Policy: 4.16 Records Management

Business and Operating Policies and Procedures  

Policy: 4.16 Records Management

Adoption Date: September 23, 2013

POLICY

It is the policy of Howard County Junior College District to maintain a certified uniform Records Management System resulting in the efficient, cost-effective management of records in compliance with Texas Government Code 441.

PERTINENT INFORMATION

Records management in state government involves the systematic control of recorded information from its creation to its final disposition. The records that Howard County Junior College District employees create and maintain are important to the overall operation, and must be managed in an efficient, cost-effective manner. A Records Management System is required by Texas Government Code Section 441. A retention schedule is submitted and approved by the State Auditor’s Office and the Texas State Library. Texas Government Code Section 441.183-185 states:

The agency head of each state agency shall:

1. establish and maintain a records management program on a continuing and active basis;
2. create and maintain records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency designed to furnish information to protect the financial and legal rights of the state and any person affected by the activities of the agency;
3. make certain that all records of the agency are passed to the agency head’s successor in the position of agency head;
4. identify and take adequate steps to protect confidential and vital state records;
5. cooperate with the commission in the conduct of state agency records management surveys; and
6. cooperate with the commission, the director and librarian, and any other authorized designee of the director and librarian in fulfilling their duties under the subchapter.

RECORDS MANAGEMENT OFFICERS

(a) Each state agency head shall act as or appoint a records management officer for the state agency to administer the agency’s records management program.

(b) The records management officer for each state agency shall:

1. administer the records management program established under Section 441.183;
2. assist the agency head in fulfilling all of the agency head’s duties under this subchapter and rules adopted under this subchapter;
3. disseminate to employees of the agency information concerning state laws, administrative rules, and agency policies and procedures relating to the management of state records; and
4. fulfill all duties required of records management officers under this subchapter and rules adopted under this subchapter.

(c) A records management officer designated under this section continues to serve in that capacity until:

1. the officer ceases employment with the state agency;
2. the agency head chooses to act as the records management officer for the agency; or
3. the agency head appoints another person as the records management officer.

RECORDS RETENTION SCHEDULE

a)   Each records management officer, with the cooperation of any staff of a state agency that the officer considers necessary, shall survey the state records of the agency and prepare and submit a records retention schedule to the state records administrator.

b)   The records retention schedule must list the state records created and received by the agency, propose a period of time each record shall be maintained by the agency, and provide other information necessary for the preparation of an effective records management program.

c)   The state records administrator and the state archivist shall review the schedule and recommend the schedule’s approval or disapproval to the director and librarian and the state auditor.

d)   If the director and librarian and the state auditor approve the schedule, the schedule may be used as the basis for the lawful disposition of state records under Section 441.187 for a period to be determined by the commission.

e)   The commission shall adopt rules concerning the submission of records retention schedules to the state records administrator.

f)    The commission may, by rule, prescribe a minimum retention period for any state record unless a minimum retention period for the record is prescribed by another federal or state law, regulation, or rule of court.

DELEGATION OF AUTHORITY

At the request of the Texas State Library, Records Management Division, and in accordance with the legal requirement, the President, as head of Howard County Junior College District, has designated the District Registrar as Records Management Officer for Howard County Junior College District.

OPERATING REQUIREMENTS

The Records Management Officer will collect and disseminate information that defines the requirements of a Record Management System and is responsible for administering a uniform Records Management System for Howard County Junior College District as follows:

1. establish, present for implementation, and maintain a uniform file coding system;
2. establish procedures for implementing the filing system;
3. establish, submit for certification, and maintain a records retention schedule which meets the State’s legal requirements and fulfills the needs of Howard County Junior College District;
4. establish procedures for microfilming records;
5. establish procedures to dispose of state records;
6. establish and maintain a Records Disaster Recovery Plan; and
7. maintain archival records.

PERFORMANCE STANDARDS

1. College procedures have been developed and implemented in compliance with this System Operating Standard.
2. Departments have copies of and are using the Certified Records Retention Schedule.
3. Departments are preparing Disposition Logs when disposing of Howard County Junior College District records.