• ♦Manual Notice 2022-1
• ►1. Records Management Program Overview
  • ►1. Legal Requirements and Program Authority
    • ♦Introduction
    • ♦Records Management Intranet Site
    • ♦Records Management Training Courses
    • ♦Official Records, Non-Records and Convenience Copies
    • ♦Terms and Definitions
    • ♦Acronyms
  • ►2. Objectives, Scope, Roles and Responsibilities
    • ♦Objectives
    • ♦Scope
    • ♦Program Responsibilities
    • ♦Program Responsibilities of Districts and Divisions
    • ♦Records Management Roles and Responsibilities
    • ♦Records Management Hierarchy
• ►2. Official Record Responsibility
  • ►1. Managing Electronic Records
    • ♦Official Record 
    • ♦Characteristics of an Official Record 
    • ♦Convenience Copies or Non-Records
    • ♦Transitory Information 
    • ♦ Electronic Official Records and the Official Record Concept 
  • ►2. Office of Primary Responsibility (OPR)
    • ♦Office of Primary Responsibility
    • ♦Determining the Office of Primary Responsibility for Records
    • ♦Example of Office of Primary Responsibility 
    • ♦Coordinating Responsibility 
• ►3. Records Retention Schedule
  • ►1. Purpose and Responsibilities
    • ♦Purpose
    • ♦Record Retention Schedule Roles and Responsibilities
  • ►2. Description and Structure
    • ♦Description 
    • ♦Agency Item Number
    • ♦ Contents of the Records Retention Schedule: 
    • ♦Records Retention Schedule Structure 
  • ►3. Amending the Records Retention Schedule
    • ♦Overview
    • ♦ Amendments to the Records Retention Schedule:
    • ♦Unnecessary Records Retention Schedule Changes:
    • ♦ Adding New Records Series
    • ♦Coordination and Approval of Amendments
  • ►4. Authority to Dispose of Official Records by Texas State Library and Archives Commission
    • ♦RMD 102 Form – Request for Authority to Dispose of State Records
• ►4. Protecting and Securing Information
  • ►1. Disposition and Security of Information
    • ♦Overview
    • ♦Disposition of Information
    • ♦Information Security
  • ►2. Identifying Information Types
    • ♦Confidential Information
    • ♦Sensitive Data
    • ♦Sensitive Personal Information (SPI)
    • ♦ Personal Identifying Information (PII)
  • ♦3. Protecting Information 
• ►5. File Plan
  • ♦1. Overview on File Plans
  • ♦2. File Plan Template
• ►6. Document Imaging
  • ►1. Document Imaging Legal Requirements
    • ♦Overview
  • ►2. Planning Before Document Imaging
    • ♦Step 1 – Creating Standard Operating Procedures (SOP)
    • ♦Step 2 – Conducting a Quality Control Process on Imaged Documents
    • ♦Step 3 - Destroying Paper Records After Document Imaging  
  • ♦3. Benefits for Document Imaging
  • ♦4. Document Imaging Cost Considerations
  • ►5. Considerations of Imaging Documents
    • ♦Considerations Before Imaging Documents:
  • ♦6. Industry Standards and Digital Imaging Requirements
• ►7. Electronic Records
  • ►1. Definition of Electronic Records and Overview
    • ♦Definition of Electronic Record 
  • ►2. Requirements for Managing Electronic Records
    • ♦Records Management Requirements 
  • ►3. Other Policies and Regulations
    • ♦Texas Senate Bill 944 – 86th Legislative Session 
    • ♦Public Information Act (PIA)
    • ♦Information Security Policy
    • ♦Government Penal Code
  • ►4. General Practices for Managing Electronic Records
    • ♦Official Records Versus Non-Records 
    • ♦Electronic Official Records 
    • ♦Non-Records (Drafts and Convenience Copies) 
    • ♦Retaining Electronic Records
    • ♦Using Offline Media
    • ♦Maintaining Offline Media
    • ♦Protecting Record Integrity
  • ►5. Digital Signatures and Certificates
    • ♦Digital Signature and Authenticity Considerations 
  • ►6. Managing Email Records
    • ♦Managing Email Records  
    • ♦Classifying Email 
    • ♦Capturing Email for Retention
  • ►7. Records Management in an Enterprise Content Management Systems
    • ♦Enterprise Content Management Systems
    • ♦OnBase Records Management User Guides
    • ♦ Enterprise Content Management Record Ownership Responsibility and Authority
    • ♦State Archives Requirements for Electronic Records
  • ►8. Risk Management and Electronic Records
    • ♦Legal Use of Electronic Records
    • ♦ Preparing for Discovery for Electronic Records
• ►8. Use of Text and Instant Messaging
  • ►1. Overview
    • ♦Laws, Regulations and Penalties
  • ►2. Official Record and Transitory Information
    • ♦Official Record 
    • ♦Transitory Information for Text and Instant Messages
    • ♦Non-Transitory Records
  • ♦3. The Use of Text and Instant Messaging
• ►9. File Management
  • ►1. Organizing Files
    • ♦Overview and General Principles 
    • ♦Organizing for Retrieval 
    • ♦Basic File Arrangements
    • ♦Hierarchical Groupings
  • ►2. File Life-Cycle Management
    • ♦File Location  
    • ♦File Naming and Organization
    • ♦Benefits of Consistent File & Folder Naming:
    • ♦Electronic File Naming
    • ♦Date-Based File Organization
    • ♦Event-Based File Organization
    • ♦File Naming
    • ♦E-mail Management
    • ♦Basic Guidelines
  • ►3. Hard Copy File Management
    • ♦Visual Techniques
    • ♦File Coding
    • ♦Minor Groups and Codes
    • ♦Organizing and Labeling File Folders and Guides
    • ♦ Setting Up Files
    • ♦Preparing File Guides 
    • ♦Preparing Folder Labels and Color Coding
    • ♦Preparing File Drawer Labels
    • ♦Coding Records for Filing
    • ♦ Cross-References 
    • ♦ Charge-Out Card
• ►10. Inactive Records
  • ►1. Active Records Opposed to Inactive Records
    • ♦Life Cycle of Records
    • ♦Active Records
    • ♦Inactive Records
    • ♦Benefits of Utilizing Inactive Storage
    • ♦Records Eligible for Storage at the TxDOT Records Management Warehouse
    • ♦Storage Locations
    • ♦Recommended Storage Requirements for Paper Records
    • ♦Selecting Records for Storage
  • ►2. Transferring Physical Records to Storage
    • ♦Procedural Overview
    • ♦Steps for Transferring Physical Records to Records Management Warehouse
  • ►3. Transmittal and Storage Documentation
    • ♦1419 Records Transmittal Form Overview
    • ♦Instructions for Completing 1419 Records Transmittal Form
  • ►4. Receipt and Storage Location
    • ♦Receipt Procedures
  • ►5. Requesting Physical Records from TxDOT Records Warehouse
    • ♦Procedure
    • ♦Requesting Microfilm Records from the Records Management Warehouse
    • ♦ Monitoring of Checked-Out Records
  • ►6. Storage Areas and Equipment
    • ♦Introduction
    • ♦Record Location Aids
    • ♦Types of Storage Boxes
    • ♦Storage Box Descriptions
• ►11. Archiving and Destroying Records
  • ►1. Overview
    • ♦Disposition and Destruction
    • ♦Authorization for Destruction
    • ♦Disposition of Records
    • ♦Advantages of Timely Disposal
    • ♦Records Eligible for Destruction
    • ♦Withholding Records from Destruction
  • ►2. Record Destruction Procedures
    • ♦Destruction of Records Retained Locally
    • ♦Electronic Deletion of Records Stored on Devices
  • ►3. 1420 Records Destruction Form
    • ♦Overview
    • ♦How to Complete the 1420 Records Destruction Form
  • ►4. Confidential Records
    • ♦Destruction of Confidential Records
    • ♦Destruction of Non-Confidential Records
  • ►5. Archival Review
    • ♦Archival Records
    • ♦Identifying Archival Records
    • ♦Transfer of Archival Records
• ►12. Vital Records
  • ►1. Identifying Vital Records
    • ♦Vital Records
    • ♦Identifying Vital Records
    • ♦Responsibility for Vital Records
    • ♦Common Vital Records
  • ►2. Threats and Protection
    • ♦Introduction
    • ♦Potential Threats to Records
    • ♦Methods of Records Protection
    • ♦Storage Equipment and Conditions
• ▼13. Disaster Recovery Planning
  • ►1. Overview
    • ♦General – Steps in Disaster Recovery Planning
    • ♦Vital Records Protection
    • ♦General Risk Assessment
  • ►2. Disaster Prevention
    • ♦Recognizing Threats to Records
    • ♦Methods of Protection
  • ►3. Developing a Disaster Recovery Plan
    • ♦General - What the Plan Involves
    • ♦Emergency Supplies and Services
    • ♦Disaster Recovery Team
    • ♦Recovery Team Responsibilities
    • ♦Salvaging Water-Damaged Records
    • ♦Diskettes require the following steps:
    • ♦Magnetic Tape that has become wet has a good chance for recovery through these steps:
    • ♦Compact Disk or other Optical Media require these steps:
    • ♦Contingency Planning
• ►14. Microfilming Records
  • ►1. Overview
    • ♦Introduction
    • ♦Microfilmed Records
    • ♦General Guidelines
    • ♦Microfilming and Microfilm Formats
    • ♦Microfilm Formats
  • ►2. Microfilm Procedures
    • ♦Standards for Original Microfilm
    • ♦Standards for Microfilm Duplicates
    • ♦Film Specifications
    • ♦Microfilm Project Procedural Outline
    • ♦Microfilm Job Specifications
    • ♦Preparing Records for Microfilming
    • ♦Original Microfilm and Security Back-Up
    • ♦Disposition of Source Documents
  • ►3. Microfilm Requirements
    • ♦Storage Environment
    • ♦Storage Facility Requirements for Original Microfilm Media
    • ♦Standards for Microfilm Containers
    • ♦Inspection of Stored Original Microfilm.
    • ♦Vinegar Syndrome
    • ♦A-D Strip Testing
    • ♦Microfilm Equipment
    • ♦Selecting Equipment
    • ♦Maintenance of Equipment
    • ♦Integrating Microfilm and Emerging Technologies
• ►A. Terms and Definitions
• ♦B. Acronyms

Chapter 13: Disaster Recovery Planning

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Section 1: Overview

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General – Steps in Disaster Recovery Planning

A disaster is generally defined as an event that causes widespread destruction and distress. When a disaster causes the irreparable loss of information, it may be called a catastrophe. This chapter contains information to help Districts and Divisions plan and respond for disasters.

Disaster recovery planning includes the following steps:

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• Disaster prevention measures.
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• Development of a Disaster Recovery Plan.
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• Development of disaster recovery and records salvage procedures.

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Vital Records Protection

The Texas State Library and Archives Commission requires each state agency to provide for the economical and efficient storage, accessibility, protection, and final disposition of vital records. It is important to identify and take adequate steps to protect confidential and vital records, in order to rapidly retrieve records from backup convenience copies after a disaster.

TxDOT has a legal responsibility to protect all records; however, confidential, vital, or essential records require extra consideration and protection because they are the records that are necessary to resume or continue essential business operations in the event of a business disruption.

The risk management process involves understanding the business impact, risk analysis and assessment of records to determine the proper strategy to protect vital records. Methods of protection will vary depending on the format of the vital or essential record and the accessibility timeframe.

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General Risk Assessment

Records risk assessment is the process of evaluating the existing or potential risks to official records and information. The baseline assessment involves the following:

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• Conducting physical site surveys of any or all storage sites to determine existing security and controls.
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• Evaluating existing security and control measures to identify threats to official records.
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• Identifying the natural and other community-wide disasters to which the agency is susceptible.
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• Identifying vulnerability to acts of deliberate destructiveness, building failure, equipment failure, and human error or carelessness.