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, multimedia 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 Records of Public Safety Agencies, 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 is 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.

5800-01 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. RETENTION: Until audit requirements are met.

5800-02 FINDING AIDS, INDEXES, AND TRACKING SYSTEMS - Automated indexes, lists, registers, and other finding aids used to provide access to the hard copy or electronic records. RETENTION: Until the related hard copy or electronic records have been destroyed. [13 TAC 7.77(a) for electronic records with an approved retention of 10 years or more and by authority of this schedule for all others.]

5800-03 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. RETENTION: Until electronic records are transferred to and made useable 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. [13 TAC 7.77(a) for electronic records with an approved retention of 10 years or more and by authority of this schedule for all others.]

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

5800-04 MASTER FILES - Relatively long-lived computer files containing organized and consistent sets of complete and accurate electronic records. RETENTION: 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; 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. [13 TAC 7.77(a) for electronic records with an approved retention of 10 years or more and by authority of this schedule for all others]

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.

5800-05 PROCESSING FILES - 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. RETENTION: Until completion of 3rd system backup cycle except for: a) Routine or benchmark file used to test system performance - Retain for 1 year and exempt from destruction notice requirement; 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 - Retain for 1 year and exempt from destruction notice requirement.

5800-06 SOFTWARE PROGRAMS - Automated software applications and operating system files including job control language, program listing/source code, etc. RETENTION: Until electronic records are transferred to and made usable in a 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. [13 TAC 7.77(a) for electronic records with an approved retention of 10 years or more and by authority of this schedule for all others.]

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

5800-07 SOURCE DOCUMENTS FOR ELECTRONIC RECORDS - Documents used for the creation of electronic records by data entry or electronic imaging. RETENTION: Follow the retention period approved for the type of record but see the retention notes. [Local Government Code, Section 205.008.]

RETENTION NOTES: a) For records with an approved retention period of 10 years or more, the source documents may be destroyed or returned to the person who filed it after the creation of the electronic record if an electronic storage authorization has been approved based on certification of compliance with the Standards and Procedures for Electronic Records of Local Governments (13 TAC Chapter 7).

b) For records with an approved retention of less than 10 years, the source document may be destroyed prior to the expiration of the retention period for the source document in a records retention schedule issued by the commission if the magnetic tape, optical disk, or similar medium and hardware and software necessary to provide access to local government record data on the medium are retained for the retention period given in this schedule.

5800-08 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 subsystem 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 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. RETENTION: 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. [13 TAC 7.77(a) for electronic records with an approved retention of 10 years or more and by authority of this schedule for all others.]

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.