Throughout the typical workday, it is easy to jot down reminders, take notes during a department meeting, or write down some ideas inspired by a conference presentation or training. Because notes sometimes have a sense of documenting government business and are useful for creating a potential record, you might wonder if what you just scribbled down has a retention to follow.

Notes as Non-Records

For Local Governments, notes created for personal convenience are officially excluded from the definition of a record in the Local Government Records Act (Local Government Code Sec 201.003 (8)(B)). This means ephemeral notes like personal to-do lists (errands, groceries, etc.) or notes taken during training may not be records with retention requirements.†

For State Agencies, the statutory definition of a “state record” does not have a similar specific exclusion for personal notes (Government Code 441.180(11)). However, below there is discussion of how the personal notes of state employees may be considered transitory information.

Notes as Records

Consider a job interview. During the interview, the interviewer takes notes of the discussion and answers to their questions. They are writing down certain statements or keywords that will help them with the evaluation post-interview, perhaps a score for later use. After a full day of interviews with various people, the interviewer refers to their notes to complete evaluations and recalls how they felt about each of the different applicants. They also transfer their notes into the evaluation forms which go on to be the official record.

In this example, the notes are required only for a limited period of time. Under TSLAC standards, the notes are transitory and can be destroyed once the content has been incorporated into a finalized official record.‡

Notes as Official Business

However, let’s say the interviewer kept notes of the interview in a personal notebook. No official notes were created or transferred from the interviewer’s personal notebook, but much of the reasoning behind the applicants’ acceptance or denial was captured. It might be reasonable for those notes to be maintained pursuant to a required minimum retention because they are context to the official government business of employee selection under GR1050-11 Employee Selection Records, or 3.1.014 Employment Selection Records.

Local Government Example: Employee Selection Records

GR1050-11

EMPLOYEE SELECTION RECORDS

Notes of interviews with candidates; audio and videotapes of job interviews; applicant rosters; eligibility lists; test ranking sheets; justification statements for violating eligibility or ranking sequence; and previous injury checks; offers of employment letters; and similar records documenting the filling of a vacant position.

2 years from the creation (or receipt) of the record or the personnel action involved, whichever later.

By regulation – 29 CFR 1602.31, 1602.40, and 1602.49. Retention Note: See GR1050-36 for background and criminal history checks.

State Agency Example: Employment Selection Records

3.1.014

Employment Selection Records

Includes notes of interviews with candidates; questions asked of applicants; audio and videotapes of job interviews; driving record and previous injury checks; pre-employment physical examinations; and all other records that document the selection process, except for those noted in Remarks.

AC+2

AC = Date of the making of the record or the personnel action involved, whichever occurs later.

CAUTION: Does not include criminal history checks; see RSIN 3.1.026. Does not include drug screening test results; see RSIN 3.1.040a/b/c. Does not include pre-employments skills tests; see RSIN 3.3.027 and 3.3.028. Does not include pre-employment polygraph examinations; see RSIN 3.1.043.

29 CFR 1602.31 [State Agencies]. 29 CFR 1602.49(a) [State Universities].

Notes may also be considered a record in the context of ‘Working Files’ for State Agencies or ‘Working Papers’ for Local Governments. Working Files/Papers are different from drafts/memory reminders because they document substantial progress or provide information on major decisions in working record series. Several record series on TSLAC’s schedules call out working files/papers as part of the record series and subject to the prescribed retention period.

Local Government Example: Budgets and Budget Documentation

*GR1025-04c

BUDGETS AND BUDGET DOCUMENTATION

Working papers created exclusively for the preparation of budgets, including budget requests, justification statements, and similar documents.

3 years.

State Agency Example: Strategic Plans

1.1.055

Strategic Plans

Operational strategic plans, which include descriptions of information resources programs, prepared in accordance with Government Code, 2054.095 and 2056.002. Includes working files and related documentation used in creating the final plan.

AC+6

AC = September 1 of odd-numbered calendar years. ARCHIVES NOTE: The final version of Strategic Plans must be submitted to the Texas State Publications Depository Program per 13 TAC 3.3(a)(2)(C). Working files and related documentation used in creating the final plan are not subject to archival review and may be disposed of at the expiration of the retention period.

Special Considerations

Destruction Holds

Be mindful of notes in regards to destruction holds. Destruction holds are instances where a record cannot be destroyed because it is requested as part of or responsive to litigation, a Public Information Request, audit, claim, or negotiation. Further, if there is a request for an old record that has met retention, it cannot be destroyed. It must be produced if requested. Destruction holds may apply to both records and non-records. We recommend discussing with legal counsel or the Office of the Attorney General for more information.

Public Information Act (PIA)

If notes are never destroyed or transferred into an official record, they may still be subject to disclosure under the PIA, depending on their content and use. For more guidance on notes from the perspective of the PIA, we recommend reaching out to the Office of the Attorney General.

Summary

To summarize, purely personal notes created solely as reminders are generally not records. However, we have to be cautious of notes that are meant to be classified under an existing record series within your agency. The content, use, and maintenance of notes all matter. If you are ever unsure about notes, reach out to your analyst!

Footnotes

† To-do lists capturing official tasks could qualify as public information.

‡ If notes are never destroyed or are transferred into an official record, they may still be subject to disclosure under the PIA, depending on their content and use.