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 March 11, 2022, issue of the Texas Register.)

The Texas State Library and Archives Commission (commission) proposes amendments to 13 TAC Chapter 6, State Records, §6.10, Texas State Records Retention Schedule, which establishes minimum records retention requirements for state agencies and universities.

The proposed amendments are necessary to improve retention of public records by different types of state government entities, including universities.

Government Code, §441.006 directs the commission to aid and encourage, by adoption of policies and programs, the development of effective records management and preservation programs in state agencies and the local governments of the state. Government Code, §441.185(f) 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. Under this authority, the commission has established the State Records Retention Schedule, 13 TAC §6.10(a) (RRS), and the University Records Retention Schedule, 13 TAC §6.10(b) (URRS). These schedules indicate the minimum length of time records series must be retained by Texas state agencies and Texas state universities before destruction or archival preservation. The records series on these schedules are intended to reflect the records commonly found in most state agencies and universities. The retention periods are required minimums; however, the commission also recommends these periods as appropriate for maximum retention.

In developing the proposed amendments to §6.10(a) and §6.10(b), the commission referred to previously suggested changes and questions regarding the RRS and the URRS collected over time for future incorporation. In addition, the commission consulted with Texas state university records management officers, who were given an opportunity to review the draft proposed changes and provide informal comments and feedback. The proposed amendments to the schedules reflect the commission's consideration of all informal comments and feedback received.

SUMMARY. A proposed amendment changes the section title from "Texas State Records Retention Schedule" to "Texas State Records Retention Schedules" to account for both the RRS in §6.10(a) and the URRS in §6.10(b).

Proposed amendments to §6.10(a), the RRS, include the addition of two record series from the URRS: Copyright Records (1.1.079) and Grant Records - Non-Awarded (4.7.008b), both of which apply to all state agencies. A new series for Polygraph Examination Results (3.1.043) was also added, as federal law mandates longer retention period for this specific employee selection record, previously located under Employment Selection Records (3.1.014). The commission also proposes revisions to various record series to include withdrawn record series from the URRS. In addition, proposed amendments to the RRS correct minor grammar, punctuation, and typographical errors in the 5th edition of the RRS and improve clarity and readability of cross references, legal citations, and archives notes. Finally, a proposed amendment would also remove a record series, Record Center Storage Approval Forms (RMD 106) (1.2.011), marked as obsolete in previous RRS editions.

Proposed amendments to §6.10(b), the URRS, include the addition of four new record series: Title IX Complaints (15.5.010), Broadcast Station Public Inspection Files (18.1.004), Animal Research Controlled Substances (17.3.018), and Pharmacy Records - Personnel Log (16.1.031b), and the withdrawal of 96 record series. Many withdrawn record series were either combined with other record series of like function/type on the URRS or removed due to redundancy with the RRS. Other record series were withdrawn due to obsolescence of program records (e.g., Financial Aid Disbursement and Repayment Records - Health Education Assistance Loan (HEAL) Program (15.3.017)), maintenance of records by other entities (e.g., National Board of Medical Examiners Test Scores (15.1.005)), and series not fitting the definition of a state record (e.g., External Committee Records (11.1.008), Athletic Scholarship and Grant-In-Aid Award Records - All records Except NCAA (18.2.003). Additional proposed changes include bucketing and simplifying record series within Sections 15.3 Financial Aid and Scholarship Records and 17.3 Research. In Section 15.3 Financial Aid and Scholarship Records, changes include more clearly delineating between grant/scholarship and loan record series. In Section 17.3 Research, changes include combining redundant record series and more clearly delineating between funded/non-funded research records. Overall, the proposed changes aim to simplify, condense, and improve the usability of the URRS independently and in conjunction with the RRS.

Proposed amendments to §6.10(b) would change specific retention periods as follows:

13.2.003, Gift and Fundraising Records: the proposed amendment would change the retention period from five to seven years. This change is proposed to simplify the retention of fundraising records for universities. This record series has been combined with other fundraising-related record series carrying a seven-year retention period, Fundraising Records (13.2.002) and Gift Records - Department or Program (13.2.004).

15.1.006, National Exams - Test Administration Records: the proposed amendment would change the title of this series to Standardized Test Administration Records and change the retention period from FE+3 years to AC+1 year. This change is proposed because payment vouchers were removed from this series and a cross reference was added to Accounts Receivable Information (4.1.009) and there is no administrative value to justify a minimum retention period beyond one year after test administration.

15.1.007, Residency Affidavits and Documentation: the proposed amendment would change the retention period from AC+6 years to AC+3 years. This change is proposed to match updated American Association of Collegiate Registrars and Admissions Officers (AACRAO) guidance.

15.2.017, Hazlewood Act Documentation: the proposed amendment would change the retention period from PM to AC+3 years to match legal citations, which inform appropriate minimum retention.

15.2.022, Internship Program Records: the proposed amendment would change the retention period from AC+5 years to AC+3 years. This change is proposed to be consistent with other post-graduation record series and reduce the burden on universities.

15.5.007, Student Conduct Records/Disciplinary Action Records: the proposed amendment would change the retention period from AC+5 years to AC+3 years. This change is proposed for consistency with Departmental Student Information Files (15.2.009) and to reduce the burden on universities.

16.1.009, Disclosure of Protected Health Information: the proposed amendment would change the retention period from FE+6 years to AC+6 years to align with legal citation and incorporate required policies and procedures. This change is proposed because legal citations inform appropriate minimum retention.

16.1.016, Health Assessment: the proposed amendment would change the retention period from two years to AV. This change is proposed because this series does not contain medical records or documentation of medical treatment and allows universities maximum discretion for determining retention period.

16.1.030, Patient Valuables Inventory: the proposed amendment would change the retention period from CE+10 years to AC. This change is proposed because this series should not include unclaimed property reports and a longer retention period is not required. A cross reference to Unclaimed Property Reports and Documentation (4.5.010), has been added.

16.1.041, Surgical Instrument Sterilization Records: the proposed amendment would change the retention period from three years to two years. This change is proposed to align with Quality Control Reports (5.2.018) and reduce the burden on universities.

16.2.003, Collection or Artifact Loan Records: the proposed amendment would change the retention period from AC+4 years to AC+7 years. This change is proposed to adhere to minimum retention requirements for contracts and agreements.

16.2.007, Interlibrary Loan (ILL) Records: the proposed amendment would change the retention period from FE+3 years to AC where transaction is completed. This change is proposed because this series does not include third party service payment records and the retention period now aligns with Circulation Records (16.2.001). A cross reference to Accounts Payable Information (4.1.001) has been added.

16.2.012, Reference Request Records: the proposed amendment would change the retention period from FE+3 years to AV. This change is proposed to reflect the transitory nature of records after the information is compiled for reporting purposes and reduce the burden on universities. Cross references were added to those reporting record series carrying longer retention periods: Agency Performance Measure Documentation (1.1.064) and Activity Reports (1.1.069).

16.3.004, Campus Fire Statistics - Annual Fire Safety Report: the proposed amendment would change the title of this record series to Annual Fire Safety Report and the retention period from PM to three years. This change is proposed to correspond with the legal citation only requiring institutions to report statistics for three most recent calendar years.

16.4.004, Student Housing Judicial Record: the proposed amendment would change the retention period from AC+4 years to AC+7 years. This change is proposed to correspond with minimum retention requirements for contracts and agreements.

16.4.005, Student Housing Tenant Records: the proposed amendment would change the retention period from AC+4 years to AC+7 years. This change is proposed to correspond with minimum retention requirements for contracts and agreements.

16.5.001, ADA (Americans with Disabilities Act) Accommodation Requests: the proposed amendment would change the title of this record series to Disability Accommodation Requests and change the retention period from AC+3 years to AC+2 years. This change is proposed to include all disability accommodation requests and be consistent with ADA Accommodation Records (3.1.042).

16.5.003, Child and Youth Program Participant Records: the proposed amendment would change the title of this record series to Child and Youth Program Staff Records and change the retention period from AC+3 years to AC+2 years. This change is proposed to include staff records and match the retention period required by the legal citation. Child and youth student records should be classified under Non-Institution Student Records (16.5.009).

17.1.006, Continuing Education Course Records - Working Files: the proposed amendment would change the title of this record series to Continuing Education Course Records and change the retention period from 5 years to AC+2 years to be based on semester. This change is proposed to be consistent with related record series, Course Records (17.1.009), and to ensure records are kept until after the completion of courses.

17.1.007, Cooperative Program Records - Administrative: the proposed amendment would change the title of this record series to Cooperative Program Records and change the retention period from PM to AC+7 years. This change is proposed to reflect an appropriate retention period after the combination with Cooperative Program Records - Program Records (17.1.008). The archival code "O" remains to allow for permanent retention of long-term records.

17.1.012, Degree Program Proposal, Development and Review Records - Final Reports, Minutes, Proposals, and Degree Program Reviews: the proposed amendment would change the title of this record series to Degree and Special Academic Program Proposal, Development and Review Records to accommodate various withdrawn record series and change the retention period from PM to AC. This change is proposed to allow for transfer to archives after the degree program is terminated.

18.1.001, Daily Broadcast Logs: the proposed amendment would change the retention period from three years to two years to adhere to legal citations, which inform appropriate minimum retention.

18.2.005, Competition Records - NCAA Reporting Requirements: the proposed amendment would change the title of this record series to NCAA and NAIA Reporting Requirements to accommodate records from withdrawn record series: Athletic Eligibility Records (18.1.001), Athletic Scholarship and Grant-In-Aid Award Records - National Collegiate Athletic Association (NCAA) Records (18.2.002), Practice Schedule Records (18.2.017), and Student Athletes Medical Records (18.2.024). The proposed amendment would change the retention period from ten years to six years. This change is proposed to simplify retention of NCAA required reporting records by matching the retention period to the longest retention period required by NCAA guidelines

18.2.007, Drug Test Records - Negative Results: the proposed amendment would change the title of this record series to Student Athlete Drug Test Records’ Negative Results and change the retention period from two years to one year. This change is proposed to align with the retention period of Employee Drug Testing and Screening Records - Negative Results (3.1.040c) and reduce the burden on universities.

18.2.012, Game Statistics: the proposed amendment would change the title of this record series to Game Records to accommodate Competition Scheduling Records (18.2.006) and Game Arrangement Records (18.2.009) and change the retention period from seventy-five years to AV. This change is proposed to allow for more university discretion in determining long-term value of records prior to performing the archival review for potential permanent retention in university archives.

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

PUBLIC BENEFIT/COST NOTE. Mr. Kelso has also determined that for the first five-year period the amendments are in effect, the public benefit will be clarity and consistency in state government entities' and state universities' records management retention, leading to better access to public records.

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, as proposed. There is no effect on local economy for the first five years that the proposed amendments are in effect; therefore, no local employment impact statement is required under 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 the new rules are not major environmental rules under the Government Code, §2001.0225.

COSTS TO REGULATED PERSONS. The proposed amendments do not impose a cost on regulated persons, including another state agency, a special district, or a local government and, therefore, are not subject to 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 Government Code, §2006.002, is required.

GOVERNMENT GROWTH IMPACT STATEMENT. Commission staff prepared a Government Growth Impact Statement assessment for this proposed rulemaking, as specified in Texas Government Code §2001.0221. 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 existing regulations; 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 rules 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 Government Code, §2007.043.

REQUEST FOR PUBLIC COMMENT. Written comments on the proposed amendments and new rules may be directed to Megan Carey, Manager, Records Management Assistance, via email at 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 amendments are proposed 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 proposed 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.

CROSS REFERENCE TO STATUTE. Government Code, Chapter 441.

§6.10.Texas State Records Retention Schedules [Schedule].

(a) A record listed in the Texas State Records Retention Schedule (Revised 5th Edition) [(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)

[Figure: 13 TAC §6.10(a)]

(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)

[Figure: 13 TAC §6.10(b)]

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 February 24, 2022.

TRD-202200668

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Earliest possible date of adoption: April 10, 2022

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


CHAPTER 10. ARCHIVES AND HISTORICAL RESOURCES

13 TAC §10.1, §10.2

The Texas State Library and Archives Commission (commission) proposes new Chapter 10, Archives and Historical Resources, to Title 13, Texas Administrative Code, to include new §10.1, Definitions, and new §10.2, Public Access to Archival State Records and Other Historical Resources.

The proposed new rules are necessary to ensure the continued preservation and availability of archival state records and other historical resources for future generations. Many of the documents held by the commission are fragile and susceptible to damage from repeated handling. In addition, some records have significant intrinsic and/or monetary value which necessitates protection from damage or theft.

Government Code, §441.190 authorizes the commission to adopt rules establishing standards and procedures for the protection, maintenance, and storage of state records. The statute further directs the commission to pay particular attention to the maintenance and storage of archival and vital state records and authorizes the commission to adopt rules as it considers necessary to protect those records.

In addition, and more specifically, Government Code, §441.193 authorizes the commission to adopt rules regarding public access to the archival state records and other historical resources in the possession of the commission. The statute further provides that in rules adopted under this section, the commission may restrict access to any original archival state record or other historical resource in its possession and provide only copies if, in the opinion of the state archivist, such access would compromise the continued survival of the original record.

The new sections are proposed under this authority to ensure the continued survival of original archival state records and other historical resources.

SUMMARY. Proposed new §10.1 establishes the definitions section for the proposed new Chapter 10, clarifying that the statutory definitions in Government Code, §441.180 apply to terms used in the chapter, unless the context clearly indicates otherwise.

Proposed new §10.2(a) establishes the conditions under which public access to archival state records and other historical resources may be granted, including the time when and location where access will be granted, the requirement for registration and presentation of a photo identification to verify information provided on the registration form, age requirements, the requirement to comply with Reading Room policies and instructions from staff, and requirement to complete a materials request form.

Proposed new §10.2(b) provides that the commission may restrict public access to any original archival state record or other historical resource in its possession and provide only copies if, in the opinion of the state archivist, such access would compromise the continued survival of the original item. The subsection also outlines the factors the state archivist will consider when considering requests for access to original archival state records and other historical resources. As noted in the rule and in the statute authorizing adoption of the rule, the determination of whether to grant or restrict public access to an original archival state record or other historical resource will be based on the record and its condition to ensure continued survival of the record.

FISCAL NOTE. Jelain Chubb, State Archivist, has determined that for each of the first five years the proposed rules are in effect, there will not be a fiscal impact on state or local government as a result of enforcing or administering the new rules, as proposed.

PUBLIC BENEFIT/COST NOTE. Ms. Chubb has also determined that for the first five-year period the new rules are in effect, the public benefit will be clarity in the agency's procedures for determining when access to original archival state records and other historical resources will be denied and copies provided instead to ensure continued survival of the original records.

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

ENVIRONMENTAL IMPACT STATEMENT. The commission has determined that the proposed new rules do not require an environmental impact analysis because the new rules are not major environmental rules under the Government Code, §2001.0225.

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

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

GOVERNMENT GROWTH IMPACT STATEMENT. Commission staff prepared a Government Growth Impact Statement assessment for this proposed rulemaking, as specified in Texas Government Code §2001.0221. During the first five years that the new rules would be in effect, the proposed new rules: 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 create a new regulation as authorized by Government Code, §441.190 and §441.193; will not repeal existing regulations; 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 new rules would be in effect, the proposed rules 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 Government Code, §2007.043.

REQUEST FOR PUBLIC COMMENT. Written comments on the proposed amendments and new rules may be directed to Jelain Chubb, State Archivist, via email at 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 new rules are proposed under Government Code, §441.190 and §441.193.

CROSS REFERENCE TO STATUTE. Government Code, Chapter 441.

§10.1.Definitions.

Except as otherwise provided by this subchapter, all words and terms used in this subchapter shall have the meaning ascribed to them by Government Code, §441.180, unless the context clearly indicates otherwise.

§10.2.Public Access to Archival State Records and Other Historical Resources.

(a) Public access to archival state records and other historical resources in the possession of the commission will be granted under the following conditions, subject to subsection (b) of this section:

(1) Access to archival state records and other historical resources maintained in Austin will be provided in the State Archives Reading Room of the Lorenzo de Zavala State Archives and Library Building.

(2) Access to archival state records and other historical resources maintained at the Sam Houston Regional Library and Research Center in Liberty, Texas will be provided in the Center's Reading Room.

(3) Registration and presentation of a current photo identification is required to use original archival state records and other resources.

(4) Researchers between the ages of 13 and 16 are permitted to use original archival state records and other resources if supervised by an adult. One adult per juvenile researcher is required. Children aged 12 and under are not permitted to use original archival state records or historical resources.

(5) All researchers and supervising adults, if applicable, must agree to and comply with the Reading Room Policies and instructions as provided by staff members.

(6) Access will be granted during business hours for each location as posted on the agency's website or as may be amended from time to time by additional notice.

(7) Request for access to archival state records or other historical resources must be submitted on a material request form whether the request is a Research Request or a Public Information Act (PIA) Request.

(b) The commission may restrict access to any original archival state record or other historical resource in its possession and provide only copies if, in the opinion of the state archivist, such access would compromise the continued survival of the original item. The state archivist will consider the following factors in the consideration of requests for access to original archival state records or other historical resources:

(1) physical condition of the archival state record or resource;

(2) availability of a digital or other facsimile copy of the archival state record or resource;

(3) the intrinsic or monetary value of the item to the State; and

(4) any other factor that, in the opinion of the state archivist, may compromise the continued survival of the original item.

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 February 24, 2022.

TRD-202200669

Sarah Swanson

General Counsel

Texas State Library and Archives Commission

Earliest possible date of adoption: April 10, 2022

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