RETENTION AND DESTRUCTION OF RECORDS  
 
Authorities:  34 C.F.R. §§ Parts 75, 80, 300; 19 T.A.C. Chapter 101; Texas Government Code; Texas Local Government Code; Texas State Library and Archives Commission Local Schedule
 
 
 
FEDERAL AND STATE REQUIREMENTS CITATIONS
RECORDS RETENTION SCHEDULES


P The director and librarian, under the direction of the Texas State Library and Archives Commission, prepares and distributes records retention schedules for each type of local government, including a schedule for records common to all types of local government. TGC 441.158(a)

P Each records retention schedule must: TGC 441.158(b)

P
  • List the various types of records of the applicable local government;
TGC 441.158(b)(1)

P
  • State the retention period prescribed by a federal or state law, rule of court, or regulation for records for which a period is prescribed; and
TGC 441.158(b)(2)

P
  • Prescribe retention periods for all other records.
TGC 441.158(b)(3)

P Prescribed retention periods have the same effect as if prescribed by law after the records retention schedule is adopted as a rule of the Texas State Library and Archives Commission. TGC 441.158(b)(3)

DEFINITIONS


P The term director and librarian means the executive and administrative officer of the Texas State Library and Archives Commission, respectively. TLGC 201.003(4)

P The term local government means a county, including all district and precinct offices of a county, municipality, public school district, appraisal district, or any other special-purpose district or authority. TLGC 201.003(7)

P The term local government record means any document, paper, letter, book, map, photograph, sound or video recording, microfilm, magnetic tape, electronic medium, or other information recording medium, regardless of physical form or characteristic and regardless of whether public access to it is open or restricted under the laws of the state, created or received by a local government or any of its officers or employees pursuant to law, including an ordinance, or in the transaction of public business. TLGC 201.003(8)

P A local government record does not include: TLGC 201.003(8)

P
  • Extra identical copies of documents created only for convenience of reference or research by officers or employees of the local government;
TLGC 201.003(8)(A)

P
  • Notes, journals, diaries, and similar documents created by an officer or employee of the local government for the officer's or employee's personal convenience;
TLGC 201.003(8)(B)

P
  • Blank forms;
TLGC 201.003(8)(C)

P
  • Stocks of publications;
TLGC 201.003(8)(D)

P
  • Library and museum materials acquired solely for the purposes of reference or display;
TLGC 201.003(8)(E)

P
  • Copies of documents in any media furnished to members of the public to which they are entitled under the Public Information Act (PIA), or other state law; or
TLGC 201.003(8)(F)

P
  • Any records, correspondence, notes, memoranda, or documents, other than a final written agreement associated with a matter conducted under an alternative dispute resolution procedure in which personnel of a state department or institution, local government, special district, or other political subdivision of the state participated as a party, facilitated as an impartial third party, or facilitated as the administrator of a dispute resolution system or organization.
TLGC 201.003(8)(G)

P The term records retention schedule means a document issued by the Texas State Library and Archives Commission under authority of the subchapter on the Preservation and Management of Local Government Records in the Texas Government Code, establishing mandatory retention periods for local government records. TLGC 201.003(15)
TGC 441.158

P The term retention period means the minimum time that must pass after the creation, recording, or receipt of a record, or the fulfillment of certain actions associated with a record, before it is eligible for destruction. TLGC 201.003(16)

USE OF LOCAL SCHEDULE SD


P Local Schedule SD sets mandatory minimum retention periods for records commonly found in local educational agencies (LEAs), and is for the use of: Local Schedule SD Intro

P
  • LEAs of all types;
Local Schedule SD Intro

P
  • Regional educational service centers;
Local Schedule SD Intro

P
  • Educational cooperatives for special education or other purposes;
Local Schedule SD Intro

P
  • Rehabilitation districts;
Local Schedule SD Intro

P
  • County industrial training school districts;
Local Schedule SD Intro

P
  • County vocational districts; and
Local Schedule SD Intro

P
  • Active offices of county superintendents of schools and county departments of education.
Local Schedule SD Intro

LEAS GOVERNED BY STATE AGENCIES OR STATE BOARDS


P The State and Local Records Management Division of the Texas State Library and Archives Commission determines the extent to which the following LEAs governed by state boards use Local Schedule SD: Local Schedule SD Intro

P
  • Texas School for the Blind and Visually Impaired;
Local Schedule SD Intro

P
  • Texas School for the Deaf;
Local Schedule SD Intro

P
  • University of North Texas Academy of Mathematics and Science; and
Local Schedule SD Intro

P
  • Any schools governed by state agencies such as the Texas Juvenile Justice Department, the Department of Aging and Disability Services, etc.
Local Schedule SD Intro

LOCAL SCHEDULE SD ABBREVIATIONS


P Abbreviations used in Local Schedule SD include: Local Schedule SD Intro

P
  • AV - As long as administratively valuable;
Local Schedule SD Intro

P
  • CE - Calendar year end;
Local Schedule SD Intro

P
  • CFR - Code of Federal Regulations;
Local Schedule SD Intro

P
  • FE - Fiscal year end;
Local Schedule SD Intro

P
  • TAC - Texas Administrative Code;
Local Schedule SD Intro

P
  • US - Until Superseded; and
Local Schedule SD Intro

P
  • LA - Life of Asset.
Local Schedule SD Intro

RETENTION PERIOD


P Unless otherwise stated, the retention period for a record: Local Schedule SD Intro

P
  • Is in calendar years from the date of the record's creation; and
Local Schedule SD Intro

P
  • Applies only to an official record and not to convenience or working copies created for informational purposes.
Local Schedule SD Intro

P Certain records are assigned the retention period of AV, and this retention period affords local governments the maximum amount of discretion in determining a specific retention period for a record. Local Schedule SD Intro

MULTIPLE COPIES AND THE OFFICIAL RECORD


P Where several copies are maintained, each local government should decide: Local Schedule SD Intro

P
  • Which copy will be the official record; and
Local Schedule SD Intro

P
  • In which of its divisions or departments it will be maintained.
Local Schedule SD Intro

P Local government records management programs should establish policies and procedures to provide for the systematic disposal of copies. Local Schedule SD Intro

MULTIPLE RECORDS MAINTAINED TOGETHER


P For a record maintained in a bound volume with pages not designed for removal, the retention period dates from the date of last entry, unless otherwise stated. Local Schedule SD Intro

P If two or more records are maintained together and are not severable, the combined record must be retained for the length of time of the component with the longest retention period. Local Schedule SD Intro

ELECTRONICALLY STORED DATA


P The retention period for a record applies to the record regardless of the medium in which it is maintained. Local Schedule SD Intro

P Electronically stored data that is used to create in any manner a record or the functional equivalent of a record, as described in Local Schedule SD, must be retained, along with the hardware and software necessary to access the data, for the retention period assigned to the record, unless the backup copies of the data generated from electronic storage are retained in paper or on microfilm for the retention period. Local Schedule SD Intro

OTHER LOCAL SCHEDULES


P The LEAs must consult Part 6 of Local Schedule CC (Records of County Clerks) regarding the retention periods for records of abolished offices of county superintendents of schools that may be in the custody of the LEAs. Local Schedule SD Intro

P Local Schedule SD should be used in conjunction with Local Schedule GR (Records Common to All Governments) and Local Schedule TX (Records of Property Taxation). Local Schedule SD Retention Notes

P In any instances of conflict between retention periods among Local Schedule SD, Local Schedule GR, or Local Schedule TX, the retention periods in Local Schedule SD take priority. Local Schedule SD Retention Notes

GRANT RECORDS


P LEAs maintain many records includable among the general administrative, financial, and personnel record series in Local Schedule GR, especially those relating to: Local Schedule SD Retention Notes

P
  • Grant allocations;
Local Schedule SD Retention Notes

P
  • Funding; and
Local Schedule SD Retention Notes

P
  • Reporting.
Local Schedule SD Retention Notes

RETENTION OF FEDERAL FINANCIAL AND PROGRAM RECORDS


P The five-year retention period frequently established for records of school districts in Local Schedules SD and GR derives from federal requirements governing the retention of financial and programmatic records, including: Local Schedule SD Retention Notes
75.730
75.731
75.732

P
  • Supporting documents, statistical reports, and other records pertinent to program regulations or the grant agreement relating to projects or programs funded by the Department of Education through subgrants using federal funds from the Texas Education Agency (TEA).
Local Schedule SD Retention Notes
75.730
75.731
75.732

P Federal regulations require that all records of the types mentioned must be available for audit for three years after the date of submission of the single or last expenditure report by the TEA as subgrantor, not by the school district. Because final expenditure reports are submitted by the TEA after all reports from districts are received, a five-year retention period for many records of school districts is necessary to satisfy this requirement adequately. Local Schedule SD Retention Notes

P If an audit is pending in which an expenditure or the eligibility of the child to participate in a federal program is questioned, then all records affecting the outcome of the audit must be retained until the audit is settled. Local Schedule SD Retention Notes

P Copies of reports or records submitted to the TEA will be retained by school districts in accordance with Local Schedule SD. Local Schedule SD Retention Notes

RETENTION: LOCAL SCHEDULE SD


P The LEA must comply with the applicable parts and sections of Local Schedule SD when determining retention rate of records, such as: Local Schedule SD
TLGC 203.042

P
  • Academic records;
Local Schedule SD Part 1

P
  • Family Educational Rights and Privacy Act (FERPA) records;
Local Schedule SD Part 2

P
  • Records of special populations and services including:
Local Schedule SD Part 3

P
    • Special education program records;
Local Schedule SD Part 3-1

P
    • Bilingual and special language program records;
Local Schedule SD Part 3-2

P
    • Gifted/Talented program records;
Local Schedule SD Part 3-3

P
    • Section 504 program records;
Local Schedule SD Part 3-4

P
    • Dyslexia program records;
Local Schedule SD Part 3-5

P
    • Migrant Student Record Transfer System records; or
Local Schedule SD Part 3-6

P
    • Other special populations records;
Local Schedule SD Part 3-7

P
  • Attendance records;
Local Schedule SD Part 4

P
  • Health records; 
Local Schedule SD Part 5

P
  • Instruction and grade reporting records;
Local Schedule SD Part 6

P
  • Discipline and counseling records;
Local Schedule SD Part 7

P
  • Adult and vocational education records;
Local Schedule SD Part 8

P
  • Drivers education records;
Local Schedule SD Part 9

P
  • Accreditation records;
Local Schedule SD Part 10

P
  • Food service records;
Local Schedule SD Part 11

P
  • Textbook records;
Local Schedule SD Part 12

P
  • Transportation records;
Local Schedule SD Part 13

P
  • School safety records;
Local Schedule SD Part 14

P
  • Financial records;
Local Schedule SD Part 15

P
  • Personnel and staffing records including: 
Local Schedule SD Part 16

P
    • Individual employee records; and
Local Schedule SD Part 16-1

P
    • Staffing records;
Local Schedule SD Part 16-2

P
  • Miscellaneous reports and surveys;
Local Schedule SD Part 17

P
  • Miscellaneous records; and
Local Schedule SD Part 18

P
  • Library records.
Local Schedule SD Part 19

RETENTION OF TEST ADMINISTRATION DOCUMENTATION


P As part of test administration procedures, the LEA must maintain records related to the security of assessment instruments for a minimum of five years. 101.3031(d)

REQUIREMENT TO RETAIN


P A local government record must not be destroyed if: TLGC 202.002

P
  • The subject matter of the record is known by the custodian to be in litigation;
TLGC 202.002(a)

P
  • There is a pending request for disclosure under the PIA;
TLGC 202.002(b)

P Local Schedule SD Intro

P
  • The record is subject to a pending audit by a federal or state grantor or subgrantor agency or, if questions remain unresolved from a conducted audit until audit finds are resolved; or
Local Schedule SD Intro

P
  • There is a pending claim, administrative review, or other action involving the record.
Local Schedule SD Intro

DESTRUCTION


P Destruction means physical destruction or removal of personal identifiers from information so that the information is no longer personally identifiable. 300.611(a)

P A local government record may be destroyed if: TLGC 202.001(a)

P
  • The record is listed on a records control schedule accepted by the director and librarian and its retention period has expired or it has been microfilmed or stored electronically;
TLGC 202.001(a)(1)
TLGC 203.041
TLGC 204.007
TLGC 204.008
TLGC 205.008

P
  • The record appears on a list of obsolete records approved by the director and librarian;
TLGC 202.001(a)(2)
TLGC 203.044

P
  • A destruction request is filed with and approved by the director and librarian for a record not listed on an approved control schedule;
TLGC 202.001(a)(3)
TLGC 203.045

P
  • An expunction order issued by a district court pursuant to state law directs the destruction of the record; or
TLGC 202.001(b)(1)

P
  • The record is defined or listed as exempt from scheduling or filing requirements by Texas State Library and Archives Commission rules.
TLGC 202.001(b)(2)

P Subject to any policies developed in each local government or elective county office regarding destruction, the custodian or the creator of the document may exercise discretion in disposing of material that is not included in the definition of a local government record and that is not described as: TLGC 202.006(a)

P
  • Extra identical copies of documents created only for convenience of reference or research by officers or employees of the local government;
TLGC 201.003(8)(A)

P
  • Notes, journals, diaries, and similar documents created by an officer or employee of the local government for the officer's or employee's personal convenience; and
TLGC 201.003(8)(B)

P
  • Blank forms.
TLGC 201.003(8)(C)

METHOD OF DESTRUCTION


P Local government records, including extra identical copies, to which public access is restricted under the PIA, or other state law, may be destroyed only by: TLGC 202.003(b)
TLGC 202.006(b)

P
  • Burning;
TLGC 202.003(b)

P
  • Pulping; or
TLGC 202.003(b)

P
  • Shredding.
TLGC 202.003(b)

P A local government record, to which access is not restricted under the PIA, or other state law may be destroyed only by: TLGC 202.003(a)

P
  • Burning;
TLGC 202.003(a)

P
  • Pulping:
TLGC 202.003(a)

P
  • Shredding;
TLGC 202.003(a)

P
  • Burial in a landfill; or
TLGC 202.003(a)

P
  • Sale or donation for recycling purposes.
TLGC 202.003(a)

P A local government that sells or donates records for recycling purposes must establish procedures for ensuring that the records are rendered unrecognizable as local government records by the recycler. TLGC 202.003(c)

P Local governments in their records management programs should establish policies and procedures to provide for the systematic disposal of copies. Local Schedule SD Intro

P The director and librarian may approve other methods of destruction that render the records unrecognizable as local government records. TLGC 202.003(d)

DAMAGED RECORDS


P A record whose minimum retention period has not yet expired and is less than permanent may be disposed of if: Local Schedule SD Intro

P
  • It has been so badly damaged by fire, water, or insect or rodent infestation as to render it unreadable; or
Local Schedule SD Intro

P
  • Portions of the information in the record have been so thoroughly destroyed that remaining portions are unintelligible.
Local Schedule SD Intro

P If the retention period for the record is permanent, authority to dispose of the damaged record must be obtained from the director and librarian, and the Request for Authority to Destroy Unscheduled Records (Form SLR 501) should be used for this purpose. Local Schedule SD Intro

ALIENATION OF RECORDS


P A records management officer or custodian may temporarily transfer a local government record to a person for the purposes of: TLGC 202.004(c)

P
  • Microfilming;
TLGC 202.004(c)

P
  • Duplication;
TLGC 202.004(c)

P
  • Conversion to electronic media;
TLGC 202.004(c)

P
  • Restoration; or
TLGC 202.004(c)

P
  • Similar records management and preservation procedures.
TLGC 202.004(c)

LIABILITY AND PENALTY


P A custodian of local government records, records management officer, or other officer or employee of a local government may not be held personally liable for the destruction of a local government record if the destruction is in compliance with the Local Government Code and rules adopted under it. TLGC 202.007

P An officer or employee of a local government commits a Class A misdemeanor if the officer or employee knowingly or intentionally violates the Local Government Code or rules adopted under it by: TLGC 202.008

P
  • Destroying or alienating a local government record in violation of the Local Government Code; or
TLGC 202.008

P
  • Intentionally failing to deliver records to a successor in office.
TLGC 202.008
TLGC 201.006(a)

 
 
Last Updated: Wednesday, April 19, 2017