.8 (3) requires that the final disposition of records be documented.

7 A state record may not be destroyed if any litigation, claim, negotiation, audit, open records request, administrative review, or other action involving the record is initiated before the expiration of a retention period for the record set by the commission or in the approved records retention schedule of the agency until the completion of the action and the resolution of all issues that arise from it, or until the expiration of the retention period, whichever is later.

8 Texas Attorney General Opinion Nos. ORD-497 (1988) and ORD-44 (1974).

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State Library Selects New Agency Leaders

The Texas State Library and Archives Commission selected Peggy D. Rudd of the State Library of Florida in Tallahassee to lead the agency as director and librarian. Her appointment was effective October 1, 1999.

Rudd replaces Robert S. Martin, who accepted a teaching position at the School of Library and Information Studies at Texas Woman�s University.

Edward Seidenberg, former director of administrative services, is the new assistant state librarian, effective December 1, 1999. He replaces Raymond Hitt who retired at the end of November after 27 years with the library.

Seidenberg also served as director of the Library Development Division from 1987 to 1997.

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Steps for Improving Your Ability


to Respond to Requests

  1. Obtain a copy of the Public Information Handbook from the Office of the Attorney General. Copies are available by calling 512-478-OPEN or you can find it on the Internet at www.oag.state.tx.us/ The handbook provides information on what is required of you before, during, and after a request for information has been made and includes existing Attorney General opinions on open records.




  2. Review existing inventory information to ensure that the data are still accurate and inclusive. If you have not done a full inventory you should begin conducting one as soon as possible. If you need any assistance or have any questions you can talk to your government records consultant at the Texas State Library and Archives Commission about specific goals and techniques to ensure that you do a thorough job.




  3. Make certain that the agency retention schedule is updated and includes all records maintained by the agency. This is very important for discussions about the scope of a public information request. It can be your best first step in assessing a request and letting someone know how he/she can expect to receive the information.




  4. Remember that a public information request can only be fulfilled if the records still exist. Make sure to document properly your records disposition log and follow your approved records retention schedule. Make sure that staff members are aware that convenience copies held after the record copies have been destroyed become record copies for the purposes of the Public Information Act. Remember, the act refers to the information still in existence which includes convenience copies kept after the record copies are destroyed.




  5. Decide how requests are to be handled in your agency and make certain that the staff understands where to forward requests for information. Also, be sure to have documentation prepared in advance to respond to a public information request. You have only 10 days to respond whether you are prepared or not.




  6. Remember that communication, coordination and documentation are key to responding quickly to a request. Make sure that you get information about records quickly and determine how it affects the request. Let the people responsible for maintaining your computer systems know about the record requirements and understand how system maintenance equals records management.

Receiving an Open Records Request

Either verbal or written (including fax and e-mail) requests for records may be made to an agency.

Within first 10 working days:

  1. Comply with the request.




  2. Provide notice of delay to produce records due to active use or storage of records.




  3. Provide notice of programming or manipulation costs.




  4. Request for Attorney General ruling. An Attorney General�s ruling must be made within 10 business days of the receipt of the request for the documents. However, the 10-day deadline is put on hold during the time that the agency and the requester are actively discussing the scope of the information requested.

Requesting an Opinion from the Attorney General

If an agency seeks to claim an exemption from public disclosure for a written records request, it must seek an Attorney General�s ruling. Unless the specific information in question has been explicitly addressed in an Attorney General�s opinion or in any other applicable statutes or codes, an agency would need to request a ruling if it seeks to keep a record closed.

You must include:

  1. Rationale for withholding information. Includes written comments stating the reasons that the stated statutory or common law exception allow the information to be withheld.




  2. Copy of the open records request.




  3. Marked copy of requested information. A copy of the documents or a sample marked or labeled by your agency to indicate each part of the copy that relates to the statutory or common law exceptions that you are claiming.

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Joint Conference on Electronic Records

A conference on managing agency electronic records is being planned for early spring 2000. The conference, sponsored by the Texas Department of Information Resources (DIR) and the Texas State Library and Archives Commission, is targeted to your agency�s information resources manager (IRM) and records management officer (RMO). Together, these two positions are responsible for effectively managing all of a state agency�s information in all formats, a task made more daunting as we move toward a predominantly electronic environment. Watch for more information on this exciting opportunity.

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Listserve Available

A records management listserve, SREC-TX, dedicated to state agency records management officers, information records managers, agency records coordinators and members of the Records Management Interagency Coordinating Council, is being sponsored by the Texas State Library and Archives Commission. This list is dedicated to a discussion of records management issues involving state agencies.

  1. To subscribe e-mail a message to: listproc@link.tsl.texas.gov




  2. Put absolutely nothing in the subject line.




  3. In the body of the message, type: subscribe SREC-TX Your Name

For information, contact Mary Ann Albin at 512-452-9242 x135.

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Changes in Training Classes -


Registration Procedures

Beginning in the fall of 1999, we are decreasing the total number of training classes offered by the State and Local Records Management Division. This means that classes will fill up more quickly. For people who must cancel a class at the last minute, it may be more difficult to find one to attend at a later date. If you truly cannot attend a class, call us as soon as possible so that we may award your reservation to someone else to attend the class.

Registration

Another change will be with the registration procedures. Beginning in January 2000, you may assume that your registration has been accepted and you have a reserved seat in that class. If there is any problem with your registration, we will contact you. If a class is full when you register, Bill Boyd, training and consulting assistant, will call you to help schedule another class. You will not necessarily receive a confirmation call or letter for the classes you will be attending, so please mark your calendar with the date and time of the class.

Questions

We hope that these changes will, in the long run, improve overall service to our clients. For questions about classes or registration, please contact our training and consulting assistant at 512-452-9242 x154 or e-mail to bboyd@tsl.texas.gov

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Legislation Affects State Agency


Records Programs

The 76th session of the Texas Legislature has passed legislation that impacts state agency records management programs. The bills vary from changing retention periods to altering records management programs in state agencies.

House Bill 1085

Agency Records Management Officers: This bill amends Texas Government Code, Sections 441.182(e) and 441.184(a) of the state records management laws. In Section 441.192(e), effective September 1, 1999, the Texas State Library and Archives Commission (TSLAC) will provide mandatory or optional training for agency records management officers (RMOs). The amendment also states TSLAC will cooperate with the Texas Department of Information Resources to provide training for records management and information technology staff to assist them in managing records in electronic format. HB 1085 also amends Section 441.184(a) to state that an employee is eligible to serve as RMO only if the employee holds a position which reports directly to the agency head or to a person with a title functionally equivalent to deputy executive director. Currently, the agency head may serve as the RMO or appoint any employee to serve in that capacity.

What does this mean? Although training for RMOs is optional at this time, the Commission could decide to make at least some training for RMOs mandatory. This requirement would appear in TSLAC�s administrative rules. The State and Local Records Management Division already provides extensive records management training for all state agency staff at its facilities on Shoal Creek Boulevard in Austin. The second amendment makes the qualifications for RMO comparable to that of the Information Resources Manager. Since both positions are responsible for access to information, it is important that they have equivalent authority. The law is effective September 1, 1999, so any appointments made as of this date are affected by this amendment. The law does not affect RMOs already in place, but state agencies are encouraged to comply with the amendment. The purpose is to help agencies more effectively manage all forms of information in their organizations. It is also important to realize that the RMOs will have responsibility for all policy decisions related to records management. Routine tasks may be delegated to other employees.

House Bill 826

Alternative Dispute Resolution Documentation: In the previous legislative session, records of alternative dispute resolutions and their supporting documentation were exempted from the definition of a state record. HB 826 amends Texas Government Code Section 441.031 by putting the final written agreement back in the definition of a state record.

What does this mean? Except for the final agreement, all documentation associated with a matter conducted under alternative dispute resolution procedures is not considered a state record for the purposes of records management. Of course, the final agreement does need to appear on the retention schedule because it is a record for the purposes of records management. All legal requirements under the Code of Civil Procedure and the Public Information Act still apply to these records.

Senate Bill 469

Appeals Court Case Records: SB 469 amends Texas Government Code, Section 51.204 by stating that exhibits on file will be destroyed three years after final disposition of the case. The bill also provides that civil case records will be destroyed six years after final disposition of a case, except for those records with historical or archival value. Criminal case papers will be destroyed twenty-five years after final disposition for those cases where the sentence is twenty years or less, unless the records have historical or archival value. This bill applies to the State Courts of Appeals.

What does this mean? The retention period for exhibits has been reduced from ten years to three years, for civil case papers from ten years to six years and for some criminal case papers, from a permanent retention period to twenty-five years. Please note that the law states that the records �will be destroyed� except for records with historical value. This means that the destruction of these records is directed and a longer retention period is not an option. The clerks are obligated under the law to dispose of the records in the time period indicated in the law. With the new reduced retention periods, the clerks will have to dispose of a huge backlog of records. The lower retention periods will also affect filing; it will be almost impossible to file civil and criminal case records together. For criminal case records, the length of the sentence will have to be clearly indicated on the records, or the two types of cases should be filed separately to avoid confusion and reduce labor at the time of destruction. Of course, all records with historical or archival value will continue to be transferred to the State Archives. Ultimately, this bill will help reduce the unmanageable volume of records now being maintained by the State Courts of Appeals.

House Bill 836

Birth and Death Indexes: HB 836 amends Texas Government Code Section 552.115 to provide that a general birth index is available to the public 50 years after the birth of the individual and a general death index is available to the public 25 years after the death of the individual. Summary birth and death indexes are available to the public except if the index reveals the fact of an adoption or paternity determination or the index reveals the parents of a child who has been placed for adoption. This bill applies to the Bureau of Vital Statistics of the Texas Department of Health or any local registration official.

What does this mean? Formerly, both general and summary indexes were available to the public immediately while the record itself, which contained more detailed information, was confidential for a period of time�50 years for birth records and 25 years for death records. Now, the general indexes are confidential for the same period of time as the actual records. If summary indexes reveal paternity, that information is always confidential. An example would be if the child has no name; the child would be listed as �Child of Sue Smith.� This information would reveal one parent�s name in the case of an adoption and must be restricted. It is important to understand the difference between general and summary indexes. Summary indexes are optional indexes which list minimal information regarding an event, i.e. the person�s name, date of the event, place of the event and file number. A general index usually includes the child�s or deceased�s full name, gender, location of event, date of event, ethnicity, father�s name, mother�s maiden name, residence, person recording the event, his/her name and address and date filed. A general birth index might also include whether the child was a twin or other, alive or stillborn, and legitimacy. Because the general indexes include so much information, the Legislature felt that it is in the best interest of the public to err on the side of caution and restrict access to such personal information.

House Bill 926

Tampering With Government Records: HB 926 amends Section 37.10(d) of the Penal Code to provide that an offense under this section is a third degree felony if it is shown that the record was a public school record, report, or assessment instrument required under Chapter 39 of the Education Code. What does this mean? This bill specifically makes altering public school records developed under Chapter 39 of the Education Code a third degree felony instead of a misdemeanor. There are some state agencies that run public schools, so this law would affect them as well as school districts. This act takes effect September 1, 1999. For questions regarding legislation affecting your agency�s records management program, please contact the government records consultant assigned to your agency. The phone number is 512-452-9242. We are glad to assist you in any way we can.

By Michael Heskett, SLRM director and


Mary Ann Albin, RMA unit manager

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Y2K Project Files

How long do we keep Y2K project files? The Texas State Library and Archives Commission and the Texas Department of Information Resources are recommending that these records be kept four years after project completion. Even if it takes two or three years to actually complete the project, the records would be kept another four years after its conclusion. Each project will have its own completion date, and we recommend that the agency�s information resources officer (IRM) and records management officer (RMO) sign-off on the project�s completion.

If there is a contract involved with the project, the record copy of the contract would be maintained with the agency�s other contracts, but a convenience copy could be retained with the project files. Also remember that the project files will be comprised of many different types of records in several different formats. Reports, programming files, e-mail messages, memos, presentation materials, and photographs could all be part of a project file. These materials will all have to be maintained for the same retention period, so managing these various records over their entire life cycle will be important. The use of consistent naming conventions when naming, saving or filing records is a simple technique which facilitates management of large volumes of data in multiple formats.

For information on Y2K, see the Department of Information Resources� web site at http://www.dir.state.tx.us/y2k/main.htm and select State Government. Or call the State Library�s government records consultant assigned to your agency at 512-452-9242.

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Page last modified: October 26, 2010