TITLE 13. CULTURAL RESOURCES

PART 1. TEXAS STATE LIBRARY AND ARCHIVES COMMISSION

CHAPTER 6. STATE RECORDS

SUBCHAPTER A. RECORDS RETENTION SCHEDULING

13 TAC §6.10

(Editor's note: In accordance with Texas Government Code, §2002.014, which permits the omission of material which is "cumbersome, expensive, or otherwise inexpedient," the figure in 13 TAC §6.10 is not included in the print version of the Texas Register. The figure is available in the on-line version of the May 1, 2020, issue of the Texas Register.)

The Texas State Library and Archives Commission (commission) adopts amendments to §6.10, Texas State Records Retention Schedule. The amendments are adopted with changes to the proposed text as published in February 14, 2020, issue of the Texas Register (45 TexReg 981) and will be republished.

EXPLANATION OF ADOPTED AMENDMENTS. The amendments are adopted, in part, to implement a management action adopted by the Sunset Advisory Commission in its Staff Report with Final Results, 2018-2019 (86th Legislature). Recommendation 2.6 requires the Commission to update the Texas State Records Retention Schedule by April 2020. Following Sunset's adoption of this recommendation, the commission created a workgroup of records managers and analysts to collaborate on updating the State Records Retention Schedule. The group met for five months, from June to October, examining each series and evaluating everything from the accuracy of the description to the possibility of bucketing with other series to make for a more concise general schedule. The draft schedule was circulated among state agency records management officers for review and informal comment. Based on the feedback received, the commission then formally proposed amendments to the schedule in February of this year.

In general, the amendments revise record series for accuracy, clarity, and applicability as well as combine similar record series to streamline the schedule for improved usage by state agencies. Amendments also remove obsolete and unnecessary language, update and correct statutory references, and clarify language as appropriate.

SUMMARY OF COMMENTS. The Commission received comments from Deborah McFadden, City of Fort Worth; the Texas State Board of Dental Examiners; Angela Ossar, Office of the Governor; Erinn Barefield, University of Texas Medical Branch; Jenny Alexander, Health and Human Services Commission; and Angela Pardo and Laurel Parke, State Office of Administrative Hearings. These commenters submitted a total of 408 comments.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 3.2.002 Employee Earnings Records.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 5.1.003 Delivery Reports.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 5.1.011 Photocopier and Telefax Usage Logs & Reports.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 5.2.022 Utility Usage Reports.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 5.2.024 Material Specifications.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. An official from University of Texas Medical Branch commented that a description should be added to RSIN 5.2.027 Space Utilization Reports.

RESPONSE. The commission agrees with this comment and has added a series description.

COMMENT. Several commenters commented on a similarity in context, scope, and retention period of RSINs 3.1.011 Employee Insurance Records and 3.1.031 Employee Benefits - Other than Health Insurance and suggested the series be combined.

RESPONSE. The commission agrees with these comments and has combined all employee benefit and insurance records under RSIN 3.1.011. RSIN 3.1.031 has been deleted.

COMMENT. An official from Health and Human Services commented that records under RSIN 3.1.031 should only be kept for two years after their first open enrollment period, stating that after initial hire, these records are maintained by the Employees Retirement System of Texas.

RESPONSE. In response to other comments, the commission has deleted this series and combined all records of selection by employees of insurance options and other benefits in RSIN 3.1.011 (Employee Benefits). The commission declines to amend the AC Definition, as records of enrollment selections are likely to be referenced during term of employment; agencies may already dispose of forms once they have been superseded.

COMMENT. An official from the Office of the Governor commented that RSIN 5.2.020 Supply Usage Records should be deleted, stating these records are transitory.

RESPONSE. The commission disagrees that supply usage records are transitory information, as they may be used when conducting inventories. The commission deleted this series as an individual records series, but amended the description of RSIN 5.2.006 (Inventory and Property Control Records) to include usage records.

COMMENT. An official from University of Texas Medical Branch commented on a similarity in context, scope, and retention period of RSINs 5.2.024 Material Specifications and 5.2.025 Equipment Descriptions and Specifications and suggested the series be combined.

RESPONSE. The commission agrees with this comment and has made the recommended change combining both series under RSIN 5.2.024 Material Specifications and deleting RSIN 5.2.025 Equipment Descriptions and Specifications.

COMMENT. Several commenters commented on a similarity in context, scope, and retention period of RSINs 5.5.001 Billing Detail - Telecommunications and 5.5.002 Telephone Activity Records, and suggested 5.5.001 be combined in the financial record series.

RESPONSE. The commission agrees with this comment and has combined RSIN 5.5.001 (Billing Detail - Telecommunications) and RSIN 5.5.002 (Telephone Activity Records). A cross-reference to RSIN 4.1.001 (Accounts Payable Information) has been added for clarification.

COMMENT. An official from University of Texas Medical Branch commented suggesting the increase of the retention period for RSIN 5.2.019 Service Orders to match the local government schedule retention period.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change at this time.

COMMENT. Several commentators commented with questions or concerns regarding the increase in retention period of fiscal record series from FE+3 to FE+5, specifically RSINs 4.1.001 Accounts Payable, 4.1.009 Accounts Receivable Information, 4.5.002 Fiscal Management Reports, 4.5.009 USAS Reports - Annual, and 4.8.001 Banking Records. The commenters generally cited the increase in financial and administrative burdens the increased retention period would create.

RESPONSE. The commission agrees that increasing the retention period of many series in Category 4 would be unduly burdensome for state agencies, in terms of storage costs and retention responsibilities. Therefore, the retention periods for RSINs 4.1.001, 4.1.009, 4.5.009, 4.8.001, and 4.9.001 will remain at FE+3 and not increased to FE+5. However, the commission believes that the value in retaining Investment Transaction Files and Fiscal Managements Reports outweighs the potential increase in financial and administrative burden an additional two-year retention period might add. A retention period of FE+5 would result in these records being kept over two legislative sessions. Therefore, the retention periods for RSINs 4.1.006 and 4.5.002 will remain at FE+5 as proposed.

COMMENT. An official from University of Texas Medical Branch commented suggesting the addition of a new record series for surveillance videos.

RESPONSE. The commission agrees with this comment and has created the suggested new series under RSIN 5.1.018, with a retention period of AV. While this is a new retention series, it should not impose any new burden on governmental entities as the agencies will be able to make their own determinations regarding how long the video is administratively valuable, and have likely been doing so already.

COMMENT. An official from University of Texas Medical Branch commented that the reference in the archives note of RSIN 1.1.023 Organization Charts should be changed to "Texas State Library and Archives Commission," not division. They also recommended a reference be added that disposition logs need not be submitted for minor changes.

RESPONSE. The commission has fixed the typographical error in the archives note as suggested. The commission declines to make the remaining suggested change, as Organization Charts is an archival series and as such, disposition of prior versions must be documented on disposition logs.

COMMENT. An official from University of Texas Medical Branch commented with a formatting suggestion regarding blank "title" series for record series with subseries.

RESPONSE. The commission agrees with this comment and has eliminated all "empty" RSINs.

COMMENT. An official from University of Texas Medical Branch commented with a formatting suggestion regarding removing blank lines indicating where record series were removed from the schedule.

RESPONSE. The commission agrees with this comment and has removed all blank table rows.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent paragraph spacing between lines in the schedule.

RESPONSE. The commission agrees with this comment and has revised formatting of schedule with consistent paragraph spacing.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent ordering of information in the remarks section of record series across the schedule.

RESPONSE. The commission agrees with this comment and has revised formatting of schedule with consistent order of remarks.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent use of acronyms across the schedule.

RESPONSE. The commission agrees with this comment and has added relevant acronyms for ease of searching.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent capitalization of "RETENTION NOTE," "CAUTION, "ARCHIVES NOTE," and "See RSIN" across the schedule.

RESPONSE. The commission agrees with these comments and has amended all "Retention Notes" as "CAUTION" notes and made the recommended change to "See RSIN" across the schedule.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent use of commas or semicolons when implementing a list.

RESPONSE. The commission disagrees with this comment and declines to make the change. The commission follows the advice of the Chicago Manual of Style, which allows for the use of semicolons depending on the nature of the list, for example, if list items are complex or contain commas.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding consistent and accurate page numbers across the schedule.

RESPONSE. The commission agrees with this comment and has made the recommended changes.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions regarding a reference on the Amendment Notice Page.

RESPONSE. The commission has deleted the bullet note from the Amendment Notice, as bullets have not been used in previous versions of the schedule.

COMMENT. An official from University of Texas Medical Branch commented with suggestions regarding formatting and removing the legal citation for RSINs 2.1.007 Computer Software Programs, 2.1008 Computer Hardware Documentation, and 2.1.009 Hardware and Software Technical Documentation.

RESPONSE. The commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods. Additionally, the commission has made the recommended formatting change as suggested.

COMMENT. An official from University of Texas Medical Branch commented with formatting suggestions for RSIN 1.2.001 Destruction Authorizations to remove "e.g." and define the "TSLAC" acronym.

RESPONSE. The commission declines to make the first suggested change, as the use of "e.g." is necessary to illustrate that the example form number does not exclude other types of forms from this series. The commission declines to make the second suggested change, as it does not add any additional clarity to the text as proposed.

COMMENT. Several commentators commented regarding classification of training materials related to RSINs 1.1.043 Training Materials and 3.3.030 Training Administration Records suggesting further clarification be added as well as redefinition of AC.

RESPONSE. The commission agrees that these two series contain redundant record types. RSIN 1.1.043 has been edited to only include non-personnel training, and RSIN 3.3.030 has been edited to only include internal personnel training. In addition, the definition of AC has been clarified to mean close of training session, after training materials superseded, or termination of training program, as applicable. Additionally, cross-references have been added to the relevant record series for clarity.

COMMENT. An official from the Office of the Governor commented regarding the inclusion of "information resources strategic plan" in the description of RSIN 1.1.055 Strategic Plans.

RESPONSE. The commission agrees with this comment and has edited the series description for clarification.

COMMENT. An official from the Office of the Governor commented regarding clarification of description for RSIN 2.1.007 Software Programs because software programs that are licensed for use by an agency are not state records.

RESPONSE. The commission agrees with this comment and has amended the series description to include agency-developed automated applications.

COMMENT. An official from the Office of the Governor commented suggesting the exclusion of RSIN 2.2.001 System Monitoring Records from the disposition documentation requirement.

RESPONSE. The commission has added a remark that monitoring files that are automatically overwritten need not be included in disposition logs. Printed monitoring logs, or logs that are not automatically overwritten, must still be included on disposition logs.

COMMENT. Several commentators commented regarding the clarification of RSIN 3.4.004 Overtime Schedules and Authorizations, including changing the description to specify the series covers only the authorizations to work overtime (and possibly comp time), not the records of time worked. Commenters also suggested reverting the title to the original.

RESPONSE. The commission agrees with most of these comments and has amended the series description to include records created to schedule time worked outside of or in addition to their regular working hours. A cross-reference has also been added for RSIN 3.4.006 (Timekeeping Records). The commission disagrees with the comment to revert the title and declines to make the suggested change, as the series description has been amended to provide clarity.

COMMENT. Several commentators commented to suggest adding distinct titles to the following series' subseries: RSINs 3.1.013 Employment Contracts, 3.1.040 Employee Drug Testing and Screening Records, 5.1.001 Contract Administration Files, and 5.1.013 Insurance Policies, 5.3.007 Bid Documentation.

RESPONSE. The commission agrees with these comments and has given all series unique titles.

COMMENT. An official from University of Texas Medical Branch commented to suggest the addition of the FMLA citation to RSIN 3.4.007 Time Off and/or Sick Leave as well as inquire about the fiscal year retention period.

RESPONSE. The commission has added the relevant citation to the series' remarks regarding fiscal year requirements and the commission agrees with the addition of the FMLA citation and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented to suggest clarification of the descriptions for RSINs 3.3.027 Aptitude and Skills Tests and 3.3.028 Aptitude and Skills Tests (Test Papers).

RESPONSE. The commission agrees with this comment and has made the recommended changes.

COMMENT. An official from University of Texas Medical Branch commented to suggest clarification of the descriptions for RSINs 3.3.027 Aptitude and Skills Tests and 3.3.028 Aptitude and Skills Tests (Test Papers).

RESPONSE. The commission agrees with this comment and has made the recommended changes.

COMMENT. An official from University of Texas Medical Branch commented to point out that the retention period for RSIN 3.3.004 Benefit Plans does not match the citation requirements.

RESPONSE. The commission agrees with this comment and has amended the retention period to match citation.

COMMENT. An official from University of Texas Medical Branch commented to recommend shortening the title of RSIN 3.3.023 Reimbursable Activities, Requests and Authorizations to Engage to in to "Reimbursable Activity Records" to be more concise.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented to recommend altering the definition of AC for RSINs 3.2.001 Employee Deduction Authorizations, 3.2.005 W-4 Forms, and 3.2.008 Direct Deposit Application/Authorizations in order to be clearer and more accurate and provided recommended changes.

RESPONSE. The commission agrees with these comments and has made the recommended changes.

COMMENT. Officials from the State Office of Administrative Hearings commented that the proposed amendment to RSIN 3.1.042 ADA Accommodation Requests is inconsistent with the retention period of RSIN 3.1.001 Applications for Employment - Not Hired. An ADA Accommodation Request for an applicant that is not hired has a retention period of 3 years while an application for employment for someone not hired has a retention period of 2 years. The commenter recommended having one standard for both series.

RESPONSE. The commission agrees with the comment and is reducing the retention period from 3 years to 2 years in line with 29 C.F.R. §1602.31. There is now a standard retention period for both series.

COMMENT. An official from University of Texas Medical Branch commented recommending changes to the a, b, and c subseries of RSIN 3.1.040 Employee Drug Testing and Screening Records by suggesting the addition of a caution note that these records should be kept as medical records and filed separately from personnel files, the addition of a caution note that pre-employment drug screening records should be kept with selection records per RSIN 3.1.014 Employment Selection Records, and the addition of a complimenting consent form signed by employee for release of information or understanding and agreeing that a test can be done.

RESPONSE. The commission declines to make the suggested changes since medical records already have a separate retention period than other personnel records. A cross-reference to these series has been added to RSIN 3.1.014 Employment Selection Records. Consent forms for releases of information are already included in RSIN 3.1.041 (Employee Acknowledgement and Agreement Forms) to provide clarification.

COMMENT. An official from University of Texas Medical Branch recommended altering the title of RSIN 3.1.036 Apprenticeship Records in order to be clearer and more accurate and provided recommended change.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with changes to RSIN 3.1.014 Employment Selection Record, including adding a reference note to see RSIN 3.3.028 for pre-employment skills tests, or add pre-employment skills tests to description and removing it from RSIN 3.3.028 description; adding a reference to RSIN 3.1.036 for apprenticeship records; and adding a cross reference to drug screening, RSIN 3.1.040.

RESPONSE. The commission agrees with the comment to add a reference to RSIN 3.3.028 and the change has been made. The commission declines to add a cross-reference to RSIN 3.1.036 (Apprenticeship Records), as that series is for summary records. The commission agrees with the recommendation to add a cross-reference to RSIN 3.1.040 (Employee Drug Testing and Screening Records) and amend the series description, and it has made the suggested change.

COMMENT. An official from University of Texas Medical Branch suggested changing the retention of RSIN 3.1.014 Employment Selection Records to AC+2; AC = hiring decision made, or position closed.

RESPONSE. The commission declines to make the suggested change, but it has amended the series retention period to AC+2, where AC = Date of the making of the record or the personnel action involved, whichever occurs later. This change is consistent with the language of 29 C.F.R. §1602.31.

COMMENT. An official from University of Texas Medical Branch suggested removing the citation from RSIN 3.1.013a/b Employment Contracts if there is no guidance for retention. Possibly include SB20 reference.

RESPONSE. The commission agrees with this comment and has added "SB20 (84th Leg.)" to the legal citation to explain why the retention period is lower for contracts executed prior to 9/1/15.

COMMENT. An official from University of Texas Medical Branch suggested changing the retention of RSIN 3.1.001 Applications for Employment - Not Hired to "AC+2; AC = Hiring decision made, or position closed.

RESPONSE. The commission declines to make the suggested change, but it has amended the series retention period to AC+2, where AC = Date of the making of the record or the personnel action involved, whichever occurs later. This change is consistent with the language of 29 C.F.R. §1602.31.

COMMENT. An official from University of Texas Medical Branch suggested moving RSIN 2.1.012 Biennial Information Security Plan from the 2.1 Automated Applications category to a different category where it functionally fits.

RESPONSE. The commission agrees with this comment and has moved the record series under category 2.2 Computer Operations and Technical Support and changed the series RSIN to 2.2.018.

COMMENT. An official from University of Texas Medical Branch suggested altering the description of RSIN 1.3.002 Publication Development Files to include that this series is used to create RSIN 1.3.001 State Publications. Example: ""¦.photo negatives, prints, flats, etc. that are used to create State Publications."

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch suggested altering the title and description of RSINs 1.2.016 Disaster Recovery Service Approval Form (RMD 113) and 1.2.015 Disaster Recovery Service Transmittals (RMD 109) to remove specific mentions of TSLAC forms, RMD 113 and 109, and provided recommended changes.

RESPONSE. The commission agrees with these comments and has made the recommended changes to series titles and descriptions for clarification.

COMMENT. An official from University of Texas Medical Branch suggested altering RSIN 1.2.005 Records Retention Schedule to reference the SLR 105 form since all state agencies must use this form to submit their retention schedule.

RESPONSE. The commission agrees with these comments and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch suggested returning to the original description of RSIN 1.2.003 Forms History and Maintenance to use "including" instead of "e.g." for better flow.

RESPONSE. The commission declines to make the suggested stylistic change as suggested but has edited the series description for clarity.

COMMENT. An official from Health and Human Services commented that RSIN 1.1.077 Release of Records Documentation seems problematic in light of HIPAA and suggested adding a note that information released under other statutes may have additional retention requirements. The commenter also suggested including "Not through Public Information Act" for clarity.

RESPONSE. The commission agrees with the first comment and has made the recommended change. The commission disagrees that adding "Not through the Public Information Act" adds clarity to the text and declines to make that suggested change. The commission believes the description provides the necessary clarity.

COMMENT. An official from University of Texas Medical Branch commented with concerns about combining working files records into RSIN 1.1.070 Agency Rules, Policies, and Procedures and the definition of AC, which would require maintaining all working copies and drafts until the termination of the policy or procedure, and that policy/procedure is updated annually, then this retention period is now requiring agencies to keep all working copies and drafts indefinitely while the policy is still active. They question the continued relevance of working copies in this context.

RESPONSE. The commission agrees with this comment and has amended the AC Definition to "AC = Until superseded, or termination of program, rules, policies, or procedures, whichever applicable."

COMMENT. An official from University of Texas Medical Branch commented with suggested changes to RSIN 1.1.038 Customer Surveys, including adding an additional trigger to the AC definition since not all surveys end in a summary report and revising the retention period to reflect that surveys are raw data used to make up the summary report and do not need to be maintained for the same retention period as the final summary report.

RESPONSE. The commission has amended the AC Definition to clarify retention period as suggested. The commission declines to change the retention period, as this series is not equivalent to "raw data"; it includes actual surveys and survey collection materials, so it is more substantive than RSIN 1.1.065 (Reports and Studies [Non-Fiscal] - Raw Data).

COMMENT. Officials from State Office of Administrative Hearings commented with concerns about the proposed addition of "other feedback" to the description of RSIN 1.1.006 Complaint and Feedback Records as overly-broad and susceptible to the creation of confusion, misapplication, and inconsistency in identifying records that fall under this series. This proposed amendment elicits the following questions: How will this impact feedback provided through customer surveys per RSIN 1.1.038 Customer Surveys? Will this change the retention period for a survey instrument containing feedback (i.e., from a retention period of AC to AC+2)?

RESPONSE. The commission agrees with this comment and has amended the series description to only include unsolicited customer feedback that does not fall into other record series such as RSIN 1.1.038 Customer Surveys.

COMMENT. An official from University of Texas Medical Branch commented with concerns about the changed title of RSIN 1.1.007 Correspondence - High-Level stating that while high level correspondence is a better title than administrative correspondence, it still leaves a lot of interpretation to the agencies regarding the meaning of high level. The commenter suggested using Correspondence - Executive as an alternative. The commenter also recommended changing the archives note reference to new series title.

RESPONSE. After reviewing this comment, the commission believes the best way to clarify this series is to not amend the series title as originally proposed, and instead keep the title as "Administrative Correspondence." However, the commission has amended the series description to provide clarity on the definition of "Administrative Correspondence."

COMMENT. An official from University of Texas Medical Branch commented with recommendations to add a caution note to RSIN 4.5.002 Fiscal Management Reports that states there might be additional retention requirements for some reports similar to grants note. External entities that require specific reports and information to be submitted might have very specific requirements that are longer than required retention period.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from Health and Human Services commented with a request to clarify the note in the Remarks of RSIN 4.5.003 Annual Financial Reports, which refers to the Texas Administrative Code, and add a pinpoint cite which would be helpful consistent with the pinpoint cites throughout the rest of the document.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from Health and Human Services commented with an error in the description of RSIN 4.5.010 Unclaimed Property Reports and Documentation where there's a reference to "treasurer" when it should be "comptroller."

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a request to clarify the description of RSIN 4.7.003 Uncollectable Accounts.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a request to add a reference to other funding sources in the description of RSIN 4.7.008 Grant Records.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a request to clarify the description/remarks of RSIN 5.1.001 Contract Administration Files and remove the reference to performance bonds as well as a request to remove the government code citation since it does not reference the AC+4 retention period.

RESPONSE. The commission agrees with the first comment and has updated cross-references. The commission agrees with this comment and has added "SB20 (84th Leg.)" to the legal citation to explain why the retention period is lower for contracts executed prior to 9/1/15.

COMMENT. An official from University of Texas Medical Branch commented with a request to clarify the description of RSIN 5.1.010 Licenses and Permits for Non-vehicles to describe what the series does include, not what it does not include.

RESPONSE. The commission agrees with this comment and has amended the series description and added a caution note for clarification.

COMMENT. An official from University of Texas Medical Branch commented with a request to flesh out the descriptions of RSIN 5.1.013 subseries based on the local schedule descriptions for these records.

RESPONSE. The commission agrees with these comments and has made the recommended changes.

COMMENT. An official from University of Texas Medical Branch commented with requests to clarify the RSINs 5.2.002 Building Construction Project Files and 5.2.003 Building Plans and Specifications subseries by adding a reference to the remarks of 5.2.002 to point to RSIN 5.3.007 Bid Documentation, updating the descriptions of 5.2.002 and 5.2.003, and posed a question regarding classification of bid documentation associated with building construction projects.

RESPONSE. The commission agrees with these comments and has made the recommended changes. Records always should be classified under the longest applicable record series.

COMMENT. An official from University of Texas Medical Branch commented with recommendation to remove the archives note in RSIN 5.2.003a Building Plans and Specifications since there is an "R" in the archival field and not in the archival field for 5.2.003b.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a clarifying question regarding the inclusion of maintenance in the description when maintenance records has its own separate series.

RESPONSE. The commission has amended the descriptions of both series and added a cross-reference to RSIN 5.2.006 (Inventory and Property Control Records) to clarify that RSIN 5.2.006 is for general maintenance records and RSIN 5.2.008 (Equipment History File) is for individual equipment maintenance logs.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to either clarify the title of RSIN 5.2.008 Equipment History File or combine with record series counterpart for vehicles.

RESPONSE. The commission has changed the series title as suggested. COMMENT. An official from University of Texas Medical Branch commented with suggestions to change the title or the description of RSINs 5.2.010 Equipment Manuals and 5.2.011 Equipment Warranties to include "vehicles".

RESPONSE. The commission has added vehicle manuals to the series description of RSIN 5.6.007 (Vehicle Titles & Registrations) for clarification.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a caution note to RSIN 5.2.022 Utility Usage Reports to account for agencies that operate their own utilities.

RESPONSE. The commission has added a caution note to this series that excludes records for state agencies that operate their own utilities.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add additional legal citations to RSIN 5.3.003 Freight Claims, 43 TAC 218.61(d) and 49 USC 14706(e), which discusses the statute of limitations of 2 years for someone to bring civil action after resolution of claim.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a caution note to RSIN 5.3.004 Shipping Information mentioning that shipping information for dangerous or hazardous goods could have a longer retention period.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to clarify the descriptions and legal citations of RSIN 5.3.007 Bid Documentation subseries to reflect the specific timeframes of the retention period application and reference the senate bill that led to the change in retention.

RESPONSE. The commission agrees with the comments regarding the descriptions and has made the recommended changes. The commission agrees with this comment and has added "SB20 (84th Leg.)" to the legal citation to explain why the retention period is lower for contracts executed prior to 9/1/15.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a legal citation to the remarks of RSIN 5.4.001 Occupational Accident Reports and Associated Documentation, 28 TAC 120.1(c), which references to follow the CFR, but also lists employer responsibility including the record of all injuries - with list of required items.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add examples from the legal citation to the description of RSIN 5.4.007 Hazardous Materials Training Records-- "Date of class, roster of attendees, subjects covered, and instructors".

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a legal citation to the description of RSIN 5.4.013 Continuity of Operations Plan-- "per Texas Labor Code, 412.054"-- since this citation is requiring agencies to create a disaster plan.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to clarify RSIN 5.4.014 subseries by altering the descriptions and definition of AC.

RESPONSE. The commission agrees with these comments and has made the recommended changes.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to clarify RSIN 5.4.016a Hazardous Materials - Exposure/ Survey Records by altering the definition of AC.

RESPONSE. The commission agrees with this comment and has made the recommended change.

COMMENT. Officials from the State Office of Administrative Hearings commented with recommendations to combine RSINs 5.4.018 Annual Audit Plan and 5.4.019 Audit Peer Review - Working Papers within Category 1 as these records seem closely related to RSIN 1.1.002 Audits.

RESPONSE. The commission declines to make the suggested change as audit plans and peer reviews comprise a distinct set of records. To assist with the distinction, the commission has added clarifying cross-references to RSIN 1.1.002 (Audits), RSIN 5.4.018 (Annual Audit Plan), and RSIN 5.4.019 (Audit Peer Review - Working Papers).

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to include a reference to Log of PBX or operator call transfers in the description of RSIN 5.5.002 Telephone Activity Records as having key search terms within descriptions helps users actually find the records.

RESPONSE. The commission has added the term "call transfers" to series description to improve clarity.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a new record series to cover training sign in sheets, rosters, evaluations, registrations, etc., stating these types of records would not be included with the course content materials listed under 3.3.030 and 1.1.043. The commenter stated that these types of records would not meet the US retention period because each training course would be unique and would need a retention not connected to the class information being superseded.

RESPONSE. The commission had amended the description of RSINs 3.3.030 and 1.1.043 to include the types of information described in this comment and amended the AC definition for clarification.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to change the retention period of RSIN 1.1.023 Organizational Charts from US to AC; AC= Until superseded or obsolete.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the current retention period is sufficient and functionally equivalent to the suggested retention period.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to keep the retention period of RSIN 1.2.006 Records Transmittal Forms at AC+2.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change; with an AV retention period, state agencies are given more latitude in determining the appropriate retention period.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to keep the retention period of RSIN 1.2.006 Records Transmittal Forms at AC+2, change the remarks to include that form RMD 101 is obsolete, and recommend that TSLAC still be providing retention guidance on commonly used records series such as this. Even though the TSLAC form is obsolete, other agencies might have their own internal way of documenting records transmittal information for storing records.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as TSLAC is still providing guidance that this needs to be a record series maintained by state agencies; with an AV retention period, state agencies are given more latitude in determining the appropriate retention period. State agencies that use the State Records Center, for example, may not have to keep these records as long as state agencies using other vendors, as TSLAC keeps this data permanently in TexLinx (see TSLAC AIN 5E.028).

COMMENT. An official from University of Texas Medical Branch commented with suggestions to generalize the title and description of RSIN 1.2.011 Record Center Storage Approval Forms (RMD 106) by removing (RMD 106), change the retention period back to US or AC, and make the record series not obsolete.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as this series specifically refers to State Records Center storage authorizations, and it is not meant to cover general authorizations for other vendors; these general authorizations should be classified under RSIN 5.1.001a/b (Contract Administration Files). The obsolete series must remain on the schedule until the next revision, for any agencies that are still maintaining obsolete forms.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to add a cross reference pointing to RSIN 3.1.036 for apprenticeship records in the remarks of RSINs 3.1.001 Applications for Employment - Not Hired and 3.1.002 Applications for Employment - Hired.

RESPONSE. The commission declines to make the suggested change, as RSIN 3.1.036 (Apprenticeship Records) is for summary records.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to add "State Board, Commission, Committee and/or Council" to the beginning of each record series title for RSINs 1.1.058, 1.1.061, and 1.1.062.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as it does not add clarity to the text as proposed.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to remove current citations that don't require a retention period and include in text of description as well as add reference to citations to document the requirement for the creation of the security plan for RSIN 2.1.012 Biennial Information Security Plan.

RESPONSE. The commission declines to make the suggested changes as the commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods. The commission declines to make the suggested change to add a reference, as it does not add clarity to the text as proposed.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to remove citation reference from RSIN 3.1.042 ADA Accommodation Requests because not relevant to retention instructions. Possibly move citation reference to description.

RESPONSE. The commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to keep retention period at AC+5 until it can be confirmed that the manual is not requiring it for RSIN 3.2.009 State Deferred Compensation Records.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the Manual instructions regarding vendor requirements apply to ERS's use of vendors; most state agencies may access records through CAPPS. Agencies that do utilize vendors for State Deferred Compensation may add custom series to their individual schedules.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion maintain reference to manual in description of RSIN 3.2.009 State Deferred Compensation Records if it is providing guidance or requirements on a retention period.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the referenced Manual cannot be accessed widely outside of agency HR departments and is not a publicly available reference.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to change title of RSIN 3.3.001a Affirmative Action Plans - Employees to include both employees and apprenticeship programs per citation.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to include "request" and "authorizations" in description not title of RSIN 3.3.023 Reimbursable Activities, Requests and Authorizations to Engage in.

RESPONSE. The commission declines to make the suggested change, as it does not improve clarity.

COMMENT. An official from University of Texas Medical Branch commented with a suggestion to add a cross reference in the remarks of RSIN 3.3.025 Job Procedure Records pointing to either RSIN 3.3.024 or RSIN 1.1.070 identifying how they are different.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the series description makes it clear that this series is for "position-by-position" procedures, while RSIN 1.1.070 (Agency Rules, Policies, and Procedures) is for agency-wide procedures.

COMMENT. An official from University of Texas Medical Branch commented with questions about record series item number styling and assignment for RSINs 3.3.027, 3.3.028 and suggested changing the RSIN to 3.3.027a - Aptitude and Skills Tests - Master Copy and 3.3.028b - Aptitude and Skills Tests - Completed Test Papers, as well as RSINs 1.1.020 and 1.1.021.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as historical RSINs should not be changed unless there is a compelling need.

COMMENT. An official from University of Texas Medical Branch questioned why work schedules are included in description of RSIN 3.4.006 Time and Attendance Records when they are also included in RSIN 3.3.020, which has an AV retention. The commenter suggested removal or rewording of this series.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as RSIN 3.3.020 (Work Schedules/Assignments) is meant to cover general work schedules and assignments, while this series is meant to document actual time worked by individuals, as well as deviation from work schedules. Actual time worked does not necessarily correspond with assigned work schedules.

COMMENT. An official from University of Texas Medical Branch commented suggesting combining RSINs 3.4.006 Time and Attendance Records and 3.4.007 Time Off and/or Sick Leave Requests.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as state agencies in Texas usually maintain the records in these series in two different systems that must be managed separately; the two types of records are typically managed by different custodians (i.e. HR manages time and attendance records, while supervisors manage leave requests).

COMMENT. An official from University of Texas Medical Branch commented suggesting changing the retention of RSIN 5.1.004 Mail and Telecommunication Listings from US to AC; AC= Significant change or list obsolete.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change as it is unnecessary. The existing retention period of US is sufficient and functionally equivalent to the suggested retention period.

COMMENT. An official from University of Texas Medical Branch commented suggesting combination of RSIN 5.4.001 Occupational Accident Reports and Associated Documentation and RSIN 5.1.014 and creation of 3 sub parts for Accident Reports: 5.4.001a - Accident Reports - Occupational; 5.4.001b - Accident Reports - Adults; and 5.4.001c - Accident Reports - Minors.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the proposed new series do not add clarification and instead could overcomplicate the retention period.

COMMENT. An official from University of Texas Medical Branch commented suggesting changing description reference from SORM back to TDI in RSIN 5.4.001 since 28 TAC 120.1 is a regulation of the Texas Department of Insurance. The commenter stated that while a report might also go to SORM, TDI is who is requiring it.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as SORM is the agency to which reports are submitted, so this provides useful context for records managers.

COMMENT. An official from University of Texas Medical Branch commented suggesting changing the legal citation, description, and remarks of RSIN 5.4.007 Hazardous Materials Training Records to reference the shorter retention requirement of asbestos training material.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the series is meant to be broad enough to cover all hazardous substances.

COMMENT. An official from University of Texas Medical Branch commented suggesting adding a sub category - 5.4.011b to accommodate "Visitor Control Registers - Registration Logs" or add it to the description of series to be included under RSIN 5.4.011, as well as adding a series for a log maintained to document specific information on Representations before State Agency Visitors. The information collected on these visitors must be reported to the Texas Ethics Commission (TEC) per Chapter 2004, Government Code.

RESPONSE. The commission disagrees with this comment and declines to make the suggested changes, as this series already includes "logs" and "registers" in the description and this specific log is already covered under RSIN 1.1.053 (Visitor Control Registers).

COMMENT. An official from University of Texas Medical Branch commented suggesting a change to the description of RSIN 5.4.012 Security Access Records- "Records relating to the request for and issuance of keys, "¦..".

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as key requests are already included in the series description with the term "signed statements."

COMMENT. An official from University of Texas Medical Branch commented suggesting multiple changes and updates to RSIN 5.4.015 Hazardous Materials - Administrative Records, including moving the series under 5.2 Facilities, changing the title to "Asbestos Management Records" and specifying the description accordingly, and removing the 29 CFR 1910.1001 and 1910.1020(d)(ii) citations as they reference asbestos removal and for exposure records, but the retention guidance does not apply to abatement or this series.

RESPONSE. The commission disagrees with this comment and declines to make the suggested changes-- any series dealing with hazardous materials (even if related to building records) should be in the Risk Management category, this series is meant to be broad enough to cover all hazardous substances, and the commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods. One of the goals of these amendments was to streamline and modernize the schedule and provide for more efficient use.

COMMENT. An official from University of Texas Medical Branch commented suggesting multiple changes and updates to RSIN 5.4.016 Hazardous Materials - Exposure/ Survey Records, including breaking the series into specific series per the citations and creating additional record series to accommodate the rules listed in 29 CFR 1910.1020, changing the description and the record series title since the citation doesn't reference exposure records, and adding the following citations: 29 CFR 1910.1020(d)(1)(ii). (30 yr. retention for exposure), 29 CFR 1910.1020(d)(1)(I) (Term of employment + 30 yrs. for employee medical record), and 29 CFR 1910.1020(d)(1)(iii); 29 CFR 1910.1001(m)(1)(iii); (30 year retention for monitoring employee exposure measurements to asbestos).

RESPONSE. The commission disagrees with these comments as the commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods. While shorter retention periods are specified in citation, the 30 year retention period has been selected to simplify the retention requirements of the complex law. The commission declines to make the suggested change off adding legal citations and creating new series, as the proposed new series do not add clarification and overcomplicate the retention period. One of the goals of these amendments was to streamline and modernize the schedule and provide for more efficient use.

COMMENT. An official from University of Texas Medical Branch commented suggesting changing the RSIN 5.4.016 Hazardous Materials - Exposure/ Survey Records subseries to match citations: 5.4.016a - Employee Medical Record; 5.4.016b - Employee Medical Record -Exposure Records; and 5.4.016c - Employee Medical Record - First Aid Records. The commentator provided additional comments with description, retention, legal citations, and remarks for the series.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the proposed new series do not add clarification and overcomplicate the retention period. One of the goals of these amendments was to streamline and modernize the schedule and provide for more efficient use.

COMMENT. An official from University of Texas Medical Branch commented suggesting the addition of a caution note to RSIN 5.4.016b Hazardous Materials - Exposure/ Survey Records to reference when this series applies and when RSIN 3.1.024 applies as well as adding legal citations: Citations: 29 CFR 1910.1020(d)(1)(ii); 29 CFR 1910.1020(d)(1)(iii); 29 CFR 1910.1001(m)(1)(iii).

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the description explains that this series is meant only for medical monitoring related to exposure to toxic and hazardous materials and the additional legal citations do not add clarification and overcomplicate the retention period. One of the goals of these amendments was to streamline and modernize the schedule and provide for more efficient use.

COMMENT. An official from University of Texas Medical Branch commented suggesting the addition of legal citations to RSIN 5.4.017 Emergency Response and Recovery Records: Citations: 29 CFR 1910.1020(d)(1)(ii); 29 CFR 1910.1020(d)(1)(iii); 29 CFR 1910.1001(m)(1)(iii).

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the citations do not apply to emergency response records.

COMMENT. An official from University of Texas Medical Branch commented suggesting the removal of legal citation references "per Texas Internal Auditing Act and Chapter 2102, Government Code." and "as described in the State Agency Internal Audit Forum (SAIAF) Peer Review Manual and Chapter 2102, Government Code." from the remarks of RSINs 5.4.018 Annual Audit Plan and 5.4.019 Audit Peer Review - Working Papers, respectively, and move to the description.

RESPONSE. The commission has evaluated all citations to ensure that they provide additional valuable context for the retention decision or other recordkeeping considerations if they do not provide specific retention periods.

COMMENT. An official from University of Texas Medical Branch commented suggesting the use of "Includes but is not limited to: "¦." for lists across the schedule for consistency. If not, match use of commas, semicolons, or manner to list examples.

RESPONSE. The commission disagrees with this grammatical and stylistic comment and declines to make the suggested change, as it does not add clarity to the text as proposed.

COMMENT. An official from University of Texas Medical Branch commented recommending moving record series from newly created categories 4.8/4.9 Banking/Budgeting Records to already existing category numbers.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as new sections were added to the Fiscal Category to create a logical structure that allows for growth in future revisions, if required.

COMMENT. An official from University of Texas Medical Branch questioned why HRIS reports are being combined with a non-financial report series with a lower retention period if these reports are both personnel and payroll records.

RESPONSE. The commission has included HRIS reports in RSIN 1.1.067 (Reports and Studies [Non-Fiscal]), as HRIS reports contain summary payroll information, not individual payroll registers; these reports should only contain duplicate or summary information from more detailed payroll records maintained in other record series. Additionally, the schedule is media-neutral and must not prescribe retention periods based on records storage systems.

COMMENT. An official from University of Texas Medical Branch commented recommending RSIN 4.5.006 be kept as it originally was and not moved to a new category.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as new sections were added to the Fiscal Category to create a logical structure that allows for growth in future revisions, if required.

COMMENT. An official from University of Texas Medical Branch commented recommending removal of the acronym bar from the bottom of all pages in the introduction.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the acronym bar is included on every page to reduce the need to flip back and forth through the schedule.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to change the AC definition in the retention code bar (field 7): Possibly use, "After closed or see remarks field for specific retention instructions." or "See event trigger for specific retention instructions." Records series definition doesn't seem to fit explanation. Further comments encourage consistent changes to the retention code on the RRS and the URRS, and matching the AC definition in introduction to the retention codes section.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the definition of "AC" has not changed. The definitions provided in the RRS and the URRS are identical.

COMMENT. An official from University of Texas Medical Branch commented with suggestions for consistent use of commas, semicolons, and other methods to list information as it pertains to RSINs 1.1.048 Litigation Files, 2.1.009 Hardware and Software Technical Documentation, 2.1.010 Audit Trail Records, 3.1.014 Employment Selection Records, 3.1.021 Personnel Disciplinary Action Documentation, 3.3.004 Benefit Plans, and 5.4.015 Hazardous Materials - Administrative Records.

RESPONSE. The commission declines to make the suggested change, as the commission follows the advice of the Chicago Manual of Style, which allows for the use of semicolons depending on the nature of the list, for example, if list items are complex or contain commas.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to add an additional series to cover working copies of all legislative reporting as it pertains to RSIN 1.1.055 Strategic Plans.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as working files are already including in other reports/reporting series, as needed.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to add an additional series for leadership meetings with a longer retention than RSIN 1.1.063 Staff Meetings, similar to the URRS. "Executive meetings" or "Leadership Meetings" would merit a higher need to be kept over regular staff meetings and might require archival review.

RESPONSE. The commission declines to make the suggested change as it is unnecessary at a statewide level. State agencies are free to retain executive level internal staff meeting notes for longer periods, if needed.

COMMENT. An official from the Office of the Governor commented that internal policies do not belong in RSIN 1.1.070 Agency Rules, Policies, and Procedures - Final. Internal policies tend to be documents like employee handbooks, information technology/security policies, travel policies--records that are not especially unique to an agency and therefore do not have historical value.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as it is up to the archival appraiser to determine if the internal policies of an agency have historical value. The archival code "R" is sufficient.

COMMENT. An official from University of Texas Medical Branch commented the use of "e.g." is not used throughout the schedule, for RSIN 1.2.001 Destruction Authorizations and 1.2.003 Forms History and Maintenance, in particular. The commenter points out that "for example" or "including" are used instead, and that consistency should be applied.

RESPONSE. The commission declines to make the suggested change, as it does not add clarity to the text as proposed and is unnecessary at this time.

COMMENT. An official from University of Texas Medical Branch commented that RSIN 5.4.017 Emergency Response and Recovery Records should be moved to be with COOP Plan - 5.4.013. Change RSIN to 5.4.013b and the use of examples in a series - commas vs. semicolons vs. "This series may include but is not limited to:". The commenter states the format throughout schedule should be the same.

RESPONSE. The commission will not move this series, as the schedule must remain in RSIN order. A cross-reference has been added for clarification. Additionally, the commission declines to make the suggested stylistic changes; the commission follows the advice of the Chicago Manual of Style, which allows for the use of semicolons when list items are complex.

COMMENT. An official from University of Texas Medical Branch commented that the description of RSIN 1.3.001 State Publication contains mistakes and needs clarifying, "as defined in section xi," but there is not section xi and the description needs to be more inclusive of what constitutes a state publication and state guidance would be helpful and actual examples. Commentator also requests guidance and description of website files as state publications.

RESPONSE. The commission has corrected all page number references in the schedule. Additionally, the commission has amended the definition of State Publication on page 11 to include websites. There is no need to add a new series for websites, as the remark for RSIN 1.3.001 (State Publications) points to this definition. Other website-related records such as website design files or website code are already covered under RSIN 1.3.002 (Publication Development Files) and RSIN 2.1.007 (Computer Software Programs).

COMMENT. An official from University of Texas Medical Branch commented recommending the revision of retention periods of RSINs 3.1.019 Performance Appraisals and 3.1.022 Personnel Information or Action Forms to AC+2; AC = Until superseded or terminated, whichever sooner. They state, "if an evaluation isn't done yearly or on a regular basis, you would not want to dispose of all appraisals on file and then have no documents to reference for prior evaluation history" and "If no changes are made within the 2 year time frame, would you really want to destroy the official document that lists pay grade, position class, etc. without having something to replace it?".

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the retention period of 2 years is sufficient to meet the needs of most state agencies that follow the standard appraisal cycle. Agencies may retain for longer on their own schedules if they find their HR departments have an administrative need for it.

COMMENT. An official from University of Texas Medical Branch commented recommending the combination of RSINs 3.1.024 Physical Examinations/Medical Reports and 5.4.016 or matching the retention period of 5.4.016.

RESPONSE. The commission declines to make the suggested change, as medical monitoring related to hazardous materials exposure is controlled by different regulations and has different retention requirements.

COMMENT. An official from University of Texas Medical Branch commented recommending changing the description of RSIN 3.1.026 Criminal History Checks to include "background checks" to make it easier for a user to search and locate as well as create a new series for authorization to run information, a new series/caution note for TCOLE required background checks (See 37 TAC §217.7(h) SEE PS 4075-03).

RESPONSE. The commission declines to make the suggested changes, as the term "background check" is too broad of a term that may include information other than criminal history, and the commission declines to create the suggested new series, as the majority of state agencies are not "consumer reporting agencies." Authorizations are already included in RSIN 3.1.041 (Employee Acknowledgement and Agreement Forms). Officer background checks are too specific for most state agencies and would be adopted as custom series on by agencies like DPS and TCOLE.

COMMENT. An official from University of Texas Medical Branch commented recommending revising the AC definition of RSIN 3.1.029 Employment Eligibility Documentation to match citation.

RESPONSE. The commission declines to make the suggested change, as "date the individual's employment is terminated" and "termination of employment" are consistent.

COMMENT. An official from University of Texas Medical Branch commented recommending adding a caution notice under RSIN 3.1.031 Employee Benefits - Other than Health Insurance pointing to Insurance benefits under 3.1.011.

RESPONSE. This commission combined RSIN 3.1.011 and 3.1.031, which obviates the need for a caution note.

COMMENT. An official from University of Texas Medical Branch commented recommending a note be added to RSIN 5.1.004 Mail and Telecommunications Listings about not needing to submit disposition logs for every minor changes.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as this is a disposition decision that can be made by state agencies on their individual schedules.

COMMENT. Officials from State Office of Administrative Hearings commented that the proposed new record series of RSIN 5.3.007 Bid Documentation include any "canceled procurement" records with the already-proposed sub-series for "invalid bids" with a retention period of AC+2 for both. Both types of records would likely be retained only for the purpose of documenting the fact that no contract was awarded, and therefore there is no business reason to distinguish them according to different retention periods or categories. If the records of invalid bids or canceled procurements became the subject of an audit or litigation, then they would be subject to a different records series and retention period.

RESPONSE. The commission disagrees with this comment and declines the make the suggested change, as canceled procurement records are already covered under RSIN 5.3.009 (Requests for Information).

COMMENT. An official from University of Texas Medical Branch commented that RSIN 5.3.010 Vendor Records/W-9 define the acronym IRS in the reference and the chapter referenced in the citation is called "retention of certificates" should the description include that terminology as well.

RESPONSE. The commission has defined the acronym as suggested. The commission declines to make the suggested description change, as it does not add clarity to the text as proposed.

COMMENT. An official from University of Texas Medical Branch commented that the following changes should be made to RSIN 5.4.016 Hazardous Materials - Exposure/ Survey Records: 1) Remove 29 CFR 1910.1020(d) it's listed twice; 2) Add parenthesis around (ii) on second reference to citation; 3)Remove Health and Safety Code, section 502.009(g) because it references training and hazard plan records, not exposure; and 4) Remove 29 CFR 1904.33 because it references incident reporting and the OSHA requirements listed for 5.4.001 with a CE+5 retention, not exposure.

RESPONSE. The commission has not removed the first citation from this series, as it is not a duplicate listing; one citation lists the types of records to be maintained, and another specific line in that section is listed in order to show whence the 30 year retention period comes. The commission agrees with the remaining suggestions and has made the changes as advised.

COMMENT. An official from University of Texas Medical Branch commented questioning how RSIN 5.4.015b Hazardous Materials - Exposure/ Survey Records differs from RSIN 3.1.024 Physical Exams and Medical Reports. Both series state "for employees whom periodic monitoring of health and fitness is required." but list different retention periods. AC+2 vs. US+2.

RESPONSE. The commission states that RSIN 5.4.016 (Hazardous Materials - Exposure/Survey Records) is specifically for hazardous materials work. Hazardous material exposure is monitored under different citations and has different retention requirements than standard medical monitoring records. Not all employees who require regular medical monitoring may work with hazardous chemicals.

COMMENT. An official from University of Texas Medical Branch commented questioning how RSIN 5.4.015b Hazardous Materials - Exposure/ Survey Records differs from RSIN 3.1.024 Physical Exams and Medical Reports. Both series state "for employees whom periodic monitoring of health and fitness is required." but list different retention periods. AC+2 vs. US+2.

RESPONSE. The commission states that RSIN 5.4.016 (Hazardous Materials - Exposure/Survey Records) is specifically for hazardous materials work. Hazardous material exposure is monitored under different citations and has different retention requirements than standard medical monitoring records. Not all employees who require regular medical monitoring may work with hazardous chemicals.

COMMENT. Officials from the State Office of Administrative Hearings commented questioning the deletion of the entire record series concerning Suggestion System Records RSIN 1.1.041, but do not provide for another record series under which these types of records should be kept.

RESPONSE. The commission disagrees with this comment, as "Suggestion System Records" is an obsolete record series. Records should be classified under alternate series as applicable (e.g. RSIN 1.1.006 "Complaint and Feedback Records," RSIN 3.1.018 "Grievance Records," RSIN 1.1.008 "Correspondence - General," etc.)

COMMENT. An official from the Office of the Governor commented questioning RSIN 3.2.010 HRIS Reports stating these reports do not have archival value and may contain confidential information (PII); they should not be classified under 1.1.067. This record series should not be deleted for that reason.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as it is up to the archival appraiser to determine if agency reports have historical value. The archival code "R" and remark that only substantive reports are archival are sufficient. The possible presence of PII may be evaluated by archival appraisers to determine if HRIS reports may be restricted.

COMMENT. An official from the Office of the Governor commented questioning the deletion of RSIN 4.6.002 Reconciliations stating by deleting this series and incorporating reconciliations into the Banking Records series, you do not give agencies a way to classify reconciliations that are unrelated to banking. Most of the reconciliations performed by our agency are between different financial systems of record and have nothing to do with banking.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as the deleted reconciliations series did not apply to general reconciliations; it was a Fiscal/Category 4 record. Fiscal reconciliations are now classified under RSIN 4.1.009 (Accounts Receivable), and all non-fiscal reconciliations can be classified into other appropriate series, such as RSIN 2.2.013 (Quality Assurance Records).

COMMENT. An official from the Office of the Governor commented requesting a record series covering website records, stating this is the time to resolve that issue and create a new record series.

RESPONSE. The commission has amended the definition of State Publication on page 13 to include websites; websites are included in the definition of State Publication in 13 TAC 3.1(27). There is no need to add a new series for websites, as the remark for RSIN 1.3.001 (State Publications) points to this definition. Other website-related records such as website design files or website code are already covered under RSIN 1.3.002 (Publication Development Files) and RSIN 2.1.007 (Computer Software Programs).

COMMENT. An official from the Office of the Governor commented requesting a record series covering social media communications, stating it is not reasonable to expect a state agency to categorize individual social media posts, comments, or messages under specific, disparate record series, as has been suggested in SLRM trainings. SLRM and ARIS need to decide on a minimum retention period and archival requirement at the account level and create a record series that captures this.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as any records posted on social media platforms are to be classified according to their content and function. The State RRS does not classify records based on format. State agencies may choose to adopt a custom series for transitory social media records if needed.

COMMENT. Officials from the State Office of Administrative Hearings commented "SOAH wholly supports and appreciates the elimination of obsolete or superfluous records series; the addition of necessary record series for organizational and clarity purposes; the consolidating or bucketing of multiple records series that are similar in function and/or type to create a more concise Texas RRS; and the addition or revision of record series descriptions to provide for enhanced clarity, consistency, and a better reflection of each record series."

RESPONSE. The commission agrees with this comment.

COMMENT. Officials from the State Office of Administrative Hearings commented "SOAH would be remiss to not mention the noticeable absence of a column for the designation of "Vital Records" from the proposed schedule. The current version of the Texas RRS includes a column indicating whether a record series is considered vital, and we recommend that TSLAC consider retaining this designation because it is helpful in identifying agency records that are essential to the continuity of state agency operations."

RESPONSE. The commission declines to make the suggested change, as the Vital Record column is referencing an outdated version of the SLR 105 (standard form used to submit individual state agency retention schedules). The vital record column has been discontinued. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Branch commented requesting the addition of series for Historical documentation about record series categories, some of these larger decisions or opinions need to be continually referenced to provide details about retention period decisions. This type of information could also be applied to the creation of the RRS/URRS/Local Government Schedules. Knowing the history behind the decisions made and retention periods applied is extremely helpful for future explanation and justification. Commentator provided additional information about title, description, and retention period in subsequent comments.

RESPONSE. The commission disagrees with this comment and declines to make the suggested change, as schedule recertification checklists and revision notes are already maintained by TSLAC for 50 years, and working copies are maintained for a retention period of AV; there is no need to require state agencies to keep copies as well. Agencies may choose to keep their own recertification notes in a custom series if they find them administratively valuable beyond the previous recertification period.

COMMENT. An official from University of Texas Medical Branch commented with suggestions to add various information to the title, descriptions, remarks, and legal citations for series, including RSINs 3.1.034 Resumes - Unsolicited, 3.1.036 Apprenticeship Records, 3.1.041 Employee Acknowledgement and Agreement Forms, 1.1.014 Legal Opinions and Advice, 1.1.053 Registration Logs, 1.1.076 Subpoenas, 3.1.014 Employment Selection Records, and 5.2.019 Service Orders.

RESPONSE. The commission declines to make the suggested changes, as it does not add clarity to the text as proposed.

COMMENT. Several commentators commented with suggestions to add cross references to various record series across the schedule to increase ease of use and navigating the retention schedule.

RESPONSE. The commission agrees with these comments and has added the suggested cross references.

COMMENT. Several commentators commented with typographical and grammatical errors throughout the schedule and the recommended corrections as well as suggestions for consistency across the schedule impacting the appearance of legal citations, the use "and", spacing, page numbering etc.

RESPONSE. The commission agrees with these comments and has made the recommended changes.

COMMENT. Officials from the State Office of Administrative Hearings commented that they appreciate of changes to particular series that will foster efficiency, eliminate uncertainty, and provide clarification

RESPONSE. The commission agrees with these comments.

COMMENT. An official from the University of Texas Medical Board commented recommending the addition of a Pesticide and Herbicide Application Records series to document the application of chemicals such as pesticides, herbicides, and fertilizers to institutional property. Records include date used, weather conditions, application area, chemical applied, mix ratio, and coverage rate.

AC+2; AC = Date of application.

Agriculture Code, 76.114(c); 4 TAC 7.33(a); 4 TAC 7.144(a).

RESPONSE. This suggestion is beyond the scope of the proposed amendments. However, the commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending the addition of a Vehicle and Equipment Assignment Records series. This series documents the assignment of agency vehicles and equipment to personnel.

AC+2; AC = Date returned.

RESPONSE. This suggestion is beyond the scope of the proposed amendments. However, the commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending the addition of a consent forms record series to cover picture consents to be added to a website or publication. And consent forms for drug screens, or other consents, etc.. Retention period of AC+2; AC = Consent authorized or consent no longer active, whichever longer. And, add a caution note that if an image is still being used the authorized consent documentation needs to be kept until the image is no longer being used.

RESPONSE. This suggestion is beyond the scope of the proposed amendments. However, the commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the Office of the Governor commented recommending the addition of an unfunded grant applications record series. Unfunded applications do not need to be kept as long as funded ones; UGMS regulations applies to funded applications only. TSLAC should establish a separate record series for unfunded grant applications.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending an explanation in a caution or retention note that even though many wage and hour records are only required to be kept 2 years or federal law for 3 years, Texas requires 4 for unemployment tax law so all associated should be kept 4, even though lower federal requirements? Research should be done to how this applies to each series.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending research be done to see which exact series needs to be kept per the Texas Unemployment Earning and Tax Laws. What is the breakdown in the differences between the CFR citation documents vs. what's needed for the TAC unemployment reporting requirements? I think some time should be spent ensuring all documents with lower retention periods that are following the CFR guidance aren't conflicting whatever is needed for the 4 years needed to follow the Texas requirements. Double check all series to make sure they are being kept for proper length of time.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending a record series like RSIN 5.6.003 Inspection Repair and Maintenance Records - Vehicles be created for airplane maintenance records-- 14 CFR 135.439. Also see PS4050-01.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending matching the retention periods of RSIN 5.2.008 equipment maintenance to vehicle maintenance and matching the retention periods of RSIN 5.2.008 Equipment History File (LA+3) and 5.6.003 (LA+1)

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the University of Texas Medical Board commented recommending various changes and additional research into RSIN 5.6.001a Aircraft Flight Logs: Shouldn't Government Code, Title 10, Chapter 2205, Subchapter A discussing travel logs be referenced in the description?; Should there be reference to the Texas Airplane Pool in the TAC code?; and are there any FAA citations regarding requirements? Seems like with such a highly regulated field that there would be legal references?

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from Health and Human Services Commission commented recommending a new series be created RE: Cancelled procurements, HHSC recommends AC, where AC=Date of cancellation. These records have no value to us once the procurement is cancelled and actually pose a risk to the integrity of the procurement process if we choose to pursue a similar procurement later and these unused evaluations become available via open records request.

RESPONSE. This suggestion is beyond the scope of the proposed amendments. However, the commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from Health and Human Services Commission commented recommending RSIN 4.7.008 Grant Records be considered contract records for the purposes of compliance with Govt. Code 441.1855 (SB20) (based on CPA feedback) and updating this series as appropriate.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Board commented recommending the creation of a new series or subseries under RSIN 4.7.008 Grant Records for Grants - Not Awarded. Possible retention of AC+2; AC = Notification that grant is not awarded.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Board commented recommending the combination of various procedure series into RSIN 1.1.070 Agency Rules, Policies, and Procedures, including RSINs 4.7.001 Accounting Policies and Procedures, 3.3.024 Personnel Policies and Procedures, and 1.2.014 Records Management Policies and Procedures.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from the Office of the Governor commented recommending all internal policies & procedures be consolidated into a single record series, citing no legal mandate, and the need to simplify internal policy & procedure documents from seven separate series, particularly in the age of automation where agencies need to simplify retention requirements as much as possible. Records series that include internal policy and procedures and should be consolidated into a single series include: 1.1.070 - Agency Rules, Policies, and Procedures; 1.2.014 - Records Management Policies and Procedures; 2.2.011 - Data Processing Policies and Procedures; 3.3.024 - Personnel Policies and Procedures; 3.3.025 - Job Procedure Records; 4.7.001 - Accounting Policies and Procedures Manual; 5.1.014 - Office Procedures

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Board commented recommending research into the retention period of RSIN 1.2.014 Records Management Policies and Procedures and why it doesn't match RSIN 1.1.070 Agency Rules, Policies, and Procedures.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Board commented recommending research into why RSIN 1.1.064 Agency Performance Measures Documentation has its own separate series with a lower retention, but on every other legislative report series working documentation is now included as a part of the AC+6 retention requirements. Should this series be changed to a generic Legislative reporting raw data or supporting documentation series - to include: Agency Performance Measures Docs, Working files for Biennial or agency narrative reports, strategic plans, etc.?

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

COMMENT. An official from University of Texas Medical Board commented with recommendations for RSIN 3.3.001 subseries combining RSIN 3.3.001a Affirmative Action Plans -Employees and combining RSIN 3.3.001b Affirmative Action Plans - Apprenticeship Programs recommending the two series, researching the citation 29 CFR 30.12(d), changing to cover subcontractor and contractors in 3.3.001b and moving apprenticeship records to 3.3.001a.

RESPONSE. The commission will take this recommendation into consideration for further research in future revisions.

In addition to the changes from the above comments, the Commission identified and made non-substantive grammatical and typographical changes to the proposed amendments.

STATUTORY AUTHORITY. The amendments are adopted under Government Code, §441.185(f), which grants authority to the Texas State Library and Archives Commission to prescribe by rule 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. The amended section is also proposed under Government Code, §441.199, which authorizes the Commission to adopt rules it determines necessary for the state's management and preservation of records.

§6.10.Texas State Records Retention Schedule.

(a) A record listed in the Texas State Records Retention Schedule (5th Edition) must be retained for the minimum retention period indicated by any state agency that maintains a record of the type described.

Figure: 13 TAC §6.10(a) (.pdf)

(b) A record listed in the University Records Retention Schedule must be retained for the minimum retention period indicated by any university or institution of higher education.

Figure: 13 TAC §6.10(b) (No change.)

The agency certifies that legal counsel has reviewed the adoption and found it to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on April 20, 2020.

TRD-202001511

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Effective date: May 10, 2020

Proposal publication date: February 14, 2020

For further information, please call: (512) 463-5591