Local Schedule UT
Retention Schedule for Records of Utility Services
Effective November 1, 1994
Preface
This schedule establishes mandatory minimum retention periods
for the records listed. 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 for a record that is less than that
established for the record on this schedule. The originals of records
listed in this schedule may be disposed of prior to the expiration
of the stated minimum retention period 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 authority of those chapters. Actual disposal of such records
by a local government or an elective county office 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 its authority, 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 Open Records 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.
Local Schedule UT sets mandatory minimum retention periods for
records series (identified in the Records Series Title column) maintained
in water districts and by local government owned water and wastewater,
solid waste, electric, and gas utility departments. If the retention
period for a record is established in a federal or state law, rule
of court, or regulation, a citation to the relevant provision is
given; if no citation is given, the authority for the retention
period is this schedule.
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.
Unless otherwise stated, the retention period for a record is
in calendar years from the date of its creation. The retention period,
again unless otherwise noted, 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.
If a record described in this schedule is maintained in a bound
volume of a type in which pages are not designed 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 on this schedule, authority to
dispose of the damaged record must be obtained from the director
and librarian of the Texas State Library. The Request for Authority
to Destroy Unscheduled Records (Form SLR 501) should be used for
this purpose.
Requests for Authority to Destroy Unscheduled Records (SLR 501),
whose submission to the director and librarian of the Texas State
Library is required by the Local Government Code, Section 203.045,
need not be filed for records shown as exempt from the requirement.
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.
Although AV may be used as a retention period on a records control
schedule of a local government, it is in the best interests of any
records management program that fixed retention periods be assigned
for each records series. AV records tend to accumulate and go unmanaged.
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Abbreviations Used In This Schedule
AV - As long as administratively valuable
CFR - Code of Federal Regulations
FE - Fiscal year end
LA - Life of asset
TAC - Texas Administrative Code
US - Until superseded
Table of Contents
Part 1: General Records
Part 2: Water and Wastewater
Part 3: Solid Waste and Hazardous
Waste Management Records
Part 4: Electric Utility Records
Part 5: Gas Utility Records
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Records of Utility Services
Retention Notes: a) This schedule should be used by water
districts and by local government owned water and wastewater,
solid waste, electric, and gas utility departments.
b) For administrative, financial, personnel, and support services
records not included in this schedule, see Local Schedule GR (Records
Common to All Governments).
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Part 1: General Records
Retention Note: The records listed in this part are those
common to two or more of the utility operations covered in Parts
2-5 of this schedule.
5000-01 Communications With Regulatory Authority, Record
of - Record maintained by a municipality as a utility regulatory
authority detailing contacts by regulated utilities or their affiliates
or representatives with the municipality. RETENTION: 2 years.
5000-02 Complaints - Record of complaints made in person,
by telephone, or by letter to utilities from customers or applicants
for services except that complaints requiring no further action
by the utility need not be recorded. Includes the name and address
of the complainant, the date and nature of the complaint, and the
adjustment or disposition made. RETENTION: Final settlement of complaint
+ 2 years. [By regulation - 30 TAC 291.81(b)(4) for water utilities,
16 TAC 23.41(b)(4) for electricity services by river authorities,
and by authority of this schedule for all others.]
5000-03 Confidentiality Requests - Forms or other written
requests submitted by utility customers requesting confidentiality
of personal information (address, telephone number, and social security
number) in account records, including any subsequent written instructions
to rescind requests for confidentiality.
a) If indication of confidentiality is made in a customer account
history (item number 5000-05). RETENTION: AV after indication
made. (Exempt from destruction request requirement)
b) If indication of confidentiality is not made in a customer
account history (item number 5000-05). RETENTION: Until destruction
of all records that contain personal information about the customer.
Retention Note: This record consists only of separate
forms used by a utility to determine the wishes of a customer
concerning confidentiality. It does not include confidentiality
requests made on return portions of statements, service applications,
etc.
5000-04 Customer Billing Records - Monthly or other periodic
billing detail records on each customer utility account documenting
utility charges and payments.
a) River authorities for electricity. RETENTION: 2 years. [By
regulation - 16 TAC 23.45(m).]
b) River authorities for services other than electricity and
all other government utilities, if records do not document the
payment of any monies remittable to the State Comptroller of Public
Accounts. RETENTION: FE + 3 years.
c) River authorities for services other than electricity and
all other government utilities, if records document the payment
of any monies remittable to the State Comptroller of Public Accounts.
RETENTION: FE + 5 years.
5000-05 Customer Account Histories - Account history of
each customer of a utility, including all information (name, address,
account number, etc.) necessary to provide and bill for services.
RETENTION: Close of account + 2 years.
5000-06 Customer Usage Reports and Plans - Reports, plans,
or similar records that by law or regulation must be submitted to
a utility from customers concerning intended or actual use of the
utility system (e.g. statements of intent to irrigate acreage submitted
to an irrigation district, industrial user discharge reports submitted
to publicly-owned treatment works, etc.). RETENTION: 3 years. [By
regulation - 40 CFR 403.12(o)(3) for industrial user discharge reports
and by authority of this schedule for all others.]
5000-07 Discontinuance of Service Records - Records relating
to the actual or threatened disconnection or discontinuance of utility
service to a customer for non-payment or violation of terms of service,
including termination notices, attending physician statements, energy
assistance grant notifications, deferred payment agreements, and
resolution of dispute review documents. RETENTION: 1 year. (Exempt
from destruction request requirement)
5000-08 Equipment History Records - Records on individual
items of equipment, machinery, apparatus, or other physical components
integral to the functioning of a utility system, including records
of installation, inspection, testing, maintenance, and repair. See
also item number 5000-09.
a) Records of installation, inspection, testing, maintenance,
and repair of equipment except for equipment and vehicle preventive
maintenance records of solid waste facilities for the storage,
processing, or disposal of whole used or scrap tires. RETENTION:
LA.
b) Equipment and vehicle preventive maintenance records of solid
waste facilities for the storage, processing, or disposal of whole
used or scrap tires. RETENTION: 3 years. [By regulation - 30 TAC
330.845(b).]
c) Records of the calibration of testing and monitoring instruments.
RETENTION: 3 years. [By regulation - 30 TAC 319.7(c) for instrumentation
used in monitoring waste discharge, 30 TAC 335.366(b)(3) for instrumentation
used to monitor air emissions, and by authority of this schedule
for all others.]
5000-09 Equipment Inventory Records - Registers, index
cards, or similar records providing an inventory of equipment, machinery,
apparatus, and other physical components installed or in use in
a utility system, showing location, date of installation, and similar
data.
a) For a complete inventory that is periodically revised and
reprinted. RETENTION: US + 1 year. (Exempt from destruction request
requirement)
b) For an inventory that is maintained on cards or similar discrete
media. RETENTION: PERMANENT, but see retention note.
Retention Note: Records of individual items may be pulled
from a card or similar file and destroyed when the item is junked
or salvaged. (Exempt from destruction request requirement)
5000-10 Maps and Plats - Maps and plats of local government
owned utility systems showing service areas, facilities, and infrastructure.
See also item number 5000-14.
a) Landfills. RETENTION: PERMANENT.
b) All other utilities. RETENTION: US. (Review before disposal;
some maps may merit permanent retention for historical reasons.
Exempt from destruction request requirement)
5000-11 Meter Reading Records - Books, cards, sheets, or
similar records, such as those maintained in automated systems,
showing monthly or other periodic utility consumption recorded on
each meter, including those provided by customers in customer-read
programs. RETENTION: 3 years.
5000-12 Operation and Maintenance Manuals - Manuals detailing
procedures for the operation and maintenance of utility systems
and equipment. RETENTION: US. (Exempt from destruction request requirement)
5000-13 Planning Studies and Reports - Studies, reports,
analyses, research data, projections, graphic material, and similar
planning documents by outside consultants or in-house staff relating
to comprehensive planning, capital improvements, land use and open
space, economic development and outlook, regional and intergovernmental
cooperation, growth patterns, demographics, long range forecasts
and projections, and other aspects of utility planning not listed
elsewhere in this schedule.
a) Special planning studies or reports 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 or
federal agency or a court. RETENTION: PERMANENT.
b) All other planning reports or studies. RETENTION: 10 years.
[Review before disposal; many records of this type may merit permanent
or long-term retention for administrative or historical reasons.
See also item number 1000-39 in Local Schedule GR (Records Common
to All Local Governments).]
Retention Note: Be certain that planning documents do
not fall within other records series. For example, excavation
and construction plans are included under item number 5000-14(a)
and plans required for a solid waste land disposal site are
included under item number 5050-07(b).
5000-14 Private Utility Plans and Maps - Excavation and
construction plans, maps and diagrams, and similar records concerning
the transmission and distribution systems of privately owned electric,
gas, water, telephone, telegraph, and cable television companies
maintained by a local government.
a) Excavation and construction plans. RETENTION: AV after completion
of work. (Exempt from destruction request requirement)
b) Maps. RETENTION: US. (Exempt from destruction request requirement)
5000-15 Rate Schedules, Regulations, and Change Documentation
- Tariffs containing schedules of all rates, tolls, charges, and
regulations pertaining to all services provided by a utility, including
notices of intent to change rates and associated rate change or
rate appeal documentation.
a) Maintained by a local government as operator of a utility
(including superseded tariffs). RETENTION: PERMANENT.
b) Maintained by a municipality or other local government as
a regulatory authority. RETENTION: a) Tariffs - US; b) All other
documentation - 5 years. (Exempt from destruction request requirement)
c) Received and maintained by a local government as an entity
to be affected by proposed change. RETENTION: AV. (Exempt from
destruction request requirement)
d) Rate appeal documentation maintained by a local government
appealing a rate determination. RETENTION: AV after final disposition
of the appeal.
5000-16 Service Application and Deposit Records
a) Service applications, unless needed for (b). RETENTION: 1
year. (Exempt from destruction request requirement)
b) Receipts, refund cards, and related records documenting customer
deposits and refunds. RETENTION: FE of refund of deposit or its
credit to unpaid balance + 3 years.
c) Records of unclaimed deposits. RETENTION: 4 years. [By regulation
- 30 TAC 291.84(f)(3) for water utilities, 16 TAC 23.45(m) for
electricity services by river authorities, and by authority of
this schedule for all others.]
5000-17 Service Interruption Records - Reports, logs, or
similar records detailing location, time, and cause of interruption
of utility services or operations, including any written reports
of service interruptions submitted to a regulatory authority as
required by law or regulation. RETENTION: 3 years.
5000-18 Standards and Specifications Files - Standards
and specifications for materials, supplies, and services. RETENTION:
AV. (Exempt from destruction request requirement)
Retention Note: Standards and specifications related to
records series listed in Local Schedule GR (Records Common to
All Governments) such as bid proposals (item number 1075-01) and
construction project files (item number 1075-16) should be maintained
for the retention period adopted for those records.
5000-19 Work Orders - Work orders, service orders, and
similar records requesting, authorizing, and describing work to
be done by utility personnel. RETENTION: 2 years.
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Part 2: Water and Wastewater Records
5025-01 Bacteriological Analysis Records - Records of bacteriological
analyses of water and wastewater systems. RETENTION: 5 years. [By
regulation - 30 TAC 290.112(1).]
5025-02 Chemical Analysis Records - Records of chemical
analyses of water and wastewater systems. RETENTION: 10 years. [By
regulation - 30 TAC 290.112(1).]
5025-03 Groundwater Monitoring Records - For water and
wastewater permits containing a groundwater monitoring requirement,
records from all groundwater monitoring wells and associated groundwater
surface elevations. RETENTION: 3 years. [By regulation - 30 TAC
319.7(c) for waste discharge permits and by authority of this schedule
for all others.]
5025-04 Inspection Records - Logs, reports or similar records
of inspection of septic tanks, catch basins, or other private sector
water-related facilities by water or wastewater personnel. RETENTION:
3 years.
5025-05 Lead and Copper Compliance Records - Records of
all sampling data and analyses, reports, surveys, letters, evaluations,
schedules, state determinations, and other information required
by the Environmental Protection Agency to demonstrate compliance
with requirements concerning corrosion control treatment, source
water treatment, lead service line replacement, public education
and supplemental monitoring, water quality parameters, and monitoring
of lead and copper in source and tap water. RETENTION: 12 years.
[By regulation - 40 CFR 141.91.]
5025-06 Operational Permits and Approvals
a) Permits and approvals from the Texas Natural Resource Conservation
Commission, the Environmental Protection Agency, and other county,
state, and federal agencies as required by law or regulation concerning
wastewater treatment and disposal, water use, water districts,
environmental protection; and any reports, correspondence, or
other documentation bearing directly on the application for, the
issuance of, or the renewal of the permit or approval. RETENTION:
Expiration, cancellation, revocation, or denial + 5 years.
b) Records concerning any variance or exemption granted to a
system. RETENTION: Expiration of variance or exemption + 5 years.
[By regulation - 30 TAC 290.112(4).]
5025-07 Operations Records - Internal records, reports,
logs, or similar records that document or summarize the operations
of water supply, treatment, and distribution facilities, stations,
and systems; and wastewater collection and treatment facilities,
plants, and systems.
a) Records of monitoring activities, including records concerning
measurements and analyses performed and concerning calibration
and maintenance of flow measurement and other instrumentation.
RETENTION: 3 years. [By regulation - 30 TAC 319.7(c) for wastewater
operations and by authority of this schedule for all others.]
b) Periodic logs or reports compiled on less than an annual
basis. RETENTION: 3 years.
c) Annual or biennial reports. RETENTION: PERMANENT.
5025-08 Reports to Regulatory Authorities - Periodic monitoring,
financial, and operational reports submitted to the Texas Natural
Resource Conservation Commission, the Environmental Protection Agency,
or other agencies and local governments as required by law or regulation
on the collection, treatment, and disposal of wastewater and for
monitoring the quality of any water in the state.
a) Periodic reports compiled and submitted on less than an annual
basis. RETENTION: 3 years.
b) Annual and biennial reports or special reports ordered or
required by a regulatory authority. RETENTION: PERMANENT.
5025-09 Sanitary Surveys - Surveys, studies, or reports
examining the overall sanitary condition of water and wastewater
systems. RETENTION: 10 years. [By regulation - 30 TAC 290.112(3).]
5025-10 Tap and Hook-Up Logs - Logs, log sheets, or comparable
documents providing a record of water or sewer tap and hook-up permits
issued showing location, date of installation, and similar data.
RETENTION: PERMANENT.
5025-11 Violation Reports - Reports, correspondence, and
similar records relating to actions taken to correct violations
of federal, state, or local primary drinking water regulations;
or of other water or wastewater-related laws, ordinances, or regulations.
RETENTION: 3 years after last action taken with respect to the particular
violation. [By regulation - 30 TAC 290.112(2).]
5025-12 Water and Wastewater Permit Files
a) Applications for and similar records relating to the issuance
and renewal of permits by a local government for the installation
of septic tanks, water and sewer taps and hook-ups, and water
meters; for waste discharge; and for other water or wastewater-related
installations or activities required by ordinance, regulation,
or statute (for logs of such permits see item numbers 5025-10
and 5025-13). RETENTION: Expiration, cancellation, revocation,
or denial of the permit + 5 years.
b) Records concerning variances or exemptions. RETENTION: Expiration
of variance or exemption + 5 years. [By regulation - 30 TAC 290.112(4).]
5025-13 Water and Wastewater Permit Logs - Logbooks, registers,
or comparable documents providing a record of water and wastewater
permits issued by a local government or any of its departments or
subdivisions. RETENTION: PERMANENT.
5025-14 Water and Wastewater Treatment Sludge Records
a) Records of operators of public water and wastewater treatment
plants that apply sewage sludge to land for beneficial use or
prepare/provide sewage sludge to persons who prepare, apply, sell,
or give away sewage sludge for land application for beneficial
use. Includes sludge sample analyses; certification statements;
and descriptions of how pathogen requirements, vector attraction
reduction requirements, site restrictions, and management practices
are met. RETENTION: 5 years. [By regulation - 30 TAC 312.47(a)
and (b).]
b) Records of operators of public water and wastewater treatment
plants that prepare sewage sludge that is to be placed on a surface
disposal site including sludge sample analyses, certification
statements, and descriptions of how pathogen requirements and
vector attraction reduction requirements are met. RETENTION: 5
years. [By regulation - 30 TAC 312.67(a)(1).]
c) Monitoring information relating to sewage sludge use and
disposal activities. RETENTION: 5 years. [By regulation - 30 TAC
305.125(11)(B).]
d) Trip tickets completed by transporter and retained by generator
of sludge. RETENTION: 5 years.
5025-15 Water Pollution Control and Abatement Files - Studies,
staff reports, surveys, and similar monitoring and planning records
relating to the control and abatement of actual or potential water
pollution in a municipality designed to meet the pollution abatement
responsibilities of cities pursuant to provisions of the Water Code,
Section 26.177. RETENTION: 5 years.
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Part 3: Solid Waste and Hazardous Waste Management
Records
Retention Notes: a) This section applies to facilities
owned, operated, or leased by a local government for the collection,
handling, transfer, storage, processing, and disposal of solid
waste, including medical waste and sludges generated by water
supply or wastewater treatment plants, and hazardous waste except
for radioactive materials.
b) For Radiation Control Records see item number 4750-07, Local
Schedule HR (Records of Public Health Agencies).
5050-01 Air Pollution Control Monitoring Records - Documentation
required by solid and hazardous waste permits to assure compliance
with air pollution control standards including stack sampling analyses,
emissions monitoring, or other tests related to air emissions to
prove satisfactory equipment performance except for sewage sludge
incineration. See also item number 5050-07(c)(2). RETENTION: 3 years.
By regulation - 30 TAC 120.21(b)(3).]
5050-02 Asbestos Disposal Records
a) Waste shipment record. RETENTION: 2 years. [By regulation
- 40 CFR 61.154(e)(4).]
b) Map or diagram showing location, depth and area, and quantity
of asbestos-containing waste within the disposal site. RETENTION:
Until closure of site. [By regulation - 40 CFR 61.154(f).]
5050-03 Groundwater Monitoring Records - Records of solid
waste and hazardous waste collection, storage, processing, and disposal
facilities that have a groundwater monitoring requirement, including
analyses of samples, measurements of indicator parameters, certifications,
and any other demonstrations, findings, testing, and analytical
data relating to groundwater monitoring and corrective action. RETENTION:
Life of the facility including the post-closure care period. [By
regulation - 30 TAC 330.113(d) for solid waste land disposal sites,
30 TAC 335 117(a)(1) and (b)(1) for hazardous waste storage, processing,
and disposal facilities, and by authority of this schedule for all
others.]
5050-04 Hazardous Waste Training Records - Documentation
of classroom instruction and on-the-job training of hazardous waste
personnel sufficient to demonstrate appropriate training in compliance
with federal requirements for personnel training.
a) Current personnel. RETENTION: Until closure of facility. [By
regulation - 40 CFR 264.16(e).]
b) Former employees. RETENTION: Date of termination + 3 years.
[By regulation - 40 CFR 264.16(e).]
5050-05 Manifests and Trip Tickets - Documents maintained
to provide a record of solid waste or hazardous waste shipments,
including manifests, trip tickets, shipping papers, bills of lading,
daily logs, and other similar approved documentation.
a) Manifests and trip tickets retained by operators of collection,
storage, processing, or disposal facilities to document the type
and quantity of solid waste delivered except solid waste disposal
sites that receive special wastes and facilities that handle used
oil filters, waste tires, sewage sludge, hazardous waste, or Class
I industrial waste.
1. If the ticket is the only source document used for any billing
purposes. RETENTION: 1 year. (Exempt from destruction request
requirement)
2. If another document is used for any billing purposes. RETENTION:
90 days. (Exempt from destruction request requirement)
b) Bills of lading and other shipping records retained by operators
of processing facilities and collection centers to document the
transfer of used oil filters. RETENTION: 3 years. [By regulation
- 30 TAC 330.1185(c)(1) for processors and 30 TAC 330.1186((b)
for collection centers.]
c) Manifests, documentation of specific locations of tires upon
delivery, and daily shipment logs retained by operators of waste
tire facilities. RETENTION: 3 years. [By regulation - 30 TAC 330.845(b).]
d) Trip tickets or similar documentation retained by the operators
of facilities that apply prepared sewage sludge, water treatment
sludge, and domestic septage to the land for beneficial uses or
place it on a surface disposal site. RETENTION: 5 years.
e) Manifests and trip tickets and other tracking records retained
by operators of solid waste land disposal sites to document the
delivery of special wastes such as medical wastes (bulk human
blood and blood products, microbiological waste, sharps, etc.);
wastewater, sewage, and water-supply treatment sludges; septic
tank pumpings; grease and grit trap wastes; and other solid waste
requiring special handling to protect human health or the environment.
RETENTION: Life of facility including post-closure period. [By
regulation - 30 TAC 330.113(d).]
f) Manifests or shipping papers retained by operators of storage,
processing, or disposal facilities to document the delivery of
hazardous waste or Class I industrial waste except for solid waste
land disposal sites that receive special wastes. RETENTION: 3
years. [By regulation - 30 TAC 335.15(1) and (3).]
g) Waste shipping records retained by transporters to document
the collection and deposit of solid wastes and hazardous waste
except sewage sludges. Includes manifests, waste shipping control
tickets, shipping papers, bills of lading, daily logs, or other
similar approved documentation. RETENTION: 3 years. [By regulation
- 30 TAC 330.815(b) for used or scrap tires; 30 TAC 330.825(a)
for mobile tire processors; 30 TAC 335.14(a)-(d) for municipal
hazardous wastes or Class I industrial solid wastes; 30 TAC 330.1184(a)(6)
for used oil filters; 30 TAC 330.1005(l) for medical waste, and
by authority of this schedule for all others.]
h) Trip tickets or similar documentation retained by transporters
of sewage sludge, water treatment sludge, septage, chemical toilet
waste, or grit trap waste. RETENTION: 5 years.
5050-06 Operational Permits and Approvals
a) Permits, registrations, and other approvals from the Texas
Natural Resource Conservation Commission and any other local,
state, or federal agency, as may be required by law or regulation
concerning the collection, handling, transfer, storage, processing,
transportation, and disposal of solid waste or hazardous waste
by a local government except for the operation of solid waste
land disposal sites. Includes any reports, correspondence, or
other documentation bearing directly on the application for, the
issuance of, or the renewal of the permit or license and any variances
or exemptions granted to a facility. RETENTION: Expiration, cancellation,
revocation, or denial + 5 years.
b) Permits from the Texas Natural Resource Conservation Commission
concerning the operation of a solid waste land disposal site,
including any reports, correspondence, or other documentation
bearing directly on the application for, the issuance of, or the
renewal of the permit and any modifications to the permit. RETENTION:
Life of the facility including the post-closure care period. [By
regulation - 30 TAC 330.113(a) and (d).]
5050-07 Operations Records - Internal operational records
and reports on any aspect of the collection, handling, transfer,
storage, processing, and disposal of solid waste or hazardous waste
by a local government except those reports that might be included
elsewhere in this schedule, such as item numbers 5050-06 and 5050-11.
a) Solid waste management operations except solid waste land
disposal sites, sewage sludge disposal operations, and waste tire
facilities.
1. Records of solid waste management and monitoring activities,
including documentation of compliance with standards such as
strip charts and instrument calibration. RETENTION: 3 years.
[By regulation - 30 TAC 330.1182(4) for storage, processing,
or handling of used oil filters and by authority of this schedule
for all others.]
2. Periodic logs or reports compiled on less than an annual
basis. RETENTION: 3 years.
3. Annual or biennial reports. RETENTION: PERMANENT.
b) Operating record of solid waste land disposal sites including
required plans and related documents such as the approved Site
Development Plan, the Final Closure Plan, the Post-Closure Plan,
the Landfill Gas Management Plan; documentation of groundwater
monitoring and corrective actions; cost estimates and financial
assurance documentation relating to closure and post-closure;
copies of correspondence and responses relating to the operation
of the facility; and any other documents specified by the approved
permit. RETENTION: Life of the facility including the post-closure
care period. [By regulation - 30 TAC 330.113(d).]
c) Sludge disposal operations for sewage sludge, water treatment
sludge, septage, chemical toilet waste, or grit trap waste.
1. Records of disposal of sewage sludge and domestic septage
on a surface disposal site, including sludge sample analyses;
certification statements; descriptions of how pathogen requirements,
vector attraction reduction requirements, site restrictions,
and management practices are met; and identification of land
on which disposal operations are carried out. RETENTION: 5 years.
[By regulation - 30 TAC 312.67(a)(2) for sewage sludge and 30
TAC 312.67(b)(1) and (b)(2) for domestic septage.]
2. Records of disposal of sewage sludge, water treatment sludge,
septage, chemical toilet waste, or grit trap waste by firing
in a sewage sludge incinerator, including measurements of the
concentration of metals in the sludge fed to the incinerator,
information verifying compliance with air pollution control
requirements, and a calibration and maintenance log for the
instruments used to monitor the exit gas and combustion temperatures.
RETENTION: 5 years. [By regulation - 40 CFR 503.47(a).]
d) Records of waste tire facilities including a description
of events at the facility relating to routine maintenance, fires,
thefts, spraying for vectors, etc.; the annual report required
by the Texas Natural Resources Conservation Commission; a log
containing copies of all monthly reimbursement vouchers; a record
of the dates and documentation of calibration by the manufacturer
of the scale; and a log containing copies of the monthly operations
reports. RETENTION: 3 years. [By regulation - 30 TAC 330.845(b).]
e) Hazardous waste operations.
1. Operating record of hazardous waste storage, processing,
and disposal facilities, including a description of and quantity
of each hazardous waste received; the method and date of its
treatment, storage, or disposal; the location of each hazardous
waste in the facility and the quantity at each location; a map
or diagram of each cell or disposal area; results of waste analyses;
reports of incidents that require implementation of the contingency
plan; testing or analytical data and corrective action taken;
and other records as required by federal regulation. RETENTION:
Until closure of the facility. [By regulation - 40 CFR 265.73(b).]
Retention Note: The retention period for the hazardous
waste operating record is extended automatically during the
course of any unresolved enforcement action regarding the
facility.
2. General inspection reports for hazardous waste storage,
processing, and disposal facilities. RETENTION: 3 years. [By
regulation - 40 CFR 265.73(b)(5).]
Retention Note: The retention period for the inspection
reports is extended automatically during the course of any
unresolved enforcement action regarding the facility.
3. Annual or biennial reports. RETENTION: PERMANENT.
5050-08 Reports to Regulatory Authorities - Periodic monitoring,
financial, and operational reports submitted to the Texas Natural
Resources Conservation Commission, the Environmental Protection
Agency, or other agencies or local governments as required by law
or regulation on the management of solid waste or hazardous waste.
a) Periodic reports compiled and submitted on less than an annual
basis. RETENTION: 3 years.
Retention Note: Reports of monitoring programs related
to specific permits such as hazardous waste operations and solid
waste disposal land sites shall be maintained for the retention
period required for the operations records.
b) Annual or biennial reports or special reports ordered by
a regulatory authority. RETENTION: PERMANENT.
5050-09 Solid Waste Management Permits and Licenses
a) Applications, copies of permits or licenses, and related documentation
concerning the issuance of permits or licenses by a local government
for the collection, handling, transfer, storage, processing, transportation,
and disposal of solid waste by private concerns or individuals
as may be required by local ordinance; and similar records relating
to the review by a local government of waste disposal plant permits
submitted to the Texas Natural Resource Conservation Commission.
RETENTION: Expiration, cancellation, revocation, or denial of
the permit + 3 years.
b) Records concerning any variance or exemption granted to a
permittee. RETENTION: Expiration of variance or exemption + 3
years.
5050-10 Solid Waste Management Permit and License Logs
- Logbooks, registers, or comparable documents providing a record
of solid waste management permits and licenses issued by a local
government. RETENTION: PERMANENT.
5050-11 Tonnage Reports - Daily tonnage reports of solid
waste handled and processed in a sanitary landfill, disposal plant,
composting plant, or resource recovery facility. See also item numbers
5050-05 and 5050-07.
a) If figures are totaled on a monthly report. RETENTION: 60
days. (Exempt from destruction request requirement)
b) If figures are not totaled on a monthly report. RETENTION:
3 years.
5050-12 Transportation of Solid and Hazardous Waste Records
a) Documentation that solid waste or hazardous waste was taken
to an authorized facility. RETENTION: 3 years. [By regulation
- 30 TAC 330.1005(l) for medical waste, 30 TAC 330.32(c) for solid
waste, and by authority of this schedule for all others.]
b) Records of the cleaning and disinfecting of vehicles used
to transport medical waste. RETENTION: 3 years. [By regulation
- 30 TAC 330.1005(h).]
c) Annual summary reports of waste shipment activities. RETENTION:
PERMANENT.
5050-13 Underground Injection Control Monitoring - Records
of all data resulting from any monitoring activities, including
the chemical and physical characteristics of injected fluids or
other records required by an underground injection well permit.
RETENTION: 5 years following well plugging and abandonment. [By
regulation - 30 TAC 331.67(c) for Class I hazardous well and 30
TAC 331.169(c) for Class I salt cavern solid waste disposal well.]
5050-14 Underground Injection Control Permits - Copies
of injection well permits filed by rule (30 TAC, Chapter 331) of
the Texas Natural Resource Conservation Commission with the health
and pollution control authorities of the counties, cites, and towns
where the wells are located. RETENTION: 5 years following well plugging
and abandonment.
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Part 4: Electric Utility Records
Retention Note: In addition to retention periods listed
in this schedule and other commission schedules, the Texas State
Library and Archives Commission (TSLAC) adopts certain rules,
as listed below, of the Federal Energy Regulatory Commission relating
to the preservation and retention of electric utility records
for use by Texas river authorities. River authorities that provide
electricity must follow the retention periods in the federal schedule
(see 18 CFR 125.3) for records listed and follow retention periods
set in this and other TSLAC schedules for records not listed in
the federal schedule. In accordance with 18 CFR 125.2(a)(2), if
a record is listed in both the federal and a TSLAC schedule and
the retention period given on a TSLAC schedule is longer, the
longer retention period must be followed.
The Texas State Library and Archives Commission adopts the following
rules of the Federal Energy Regulatory Commission by reference:
18 CFR 125.2(a)(1)-(3); 125.2(j); 125.2(n)(2)-(5); and 125.3.
5075-01 Certificates of Convenience and Necessity - Applications
for and certificates of convenience and necessity issued by the
Public Utility Commission.
a) Denied applications. RETENTION: AV.
b) Approved applications and issued certificates. RETENTION:
PERMANENT.
5075-02 Gross Receipts Assessment Report - Annual or quarterly
gross receipts assessment reports submitted to the State Comptroller
of Public Accounts. RETENTION: FE + 5 years.
5075-03 Operations Reports - Internal reports, logs, or
charts that document or summarize the operations of electric utility
facilities, plants, and systems.
a) Recording instrument charts. RETENTION: 1 year. (Exempt from
destruction request requirement.)
b) Periodic reports and logs compiled on less than an annual
basis. RETENTION: 3 years.
c) Periodic surveys to secure data for compliance reports submitted
to regulatory authorities (e.g., voltage surveys). RETENTION:
3 years.
d) Annual reports. RETENTION: PERMANENT.
5075-04 Reports and Plans to the Public Utility Commission
- Reports or plans, as required by law or regulation, submitted
to the Public Utility Commission as regulatory authority by local
government owned electric utilities except reports listed elsewhere
in this schedule.
a) Annual and biennial reports or special reports ordered or
required by a regulatory authority. RETENTION: PERMANENT.
b) Periodic reports compiled and submitted on less than an annual
basis. RETENTION: 3 years.
c) Construction reports (including preliminary, monthly progress,
quarterly status, and annual cost and schedule variance analyses).
RETENTION: PERMANENT.
5075-05 Reports and Plans to Municipality as Regulatory
Authority - Reports prescribed by state law or regulation or local
policy received by a municipality as regulatory authority from electric
utilities. RETENTION: 5 years.
5075-06 River Flow Data - River flow data collected in
connection with hydroelectric plant operations. RETENTION: PERMANENT.
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Part 5: Gas Utility Records
5100-01 Gas Leak Investigation Reports - Reports of investigation
of gas leaks. RETENTION: 2 years.
5100-02 Odorization Records
a) List of odorization equipment in use, showing location, brand
name and model number, and date last serviced. RETENTION: US +
1 year. (Exempt from destruction request requirement)
b) Malodorant injection reports. RETENTION: 2 years.
c) Malodorant concentration test reports. RETENTION: 2 years.
[By regulation - 16 TAC 7.71(g)(1) and (3).]
5100-03 Operations Reports - Internal reports, logs, or
charts that document or summarize the operations of gas utility
facilities, plants, and systems, except those noted elsewhere in
this schedule.
a) Recording and gas measuring instrument charts. RETENTION:
1 year. (Exempt from destruction request requirement)
b) Periodic reports and logs compiled on less than an annual
basis unless includable in subsection (d). RETENTION: 3 years.
c) Periodic surveys to secure data for compliance reports submitted
to regulatory authorities unless includable in subsection (d).
RETENTION: 3 years.
d) Periodic reports, logs, or surveys necessary to demonstrate
compliance with natural gas pipeline safety rules of the Texas
Railroad Commission, including accident reports. RETENTION: 5
years. [By regulation - 16 TAC 7.70(h).]
e) Annual reports. RETENTION: PERMANENT.
5100-04 Reports and Plans to the Railroad Commission -
Reports or plans, as required by law or regulation, submitted to
the Railroad Commission as regulatory authority by local government
owned gas utilities except reports listed elsewhere in this schedule.
a) Annual and biennial reports or special reports ordered or
required by a regulatory authority. RETENTION: PERMANENT.
b) Periodic reports compiled and submitted on less than an annual
basis. RETENTION: 3 years.
c) Construction reports. RETENTION: PERMANENT.
5100-05 Reports and Plans to Municipality as Regulatory
Authority - Reports prescribed by state law or regulation or local
policy received by a municipality as regulatory authority from gas
utilities. RETENTION: 5 years.
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