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 July 15, 2022, issue of the Texas Register.)

The Texas State Library and Archives Commission (commission) adopts amendments to 13 TAC Chapter 6, State Records, §6.10, Texas State Records Retention Schedules, relating to the records retention schedule for state agencies and the university records retention schedule. The amended sections are adopted with changes to the proposed text as published in the March 11, 2022, issue of the Texas Register (47 TexReg 1157). The rule will be republished.

EXPLANATION OF ADOPTED AMENDMENTS. The amendments to §6.10(a) and §6.10(b) are adopted to update, clarify, and simplify the State Records Retention Schedule (RRS) and University Records Retention Schedule (URRS) and ultimately improve retention of public records by different types of state government entities, including universities. In general, the amendments simplify and streamline both schedules by withdrawing unnecessary records series, transferring records series from the URRS to the RRS, consolidating records series when appropriate, correcting minor grammar, punctuation, and typographical errors, and improving clarity and readability of cross references, legal citations, and archives notes. In some cases, retention periods were amended to account for combined record series or to ensure consistency with applicable legal requirements and records management best practices.

SUMMARY OF COMMENTS. The commission received comments from Nohemi Ruiz with the Texas Department of Transportation, Erinn Barefield with the University of Texas Medical Branch, and Carl Haddick.

GENERAL COMMENTS:

COMMENT. One commenter made general comments about records retention and use of personal emails.

COMMISSION RESPONSE. The commission appreciates the comment, and notes that regardless of format, device, or email account used, a record is subject to retention if it was created or received by or on behalf of a state agency or an elected state official and documents activities in the conduct of state business or use of public resources.

COMMENTS ON §6.10(b), RRS:

COMMENT. One commenter asked for clarification of the impact of the proposed change to remove "division directors" from the Archives note in Records Series 1.1.013.

COMMISSION RESPONSE. The commission confirms that calendars of division directors are not subject to archival review. Based on past questions regarding the potential archival status of division director calendars, the state archives determined that only calendar, appointment, and itinerary records of elected or appointed officials and agency heads are subject to archival review.

COMMENT. One commenter disagreed with the proposed removal of Record Center Storage Approval Forms (RMD 106) (1.2.011) from the RRS, asserting that only the commission form is obsolete and not the record itself. The commenter recommended the series remain on the schedule for those agencies and universities that have their own records center or internal storage process but remove the specific title from the series.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the requested change. The commission determined the Record Center Storage Approval Form (RMD 106) is a TSLAC-specific form that is no longer in use; therefore, this series is unnecessary. Agencies may retain storage contracts under Contract Administration Files (5.1.001) and records storage transmittal forms under Records Transmittal Forms (1.2.006).

COMMENT. One commenter suggested that Polygraph Examination Results (3.1.043) be combined with Employment Selection Records (3.1.014) as a subcomponent of an Employment Selection Series, since part of the selection process could be polygraph testing.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the requested change. The commission determined the cross-reference is sufficient and is consistent with the other cross-references in the remarks of Employment Selection Records (3.1.014).

COMMENT. One commenter disagreed with the proposed addition of research protocols to Hazardous Materials - Administrative Records (5.4.015), stating that it confuses the original purpose for the series and recommends removing the citation added to record series.

COMMISSION RESPONSE. The commission agrees with most of the comment related to this record series. The commission removed the newly added citation, Health and Safety Code, Section 502.005(d), because it is already listed under Workplace Chemical Safety Lists (5.4.009). Research protocols was proposed to be added to the records series description during the informal comment period. Universities were previously required to retain research protocols regarding hazardous compounds for 30 years under the record series Carcinogenic Compounds Research Use Records - Administrative (14.1.001). That series was removed from the URRS. Therefore, adding research protocols to Hazardous Materials - Administrative Records (5.4.015) ensures continued retention and eliminates redundancy.

COMMENTS ON §6.10(b), URRS:

COMMENT. One commenter made 49 non-substantive comments regarding potential typographical errors, formatting errors, wording, and consistency.

COMMISSION RESPONSE. The commission appreciates the comments and has made some, but not all, corrections, as necessary.

COMMENT. One commenter suggested that a cross-reference to Award Administration and History Records (11.1.003) should be added to Records Series Award Selection Records (11.1.004).

COMMISSION RESPONSE. The commission appreciates the comment and has resolved all cross-reference inconsistencies.

COMMENT. One commenter disagreed with combining External Committee Records (11.1.008) with University Committee Records (11.1.015). The commenter stated that combining the two series would make the series unmanageable.

COMMISSION RESPONSE. The commission disagrees with the comments. External Committee Records (11.1.008) was withdrawn because those documents are not university records. University committee members may retain relevant records under University Committee Records (11.1.015). However, the commission removed "participant notes" from the record description for University Committee Records (11.1.015), as the commenter is correct that participant notes are not official committee records.

COMMENT. One commenter disagreed with deleting Photographs, Audiovisual Recordings, and Other Non-Textual Media (11.1.011) and recommended it be moved to the RRS as a catch-all for photographs that may not relate to any other record category. In the alternative, the commenter suggested that if the series is removed, references to photographs or other audiovisual recordings should be incorporated into many other records series to ensure the series is not being lost and the records are actually being captured and maintained properly. The commenter also asks whether a note about accidental or transitory photographs should be added to the description for transitory records.

COMMISSION RESPONSE. The commission declines to make the requested change at this time and believes the existing record series Subject Files - Media and Communications (11.1.014) is sufficient. However, the commission added an additional cross-reference to Transitory Information (1.1.057) for unusable materials in Subject Files - Media and Communications (11.1.014). The commission will consider adding a series to the RRS or expanding the description for Public Relations Records (1.1.019) in the future.

COMMENT. One commenter disagreed with combining University and Academic Leadership Meeting Records (11.1.016) with University Committee Records (11.1.015) stating the types of meetings covered by 11.1.016 are not committee meetings and should not be treated as such. The commenter also suggested that this category be moved to the RRS and a new series should be created for the URRS to accommodate regular staff meetings.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the change to the URRS. Records from non-committee meetings fall under Staff Meeting Minutes and Notes (1.1.063). The commission has revised the change explanation to provide better guidance about where to classify university staff/committee meetings as follows: Division director meetings at TSLAC are classified under 1.1.063. If high level planning or administrative decisions are conducted, those records would be classified under Correspondence, Administrative (1.1.007) or Plans and Planning Records (1.1.024). The commission cannot overprescribe retention of records. State agencies may decide to create a custom record series for leadership meetings rising higher than 1.1.063, but lower than meetings captured by Meetings, Agendas and Minutes of Open (1.1.058).

COMMENT. One commenter noted that a document posted on the commission's website indicating changes made noted Admissions/Enrollment Reports (15.5.002) was being withdrawn, but that the series did not appear to be withdrawn on the actual schedule. If the series was proposed to be withdrawn, the commenter disagrees.

COMMISSION RESPONSE. The commission appreciates the comment and corrected the error on the change explanation list. The commission determined not to withdraw based on informal feedback.

COMMENT. One commenter asked why the citation to 22 TAC 681.41(r) was removed from Mental Health Counseling Records (16.1.008) if the rule is still the basis for the retention period.

COMMISSION RESPONSE. The commission removed the citation because it applies to licensees not employed by agencies or institutions that maintain client records. However, the citation provides a useful benchmark for industry standards.

COMMENT. One commenter recommended removing "quarterly" from the description in Laboratory Inspection Records-Calibration Records (16.1.020) to avoid confusion or conflicts with actual requirements. The commenter also recommended adding a cross reference to other calibrations.

COMMISSION RESPONSE. The commission agrees with the comment and substituted "regular" for "quarterly" and added a cross-reference to Calibration Records (Equipment or Instrument) (5.2.005).

COMMENT. One commenter recommended removing "master schedules" from the description for Medical Logs (16.1.024) to avoid confusion with other scheduling series and updating the description for the series for general use by universities.

COMMISSION RESPONSE. The commission agrees with the comment and revised the description for 16.1.024 by broadening the language and removing the reference to potentially confusing "schedules."

COMMENT. One commenter recommended generalizing and clarifying the descriptions of Medical Records-Hospital (16.1.025) and Medical Records-Student Health Clinic (16.1.026) to avoid confusion with other related series on the URRS by removing "x-ray," "sheets," and "forms," and using a substitute description for the series that removes the phrase, "may include but is not limited to."

COMMISSION RESPONSE. The commission agrees with some of the comments and revised the records series descriptions of 16.1.025 and 16.1.026 as advised by removing "x-ray" and redundant uses of "sheets" and "forms." However, the commission declined to use the substitute description since the phrase "may include but is not limited to" implies that the list is not exhaustive.

COMMENT. One commenter recommended clarifying the AC remark for Medical Records-Hospital (16.1.025), Records-Student Health Clinic (16.1.026), and Psychotherapy Notes (16.1.034) to make it clear that the retention trigger is client's 21st birthday or 7 years after termination of services with client.

COMMISSION RESPONSE. The commission revised the AC remark for 16.1.025, 16.1.025, and 16.1.034 to improve clarity of the retention period and retention trigger.

COMMENT. One commenter recommended removing "as required by federal law and regulations, state law, and the rules of the TSBP" from the description for 16.1.031a stating it is assumed the record keeping requirements are set due to legal citations.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the change. The descriptive language emphasizes that other laws or regulations may contain important information about the types of records included in series and should be consulted as necessary.

COMMENT. One commenter recommended reclassifying records series and changing the records series item numbers (RSIN) of 16.1.027, 16.1.036, and 16.1.037 under Section 15.2 - Academic Records stating that these are residency records and not medical records under Section 16.1 - Health and Counseling Records.

COMMISSION RESPONSE. The commission declines to make changes to the referenced series in response to this comment. The commission believes the series are appropriate as currently drafted.

COMMENT. One commenter recommended adding "chart reviews" to the description for Quality Assurance Records-Health Services (16.1.035) to ensure chart information is being entered properly regarding the patient care.

COMMISSION RESPONSE. The commission agrees with this comment and added "chart reviews" to the description for 16.1.035.

COMMENT. One commenter submitted two comments recommending changes to Residents/Fellows Training Completion Records (16.1.037) by revising the title through removal of the word "Completion," using the term "Physician in Training (PIT)," clarifying the description, and adding a condition to the AC remark for those that do not complete training.

COMMISSION RESPONSE. The commission mostly agrees with this comment and revised the title to Physician in Training (PIT) Completion Records. The commission also revised the title Resident Physician Formative Evaluations (16.1.036) to Physician in Training (PIT) Formative Evaluations (16.1.036). The commission clarified the descriptions for both series and updated the AC definition to include, "or last date of training, as applicable." The commission declined to remove "Completion" from the title of 16.1.037 to differentiate the series from 16.1.036.

COMMENT. One commenter recommended revising Medical Source Data (16.1.038) to include a cross reference to Medical Records-Hospital (16.1.025) and Medical Records - Student Health Clinic (16.1.026) for the official written interpretation of the source data.

COMMISSION RESPONSE. The commission agrees with the comment and added the cross-reference to 16.1.038.

COMMENT. One commenter recommended increasing the retention period for Surgical Instrument Sterilization Records (16.1.041) from two years to three years or combining with Quality Assurance Records-Health Services (16.1.035), which also has a retention of three years.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the suggested changes at this time. The retention period for Surgical Instrument Sterilization Records was changed from three to two years to be consistent with Quality Control Reports (5.2.018) on the RRS. The commission decided not to combine 16.1.035 and 16.1.041 because 16.1.035 is related to health services, and 16.1.041 is related to a separate issue of equipment sterilization. In addition, after further review and partly in response to the issues raised by this comment, the retention period of Quality Assurance Records-Health Services (16.1.035) is being reduced to two years for consistency with the other quality control monitoring records series.

COMMENT. One commenter disagreed with combining Equipment Checkout Records (16.2.005) with Circulation Records (16.2.001) stating circulation is a library term not associated with the use/return of equipment and recommended moving 16.2.005 to the RRS for use by universities and state agencies.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the requested changes. Libraries typically include equipment to be checked out in the library catalog. For clarity, the commission revised the description for 16.2.001 to include equipment. Since 16.2.001 is not intended for checkout of non-library equipment, the commission also revised the description for Inventory and Property Control Records (5.2.006) to include non-library equipment checkout records.

COMMENT. One commenter noted there was not a retention period listed for Library Materials Control Records (16.2.009).

COMMISSION RESPONSE. The commission appreciates the comment and fixed this error. The previous and current retention period for 16.2.009 is AC where AC = Catalog updated.

COMMENT. One commenter asked why the retention period for 16.2.012 is AV if the description includes "general correspondence," which has a two-year retention period under Correspondence, General (1.1.008).

COMMISSION RESPONSE. The commission appreciates the comment. To improve clarify, the commission removed "general email correspondence" from the description for 16.2.012 as it is redundant with "correspondence," also listed in the description. The retention period for general correspondence under 1.1.008 applies to correspondence that does not readily fall within other record series.

COMMENT. One commenter asked about the reasoning for a three-year retention period for 16.3.004 when the legal citation referenced does not list a retention requirement for the final report, only for fire statistics.

COMMISSION RESPONSE. If a report is particularly important or common for universities, are associated with legal requirements specific to universities, or if it would not be obvious that a record fits into an RRS series like non-fiscal reports, it is most appropriate for the URRS to include a series appropriate for those reports. During the informal comment period, discussion supported keeping a series for annual fire reports. Because statistics related to the report must be kept for the three most recent calendar years, the commission deemed it appropriate to maintain reports based on those statistics for three years as well.

COMMENT. One commenter asked about the reasoning behind the seven-year retention period for Campus Fire Log and Statistics (16.3.005).

COMMISSION RESPONSE. The retention period for this record series has been seven years since the first edition of the URRS was adopted in 2019. The retention period for fire statistics is seven years due to Clery Act reporting requiring all supporting records used in compiling the annual report be maintained for three years after submission, and each annual report contains data from the previous three years, resulting in a potential total retention period of seven years.

COMMENT. One commenter recommended standardizing references to the Clery Act in the descriptions for Clery Act Reporting-Annual Security Report (16.3.010), Clery Act Reporting-Crime Log and Statistics (16.3.011), and Clery Act Reporting-Emergency Response and Evacuation Procedures (16.3.013).

COMMISSION RESPONSE. The commission appreciates the comment and has revised the descriptions of 16.3.010, 16.3.011, and 16.3.013 to read "pursuant to the Clery Act."

COMMENT. One commenter recommended combining 16.3.004 and 16.3.010 into one series and combining 16.3.005 and 16.3.011 into one series stating they essentially have the same title, retention, and legal citation references.

COMMISSION RESPONSE. The commission declines to combine the record series at this time. The commission explored the possibility of combining fire and crime reporting series but decided to keep the series separate. If additional information that supports combining these series comes to light in the future, the commission will consider combining the series at that time.

COMMENT. One commenter disagreed with withdrawing Fire Alarm and Drill Records (16.3.025) and stated fire alarm and drill records are misclassified under Safety Inspection Records (5.4.003) because fire drill records are not inspections. The commenter recommended classifying fire drill records under a different series on the RRS or keeping it as a broad emergency drills/response standalone series and classifying fire alarm records under Campus Fire Statistics (16.3.006), which was withdrawn, or Emergency Response and Recovery Records (5.4.017).

COMMISSION RESPONSE. The commission disagrees with the comments and declines to make the changes. The description language in RSIN 5.4.003 is currently broad enough to include all safety and emergency drills. The commission further revised the title, AC Definition, and description for Safety, Drill, and Inspection Records (5.4.003) to further clarify the series. The commission does agree with the commenter that fire alarm records would be classified under a different series, either Campus Fire Log and Statistics (16.3.005) or Emergency Response and Recovery Records (5.4.017), depending on whether a fire occurred.

COMMENT. One commenter recommended adding "and other state vehicles" to the description for GPS Tracking Records (16.3.026) as to not limit GPS monitoring devices to police vehicles, making the series more generic for wider use.

COMMISSION RESPONSE. The commission agrees with comment and added the language to the description of 16.3.026. The commission will consider the possibility of adding a series to the RRS for GPS Tracking Records in the future.

COMMENT. One commenter noted a missing AC Definition for Missing and Unidentified Persons Files (16.3.033).

COMMISSION RESPONSE. The commission appreciates the comment and fixed the error. The AC definition now reads AC = Date person located or body identified.

COMMENT. One commenter noted there were two records series with the same RSIN and title, Offense Records-Class A and B Misdemeanors and State Jail Felonies (16.3.035), but different retention periods.

COMMISSION RESPONSE. The commission appreciates the comments and fixed this formatting error. There are two separate series for Offense Records-Class A and B Misdemeanors and State Jail Felonies (16.3.035) and Offense Records-Class C Misdemeanor (16.3.036).

COMMENT. One commenter recommended adding new records series addressing juvenile case files instead of adding references to Family Code 58.264(b) for retention guidance on offense records in the following series: Offense Records-Class A and B Misdemeanors and State Jail Felonies (16.3.035), Offense Records-Class C Misdemeanor (16.3.036), Offense Records-First-Degree and Capital Felonies (16.3.037), Offense Records-Second- and Third-Degree Felonies (16.3.038), and Police Audiovisual Recordings (16.3.044).

COMMISSION RESPONSE. The commission appreciates the comment but declines to make the change at this time. The commission will research and consider adding juvenile records to the URRS after seeking feedback from universities on volume of juvenile cases dealt with by university police departments. The reference to Family Code 58.264(b) remains to provide guidance in the meantime.

COMMENT. One commenter recommends withdrawing Weapons Records-Disposition (16.3.052) and combining with Inventory and Property Control Records (5.2.006), stating the description for the latter lists the disposal of supplies, equipment, and property.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the change. The commission prefers to keep records series on the URRS that are specific to universities for ease of use, or if it would not be obvious that a record fits into a RRS series like general equipment records.

COMMENT. One commenter recommends adding the term "weapons" to the description for Inspection, Repair, and Maintenance Records - Equipment (5.2.008) and Inventory and Property Control Records (5.2.006) if Weapons Records - Inspection and Repair (16.3.053) and Weapons Records - Inventory (16.054) are withdrawn.

COMMISSION RESPONSE. The commission appreciates the comment. Rather than make the requested change, the commission instead is withdrawing the proposed amendment to withdraw the weapon records series 16.3.053 and 16.3.054 for consistency and to keep records series on the URRS that are specific to universities for ease of use.

COMMENT. One commenter asks why Equipment Checkout Records (16.2.005) was withdrawn and Weapons Records - Issuance (16.3.055) remains and recommends making 16.3.055 a checkout/issuance catchall series. The commenter additionally states there is an inconsistency with how weapons are handled by the retention schedule-some series remain on the URRS and others are withdrawn and point to classification on the RRS.

COMMISSION RESPONSE. The commission declines to make the change to 16.3.055. However, as noted in the response to the comment above, the commission is withdrawing the proposed amendment to withdraw the weapon records series 16.3.053 and 16.3.054 for consistency and to keep records series on the URRS that are specific to universities for ease of use.

COMMENT. One commenter submitted three comments recommending the removal of the reference to the citation from the descriptions for Childcare Center Records (16.5.004), Childcare Center Records-Licensing, Safety, and Compliance (16.5.006), and Broadcast Station Public Inspection File (18.1.004) stating there are many series requiring maintenance of a list of records per a legal citation and the citation, therefore, is not necessary in the description.

COMMISSION RESPONSE. The commission disagrees with the comment and declines to make the requested change. Description language is intended to imply that citations contain additional useful information about what types of records are included in series.

COMMENT. One commenter recommended adding a caution note to the remarks for Course Records (17.1.009) stating there is a possible need to hold these records longer due to tenure review requirements.

COMMISSION RESPONSE. The commission agrees with the comment and added a cross reference to both Student Faculty/Course Evaluation Records-Non-Tenure Track Faculty (17.1.018) and Student Faculty/Course Evaluation Records-Tenure Track Faculty (17.1.019).

COMMENT. One commenter noted the track changes Word document shows Student Faculty/Course Evaluation Records Tenure Track Faculty (17.1.019) is still being withdrawn; however, it is listed on the URRS.

COMMISSION RESPONSE. The commission appreciates the comment and fixed this error on the tracked changes reference document and the URRS document.

COMMENT. One commenter recommended updating Animal Breeding and Management Records (17.3.001) to include when a veterinarian is on staff as the person handling and taking care of the animals stating there are additional longer retention requirements for those individuals under 22 TAC 573.52(b)(1).

COMMISSION RESPONSE. The commission declines to make the requested change at this time but will further research the comment and consider increasing the retention period to AC+5 with a new legal citation in a future update to the URRS.

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, which authorizes the 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. In addition, the amendments are adopted under Government Code, §441.199, which authorizes the commission to adopt rules it determines necessary for cost reduction and efficiency of recordkeeping by state agencies and for the state's management and preservation of records.

§6.10.Texas State Records Retention Schedules.

(a) A record listed in the Texas State Records Retention Schedule (Revised 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 Texas State University Records Retention Schedule (2nd Edition) must be retained for the minimum retention period indicated by any university or institution of higher education.

Figure: 13 TAC §6.10(b) (.pdf)

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 June 28, 2022.

TRD-202202413

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Effective date: July 18, 2022

Proposal publication date: March 11, 2022

For further information, please call: (512) 463-5460