It establishes requirements for local governments, record management officers, and custodians of records.

A record is any form of recorded information. It may be paper, microfilm, audiotapes, video tapes, photographs, slides, or any computer-readable medium such as computer tapes, disks, compact disks, or USB drives.

Records management is the active supervision and control of records. It is the economical and efficient creation, organization, use, maintenance, and disposition of records. In other words, it is the systematic control of recorded information from creation to final disposition. Records management also includes the development of records control schedules.

Records control schedules provide retention periods for the records created and maintained in all city departments, including municipal court. The schedules can also contain information about how the records are maintained, whether they are sent to storage, and how they are destroyed.

A records management program helps retrieve information faster, reduces lost or misplaced records, saves space, minimizes expenditures for filing equipment and supplies, protects records, and complies with state regulation for maintaining public records.

The stages of a record’s life cycle are: Creation; Distribution; Use; Maintenance; Storage; and Disposition.

During the active stage of records, the record is distributed, efficiently stored for fast retrieval for use, and then maintained during its use. During the inactive stage, the record must still be properly maintained for retrieval and kept in a manner that will not harm or destroy the record until such time as the record may be legally disposed. During both the active and inactive stage, protection of the record is essential.

Staffing a records management program generally includes filing personnel, document imaging operators, data entry individuals, and records center staff.

The steps to develop a records management program are: Determining what the court wants to accomplish; Setting goals and objectives; developing time frames with deadlines; determining how records are created (manual and computer); Determining where records will be stored; Determining what filing equipment and systems will be used; Establishing records retention periods (governed by statute); Establishing a system for the maintenance and retrieval of records; Establishing a system for archiving records; and Establishing a system for the destruction of records.

It is a chart that shows the schedule of activities and time frames. It includes estimated times for each task, whether task is completed on schedule, and whether task was rescheduled and the new time frame. The chart also shows who is responsible for each activity. After the project is underway, the Gantt chart can be used to monitor performance.

The steps that contribute to a successful case filing program are: Conduct studies on the creation or improvement of case filing systems; Establish pilot installations to test all aspects of a case file plan prior to final adoption; Require the standardization and centralization of each case file; Develop techniques for maintaining, using, and disposing of case files; Do a cost/benefit analysis of file equipment and supplies; Issue written instructions or manuals for the establishment and operation of case files; and Conduct periodic reviews to ensure compliance with overall objectives of the case filing program.

Steps that should be taken to improve existing case files are: Select and examine a cross section of filing systems in different city departments; Identify areas that need improvement in the court files; Explore potential modifications; Study the present system and its needs; Develop a revised system, including new forms and records; Implement the revised system for trial operation and modify it as needed; and Prepare the final system for adoption, and prepare written instruction for implementation and maintenance.

The court would consider when determining the future volume of cases: The last five years of cases filed in court to determine a trend in the number and type of cases filed; The previous two to three years funding for police officers and future projections for more officers and thus, more cases filed; Traffic and crime statistics for the city to determine the number and types of crimes occurring in the city; and Future projections of the police department for number of cases that might be filed.

Issues that a court will want to consider when determining the court’s reference needs regarding case files are: Appearance date; Bond filed; Plea; Pre-trial date; Trial date; Payment schedule; Driving safety course—appearance date, due date of DSC certificate, show cause hearing date; Deferred disposition—appearance date, due date of evidence, show cause hearing date; Warrants, capiases, capiases pro fines; Appeals; Notice of final convictions; Court costs quarterly reports; and Monthly reports to OCA.

Issues that should be considered when establishing case folders are: Whether to create one folder per defendant or create one folder per citation/case filed; Whether to create temporary folders for active files or the same folder as archived files; or Whether to have folders or staple the documents together, or use a case jacket.

Because the court has many reference needs and posting information on the case file helps courts keep track of the actions occurring in the case and when and how it should be referenced.

The following information on the outside of a case file would be useful as a reference tool: Docket number; Defendant’s name; Date case was filed; Prosecuting attorney; Defense attorney, if any; Complainant’s name; Bond (if any) and whether personal, cash, surety, amount of bond, and date of judgment nisi if one is entered; Plea entered, method of plea, and date of plea (in open court, in clerk’s office, by mail, in person, through attorney); Type of trial requested (jury or bench) and date(s) of trial setting; Continuances if any; Deferred disposition if granted, and due date of evidence of completion; Driving safety course if requested and granted, and due date of evidence of completion; Witness and dates subpoenas issued, if any; Motions filed if any, date filed, and judge’s ruling; Judgment; Fines or fees assessed; Jail time credit; Extensions for payment or payment plan due dates; Receipt numbers and dates written; Appeal, if any (date notice given, date bond approved or not approved, date transcribed, type of bond, date sent to county); Date notice of final conviction sent to the State; and Date warrant, capias, or capias pro fine issued and served.

The factors that should be considered when determining the physical type of a file folder are: Identifying the documents that will be filed in jacket; Determining the arrangement of documents in jacket; Deciding on the file cabinet size and orientation; and Evaluating the cost of file folder or jacket.

The advantages are: requires less time to file papers; costs less money initially; and permits easy removal of documents for reference. The disadvantages are: Papers may be lost or misplaced easily; and The lack of uniform arrangement of the folder contents makes it more difficult to find a particular document.

They are usually preferred for large case files that receive extensive use, have long retention periods, and are likely to be taken out in their entirety for extended periods of time.

Questions that a clerk should ask when evaluating file arrangement systems are: Is the system logical? Is the system practical? Is the system simple? Is the system functional? Is the system retention-conscious? Is the system flexible? Is the system standardized?

The nature of the records and how they will be retrieved should be the first determining factor in the selection of file arrangement.

A direct access filing system is a system that allows a person to locate a particular record by going directly to the files and looking under the name of the record.

An indirect access filing system is a system that requires an index that must be consulted before a file can be retrieved.

Alphabetic files are arranged according to the last name of the defendant.

The principal advantage of the alphabetical system is that it is not necessary to look up a docket number when files must be retrieved. The disadvantages are that the system does not lend itself to expansion as readily as does the numerical system and requires more shifting of folders.

A numerical file arrangement may have numbers (usually a docket number) assigned to the case files arbitrarily or under a standard plan.

This is where files are arranged consecutively in ascending numerical order according to docket number.

It is a system where the last digit or group of digits is the primary unit used for filing.

It is a system where the file numbers in the index are still listed in consecutive numeric sequence; however, the middle group of digits becomes the primary indexing unit, the first group is the secondary indexing unit, and the terminal group the tertiary unit.

It is a system that uses two or more sets of code numbers for records, with the sets separated by dashes, commas, periods, or spaces. Records are filed consecutively by the first number, then sequentially by the second number, and so on.

It is a system developed initially for library use and is based on 10 general categories. The major numeric groups are each further divided into 10 parts, which are then subdivided into 10 subunits.

The advantages are: the rapidity and accuracy of refiling and the opportunity for unlimited expansion. The disadvantages are the need for maintenance of the auxiliary card index and the necessity of making two searches when files must be retrieved−one for the index and one of the files.

It is a system where the files use a combination of personal or business names and numbers, or more commonly, subject headings and numbers. The numbers are sequentially filed.

False.

False.

True.

True.

False.

True.

The basic questions are: What are the physical characteristics of the case records? What is their volume, physical form, and size? What is the cost of purchasing, installing, maintaining, and operating the available types of equipment? How much office space is available, and how is it laid out? Who needs to refer to the records, and how frequent and urgent is the need to do so? What safeguards are needed to protect the files from unauthorized use, theft, fire, insects, dust, and other potential hazards?

The intensity and severity of a fire depends on the type of building construction and height, the fuel load that comprises the building’s combustible contents, including the kinds of furnishings, and the quantity of files and the type of equipment used for them.

Space utilization and fire protection factors, such as automatic sprinkler systems, smoke detection systems, and the quantity of other combustible materials.

The purpose of a records inventory is to determine what records a court has, where they are located, and how many records there are.

The goal of a records inventory is not to inventory every piece of paper, but to determine and identify records categories.

The benefits of a records inventory are: Helps save space; Releases equipment for more productive use; Provides a proper evaluation of file functions and activities; Assists in the detection of unnecessary copies of records; Provides a way of assessing the length of usefulness of records; and Helps in the appraisal of legal implications of records.

The steps that will help make a records inventory successful are: Define objectives; Communicate plans to management and staff; Specify data to be collected; Determine file locations; Prepare an inventory form (a separate inventory worksheet should be used for each records series); Establish work schedules and completion dates; and Select personnel for the inventory process.

It will provide: Identity of records by category or record series; Physical location of all records; Categorization of equipment and supplies; Reference activity; Methods used for disposing of obsolete records; and Analysis of the cost of recordkeeping.

An official record is one that supplies information on organization, function, policy, procedure, operation, or it is the original case file of a defendant.

Non-records are generally copies or duplicates of official records.

An example of a non-record that is an official copy is the copy of a case that has been appealed from a non-record court to an appellate court. Because an appealed case is still active until the appeal has been completed, the copy of the case should be handled the same as the original official copy.

Administrative files often times contain duplicate information or miscellaneous information that nobody knows where to file but does not want to destroy.

He or she would need to know what the current policy is on information back-up and the policy on writing over the data stored on the media.

Types of information that an inventory should collect are: Title of records series; Purpose or description of the records series; Time span covered by the series (inclusive dates); Linear measurement of the series; Physical description (media, size, and color); escription of storage equipment; Frequency of use; Rate of accumulation; Date of inventory; Source of the information used to create the records series; What records are created from the information contained in the records series; Original and secondary purposes of the records series; and Where duplicate sources are located

The inventory worksheet should include a records series title, the record’s function, a floor lan showing the physical location and the organization location of records for office space and storage locations.

On or before January 1, 1991.

Generally, the records management officer is responsible for coordinating the city’s records management program and making certain that it complies with state regulations.

The Texas State Library and Archives Commission.

Retention period means 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.

Court clerks are required to cooperate with the records management officer in carrying out the policies and procedures established by the local government for the efficient and economical management of records, and in carrying out the requirements of state statutes regarding public records.

A local government record is any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium, or other information recording medium, regardless of the 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 a local government or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business.

Documents that are not considered to be local government records are: Extra identical copies of documents created only for convenience of reference or research by officers or employees of the local government; Notes, journals, diaries, and similar documents created by an officer or employee of the local government for officer’s or employee’s personal convenience; Blank forms; Stock of publications; Library and museum materials acquired solely for the purposes of reference or display; or Copies of documents in any media furnished to members of the public to which they are entitled under Chapter 552 of the Government Code or other state law.

Retention periods are figured in calendar years from the date of the records’ creation.

False (they apply only to official records unless otherwise noted).

True.

True.

True.

True.

False.

False (it must be retained for the retention period assigned to the record)

If email that is created or received meets the definition of a local government record, it is subject to the same rules that govern other local government records. Local government records include email created or received by a local government or any of its officers or employees pursuant to law or in the transaction of public business.

They may be destroyed when they have been so badly damaged by fire, water, or insect or rodent infestation that they are unreadable, or if portions of the information have been so thoroughly destroyed that the remaining portions are unintelligible.

These records may not be destroyed unless authorization to dispose of the records is obtained from the director and librarian of the Texas State Library and Archives Commission.

False.

True.

The person conducting the audit should: Verify that an up-to-date records manual is available; Check all the major records categories to ensure compliance with records schedules; Spot check individual offices, computer terminals, and files for compliance; and Verify compliance with records management criteri

They should be reviewed once a year.

The Texas State Library and Archives Commission.

Copies of records generally are non-records and are maintained only as long as they are useful. Then they are destroyed.

The copy of the case papers of the appealed case maintained by the municipal court is now the official copy and maintained according to the records retention schedule. Other examples of copies of records in municipal court that are subject to records retention include the following state reports that are required to be submitted by municipal courts: Notice of final conviction reports submitted to the Department of Public Safety; Quarterly reports of court costs submitted to the State Comptroller’s Office; and Monthly reports submitted to the Office of Court Administration.

An essential record is any record necessary to the resumption or continuation of government operations in an emergency or disaster, to the recreation of the legal and financial status of the government, or to the protection and fulfillment of obligations to the people of the State.

Some ways that municipal court records can be secured from disasters such as fire are: Secure, fire-resistant filing cabinets; Specially designed vaults; Computer passwords; Duplicate copies; Back-ups maintained at different locations; and Off-site storage.

By computer.

A decentralized filing system is one where the files are maintained in separate locations.

A centralized filing system is one where all active files—except those that are being created or used at that time—are maintained in a central file room.

Bar coding is a system of checking in and out files. The bar code is scanned into the system when it is checked out and rescanned when it is brought back.

A floating file, for example, occurs when a clerk checks out a file and then passes it on to the prosecutor without checking it back in and having the prosecutor check it out.

Documents are scanned and digitized.

The digitized images can be stored on a hard drive, optical disk, or other computer-readable media.

A method to organize records is to assign box numbers that would also indicate where in the storage area the box is to be stored. This will assist in the retrieval process. The person in charge of archiving records should maintain an index of boxes and their contents. To assist in locating stored records, two numbers should be used. One number for the location in the storage area and the other number for identifying the contents of the box. For easy retrieval, the court might consider bar coding cartons and shelves instead of using numbers. When a box is shelved, both the box bar code, shelf bar code, and content bar code must be scanned.

Questions that should be considered when determining how to index stored records are: Do you want to index every file or document in the box? How do you want to index the records? How do you want to sequence the index and summarize the contents? How do you link the storage of the records to the retention schedules so that the destruction date of the records is easily tracked? How are control box numbers and location numbers assigned to the indexed records? How is the listing of the index records to be maintained? What type of system will be used to retrieve the records?

It should include who is responsible for verifying that the records belong in storage, boxing up the records, labeling the records, and transporting the records.

The type of documentation that a records management manual should include are: A records management policy; Instructions on the use of records retention schedules; Procedures for updating records retention schedules; Forms used to manage records; Procedures on implementing the program on an ongoing basis; Procedures on internal operation; Staff procedures; Disaster recovery procedures; Filing procedures; Procedures on transferring and storing records; and Procedures for updating the manual.

Questions that would help evaluate a court’s maintenance program are: Does your court have a files handbook, manual, or other directive to provide uniform files maintenance procedures?Are file maintenance procedures correlated with approved records control schedules for the prompt removal of inactive records from office space? Is physical access to records controlled to prevent unauthorized disclosure or access? Is each records series arranged in its own internally consistent pattern, such as alphabetical, chronological, numerical, or subject order? Is each records series arranged based on the way people in the office usually ask for the records? Are cross references prepared when needed? Are periodic checks made for misfiles? Are records filed on a daily basis? Are out-cards or other charge-out controls used whenever documents or files are removed from the official file stations? Before filing, are documents examined to ensure that they are complete and that the following materials have been removed: envelopes, paper clips, routing slips, cover sheets, superseded drafts showing no substantive changes, and duplicate copies, other than those needed as cross reference.

A record that is currently in litigation or pending an open records request may not be destroyed.

A local government record may be destroyed if: it appears on the local government’s records control schedule that has been accepted for filing by the TSL and its retention period has expired on the schedule; it appears on a list of obsolete records approved by the TSL; a request for authorization to dispose of unscheduled records is submitted to the TSL and approved; its destruction or obliteration is ordered by a court expunction order issued by a district court pursuant to state law; the record is listed as exempt from the destruction request requirement on a records retention schedule issued by the TSL; the retention period on a records retention schedule issued by the TSL has not yet expired, but the record is non-permanent and it has been microfilmed according to TSL standards (if the record is a permanent record on the state-issued schedule, a destruction notice must be submitted and approved); the retention period on a records retention schedule issued by the TSL has not yet expired, but the record has a retention period of less than 10 years and it has been converted to an electronic medium in accordance with Chapter 205 of the Local Government Code; or the retention period on a records retention schedule issued by the TSL has not yet expired and the record has a retention period of 10 years or more, and the local government has submitted to the TSL and has approved an electronic storage authorization request.

The records management officer.

It may be destroyed after a Destruction Authorization Request has been submitted to and approved by the Texas State Library and Archives Commission.

It is a notice to the Texas State Library and Archives Commission to destroy certain records.

The methods that a city may use to destroy records are: Burning; Shredding; Pulping; Burying in landfill; and Selling or donating for recycling.

Records that are confidential under the Texas Public Information Act or other state laws.

A city record may not be sold or donated except for the purpose of being recycled, loaned, transferred, or otherwise passed out of the custody of a local government to any private college or university, private museum or library, private organization of any type, or an individual, except with the consent of the Texas State Library director and librarian and after the expiration of its retention period under the city’s records control schedule.

A clerk may temporarily transfer custody of records to a person for the purposes of microfilming, duplication, conversion to electronic media, restoration, or similar records management and preservation procedures.

A Class A misdemeanor.

The PIA specifically excludes the judiciary to maintain the independence of the judicial branch. The PIA applies to governmental bodies and the law specifically states that a governmental body does not include the judiciary.

Courts have long recognized that the public has a common law right to inspect and copy court records under the Common Law Right of Inspection.

Only on a showing of good cause by a party to the case or a bona fide member of the media shall the court permit disclosure of the information.

The clerk should always pass requests for records to the judge to determine whether it should or can be released.

A Rule of Judicial Administration designed to define public access to judicial records. The definition of judicial records makes an exception to the adjudicative records filed in the courts.

False.

True (it must be as soon as practicable but not to exceed 14 days).

False (the appeal goes to the Administrative Director of the Office of Court Administration).

Caseflow management is the process of managing time and events involved in the movement of a case through the court system.

The court must determine its phases, how it is maintained, and the disposition.

Because of the complexity of cases, not all cases will be subject to the same processing procedures and time frames. The court should create multiple tracks for case processing each with different procedures and time frames designed to reflect the range of management and preparation requirements of the cases filed.

The goals of caseflow management are: Make the sequence and time of events more predictable and timely; Provide equal treatment of all defendants; Have timely disposition consistent with the circumstances of the individual case; Enhance the quality of the court process; and Enhance public confidence in the court.

The resources that should be considered when developing a caseflow management system are: People (court employees and other city employees); Equipment (computers, software, printers, etc.); Forms (forms for assessing current system and forms used by current system); State agencies; Outside consultants; and Any other resources that the city can provide.

Project management is a dedicated effort with a distinct beginning and end, conducted by people to develop or produce a new project or service that meets defined specifications and quality standards within specific parameters of costs, schedules, and resources.

The conceptual phase, the planning phase, and the implementation phase.

Issues that should be considered as part of an action plan for project management are: Developing goals and objectives; Developing significant events for project; Determining information to be monitored; Determining what constitutes successful monitoring; Determining accountability procedures; Developing task list; Developing checkpoint events for the project; Determining time estimates; Developing a new system; Developing test pilot policy; Installing and testing new system; Determining implementation policy; Developing documentation; and Training users.

Documentation should include case processing procedures that include how files are created, used, and maintained; judicial activity; disposition; and archival and destruction procedures.

Time standards define the direction of the system. The time standards provide a basis for measuring the effectiveness of the court’s caseflow management system and a basis for case progress decisions in the management of individual cases.

Generally, time standards fall into two categories: management (as in comparing each case against the time limit for completion for intermediate events and overall disposition) and statistics (for example, summary reports concerning the age of cases at disposition or the age of the pending case load).

The three general types of overall time standards are: A specified acceptable median age of cases at disposition; A maximum time interval between filing and disposition; and A specified percentage of cases concluded within a stated interval after filing.

A possible problem with any time standard is to measure compliance solely by computing the age of cases at disposition. This type of measurement fails to take into account cases that are still pending, some of which may be very old. To achieve a comprehensive caseflow management system, courts should measure and monitor all cases in the various stages in the system and not just the disposition.

Event standards are standards that measure cases in the various stages in the system and not just the disposition.

It should be monitored because information derived from monitoring supports the caseflow management system.