Local Schedule GR

RETENTION SCHEDULE FOR RECORDS COMMON TO ALL LOCAL GOVERNMENTS

(Revised Fourth Edition, Effective July 4, 2012)
13 TAC §7.125(a)(1)

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This schedule establishes mandatory minimum retention periods for records that are usually found in all local governments, regardless of type. No local government office may dispose of a record listed in this schedule prior to the expiration of its retention period. A records control schedule of a local government may not set a retention period that is less than that established for the record in this schedule. Original paper records may be disposed of prior to the expiration of their minimum retention periods if they have been microfilmed or electronically stored pursuant to the provisions of the Local Government Code, Chapter 204 or Chapter 205, as applicable, and rules of the Texas State Library and Archives Commission adopted under those chapters. Actual disposal of such records by a local government is subject to the policies and procedures of its records management program.

Destruction of local government records contrary to the provisions of the Local Government Records Act of 1989 and administrative rules adopted under it, including this schedule, is a Class A misdemeanor and, under certain circumstances, a third degree felony (Penal Code, Section 37.10).  Anyone destroying local government records without legal authorization may also be subject to criminal penalties and fines under the Public Information Act (Government Code, Chapter 552).

INTRODUCTION

The Government Code, Section 441.158, provides that the Texas State Library and Archives Commission shall issue records retention schedules for each type of local government, including a schedule for records common to all types of local government. The law provides further that each schedule must state the retention period prescribed by federal or state law, rule of court, or regulation for a record for which a period is prescribed; and prescribe retention periods for all other records, which periods have the same effect as if prescribed by law after the records retention schedule is adopted as a rule of the Commission.

The retention period for a record applies to the record regardless of the medium in which it is maintained. Some records listed in this schedule are maintained electronically in many offices, but electronically stored data used to create in any manner a record or the functional equivalent of a record as described in this schedule must be retained, along with the hardware and software necessary to access the data, for the retention period assigned to the record, unless backup copies of the data generated from electronic storage are retained in paper or on microfilm for the retention period. This includes electronic mail (e-mail), websites, and electronic publications. 

The use of social media applications may create public records. Any content (messages, posts, photographs, videos, etc.) created or received using a social media application may be considered records and should be managed appropriately. The retention of social media records is based on content and function. Local governments will need to consult the relevant records retention schedule for the minimum retention periods.

Unless otherwise stated, the retention period for a record is in calendar years from the date of its creation. The retention period, applies only to an official record as distinct from convenience or working copies created for informational purposes. Where several copies are maintained, each local government should decide which shall be the official record and in which of its divisions or departments it will be maintained. Local governments in their records management programs should establish policies and procedures to provide for the systematic disposal of copies.

A local government record whose retention period has expired may not be destroyed if any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record is initiated; its destruction shall not occur until the completion of the action and the resolution of all issues that arise from it.

A local government record whose retention period expires during any litigation, claim, negotiation, audit, public information request, administrative review, or other action involving the record may not be destroyed until the completion of the action and the resolution of all issues that arise from it.

If a record described in this schedule is maintained in a bound volume of a type in which pages were not meant to be removed, the retention period, unless otherwise stated, dates from the date of last entry.

If two or more records listed in this schedule are maintained together by a local government and are not severable, the combined record must be retained for the length of time of the component with the longest retention period. A record whose minimum retention period on this schedule has not yet expired and is less than permanent may be disposed of if it has been so badly damaged by fire, water, or insect or rodent infestation as to render it unreadable, or if portions of the information in the record have been so thoroughly destroyed that remaining portions are unintelligible. If the retention period for the record is permanent in this schedule, authority to dispose of the damaged record must be obtained from the Director and Librarian of the Texas State Library and Archives Commission. A Request for Authority to Destroy Unscheduled Records (Form SLR 501) should be used for this purpose.

Certain records listed in this schedule are assigned the retention period of AV (as long as administratively valuable). This retention period affords local governments the maximum amount of discretion in determining a specific retention period for the record described.

Use of Asterisk (*)

The use of an asterisk in this fourth edition of Local Schedule GR indicates that the record is either new to this edition, the retention period for the record has been changed, or amendments have been made to the description of or remarks concerning the record. An asterisk is not used to indicate minor amendments to grammar or punctuation.

ABBREVIATIONS USED IN THIS SCHEDULE

AV - As long as administratively valuable

FE - Fiscal year end

TAC - Texas Administrative Code

US - Until superseded

LA – Life of asset

CE – Calendar year end

Table of Contents

Part 1:  Administrative Records

Section 1-1:  Records of Governing Bodies

Section 1-2:  General Records

Part 2:  Financial Records

Section 2-1: Fiscal Administration and Reporting Records

Section 2-2: Accounting Records

Part 3:  Personnel and Payroll Records

Section 3-1: Personnel Records

Section 3-2: Payroll Records

Part 4:  Support Services Records

Section 4-1: Purchasing Records

Section 4-2: Facility, Vehicle, and Equipment Management Records

Section 4-3: Communication Records

Section 4-4: Workplace Safety Records

Part 5:  Information Technology Records

Section 5-1: Records of Automated Applications

Section 5-2: Computer Operations and Technical Support Records

PART 1: ADMINISTRATIVE RECORDS

SECTION 1-1: RECORDS OF GOVERNING BODIES

Retention Note: SCOPE OF SECTION - The retention periods established in this section also apply to the records of subsidiary boards, bureaus, commissions, or committees established by the governing body of a local government that have rulemaking or quasi-judicial authority over any activity or program of the government or that were established by ordinance, order, or resolution for the purposes of advising the governing body or a subsidiary body on policy. Consequently, the use of the term “governing body” in a records description includes the corresponding records of those subsidiary bodies.

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1000-01

AGENDAS

     

*GR1000-01a

AGENDAS

Open meetings.

1) If the minutes describe each matter considered by the governing body and reference to an agenda is not required.

2) If the minutes do not describe each matter considered by the governing body and reference to an agenda is required.

2 years.

PERMANENT.

 

*GR1000-01b

AGENDAS

Certified agendas of closed meetings.

2 years.

By law - Government Code, Section 551.104(a).

GR1000-02

DEDICATIONS

 

PERMANENT.

 

GR1000-03

MINUTES (the use of the term audiotape in (c)-(f) includes videotapes with sound).

     

GR1000-03a

MINUTES

Written minutes. 

PERMANENT.

 

GR1000-03b

MINUTES

Notes taken during meetings from which written minutes are prepared. 

90 days after approval of minutes by the governing body. 

 

GR1000-03c

MINUTES

Audiotapes of open meetings, except as described in (d), for which written minutes arenot prepared. 

PERMANENT.

 

GR1000-03d

MINUTES

Audiotapes of workshop sessions of governing bodies in which votes are not made and written minutes are not required by law to be taken. 

2 years.

 

GR1000-03e

MINUTES

Audiotapes of open meetings for which written minutes are prepared. 

90 days after approval of minutes by the governing body. 

 

GR1000-03f

MINUTES

Certified audiotapes of closed meetings. 

2 years. 

By law - Government Code, Section 551.104(a).

GR1000-03g

MINUTES

Supporting documentation - One copy of each document of any typesubmitted to a meeting of a governing body for consideration, approval, or other action; ifsuch action is reflected in the minutes of the meeting. 

2 years.

Retention Notes:  a) The retention periods for many of the documents submitted to a governing body for action are established elsewhere in this or other commission schedules and are often longer than the 2-year retention period for supporting documentation set here. The 2-year retention requirement does not override a longer retention requirement set elsewhere, but rather is meant to ensure that all documents presented for action by a governing body are retained at least two years. This schedule does not require that supporting documentation be maintained together, but the retention by the clerk or secretary to the governing body of one set of the documents submitted at each meeting (often called "council packets" in municipalities) for two years would ensure satisfaction of the minimum retention requirement. Clerks or secretaries to governing bodies should exercise caution in disposing of supporting documentation to avoid destruction of the record copy of a document for which they are custodian before the expiration of its retention period.

b) Review before disposal; some supporting documentation, not already required to be maintained PERMANENTLY elsewhere in this or other commission schedules, may merit PERMANENT retention for historical reasons.

GR1000-04

OPEN MEETING NOTICES

 

2 years.

 

GR1000-05

ORDINANCES, ORDERS, RESOLUTIONS (including those that have been repealed, revoked, or amended).

 

PERMANENT.

 

*GR1000-06

PETITIONS

Petitions from the public to the governing body or subsidiary boards or commissions of a local government.

Final action on the petition + 2 years.

Retention Notes:  a) Does not include petitions noted elsewhere in this or other commission schedules or any petition presented to a commissioners court that state law requires a county clerk to record. See Local Schedule CC (Records of County Clerks).

b) “Final action” includes a decision to take no further action on a petition.

GR1000-07

PROCLAMATIONS

 

2 years.

 

*GR1000-08

SPEECHES, PAPERS AND PRESENTATIONS

Notes or text of speeches, papers, presentations or reports delivered in conjunction with government work by elected officials.

 End of term in office or termination of service in that position.

Retention Note: Review before disposal; some records may merit PERMANENT retention for historical reasons.

SECTION 1-2:  GENERAL RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1000-20

ACCIDENT REPORTS

Reports of accidents to persons on local government property or in any other situation in which a local government could be party to a lawsuit.

   

*GR1000-20a

ACCIDENT REPORTS

Reports of accidents to adults.

3 years from date of report if no claim is filed; 3 years after settlement or denial of the claim if a claim is filed, whichever applicable.

 

*GR1000-20b

ACCIDENT REPORTS

Reports of accidents to minors.

Date minor reaches majority age + 3 years, if no claim filed; 3 years after settlement or denial of claim if a claim is filed, whichever applicable.

By law – Civil Practice and Remedies Code, Section 16.001.

GR1000-21

AFFIDAVITS OF PUBLICATION (including any accompanying clipping proofs or tear sheets)

     

GR1000-21a

AFFIDAVITS OF PUBLICATION

Publication of municipal ordinances.

PERMANENT.

Retention Note:  It is an exception to the permanent retention period that affidavits of publication and associated documentation for ordinances that are codified or re-codified may be disposed of after the effective date of the new code and they are exempt from the destruction notice requirement.

*GR1000-21b

AFFIDAVITS OF PUBLICATION

Election notices.

Election day + 22 months.

By law – Election Code, Sections 4.005(d) and 66.058(a).

GR1000-21c

AFFIDAVITS OF PUBLICATION

All other published legal notices. 

2 years.

 

*GR1000-22

ANNEXATION, DISANNEXATION, ABOLITION, AND OTHER JURISDICTIONAL RECORDS

Records relating to the annexation or disannexation of territory to or from a local government, to its abolition, or to other actions which affect its territorial jurisdiction or service area, including reports, correspondence, records of public hearings, agreements, and similar records.

PERMANENT.

Retention Notes:  a) A contract or agreement relating to territorial jurisdiction or the delivery of services between two or more governments (e.g., between a city and a county for fire services in an unincorporated area) must be kept for the retention period in item number GR1000-25.

 

GR1000-23

CHARTERS

 

PERMANENT.

 

GR1000-24

COMPLAINTS

Complaints received from the public by a governing body or any officer or employee of a local government relating to government policy.

Resolution or dismissal of complaint + 2 years.

Retention Note:  The 2-year retention period applies only to complaints of a general nature that do not fall into a different category of complaint noted in this or other commission schedules. For example, complaints from the public about potential fire hazards are scheduled in Local Schedule PS (Records of Public Safety Agencies) and have a longer retention period.

GR1000-25

CONTRACTS, LEASES, AND AGREEMENTS

Contracts, leases, and agreements, including reports, correspondence, performance bonds, and similar records relating to their negotiation, administration, renewal, or termination, except construction contracts (see item number GR1075-16).

4 years after the expiration or termination of the instrument according to its terms.

 

*GR1000-26

CORRESPONDENCE,  INTERNAL MEMORANDA, AND SUBJECT FILES

   

Retention Note:  The minimum retention period for correspondence or internal memoranda in categories (a) and (b) directly linked to another record series or group listed in this or other commission schedules is that assigned to the other group or series. For example, a letter from an external auditor regarding an audit of a local government’s financial records should be retained for the retention period given under item number GR1025-01(e); a letter concerning a workers compensation claim should be retained for the period given under item number GR1050-32, etc. The retention periods that follow are for correspondence and internal memoranda that do not readily fall within other record groups.

*GR1000-26a

CORRESPONDENCE,  INTERNAL MEMORANDA, AND SUBJECT FILES

Administrative – Incoming/outgoing and internal correspondence pertaining to the formulation, planning, implementation, modification, or redefinition of the programs, services, or projects of a local government and the administrative regulations, policies, and procedures that govern them. May also include subject files, which are collections of correspondence, memos and printed materials on various individuals, activities and topics.

 4 years.

Retention Note:  Review before disposal; some correspondence of this type may merit PERMANENT retention for historical reasons.

*GR1000-26b

CORRESPONDENCE,  INTERNAL MEMORANDA, AND SUBJECT FILES

General – Incoming/outgoing and internal correspondence pertaining to the regular and routine operation of the policies, programs, services, or projects of a local government. May also include subject files, which are collections of correspondence, memos and printed materials on various individuals, activities and topics.

 2 years.

 

GR1000-26c

CORRESPONDENCE,  INTERNAL MEMORANDA, AND SUBJECT FILES

Routine - Correspondence and internal memoranda such as letters of transmittal, requests for publications, internal meeting notices, and similar routine matters. May also include subject files, which are collections of correspondence, memos and printed materials on various individuals, activities and topics.

AV. 

 

GR1000-27

DEEDS (including title opinions, abstracts and certificates of title, title insurance, documentation concerning alteration or transfer of title, and similar records evidencing public ownership of real property)

 

PERMANENT.

 

GR1000-28

EASEMENTS

Documentation relating to easements and rights-of-way for public works or other local government purposes, including releases.

PERMANENT.

 

GR1000-29

INSURANCE POLICIES

Liability, theft, fire, health, life, automobile, and other policies for local government property and personnel including supporting documentation relevant to the implementation, modification, renewal, or replacement of policies.

4 years after expiration or termination of the policy according to its terms.

 

*GR1000-30

LEGAL OPINIONS

Formal legal opinions rendered by counsel or the Attorney General for a local government, including any written requests for opinions, concerning the governance and administration of a local government.

PERMANENT.

Retention Note: For retention of opinions rendered for a Public Information Act Request see GR1000-34.

For retention of informal legal opinions and other correspondence provided by counsel see GR1000-26a.

*GR1000-31

LITIGATION CASE FILES (including all cases to which a local government is a party unless the case file is of a type noted elsewhere in this or other commission schedules)

 

AV after decision of a local government not to file a lawsuit or decision that a lawsuit will not be filed against it; dismissal of a lawsuit for want of prosecution or on motion of the plaintiff; or final decision of a court (or of a court on appeal, if applicable) in a lawsuit.

Retention Note:

Review before disposal; some case files may merit PERMANENT retention for historical reasons.

GR1000-32

MINUTES (STAFF)

Minutes of internal staff meetings.  

AV. 

 

*GR1000-33

PUBLIC RELATIONS RECORDS

News, press releases, or any public relations files maintained or issued by an agency. Includes print, electronic, audio, and audiovisual records.

 2 years.

Retention Note: Review before disposal; some records may merit PERMANENT retention for historical reasons.

*GR1000-34

PUBLIC INFORMATION ACT REQUESTS

 Includes all correspondence and documentation relating to requests for records under the Public Information Act (Chapter 552, Government Code).

   

*GR1000-34a

PUBLIC INFORMATION ACT REQUESTS

Non-exempted records.

Date request for records fulfilled + 1 year.

Government Code, Chapter 552.

*GR1000-34b

PUBLIC INFORMATION ACT REQUESTS

Exempted records.

Date of notification that records requested are exempt from disclosure + 2 years.

Government Code, Chapter 552.

GR1000-35

ORGANIZATIONAL CHARTS

 

US.

 

GR1000-36

PERMITS AND LICENSES

Records documenting the application for and the issuance of permits and licenses by a local government for sales, solicitation, facility usage, and similar activities. Does not include permits and licenses issued for the construction of or alterations to real property, for those relating to health and sanitation, or for those issued by police or fire departments listed in other commission schedules.

Expiration, cancellation, revocation, or denial + 2 years.

 

*GR1000-37

PHOTOGRAPHS, IMAGES, RECORDINGS, AND OTHER NON-TEXTUAL MEDIA

Photographs, photographic scrapbooks, slides, sound recordings, videotapes, posters, and other non-textual media that document the history and activities of a local government or any of its departments, programs, or projects exceptsuch records noted elsewhere in this or other commission schedules.

 AV.

Retention Note: Review before disposal, some records may merit PERMANENT retention for historical reasons. Some photographs and other non-textual media of the types described should be retained PERMANENTLY for historical reasons, but latitude is allowed to the records management officer and the custodians of records in a local government to determine to what extent a particular photograph, for example, documents the history and activities of the local government. Local governments should consult with local historical or genealogical societies to assist with the appraisal. If it is determined that it does not, it need be kept only as long as administratively valuable.Be certain that photographs and other non-textual media do not fall within other records series. For example, mug shots and photographs of fire damage are listed in Local Schedule PS (Records of Public Safety Agencies) under police and fire department records respectively.

*GR1000-38

POLICY AND PROCEDURE DOCUMENTATION

Executive orders, directives, manuals, and similar documents that establish and define the policies, procedures, rules, and regulations governing the operations or activities of a local government as a whole or any of its departments, programs, services, or projects.

US, expired, or discontinued + 5 years.

Retention Note:  Review before disposal; some records may merit PERMANENT or long-term retention for historical or legal reasons.

GR1000-39

PUBLICATIONS

Pamphlets, reports, studies, proposals, and similar material printed by or for a local government or any of its departments, subdivisions, or programs and distributed to or intended for distribution to the public on request and departmental or program newsletters designed for internal distribution.

One copy of each PERMANENT.

Retention Note:  The following categories of printed material, whether distributed publicly or internally, are exempted from the retention period and may be disposed of at option; (a) educational matter provided by charitable or public awareness organizations (e.g., United Way, American Heart Association); and (b) public service leaflets or flyers prepared by a local government or others whose contents are of a general nature and not specific to the government distributing them, beyond the inclusion of an address, telephone number, office hours, and similar information (e.g., a flyer detailing water conservation tips sent to customers of a municipal water utility; a pamphlet explaining the appraisal review board process sent to taxpayers by an appraisal district).

GR1000-40

RECORDS MANAGEMENT RECORDS

     

*GR1000-40a

RECORDS MANAGEMENT RECORDS

 

Records control schedules (including all successive versions of and amendments to schedules).

 US.

Retention Note: Original is retained by the State and Local Records Management Division, Texas State Library and Archives Commission.

GR1000-40b

RECORDS MANAGEMENT RECORDS

Records documenting the destruction of records under records control schedules, including requests submitted to the Texas State Library and Archives Commission for authorization to destroy unscheduled records or the originals of permanent records that have been microfilmed.

PERMANENT.      

 

*GR1000-40c

RECORDS MANAGEMENT RECORDS

Lists or inventories of the active and inactive records created or received by a local government. 

US, expired, or discontinued.

 

*GR1000-40d

RECORDS MANAGEMENT RECORDS

Plans and similar documents establishing the policies and procedures under which a records management program operates, including records protection and disaster and preparedness recovery plans.

US, expired, or discontinued + 5 years.

 

GR1000-41

REPORTS AND STUDIES (NON-FISCAL)

     

*GR1000-41a

REPORTS AND STUDIES (NON-FISCAL)

Annual, sub-annual, or irregularly prepared reports, performance audits, or planning studies submitted to the governing body or chief administrative officer of a local government or by the local government to a state agency, as may be required by law or regulation, on the non-fiscal performance of a department, program, or project or for planning purposes, including those prepared by consultants under contract with a local government, except documents of similar types noted in this or other commission schedules.

(1) Annual reports.

(2) Special reports or studies prepared by order or request of the governing body or considered by the governing body (as reflected in its minutes) or ordered or requested by a state agency or a court.

(3) Special reports or studies prepared by order or request of the chief administrative officer.

(4) Monthly, bimonthly, quarterly, or semi-annual reports.

(5) Working papers used to create any report for (1) and (2) above.

(6) Working papers used to create any report for (3) and (4) above. 

PERMANENT.

PERMANENT.

5 years.

3 years.

3 years.

1 year.

Retention Note:  Review before disposal; some records may merit PERMANENT retention for historical reasons.

GR1000-41b

REPORTS AND STUDIES (NON-FISCAL)

Activity reports compiled on a daily or other periodic basis pertaining to workload measures, time studies, number of public contacts, etc., exceptreports of similar types noted in this or other commission schedules.

1 year.

 

*GR1000-42

WAIVERS OF LIABILITY (including statements signed by volunteers acknowledging non-entitlement to benefits, agreeing to abide by local government policies, etc.)

 

 3 years from date of cessation of activity for which the waiver was signed.

Retention Note: If an accident occurs to any person covered by a signed waiver of liability, it must be retained for the same period as accident reports.  See item number GR1000-20 in this schedule.

*GR1000-43

CONFLICTS DISCLOSURE STATEMENTS AND CONFLICT OF INTEREST QUESTIONNAIRES

Conflicts disclosure statements and conflict of interest questionnaires submitted by local government officers or vendors and other persons for filing with a local government in accordance with the requirements of Chapter 176, Local Government Code.

Date of filing + 3 years.

 

*GR1000-44

LOCAL GOVERNMENT OFFICERS, LISTS OF

Lists of local government officers prepared and made available to the public by the local government officer with whom conflicts disclosure statements and conflict of interest questionnaires are filed in accordance with the requirements of Chapter 176, Local Government Code.

US + 1 year.

 

*GR1000-45

CALENDARS, APPOINTMENT AND ITINERARY RECORDS

Calendars, appointment books or programs, and scheduling or itinerary records, purchased with local government funds or maintained by staff during business hours that document appointments, itineraries and other activities of agency officials or employees.

CE + 1 year.

Retention Note:A record of this type purchased with personal funds, but used by a public official or employee to document his or her work activities may be a local government record and subject to this retention period.  See Open Records Decision 635 issued in December 1995 by the Texas Attorney General.

*GR1000-46

INSURANCE CLAIMS

Claims related to liability, theft, fire, health, life, automobile, and other insurance policies.

Settlement or denial of claim + 3 years.

 

*GR1000-47

CUSTOMER SURVEYS

Surveys returned by the customers or clients of a local government, and the statistical data maintained rating a government’s performance.

Issuance of report on results of the survey + 3 years.

 

*GR1000-50

TRANSITORY INFORMATION

Records of temporary usefulness that are not an integral part of a records series of a local government, that are not regularly filed within a local government’s recordkeeping system, and that are required only for a limited period of time for the completion of an action by an official or employee of the local government or in the preparation of an ongoing records series.

Transitory records are not essential to the fulfillment of statutory obligations or to the documentation of government functions. Some examples of transitory information, which can be in any medium (voice mail, fax, email, hard copy, etc.) are routine messages; telephone message notifications; internal meeting notices; routing slips; incoming letters or memoranda of transmittal that add nothing of substance to enclosures; and similar routine information used for communication, but not for the documentation, of a specific government transaction.

AV.

Retention Note: Records management officers should use caution in assigning this record series to records of a local government to make certain they are not part of another records series listed in this schedule or, for records series unique to an agency, are not part of a records series that documents the fulfillment of the statutory obligations of the agency or the documentation of its functions.

The disposal of transitory information need not be documented through destruction authorizations or in records disposition logs, but local governments should establish procedures governing disposal of these records.

PART 2: FINANCIAL RECORDS

 

Retention Notes: a) AUDIT REQUIREMENTS - Most local governments are required by state law to conduct annual or biennial audits of their records and accounts. These audit requirements were taken into account in setting the retention periods in this schedule. The following retention rules also apply:

1) In any local government for which there is no statutory audit requirement and audits are conducted irregularly or in a local government in which a statutorily required audit is delayed, any record in this schedule whose retention period dates from the end of a fiscal year (FE) must be retained for the retention period stated or one year after audit, whichever later.

2) With regard to any special fund of a local government or elective county office for which there is no statutory audit requirement and the fund is not audited, any records listed under item numbers GR1025-26, GR1025-27, GR1025-28, and GR1025-30 associated with receipts and disbursements from or to the fund must be retained for FE + 10 years.

* b) GRANT OR LOAN RECORDS - Subsections (1)-(3) apply to any local government, except school districts, receiving federal, state, or private grants; subsection (4) applies to school districts only. If a grant or loan requires a longer retention period than those stated in this schedule, the associated records must be retained for the full retention period required by the terms of the grant or loan.

1) Direct Federal Grants - This subsection applies to grants received by a local government directly from a federal grantor agency.

i) Federal grantor agencies require that grant-related records be retained for audit purposes for 3 years from the filing of required expenditure reports.

ii) In addition to item number GR1025-08(a)-(b), financial and programmatic records of grant-funded projects, including copies or documentation of relevant accounting, banking, purchasing, and payroll records, and other documents and working papers associated with the financial and programmatic administration of the grant funds or used to prepare reports or forms required by federal law or regulation must be retained for the following periods:

(A) For grants continued or renewed annually or at other intervals except quarterly that are not part of a multi-year funding cycle - 3  years from the date of submission of the annual or other periodic expenditure report.

B) For grants continued or renewed annually or at other intervals except quarterly that are a part of a multi-year funding cycle – 3 years from the date of submission of the annual or other periodic expenditure report for the final reporting period of the grant cycle.

C) For grants continued or renewed quarterly - 3 years from the date of submission of the expenditure report for the last quarter of the federal fiscal year.

D) For grants for which the requirement of a final expenditure report has been waived - 3 years from the date the report would have been due.

E) For all other grants – 3 years from the date of submission of the final expenditure report.

iii) The retention periods for the following types of records are exceptions to the periods noted above:

A) Records of non-expendable property or equipment acquired with grant funds - 3 years from the date of transfer, replacement, sale, or junking of the item.

B) Cost allocation plans and indirect cost records - 3 years from date of submission or, for plans prepared and retained by the grantee, from the close of the fiscal year covered by the plan.

C) Income records - 3 years from the end of the fiscal year in which the income is used.

iv) If any litigation or audit commences before the expiration of the 3-year period, the records must be retained until all litigation or audit findings are resolved or until the end of the regular 3-year period, whichever is later.

v) If records are transferred to the grantor agency at its request, copies of the records need not be retained.

2) Indirect Federal Grants - This subsection applies to federal grants received as subgrants from state agencies or other local governments (e.g., regional councils of government).

The expenditure reports are submitted to the federal agency by the state or local subgrantor agency after all subgrantees have submitted reports to the subgrantor. Consequently, records under item number GR1025-08(a)-(b) and records described in section (b) (1) must be retained by local government subgrantees for FE + 5 years. Local governments should consult with the state or local subgrantor agency to determine if there are additional or special requirements associated with a particular grant.

The local government must retain copies of reports or records submitted to the subgrantor agency for the periods indicated.

3) State and Private Grants - This schedule extends the 3-year federal retention requirement described in section (b)(1) to state (excluding federal subgrants) and private grant records unless the state or private grantor agency has established different retention requirements, in which case those requirements shall prevail. It is an exception to the extension of federal grant requirements to state and private grants that for state or private grants renewed quarterly as described in section (b)(1)(ii)(B), the 3-year retention requirement runs from the date of submission of the expenditure report for the last quarter of the state fiscal year for state grants and from the last quarter of the local government's fiscal year for private grants.

4) Grant Records and School Districts (including Educational Service Centers) - See Local Schedule SD (Records of Public School Districts). Because of the difficulty of effectively separating financial data that evidence the expenditure of federal funds from those that document the expenditure of local or state-allocated funds, a 5-year retention period has been adopted for most financial records of school districts. The use of the term "school district" in this schedule includes educational service centers, charter schools, county departments of education, and educational cooperatives.

SECTION 2-1:  FISCAL ADMINISTRATION AND REPORTING RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1025-01

FISCAL AUDIT RECORDS (by both internal and external auditors)

   

Caution:See note (a) at the beginning of Part 2 of this schedule.

GR1025-01a

FISCAL AUDIT RECORDS (by both internal and external auditors)

Annual, biennial, or other periodic audit of any department, fund, account, or activity of a local government.

PERMANENT.

 

GR1025-01b

FISCAL AUDIT RECORDS (by both internal and external auditors)

Annual, biennial, or other periodic audit of a department, program, fund, or account if included in a cumulative audit under (a).

2 years.

 

GR1025-01c

FISCAL AUDIT RECORDS (by both internal and external auditors)

Annual, biennial, or other periodic audit of a department, program, fund, or account if not included in a cumulative audit under (a).

PERMANENT.

 

GR1025-01d

FISCAL AUDIT RECORDS (by both internal and external auditors)

Special audits ordered by a governing body, a court or grand jury, or mandated by administrative rules of a state or federal agency.

PERMANENT.

 

GR1025-01e

FISCAL AUDIT RECORDS (by both internal and external auditors)

Working papers, summaries, and similar records created for the purposes of conducting an audit.

3 years after all questions arising from the audit have been resolved.

 

GR1025-02

BANK SECURITY RECORDS

Records documenting the pledging of bonds or securities by banks serving as depositories for public funds including depository contracts, security pledges and statements, surety bonds, and similar records.

4 years after termination, expiration, or release of contractual obligations.

 

GR1025-03

BOND RECORDS

   

For investment transaction records of bonds see item number GR1025-09b.

GR1025-03a

BOND RECORDS

Bond administrative records consisting of preliminary studies, proposals and prospectuses, authorizations and certifications for issuance or cancellation, and related policy correspondence.

PERMANENT.

 

*GR1025-03b

BOND RECORDS

Bond certificates and redeemed coupons.

1 year after payment.

 By law - Government Code, Section 1302.003 for counties (see statute for procedural instructions for destruction) and by authority of this schedule for all other local governments.

GR1025-03c

BOND RECORDS

Bond registers.

PERMANENT.

 

GR1025-03d

BOND RECORDS

Records relating to the exchange, conversion, or replacement of bonds by bondholders.

1 year if information is contained in a bond register; PERMANENT if information is not contained in a bond register.

 

GR1025-04

BUDGETS AND BUDGET DOCUMENTATION

     

GR1025-04a

BUDGETS AND BUDGET DOCUMENTATION

Annual budgets (including amendments).

PERMANENT.

 

GR1025-04b

BUDGETS AND BUDGET DOCUMENTATION

Special budgets (includes budgets for capital improvement projects, grant-funded projects, or other projects prepared on a special or emergency basis and not included in an annual budget).

PERMANENT.

 

GR1025-04c

BUDGETS AND BUDGET DOCUMENTATION

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

2 years.

 

GR1025-04d

BUDGETS AND BUDGET DOCUMENTATION

Encumbrance and expenditure reports (status reports showing expenditures and encumbrances against a budget).

2 years.

 

GR1025-04e

BUDGETS AND BUDGET DOCUMENTATION

Budget change documentation, including line item or contingency/reserve fund transfers and supplemental budget requests.

2 years.

 

GR1025-05

CAPITAL ASSETS RECORDS

Documentation relating to the capital and fixed assets of a local government.

   

*GR1025-05a

CAPITAL ASSETS RECORDS

Equipment or property history cards or similar records containing data on initial cost, including disposal authorizations when disposed of.

FE of date of disposal + 5 years for school districts; FE + 3 years for other governments.

Retention Note:Review before disposal; property history cards documenting the original construction and additions to or renovations of structures may merit PERMANENT retention for historical reasons.

*GR1025-05b

CAPITAL ASSETS RECORDS

Equipment or property cost and depreciation schedules or summaries used for capital outlay budgeting or other financial or budget control purposes. 

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1025-05c

CAPITAL ASSETS RECORDS

Equipment or property inventories (including sequential number property logs).

US + 3 years.

 

GR1025-05d

CAPITAL ASSETS RECORDS

Property sale, auction, or disposal records of government-owned equipment or property.

1 year.

By law - Local Government Code, Section 263.155(b) for counties and by authority of this schedule for all other local governments.

Retention Note:  Property sale or auction records do not include records arising from the sale or auction of property foreclosed or seized by a taxing unit for failure to pay property taxes or for the sale or auction of property seized by law enforcement officers. For such records use Local Schedule TX (Records of Property Taxation) or Local Schedule PS (Records of Public Safety Agencies) respectively.

*GR1025-06

FEDERAL REVENUE SHARING RECORDS

Records concerning the use of federal revenue sharing funds by a local government, including revenue and expenditure summaries; status, budget, and audit reports; and other reports or documentation required by federal law or regulation.

 5 years. 

By regulation - 31 CFR 103.38(d).

GR1025-07

FINANCIAL REPORTS

Annual, sub-annual, or irregularly prepared financial reports or statements on the accounts, funds, or projects of a local government created either for internal use or for submission to state agencies as may be required by law or regulation, exceptreports of similar types noted in this or other commission schedules.

   

GR1025-07a

FINANCIAL REPORTS

Monthly, bimonthly, quarterly, or semi-annual reports.

FE + 3 years.

 

GR1025-07b

FINANCIAL REPORTS

Annual reports.

PERMANENT.

 

GR1025-07c

FINANCIAL REPORTS

Long range fiscal planning reports. 

PERMANENT.

 

GR1025-07d

FINANCIAL REPORTS

Capital improvement reports. 

PERMANENT.

 

GR1025-08

GRANT DEVELOPMENT AND ADMINISTRATIVE RECORDS

   

Retention Note:If grant is for construction of a local government owned facility or part of the infrastructure, follow retention for GR1075-16.

*GR1025-08a

GRANT DEVELOPMENT AND ADMINISTRATIVE RECORDS

Successful grant applications and proposals and any documentation that modifies the terms of a grant.

FE + 5 years for school districts; FE + 3 years for other governments.

Retention Note:  See note (b) at beginning of Part 2 of this schedule.

*GR1025-08b

GRANT DEVELOPMENT AND ADMINISTRATIVE RECORDS

Financial, performance, and compliance reports submitted to grantor or sub-grantor agencies.

FE + 5 years for school districts; FE + 3 years for other governments.

Retention Note:  See note (b) at beginning of Part 2 of this schedule.

GR1025-08c

GRANT DEVELOPMENT AND ADMINISTRATIVE RECORDS

Reports, planning memoranda, studies, correspondence, and similar records created for and used in the development of successful grant proposals.

3 years.

 

GR1025-08d

GRANT DEVELOPMENT AND ADMINISTRATIVE RECORDS

Any records of the type noted in (a) or (b) relating to unsuccessful grant proposals.

AV.

 

*GR1025-09

INVESTMENT TRANSACTION RECORDS

     

*GR1025-09a

INVESTMENT TRANSACTION RECORDS

Documentation relating to the investment of public funds (e.g., certificates of deposit) that evidences the investment of funds, the performance or return of investments, the cancellation or withdrawal of investments, and similar activity.

FE + 5 years.

 

*GR1025-09b

INVESTMENT TRANSACTION RECORDS

Documentation related to the calculation of arbitrage rebate amounts, if any, on proceeds from the sale of tax-exempt bonds.

Retirement of the last obligation of the bond issue + 6 years.

 

*GR1025-10

CHARGE SCHEDULES/ PRICE LISTS

Schedules of prices charged by a local government for services to the public or other governments, including any documentation used to determine the charges.

US + 3 years.

 

SECTION 2-2:  ACCOUNTING RECORDS

Retention Note:  ACCOUNTING RECORDS OF MOTOR VEHICLE AND BOAT LICENSING AND REGISTRATION - For accounting and banking records relating to motor vehicle licensing not noted in this part, use Part 3 of Local Schedule TX.

Record Number

Record Title

Record Description

Retention Period

Remarks

*GR1025-25

ACCOUNTING POLICIES AND PROCEDURES DOCUMENTATION

Policy and procedure directives and similar records documenting accounting methodology.

US, expired, or discontinued + 5 years.

 

*GR1025-26

ACCOUNTS PAYABLE AND DISBURSEMENT RECORDS

     

*GR1025-26a

ACCOUNTS PAYABLE AND DISBURSEMENT RECORDS

Claims, invoices, statements, copies of checks and purchase orders, expenditure authorizations, and similar records that serve to document disbursements, including those documenting claims for and reimbursement to employees for travel and other employment-related expenses.

FE of date of payment + 5 years for school districts; FE + 3 years for other governments.

Retention Note:Accounts payable and disbursement records for bond-funded projects must be maintained until FE of date of last payment +5 years.

*GR1025-26b

ACCOUNTS PAYABLE AND DISBURSEMENT RECORDS

Accounts payable records sufficient to document the purchase costs of capital equipment or other fixed assets.

FE of date of disposal + 5 years for school districts; FE + 3 years for other governments.

 

GR1025-26c

ACCOUNTS PAYABLE AND DISBURSEMENT RECORDS

Fund transmittal reports accompanying the transmittal of funds to federal, state, or other local government agencies (e.g., sales tax to the State Comptroller of Public Accounts), to retirement systems, or to other entities if the funds are collected in whole or in part on behalf of other agencies or individuals (e.g., retirement deductions of employees), exceptthose accompanying the transmittal of federal and state payroll and unemployment taxes [see item number GR1050-53(b)].

FE of period covered by report + 3 years.

 

GR1025-26d

ACCOUNTS PAYABLE AND DISBURSEMENT RECORDS

Accounts payable records for bond-funded projects.

FE of date of last bond payment + 5 years for school districts; FE of date of last bond payment + 3 years for other governments.

 

GR1025-27

ACCOUNTS RECEIVABLE RECORDS

   

Retention Note:  For accounts receivable records associated with the collection of property taxes, all local governments, including school districts, should use Local Schedule TX (Records of Property Taxation).

*GR1025-27a

ACCOUNTS RECEIVABLE RECORDS

Bill copies or stubs, statements, billing registers, account cards, deposit warrants, cash receipts, receipt books, cash transfers, daily cash reports, cash drawer reconciliations, and similar records that serve to document money owed to or received by a local government and its collection or receipt.

FE of date of receipt + 5 years for school districts; FE + 3 years for other governments.

 

*GR1025-27b

ACCOUNTS RECEIVABLE RECORDS

Accounts receivable records documenting the receipt of any monies by any local government that are remittable to the State Comptroller of Public Accounts (e.g., court costs in criminal cases, sales tax).

Remittance due date + 5 years.

 

*GR1025-27c

ACCOUNTS RECEIVABLE RECORDS

Account card or similar records documenting payments to a local government in which the government holds a property lien until the debt is satisfied (e.g., liens arising from demolition, lot cleaning), including original liens and lien releases.

FE of date of final payment and release of lien + 3 years.

 

*GR1025-27d

ACCOUNTS RECEIVABLE RECORDS

Account card or similar records relating to the receipt of cash deposits as sureties for the delivery of services (e.g., water and wastewater).

FE of termination of service or refund of deposit + 3 years.

 

*GR1025-27e

ACCOUNTS RECEIVABLE RECORDS

Records of accounts deemed uncollectable, including write-off authorizations.

FE of write-off date + 5 years for school districts; FE + 3 years for other governments.

 

*GR1025-28

BANKING RECORDS

Bank statements, canceled checks, check registers, deposit slips, debit and credit notices, reconciliations, notices of interest earned, etc.

FE + 5 years.

 

*GR1025-29

COST ALLOCATION AND DISTRIBUTION RECORDS

Records created to document the allocation of costs among accounts and funds of a local government, including records relating to chargebacks and other interdepartmental or interfund accounting transactions.

FE + 5 years for school districts; FE + 3 years for other governments.

Retention Note:  If any of the records in this group are used as ledger and journal entry documentation, they must be retained for FE + 5 years (see item number GR1025-30) by all local governments.

GR1025-30

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

   

Retention Note:  Be certain to verify before the disposal of any ledger or journal under this item number that the ledger or journal does not serve to document financial activities that require a longer retention period (e.g. investment documentation of proceeds of tax exempt bonds under item number GR1025-09).

*GR1025-30a

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

General ledger showing receipts and expenditures from all accounts and funds of a local government.

(1) For fiscal years for which an annual financial audit report (see item number GR1025-01) exists.

(2) For fiscal years for which an annual financial audit report (see item number GR1025-01) does not exist.

FE + 5 years.

PERMANENT.

Retention Note:  Review before disposal; some ledgers may merit PERMANENT retention for historical reasons.

*GR1025-30b

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

Subsidiary ledgers.

FE + 5 years.

Retention Note:  Review before disposal; some ledgers may merit PERMANENT retention for historical reasons.

*GR1025-30c

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

Receipt, disbursement, general, or subsidiary journals.

FE + 5 years.

Retention Note:  Review before disposal; some journals may merit PERMANENT retention for historical reasons.

*GR1025-30d

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

Journal vouchers and entries or similar posting control forms (including supporting documentation such as correspondence and auditor adjustments that evidence journal entries and amendments).

FE + 5 years.

Retention Note:  If bill stubs (see item number GR1025-27a) are used as entry documentation for account journals, they must be retained by all local governments for FE + 5 years rather than the FE + 3 year retention period for accounts receivable records.

GR1025-30e

LEDGERS, JOURNALS, AND ENTRY DOCUMENTATION

Perpetual care fund registers of government-owned cemeteries.

PERMANENT.

By law - Health and Safety Code, Section 713.005(a).

GR1025-31

TRANSACTION SUMMARIES

Periodic summaries or reports of accounting transactions or activity by department, budget code, program, account, fund, or type of activity, including trial balances, unless the summary is of a type noted elsewhere in this part.

   

GR1025-31a

TRANSACTION SUMMARIES

Daily. 

30 days. 

 

GR1025-31b

TRANSACTION SUMMARIES

Weekly. 

90 days.

 

GR1025-31c

TRANSACTION SUMMARIES

Monthly, bimonthly, quarterly, or semi-annual.

2 years.

 

*GR1025-31d

TRANSACTION SUMMARIES

Annual. 

FE + 5 years for school districts; FE + 3 years for other governments.

Retention Note:  If an annual trial balance is not maintained, then the least frequent sub-yearly trial balance must be retained for FE + 5 years by school districts and FE + 3 years by all other local governments.

GR1025-32

UNCLAIMED PROPERTY DOCUMENTATION

Any form of record sufficient to verify information on unclaimed property previously reported to the State Treasurer showing the name and last known address of the apparent owner of reportable unclaimed property, a brief description of the property, and the balance of each unclaimed account, if appropriate.

Date on which property is reportable + 10 years.

By law - Property Code, Section 74.103(b).

PART 3:  PERSONNEL AND PAYROLL RECORDS

 

Retention Notes:  a) FEDERAL RETENTION REQUIREMENTS - Federal retention periods for personnel and payroll records arise principally from the administration of the Civil Rights Act of 1964, Title VII; the Age Discrimination and Employment Act of 1967; the Equal Pay Act; the Fair Labor Standards Act; the Federal Insurance Contribution Act; and the Federal Unemployment Tax Act. Various federal agencies or departments of agencies administer these acts and, because retention periods are set to enable each agency to carry out its particular oversight authority, different retention periods are often established for the same record. In compiling Schedule GR, the longest applicable federal retention period is cited as authority for the retention period indicated. A federal regulation is not cited if a state law or regulation requires a longer retention period. A federal retention period is also not cited if a Texas statute of limitations makes a longer retention period advisable. For example, the federal retention requirement for employment contracts [see item number GR1050-15(a)] is given as 3 years from the last effective date of the contract in 26 CFR 516.5, but suits in Texas may be brought by either party to such a contract within four years of the occurrence of an alleged breach; therefore a retention period of 4 years from the last effective date of the contract is set in this schedule. All retention periods in this part apply, by authority of this schedule, to all local governments, although some of them may be otherwise exempt from the federal requirement cited. This provision does not require the creation by exempted local governments of any special documentation demonstrating compliance with federal regulations that may be required of non-exempted governments.

b) PERSONNEL FILES - The individual employee personnel file is not scheduled as a unit in this section; documents normally placed in such files are scheduled separately.

c) TERMINATED EMPLOYEES - Notwithstanding any retention periods in this part, all personnel records existing on the date of termination of an involuntarily terminated employee must be retained for 2 years from the date of termination [29 CFR 1602.31, 1602.40, and 1602.49].

d) JTPA AND CETA EMPLOYEES - Any records maintained on applicants for or holders of positions paid in whole or in part from Comprehensive Employees’ Training Act (CETA) funds or affirmative action apprenticeship program funds administered by the U. S. Department of Labor must be retained for 5 years from the date of enrollment in the program. [29 CFR 30.8(e)]. This 5-year retention period is extended by authority of this schedule to comparable records on applicants for or holders of positions paid in whole or in part from Job Training Partnership Act (JTPA) funds.

e) DEFINITION OF EMPLOYEE - For the purposes of this part, the term “employee” also includes elected or appointed officials of a local government who are paid wages or a salary from any funds of the local government and anyone voluntarily working or not receiving payment or compensation for working.

f) PERSONNEL RECORDS IN SHERIFF'S DEPARTMENTS IN CERTAIN COUNTIES - The Local Government Code, Section 157.904, provides that sheriff's departments in counties with a population of 3.3 million or more shall maintain “a permanent personnel file on each department employee.” The precise contents of a personnel file are not specified, but three groups of records are expressly mentioned. Consequently, any record in item numbers GR1050-03, GR1050-07, and GR1050-21, all of which are records of a type mentioned in the statute, must be retained permanently. The sheriffs and their legal counsel should determine what other records may be includable in a permanent personnel file in sheriffs’ departments subject to the law.

SECTION 3-1:  PERSONNEL RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1050-01

AFFIRMATIVE ACTION PLANS

     

GR1050-01a

AFFIRMATIVE ACTION PLANS

Reports, analyses, and statistical data compiled from source documentation used to develop, implement, and monitor affirmative action plans.

5 years.

By regulation - 29 CFR 30.8(e).

GR1050-01b

AFFIRMATIVE ACTION PLANS

Affirmative action plans.

US + 5 years.

By regulation - 29 CFR 30.8(e).

GR1050-02

APTITUDE AND SKILLS TEST RECORDS

Records relating to aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer, including civil service examinations.

   

GR1050-02a

APTITUDE AND SKILLS TEST RECORDS

Validation studies.

Life of test + 2 years.

 

GR1050-02b

APTITUDE AND SKILLS TEST RECORDS

Tests.

US + 2 years.

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

Retention Note:  One copy of each different test (different in terms of either questions or administration procedures) should be retained for the period indicated.

GR1050-02c

APTITUDE AND SKILLS TEST RECORDS

Test papers of persons taking tests.

2 years.

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

GR1050-02d

APTITUDE AND SKILLS TEST RECORDS

Records, other than those noted (a)-(c), relating to the planning and administration of tests.

3 years.

 

GR1050-03

AWARDS AND COMMENDATIONS

 

Date of separation + 5 years.

 

GR1050-04

CERTIFICATES AND LICENSES

Certificates, licenses, or permits required of employees to qualify for or remain eligible to hold a position requiring certification or licensing.

US or separation of employee + 5 years.

Retention Note:  If the submission of copies of certificates, licenses, or permits is required of all applicants for a position, those of applicants not hired must be retained for 2 years under item number GR1050-14.

GR1050-05

CONFLICT OF INTEREST AFFIDAVITS

 

5 years after leaving position for which the affidavit was filed.

 

*GR1050-06

COUNSELING PROGRAM RECORDS

     

*GR1050-06a

COUNSELING PROGRAM RECORDS

Reports of interviews, analyses, and similar records relating to the counseling of an employee for work-related, personal, or substance abuse problems, including any warnings associated with the counseling. 

3 years after termination of counseling.

 

*GR1050-06b

COUNSELING PROGRAM RECORDS

Records relating to the planning, coordination, implementation, direction, and evaluation of an employee counseling program.

3 years.

 

*GR1050-07

DISCIPLINARY AND ADVERSE ACTION RECORDS

Records created by civil service boards or by personnel or supervisory officers in considering, or reconsidering on appeal, an adverse action (e.g., demotion, probation, termination, suspension, leave without pay) against an employee, including, as applicable, witness and employee statements, interview reports, exhibits, reports of findings, and decisions and judgments.

(1) All employees of sheriff’s departments in counties with a population of 3.3 million or more.

(2) Police and fire department personnel in municipalities with a population of 5,000 or more that have established police and fire department civil service boards under Local Government Code, Chapter 143.

(c) All other local government employees.

PERMANENT.

PERMANENT.

2 years after case closed or action taken, as applicable.

By law – Local Government Code, Section 157.904.

By law – Local Government Code, Section 143.011(c).

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

GR1050-08

EMPLOYEE PENSION AND BENEFITS RECORDS

   

For records of pension and deferred compensation deductions from payroll see GR1050-52(b).

*GR1050-08a

EMPLOYEE PENSION AND BENEFITS RECORDS

Employee benefit plans such as pension; life, health, and disability insurance; seniority and merit systems; and deferred compensation plans, including amendments.

Termination of plan + 4 years. 

By regulation - 29 CFR 1627.3(b) (2).

Retention Note:  If the plan or system is not in writing, a memorandum fully outlining the terms of the plan or system and the manner in which it has been communicated to affected employees, together with notations relating to any revisions, must be retained for the same period as written plans.

*GR1050-08b

EMPLOYEE PENSION AND BENEFITS RECORDS

Enrollment forms providing personal identifying data, beneficiary information, option selection, and similar information.

(1) If the official record is maintained by the retirement system of which the local government is a member or by the service provider.

(2) If the official record is maintained by the local government.

    (A) Pension and deferred compensation.

   

   (B) Life, health, accidental death, and disability    

    insurance.

AV.

Date of separation + 75 years.

Termination of coverage + 4 years.

 

GR1050-08c

EMPLOYEE PENSION AND BENEFITS RECORDS

Annual reports from a pension system or fund. 

PERMANENT.

 

GR1050-09

EMPLOYEE RECOGNITION RECORDS

Award committee reports, selection criteria, nominations, and similar administrative records of employee award or incentive programs.

2 years.

 

GR1050-10

EMPLOYEE SECURITY RECORDS

     

GR1050-10a

EMPLOYEE SECURITY RECORDS

Records created to control and monitor the issuance of keys, identification cards, passes, or similar instruments of identification and access.

US, date of expiration, or date of separation + 2 years, as applicable.

 

GR1050-10b

EMPLOYEE SECURITY RECORDS

Records relating to the issuance of parking permits.

US. 

 

*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.

*GR1050-12

EMPLOYEE SERVICE RECORDS

Summary employment history record for each employee maintained on one or more forms, containing the following minimum information:  name; sex; date of birth; social security number; positions held with dates of hire, promotion, transfer, or demotion; dates of leaves of absence or suspension that affect computation of length of service; wage or salary rate for each position held, including step or merit increases within grades; most recent public access option form; and date of separation.

 Date of separation + 75 years.

For other information on employees that must also be retained either as part of this record or in another form, see item numbers GR1050-52(b) and GR1050-54(a).

Retention Notes:  a) This schedule does not require the creation of an employee service record of the type described, but the creation of the record is strongly recommended to allow frequent disposal of documents from which information has been summarized. If an employee service record is not maintained, documents (e.g., employment applications, personnel action forms) containing the prescribed information must be retained date of separation + 75 years. More than one document providing the same element of required information need not be retained.

 

b) The Teacher Service Record (Texas Education Agency Form FIN-115 or its equivalent), containing information required by statute or regulation, shall be considered an employee service record of the type described and must be retained date of separation + 75 years.

 

c) Salary or wage data on an employee service record may be indicated by grade and step numbers if all corresponding wage rate tables (see item number GR1050-59) applicable to a person’s employment history are retained date of separation + 75 years.

GR1050-13

EMPLOYMENT ADVERTISEMENTS OR ANNOUNCEMENTS

Advertisements or postings relating to job openings, promotions, training programs, or overtime opportunities, including jobs orders submitted to employment agencies.

2 years. 

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

GR1050-14

EMPLOYMENT APPLICATIONS

Applications, transcripts, letters of reference, and similar documents whose submission by candidates for vacant positions (both hired and not hired) or for promotion, transfer, or training opportunity (both selected and not selected) is required on the application form, by application procedures, or in the employment advertisement.

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.

GR1050-14a

EMPLOYMENT APPLICATIONS

Samples of publications, artwork, or other products of prior achievement not returned to applicants. 

AV.

 

GR1050-14b

EMPLOYMENT APPLICATIONS

Transcripts of persons hiredif state or federal law or regulation mandates a level of education needed to qualify for employment (e.g., school district professional and paraprofessional personnel). See also item number GR1050-28(a).

Date of separation + 5 years.

Retention Note:  If applicant screening or hiring decisions are based on resumés, with only successful or interviewed candidates completing employment applications, then resumés of persons not hired must be kept for the same period as employment applications. If resumés are supplemental to employment application forms, they need only be retained as long as administratively valuable.

GR1050-15

EMPLOYMENT CONTRACT/COLLECTIVE BARGAINING RECORDS

     

GR1050-15a

EMPLOYMENT CONTRACT/COLLECTIVE BARGAINING RECORDS

Contracts and agreements, including collective bargaining agreements, between a local government and an employee or a group of employees, including written acceptances of such contracts.

Last effective date of contract + 4 years.

 

GR1050-15b

EMPLOYMENT CONTRACT/COLLECTIVE BARGAINING RECORDS

Records relating to the negotiation of collective bargaining agreements or similar group contracts, including reports; correspondence; mediation or arbitration agreements; the proceedings, findings, and awards of arbitration boards; and similar records.

Last effective date of contract + 4 years or, if no agreement or contract results, 4 years.

 

GR1050-16

EQUAL EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS

     

GR1050-16a

EQUAL EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS

Reports, analyses, or statistical data compiled from source documentation used to complete EEO reports.

3 years.

By regulation - 29 CFR 1602.30, 1602.39, and 1602.48.

GR1050-16b

EQUAL EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS

EE0-1, EEO-4, EE0-5, and EE0-6 reports.

3 years.

By regulation - 29 CFR 1602.32, 1602.41, and 1602.50.

GR1050-16c

EQUAL EMPLOYMENT OPPORTUNITY RECORDS AND REPORTS

Case files relating to discrimination complaints, including complaints, legal and investigative documents, exhibits, related correspondence, withdrawal notices, and decisions or judgments.

Resolution of case + 3 years.

 

GR1050-17

EQUAL PAY RECORDS

Reports, studies, aggregated or summarized data, and similar documentation compiled to monitor and demonstrate compliance with the Equal Pay Act.

2 years.

By regulation - 29 CFR 1620.32(c).

GR1050-18

FIDELITY BONDS

 

Effective life of bond + 5 years.

Retention Note:  Does not include the Official Bond Record maintained by county clerks, which must be retained PERMANENTLY.

GR1050-19

FINGERPRINT CARDS

 

Date of separation + 5 years.

Retention Note:  If fingerprint cards are created for all applicants for a position, those of persons not hired must be retained 2 years under item number GR1050-14.

GR1050-20

GRIEVANCE RECORDS

Records relating to the review of employee grievances against personnel policies, working conditions, etc.

2 years.

Retention Note:  Do not confuse these records with those involving EEO complaints [see item number GR1050-16(c)].

*GR1050-21

JOB EVALUATIONS (PERFORMANCE APPRAISALS)

 

US + 2 years; or date of separation + 2 years, whichever is applicable.

By regulation – 29 CFR 1620.32(c). Refer to SD3575-05 pertaining to evaluations on school teachers.

GR1050-22

MEDICAL AND EXPOSURE REPORTS

     

GR1050-22a

MEDICAL AND EXPOSURE REPORTS

Health, physical or psychological examination reports or certificates of all job applicants if physical or psychological condition is a factor in hiring decisions, including the promotion, transfer, or selection for training of current personnel.

2 years.

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

*GR1050-22b

MEDICAL AND EXPOSURE REPORTS

Health or physical examination reports or certificates of employees for whom periodic monitoring of health or fitness is required.

(1) For employees exposed in the course of their work to toxic substances, harmful physical agents, or bloodborne pathogens.

(2) For all other employees.

Date of separation + 30 years.

US + 2 years.

By regulation - 29 CFR 1910.1020(d)(1)(i)-(iii).

*GR1050-22c

MEDICAL AND EXPOSURE REPORTS

Environmental, biological, and material safety monitoring reports concerning toxic substances and harmful physical agents in the workplace, including analyses derived from such reports.

30 years.

By regulation - 29 CFR 1910.1020(d)(1)(ii).  See Local Schedule PW 5450-01 for Asbestos Management Records.

*GR1050-22d

MEDICAL AND EXPOSURE REPORTS

Records of controlled substances and alcohol use and testing.

(1) Records of driver alcohol test results indicating an alcohol concentration of 0.02 or greater; records of driver verified positive controlled substances test results; documentation of refusals to take required alcohol and/or controlled substances tests; driver evaluation and referrals; calibration documentation; records related to the administration of the alcohol and controlled substances testing programs; copy of each annual calendar year summary required by 49 CFR 382.401.

(2) Records related to the alcohol and controlled substances collection process.

(3) Records of negative and canceled controlled substances test results and alcohol test results with a concentration of less than 0.02.

5 years.

2 years.

1 year.

By regulation – 49 CFR 382.401

GR1050-23

OATHS OF OFFICE

 

US + 5 years or 5 years after leaving position for which oath required, whichever is applicable.

 

GR1050-24

PERSONNEL ACTION OR INFORMATION NOTICES

Documents used by personnel officers to create or change information in the personnel records of individual employees concerning hiring, termination, transfer, pay grade, position or job title, leaves of absence, name changes, and similar personnel actions except those noted elsewhere in this part.

2 years.

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

GR1050-25

PERSONNEL STUDIES AND SURVEYS

Studies, statistical reports, surveys, cost analyses and projections, and similar records, exceptthose noted elsewhere in this part, on any aspect of the personnel management or administration of a local government.

3 years.

Retention Note:  Review before disposal; some documents may merit PERMANENT retention for historical reasons.

GR1050-26

POSITION DESCRIPTION, CLASSIFICATION, AND STAFF MONITORING RECORDS

     

*GR1050-26a

POSITION DESCRIPTION, CLASSIFICATION, AND STAFF MONITORING RECORDS

Job descriptions, including any associated task or skill statements. Also includes documentation concerning the development and analysis of job descriptions and classification systems, including survey, review and audit reports; classification standards and guidelines; selection criteria; determination of classification appeals; etc.

US or position abolished + 4 years.

By regulation - 40 TAC 815.106(i).

GR1050-26b

POSITION DESCRIPTION, CLASSIFICATION, AND STAFF MONITORING RECORDS

Position staffing and vacancy reports.

US.

 

GR1050-26c

POSITION DESCRIPTION, CLASSIFICATION, AND STAFF MONITORING RECORDS

Personnel requisitions.

2 years.

 

GR1050-27

REDUCTION IN FORCE PLANS (including any related implementation documentation)

 

US, or if implemented, 2 years from date of last reduction in force action under the plan.

 

*GR1050-28

TRAINING AND EDUCATIONAL ACHIEVEMENT RECORDS

   

For other records relating to aptitude or skills tests required of job applicants or of current personnel to qualify for promotion or transfer see item number GR1050-02.

*GR1050-28a

TRAINING AND EDUCATIONAL  ACHIEVEMENT RECORDS

Certificates of completion, transcripts, test scores, or similar records documenting the training, testing, or continuing education achievements of an employee if such training or testing is required for the position held or if the educational or skill attainment or enhancement affects or could affect career advancement in the local government or, in the case of licensed or certified personnel (e.g., school professionals, firefighters, police officers, health care professionals), in other governments or the private sector.

Date of separation + 5 years.

Retention Note:  If information concerning training or testing (e.g., test scores) is transferred to an Employee Service Record (item number GR1050-12), the document from which the information is taken need be retained for only 2 years.

*GR1050-28b

TRAINING AND EDUCATIONAL  ACHIEVEMENT RECORDS

Records documenting the planning, development, implementation, administration and evaluation of in-house training programs.

 2 years.

 

*GR1050-28c

TRAINING AND EDUCATIONAL  ACHIEVEMENT RECORDS

Training manuals, syllabuses, course outlines, and similar training aids used in in-house training programs.

US, expired, or discontinued + 2 years.

 

*GR1050-28d

TRAINING AND EDUCATIONAL  ACHIEVEMENT RECORDS

Skill or achievement measurement records of a training group or class as a whole (e.g., rosters with scores).

2 years.

Retention Note:  If the only information documenting the in-house training of an employee of the types described in (a) is contained in the measurement records of a group or class as a whole, the group records must be retained for the date of separation + 5 years for all employees included in the group records.

*GR1050-29

UNEMPLOYMENT COMPENSATION CLAIMS RECORDS

Unemployment claims, pertinent correspondence, and similar records documenting unemployment compensation cases.

After closed + 5 years.

 

*GR1050-30

VERIFICATIONS OF EMPLOYMENT ELIGIBILITY (INS Form I-9)

 

3 years from hire or 1 year after separation, whichever later.

By regulation - 8 CFR 1274a.2 (b) (2) (i) (A) and (c) (2).

Retention Note:  If a former employee is rehired and an INS Form I-9 is still on file for the employee, the 3-year retention period dates from date of first hire.

GR1050-31

WORK SCHEDULES

Work, duty, shift, crew, case schedules, rosters, or assignments exceptwork schedules includable in item number GR1050-56.

1 year. 

 

*GR1050-32

WORKERS COMPENSATION CLAIM RECORDS

Initial and supplemental reports of accidents to or job-related illnesses of employees and documentation relating to any subsequent filing of claims by employees.

CE of closure of claim + 5 years.

By regulation - 29 CFR 1904.33 for accident and illness reports.

Retention Note: Refer to GR1050-22b (1) in this schedule.

The local governments’ insurer and the Texas Department of Insurance keep permanent records of workers compensation related records.

GR1050-33

FINANCIAL DISCLOSURE STATEMENTS

Financial disclosure statements of officers and/or employees of a local government.

2 years.

Retention Note:  For campaign contribution and expenditure statements see item number EL3125-01 in Local Schedule EL (Records of Elections and Voter Registration).

*GR1050-34

PUBLIC ACCESS OPTION FORMS

Form completed and signed by employee or official, or former employee or official, electing to keep home address, home telephone number, social security number, and family information open or confidential under the Public Information Act, Government Code 552.04.

US.

Retention Note:  The last public access option form completed by an employee prior to termination of employment must be retained as part of the Employee Service Record (see record number GR1050-12 in this schedule).

*GR1050-35

EMPLOYEE EXIT INTERVIEWS

Records of interviews and other supporting documentation conducted at time of employee termination.

Date of separation + 2 years.

 

*GR1050-36

CRIMINAL HISTORY CHECKS

Used for condition of or in conjunction with employment application.

 End of employee’s probationary period or after immediate purpose has been fulfilled, as applicable.

By law - Government Code, Chapter 411 Subchapter F for certain education institutions and fire departments, and by authority of this schedule for all other local governments.

Retention Note:A local government that is authorized to obtain criminal history recorded information from the Texas Department of Public Safety must refer to Subchapter F, Chapter 411, Government Code for appropriate retention and use of this information.

*GR1050-37

EMPLOYEE ACKNOWLEDGEMENT FORMS

Employee acknowledgement forms or other documentation that show proof of receipt and awareness of local government policies and procedures.

US or date of separation +2 years, as applicable.

 

*GR1050-38

UNSOLICITED RESUMES

Unsolicited resumés received by local governments not used in the employment selection process.

AV.

Retention Note: See item number GR1050-14 for resumés, whether solicited or unsolicited, that are used in any way in the employment selection process.

*GR1050-39

VOLUNTEER SERVICE FILES

Information about individual volunteers and duties they perform.

 US or date of separation + 3 years.

 

SECTION 3-2:  PAYROLL RECORDS

Retention Note:  OTHER ACCOUNTING RECORDS - This section supplements Section 2-2 and schedules financial and accounting records found in most local governments specific to the disbursement of payroll. If a payroll-related record is not scheduled in this section, use Section 2-2 for the comparable record; e.g., payroll fund reconciliations should be retained for FE + 5 years under the retention for Banking Records (see item number GR1025-28).

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1050-50

DEDUCTION AUTHORIZATIONS

Documentation used to start, modify, or stop all voluntary or required deductions from payroll, including orders of garnishment or other court-ordered attachments.

4 years after separation or 4 years after amendment, expiration, or termination of authorization, whichever sooner.

 

*GR1050-51

DIRECT DEPOSIT APPLICATIONS/AUTHORIZATIONS

 

US or date of separation, as applicable.

 

GR1050-52

EARNINGS AND DEDUCTION RECORDS

     

*GR1050-52a

EARNINGS AND DEDUCTION RECORDS

A record containing the following payroll information on each employee: name, last known address and social security number, amount of wages paid to the employee for each payroll period, including all deductions, and date of payment.

Retention of any one of the following records for  5 years by school districts or 4 years by other local governments will satisfy the retention requirement:

1) Individual employee earnings card or record that shows earnings and deductions for each pay period.

 

2) Master payroll register which shows earnings and deductions for each pay period.

By regulation - 20 CFR 404.1225(b) (3) and 40 TAC 815.106(i).

*GR1050-52b

EARNINGS AND DEDUCTION RECORDS

A record containing the following minimum pension and deferred compensation information on each employee: name, date of birth, social security number, and amount of pension and deferred compensation deductions.

The retention of any one of the following for date of separation + 75 years will satisfy the retention requirement:

1) Individual employee earnings card or record as in (a) (1).

2) Employee Service Record (see item number GR1050-12) if it contains the prescribed pension and deferred compensation deduction data.

3) Master payroll register, or the final year-to-date register of each calendar year, if the register shows all persons employed during the year from whose wages, pension, and deferred compensation deductions were made.

 

GR1050-52b

(continued)

EARNINGS AND DEDUCTION RECORDS

 

4) Pension and deferred compensation deduction register, or the final year-to-date pension deduction register of each calendar year, if the register lists all persons employed during the year from whose wages pension and deferred compensation deductions were made.

5) Copies of annual or other periodic statements furnished to each employee detailing the deductions and contributions to a pension or deferred compensation plan during the past year or period.

 

*GR1050-52c

EARNINGS AND DEDUCTION RECORDS

Master payroll register, including year-to-date registers, if not used to satisfy either of the retention requirements set in (a) or (b).

FE + 5 years for school districts; FE + 3 years for other governments.

 

*GR1050-52d

EARNINGS AND DEDUCTION RECORDS

Subsidiary payroll registers, if not used to satisfy either of the retention requirements set in (a) or (b).

(1) If data contained in the subsidiary payroll register is not contained in the master payroll register.

(2) If data contained in the subsidiary payroll register iscontained in the master payroll register.

FE + 5 years for school districts; FE + 3 years for other governments.

AV.

 

GR1050-52e

EARNINGS AND DEDUCTION RECORDS

Copies of annual or other periodic statements furnished to each employee detailing the deductions and contributions to a pension or deferred compensation plan during the past year or period, if not used to satisfy the retention requirement set in (b). 

2 years.

 

*GR1050-52f

EARNINGS AND DEDUCTION RECORDS

Payroll adjustment records, including transaction registers, authorizations, and similar records authorizing and detailing adjustments to payroll records because of overpayment, underpayment, etc.

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1050-53

FEDERAL AND STATE TAX FORMS AND REPORTS

     

GR1050-53a

FEDERAL AND STATE TAX FORMS AND REPORTS

Forms used to determine withholding from wages and salaries for payroll tax purposes (W-4 Forms).

4 years after separation or 4 years after form amended, whichever sooner.

By regulation - 20 CFR 404.1225(b) (3), 26 CFR 31.6001-1(e) (2) for federal forms and by authority of this schedule for any state forms.

GR1050-53b

FEDERAL AND STATE TAX FORMS AND REPORTS

Forms and reports used to report the collection, distribution, deposit, and transmittal of payroll or unemployment taxes (W-2, 1099).

4 years after tax due date or date tax paid, whichever later.

By regulation - 20 CFR 404.1225(b) (3), 26 CFR 31.6001-1(e) (2) for federal forms and by authority of this schedule for state forms.

GR1050-54

LEAVE RECORDS

     

*GR1050-54a

LEAVE RECORDS

A record containing a record of the unused accumulated sick leave of each employee if(1) all or a percentage of accumulated sick leave is used to calculate length of service and/or (2) accumulated sick leave is creditable to an employee if rehired.

The retention of any one of the following for date of separation + 75 years will satisfy the retention requirement:

1) Individual employee earnings card or record as described in item number GR1050-52a if it also contains accumulated sick leave data.

2) Employee Service Record (see item number GR1050-12) if it contains the accumulated sick leave data prescribed.

3) Copy of the final time summary or leave status report, as noted in (d), of each separated employee.

 

*GR1050-54b

LEAVE RECORDS

Requests and authorizations for vacation, compensatory, sick, Family and Medical Leave Act (FMLA), and other types of authorized leave, and supporting documentation.

FE + 5 years for school districts; FE + 3 years for other governments.

By regulation – 29 CFR 825.500.

*GR1050-54c

LEAVE RECORDS

Leave or hours-to-date registers.

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1050-54d

LEAVE RECORDS

Copies of periodic time summary or leave status reports furnished to each employee containing information on vacation, sick, compensatory, or other leave earned and used, including the final report of separated employees if they are not used to satisfy the retention requirement set in (a).

2 years.

 

GR1050-55

PAYROLL ACTION OR INFORMATION NOTICES

Documents used by payroll officers to create or change information in the payroll records of individual employees exceptdeduction authorizations (see item number GR1050-50) and federal tax forms [see item number GR1050-53(a)].

   

*GR1050-55a

PAYROLL ACTION OR INFORMATION NOTICES

Documents concerning hiring, termination, transfer, pay grade, position or job title, name changes, etc.

2 years.

By regulation - 29 CFR 1602.31, 1602.40, and 1602.49.

Retention Note: Refer to GR1050-12 in this schedule as some information must be kept in Employee Service Record.

*GR1050-55b

PAYROLL ACTION OR INFORMATION NOTICES

Documents concerning adjustments to payroll and leave status.

FE + 3 years.

Retention Note: Refer to GR1050-12 in this schedule as some information must be kept in Employee Service Record.

*GR1050-56

TIME AND ATTENDANCE REPORTS

Time cards or sheets, including work schedules and documentation evidencing adherence to or deviation from normal hours for those employees working on fixed schedules.

4 years.

By regulation - 40 TAC 815.106(i).

GR1050-57

TIME CHANGE RECORDS

Requests and authorizations for overtime, time trading, and other actions that affect normal work time exceptleave requests [see item number GR1050-54(c)].

2 years.

 

*GR1050-58

REIMBURSABLE ACTIVITIES, REQUESTS AND AUTHORIZATIONS TO ENGAGE IN

Requests and authorizations for travel; participation in educational programs, workshops, or college classes; or for other bona fide work-related activities in which the expenses of an employee are defrayed or reimbursed.

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1050-59

WAGE AND SALARY RATE TABLES

     

GR1050-59a

WAGE AND SALARY RATE TABLES

If wage or salary rate for each position listed on an Employee Service Record (see item number GR1050-12) is expressed in dollars.

2 years after last effective date.

By regulation - 29 CFR 516.6(a) (2).

GR1050-59b

WAGE AND SALARY RATE TABLES

If wage or salary rate for each position listed on an Employee Service Record (see item number GR1050-12) is indicated by grade or step number only.

Date of separation + 75 years.

 

PART 4:  SUPPORT SERVICES RECORDS

SECTION 4-1:  PURCHASING RECORDS

Retention Notes:  RELATIONSHIP WITH ACCOUNTS PAYABLE RECORDS- In a local government in which purchasing and accounts payable records (see item number 1025-26) are maintained by the same individual or department, duplicate copies of a record need not be created and/or retained to satisfy the retention requirements of this section if the record is used in documenting both the ordering and procurement of and payment for goods and services. In such instances, retention requirements for accounts payable records prevail over those noted in this section.

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1075-01

BIDS AND BID DOCUMENTATION

     

*GR1075-01a

BIDS AND BID DOCUMENTATION

Successful bids and requests for proposals, including invitations to bid, bid bonds and affidavits, bid sheets, and similar supporting documentation.

FE of award + 5 years for school districts; FE + 3 years for other governments.

Retention Note:  If a formal written contract is the result of a successful bid or request for proposal, the successful bid or request for proposal and its supporting documentation must be retained for the same period as the contract.  See item number GR1000-25.

GR1075-01b

BIDS AND BID DOCUMENTATION

Unsuccessful bids.

2 years.

 

*GR1075-01c

BIDS AND BID DOCUMENTATION

Requests for informal bid estimates, quotes, or responses from providers for the procurement of goods or services for which state law or local policy does not require the formal letting of bids.

1 year.

 

*GR1075-01d

BIDS AND BID DOCUMENTATION

Requests for information (RFI) preliminary to the procurement of goods or services by direct purchase or bid.

AV after date of direct purchase, issuance of request for bids, or decision not to proceed with the procurement, as applicable.

 

GR1075-02

INVENTORY RECORDS (PARTS AND SUPPLIES)

 

1 year.

 

GR1075-03

PURCHASE ORDER AND RECEIPT RECORDS

     

*GR1075-03a

PURCHASE ORDER AND RECEIPT RECORDS

Purchase orders, requisitions, and receiving reports.

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1075-03b

PURCHASE ORDER AND RECEIPT RECORDS

Purchasing log, register, or similar record providing a chronological record of purchase orders issued, orders received, and similar data on procurement status.

FE + 3 years.

 

GR1075-03c

PURCHASE ORDER AND RECEIPT RECORDS

Packing slips and order acknowledgments.

AV.

 

GR1075-03d

PURCHASE ORDER AND RECEIPT RECORDS

Vendor and commodity lists.

US.

 

SECTION 4-2: FACILITY, VEHICLE, AND EQUIPMENT MANAGEMENT RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1075-15

ACCIDENT AND DAMAGE REPORTS (PROPERTY)

Reports of accidents or damage to facilities, vehicles, or equipment if no personal injury is involved.

3 years.

Retention Note:  For accident reports involving personal injury see item numbers GR1000-20 and GR1050-32.

*GR1075-16

CONSTRUCTION PROJECT RECORDS

     

*GR1075-16a

CONSTRUCTION PROJECT RECORDS

Records concerning the planning, design, construction, conversion, or modernization of local government-owned facilities, structures, and systems, including feasibility, screening, and implementation studies; topographical and soil surveys and reports; architectural and engineering drawings, elevations, profiles, blueprints, and as-builts; inspection and investigative reports; laboratory test reports; environmental impact statements; construction contracts and bonds; correspondence; and similar documentation except as described in (b).

PERMANENT.

Retention Note: If a structure, facility, or system is sold or transferred to another person or entity, the local government must retain the original records relating to its construction. Copies of the records may be given to the person or entity to whom the structure, facility, or system is sold or transferred.

*GR1075-16b

CONTRUCTION PROJECT RECORDS

Records of the types described in (a) relating to the construction of prefabricated storage sheds, bus shelters, parking lot kiosks, non-structural recreational facilities such as baseball diamonds and tennis courts, and similar structures and facilities.

Completion of the project + 10 years.

Retention Note: Review before disposal; some records may merit PERMANENT retention for historical reasons. Records relating to construction of some of the described structures will have historical value if they are closely associated with a major structure as described in (a). For example, records relating to the construction of gazebos, fountains, walls, or statuary located on the grounds of a county courthouse are part of the landscape of the courthouse and its grounds and should be retained PERMANENTLY.

Records of the types described relating to government-owned structures or places eligible for or already listed as historic by national, state, or local organizations or authorities must be retained PERMANENTLY.

GR1075-16c

CONSTRUCTION PROJECT RECORDS

Records relating to construction projects described in (a) and (b), that are transitory or of ephemeral relevance, and are not required for maintaining, modifying, and repurposing the building or structure, Records may include, but are not limited to, rejected design plans, delivery tickets for expendable products, daily work reports, etc.

5 years

Retention Note:Records of the types described relating to government-owned structures or places eligible for or already listed as historic by national, state, or local organizations or authorities must be retained PERMANENTLY.

GR1075-17

LOST AND STOLEN PROPERTY REPORTS

 

FE + 3 years.

 

GR1075-18

MAINTENANCE, REPAIR, AND INSPECTION RECORDS

Records documenting the maintenance, repair, and inspection of facilities, vehicles, and equipment.

 

Retention Note:  This record group schedules records of maintenance and repair to general-purpose vehicles, office equipment, and office facilities. For retention requirements for the maintenance and repair of specialized vehicles (e.g., police cars, fire trucks, school buses), equipment (e.g., airport runway beacons, traffic lights), or facilities (e.g., wastewater treatment plants) see other commission schedules.

*GR1075-18a

MAINTENANCE, REPAIR, AND INSPECTION RECORDS

Vehicles and equipment.

(1) Routine inspection records.

(2) Maintenance and repair records.

1 year.

Life of asset.

Retention Note:  If a vehicle is salvaged as the result of an accident, the maintenance and repair records for the vehicle must be retained for date of salvage + 1 year.

*GR1075-18b

MAINTENANCE, REPAIR, AND INSPECTION RECORDS

Facilities.

(1) Routine cleaning, janitorial, and inspection work.

(2) All other facility maintenance, repair and inspection records (including those relating to plumbing, electrical, fire suppression, and other infrastructural systems).

1 year.

5 years.

Retention Note: Records of the types described relating to government-owned structures or places eligible for or already listed as historic by national, state, or local organizations or authorities must be retained PERMANENTLY.

GR1075-19

SERVICE REQUESTS/WORK ORDERS (for repairs and maintenance to facilities, vehicles, or equipment)

 

2 years.

Retention Note:  If work orders serve as the only form of record documenting repairs to vehicles or equipment [see item number GR1075-18(a)] they must be retained for the life of the vehicle or equipment.

GR1075-20

USAGE REPORTS

Reports of usage of facilities, vehicles, and equipment.

   

*GR1075-20a

USAGE REPORTS

Reports of usage of facilities, vehicles, and equipment

Any type of usage report (e.g., mileage, fuel consumption, copies run) if such reports are the basis for allocating costs, for determining payment under rental or lease agreements, etc.

FE + 5 years for school districts; FE + 3 years for other governments.

 

GR1075-20b

USAGE REPORTS

Reports of usage of facilities, vehicles, and equipment

Reservation logs or similar records relating to the use of facilities such as meeting rooms, auditoriums, etc. by the public or other governmental agencies.

2 years.

 

GR1075-20c

USAGE REPORTS

Reports of usage of facilities, vehicles, and equipment

Usage reports compiled for purposes other than those noted in (a) or (b).

1 year.

 

*GR1075-21

VEHICLE OR EQUIPMENT ASSIGNMENT RECORDS

Assignment logs, authorizations, and similar records relating to the assignment and use of government-owned vehicles or equipment by employees.

After return or reassignment + 2 years.

 

GR1075-22

VISITOR CONTROL REGISTERS

Logs, registers, or similar records documenting visitors to limited access or restricted areas.

3 years.

Retention Note:If the visitor control register is needed as part of an investigation it should be retained with the investigation case file PS4125-05.

GR1075-23

WARRANTIES (for vehicles and equipment)

 

Expiration of warranty + 1 year. 

 

*GR1075-24

VEHICLE TITLES AND REGISTRATIONS

Vehicle titles and registrations of government- owned vehicles.

LA.

 

*GR1075-25

SURVEILLANCE VIDEOS

Video surveillance for, but not limited to, security of property and persons.

AV.

Retention Note:If the surveillance video is needed as part of an investigation it should be retained with the investigation case file PS4125-05.

SECTION 4-3:  COMMUNICATIONS RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR1075-40

POSTAL AND DELIVERY SERVICE RECORDS

     

GR1075-40a

POSTAL AND DELIVERY SERVICE RECORDS

Meter and permit usage records.

1 year.

 

GR1075-40b

POSTAL AND DELIVERY SERVICE RECORDS

Registered, certified, insured, and special delivery mail receipts and similar records of transmittal by express or delivery companies.

1 year.

 

GR1075-41

TELEPHONE LOGS OR ACTIVITY REPORTS

Registers or logs of telephone calls and fax transmissions made and similar activity reports.

   

*GR1075-41a

TELEPHONE LOGS OR ACTIVITY REPORTS

If the log, report, or similar record is used for cost allocation purposes.

FE + 5 years for school districts; FE + 3 years for other governments.

 

*GR1075-41b

TELEPHONE LOGS OR ACTIVITY REPORTS

If the log, report, or similar record is used for internal control purposes other than cost allocation.

 1 year.

 

*GR1075-41c

TELEPHONE LOGS OR ACTIVITY REPORTS

Internal telephone directory of local government employees. Directory may include personal contact information (e.g. personal telephone number, home address, etc.).

US, expired, or discontinued.

 

*GR1075-42

E-RATE RECORDS

E-Rate is the Schools and Libraries Program of the Universal Service Fund that provides discounts to schools and libraries for telecommunications and Internet access. E-Rate is administered by the Universal Service Administrative Company (USAC) under the direction of the Federal Communication Commission (FCC).

All records related to the application for, receipt, and delivery of discounted telecommunications and other supported services.

FE + 5 years.

By regulation - 47 CFR 54.516.

SECTION 4-4:  WORKPLACE SAFETY RECORDS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR5750-01

BLOODBORNE PATHOGEN TRAINING RECORDS

Records of training given to employees with exposure to bloodborne pathogens showing the dates of training sessions, contents or summaries of the sessions, names and job titles of those who received training, and names and qualifications of instructors.

3 years.

 

*GR5750-02

FACILITY CHEMICAL LISTS

Copies of tier two forms containing information of hazardous chemicals present in local government facilities submitted to the fire chief of the fire department having jurisdiction over the facilities and to the Texas Department of State Health Services as required by Health and Safety Code, Section 506.006.

30 years.

By law – Health and Safety Code, Section 506.006.

GR5750-03

HAZARD COMMUNICATION PLANS

Plans describing how criteria of the Hazard Communications Act (Chapter 502, Health and Safety Code) with regard to the education and training of employees will be met.

US + 5 years.

By law - Health and Safety Code, Section 502.009(g).

GR5750-04

HAZARDOUS MATERIALS TRAINING RECORDS

Records of training given to employees in a hazard communications program showing the date of each training session, subjects covered during the session, rosters of employees who attended, and the names of instructors. 

5 years.

By law - Health and Safety Code, Section 502.009(g).

GR5750-05

MATERIAL SAFETY DATA SHEETS (MSDS)

Material safety data sheets (MSDS) supplied to local government employers by manufacturers or distributors of hazardous chemicals.

AV after receipt of updated sheet or the hazardous chemical is no longer present in the local government, as applicable.

 

GR5750-06

WORKPLACE CHEMICAL LISTS

Lists of hazardous chemicals, including superseded lists, compiled and maintained by local governments in accordance with the Health and Safety Code, Section 502.005.

30 years.

By law - Health and Safety Code, Section 502.005(d).

Retention Note:  State law (Health and Safety Code, Section 502.005(d)) provides that if a local government is dissolved (e.g., a municipality through disincorporation), it shall send the workplace chemical lists in its possession to the director of the Texas Department of State Health Services.

PART 5:  INFORMATION TECHNOLOGY RECORDS

Retention Notes:  (a) This part establishes retention periods for records essential to the creation, maintenance, and use of electronic records (information recorded in a form for computer processing including data, graphics, digital images, multi-media records, etc.) and records related to computer operations/technical support not covered elsewhere in this schedule.  Records in this part may be maintained on whatever medium is appropriate including electronic (on-line, magnetic tape, optical disk, CD-ROM, etc.), paper, and microform.

(b) Other types of records may be maintained electronically that are listed elsewhere in this schedule, such as administrative, fiscal, personnel, and support services records, or in other specialized schedules adopted by the Texas State Library and Archives Commission, such as Local Schedule PS (Records of Public Safety Agencies), Local Schedule HR (Records of Public Health Agencies), etc.  The retention period for those electronic records will be as specified under the appropriate records series item number according to the function of the information.  For example, if an electronic system were used to maintain encumbrance and expenditure reports, the retention period for these electronic records would be 2 years as specified in item number 1025-04(d).  Retention requirements apply to records maintained on all types of electronic systems including mainframe, minicomputer, microcomputer, local-area-network based systems, etc.

c) Administrative rules of the Texas State Library and Archives Commission (13 TAC 7.71-7.79) require that retention procedures for electronic records with an approved retention of 10 years or more must include provisions for scheduling the disposition of the electronic records as well as related software, documentation, and indexes; and for regular recopying, reformatting, and other necessary maintenance or conversion activities to ensure the retention and stability of electronic records until the expiration of their retention periods.

d) If automated information is copied to paper or microform to create the official record, the electronic files do not have to be maintained for the full retention period of the record.  The added value of electronic files for facilitating retrieval, making queries, providing for automated audit trails, etc., should be carefully reviewed prior to destruction of the electronic files even though there is an official record in another medium.

SECTION 5-1: RECORDS OF AUTOMATED APPLICATIONS

Record Number

Record Title

Record Description

Retention Period

Remarks

GR5800-01

AUDIT TRAIL RECORDS

Files needed for electronic data audits such as files or reports showing transactions accepted, rejected, suspended, and/or processed; history files/tapes; records of on-line updates to application files or security logs.

Until audit requirements met.

 

*GR5800-02

FINDING AIDS, INDEXES, AND TRACKING SYSTEMS

Automated indexes, lists, registers, and other finding aids used to provide access to the hard copy and electronic records.

Until the related hard copy or electronic records have been destroyed.

 

*GR5800-03

HARDWARE DOCUMENTATION

Records documenting operational and maintenance requirements of computer hardware such as operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems.

Until electronic records are transferred to and made usable in a new hardware environment or there are no electronic records being retained to meet an approved retention period that require the hardware to be retrieved and read.

Retention Note:  If the retention period of electronic records is extended to meet requirements of an audit, litigation, Public Information Act request, etc. any hardware documentation required to retrieve and read the records must also be retained for the same period.

*GR5800-04

MASTER FILE RECORDS

Relatively long-lived computer files containing organized and consistent sets of complete and accurate electronic records.

Until completion of 3rd system backup cycle except for:

a) Electronic file which replaces or serves in lieu of a textual record - Follow the retention period approved for the equivalent textual record;

b) Electronic file containing fiscal information, for which an equivalent textual record exists, but which is also subject to audit - Dispose of after all audit questions have been resolved; and

c) Output data file extracted from system solely to distribute data to individuals or program units for reference and use or to produce printed reports or other publications - Dispose of after data is distributed or when no longer needed to create publication.

Retention Note:  The need to retain "snapshots" of some continuing master files should be carefully evaluated.  For example, if a Geographic Information System has only current mapping information, historical versions of zoning changes would not be available even though these records have long-term legal and historical value.

*GR5800-05

PROCESSING RECORDS

Electronic files used to produce a master file, including, but not limited to, work files, maintenance and test files, print files, and intermediate input/output records.

Until completion of 3rd system backup cycle except for: 

a) Routine or benchmark file used to test system performance - AV; and

b) File which facilitates processing of a particular job or system run, but which does not add to, delete from, or substantially modify information in a master file - AV.

 

*GR5800-06

SOFTWARE PROGRAMS

Automated software applications and operating system files including job control language, program listing/source code, etc.

Until electronic records are transferred to and made usable in a new software environment or there are no electronic records being retained to meet an approved retention period that require the software to be retrieved and read.

Retention Note:  If the retention period of electronic records is extended to meet requirements of an audit, litigation, Public Information Act request, etc. any software program required to retrieve and read the records must also be retained for the same period.

*GR5800-08

TECHNICAL DOCUMENTATION

Records adequate to specify all technical characteristics necessary for reading or processing of electronic records and their timely, authorized disposition including documentation describing how a system operates and necessary for using the system such as user guides, system or sub-system definitions, system specifications, input and output specifications, and system flow charts; program descriptions and documentation such as program flowcharts, program maintenance logs, change notices, and other records that document modifications to computer programs; and data documentation necessary to access, retrieve, manipulate and interpret data in an automated system such as a data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.

Until electronic records are transferred to and made usable in a new hardware or software environment with new documentation or there are no electronic records being retained to meet an approved retention period that require the documentation to be retrieved and read.

Retention Note:  If the retention period of electronic records is extended to meet requirements of an audit, litigation, open records action, etc. any technical documentation required to retrieve and read the records must also be retained for the same period.

SECTION 5-2: COMPUTER OPERATIONS AND TECHNICAL SUPPORT RECORDS

Retention Note:  Not all of the following types of records will be created with all electronic systems.  A local government should determine which records are needed according to the type of computer operation in use (mainframe, individual personal computers, networked personal computers, etc.).  The records in this section may be maintained electronically (on-line, magnetic tape, optical disk, etc.) or on another medium such as paper or microform provided the approved retention period is met.

Record Number

Record Title

Record Description

Retention Period

Remarks

*GR5825-01

ACCESS SECURITY RECORDS

Records created for security purposes to control or monitor individual access to a system and its data, including but not limited to user account records, security login information, and password files.

Retain until all audit or legal requirements have been met.

 

*GR5825-02

BATCH DATA ENTRY CONTROL RECORDS

Forms and logs used to reconcile batches submitted for processing against batches received and processed.

AV after reconciliation confirmed.

 

*GR5825-03

CHARGEBACK RECORDS TO DATA PROCESSING SERVICES USERS

Records used to document, calculate costs, and bill program units for computer usage and data processing services.  These records are also used for cost recovery, budgeting, or administrative purposes.

FE + 5 for school districts; FE + 3 years for other governments.

 

GR5825-04

COMPUTER JOB SCHEDULES AND REPORTS

Schedules or similar records showing computer jobs to be run and other reports by computer operators or programmers of work performed.

90 days.

 

*GR5825-05

DATA PROCESSING POLICIES AND PROCEDURES

Records of data processing policies and procedures including those covering access and security, systems development, data retention and disposition, and data ownership (records of procedures for data entry, operation of computer equipment, production control, system backup, compliance with electronic records rules, etc).  Does not include technical documentation of procedures necessary for reading or processing of electronic records (see item number GR5800-08).

Until superseded, expired, or discontinued + 5 years.

Retention Note:  Review before disposal; some records merit PERMANENT or long-term retention for historical or legal reasons.

GR5825-06

DATA PROCESSING PLANNING RECORDS

Reports, studies, analyses, projections, and similar records concerning the creation, development, or modification of data processing systems and services except for disaster recovery plans (see item number GR5825-07).

5 years.

Retention Note:  Before disposal appraise for continuing administrative usefulness and historical value.  Those records relating to major development projects and other records considered of historical value should be retained PERMANENTLY.

*GR5825-07

NETWORK SYSTEMS DISASTER PREPAREDNESS AND RECOVERY PLANS

Records related to the protection and re-establishment of data processing services and equipment in case of a disaster.

US.

 

*GR5825-08

ELECTRONIC MEDIA LIBRARY SYSTEM RECORDS

Records used to control the location, maintenance, and disposition of media in an electronic media library except for records destruction documentation that is maintained permanently (see item number GR1000-40).

Until related records or media are destroyed or withdrawn from the library.

 

GR5825-09

INPUT DOCUMENTS

Copies of records or forms designed and used solely for data input and control when the data processing unit provides centralized data input services and original records are maintained by the program unit except for data entry documents noted elsewhere in this schedule or other schedules adopted by the commission.

Until all data has been entered into the system and, if required, verified.

 

*GR5825-10

NETWORK CIRCUITS INVENTORIES

Records containing information on network circuits used by the government including circuit number, vendor, type of connection, terminal series, software, contact person, and other relevant information about the circuit.

US.

 

*GR5825-11

NETWORK IMPLEMENTATION RECORDS

Records used to implement a computer network including reports, diagrams of network, and wiring schematics.

US.

 

GR5825-12

OPERATING SYSTEM AND HARDWARE CONVERSION PLANS

Records relating to the replacement of equipment or computer operating systems not included elsewhere in this schedule.

1 year after completion of conversion.

 

GR5825-13

OUTPUT RECORDS FOR COMPUTER PRODUCTION

Reports showing transactions that were accepted, rejected, suspended, and/or processed.

AV.

 

GR5825-14

QUALITY ASSURANCE RECORDS

Information verifying the quality of system, hardware, or software operations including records of errors or failures and the loss of data resulting from such failures, documentation of abnormal termination and of error free processing, checks of changes put into production, transaction histories, and other records needed as an audit trail to evaluate data accuracy.

Until no longer needed as an audit trail for records modified.

 

*GR5825-15

PROJECT RECORDS

Records created and used in the development, redesign, or modification of automated systems or applications.

 

Retention Note:  Does not include purchasing records for computer software or hardware such as individual personal computers, which are covered in Part 4 of this schedule.

GR5825-15a

PROJECT RECORDS

Project management records, design documentation, feasibility studies, justifications, user requirements, etc.

3 years after completion of project.

 

GR5825-15b

PROJECT RECORDS

Routine status reports, memos, and correspondence.

AV.

 

GR5825-16

SYSTEM ACTIVITY MONITORING RECORDS

Electronic files or automated logs created to monitor computer systems such as print spool logs, console logs, tape activity logs, etc.

AV.

 

*GR5825-17

ELECTRONIC RECORDS TRAINING RECORDS

Memoranda, flyers, catalogues, registration forms, rosters, and other records documenting training courses provided users of electronic records systems.

(1) If the training is required to hold or to continue to hold a specific position or if the training is required of all employees.

(2) If the training is not required to hold or continue to hold a specific position of if the training is not required of all employees.

Date of separation + 5 years.

AV.

 

*GR5825-18

INTERNET COOKIES

Data resident on hard drives that make use of user-specific information transmitted by the Web server onto the user’s computer so that the information might be available for later access by itself or other servers.

AV.

Retention Note:The disposal of Internet cookies need not be documented through destruction authorizations (GR1000-40(b)), but governments should establish procedures governing disposal of these records as part of its records management plan (GR1000-40(d)).

*GR5825-19

HISTORY FILES – WEB SITES

A record of the documents visited during an Internet session that allows users to access previously visited pages more quickly or to generate a record of a user’s progress.

AV.

Retention Note:The disposal of Internet history files need not be documented through destruction authorizations (GR1000-40(b)), but governments should establish procedures governing disposal of these records as part of its records management plan (GR1000-40(d).

*GR5825-20

SOFTWARE REGISTRATIONS, WARRANTIES, AND LICENSE AGREEMENTS

 

LA + 3 years.

 

Comments or complaints regarding the programs and services of the

Texas State Library and Archives Commission can be addressed to the

Director and Librarian, PO Box 12927, Austin, TX 78711-2927

512-463-5460 or 512-463-5436 Fax

 

Copies of this publication are available in alternative format upon request.

Page last modified: January 7, 2014