Appendix A: Terms and Definitions
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After Closed (AC) – AC stands for “After Closed” (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 event start date.
Active Records – Active records are defined as documents which require access for on-going business activities and are referred to for day-to-day operations. If a record is still being processed or is referred to at least once a month, then it is considered “active”.
Administrative Email – Administrative email messages are typically subject to State Archives review per the Records Retention Schedule, Agency Item Number ADM01.
Administratively Valuable (AV) – A record series with a retention code of AV (as long as administratively valuable) is not eligible for Records Management Warehouse storage unless a specific retention period and destruction date is assigned to it.
Agency Code – The State Agency Code for TxDOT is assigned number 601 on the Records Retention Schedule.
Agency Item Number (AIN) – A location reference on the TxDOT Records Retention Schedule (RRS) used for indexing and citation of official records described in the schedule. The Agency Item Number (AIN) is a unique alpha-numeric code assigned by TxDOT for each record series on the TxDOT Records Retention Schedule (RRS). 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.
Agency Name – The State Agency Name for Texas Department of Transportation is identified as TxDOT.
Alphabetical File Order – A filing system in which files and documents are arranged in alphabetical order from A to Z.
Alpha-Numeric File Order – A filing system that uses a combination of letters and numbers usually in combination to develop codes for classifying and retrieving information.
American National Standards Institute (ANSI) – The American National Standards Institute (ANSI) is a private, non-profit organization that administers and coordinates the U.S. voluntary standards and conformity assessment system. ANSI works in close collaboration with stakeholders from industry and government to identify and develop standards- and conformance-based solutions to national and global priorities.
Aperture Cards – An electronic data processing card with an opening that contains one frame of microfilm.
Archival Codes – Archival codes (A/I, R/O, A and R) are to be transferred or reviewed as indicated by the Records Retention Schedule to Texas State Library and Archives Commission (TSLAC).
Archival Records – Archival indicates requirements for records to be sent to archives for long-term preservation or reviewed by the State Archives before destruction.
Association of Intelligent Information Management (AIIM) – Association for Intelligent Information Management (AIIM) is a professional organization helps organizations improve their performance by transforming the way they manage their information.
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Bar Codes – A predetermined pattern of vertical lines that can be converted to machine-readable language. Bar Codes are typically used (as a license plate) to identify and manage physical records and equipment.
Biometric Data – The two main types of biometric identifiers are either physiological characteristics or behavioral characteristics. Physiological identifiers relate to the composition of the user being authenticated and include facial recognition, fingerprints/geometry, iris or retina scanning, vein recognition, etc.
Blip – An optical mark that is recorded below a digital image and used for counting or indexing automatically.
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Certified Copy – A copy of a document attested to be a true copy by the official custodian of the official record.
Check-Out Card (Charge Out) – A control procedure designed to identify the current location of a record or information that has removed from its assigned location, or if digital, has been reserved for authorized users.
Color-Coding – The use of color in a filing system to identify file folder or records with certain characteristics to improve speed of access and to reduce the chance of misfiles.
Confidential – A document containing information, the disclosure of which contains personally identifiable information such as government-issued ID number, social security number, address, credit card, or combination of birthdate and name, etc.
Contingency Planning – Contingency planning combines emergency preparation with routine office procedures to help the office continue operations with as little interruption as possible after a disaster.
Convenience Copy – Convenience copies or non-records are exact duplicates of an official record. They are not subject to retention requirements and may be destroyed without formality of a 1420 Records Destruction Form when they are no longer needed.
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Date-Based Organized – A filing system in which files and documents are arranged in date Order such as Year/Month/Day.
Department of Information Resources (DIR) – The Texas Department of Information Resources provides statewide leadership and oversight for management of government information and communications technology.
Destruction – The definitive obliteration of records, regardless of media beyond any possible reconstruction including shredding, recycling, pulping, burning, overwriting, degaussing, or pulverizing to ensure information is unrecoverable.
Diazo Film (Microfilm) – A type of non-archival quality microfilm processed by exposure to ammonia and used as a medium for use of copies of master silver-halide microfilm.
Digitized Images – Any official record may be created or stored electronically. Certified output from electronically digitized images or other electronic data compilations is accepted as official records by any court or administrative agency of this state unless barred by a federal law, regulation, or rule of court.
Disaster Recovery Plan – A Disaster Recovery Plan (DRP), disaster recovery implementation plan is a recorded policy and/or process that is designed to assist TxDOT in executing recovery processes in response to a disaster to protect business IT infrastructure and more generally promote recovery.
Disaster Recovery Team – The Disaster Recovery Team is responsible to resume or sustain operations after a disaster, including handling recovery of their records. The teams should develop and practice disaster recovery and records salvage procedures.
Dispersal – The transfer of duplicate copies of vital records to locations beyond those where the originals are stored. This is a method of protection and back up of vital records if the facility is crippled.
Disposition – The process of disposition in when an official record is destroyed or transferred to Texas State Library and Archives Commission (TSLAC) - State Archives. Dispositioning data in the ordinary course of business is a cost benefit, as well as a way of protecting and securing records for the agency and the public.
Districts and Divisions (DD) – Districts and Division are geographic areas or specific disciplines who oversee projects, services, or administration.
Dots Per Image (DPI) – DPI is used to describe the resolution number of dots per inch in a digital print and the printing resolution of a hard copy print dot gain, which is the increase in the size of the halftone dots during printing.
Drafts – The work-in-progress or preliminary form or version of a document before it becomes a formal record.
Duplicate – An exact copy of the original document.
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Electronic Records – An electronic record is any information created, used and retained in a form that only a computer can process. Electronic records include email, text messages, disaster recovery backup tape, and records that exist on portable media, such as memory sticks, mobile devices, laptops, or computers.
Email Management – E-mail messages created or received by means of state resources, including employees and facilities, are considered official records. Responsibility for appropriate management of e-mail is shared by managers, supervisors, and users.
Enterprise Content Management System – An Enterprise Content Management (ECM) system is a combination of strategy, methods and tools used to capture, manage, store, preserve and deliver information supporting key processes throughout the lifecycle of the record.
Event-Based Organization – A concept wherein once a registered event occurs, the disposition schedule starts. Also see “AC Definition”
Executive Email – Executive email messages are subject to State Archives review per the Records Retention Schedule, Agency Item Number ADM01.
External Device – Any peripheral device that is not housed inside the computer cabinet. Monitors, keyboards, mice, and printers are inherently external devices; however, drives, network adapters and modems may also be external.
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Federal Rules of Civil Procedure (FCRP) – The Federal Rules of Civil Procedure govern civil procedure in United States district courts.
Fiche – See microfiche.
File Guides – A separation device that denotes a section of a records or file and directs the user to that section quickly.
File Management – An effective file management process drives compliance for maintaining files regardless of the media.
File Plan – An index and a location guide to the information in files. It identifies record copy files to manage in accordance with the records retention schedule, retention requirements, and includes records being retained.
Film – See Microfilm
Form (TSLAC) RMD 102 Request for Authority to Dispose of State Records – The RMD 102 form is used for items such as Records Series not identified on the TxDOT Records Retention Schedule (RRS) and for damaged records that have been destroyed before retention due to unforeseen events.
Form (TSLAC) SLR 105 – State of Texas Records Retention. A document prepared for submission of Records Retention Schedules for Certification by using form SLR 105.
Form (TSLAC) SLR 105C – Records Retention Schedule re-certification. After initial certification, a Records Retention Schedule must be submitted to the state records administrator by using Form SLR 105C.
Form (TSLAC) SLR 122 – State Agency Records Retention Schedule Recertification. SLR 122 must be used by all state agencies to submit an amendment to an approved (certified/recertified) agency records retention schedule.
Form (TxDOT) 1419 – Transmittal inventory form used to transfer official records to TxDOT Records Management Warehouse or TSLAC State Archives for archival storage.
Form 1420 – Records Destruction Form used to document the destruction of official records.
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General Counsel Division (GCD) – The General Counsel Division provides legal counsel to the Texas Transportation Commission, TxDOT administration, districts, and divisions. The division drafts administrative rules, testify before legislative committees and serves as legal counsel at commission meetings.
Government Penal Code – Government Penal Code, Section 37.10 specifies a person who intentionally destroys, conceals, removes, or otherwise impairs the verity, legibility, or availability of a government record is considered tampering.
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Hard-Copy – a physical paper media of a document.
Hierarchical – A hierarchical file system is how drives, folders, files, and other storage devices are organized and displayed on an operating system.
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Inactive Records – Inactive records are defined as documents no longer needed to conduct current business; however, they must be preserved until the retention period is met. It is important to purge inactive records from high-cost equipment, office space and on-line servers to control the costs of maintaining records.
Information Reference Copies – See Convenience Copies
Instant Messages – Instant messaging technology is a type of online chat allowing real-time text transmission over the Internet or another computer network. Messages are typically transmitted between two or more parties, when each user inputs text and triggers a transmission to the recipient, who are all connected on a common network. (See Jabber and MS Teams)
International Standards Organization (ISO) – A recognized global professional organization that develops and publishes International Standards for public and government use.
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Jabber – Cisco Jabber delivers instant messaging, voice and video calls, voice messaging, desktop sharing, conferencing, and other collaboration tools.
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Legal Citations – References to cite applicable federal or state laws or regulations affecting retention.
Legal/Litigation Hold Management – A legal hold (also known as a litigation hold) is a notification sent from an organization's legal team to employees instructing them not to delete electronically stored information (ESI) or discard paper documents that may be relevant to a new or imminent legal case.
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Media (Medium) – A general term referring to the material onto which information or data has been recorded and may subsequentially be used. (i.e. Physical Paper, Digital, Microfilm, etc.)
Metadata – Data that summarizes basic information about a record, and which can facilitate tracking, locating, verifying authenticity, or working with specific records or data. Examples include but are not limited to author, date created, date modified, file extension, and file size.
Microfiche Jackets – A flat, transparent, plastic sleeve carrier with single or multiple film channels made to hold single or multiple microfilm strips.
Microfilm – Roll microfilm, microfiche, computer output microfilm (COM), and all other formats produced by any method of microphotography or other means of miniaturization on film.
Mobile Devices – A portable, wireless computing device that is small enough to be used while held in the hand; a handheld: a large selection of laptops, smartphones, PDAs, and other mobile devices.
MS Teams – Microsoft Teams is cloud-based team collaboration software that is part of the Microsoft 365 and Office 365 suite of applications. The core capabilities in Microsoft Teams include business messaging, calling, video meetings and file sharing.
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Non-Confidential Information – Non-Confidential information means the information is considered “public” and has no restrictions for protecting privacy or intellectual property.
Non-Record – Library or museum material made or acquired and preserved solely for reference or exhibition purposes. Items may include extra copies used for convenience or reference, stocks of publications and library materials such as reference books.
Non-Transitory – All other Agency Item Numbers (AINs) identified in the Records Retention Schedule (RRS) are considered non-transitory. All non-transitory information should be memorialized or produced, transcribed, and preserved on a government-designated storage location.
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Office of Primary Record (OPR) – Office of Primary Record (OPR) is the organizational unit or individual(s) responsible for the creation of the official record or has primary responsibility for the operations related to the official record. OPRs are responsible for the management, care, oversight and classification of the records. OPRs can also be the work group that performs the final action on a form, document, or other records.
Official Record – An Official Record (or file) is composed of single or multiple documents, books, papers, photographs, computer-generated or stored data, videos, sound recordings, or other materials, regardless of physical form or characteristics made or received by a state department or institution according to law or in connection with official state business (§441.180(11) Government Code).
Original – The primary or first-generation records that is designated as the official record.
Offline Media – A storage device that is not connected to a server or network.
Offsite Storage – A location, remote from the primary location, at which records are stored, regardless of their format.
OnBase – TxDOT approved system of record (OnBase) with records retention, used for storing non-structured records. Also known as Enterprise Content Management.
On-site Storage – Onsight storage involves storing backup convenience copies in special storage equipment in, or near the office location.
Open Records Request – An Open Records Request is compliance with the Public Information Act, Government Code, Chapter 552, and other statutes relating to the availability of public information.
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Payment Card Industry Data Security Standard (PCI/DSS) – PCI DSS is a security standard, not a law. Compliance with it is mandated by the contracts that merchants sign with the card brands (Visa, MasterCard, etc.) and with the banks that actually handle their payment processing.
PCI Compliant – PCI compliant means that any company or organization that accepts, transmits, or stores the private data of cardholders is compliant with the various security measures outlined by the PCI Security Standard Council to ensure that the data is kept safe and private.
Personally Identifiable Information (PII) – PII is information about an individual that can be used to distinguish or trace an individual's identity. This can include medical, education, financial, and employment information. PII information can either exist as stand-alone content or can be groups of content.
Physical Records Request – Records warehouse requests for the storage, destruction and access of Districts and Divisions physical official records.
Post-Disaster Assessment – Assessing the Disaster Recovery Plan includes evaluating the effectiveness of the recovery procedures, areas of improvement, vendor relations including source services and supplies.
Privacy – The protection of that information more critical to maintain confidentiality and privacy. It is critical to maintain confidentiality and privacy to protect from data breach, stolen identities, loss of privacy and property.
ProjectWise – ProjectWise is a document management (ECM) system used to manage, share and distribute project content within a single platform. ProjectWise streamlines team collaboration and manages engineering and construction documents in a common data environment.
Protected Health Information (PHI) – Health and Safety Code, Title 2 (I), Chapter 181 Medical Records Privacy Protected health information includes all individually identifiable health information, including demographic data, medical histories, test results, insurance information, and other information used to identify a patient or provide healthcare services or healthcare coverage.
Public Information Act (PIA) – The Public Information Act (PIA) focuses on the nature of the communication or document. If the information was created, transmitted, received, or maintained in connection with the transaction of “official business,” defined as “any matter over which a governmental body has any authority, administrative duties, or advisory duties,” the information constitutes public information subject to disclosure under the PIA.
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Record Integrity – Process to ensure that official records are not changed, damaged, or destroyed before their retention period has expired.
Record Life-Cycle – Refers to the stages of document creation, active use, inactive retention/storage and final disposition.
Record Series – 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.
Record Series Item Number – Records Series Item Numbers (RSIN) 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 State of Texas Records Retention Schedule (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.
Records Administrators (RA) – District and Divisions Records Administrators are appointed by the district engineers, division, and office directors to implement and manage the records management program in their respective organizations. This includes the development and maintenance of work unit file pans, coordination and management of routine periodic procedures, oversight and annual submission of current file plans, as well as the verification of the records retention and destruction authorizations of records with supporting documentation as provided by Records Custodians.
Records and Data Manager – Records & Data Manager is designated by the Records Manager Officer. The Records and Data Manager is responsible for the administration, oversight, and adherence to the Records Management Program for TxDOT. This includes the certification of the Records Retention Schedule (RRS) at least every five (5) years, ongoing training and communication with the DD Records Administrators, Records Coordinators and Records Custodians. The Records and Data Manager is responsible for providing consultation to and soliciting feedback and advice from the Records Management Office (RMO), DD Records Administrators and Records Coordinators.
Records Coordinators – District and Divisions Records Coordinators are designated employees who perform recordkeeping tasks under the direction of the Records Administrators for both physical and digital file management. Records Coordinators are accountable for securing and disposing of records and information in their custody and control. This includes the creation, monitoring, and maintenance of the work unit file plan, records storage, records eligible for destruction, and documenting records for destruction by completing the Records Disposition Form (1420) with proper approvals/signatures for execution.
Records Custodian – District and Divisions Records Custodians are Subject Matter Experts (SMEs) responsible for official records related to their respective functional areas or work units/offices. SMEs are responsible for the effective collaboration with DD Records Administrators and Records Coordinators to ensure records are properly classified per the Records Retention Schedule (RRS) and dispositioned according to TxDOT policies, standards, and processes.
Records Management – The application of management techniques to the creation, use, maintenance, retention, preservation, and destruction of state records for the purposes of improving the efficiency of recordkeeping, ensuring access to public information under Chapter 552, and reducing costs. See Section 441.80 for more detail.
Records Management Officer – The person who administers the Records Management Program established in each state agency under Section 441.183.
Records Management Program – The TxDOT Records Management Program is responsible for the administration, oversight, support, and execution of the agency's records.
Records Management Warehouse – TxDOT headquarters storage facility for the storage of inactive records for divisions and offices physical document boxes. Physical offsite storage requires appropriate handling and protection of TxDOT’s physical records, including, but not limited to, paper records, audio tapes, video tapes, and photographs.
Records Management Warehouse Coordinator – Records Management Warehouse Coordinator - is responsible for managing the retention of the physical official records stored at TxDOT’s Records Management Warehouse. Coordinator also manages DD requests for transfer, destruction, and onsite access of physical official records.
Records Retention Schedule – A Records Retention Schedule (RRS) is a document that identifies and describes a state agency's records and the lengths of time that each official record must be retained. The Records Retention Schedule (RRS) must be recertified by the Texas State Library and Archives Commission every five years. Recertification of the Records Retention Schedule (RRS) requires a submission of a SLR 105 Form.
Reduction Ration – The relationship between the dimensions of the original or master and the corresponding reduction dimensions of the microfilmed, imaged or digital files.
Resolution (Imaging) – The number of distinct pixels in each dimension on an image or video. It often refers to the distinct pixels on a line, since formats define the number of lines per field.
Retention Code – The retention code indicated the requirement or 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).
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.
Return on Investment – Return on Investment (ROI) is used to evaluate the efficiency of a process or program.
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Sensitive Personal Information (SPI) – Sensitive Personal Information (SPI) is subject to Texas Public Act, section 552, “Public Information” and Texas Business and Commerce Code 521.002, “Unauthorized Use of Identifying Information”.
Silver Halide Film (Microfilm) – Microfilm that has a photosensitive layer composed of silver halides. It is generally considered original microfilm.
State and Local Records Management Division (SLRM) – TSLAC is designated as the State and Local Records Management Division (SLRM). Responsibilities include providing an infrastructure for managing Texas public records by assisting state and local officials with training, resources, guidelines, and consultation to ensure government information is stored, retained, and made accessible.
Standard Operating Procedure – A Standard Operating Procedure is a set of step-by-step instructions compiled by TxDOT to efficiently perform routine operations.
Subject Matter Expert (SME) – Subject Matter Experts (SMEs) responsible for official records related to their respective functional areas or work units/offices. SMEs are responsible for the effective collaboration with DD Records Administrators and Records Coordinators to ensure records are properly classified per the Records Retention Schedule (RRS) and dispositioned according to TxDOT policies, standards, and processes.
Subject Organization – A filing system in which each document relates to a specific subject matter and is arranged in alphabetical order by subject.
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Temporary Custodian – Temporary Custodian refers to a past or present government official who, in the transaction of official state business, creates or receives public information that they have not provided to the officer for public information of the governmental body.
Texas Administrative Code (TAC) – The Texas Administrative Code (TAC) is a compilation of all state agency rules in Texas. There are 17 titles in the TAC. Specific rules related to managing state records are published in the Texas Administrative Code, Title 13, Chapter 6 as required by the State of Texas Records Retention Schedule (RRS).
Texas Government Code – The Texas Administrative Code (TAC) is a compilation of all state agency rules in Texas. Each title represents a subject category and related agencies are assigned to the appropriate title. In 1977, the TAC was created by the Texas Legislature under the Administrative Code Act (Government Code, §§2002.051-2002.056). Texas Government Code, Subchapter C, Sec. 441.183 requires state agencies to establish and maintain a Records Management Program on a continuing and active basis.
Texas Labor Code – The Texas Labor Code is a broad and diverse body of employment laws that governs labor standards in Texas. It includes standards for issues like wages, fair work practices, discrimination, wage payments, and worker's compensation.
Texas Rules of Civil Procedure (TRCP) – The Texas Rules of Civil Procedure (TRCP) is a set of rules which govern the procedure in the justice, county, and district courts of the State of Texas in all actions of a civil nature.
Texas Senate Bill 944 – Texas Senate Bill 944 was created to ensure an officer, employee, or contractor of a government agency who creates or receives records on a privately-owned device or account provides that information to the government's public information officer or officer's agent for the purposes of protecting information and ensuring transparency.
The Commission – Texas State Library and Archives Commission (TSLAC), also known as “The Commission” - is the governing body over records management for state and local agencies. TSLAC approves TxDOT's Records Retention Schedule and provides records management support and guidance to the agency.
Transitory Information – Records of temporary usefulness that are not an integral part of a records series of an agency. Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of agency functions. Some examples of transitory information, which can be in any medium (voice mail, fax, email, text and instant messaging, etc.) are routine messages; fax transmittal verification printouts, telephone message notifications; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routine information used for communication, but not for the documentation, of a specific agency transaction.
Texas State Library and Archives Commission (TSLAC) – Texas State Library and Archives Commission (TSLAC) also known as “The Commission”, is the governing body over records management for state and local agencies. TSLAC approves TxDOT’s Records Retention Schedule and provides records management support and guidance to the agency.
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Uniform Electronic Transaction Act (UETA) – The Uniform Electronic Transaction Act (UETA), Business and Commerce Code, Chapter 322, is the Texas law that governs the use of electronic signatures.
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Vesicular Film (Microfilm) – A duplicating film made with light-sensitive diazonium salts suspended in a thermoplastic base and developed with heat.
Vinegar Syndrome – Vinegar syndrome is a chemical of degradation that occurs with cellulous acetate film and is characterized by an obvious vinegar smell. Vinegar syndrome is a slow form of chemical deterioration that causes film to shrink, buckle, and emit a strong vinegar odor.
Vital Records – A record which is necessary for TXDOT to do any of the following after a disaster: resume or continue operations, reaffirm authority and activity, including legal and financial positions, and/or protect the rights and interests of the departments and their customers.
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Working Copy – See “Draft”