Section 3: Amending the Records Retention Schedule
Anchor: #i1017822Overview
Changes in legal or regulatory requirements, functions, organization, or business requirements may necessitate an amendment to the Records Retention Schedule. To initiate the process, Records Administrators should collaborate changes to the Records Retention Schedule with Records Management. Records Management monitors organization and functional operations and may also recommend necessary changes.
Form SLR 122 – State Records Retention Schedule must be used by TxDOT to submit amendments to an approved (certified/recertified) agency Records Retention Schedule per Texas Government Code, Chapter 441.185. See SLR 105C instructions for submission procedures.
Anchor: #i1017860Amendments to the Records Retention Schedule:
- Anchor: #SBLAFBYV
- Adjust a retention period. Anchor: #JPORANRV
- Create a new record series. Anchor: #XWBGXEEF
- Add a statutory citation or explanatory remarks to an existing record series. Anchor: #BMASPLLQ
- Remove an obsolete record series no longer in use.
Unnecessary Records Retention Schedule Changes:
- Anchor: #OTGCLNHF
- The record series matches an existing record series on the TxDOT Records Retention Schedule. Anchor: #PGFQALML
- The record series is a new record or file in an existing record series listed on the Records Retention Schedule. Anchor: #PAMJSDQC
- The record series title is still appropriate (if you think the existing title needs to be revised, contact Records Management. Anchor: #IMIEDJDG
- The retention period or minor changes in the characteristics of the official record for an existing record series is changing. You can coordinate this change by contacting Records Management.
Adding New Records Series
When developing a new type of record or file, first review the Records Retention Schedule to see if it matches an existing record series description. If a match is not apparent, contact Records Management who will be able to relate the new records to an existing record series.
If a new record series must be added, the Records Administrator will work with Records Management to provide the information required needed for the Form SLR 122 Amendment Form and furnish descriptive documentation supporting the addition of an official record series to the Records Retention Schedule.
Anchor: #i1017954Coordination and Approval of Amendments
Records Management drafts the amendment and coordinates the change with the requesting Records Administrator. Records Management will coordinate amendments for any related records with other offices that may be affected and submits the amendment to the Texas State Library and Archives Commission for approval.
The Texas State Library and Archive’s Commission State of Texas Retention Schedule Amendment, Form SLR 122, is currently used to amend changes to the TxDOT’s Records Retention Schedule.
Figure 3-2. Form SLR 122.
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Number |
Field |
Contents |
|---|---|---|
| 1 |
Agency Code |
TxDOT is assigned number 601 |
| 2 |
Agency Name |
Complete with TxDOT |
| 3 |
Agency Item Number (AIN) |
A location reference on the TxDOT Records Retention Schedule used for indexing and citation of official records described in the schedule. The Agency Item Number is a unique alpha-numeric code assigned by TxDOT for each record series on the TxDOT Records Retention Schedule. The elements of this number are a three-letter acronym describing the type of record or the responsible office, followed by two digits indicating the sequence of the record series in the schedule. For example, the Agency Item Number ADM04 indicates that the records indicate Administrative record series. |
| 4 |
Record Series Item Number |
Records Series Item Numbers are assigned by the State and Local Records Management Division of the Texas State Library and Archives Commission. It references specific types of records on the Texas Records Retention Schedule ( Texas Administrative Code, 13 TAC §6.10). The first two digits identify groupings of categories of records. For example, 3.1 refers to employee records. If a Record Series Item Number consisting of five digits appears, the record series is specifically identified in the state retention schedule. |
| 5 |
Records Series Title |
The most general titles possible have been chosen. Explanations are provided for those titles which are not self-explanatory. Describes the type of record, which may consist of a single specific type of record or file or a group of files that are similar in function and have similar retention requirements. |
| 6 |
Description |
A description of identical or related records with the same function and the same retention period that is evaluated as a unit for retention scheduling purposes. This field contains a more detailed explanation for each record series. |
| 7 |
Retention Code |
The retention code requires an event to trigger the retention period which is referred to as the retention code to consider before the retention clock can begin. (e.g., AC, FE+3, US+5). AC - After Closed (or terminated, completed, expired, or settled): The record is related to a function or activity with a finite closure date. AV - As long as Administratively Valuable: The immediate purpose for which the record was created has been fulfilled and any subsequent need for the record to conduct the operations of the agency, if any, has been satisfied. CE - Calendar Year End: December 31. FE Fiscal Year End: August 31. FE – Fiscal Year End: August 31. LA - Life of Asset: The record is retained until the deposit of the asset. PM - Permanent: A record that possesses enduring legal, fiscal, or administrative value and must be preserved permanently by the agency. US - Until Superseded: The record is replaced by an updated version. If a record subject to this retention period is discontinued or is no longer required by law, the date of supersession is the date the decision to discontinue the record is made or the law takes effect. If the record relates to an employee, the date of supersession is the date of termination or the last date the record is needed with reference to the employee, as applicable. |
| 8 |
Retention Period |
The amount of time a records series must be retained before destruction or archival preservation. The retention period can be broken down into years (Y), months (M) or days (D), or a combination of time periods as required. For example, FE+3 means records must be retained until the end of the fiscal year plus three years, becoming eligible for destruction after September 1 of the third year of its retention. |
| 9 |
AC Definition |
AC stands for “After Closed” (or terminated, completed, expired, or settled): The record is related to a function or activity with a finite closure date. AC is used to trigger the retention start date. |
| 10 |
Archival |
The Archival Code indicates requirements for records to be sent to archives for long-term preservation or reviewed by the State Archives before destruction. A/I – Transfer to State/University Archivist R/O – Review by State/University Archivist A - The records must be transferred to the Archives and Information Services Division of the Texas State Library and Archives Commission. R - The Archives and Information Services Division must be contacted for an archival review of the records before disposition. Those records determined to be archival must be transferred to the Archives and Information Services Division for long-term preservation. Special Note: Staff of the Archives and Information Services Division conduct archival appraisals on a series-by-series basis. Because of these appraisals, one or more records series of an agency bearing the Archival Code R may be found to lack sufficient archival value to merit transfer to the Archives. |
| 11 |
Remarks |
This column contains citations additional information regarding records retention requirements. |
| 12 |
Legal Citations |
Enter any statute references or other legal citations which pertain to the records series. |
| 13 |
NCO |
Enter a code for the type of series for the record series.
|
| 14 |
Current AIN |
A location reference on the TxDOT Records Retention Schedule used for indexing and citation of official records described in the schedule. The Agency Item Number is a unique alpha-numeric code assigned by TxDOT for each record series on the TxDOT Records Retention Schedule. The elements of this number are a three-letter acronym describing the type of record or the responsible office, followed by two digits indicating the sequence of the record series in the schedule. For example, the agency item number ADM04 indicates records under the Administrative record series. If the action being done to the records series is a change, please provide the Agency Item Number that the series is currently assigned in the approved (certified/recertified) Records Retention Schedule. |