Records Retention Scheduling Rules
State Agency Bulletin Number Three
As amended, effective June 2005
Contents
6.1. Definitions
6.2. Submission of Records Retention Schedules for Certification
6.3. Submission of Records Retention Schedules for Recertification
6.4. Submission of Amendments to Records Retention Schedule
6.5. Certification of Records Retention Schedules and Amendments
6.6. Decertification
6.7. Destruction of State Records
6.8. Implementation of Certified Records Retention Schedule
6.9. Notification by State Records Administrator
6.10. Texas State Records Retention Schedule
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Administrative Rules of Texas State Library and Archives Commission
Texas Administrative Code
Title 13, Chapter 6
Section 6.1. Definitions.
The following words and terms, when used in these sections, shall
have the following meanings, unless the context clearly indicates
otherwise. Terms not defined in these sections shall have the meanings
defined in Government
Code, §441.180.
(1) Agency head-The appointed or elected official who serves
by the state constitution, state statute, or action of the governing
body of a state agency as the chief executive and administrative
officer of a state agency.
(2) Archival state record-Any state record of enduring value
that will be preserved on a continuing basis by the commission
or another state agency until the state archivist indicates that
based on a reappraisal of the record it no longer merits further
retention.
(3) Certification-The process, inclusive of recertification,
by which a records retention schedule or amendments to a schedule
are approved for use by a state agency during a certification
period.
(4) Certification period-The period of time during which a records
retention schedule, including certified amendments to the schedule,
may be used by a state agency in the final disposition of state
records without additional authorization from the director and
librarian.
(5) Commission-The Texas State Library and Archives Commission.
(6) Component-A division, department, program, or other subdivision
of a state agency.
(7) Confidential state record-Any state record to which public
access is denied under Government Code, Chapter 552, or other
state or federal law.
(8) Decertification-The process by which an approved records
retention schedule of a state agency is disapproved because of
failure of the state agency to adhere to the requirements of Government
Code, Chapter 441, Subchapter L, and these rules adopted under
that subchapter.
(9) Director and librarian-The chief executive and administrative
officer of the Texas State Library and Archives Commission.
(10) Final disposition-Final processing of state records by either
destruction or archival preservation by the commission, by a state
agency, or by an alternate archival institution as permitted by
Government Code,
Chapter 441, Subchapter L.
(11) Records management officer-The agency head or the person
appointed by the agency head to act as the state agency's representative
in all issues of records management policy, responsibility, and
statutory compliance pursuant to Government
Code, §441.184.
(12) Records retention schedule-A document prepared in accordance
with §6.2 of this title (relating to Submission of Records
Retention Schedules for Certification).
(13) Records series-A group of identical or related records that
are normally used and/or filed together, and that permit evaluation
as a group for retention scheduling purposes.
(14) Retention period-The period of time during which state records
must be maintained before final disposition.
(15) State agency-Any department, commission, board, office,
or other agency in the executive, legislative, or judicial branch
of state government created by the constitution or a statute of
this state, including an eleemosynary institution; any university
system and its components; any institution of higher education
as defined by §61.003, Education Code, except a public
junior college, not governed by a university system board; the
Texas Municipal Retirement System and the Texas County and District
Retirement System; and any public nonprofit corporation created
by the legislature whose responsibilities and authority are not
limited to a geographical area less than that of the state.
(16) State archivist-The person designated by the director and
librarian to administer the state archives program under Government
Code, §441.181.
(17) State record-Any written, photographic, machine-readable,
or other recorded information created or received by or on behalf
of a state agency or an elected state official that documents
activities in the conduct of state business or use of public resources.
The term does not include library or museum material made or acquired
and preserved solely for reference or exhibition purposes; an
extra copy of recorded information preserved only for reference;
a stock of publications or blank forms; or any records, correspondence,
notes, memoranda, or other documents 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.
(18) State records administrator-The person designated by the
director and librarian to administer the state records management
program under Government
Code, §441.182.
(19) Texas State Records Retention Schedule-Figure 1 of §6.10 of this title (relating to Texas State Records Retention
Schedule).
(20) Vital state record-Any state record necessary to the resumption
or continuation of state agency operations in an emergency or
disaster; the re-creation of the legal and financial status of
the agency; or the protection and fulfillment of obligations to
the people of the state.
Source: The provisions of this Section 6.1 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727.
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Section 6.2. Submission of Records Retention Schedules for Certification.
(a) A state agency, if it does not have a certified schedule, must submit a records retention schedule
to the state records administrator for initial certification within
one year of the effective date of this section or within one year
of the effective date of establishment of a new state agency,
whichever later.
(b) For the purposes of this section, a state agency is considered
a new state agency if through legislative action subsequent to
the adoption of this section, it:
(1) is created to carry out a new function or activity.
(2) is the product of a merger between two or
more state agencies or components;
(3) is a component or components separated from a state agency
or agencies and designated as an independent state agency, or
(4) becomes a state agency by amendment to the definition of
a state agency in Government
Code, Section 441.180.
(c) At the discretion of the state records administrator and
on petition from the records management officer that it will be
impossible for the state agency to comply fully with the requirements
of subsection (a) of this section, the state records administrator
may extend the deadline for the filing of a records retention
schedule for a period on which the state records administrator
and the records management officer agree. One or more additional
extensions may be granted, but in no case may the first extension
and any additional extensions be for a combined period of more
than two years from the effective date of this section or of the
establishment of a new agency.
(d) At the discretion of the state records administrator and
on petition from the records management officer, the state records
administrator may permit the state agency to submit records retention
schedules on a component by component basis for certification
in lieu of a single submission. The petition must state the reason
why the state agency believes this alternative method of submission
is in the best interests of its records management program and
must provide an estimated timetable for the submission of schedules
for the other components of the state agency. Schedules submitted
and certified under this alternative method may be combined by
the state records administrator for the purposes of recertification
under Section 6.3 of this title (relating to Submission of Records
Retention Schedules
for Recertification), with submission for recertification of the
combined schedule due on the applicable anniversary date of the
first schedule submitted and certified.
(e) For the purposes of this section, a new state agency is considered
established on the effective date the first agency head assumes
the position of the elected or appointed chief executive and administrative
officer of the state agency.
Source:The provisions of this Section 6.2 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
June 12, 1995, 20 TexReg 3983, amended to be effective September
2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005, 30 TexReg 1766.
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Section 6.3. Submission of Records Retention Schedules for Recertification.
(a) After initial certification, a records retention schedule must be submitted to the state
records administrator for recertification one year from the date of certification or recertification for the first
two recertification periods.
(b) After the second recertification, a records retention schedule
must be submitted for recertification every three years from the date of the last recertification, except
for the following situations.
(1) If a state agency with a certified schedule absorbs another
state agency, the records retention schedule must be submitted
for recertification within one year of the effective date of the
reorganization, and then will revert, when the schedule is recertified,
to annual or triennial certification depending on the certification
status of the absorbing agency under this section at the time
of absorption.
(2) A state agency may choose to submit a complete retention
schedule for recertification at any time during a certification
period.
(c) If a state agency with a certified schedule absorbs another
state agency with a certified schedule, the records management
officer of the absorbing agency may use the certified schedule
of the absorbed agency as the basis for disposition of the records
of the absorbed agency until the records retention schedule of
the absorbing agency is recertified in accordance with this section.
(d) If a state agency with a certified schedule administers another state agency with a certified schedule, the records management officer of the administering agency may use the certified schedule of the administratively attached agency as the basis for lawful disposition of the records of the administratively attached agency until the records retention schedule of the administering agency is recertified in accordance with this section.
(e) A records retention schedule due for recertification under
this section must be submitted to the state records administrator
no later than one year from the end of the month in which the
schedule was certified or last recertified (or three years if the
state agency is due for triennial recertification).
(f) At the discretion of the state records administrator and
on petition from the records management officer of a state agency
that it will be impossible to comply fully with the requirements
of subsection (e) of this section, the state records administrator may extend
the deadline for submission of the records retention schedule
for up to 3 months from the end of the month the recertification
of the schedule was due. One or more additional extensions may
be granted, but in no case may the first extension and any additional
extensions be for a combined period of more than one year from
the end of the month the recertification was due.
Source: The provisions of this Section 6.3 adopted to be effective
October 24, 1994, 19 TexReg 8108; amended to be effective September
2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005, 30 TexReg 1766.
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Section 6.4. Submission of Amendments to Records
Retention Schedule.
During a certification period the records management officer must
keep the agency's retention schedule current by submitting amendments
to the schedule to:
(1) add or drop a records series;
(2) propose an amended period of time a records series will
be retained;
(3) propose an amended period of time a records series will
be retained in storage by the commission; and
(4) indicate changes to information concerning a records series
required under subsection (a) of §6.5 (relating to
Certification of Records Retention Schedules and Amendments).
Source: The provisions of this Section 6.4 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005, 30 TexReg 1766.
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Section 6.5. Certification of Records Retention Schedules and Amendments.
(a) To be a candidate for certification, a records retention
schedule must:
(1) list all records series maintained by the state agency,
regardless of medium;
(2) indicate whether the records are archival state records or state
records that must be reviewed by the state archivist for potential
archival value prior to their destruction;
(3) ensure that state records maintained by the state agency
listed in the Texas State Records Retention Schedule are retained
for the minimum periods prescribed in that schedule;
(4) ensure that state records not listed in the Texas State Records Retention Schedule are kept for a length of time sufficient
to meet administrative, legal, fiscal, and archival requirements; and
(5) be submitted in a manner and form prescribed by the state
records administrator.
(b) To be a candidate for certification, an amendment to a records
retention schedule must meet the criteria in paragraphs (2) - (5)
of subsection (a) of this section.
(c) To be certified, a records retention schedule or an amendment
to the schedule must be approved by the director and librarian and may also require the approval of the state auditor.
Source: The provisions of this Section 6.5 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005,
30 TexReg 1766.
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Section 6.6. Decertification.
(a) If a state agency fails to submit a records retention schedule
to the state records administrator for recertification by a required
deadline or fails to request an extension, the certification of
the currently approved schedule and any approved amendments to
the schedule expires one year from the end of the month in which
the schedule was initially certified or last recertified (or three
years if the state agency is due for triennial recertification).
(b) If a state agency refuses to permit the inspection of a state
records series by the state archivist or fails to respond to questions
from the state archivist concerning the content, use, or other
aspects of a state records series in order for the state archivist
to determine if the series contains archival state records in
accordance with Government
Code, §441.186, the director and librarian may order
the decertification of its approved records retention schedule,
with decertification effective 30 days from the date of the order.
(c) If a state agency fails to cooperate fully and in a timely manner with the commission, the director and librarian, or any other authorized designee of the director and librarian in fulfilling their duties in accordance with Government Code §441.183, the director and librarian may order the decertification of its approved records retention schedule, with decertification effective 30 days from the date of the order.
(d) If its records retention schedule is decertified according
to this section, a state agency is no longer authorized to destroy
records based on the schedule and must submit requests for the
destruction of its records in accordance with §6.7 of this
title (relating to Destruction
of State Records).
Source: The provisions of this Section 6.6 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005,
30 TexReg 1766.
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Section 6.7. Destruction of State Records.
(a) Without a certified records retention schedule, a state agency
must request authorization from the director and librarian for
the destruction of any state record.
(b) A state agency with a certified records retention schedule
must request authorization from the director and librarian for
the destruction of any state record that does not appear on the
certified schedule or a certified amendment to the schedule.
(c) Requests for authorization for the destruction of state records
shall be in a form and manner prescribed by the state records
administrator.
Source: The provisions of this Section 6.7 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005, 30 TexReg 1766.
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Section 6.8. Implementation of Certified Records Retention Schedule.
(a) A state agency must establish policies and procedures to
ensure state records are maintained until the expiration of the
retention periods on its records retention schedule.
(b) Final disposition of state records must ensure that:
(1) archival state records scheduled to be preserved by the
commission are transferred to the commission on paper, on microform
that meets the specifications in the most current version of
American National Standard for Imaging Materials-Silver-Gelatin
Type Black-and-White Film-Specifications for Stability ANSI/NAPM
IT9.1), or in another medium with prior approval of the state
archivist.
(2) records scheduled for destruction are destroyed in a manner
that ensures protection for any sensitive or confidential information;
and
(3) the final disposition of records is documented by the state
agency.
Source: The provisions of this Section 6.8 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727.
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Section 6.9. Notification by State Records Administrator.
Within 30 days of the effective date of this section, the state
records administrator shall furnish a written notice to each state
agency of its status with regard to the submission requirements
of §6.2 of this title (relating to Submission of Records
Retention Schedules for Certification) and §6.3 of this title
(relating to Submission of Records Retention Schedules for Recertification).
Source: The provisions of this Section 6.9 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
September 2, 1999, 24 TexReg 6727; amended to be effective June 1, 2005,
30 TexReg 1766.
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Section 6.10. Texas State Records Retention Schedule.
Texas State Records Retention Schedule
A record listed in the Texas State Records Retention Schedule (Third Edition) must be retained for the minimum retention period indicated by any state agency that maintains a record of the type described.
Source: The provisions of this Section 6.10 adopted to be
effective October 24, 1994, 19 TexReg 8108; amended to be effective
January 1, 1999, 22 TexReg 11348; amended to be effective June 1, 2005, 30 TexReg 1766.
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