Chapter 1: Records Management Program Overview
Section 1: Legal Requirements and Program Authority
Introduction
requires state agencies to establish and maintain a Records Management Program on a continuing and active basis. Specific rules related to managing official records are published in the
as required by the
. TxDOT Records Management oversees the Records Management Program to ensure consistent compliance with the principles as mandated by
. Each state agency head is responsible for the proper management of official records and is required to appoint a Records Management Officer (RMO) to administer the agency's Records Management Program.
The Records Management Program is under the Information Technology Division (ITD) and is responsible for the administration, oversight, support, and disposition of the agency’s records. Districts and Divisions are responsible for implementing the program internally.
Records must be created, organized, structured, secured, maintained, and used in a way that effectively supports the activity of the agency, which includes:
- Facilitating and sustaining day-to-day operations.
- Promoting organizational efficiency by allowing for efficient access to information in all formats and media.
- Reducing space constraints and saving storage costs in cabinets and server space.
- Assisting in answering questions about past decisions and activities.
- Demonstrating and documenting compliance with applicable laws, regulations, and standards and reducing risk.
- Preserving historically valuable agency records.
Records Management Intranet Site
The
contains links to statutes and rules that govern the operation of the TxDOT's Records Management Program. This site includes access to key resources to assist personnel across the agency with guidance on the Records Management Program, including contacts for District and Division Records Administrators and Records Coordinators. Resources include the Records Retention Schedule, agency and state standards, policies, procedures, bulletins, user guides, training, as well as forms and templates.
Records Management Training Courses
Training is important for all Records Administrators and Records
Coordinators to actively participate in the Records Management Program.
These courses provide the foundation and knowledge for Records Management.
The Records Management training courses are available in PeopleSoft.
EL2017 –
Records Retention
& Litigation Hold
(Required Every Year)
The course covers TxDOT policy on records retention, open
records, and litigation holds. Upon completion of the course the
participant will be able to:
- Define official records.
- Comply with records management policy and procedures.
- Understand their role and responsibilities in managing official records throughout their life cycle.
- Identify and respond to an open records request.
- Respond to a litigation hold notice.
- Retain official records and securely store information related to a litigation hold.
EL2031 – TxDOT Records Management: A Program Overview
This course covers an introduction and overview of the TxDOT
Records Management Program, including roles and responsibilities
within the program and available records management resources. Upon
the completion of this course, participants will be able to:
- Define a state record and records management.
- Understand the life cycle of records created and maintained in TxDOT work units.
- Identify and describe the roles and responsibilities within the TxDOT Records Management Program.
- Locate Records Management resources including the Records Management Manual and Records Retention Schedule.
EL2032 – Building and Using a File Plan
This course provides an introduction and overview of the use
of File Plans, including the creation and use as a tool to support
records management compliance. Upon the completion of this course, participants
will be able to:
- Understand the requirements of a File Plan.
- Learn how to identify and apply records to create or enhance an existing File Plan.
- Understand how File Plans can be used as a tool to achieve compliance with records management requirements.
EL2033 – Records Disposition: Timely Destruction
or Preservation
This course provides an overview of the standard procedures
for managing and properly documenting the disposition of official
records through destruction and preservation. Upon the completion
of this course, participants will be able to:
- Understand disposition and destruction requirements.
- Identify records with special disposition (State Archives) requirements.
- Locate, complete, and submit Forms 1419 “Records Transmittal” and 1420 “Records Destruction” when retention has been met.
EL2034 – The Records Retention Schedule
This course provides an introduction and overview of the Records
Retention Schedule, including how to read and use descriptions and
retention information contained in the schedule. Upon the completion
of this course, participants will be able to:
- Understand the Records Retention Schedule legal requirements.
- How to use the information identified in the Records Retention Schedule.
- Understand how to use the Records Retention Schedule to manage your records.
- How to determine Office of Primary Responsibility of a record.
Official Records, Non-Records and Convenience Copies
An “official record” (or file) is composed of single or multiple documents, books, papers, photographs, computer-generated or stored data, videos, sound recordings, or other materials, regardless of physical form or characteristics made or received by a state department or institution according to law or in connection with official state business per
.
This manual uses the terms file and record interchangeably and generically, as distinguished from their uses relating to objects in electronic data management terminology.
CAUTION: Any document produced in state facilities on state equipment may be considered a record by the courts. This also applies to any document related to state business that exists on personal equipment, such as an employee's home computer. A duplicate (convenience, information, or reference) copy of a document may become a record by default if it replaces an original that has been prematurely lost or destroyed.
E-mail, text and instant messages are official records and need to be evaluated by the content (not media) to determine retention requirements.
The following are
not
records:- Library or museum material made or acquired and preserved solely for reference or exhibition purposes.
- Extra copies of a documents preserved only for convenience of reference.
- Stocks of publications or of processed documents.
- Records, correspondence, notes, memoranda, or documents other than a final written agreement, described by , associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state department or institution, local government, special district, or other political subdivision of the state participated as a party, facilitated as an impartial third party, or facilitated as the administrator of a dispute resolution system or organization.CAUTION: A duplicate (convenience, information, or reference) copy of a document may become a record by default if it replaces an original that has been lost or destroyed.
Terms and Definitions
See “Appendix A” for a complete listing of terms and definitions
used in the Records Management Manual.
Acronyms
See “Appendix B” for a complete listing of acronyms used in
the Records Management Manual.