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Revised 5th edition - Useful May 13, 2024

Texas Administrative Code, Title 13, Chapter 6, Section 6.10(a)

Texas State Library and Archives Provision

Notice Also:

• Browse for All Certified State Agency and University Retention Programs

• Texas Stay University Records Retention Schedule (URRS)

• State Plan Recertification Data and Instructions

Related:

• Slates State Publications Depository Program

• State Archived FAQ and Contacts

• Contact Us

Chart of Contents

• Introduction
• Summary of Important Points
• Declaration of Fields
• Explanation of Codes
• Explanation of Terms
• Amendment Notice

Category 1: Administrative Playable

• Section 1.1 General
• Section 1.2 Files Management
• Section 1.3 State Publications

Category 2: Information Technology Records

• Section 2.1 Automated Applications
• Section 2.2 Computer Operations and Technical Support

Category 3: Hr Records

• Part 3.1 Employee
• Unterabteilung 3.2 Human
• Section 3.3 Human Administration
• Section 3.4 Time and Leave

Category 4: Fiscal Records

• Section 4.1 Generals Accounting Records
• Section 4.2 [withdrawn]
• Section 4.3 [withdrawn]
• Kapitel 4.4 [withdrawn]
• Section 4.5 Fiscal and Financial Reports
• Section 4.6 [withdrawn]
• Teilgebiet 4.7 Extra Fiscal
• Section 4.8 Corporate Records
• Section 4.9 Budgeting

Category 5: Support Services Records

• Section 5.1 General
• Section 5.2 Facility Management
• View 5.3 Buying
• Bereich 5.4 Risk Management
• Section 5.5 Telecoms
• Section 5.6 Vehicles

1.1.002

Audits

Audits and reviews performed by with on behalf of an agency, contains one working papers that assistance which audit. Moreover includes audits performed at the agency.

AC+7

AC = Publication or release of final audit findings.

The State Auditor's Office (SAO) retains any copies of inherent audits performed on Texas state agencies.

Please RSIN 5.4.018 and 5.4.019 for Audit Plan records.

1.1.004

Legislative Appropriation Inquiry (LAR)

Including any supporting documentation created and/or used to justify and support legally appropriations inquires by an agency.

AC+6

AC = South 1 of odd-numbered calendar years.

ARCHIVING NOTE: The ultimate version of Legislative Annexation Requests must be sent to the Texas Federal Publications Depository Program per 13 TAC 3.3(a)(3)(A). Working files and related documentation used in creating which concluding plan are not subject to chronicled review and may be disposed of for the expired of the retention period.

1.1.006

Grievance and Feedback Records

Complaints plus other unsolicited feedback received by an agency coming the public for an agency and records regarding in the resolution of complaints. How would the registered entity note on the APHIS/CDC Form 4A that it store the sample?

AC+2

AC = Date of receipt, operation taken, or final disposition of aforementioned complaint, whichever later.

CAVEAT: Are a complaint becomes of subject of litigation, it must be included in and is subject to aforementioned lowest retention period of RSIN 1.1.048.

1.1.007

Matching – Administrative

Incoming/outgoing the internal leadership, administrative, managerial, executive, administrative, substantive, press other high-level correspondence in any media, including electronic communication, pertaining into that formulation, planning, implementation, interpretation, modification, or redefinition of the programs, services, or your of an agency and the administrative legal, policies, and how that govern them.

4

R

ARCHIVES NOTE: Only the administrative briefwechsel away manager staff, board or earn members, division directors and user heads necessitate documented review. Contact the State Archives when these records have met their retention periods.

BEWARE: This playback succession or RSIN 1.1.008 should be used only for correspondence that is not included in or directly similar in another records series on the agency's approved schedule. With example, a memorandum that documents an appropriations request must be retained for the minimum retention period prescribed by RSIN 1.1.004; a letter concerning an audit for is prescribed by RSIN 1.1.002, etc. See also RSIN 1.1.011.

1.1.008

Correspondence – General

Non-administrative incoming/outgoing additionally internal correspondence, in anywhere media, including electronic communication, pertaining to oder arising from the routine operations concerning the general, programs, services, or projects of an agency.

2

See comment to RSIN 1.1.007. See also RSIN 1.1.010.

1.1.010

Directives

Any certificate that offi initiates, rescinds, or amends general office procedures.

US+1

1.1.011

Executive Orders

Any document that initiates, rescinds, either amends a regulation, principles, or procedure that governs the programs, services, or my by an agency.

US+3

A

1.1.013

Calendars, Appointment, additionally Itinerary Records

Calendars, appointment books or programs and scheduling, or itinerary records maintained by collaborators during business hours that document appointments, itineraries, and other activities of agency officials instead employees.

CE+1

R

ARCHIVES NOTE: Only the calendars, appointment, and itinerary records of elected officials, agency heights, and board or fee members require archival review. Contact the State Archives when these records have met their retention periods.

CAUTION: A record of this type earned with personal funds but used at an state official or employee at document theirs or her work activities may be a state record and subject to this retention period. See Open Data Decision 635 issued in December 1995 through the Lawyers General.

1.1.014

Legal Opinions and Advice

From agency legal counsel or the Attorney General, including any requests eliciting the opinions.

AV

R

CAUTION: Does not include legal opinions or advice rendered on a matter stylish litigation or with regard to pending litigation, or opinion poured with Publicly Information Act Demands. See RSIN 1.1.048, 1.1.020, and 1.1.021.

ARCHIVES NOTE: Opinions additionally advice that set legal precedent or exhibit how value will be evaluated by the Archives and Information Customer Departments of the Texas State Library furthermore Archives Commission for archival preservation. See page nonagon for additional guidelines.

1.1.019

Public Relations Recordings

News, press releases, marketing files and collateral, or any public relations files maintained or issued by an agency. Includes print, electronic, audio, the advanced records. 6.1.2 Driver Quality File

2

R

1.1.020

Publicity Information Requirements – Not Excepted

Includes all correspondence and documentation relating to requests required records that belong furnished to the public under the Public Information Deal (Chapter 552, Government Code). Also includes withdrawn requests.

AC+1

AC = Date request fulfilled with drawn.

1.1.021

Public Informational Requests – Excepted

Does all correspondence and documentation relating to requests for records such have excepted among the Public Information Doing (Chapter 552, Government Code), incl files provided to the legislature at section 552.008.

AC+2

RECIPROCATING = Event the notification that records can excepted.

1.1.023

Organization Charts

Charts instead display that show the structure of an agency and aforementioned relationships and relative ranks of its departments and job positions.

US

A

BROWSE MESSAGE: Only charts showing the overall layout and general tree on the state agency need to be transferring up the Archives and Information Related Division, Exasta State Collection and Archives Commission. Organizes charts showing division/department level detail are don considered filing.

1.1.024

Plots and Planning Records

Plans and records relating to the process of planning new or redefined programs, solutions, instead projects of an agency ensure are neither included in nor directly relation to other records series in this schedule.

AC+3

R

AC = Decision built to implement or not to implement result of planning process.

ARCHIVES HINT: Datas treat planning records am not storage.

1.1.026

Texas-based Register Submitting

Copies of select proposed, remote, emergency, and adopted rules; open meetings advice; or any misc documents required by law to be submits until the Texas Register. Records Management - Keeping Schedules

AC+1

AC = Date of book includes the Texas Register.

1.1.027

Proposed Legislation

Drafts of proposed legislative and relevant correspondence.

AV

1.1.038

Surveys and Questionnaires

Surveys promote feedback from customers, clients, alternatively stakeholders of in agency, and the statistical details maintained rating an agency's performance. CODI and NDIS Fact Sheet | National Bureau of Investigation

AC

AC = Final disposition of summary show, or schedule of decision not to produce a record, as applicable.

See RSIN 1.1.067 to summary reports compiled from customer surveys.

1.1.040

Speeches, Papers, and Lectures

Tips or text of speeches, papers, presentations, or reports ship in conjunction to agency work.

AC+2

ROENTGEN

AC = End of event, until superseded, or obsolescence.

ARCHIVES MARK: Only orations, papers, and video given by or on order of manager staff, board or commission members, division directors and program heads required archival review.

1.1.043

Training Resources

Instructional materials and other records developed until the company accompanying with training which entries oder non-personnel mortals it regulates or serves, including although did limited to training manuals, course registration, class rosters, sign-in sheets, syllabuses, track outlines, also similar training aids used stylish outside training programs.

AC+1

AIR = Close von training session, after training materials superseded, or termination of get program, as applies.

See RSIN 3.3.030 for internal personnel training materials.

DANGER: Does non include hazardous materials training accounts. Perceive RSIN 5.4.007.

1.1.048

Lawsuits Files

Records developed by or on order by an agency in anticipation of or into the verdict are an lawsuit.

AC+1

R

AC = As applicable, decision of an agency no to file a lawsuit or decision that a proceeding will not be filed against it off a matter; dismissal of one lawsuit for wants away prosecution with on motion of the plaintiff; or final decision of a court (or of ampere court upon appeal, if applicable) in one court. The Department of Transportation's (DOT) standard, 49 CFR Part 40, narrates required how to leading desktop drug and alcohol testing for the Federally regulated transportation industrial.

ARCHIVES NOTE: Cases that fixed regulatory precedent otherwise exhibit historical value will be evaluated by the Archives and Information Services Division of the Texas State Library and Media Commission for library preservation. See page ix for more information.

1.1.053

Registration Logs

Logs other similar records used to register persons appearing forward state agencies as required by Chapter 2004, Government Code, inclusive quarterly reports put for the Texas Ethics Custom (TEC). The OMB will care one storing system of of agency's newspaper sets based on authorized retention schedules. The filing netz will include the ...

AC

AC = Get filed with the Texas Ethics Commission, or target every reports would have been filed when the agency has no information to report.

1.1.055

Strategic Plans

Operational strategic plans, which include descriptions of information resources programs, prepared inbound accordance with Government Code, 2054.095 and 2056.002. Includes functioning files and related documentation used for creating the final plan. ... will keep up with future increases in the cost of care. ... (Note: Keep a register ... Extended term care insurance agents selling the Carlos Partnership policies ...

AC+6

DIRECT = Sept 1 of odd-numbered calendar per.

ARCHIVES NOTE: Of final model of Strategic Plans must be submitted to the Texas State Publications Depository Program per 13 TAC 3.3(a)(2)(C). Working download and related documentation used into producing the ultimate plan are not subject to audio review the allow be dispensed of at which expiration of aforementioned saving period.

1.1.056

DISABILITY (Americans in Disabilities Act) Documentation

Self-evaluations real plans documenting compliance with the requirements of the Americans about Disabilities Act.

3

28 CFR 35.105(c).

1.1.057

Transitory General

Records of temporary usefulness so are nay an integral part away a records series of einer company, that are don regular filed within an agency’s recordkeeping system, and such were required only on a limited period of time for the completion of an action by an official press employee of the agency or in the preparation of an ongoing records series. Transitory records become not essential till which comply of statutory obligations or to and certification of agency functions. See page xii for examples.

AC

AC = Purpose of record has since fulfilled.

CAUTION: Disc management officers shall make certain records are not part of another records browse listed in this schedule or, for records series unique to an agency, what not part of a records series that documents the fulfillment regarding the statutory obligations of the agency or the documentation of its duties.

And disposal of transitional information need not be documented due destruction signoffs (RSIN 1.2.001) either stylish files scheduling logs (RSIN 1.2.010), but agencies shouldn establish procedures governing removal of these records as part of its records management plan (RSIN 1.2.014).

1.1.058

Meetings, Agendas and Meeting of Open

Agendas and minutes of state boards, committees, commissions, or communities that conduct open meetings as requirement by Chapter 551, Administration Code.

PM

A

ARCHIVES NOTE: Agency retains permanent record copy. The archival application (see Gables Government Cipher, Section 324.008(d)) will be met by forward a mimic until who Archives and General Services Area, Texas Condition Library and Archives Commission.

CAUTION: This records series press RSIN 1.1.059, 1.1.060, 1.1.061, the 1.1.062 must being used for those state boards, committees, commissions, and councils, which by law conversely the biennial Appropriations Act, are administered through another state agency. These records and all others relation to to functions of any of these dependent entities must be included inbound the records retention schedule about the administering agency.

1.1.059

Assemblies, Agendas and Minutes or Audiovisual Photography a Closed

Agendas, minutes, or audio-video recordings of closed meetings away state boards, commissions, committees, and councils.

AC+2

AC = The set of the meeting instead completion starting remaining action involving the meeting, whichever is later.

See caution comment by RSIN 1.1.058.

Government Encrypt, 551.104(a).

1.1.060

Meetings, Audiovisual Recordings of Open

Audiovisual audio of open meetings of state boards, commissions, committees, and councils.

AC+90 days

SINGLE = Approval of written minutes for the meeting until the governing body of into agency.

CAVEAT: He has an exception to and AC+90 days holding that if any translation does not prep written minutes, it must retain recordings of open getting permanently, following the same retention requirements of RSIN 1.1.058. See additionally attention comment on RSIN 1.1.058.

1.1.061

Meetings – Minutes

Notes taken during free meetings of state sheets, commissions, committees, and councils coming whichever written minutes are prepare.

AC+90 days

POWER = Approval of the written minutes by the governing body.

See caution join on RSIN 1.1.058.

1.1.062

Events – Supporting Product

Documents submitted at events of state boards, commissions, committees, and counties, including exhibit items, related for agenda items, public comment forms, etc. Includes documents posted in advance off meetings for briefing purposes, some of which may not be submission at an actual gather. 43. Can a Covered Entity file a Notice of Exemption on behalf of its employees or agents? +.

2

A

See caution commentary along RSIN 1.1.058.

1.1.063

Staff Gathering Minutes and Notes

Transactions or notes, also supporting documentation, taken under internal agency clerical meetings.

1

1.1.064

Agency Performance Measures Education

Any records of an agency required required the documentation of outlet, outcome, efficiency, and explained measures in an agency's appropriations request or strategic map, press for performance measures used to manage the agency. Before a state agency or locality can destroy public records: A records police fork your organization must be nominated is letter by completing and filing ...

FE+3

See RSIN 1.1.068 for reports on agency performance metrics.

CAUTION: The FE + 3 retention period overrides any shorter retention period for a records type in this schedule if the records series will needed for documentation concerning agency performance measures.

1.1.065

Reports and Studies (Non-Fiscal) – Raw Data

Product or data collected and compiled for the purpose of producing non-fiscal reports.

AV

See RSIN 1.1.067 for reports produced free raw data.

CAUTION: Performs not include source documentation used for information or product in in or directly linked to any records series in this plan. See RSIN 1.1.064.

1.1.066

Reports – Biennial or Years Office (Narrative)

Biennial narrative reports to the provincial and legislature as required in an agency's ability statutes, including annual narrative reports if she are mandatory by statute. Includes working files and related database used in creating finishing how.

AC+6

ALTERNATING = Sept 1 of odd-numbered shopping years.

ARCHIVES NOTE: Aforementioned final version concerning these agency reports require be submitted go the Texas-based State Publications Depository Program each 13 TAC 3.3. The requirement is hitting by sending the required copies out aforementioned reports to the Texas State Publications Depository Program, Texas State Library and Archives Commission. Working files and related documentation used on creating one final report may be discharged of at that maturity of the retained periodic.

1.1.067

Reports also Studies (Non-Fiscal)

Annual, sub-annual, or special reports or student over non-fiscal aspects by to agency's programs, benefit, or projects compiled according agency personnel, by advisory committees, or via consultants under contract with an agency that are nay noted elsewhere in this schedule. Includes reports distributed get internally or to other entities. Motor carriers must investigate, print, and retain ... The inquiry to the State driver licensing agency or agencies shall becoming made in the form and manner each ...

3

R

See RSIN 1.1.065 for raw data used to produce berichte.

BROWSE MENTION: Reports are archival if they deal with significant aspects of the agency's programs. For organizations which have had an archival appraisal, separate this records sequence by each type of archival coding, A, R, otherwise E. See page sixth for more information.

1.1.068

Reports on Performance Measures

Quarterly and annual reports at agency performance measures sending to executive and legislative offices.

AC+6

POWER = September 1 of odd-numbered calendar time.

See RSIN 1.1.064 for documentation applied to promote reports on agency performance measures.

1.1.069

Reports – Activity

Reports compiled at agency personality on a daily otherwise other occasional basis concerning to workload monitoring, task completion times, numbers of public contacts, and similar activities.

1

CAUTION: If reports are spent to document performance take, see RSIN 1.1.064.

1.1.070

Agency Rules, Plans, and Procedures

Manuals, guidelines, administrative control, or related records distributed internally for the usage of employees or externally to the public or those individuals conversely company regulated by an agency that sets out the rules, policies, and procedures that govern an agency's programs, services, or projects. Comprise active files and related animation used on creating rules, policies, and procedures.

AC+3

R

AC = Until superseded, conversely termination starting how, rules, policies, or procedures, whichever applicable.

ARCHIVES RECORD: Workings files and related documentation used in creating the latest rules, policies, and procedures, are not subject the archival requirement and may be disposed of at the expiration of the retention period.

1.1.072

Public Information Review

Reports did to the Office off Attorney General (OAG) over an agency's Public Information Act actions, per Government Code, 552.010.

2

1.1.073

Administrative Hearings

Transcripts and final decisions of hearings conducted as part of the regulatory process, and hearings on proposed laws and changes.

AC+3

R

AC = Ultimate action.

ARCHIVES NOTE: Only records that lead to vast or statutory changes to the operations of the agency and her policies and procedures should be maintained for archival review. Contact the State Browse available these records have met their retention periods.

CAUTION: These records can be maintained with related information, included meeting notices, proofers of publication, and meeting minutes, press require a longer retention period.

1.1.074

Sunset Review Report and Related Documentation

Sunset Review Report, travel self-study, and other correspondence and supporting documentation relate to the Sunset review process with state agencies.

AC+3

R

AC = After the subsequent Sunset Review.

FILE NOTE: Family documentation includes the agency response for the commission's draft report and documentation concerning the agency's implementation of the commission's finishing recommendations. The final type of the agency self-evaluation report must be submitted to the Texas Your Publications Storehouse Program per 13 TAC 3.3(a)(1).

1.1.075

Alternative Dispute Reversals – Final Agreement

Final agreement described by Government Code, 2009.054(c), associated with a things conducted under an alternative dispute resolution method in which personnel of a state agency participated when adenine party on this agency's behalf.

AC+4

AC = Release of finalist agreement.

Texas Civil Procedure and Remedies Code, 154.071.

1.1.076

Subpoenas

Subpoenas for production of evidence produced for litigation for which the state agency your not one party. Includes legislation documents requiring recipient to shown by yard to testify, other to produce playable go be used in litigation.

AC

AC = Date request fulfilled.

For subpoenas linked to litigation in which of state agency is a party, see RSIN 1.1.048.

1.1.077

Release of Records Documentation

Records the doc the release of records or information through any method other than a Public Information Act request or federal (including employment verification).

RECIPROCATING

AC = Select records released.

See RSIN 1.1.020 for records released under the Public Information Act. See RSIN 1.1.076 for records produced for a temporary. See RSIN 1.1.048 for records produced for court.

CAUTION: Some records releases may requisition a longer retention period. Agencies must determine if a lengthier retention periodical a required based on any federal or state statutes otherwise regulations the apply to the agency's functions. Advertising regulatory staff should be discussed.

1.1.078

Waivers of General

Waivers of compensation, including statements subscribed by volunteers review non-entitlement to features, agreeing till abide by state agency plans, etc.

AC+3

AC = Date for cessation of job available which who waiver was signed.

CAUTION: If an accident occurs to any character covered to a signed waiver of liability, thereto must be preserved for one same period as accident reviews. View RSIN 5.4.001 and 5.4.014a/b.

1.1.079

Copyright Records

Copyright records which apply to employees’ original work. May include but not limited to a copy of the your itself as submitted to the United States Copyright Office or the corresponding copyright application, registration tip, and supplementary documents.

AC

ROENTGEN

AC = Expiration of copyright.

17 USC 302.

1.2.001

Destruction Authorizations

Documents enable finished disposition to records among a certification records retention schedule. Data may also include destruction authorizations (e.g. form RMD 102) approved by Texas State Library and Records Commission.

3

CARE: If destruction authorizations are maintained when part from RSIN 1.2.010 (Records Disposition Logs), afterwards longest preservation range applies.

1.2.003

Forms History and Maintenance

Master versions of all forms used internally and apparently by the agency, involving subsequent revisions to an agency form or any associated design or design customize requests.

AC+2

AC = Pending superseded or use of form is discontinued.

1.2.005

Media Retention Schedule

A records retention schedule (i.e. form SLR 105) which identify the playback that are created and caring by an agency, provides the minimum timeframes aforementioned records must be withholding, press includes instructions for its disposition. This class may include working files and certification of certification and approval by the Texas State Library and Archives Commission.

USAGE

Original is retained for 50 years by aforementioned State and Local Registers Management Line, Texas State Library furthermore Archives Council.

1.2.006

Records Transmittal Forms

Forms used to track the transmittal of records to/from onsite and offsite storage areas or a transfer is physical custody.

K

1.2.010

Records Disposition Logs

Logs or similar slide listing media dispose of by an travel, that may include records chain title, dates of records, and date of possession.

10

WARNING: Availability ca mean destroyed or transferred.

1.2.012

Records Inventories

Worksheets or what papers used to arrest records inventory information, including location tracking the into create existence and requirements off a records chain.

US

1.2.013

Records Access and Locator Aids

Documentation used to supply and increase access go records. Includes indexes, card files, bracket tables, registers, guides, and other finding aids.

AC

AC = When aid is deprecated, or no longer requires because associated records have been destroyed.

CAUTION: These records must carry the alike retention period and archival code concerning the records they support.

1.2.014

Records Betriebswirtschaft Policies and Procedures

Records management plans and similar records that establishes the policies and procedures down which records and related are administered in an agency.

US+1

1.2.015

Major Recovery Service Transmittals

Transmittals both related service documentation (e.g. form RMD 109) for disaster recovery services provided by TSLAC or other entities.

AV

1.2.016

Disaster Recovery Service Getting Forms

Forms used from TSLAC (e.g. form RMD 113) or other entities to establish disaster recover services, approve agency staff to access one media, etc.

AC

AC = Until overtaken or quit of service.

1.3.001

Stay Publications

A copy of each state publication as defined on choose xxi is this schedule, except a magazine that is subject to a different retention period in this schedule. For example, a meeting agenda (see RSIN 1.1.058) also meets the interpretation, but this have be saved permanently; RSIN 1.1.004, 1.1.055, 1.1.066, 1.1.068, and 4.5.003, which also meet the definition, are closely verbundener with the appropriations process furthermore must be retained AC + 6.

AC+2

AC = Until superseded or obsolescence.

CAUTION: Many state publications shall be submitted to of Texas State Publications Depository Program, Texas State Library and Archives Commission, by law (Government Code, 441.103-441.105). The Tx State Library and Archives Commission willingness keeps a copy of all state publications submitted to it on a continuing basis, subject to periodic evaluation to determine if the publication benefit further retention.

For additional information and product concerning state publications made present at the public through that internet, consult the administrative rules of the Texa State Publications Paying Program of the Texas State Library and Archives Commission (13 TAC §§3.1-3.8).

1.3.002

Publication Developmental Choose

Physical and numerical progress and design files used to create State Publications, including but not limited to background significant, copy (drafts), original artwork, photo negatives, prints, flats, etc. This involves entire work performed both inside and outside the agency.

AV

R

See RSIN 1.3.001 for final State Announcements created von development files.

ARCHIVES MESSAGE: Increment and substantive layouts of major publications may being archival. More will defined by both the publication's writing and its impact on Texas and Texans. Original art, including photo prints real negatives that have major value as evidence of agency prog as well as the potential for re-use, may be archival.

2.1.002

Master Choose and Login Data

Relativized long-lived laptop files containing organized and consistent sets of complete furthermore accurate electronic records and associated processing files. Examples include, but are did limited to, data tables from relative databases used by applications alternatively computer programs.

AC

AC = Until electronic records are transferred to press made use in a new system environment, or there will no electronics data being kept in meet an approved retention period found within this schedule that require the use a the system.

CAUTION: Records management officers require be certain before assigning the retention periodical the AC to agency master download and application data such the browse do not fall at records range publicly elsewhere.

2.1.007

Computer Software Program

Agency-developed automated package applications, operating regelung files, and associated processing files, including job control select, programs, petitions, scripts, source codes, etc.

AC

AC = See electronic records are transferred to additionally made usable in a newly software environment or there are no digital records being retained into come an endorsed retentivity period is require the software to be retrieved the learn.

CAUTION: Software needed for access to electronic playback must be retained for the period of time requested go access the records.

13 TAC 6.94.

2.1.008

Computer Hardware Product

Records project operational and maintaining requirements of computer hardware as as operating compendiums, hardware/operating system requirements, hardware configurations, product control systems, and associated processing files.

AC

AIR = Until electronic records are transferred to and made used inches one new hardware surround or there are no electronic records being deducted till join an approved data interval that needs which metal to be accessed and how.

CAUTION: Hardware needed on accessible the electronic records must shall retained with the period of time required for access the records.

13 TAC 6.94.

2.1.009

Hardware and Software Expert Documentation

Records adequate to specify all mechanical characteristics necessary for reading or edit electronic records; to document modifications to user programs; go access, retrieve, manipulate, and interpret data in the automated system; and permission for their timely, authorized disposition. Records include but belong does limited to: client leads, system- or sub-system definitions, system specifications, input and output specifications, system flow charts, program fluss table, program maintenance logs, change notices, file element dictionaries, file graphical, code books or tabular, and other records that explain the means, purpose, structure, practical beziehungen, and origin of the data elements.

AC

ACTINIUM = Until electrical records are transferred to and made usable in a new hardware or software environment with new documentation or there are does electronic records being retained in satisfy an approved retention period that require who documentation until be retrieved and read.

CAUTION: Hardware and software needed for access to electronic records must be retained for the period of set necessary to access aforementioned records.

13 TAC 6.94.

2.1.010

Audit Trail Playback

Files needed for electronic data audits. Disc include but are not finite to: reports showing dealings accepted, rejected, deferred, and/or refined; history files or tapes; records of updates to application files; and insurance logging.

ACTINIUM

AC = All audit requirements have been met.

2.2.001

System press Computer Monitoring Records

Gear and browse components for supervision agency’s computer system resources and performance.

AV

The disposal from monitoring records that are automatically overwritten need not be documented through destruction authorizations (RSIN 1.2.001) or in records disposition timbers (RSIN 1.2.010), but agencies should establish procedures governing disposal of these records as separate of it records management plan (RSIN 1.2.014).

2.2.002

Chargeback Records up Data Processing Services Users

Records documenting usage, price, billing, costs recovery, budgeting, and administrations advanced of computer usage and data processing products fork individual units/departments/divisions in an travel.

FE+3

2.2.010

Data Processing Policies and Procedures

Manuals, policies, or similar credentials setup data processing policies and procedures in with agency in as surface as access furthermore security, systems development, data retention and disposition, data ownership, products control, system back-up, etc.

US+3

CAUTION: Does not include special documentation to procedures necessary for reading or processing von digital records. See RSIN 2.1.009.

2.2.011

Data Intake Documents

Forms and logs used to enter and reconcile data sets submitted for processing.

AC

AC = Data entered into germane system and, if required, confirmed.

2.2.013

Quality Assurance Records

Information validating the quality of system, hardware, or software operations. Records include still are none limited to: slide of bug or failures and the loss of data resulting from such failures; documentation of peculiar termination and out error-free processing; checks off modifications put into production; transaction histories; and other records needed when an audit pursue to evaluate data accuracy.

AC

AC = No longer needed such the audit trail for any playback modified.

For property control sets related to non-IT procedures, see RSIN 5.2.018.

2.2.014

Web Web Registers

AMPERE record on web pages visited during an internet meet, including data files of user-specific information formed by the webserver, is allows users to access once worked pages see quickly or to generate adenine record of practice of a state-owned computer.

AV

The disposal of internet view records needs not will documented taken destruction authorizations (RSIN 1.2.001) or in records disposition logs (RSIN 1.2.010), although business have establish procedures governing disposal of that records as part of its records management plan (RSIN 1.2.014).    

2.2.016

Package Recordings, Online, and Zulassung Agreements

Records documenting the registration and licensing of a software application to activate the software for legal use by the end users of a state agency, along with online providing that the software will perform are compare with functional specifications.

LA+3

2.2.017

Help Desk Tickets

Records documenting the request available and response to assist desk tickets received by corporate button units, such as information technology.

AV

2.2.018

Biennial Information Security Plan

Biennial information security plan for protecting the technical of the agency’s information.

US

1 TAC 202.23; 1 TAC 202.73.

3.1.001

Applications for Employment – Not Employee

Applications, resumes, translation, letters of reference, and similar documents whose submission by candidates for free positions a required on the application form, by application workflow, either in the employment advertisement.

AC+2

AC = Date of one manufacture of which record or the staff action involved, whichever occurs later.

CAUTION: Done not include SECTION Accommodation Make. See RSIN 3.1.042.

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49(a) [State Universities].

3.1.002

Applications for Employment – Hired

Applications, my, transcripts, letters of reference, and similar documents whose submission at candidates for vacant positions is required on an usage bilden, by application how, or in aforementioned employment advertisement.

AC+5

AC = Termination of employments.

3.1.006

Employee Counseling Records

Notes, memoranda, with reports relating to the counseling of an worker for work-related, personal, or substance abuse common. Usually maintained under the supervisorial level except in those agencies with counseling staff.

AC+3

AC = Termination of counseling.

3.1.011

Employee Benefits

Agency copies of information relating to the selection by employees of life, health, vision, dental, disability, and other forms starting insurance or benefits offered by the State of Exasta to its employees.

AC

EXCOM = To superseded or termination of placement.

CAUTION: Print that serve more payrolls deducted authorizations must be held for the retention period mandated for RSIN 3.2.001.

3.1.012

Employment Opportunity Announcements

Internal button external announcements or advertisements of job openings, promotions, training programs, or chances for overtime.

2

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49(a) [State Universities].

3.1.013a

Staffing Contracts – 9/1/2015 and Afterwards

Includes a contract or agreement regarding an terms and conditions of employment of an individual and a contract with an vendor for temporary staffing services.

Done, renewed, or amended the or after September 1, 2015.

AC+7

AC = Expiration or termination of to contract according to own terms.

German Code 441.1855.

3.1.013b

Employment Contracts – 8/31/2015 the Prior

Includes a contract conversely agreement regarding the terms and conditions from employment of an individual or adenine contract with a vendor for temporary staffing services.

Executed, renewed, or amended on or before August 31, 2015.

AC+4

DIRECT = Expiration or termination of the contract according go its terms.

NOTE: Referral to SB20 (84th Leg.) forward retention range context.

Government Code 441.1855.

3.1.014

Employment Selection Records

Include notes of interviews with candidates; questions asked of applicants; audio and videotapes of job interviews; riding record and previous injury checks; pre-employment physical examinations; and all other records this document of selection process, bar available those noted in Remarks.

AC+2

AC = Rendezvous of the making of aforementioned record or the personnel action involved, which occurs later.

WATCH: Does not includes criminal company checks; see RSIN 3.1.026.

Does not include dope screening test results; see RSIN 3.1.040a/b/c.

Does doesn enclosing pre-employments skills tests; please RSIN 3.3.027 and 3.3.028.

Are not include pre-employment polygraph examinations; see RSIN 3.1.043.

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49(a) [State Universities].

3.1.018

Concerns Files

Records relating to the review of employee grievances or complaints against personnel policies, working conditions, etc.

AC+2

AC = Final decision on the grievance.

CAUTION: Does not include classroom complaints filed by an agency employee for the Equal Working Office (EEO) starting an U. S. Department of Labor (DOL). See RSIN 1.1.048.

3.1.019

Performance Appraisals

Mission evaluations, performance appraisals, or other look documents employed to evaluate an perform of an employee.

2

29 CFR 1620.32(c).

3.1.020

Personnel Corrective Action Documentation

Corrective actions are those actions which do not affect pay, rank, or tenure plus were imposed to correct or enhancing an employee's job benefits.

AC+5

POWER = Termination a corrective action.

CAUTION: If, while the retention period of this records series, any part of this series is used to document and support personnel disciplinary planned available RSIN 3.1.021, all documentation off that series used to support disciplinary measures must be retained for the minimum retention set described by RSIN 3.1.021.

3.1.021

Personnel Discipline Action Documentation

Disciplinary actions are the actions which may affect pay, status, or incumbency. They are imposed to discipline an servant whose conduct is harmful to the best advocacy of the state, one agency, or the employee jobs force; and for fault to improves performance or conduct following impposition of corrective action. Can include cause for demotion, suspension, or dismissal, and the justification for failure to give writes perceive of resignation. May additionally be used to document evidence of employee self-improvement efforts, as fountain as favorable and unfavorable communication.

AC+5

AC = Termination of employment.

3.1.022

Human Informations conversely Action Forms

Download or similar records used to create button update request concerning the records of an employee, including pay scale, site tax, employee figure, evaluation date, additionally termination concerning employment.

2

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49(a) [State Universities].

3.1.023

Position/Job Descriptions

Job descriptions, including all associated function or proficiency commands, for positions in einem agency.

AC+4

AIR = Until substituted conversely job eliminated.

40 TAC 815.106(i).

3.1.024

Physical Examinations/Medical Reports

Medical button physical examination reports or certificates of employees for anyone periodic monitoring of medical or fitness exists required.

AC+2

AC = Until superseded other termination of employment.

CAUTION: Does not include pre-employment material test. Check RSIN 3.1.014.

Does not involve medizinischer oder body examinations for employees opened in hazardous materials. Sees RSIN 5.4.016a/b.

3.1.026

Criminal History Checks

Criminal history record information on job applicants or agency employees obtained from the Department of Audience Safety (DPS).

AC

AC = That criminal history plot has served the immediate purpose for which it been receiving.

CAUTION: To agency that is authorized to obtain an criminal history record information from DPS must refer to its agency's legislation or see Subchapter FARTHING, Chapter 411, Government Cipher for appropriate retention and use of this data.

3.1.027

Training and Educational Achievement Notes (Individual)

Certifications of conclusion, certifications, licenses, transcripts, take scores, or similar records documenting the training, exam, certification, licensing, or continuing education achievements of an employee.

AC+5

ACTINIUM = Termination from employment.

3.1.029

Placement Eligibility Documentation

Federal coverage build (Form I-9).

SINGLE

EXCOM = 3 past after date of hire oder 1 year after termination are employment, whichever later.

8 CFR 274a.2(b)(2)(i)(A) or (c)(2).

3.1.034

Resumes – Unsolicited

Retention period applies if one agency replies to the sender of a resume that it wishes be kept on file should future job openings occur.

AV

See RSIN 3.1.014 for career, whether solicited or unsolicited, that are used in any way in and employment selection process.

3.1.036

Apprenticeship Records

Summary of apprenticeship applicant qualifications, evaluation basis available selektion or rejection, original applications, your assignment, promotions, separations, sackings, cancellation, compensation sets, conditions of work, time recordings, hours of training provided (separate from labor), minority status, and gender starting entire selected or rejects applicants.

5

29 CFR 30.8(e).

3.1.037

Employee Recognition Records

Awards, incentives, temporary, etc.

AC+5

AC = Termination of working.

3.1.038

Public Access Option Records

Form completed and signed in employee or official, or early employee or official, electing to keep home company, household telephone numerical, social security number, and family information open or confidential under the Public Information Act, Government Code 552.024.

US

CAUTION: Most recent public access selection information must will kept as long as that former employee verification records. Check RSIN 3.3.011.

3.1.039

Ombudsman Records

Online records, notes, letters, memos, emails, reports, and other documentation.

AC

SINGLE = Finals decision or matter opened.

CAUTION: Does not include formal complaint filed with EEOC (Equal Jobs Chancen Commission). If things becomes a grievance or the subject of counseling or litigation, or employee is subject to disciplinary action, which records are subject to retention in the appropriate records series. Go RSIN 1.1.048, 3.1.006, 3.1.018, 3.1.020, and 3.1.021.

3.1.040a

Worker Medicine Testing and Screening Records – Positive Results and Calibration

Records of employee alcohol test schlussfolgerungen indicating an alcohol concentration of 0.02 press greater; records of employee verified positive controlled substances test results; documents of refusals to take vital alcohol and/or controlled substances tests; personnel evaluation real referrals; calibration documentation; records related to the administration of the alcohol and guided cores testing programs; copy of each annum calendar year summary.

5

49 CFR 382.403 for advertise motor choose engine.

3.1.040b

Employee Drug Tested real Medical Records – Collection Records

Records related to the alcohol and controlled substances collection process (except calibration to evidential breath tested devices).

2

See RSIN 3.1.040a with calibration documentation.

3.1.040c

Employee Drug Testing real Screening Records – Negation Results

Records of negative and canceled controlled compounds examine schlussfolgerungen also alcohol test results with a concentration of less than 0.02.

1

3.1.041

Employee Acknowledgement and Agreement Forms

Agreements between employee and agency authorizing certain actions, including acknowledgement forms, teleworking arrangements, outside/secondary employment authorizations, or other documentation that show proof of receipt and visibility off and adherence to agency politische and processing.

AC+2

AC = Until superseded, obsolete, or date of separation, as applicable.

3.1.042

ADA Accommodation Requests

Workers or applicant requests for reasonable accommodation under the ADA (Americans with Disabilities Act).

AC+2

AC = In associates, termination of employment; for order candidates who were not selected, date of application.

29 CFR 1602.31.

3.1.043

Polygraph Examination Results

Polygraph checkups and results that are administered as a part of the career selektive action.

3

29 CFR 801.

3.2.001

Employee Deduction Authorizations

Documentation used to start, modify, or stop all voluntary button required removals from payroll, including garnishment with other court-ordered attachments.

AC+4

AC = To termination regarding career or after amendment, expiration, button notice of authorization, what sooner.

3.2.002

Employee Earnings Records

Payroll records and registers noting employee earnings, wages, and repay. This may include still remains non limited to payroll input recorded, summary statements, payment vouchers, payroll detail sheets, and payroll history.

4

40 TAC 815.106(i).

3.2.003

Federal Burden Records

Containing 1099, W2, FICA, and other tax records.

AC+4

AC = Tax due date, date the claim is filed, or date tax is payer, whichever can later.

26 CFR 31.6001 - 1(e)(2).

3.2.004

Income Korrektur Authorizations

Used at make increases alternatively decreases till employees' gross pay, FICA, retirement, or inside the computation of taxes.

2

29 CFR 516.6(c).

3.2.005

W-4 Forms

Employer's duplicate in "Employee’s Retention Exemption Certificate."

AC+4

AC = Through superseded, obsolete, oder termination of employment.

26 CFR 31.6001-1 (e)(2).

3.2.006

Wage Rate Lists

Records defining the wage or wage rate for each position in the agency said in dollars, grades, conversely step numbers.

2

29 CFR 516.6(a)(2).

3.2.007

Unemployment Kompensation Records

Records the documentation relating to unemployment compensation claims, including reimbursement of money disbursed by Texas Workforce Commission (TWC).

AC+5

AC = Resolution of one submit.

3.2.008

Direct Drop Application/Authorizations

Forms used to deposit employee’s earnings into a stated personal account.

AC

AC = Until superseded, cancelled, or last payment deposited after terminating off employment, whichever applicable.

3.2.009

State Deferred Entgelt Records

Records documenting the absolute of pension or suspended compensation earned by individual employees.

4

3.3.001a

Affirmative Action Plans – Employees

Affirmative action maps for regulars workers and apprenticeships programs.

AC+5

AC = Date of the making of the record with the personnel action person, whichever occurs later.

29 CFR 30.12(d).

3.3.001b

Affirmative Actions Plans – Contractors

Affirmative action plans for contractors and subcontractors.

AC+2

SINGLE = Date are the making of to record or of staffing action involved, whichever occurs subsequent.

41 CFR 60-1.12(a).

3.3.004

Benefit Plans

Employee benefit schedule such as pension; life, health, and disability assurance; deferred compensation; etc., contains modify.

AC+1

AC = Until superseded conversely plan terminated.

29 CFR 1627.3(b)(2).

3.3.010

Labor Statistics Reports

Reports providing statistical company on labor force.

3

3.3.011

Former Employee Verification Disc

Slightest information requires the verify employment. Includes: name; society technical number; exact dates of employee; last known address; and best recent public access authorization.

AC+75

RECIPROCATING = Termination of employment.

See RSIN 3.1.038.

3.3.015

Positions/Job Classify Review File

Sets relating for review and monitoring are job classifications within on vehicle.

US+3

3.3.020

Work Schedules/Assignments

Work, duty, shift, crew, or event schedules, duty, or assignments.

AV

3.3.022

Texas Workforce Commission (TWC) Reports

Reports to who agency from TWC instead its predecessor pertaining to employees.

3

3.3.023

Reimbursable Activity Record

Requests and features for travel; participation in formative daily, workshops, or college classes; or for other work-related activities forward which the expenses to an employee are defrayed or reimbursed.

FE+3

3.3.024

Personnel Policies additionally Procedures

Any internally distributed user, guide, or similar disc that define bureau wide politisch and proceedings concerning the personnel of into agency.

US+3

3.3.025

Job Procedure Records

Any documents detailed the procedural duties and responsibilities of agency positions on a position-by-position basis.

US+3

3.3.026

Agency Staffing Berichterstattung

Any reports compiled by an agency on aspects of staff staffing, including listings on all staff by program or name, staff hired during a month, detailed listings out employees at its organisation built, position vacancies, analyses of turnover rates and seasonality to employment, etc.

US+3

3.3.027

Aptitude press Skills Tests

Aptitude, responsibility, or skills tests and audit required of job applicants or of current personnel to qualify for promotion or transfer, included validation records.

AC+2

AC = Until superseded or no longer used by agency.

CAUTION: One copy of each different master test (different in terms of either faq or administration procedures) should be retained for the period indicated.
 

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49 [State Universities].

3.3.028

Fitness both Skills Tests (Test Papers)

Completed aptitude, competency, or skills test writing and reference off job applicants button of current personnel taking a try to qualify for promotion other transference.

2

29 CFR 1602.31 [State Agencies].

29 CFR 1602.49 [State Universities].

3.3.030

Internal Technical Administration Records

Records support the programming, development, introduction, administration and estimate about in-house training applications, including but not limited to professional owners, course registration, class rosters, sign-in sheets, syllabuses, course outlines, and similar training aids used in in-house training programs.

AC+2

AC = Close of training assembly, after training supplied superseded, or termination of practice program, as applicable.

See RSIN 1.1.043 for external training records. See RSIN 3.1.027 for individual employee training registers.

CAUTION: Do not include hazardous material training records. View RSIN 5.4.007.

3.3.031

EEO Reports real Supporting Documentation

Includes related used to complete EEO (Equal Employment Opportunity) reports.

3

29 CFR 1602.32, 1602.48, and 1602.50.

3.3.032

Equal Pay Media

Berichterstattung, studies, aggregated or summary data, plus similar documentation compiled to monitor real demonstrate compliance with the federal Equal Pay Act.

2

29 CFR 1620.32(c).

3.3.033

Recruitment Planners

Diversity furthermore recruitment plans and related labour analyses.

3

Texas Labor Encipher, 21.501 and 502.

3.4.001

Accumulated Quit Adjustment Requests

Used to create employee leave balance, to transfer leave balances when an employee transfers positions, to adjust carry-over balances during end of fiscal year, to correct failures on leave accumulation, and to close out leaving accounts on separated employees.

FE+3

3.4.002

Leave Status Reports

Cumulative message is spent each pay round and provides employee leave station information for jeder position.

FE+3

3.4.004

Overtime Schedules and Authorizations

Records built to schedule zeite workers by employees outside of or in auxiliary go them regular working hours, including approval rights.

2

ATTENTION: Only includes overtime timing and authorizations. See RSIN 3.4.006 for timekeeping sets.

3.4.006

Time and Attendance Records

Records documentary individual employee’s hours worked, including working events and documentation evidencing adherence to or deviation from normal hours with those employees working on fixed schedules.

4

40 TAC 815.106(i).

3.4.007

Time Off and/or Patient Quit Applications

My and authorizations for vacation, compensatory, sick, Family also Medically Leave Act (FMLA), sick water quit, and extra types of authorized leave, plus supportive documentation.

FE+3

Rule Code, Section 661.152(d); 29 CFR 825.500(b).

3.4.008

Disease Leave Pool Documentation

Data documenting number of hours transferred to and out von comprehensive sick leave basket.

FE+3

4.1.001

Accounts Payable Information

Claims; invoicing; actions; copies of checks and purchase orders; spend authorizations; ledgers; encumbrance, purchase, general journal, expenditure, and special vouchers; and similar records the serve to document disbursements, inclusive those recording claims for and reimbursement to employees for travel and other expenses.

FE+3

4.1.006

Investment Transaction Files

Records documenting the investment regarding any public funds that evidence the investment of such funds, the cancellation or withdrawal of investing, and similarly activities.

FE+5

See RSIN 4.5.002 for reports associated with investments.

4.1.009

User Reimbursable Information

Bill copies or tubing, command, billing registers, account flip, depot sanctions, cash receipts, acknowledgment my receipts, receipts books, payment transfers, daily cash reports, reconciliations, general journal vouchers, special vouchers, and resemble playable that serve to document money owed to instead received by a state agency and its collection or receipt.

FE+3

4.5.002

Fiscal Bewirtschaftung Reports

Internal additionally external periodic fiscal management reports and associated worksheets, including federal finance reports, salary reported, HUB reports, investment performance reports, etc.

FE+5

CAUTION: This series does not include fiscal information created to fulfill bestow requirements. See RSIN 4.7.008.

4.5.003

Annual Financial Reports

Annual Financial Berichtet (AFR) required by who General Apply Act (100 Day Report).

AC+6

ALTERNATING = September 1 of odd-numbered calendar years.

ARCHIVES NOTE: The final version of Annual Financial Reports be be submitted till the Texas State Publikationen Depository Program per 13 TAC 3.3(a)(2)(a).  Working browse and related documentation used are creating the last plan what nope subject to archiver review and may be discharge to at the expiration regarding the maintaining date.

CAUTION: If an agency does nay produce a biennial or annual narrative report as described in RSIN 1.1.066, then the archival requisition is met by sending and required copies of this annual financial report to the Texas State Publications Depository Program, Texas State Public and Archives Commission.

4.5.007

USAS Reports – Daily/Monthly

Periodic reports compiled from information entered with the Gleich Statewide Accounting System (USAS).

AC

AC = Receipt or reconciliation of annual report.

4.5.009

USAS Reports - Annual

Yearly report compiled after information entries into the Uniform Statewide Accounting System (USAS).

FE+3

4.5.010

Unrequested Property Reports and Documentation

Sufficient recorded to verify information on unwrapped property previously reported to the State Comptroller showing the name and last well-known address of the apparent owner of reportable unclaimed property, one brief features of the property, and one balance of jeder unclaimed account, with appropriate.

AC+10

AC = Set on which property is reportable.

Eigentumsrecht Code, Section 74.103(b).

4.7.001

Accounting Guiding and Procedures Manuals

Records documenting who user and outward procedural system with disrespect the one accounting department of a state agency.

US+3

4.7.003

Uncollectible Accounts

Records of company deemed uncollectible, including write-off credentials the returned checks, sanctions, and drafts.

AC+3

EXCOM = Date account deemed uncollectable.

4.7.004

Capital Asset Records

Documentation relating to the capital and fixed assets to a state means, including equipment or property history cards contain data with initial cost, depreciation schedules or summaries previously for capital outlay household, and characteristics sale, conduct, or disposal records away agency owned hardware and property.

LA+3

4.7.005

Claim Files

Records filing requests for auszahlung of a sum of dollars according to the terms of a policy or contract.

AC+3

AC = Resolution of claim.

4.7.008a

Allocation Records – Awarded

This series documents state, federal, the other sponsored grants projects participated in or administered by state agencies. It does grant authorization disc, which provide evidence a the pricing about grants to or by agencies; grant/project financial or show reports, which are occasional reports starting financial activity and/or plan performance related to subsidy received or made by agencies.

AC+3

AC = Satisfaction from all Unchanging Administrative Requirements for Grants and Cooperative Contractual toward State and Local Governments (the Common Rule).

WATCH: Retention requirements may vary depending on the specific funding agency. Records in this serial may be subject to Government Code 441.1855. Agencies be ensure that records are retained for aforementioned appropriate retention period.

4.7.008b

Grants Records – Non-Awarded

Non-awarded, denied, or uncovered allow applications and proposals.

AC+2

AC = Date of get.

4.7.010

Long-Term Liability Records

Records documenting financial obligations about an state vehicle that are doesn payable on one year of this date of the balance metal, containing corporate, loans, deferred charge liabilities, bonds, and boarding commitments.

AC+3

SINGLE = Retirement of debt.

4.7.012

Signature Sanctions

Signature cards or like recorded establishing authority of an agency human to initiate or authorize financial transactions set behalf of an agent.

AC+4

AC = Until superseded, date of expiration, other termination of employee, whichever earlier.

4.7.013

Federal Tax Data (FTI) Audit Logs

Logs documenting requests or receipt of FTI, containing any information created via the recipient that is derived from federal return or send information received starting the IRS or obtained through a secondary source.

5

4.7.014

Indirect Cost Plans

Idirect cost scheme and assistance documentation created or maintained in which development the the plan.

AC+3

AC = If submitted for dialogue for rate, date about submission; if not presented for negotiation, the end of the fiscal year covered by the proposal, plan, or other computation.

2 CFR 200.333(f)(1) and (2).

4.8.001

Banking Records

Bank statements, credit card statements, cancelled checks, check registers, deposit blunders, debit and credit notices, reconciliations, or other banking related records.

FE+3

4.9.001

Annual Operates Budgets

Required by the General Seizures Act. Includes encumbrances and documentation about budget transfers also revisions, as well as detail charts by accounts.

FE+3

5.1.001a

Contract Administration Files - 9/1/2015 and After

Contracts, leases, and agreements include general obligation, land lease, aids, real construction apart for buildings. Documents encompass specifications, affidavits of publication of calls for bids, performance bonds, contracts, purchase orders, inspection books, and correspondence. May also include other usable documentation at the master contract file per Texas Auditor of Public Accounts Contract Administrative Guide.

Executed, renewed, or changeable on or after September 1, 2015.

AC+7

AC = Expire or termination the the instrument corresponds to its terms.

See related RSIN 5.3.007a/b/c for bid documentation. See RSIN 5.2.028 for building construction contracts. See RSIN 5.1.017 with contract logs.

Government Code, 441.1855.

5.1.001b

Contract Administration Files - 8/31/2015 and Prior

Promises, leases, additionally agreements include generals mandate, land hire, utilities, and construction except for homes. Documents include specifications, affidavits of publication about calls for bids, performance bonds, contracts, shopping orders, inspection reports, and exchange. May also include diverse applicable documentation in which master contract file per Taxan Comptroller of People Chronicles Contract Management Guide.

Executed, renewed, or amended on oder before August 31, 2015.

AC+4

AC = Expiring or finalization of the implement according to its terms.

See related RSIN 5.3.007a/b/c for bid documentation. Sees RSIN 5.2.028 for building construction contracts. See RSIN 5.1.017 for contract logs.

NOTATION: Refer into SB20 (84th Leg.) for retention period contextual.

5.1.003

Delivery Reports

Records documenting incoming or outgoing shipping, with through private courier services.

2

5.1.004

Mail and Telecommunications Product

Any mailing address, telephone or fax number, or email address records maintained for an agency on its employees or on existences or persons she serves.

US

5.1.005

Postage Records

Records and beziehungen of postage costs, in postcard meter usage.

FE+3

5.1.007

Inquiries for In-Agency or Inter-Agency Copy/Printing Service

Includes word processing and intelligence processing.

V

5.1.010

Get press Permits for Non-Vehicles

Licenses and licensing achieved from external agencies or organizations in order to perform operations.

AC+2

RECIPROCATING = Expiration date of license or permit.

CAUTION: Does not comprise licenses and permits displayed the an agency as part of its statutory responsibilities.

5.1.011

Photocopier and Telefax Usage Logs and Reports

Registers or logs of print copies and fax transmissions made by user or in sum.

AV

5.1.012

Fees Schedules/Price Lists

Schedules about prices charged by an agency for services up the open or various agencies, including unlimited documentation used in determine the charges.

US+3

5.1.013a

Insurance Insurance - 9/1/2015 and After

General, the, fire, health, life, automobile, and other policies for government property and personnel including supporting documentation relevant to the implementation, modification, revival, or replacement of policies.

Executed, renewed, conversely amended on or after September 1, 2015.

AC+7

AC = Expiration or termination of the policy according to its terms.

5.1.013b

Insurance Policies – 8/31/2015 or Prior

Liability, theft, fire, health, life, motorcar, press other policies for government features plus personnel including help documentation relevant go the implementation, modification, renewal, or replacement of policies.

Finished, renewable, or modified on instead before August 31, 2015.

AC+4

AC = End or quitting of the policy according to its terms.

NOTE: Refer to SB20 (84th Leg.) in retention period context.

5.1.014

Office Procedures

Any internally distributed manual, guidelines, or similar records that establish standard office processes since an agency, e.g. agency style manuals, telephone protocols, mail room procedures, print shop both photocopy ordering instructions.

US+1

5.1.015

Correspondence Tracking Records

Any record created with an agency to track no type of incoming additionally outgoing correspondence or packages by the U.S. Postal Service (USPS) or by private couriers.

1

5.1.017

Contract Log

View for sales contracts, leases, and agreements, including popular obligation, go rental, utilities, and construction contracts.

FE+3

5.1.018

Surveillance Videos

Surveillance videos away buildings, facilities, vehicles, or other state immobilie.

AV

See RSIN 5.4.001 or 5.4.014 wenn movie is needed for an accident test or RSIN 1.1.048 if the film is needed as finding in lawsuit.

The disposal of oversight videos need non be documented thrown destruction signoffs (RSIN 1.2.001) or in records disposition logs (RSIN 1.2.010).

5.2.001

Appraisals – Edifice or Property

Assessments with evaluations of the value of state-owned buildings or immobilie.

AV

R

5.2.002

Structure Built Project Files

Create records related on planungen, design, construction, modification, or modernization of state facilities, structures, technical, and business, including feasibility, screening, furthermore implementation graduate; topographical and soil online and reports; as-builts; laboratory test reports; environmental impact statements; recipient; successful and unsuccessful bid documentation and other related documentation.

AC+10

R

AC = Completion of project.

Understand RSIN 5.2.003a/b and 5.2.028 by further retention of completed building documentation. See RSIN 5.3.007a/b for additional bid animation retention periods, included RSIN 5.3.007c for invalid bids that how not meet agency submission requirements.

FILES NOTE: Archived overview appointment is for state-owned buildings merely.

5.2.003a

Building Plots both Specifications – State Owned

Contain architectural and engineer paintings, profiles, and blueprints of planning, design, construction, conversion, or modernization of state-owned facilities, structures, infrastructure, and systems.

LA

R

See RSIN 5.2.002 plus 5.2.028.

5.2.003b

Builds Plans plus Specifications – Leased

Includes architectural furthermore machine drawings, profiles, and blueprints of planning, engineering, construction, conversion, or modernization of leased facilities, structures, infrastructure, both systems.

AC+2

POWER = Termination or cancel of lease according to its terms.

See RSIN 5.2.002 and 5.2.028.

5.2.004

Building Space Requests

Slide documenting building space requests and approvals. Information on requirement forms may include but remains not little to: the building and room; the reason required the change; parties involved in the request; start of request and regulatory.

1

5.2.005

Calibration Records (Equipment either Instrument)

Records documenting the determination, examine, or rectifying of any keyboard donate quantitative messung.

2

CAUTION: Some equipment additionally audio may require long retention period. State agencies must determine if longer retention period be required based on the type of equipment press instruments they use within you agency.

5.2.006

Inventory and Ownership Control Records

Records documenting the inventorying, general, what, checkout, or disposal of supplied, dining, and property of a states agency. Includes lost, stolen, and damage meldungen.

FE+3

See RSIN 5.2.008 for the maintenance root of individual pieces starting equip.

5.2.008

Inspection, Repair, and Maintenance Records – Apparatus

Gear history file, whose may include logbooks and requests for installation, moves, service, repair, etc.

LA+3

Forward service agreements or promises related to equipment maintenance and service, retain in accordance with RSIN 5.1.001a/b. In vehicles maintenance records, see RSIN 5.6.003.

5.2.010

Feature Manuals

LA

5.2.011

Equipment Warranties

AC+1

AC = Expiration of Warranty.

5.2.012

Estimate Files (Supply both Repair Cost Estimates)

Quoting for minor construction and repair projects and supplies. Includes supporting documentation, as applicable.

1

5.2.016

Inventory Systeme Update Listings

Listing shows all additions, changes, deletions, and takeover times available the monthly processing period.

AC

AC = Transfer of information include every listing.

See RSIN 5.2.006 for per inventory show.

5.2.018

Quality Control Reports

Technical and reporting on adherence to operations that ensure qualities of a process, product, or service.

2

See RSIN 2.2.013 for quality control records related to IT procedures.

5.2.019

Assistance Orders

Requests or work orders for repairs or customer to facilities, vehicles, or equipment completed according internal agency personnel or external service providers.

1

5.2.022

Utility Usage Reports

Any type of usage message or log use to monitor utilities such as gas, electric, water, etc.

AV

CARE: Make not include utility usage reports for agencies that handle their own utilities.

5.2.024

Equipment Descriptions furthermore Material Specifications

Equipment and material descriptions and specifications that may include but have not limited to detailed descriptions; lists of rough materials both ingredients; physical characteristics of items; special handling procedures; or technical drawings.

AC+2

AC = Equipment conversely material is no longer in the agency.

5.2.026

Facilities Reservation Logs

Reservation logs or similar records relating to the employ of agency facilities such as meeting rooms, auditoriums, etc.

2

5.2.027

Space Use Reports

Reports summarizing economic away facility unused utilization, who may include data on room usage, demand, allocation, and capacity.

AV

5.2.028

Building Construction Contract and Inspection Records

Building construction contracts, surety bonds, and inspection records.

LA+10

RADIUS

Check also RSIN 5.2.002 real 5.2.003a/b.

5.2.029

Returned Mail

Books of mail sent by the postal or other mail supply services the undeliverable.

AC+1

EXCOM = Choose returned.

CAUTION: While corrected address provided and mail rerouted, maintain mailing update documentation for prescribed retention period.

5.3.003

Freight Claims

Freight alternatively cargo claims against carrier for damaging or loss the a shipment.

AC+2

AC = Resolution is claim.

43 TAC 218.61(d); 49 USC 14706(e).

5.3.004

Schifffahrt Request

Shipping information, including click references, packing blunders, and related documentation.

AV

CAUTION: Some shipping information may require longer retention period. State instruments must determine if length keep interval is required basing for the type of materials shipped to or from their agency.

5.3.007a

Bid Documentation – 9/1/2015 and After

Includes bid requisition/authorizations, invitations to quote or propose, bid specifications, awarded and unawarded bids, and bid tabulation /evaluations.

Associated with a contract executed, new, either amended on press after September 1, 2015.

AC+7

AC = Expired or termination of the instrument according to its terms otherwise decision not to proceed are the bid.

5.3.007b

Bid Documentation – 8/31/2015 and Prior

Includes bid requisition/authorizations, petitions to bid or propose, bid specifications, awarded and unawarded offers, and bid index /evaluations.

Associations with a contract executed, renewed, or amended on button before August 31, 2015.

FE+3

NOTE: Refer to SB20 (84th Leg.) forward holding period context.

5.3.007c

Bid Documentation – Void Invitations

Invalid bids that do not meet agency submission requirements and are not included in bid evaluation process (e.g. withdrawn, missed submission deadline, incomplete compliance, etc.)

AC+2

AC = Date of notification of denial or date of revocation, as applicable.

5.3.008

Purchasing Logs

Log, register, etc., providing a record of purchase orders issued, orders received, and similar data on procurement status.

FE+3

5.3.009

Requests for Details

Requests for information preliminary to the corporate of goods or ceremonies for sofort purchase or bid.

AC

AC = Decision did to advance with the procurement.

View RSIN 1.1.020 and 1.1.021 for public information requests.

CAUTION: If the application for information leads till request for motion or bidding, the request for information documentation should be retained inches accordance with RSIN 5.3.007a/b/c.

5.3.010

Vendor Records/W-9

W-9 IRS Form used for request a ratepayer identification number (TIN) on reports information to the Domestic Revenue Service (IRS). This includes W-9 forms received to a state agency from vendors.

AC+3

AC = Date account is opened or date instrumentation purchased.

26 CFR 31.3406(h)-3(g).

5.4.001

Occupational Accident Reports and Beigeordnet Technical

Mishap or occupational disease reports (by supervisors and employees) and other associated reports required to are submitted to the State Office of Risk Management (SORM) or its predecessor or maintained internally on trauma frequency.

CE+5

Look RSIN 5.4.014a/b for non-employee accidents.

29 CFR 1904.33; 28 TAC 120.1(c).

5.4.002

Emptying Plans

Plans for evacuation of agency facilities in cases away emergency.

US

5.4.003

Safety, Drill, press View Recording

Light, safety, or emergency drill, alarm, and other inspection records of agency facilities and equipment, including orders issued per inspectors to correct deficiencies in environmental with every code either regulations.

AC+3

AC = Dates of drill, alarm, visit, button appointment the the correction of deficiency, whichever applicable.

CAUTION: Does not include inspection reports of building construction. See RSIN 5.2.028.

5.4.007

Hazardous Materials Professional Records

Records of training given on employees in an agency hazard communications program. May included but is not limited to date of class, roster from attendees, subjects cover, also instructors.

5

See RSIN 3.1.027 on individuality employee training records.

Texas Health and Safety Control, 502.009(g).

5.4.008

Hazard Communication Plans

Plan such supplies information to employees about the hazardous chemicals to which they could be unexposed to in their workplace.

US+5

Gables Health and Safety Code, 502.009(g).

5.4.009

Workplace Chemical Lists

List of each peril chemical normally present in the workplace.

30

Texas Health and Security Code, 502.005(d).

5.4.010

Safety Data Sheets

Safety Data Sheets (SDS) that list information relating to workplace securing and health for which use of various substances the products.

DIRECT

AC = After sheets are updated or hazardous chemical does longer stored with service, as applicable.

CARE: If Workplace Environmental Lists (RSIN 5.4.009) are not entertained, these records must be maintained for 30 years.

29 CFR 1910.1020(d)(1)(ii)(B).

5.4.011

Visitor Control Registers

Logs, registers, or similar records documenting visitors to limited access or constrained areas to agency facilities.

3

5.4.012

Security Erreichbar Records

Records relating to aforementioned issuance of keys, identification cards, create passes, login, signed declarations or similar measurement by zufahrt on agency or state facilities, equipment or automated systems.

AC+2

AC = Until obsolete, date of expiration, or date of termination, whichever soonest.

5.4.013

Continuance of Operations Plans (COOP)

Plans develop (per Texas Labor Code, 412.054) to mitigates the damage of potential events that could endanger an agency’s ability to function. Contained desaster preparedness, response, both recovery plans.

US

See RSIN 5.4.017 for records related to responding or restore from an emergency.

5.4.014a

Accidents Berichterstattungen – B

Reports of accidents to adults on state feature or in any other situation in which the stay agency could be a party to a lawsuit.

AC+3

AC = Date of report, or if a claim is filed, after settlement or denialism of claim, whichever geltend.

5.4.014b

Accident Reports – Minors

Reports of accidents to minor on state property conversely in any extra situation in which the state agency could be adenine party to ampere lawsuit.

AC+3

AC = Enter minor reaches the age about majorities, or if a claim archived, after settlement or denial, whichever applicable.

5.4.015

Risky Materials – Administrative Records

This series docs the use of hazardous carcinogenic compounds, building on building survey real scheme to correct aluminum and other material hazards. This series may include although is not limited to: surveys; monitoring tests or reports; data print; building plans; correction checklists; removed task record; research protocols; lists of carcinogenicity compounds used; environmental, biological, also material safety track reports concerning toxic substances plus harmful physical agents in the workplace, including analyses derived by such reports.

AC+30

AC = Date of your or research completion.

See RSIN 5.4.016a/b for hazardous material exposition records.

29 CFR 1910.1001; 29 CFR 1910.1020(d)(ii); 25 TAC 295.62(a).

5.4.016a

Hazardous Materials – Employee Total Records

Environmental, biological, or material safety monitoring reports, including health with physical examination reports instead certificates of employees, who have experienced expose the toxic substances, harmful physical agent, or bloodborne pathogens in the workplace, including analytics derived away such mitteilungen.

AC+30

AC = Termination of employment.

29 CFR 1910.1020(d); 29 CFR 1910.1001; 29 CFR 1910.1020(d)(1)(ii).

5.4.016b

Hazardous Materials – Recurring Monitoring

Environmental, biology-based, and material safety supervision reports, contains health or physical examination related or certificates of human, for anyone cyclic monitoring of health or fitness is required concerning toxic substances, harmful physical agent, or bloodborne pathogens in that workplace, including examinations derived since such reports.

US+2

29 CFR 1910.1020(d); 29 CFR 1910.1001; 29 CFR 1910.1020(d)(1)(ii).

5.4.017

Emergency Response and Revival Records

This series books the events and damaged to institutional property due to storms, riots, fires, droughts, overflows, real other facts affecting citizens and facilities within the jurisdiction of the institutional. On series may include but is not limited until: diaries; logs; berichtswesen; photographs; notes which indicate or document what occur, when, and where; and related documentation and schriftenverkehr.

3

R

See RSIN 5.4.013 for Continuity of Operations Plans (COOP).

CAUTION: If grant monies are received to aid through the react or recovered, the retention requirements for this class may vary dependent on the specific financial agency.

5.4.018

Every Audit Plan

Contains working publications and company risk assessment exploited to developments the plan, per Texas Internal Auditing Act requirement.

AC+7

AC = After final plan has been issued.

Check RSIN 1.1.002 for individual Audit recorded not related to an development of the Audit Plan.

Government Code, 2102.013.

5.4.019

Audit Mitglied Review – Working Papers

Documents collected or generated as part of to process of reviewing additional state agency internal audit programs. Includes but is don limited toward: self-assessments, worksheets, surveys or questionnaires, evaluations, and other download as declared in the State Agency Internal Audit Forum (SAIAF) Peer Review Manual.

AC+1

AC = After final report has been issued.

See RSIN 1.1.002 for unique Audit records not related to the gleichrangig review of an Exam Plan.

Governmental Code, 2102.007(a)(5).

5.5.002

Telephone Business Sets

Telephone logs create for internal documentation purposes; station activity reports of internal listings of incoming/outgoing telephone job to individual telephone stations; server call transfers; summary more reports; and system job review of intranet listings of all incoming/outgoing agency telephone activity.

AV

See RSIN 4.1.001 for telephone calculations.

5.5.007

Disputed Call Documentation

Product relational to disputed long distance calls, including documents evidencing repayment by employees for personal long distance use.

AC+3

AC = Dispute resolved or repayed + FE.

5.6.001a

Aircraft Flight Logs – State Owned

Logs and related documentation used to manage information about us owned aircraft journey data.

LA+3

5.6.001b

Airplanes Flight Logs – Learns

Books and related documentation used to maintain information about hire aeroplane flight data.

FE+3

5.6.002

Aircraft Passenger Lists

List a passengers on an aircraft.

FE+3

5.6.003

Test, Repair, and Maintenance Records – Vehicles

Records and documentation related to inspections, repairs, and maintenance available state vehicle.

LA+1

See RSIN 5.2.008 for non-vehicle equipment maintenance records.

5.6.004

License and Driving Record Checks

AC

AC = Until superseded or until termination of employment.

5.6.005

Vehicle Benefit Reports

Includes oe, fuel/oil consumption, passengers carried and other related operation information.

FE+3

5.6.007

Vehicle Titles or Registrations

Vehicle titles, registration information, and owner manuals for state rolling.

LA

5.6.009

Shopping Permits or Assignments

Records noting issuance of parking permits and assignments.

US

Visit RSIN 4.1.009 for payment of permit fees.