TITLE 13. CULTURAL RESOURCES

PART 1. TEXAS STATE LIBRARY AND ARCHIVES COMMISSION

CHAPTER 6. STATE RECORDS

SUBCHAPTER A. RECORDS RETENTION SCHEDULING

13 TAC §§6.1, 6.5, 6.8

The Texas State Library and Archives Commission (Commission) proposes amendments to 13 TAC §6.1, Definitions; §6.5, Certification of Records Retention Schedules and Amendments; and §6.8, Implementation of Certified Records Retention Schedules.

The proposed amendments include changes to improve accuracy and clarity as well as the addition of references to the Texas State University Retention Schedule (URRS), added as §6.10(b) in December 2019.

SUMMARY. The proposed amendments to §6.1 add the definition of Texas State University Records Retention Schedule, update the definition of Texas State Records Retention Schedule for consistency, and renumber the definitions accordingly.

The proposed amendment to §6.5 adds a reference to the Texas State University Records Retention Schedule.

The proposed amendment to §6.8 updates the title of a referenced standard and adds the ability to transfer archival records in electronic format.

FISCAL NOTE. Craig Kelso, Director, State & Local Records Management Division, has determined that for each of the first five years the proposed amendments are in effect, there will not be a fiscal impact on state or local government as a result of enforcing or administering these amendments, as proposed.

PUBLIC BENEFIT/COST NOTE. Mr. Kelso has also determined that for the first five-year period the amended rules are in effect, the public benefit will be consistency and clarity in the schedule, which will help to provide better management of records. Better management of records will improve retention of public records and increase access to those records by the public.

ECONOMIC COSTS TO PERSONS AND IMPACT ON LOCAL EMPLOYMENT. There are no anticipated economic costs to persons who are required to comply with the amendments to these rules, as proposed. There is no effect on local economy for the first five years that the proposed new section is in effect; therefore, no local employment impact statement is required under Texas Government Code §2001.022 and 2001.024(a)(6).

ENVIRONMENTAL IMPACT STATEMENT. The Commission has determined that the proposed amendments do not require an environmental impact analysis because these amendments are not major environmental rules under the Texas Government Code §2001.0225.

COSTS TO REGULATED PERSONS. The proposed new section does not impose a cost on regulated persons, including another state agency, a special district, or a local government and, therefore, is not subject to Texas Government Code §2001.0045.

ECONOMIC IMPACT STATEMENT AND REGULATORY FLEXIBILITY ANALYSIS FOR SMALL BUSINESSES, MICROBUSINESSES, AND RURAL COMMUNITIES. Mr. Kelso has also determined that there will be no impact on rural communities, small businesses, or micro-businesses as a result of implementing these amendments and therefore no regulatory flexibility analysis, as specified in Texas Government Code §2006.002, is required.

GOVERNMENT GROWTH IMPACT STATEMENT. Commission staff prepared a Government Growth Impact Statement assessment for this proposed rulemaking, as specific in Texas Government Code §2006.0221. During the first five years that the amendments would be in effect, the proposed amendments: will not create or eliminate a government program; will not result in the addition or reduction of employees; will not require an increase or decrease in future legislative appropriations; will not lead to an increase or decrease in fees paid to a state agency; will not create a new regulation; will not repeal an existing regulation; and will not result in an increase or decrease in the number of individuals subject to the rule. During the first five years that the amendments would be in effect, the proposed amendments will not positively or adversely affect the Texas economy.

TAKINGS IMPACT ASSESSMENT. The Commission has determined that no private real property interests are affected by this proposal and the proposal does not restrict or limit an owner's right to his or her property that would otherwise exist in the absence of government action and, therefore, does not constitute a taking under Texas Government Code §2007.043.

REQUEST FOR PUBLIC COMMENT. Written comments on the proposed amendments may be directed to Megan Carey, Manager, Records Management Assistance, via email at rules@tsl.texas.gov, or by mail to P.O. Box 12927, Austin, Texas, 78711-2927. Comments will be accepted for 30 days after publication in the Texas Register.

STATUTORY AUTHORITY. The amended section is proposed under Government Code, §441.158, which requires the Commission to adopt records retention schedules by rule and requires the Commission to provide records retention schedules to local governments, and Government Code, §441.160, which allows the commission to revise the schedules.

CROSS REFERENCE TO STATUTE. Government Code, Chapter 441.

§6.1.Definitions.

The following words and terms, when used in these sections, shall have the following meanings, unless the context clearly indicates otherwise. Terms not defined in these sections shall have the meanings defined in Government Code, §441.180.

(1) Agency head--The appointed or elected official who serves by the state constitution, state statute, or action of the governing body of a state agency as the chief executive and administrative officer of a state agency.

(2) Archival state record--Any state record of enduring value that will be preserved on a continuing basis by the commission or another state agency until the state archivist indicates that based on a reappraisal of the record it no longer merits further retention.

(3) Certification--The process, inclusive of recertification, by which a records retention schedule or amendments to a schedule are approved for use by a state agency during a certification period.

(4) Certification period--The period of time during which a records retention schedule, including certified amendments to the schedule, may be used by a state agency in the final disposition of state records without additional authorization from the director and librarian.

(5) Commission--The Texas State Library and Archives Commission.

(6) Component--A division, department, program, or other subdivision of a state agency.

(7) Confidential state record--Any state record to which public access is denied under Government Code, Chapter 552, or other state or federal law.

(8) Decertification--The process by which an approved records retention schedule of a state agency is disapproved because of failure of the state agency to adhere to the requirements of Government Code, Chapter 441, Subchapter L, and these rules adopted under that subchapter.

(9) Director and librarian--The chief executive and administrative officer of the Texas State Library and Archives Commission.

(10) Final disposition--Final processing of state records by either destruction or archival preservation by the commission, by a state agency, or by an alternate archival institution as permitted by Government Code, Chapter 441, Subchapter L.

(11) Records management officer--The agency head or the person appointed by the agency head to act as the state agency's representative in all issues of records management policy, responsibility, and statutory compliance pursuant to Government Code, §441.184.

(12) Records retention schedule--A document prepared in accordance with §6.2 of this title (relating to Submission of Records Retention Schedules for Certification).

(13) Records series--A group of identical or related records that are normally used and/or filed together, and that permit evaluation as a group for retention scheduling purposes.

(14) Retention period--The period of time during which state records must be maintained before final disposition.

(15) State agency--Any department, commission, board, office, or other agency in the executive, legislative, or judicial branch of state government created by the constitution or a statute of this state, including an eleemosynary institution; any university system and its components; any institution of higher education as defined by §61.003, Education Code, except a public junior college, not governed by a university system board; the Texas Municipal Retirement System and the Texas County and District Retirement System; and any public nonprofit corporation created by the legislature whose responsibilities and authority are not limited to a geographical area less than that of the state.

(16) State archivist--The person designated by the director and librarian to administer the state archives program under Government Code, §441.181.

(17) State record--Any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency or an elected state official that documents activities in the conduct of state business or use of public resources. The term does not include library or museum material made or acquired and preserved solely for reference or exhibition purposes; an extra copy of recorded information preserved only for reference; a stock of publications or blank forms; or any records, correspondence, notes, memoranda, or other documents, other than a final written agreement described by §2009.054(c), associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state department or institution, local government, special district, or other political subdivision of the state participated as a party, facilitated as an impartial third party, or facilitated as the administrator of a dispute resolution system or organization.

(18) State records administrator--The person designated by the director and librarian to administer the state records management program under Government Code, §441.182.

(19) Texas State Records Retention Schedule--Figure 13 TAC §6.10(a) [1 of §6.10] of this title (relating to Texas State Records Retention Schedule).

(20) Texas State University Records Retention Schedule--Figure 13 TAC §6.10(b) of this title (relating to Texas State University Records Retention Schedule).

(21) [(20)] Vital state record--Any state record necessary to the resumption or continuation of state agency operations in an emergency or disaster; the re-creation of the legal and financial status of the agency; or the protection and fulfillment of obligations to the people of the state.

§6.5.Certification of Records Retention Schedules and Amendments.

(a) To be a candidate for certification, a records retention schedule must:

(1) list all records series maintained by the state agency, regardless of medium;

(2) indicate whether the records are archival state records or state records that must be reviewed by the state archivist for potential archival value prior to their destruction;

(3) ensure that state records maintained by the state agency listed in the Texas State Records Retention Schedule or Texas State University Records Retention Schedule are retained for the minimum periods prescribed in the schedules;

(4) ensure that state records not listed in the Texas State Records Retention Schedule are kept for a length of time sufficient to meet administrative, legal, fiscal, and archival requirements; and

(5) be submitted in a manner and form prescribed by the state records administrator.

(b) To be a candidate for certification, an amendment to a records retention schedule must meet the criteria in paragraphs (2) - (5) of subsection (a) of this section.

(c) To be certified, a records retention schedule or an amendment to the schedule must be approved by the director and librarian and may also require the approval of the state auditor.

§6.8.Implementation of Certified Records Retention Schedules.

(a) A state agency must establish policies and procedures to ensure state records are maintained until the expiration of the retention periods on its records retention schedule.

(b) Final disposition of state records must ensure that:

(1) archival state records scheduled to be preserved by the commission are transferred to the commission on paper, on microform that meets the specifications in [the then most current version of] American National Standard for Imaging Materials - Processed Silver-Gelatin Type Black-and-White Film - Specifications for Stability (ANSI/NAPM IT9.1-1996), in electronic format that meets the requirements of the state archives, [(ANSI/NAPM IT9.1,)] or in another medium with prior approval of the state archivist;

(2) records scheduled for destruction are destroyed in a manner that ensures protection for any sensitive or confidential information; and

(3) the final disposition of records is documented by the state agency.

The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.

Filed with the Office of the Secretary of State on June 11, 2020.

TRD-202002337

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Earliest possible date of adoption: July 26, 2020

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


CHAPTER 7. LOCAL RECORDS

SUBCHAPTER D. RECORDS RETENTION SCHEDULES

13 TAC §7.125

(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 §7.125(a)(10) is not included in the print version of the Texas Register. The figure is available in the on-line version of the June 26, 2020, issue of the Texas Register.)

The Texas State Library and Archives Commission (Commission) proposes amendments to 13 TAC §7.125(a)(10), Local Government Retention Schedule EL (Records of Elections and Voter Registration).

The proposed amendments include formatting revisions necessary to ensure accuracy of information in the header and footer of the document.

SUMMARY. The proposed amendments to §7.125(a)(10) correct the reference to the current edition of the schedule (4th). Proposed amendments to the figure correct inaccurate information in the document header and footer and improve style consistency with other local government retention schedules.

The following proposed amendments appear in the Attached Graphic of §7.125(a)(10).

The proposed amendment to the text in the document header will add the effective date of the revised 4th edition to every page, which replaces the incorrect effective date of the last edition.

The proposed amendment to the text on pg. 4, Table of Contents, reflects the corrected pagination.

The proposed amendment to the text in the document footer corrects the pagination on pages 5-24.

The proposed amendment revises the line-spacing and font style to be consistent with the formatting of other recent editions of local government retention schedules.

FISCAL NOTE. Craig Kelso, Director, State & Local Records Management Division, has determined that for each of the first five-years the proposed amendments are in effect, there will not be a fiscal impact on state or local government as a result of enforcing or administering these amendments, as proposed.

PUBLIC BENEFIT/COST NOTE. Mr. Kelso has also determined that for the first five-year period the amended rules are in effect, the public benefit will be consistency and clarity in the schedule, which will help to provide better management of records. Better management of records will improve retention of public records and increase access to those records by the public.

ECONOMIC COSTS TO PERSONS AND IMPACT ON LOCAL EMPLOYMENT. There are no anticipated economic costs to persons who are required to comply with the amendments to these rules, as proposed. There is no effect on local economy for the first five years that the proposed new section is in effect; therefore, no local employment impact statement is required under Texas Government Code §2001.022 and 2001.024(a)(6).

ENVIRONMENTAL IMPACT STATEMENT. The Commission has determined that the proposed amendments do not require an environmental impact analysis because these amendments are not major environmental rules under the Texas Government Code §2001.0225.

COSTS TO REGULATED PERSONS. The proposed new section does not impose a cost on regulated persons, including another state agency, a special district, or a local government and, therefore, is not subject to Texas Government Code §2001.0045.

ECONOMIC IMPACT STATEMENT AND REGULATORY FLEXIBILITY ANALYSIS FOR SMALL BUSINESSES, MICROBUSINESSES, AND RURAL COMMUNITIES. Mr. Kelso has also determined that there will be no impact on rural communities, small businesses, or micro-businesses as a result of implementing these amendments and therefore no regulatory flexibility analysis, as specified in Texas Government Code §2006.002, is required.

GOVERNMENT GROWTH IMPACT STATEMENT. Commission staff prepared a Government Growth Impact Statement assessment for this proposed rulemaking, as specific in Texas Government Code §2006.0221. During the first five years that the amendments would be in effect, the proposed amendments: will not create or eliminate a government program; will not result in the addition or reduction of employees; will not require an increase or decrease in future legislative appropriations; will not lead to an increase or decrease in fees paid to a state agency; will not create a new regulation; will not repeal an existing regulation; and will not result in an increase or decrease in the number of individuals subject to the rule. During the first five years that the amendments would be in effect, the proposed amendments will not positively or adversely affect the Texas economy.

TAKINGS IMPACT ASSESSMENT. The Commission has determined that no private real property interests are affected by this proposal and the proposal does not restrict or limit an owner's right to his or her property that would otherwise exist in the absence of government action and, therefore, does not constitute a taking under Texas Government Code §2007.043.

REQUEST FOR PUBLIC COMMENT. Written comments on the proposed amendments may be directed to Megan Carey, Manager, Records Management Assistance, via email rules@tsl.texas.gov, or mail, P.O. Box 12927, Austin, Texas, 78711-2927. Comments will be accepted for 30 days after publication in the Texas Register.

STATUTORY AUTHORITY. The amended section is proposed under Government Code, §441.158, which requires the Commission to adopt records retention schedules by rule and requires the Commission to provide records retention schedules to local governments, and Government Code, §441.160, which allows the commission to revise the schedules.

CROSS REFERENCE TO STATUTE. Government Code, Chapter 441.

§7.125.Records Retention Schedules.

(a) The following records retention schedules, required to be adopted by rule under Government Code §441.158(a) are adopted.

(1) Local Schedule GR: Records Common to All Local Governments, Revised 5th Edition.

Figure: 13 TAC §7.125(a)(1) (No change.)

(2) Local Schedule PW: Records of Public Works and Other Government Services, 2nd Edition.

Figure: 13 TAC §7.125(a)(2) (No change.)

(3) Local Schedule CC: Records of County Clerks, Revised 3rd Edition.

Figure: 13 TAC §7.1259(a)(3) (No change.)

(4) Local Schedule DC: Records of District Clerks, Revised 3rd Edition.

Figure: 13 TAC §7.125(a)(4) (No change.)

(5) Local Schedule PS: Records of Public Safety Agencies, Revised 4th Edition.

Figure: 13 TAC §7.125(a)(5) (No change.)

(6) Local Schedule SD: Records of Public School Districts, 3rd Edition.

Figure: 13 TAC §7.125(a)(6) (No change.)

(7) Local Schedule JC: Records of Public Junior Colleges, 2nd Edition.

Figure: 13 TAC §7.125(a)(7) (No change.)

(8) Local Schedule LC: Records of Justice and Municipal Courts, Revised 2nd Edition.

Figure: 13 TAC §7.125(a)(8) (No change.)

(9) Local Schedule TX: Records of Property Taxation, 3rd Edition.

Figure: 13 TAC §7.125(a)(9) (No change.)

(10) Local Schedule EL: Records of Elections and Voter Registration, 4th [3rd] Edition.

Figure: 13 TAC §7.125(a)(10) (.pdf)

[Figure: 13 TAC §7.125(a)(10)]

(11) Local Schedule HR: Records of Public Health Agencies, 2nd Edition.

Figure: 13 TAC §7.125(a)(11) (No change.)

(12) Local Schedule UT: Records of Utility Services, 2nd Edition.

Figure: 13 TAC §7.125(a)(12) (No change.)

(b) The retention periods in the records retention schedules adopted under subsection (a) of this section serve to amend and replace the retention periods in all editions of the county records manual published by the commission between 1978 and 1988. The retention periods in the manual, which were validated and continued in effect by Government Code §441.159, until amended, are now without effect.

The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.

Filed with the Office of the Secretary of State on June 11, 2020.

TRD-202002338

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Earliest possible date of adoption: July 26, 2020

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