{"id":16607,"date":"2021-11-15T09:56:34","date_gmt":"2021-11-15T15:56:34","guid":{"rendered":"https:\/\/www.tsl.texas.gov\/slrm\/blog\/?p=16607"},"modified":"2025-02-13T08:44:48","modified_gmt":"2025-02-13T14:44:48","slug":"how-do-i-recertify-my-state-agency-retention-schedule","status":"publish","type":"post","link":"https:\/\/www.tsl.texas.gov\/slrm\/blog\/2021\/11\/how-do-i-recertify-my-state-agency-retention-schedule\/","title":{"rendered":"How Do I Recertify My State Agency Retention Schedule?"},"content":{"rendered":"\n

by Brianna Cochran<\/em><\/p>\n\n\n\n

For state agency Records Management Officers or liaisons tasked with recertifying their agency’s records retention schedule, the process can seem a bit overwhelming. This article will help break the process down into more manageable steps.<\/p>\n\n\n\n

Note: This article only applies to state agencies. For local governments looking to customize their local retention schedules, see this article<\/a>.<\/strong><\/em><\/p>\n\n\n\n

Overview<\/strong><\/p>\n\n\n\n

First, let’s look at an overview of the recertification process. \u201cRecertification<\/strong>\u201d or “certification<\/strong>” is the process of reviewing and updating your agency\u2019s records retention schedule and analysts often call the schedule you\u2019re updating a \u201crecert<\/strong>\u201d. <\/p>\n\n\n\n

Most state agencies recertify their retention schedules every 5 years but check with your assigned analyst<\/a> if you\u2019re a new agency, because your first two recertifications require shorter review periods. Agencies can also update schedules at any time by submitting an \u201camendment<\/a><\/strong>\u201d, but this article focuses on how to recertify <\/em>schedules. Generally, these are the steps to recertify state agency retention schedules:<\/p>\n\n\n\n

\"Shows<\/figure><\/div>\n\n\n\n

The recertification process is not always so linear. Some parts of the process are more cyclical. For example, some very complex or older schedules may require multiple rounds of corrections and sometimes corrections are required after Step 5: Archives Review<\/em>. In any case, when first learning the process it helps to understand those six basic steps, so let’s look at those steps in more detail:<\/p>\n\n\n\n

1. Recert Notice Period<\/strong><\/h4>\n\n\n\n
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Six months before your recert is due, your analyst will send your agency a recert notice letter and email reminding you of your recert due date. During this 6-month period, you will review and prepare an updated retention schedule for submission. You’ll want to follow the instructions in your <\/span>Recertification Packet (PDF)<\/a> closely and ask your analyst if you have any questions.<\/span> See <\/span>Step 2: Submit Materials<\/em> for more details about what to submit.<\/span> Bulletin 3 outlines the minimum requirements for recertification in <\/span>Section 6.5<\/a> and we also explain our review criteria in <\/span>Step 3: Analyst Review.<\/em> <\/span> <\/p>\n<\/div>\n\n\n\n

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\"\"<\/figure>\n<\/div>\n<\/div>\n<\/div><\/div>\n\n\n\n
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(a) To be a candidate for certification, a records retention schedule must:<\/p>

(1) list all records series maintained by the state agency, regardless of medium;<\/p>

(2) indicate whether the records are archival state records or state records that must be reviewed by the state archivist for potential archival value prior to their destruction;<\/p>

(3) ensure that state records maintained by the state agency listed in the Texas State Records Retention Schedule<\/a> or Texas State University Records Retention Schedule<\/a> are retained for the minimum periods prescribed in the schedules;<\/p>

(4) ensure that state records not listed in the Texas State Records Retention Schedule<\/a> are kept for a length of time sufficient to meet administrative, legal, fiscal, and archival requirements; and<\/p>

(5) be submitted in a manner and form prescribed by the state records administrator.<\/p>Bulletin 3: 13 TAC \u00a76.5<\/a><\/cite><\/blockquote>\n<\/div>\n<\/div>\n\n\n\n

2. Submit Materials <\/strong><\/h4>\n\n\n\n

After you’ve prepared an updated schedule, the next step is to submit your materials. To submit a retention schedule for recertification, email the following files to your assigned analyst:<\/p>\n\n\n\n

  1. SLR 105C (PDF)<\/a>. <\/strong>The 105C is a cover page for your recertification and is included in your agency’s Recertification Packet (PDF)<\/a>. <\/li><\/ol>\n\n\n\n

    <\/p>\n\n\n\n

    1. SLR 105 (Excel)<\/a>. <\/strong>This spreadsheet is your agency’s revised retention schedule\u2014the “recertification” or “recert”. See Instructions for Completing Form SLR 105 (PDF)<\/a> for more information. <\/li><\/ol>\n\n\n\n

      What if you need an extension? <\/strong>If your agency isn\u2019t ready to submit a recert by the deadline, you may request an extension by emailing your analyst. Analysts can issue a maximum of four 3-month extensions.<\/p>\n\n\n\n

      3. Analyst Review<\/strong><\/h4>\n\n\n\n

      After your analyst receives your recert, we review the submission and write a Review Memo documenting required and suggested revisions. \u201c<\/span>Required<\/strong>\u201d revisions are any corrections you\u2019re required to make to your schedule in order for it to be approved.<\/span> \u201c<\/span>Suggested<\/strong>\u201d revisions are optional changes you may want to\u2014but are not required to\u2014implement.<\/span> See below for examples of required and suggested revisions:<\/p>\n\n\n\n

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      Required Revisions<\/strong><\/p>\n\n\n\n

      We won’t approve your schedule unless:<\/strong><\/p>\n\n\n\n

      1. Retention periods meet or exceed the minimums required by the:<\/strong>