• ♦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

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Manual Notice: 2022-1

From: Ann Selissen, CIO Information Technology Division

Manual: Records Management Manual

Effective Date: September 27, 2022

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Purpose

The purpose of this manual notice is to issue changes to all chapters, including new chapters and appendices added to the Records Management Manual.

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Changes

Overview

This version of the Records Management Manual was edited significantly:

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• Added four new chapters (Increased from 10 to 14)
• Added two new appendices
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• Renamed existing chapters and sections
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• Added/omitted sections within chapters
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• Verified and incorporated legal citations, laws, and rules
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• Reorganized content within chapters
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• Provided more detail information to include business examples, hyperlinks, and internal procedures
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• Validated and aligned Texas State Library and Archives Commission (TSLAC), records management requirements
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• Added available training options in PeopleSoft for Records Management

The following Chapters/Appendices are New:

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• Chapter 4 - Protecting and Securing Information
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• Chapter 5 - File Plans
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• Chapter 6 - Document Imaging
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• Chapter 8 - Use of Text and Instant Messaging
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• Appendix A - Terms and Definitions
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• Appendix B - Acronyms

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Contact

For additional information or to recommend improvements to this manual, please contact Records Management.

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Archives

Past manual notices are available in a PDF Archive.