Part 1: General through Electronic Data Processing

 

GENERAL

NOTE: Records common to most offices are listed under this section of the Schedule.  In using the Schedule, users should first attempt to locate a specific item under a functional heading.  If the record cannot be found under a functional heading, then proceed to this General section to search for a less specific item covering the record.

1.[1] Official minutes and hearing proceedings of public or governing body or board, commission or committee thereof including all records accepted as part of minutes:
RETENTION:        PERMANENT
*2.[3]

Meeting files for meeting of public or governing body or board or agency, commission or committee thereof, including agendas, background materials and other records used at meetings:
RETENTION:        1 year

NOTE:  Appraise these records for continuing administrative or historical value prior to disposition.  Agendas may have continuing administrative value and may be useful for accessing information in unindexed minutes and for indexing those minutes.  Other records prepared for or used at meetings may have administrative or historical value for documenting issues discussed at the meetings and referenced in the minutes.  See item no. 1, above, for records which are accepted as part of the minutes.

*3.[2] Recording of voice conversations, including audio tape, videotape, stenotype or stenographer's notebook and also including verbatim minutes used to produce official minutes and hearing proceedings, report, or other record
 

a.       Recording of meeting of public or governing body or board, committee or commission thereof:
RETENTION:        4 months after transcription and/or approval of minutes or proceedings

NOTE:  Videotapes of public hearings and meetings which have been broadcast on local government public access television are covered by item no. 314, below.

NOTE:  Appraise these records for historical significance prior to disposition.  Audio and videotapes of public hearings and meetings at which significant matters are discussed may have continuing value for historical or other research and should be retained permanently.  Contact the State Archives for additional advice on the long-term maintenance of these records.

 

b.       Recording other than of meeting of public or governing body or board, committee or commission thereof:
RETENTION:        0 after no longer needed

4.[4]

Legal opinion or legal directive rendered by government agency:
RETENTION:        PERMANENT

5.[5]

Local law (including certification that law was properly enacted), rule, regulation, ordinance, resolution, proclamation or court order:
RETENTION:        PERMANENT

6.[6]

Legal agreement, including contract, lease, and release involving local government:
RETENTION:        6 years after expiration or termination or 6 years after final payment under contract, whichever is later

NOTE: This item does not apply to contracts (collective bargaining agreements) between a local government and a public employee labor organization.  These contracts are covered by item no. 210 in the Personnel/Civil Service section, and must be retained permanently.

7.[7]

Signature card, or equivalent record, showing signature of individual legally authorized to sign specific transaction:
RETENTION:        6 years after authorization expires or is withdrawn

*8.[8]

Proof of publica­tion or posting, legal notices, or certification thereof

NOTE: This item does not apply to notice of forthcoming election (see item no. 73 in the Election section).

 

a.       Relating to bond or note issue or tax limit increase:
RETENTION:        6 years after issue or increase disapproved or retired

 

b.       Not relating to bond or note issue or tax limit increase:
RETENTION:        6 years

*9.[9] Manual of procedures, or policies and standards
 

a.       Involving major procedures, policies and standards affecting local government operations, critical functions or issues of public visibility or concern:
RETENTION:        PERMANENT

 

b.       Involving routine day-to-day procedures, policies and standards pertaining to internal administration of a local government:
RETENTION:        6 years after superseded

*10.[10]

Correspondence and supporting documentation maintained in a subject file (generated or received by a local government), except correspondence that is part of a case file or other record series listed elsewhere on this Schedule

 

a.       Documenting significant policy or decision making or significant events, or dealing with legal precedents or significant legal issues:
RETENTION:        PERMANENT

NOTE:  Significant correspondence is often maintained by the chief executive or administrative officer, and sometimes in subject file format. See item no. 33 in the Administration section.

 

b.       Containing routine legal, fiscal or administrative information:
RETENTION:        6 years

 

c.       Of no fiscal, legal or administrative value (including letters of transmittal, invitations and cover letters):
 RETENTION:        0 after no longer needed

*11.[11]

Official copy of publication, including newsletter, press release, published report, bulletin, homepage or other website file, educational or informational program material prepared by or for local government

NOTE: Specific publications are listed in other places in this Schedule.  Before using this item to determine the minimum legal retention for a publication, determine if that publication is covered by a more specific item.

 

a.       Publications which contain significant information or substantial evidence of plans and directions for government activities, or publications where critical information is not contained in other publications:
RETENTION:        PERMANENT

 

b.       Publications where critical information is also contained in other publications or reports, publications that document routine activities, publications which contain only routine information, or publications (such as webpages) that facilitate access to government information on the Internet:
RETENTION:        0 after no longer needed

NOTE: Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently. Local governments should consider permanent retention of samples of publications covered by part "b" of the above item.  Contact the State Archives for additional advice in this area.

*12.[12]

Special project or program files, including projects conducted by students, faculty and/or staff, including official copy of publications, videotapes, or informational literature prepared for public distribution, background materials and supporting documentation:
RETENTION:        6 years after project or program ends

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  If special projects or programs deal with significant subjects, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently.

*13.[13]

Grant program file, covering grants received by local governments

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  For records of grants awarded by local governments, see item no. 454 in the Fiscal section, General Accounting and Miscellaneous subsection.

  a.       Application, proposal, narrative, evaluation, and annual report for grants that have been awarded:
RETENTION:        6 years after renewal or close of grant

NOTE:  Local governments may find that some of the records covered by part "a" have ongoing administrative value.  These records may be useful beyond the minimum retention period for preparing future grant applications.

 

b.       Background material, fiscal records, and supporting documentation for grants that have been awarded and all records relating to grant applications that have been rejected:

RETENTION:        6 years after renewal or close of grant or denial of application

14.[313]

Complaint, petition or request for service received by local government

NOTE: Appraise these records for historical significance prior to disposition. Petitions by citizens involving very significant issues should be retained permanently.

NOTE:  For additional fiscal items, see Fiscal section of this Schedule.

 

a.       Summary record (such as log or register) of complaints, petitions or requests:
RETENTION:        6 years after disposition of all complaints, petitions or requests listed

 

b.       Complaints, petitions or requests relating to other than routine services or activities:
RETENTION:        6 years after final disposition of complaint, petition or request

 

c.       Complaints, petitions or requests relating to routine government services or activities:
RETENTION:        1 year after final disposition of complaint, petition or request

15.[15] Opinion survey records
 

a.       Survey results, including official copy of survey form:
RETENTION:        6 years

NOTE: Appraise these records for historical significance prior to disposition.  Survey results and sample forms involving very significant issues should be retained permanently.

 

b.       Completed survey forms:
RETENTION:        0 after survey results prepared

16.[16]

Repair, installation, maintenance or similar record, including but not limited to request for service, work order, record of work done, and summary or log of service performed:
RETENTION:        6 years

NOTE: For maintenance, testing, service, operational and repair records for public equipment or vehicle, see item no. 250 in the Public Property and Equipment section.

17.[17]

Internal investigation or non-fiscal audit records

NOTE: Fiscal audit records are covered by item no. 310 in the Fiscal section, Audit subsection.  Investigations of personnel are covered by item no. 200 in the Personnel/Civil Service section, Personnel subsection.

 

a.       Report and recommendation resulting from investigation:
RETENTION:        PERMANENT

 

b.       Background materials and supporting documentation:
RETENTION:        6 years

*18.[18]

Internal information record, including but not limited to calendars of appointments, office and travel schedule, memoranda, routing slips, and routine internal reports, reviews and plans, used solely to disseminate information or for similar administrative purposes:
RETENTION:        0 after no longer needed

19.[19]

Duplicate copy of record, created for administrative convenience, except where retention is specified elsewhere in this Schedule:
RETENTION:        0 after no longer needed

*20.[20]

Log or schedule used for internal administrative purposes only:
RETENTION:        0 after no longer needed

*21.[21]

Mailing list used for billing or other administrative purposes:
 RETENTION:        0 after superseded or obsolete

*22.[22]

Daily, weekly, monthly, quarterly or other periodic internal or external report, summary, review, evaluation, log, list, statement or statistics:
RETENTION:        6 years

NOTE:  For annual, special, or final report, summary, review or evaluation, see item no. 23, below.  For routine internal reports and reviews, see item no. 18, above.

*23.[23]

Annual, special or final report, summary, review or evaluation

NOTE: Specific annual reports are listed in many places in this Schedule.  Before using this item to determine the minimum legal retention for an annual report, determine that a report is not covered by a more specific item.

 

a.       Reports which contain substantial evidence of government policy, procedures, plans and directions:
RETENTION:        PERMANENT

 

b.       Reports where critical information is contained in other reports or reports which contain only routine legal, fiscal and administrative information:
RETENTION:        6 years

NOTE: For reports which concern routine internal management and housekeeping activities, see item no. 18, above.

*24.[24] Program plan (annual, special or long-range)
 

a.       Plans which concern major government policies, procedures and activities:
RETENTION:        PERMANENT

 

b.       Plans which concern routine government policies, procedures and activities:
RETENTION:        6 years after superseded or obsolete

25.[25]

List, index or summary used for internal administrative convenience or for informational purposes:
RETENTION:        0 after obsolete

26.[26]

Working document, such as draft, worksheet or posting record except worksheets containing fiscal information:
RETENTION:        0 after no longer needed

27.[27]

Communication log recording each communication between caller and receiving unit:
 RETENTION:        1 year

28.[28]

Telephone call log, statement or equivalent record:
RETENTION:        1 year

29.[29]

Identification card (duplicate copy or record of issuance) issued to student:
RETENTION:        0 after invalid

NOTE: This does not apply to identification cards issued by a local government to its employees.  See item no. 205 in the Personnel/Civil Service section.

30.[30]

Postal records, including returned registered or certified mail card or receipt and insurance receipt:
RETENTION:        1 year

*31.[31] Accident report and related records:
RETENTION:        3 years, or 0 after individual attains age 21, whichever is later
*32.[32]

Report of incident of theft, arson, vandalism, property damage or similar occurrence:
RETENTION:        6 years

NOTE:  For records of responses to threats against public and other facilities, and discovery of possible explosives, pathogens or other hazardous substances, see item no. 66 in the School Safety section.

*33.[314] Local government public access television records
 

a.       Videotape (or other information storage device) recording local government public access television program, where program is produced by a local government

Where program constitutes an important public meeting, significant event, important subject or documents local government policy making:
RETENTION:        PERMANENT

NOTE: In order to ensure the continued preservation and availability of videotapes, local governments should consider using broadcast-quality tapes where possible.  Those tapes should be periodically inspected and copied to newer tapes and formats.  Contact the State Archives for additional advice.

Where program constitutes a routine meeting, event or subject:
RETENTION:        1 year

Where program is aired but not produced by a local government:
RETENTION:        0 after no longer needed

 

b.       Viewer guide or other periodic listing of programs:
RETENTION:        1 year

NOTE:  Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently. The State Archives recommends that local governments retain a sampling of these records on a monthly, seasonal or other periodic basis.

 

c.       Program files on local government cable television programs:
RETENTION:        6 years

*34.[398] Records covering photocopying and other reproduction of records, books, or other materials, including usage logs and individual copying requests
  a.       For materials subject to U.S. Copyright Law:
RETENTION:        3 years
 

b.       For materials not subject to U.S. Copyright Law:
RETENTION:        0 after no longer needed

*35.[399]

Copyright records, for materials copyrighted by local government, including but not limited to copy of application, notice of copyright and correspondence:
RETENTION:        6 years after copyright expires or application denied

*36.[400]

Training course information records, including but not limited to memoranda, flyers, catalogues and other records related to specific training courses including information on course content, program registration, instructor, credits, hours and roster of registrants:
RETENTION:        0 after superseded or obsolete

NOTE:  See Fiscal section for records of fiscal transactions involving training programs.  For retention requirements for specific types of training course records, see the following items: for public safety training, see item no. 149 in the Instruction section; for toxic substance handling and commercial motor vehicle driver alcohol and drug testing training, see item nos. 214 and 349 in the Personnel/Civil Service section; for emergency medical training, see item no. 35 in the School Safety section and item no. 458 in the Instruction section.  Records of earnings (in-service) credits are covered by item no. 199 in the Personnel/Civil Service section.

NOTE:  For employee training history records, see item no. 203 in the Personnel/Civil Service section.

ADMINISTRATION

*1.[33] Superintendent's office files, including but not limited to correspondence, memoranda, reports, studies, publicity items, non-record copies of contracts, and other legal documents

 

a.       Where file documents a significant subject, or major policy-making or program-development process:
RETENTION:        PERMANENT

 

b.       Where file documents routine activity:
RETENTION:        6 years

2.[167]

School district records created prior to consolidation of municipal school districts into centralized districts

NOTE:  For attendance and school census records of predecessor school districts, see the Student Records section.  Other series of school records created prior to consolidation should be treated as a discrete series for each of the consolidated districts.  Appropriate retention periods for these records are addressed elsewhere.

 

a.       Basic records including but not limited to school district trustees' minutes; school commissioners' reports; school district "record books;" records of formation, alteration or consolidation of districts; teacher hiring and salary records; school fund and other accounting ledgers; district tax rolls or lists; school library reports and book lists; certificates of apportionment and annual and special reports:
RETENTION:        PERMANENT

 

b.       Supporting fiscal and administrative documentation, including but not limited to receipts, warrants and orders to pay, canceled checks, bank statements, and routine correspondence:
RETENTION:        6 years

*3.[168] District organization file covering school districts and BOCES
 

a.       Records documenting the establishment, extension, alteration, consolidation, or dissolution of district including but not limited to petition, records of public hearing, correspondence with New York State agencies, maps, surveys, special reports and studies, and photographs:
RETENTION:        PERMANENT

 

b.       Background materials and supporting documentation, including but not limited to periodic reports, routine correspondence, memoranda, and copies of district budgets:
RETENTION:        6 years

*4.[171]

School district/BOCES registration and accreditation records, including but not limited to application for and registration from State Education Department (SED), results of review of registration status, accreditation by private evaluating agency and award received from federal Department of Education, SED and other agencies and organizations:
RETENTION:        PERMANENT

*5.[48]

Basic Educational Data System (BEDS) records, including School Data Form, School District Summary Form, personnel master summary data and related reports used to report summary data on instructional programs to the State Education Department:
RETENTION:        5 years

*6.[401] School district, individual school, or BOCES improvement records, covering review by State Education Department (SED) of academic performance, aptitude test scores, school safety or violence, fiscal management, or overall administration
 

a.       Official notifications from SED, final versions of corrective action and school improvement plans, results of SED progress reviews, summary of corrective actions taken, and significant correspondence:
RETENTION:        PERMANENT

 

b.       Other records, including but not limited to draft corrective action and school improvement plans, results of data analyses, notes and correspondence:
RETENTION:        6 years after date of most recent entry in record

NOTE:  Appraise these records for historical significance prior to disposition.  Records documenting schools or districts "in need of improvement" or "in need of corrective action" or placed "under registration review" by SED may have continuing value for historical or other research and should be considered for permanent retention unless the information they contain is duplicated or summarized in records covered by part "a" of this item.  Contact the State Archives for additional information.

*7.[148] Administrative reports covering grades, test scores, staffing, fiscal matters, complaints about use of corporal punishment, school prayer certification, and other activities and performance of school district or BOCES, including reports prepared for inclusion with annual State aid consolidated funding application
 

a.       Significant reports, including public school performance report, covering academic performance, attendance, suspension and drop-out rates for the previous year; school district and BOCES report cards, covering expenditures for administration and improvement, student academic performance indicators, and measures of fiscal performance; district progress report, providing annual summary data on standardized achievement and aptitude test results, Regents and other examination test results, and analyses of test data, as well as other information on such subjects as enrollment and attendance, staffing, class size, graduating classes and ethnicity; and similar administrative reports:
RETENTION:        PERMANENT

 

b.       School progress report, when information can be readily extracted from district progress report:
RETENTION:        5 years

 

c.       School progress report, when information cannot be readily extracted from district progress report:
RETENTION:        PERMANENT

 

d.       Final version of comprehensive assessment report (CAR), received from State Education Department, and returned upon verification, when report is created instead of a district progress report, and it contains annual summary data on standardized achievement and aptitude test results, Regents and other examination test results, and analyses of test data, as well as other information on such subjects as enrollment and attendance, staffing, class size, graduating classes and ethnicity, and/or it constitutes a report published by the school district:
RETENTION:        PERMANENT

 

e.       Final version of comprehensive assessment report (if not covered by part d):
RETENTION:        5 years

 

f.        Routine reports and background files and supporting documentation used in creating, verifying, or correcting any reports covered by this item:
RETENTION:        6 years

*8.[402] Administrative plans covering grades, test scores, staffing, pupil attendance, fiscal matters, and overall activities and performance of school district or BOCES, including plans prepared for inclusion with annual State aid consolidated funding application, not covered by specific items found elsewhere in this schedule, including comprehensive district education (or equivalent) plan; district plan for participation by teachers and parents in school-based planning and shared decision-making; attendance plan, including proposed strategies for attendance improvement and dropout prevention; and similar administrative plans
 

a.       Final versions of significant plans, including all amendments:
RETENTION:        PERMANENT

 

b.       Other plans and background files and supporting documentation for all plans, including results of data analysis, along with plan submission records:
RETENTION:        6 years

 

c.       Data created or modified specifically for creation of comprehensive district education (or equivalent) plan:
RETENTION:        5 years

NOTE:  This data may come from a student information system (see item no. 378 in the Student Records section) and may also relate to data collected relative to Local Education Agency Programs (see item no. 321 in the Supplemental Education Services section).  If identical data serves more than one function, the longest applicable minimum retention period must be followed.

 

ARCHIVES/RECORDS MANAGEMENT

*1.[36] Records disposition documentation
  a.       Consent of the Commissioner of Education to the use of records retention and disposition schedules and the legal disposition of records:
RETENTION:        0 after superseded
 

b.       Documentation of final disposition of records, describing records disposed of and manner and date of disposition:
RETENTION:        6 years after final disposition of records

NOTE:  Local governments may wish to retain records covered by part "b" longer than the minimum retention period, to provide evidence that records have been legally disposed of, in response to requests for public access to records.  In addition, documentation of the final disposition of archival records is covered by item no. 38, below.  

2.[37]

Inventory of records:
RETENTION:        0 after superseded

3.[38] Records transfer list
 

a.       For archival records:
RETENTION:        PERMANENT

 

b.       For inactive records:
RETENTION:        0 after disposition of records on list

*4.[39]

Retrieval request for records in storage:
RETENTION:        0 after return of records, or 3 years after retrieval when records not returned

NOTE:  Local governments may wish to retain documentation of records that were not returned to storage longer than the indicated retention period to indicate the status and location of those non-returned records.

5.[40] Archival administration records
 

a.       Appraisal and accessioning documentation, including assessment of conservation needs:
RETENTION:        PERMANENT

 

b.       Processing and management working papers, drafts, notes, and related records:
RETENTION:        0 after no longer needed

*6.[41]

Guide, listing, index, or other finding aid to archival records:
RETENTION:        0 after superseded

NOTE:  Local governments should retain any superseded guides, lists, indices or other finding aids containing record numbering and identification information, or any other significant information not carried forward to newer versions.

*7.[42] Records on use of archival materials
 

a.       Log or register of researchers, and patron's registration for use of archival records:
RETENTION:        6 years

 

b.       Researcher interviews, reference statistics, requests for records, or similar reference service records:
RETENTION:        0 after no longer needed



ATTORNEY OR COUNSEL

*1.[50] Legal case file, including but not limited to notice of claim, attorney and investigator activity logs, complaints, court order, motions, notes, briefs, releases and closing sheet:
RETENTION:        6 years after case closed, or 0 after any minor involved attains age 21, whichever is later

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Local governments should consider permanent retention of significant cases which have importance or which set major legal precedents.  For instance, local governments may wish to permanently retain files for cases concerning major local controversies, issues, individuals and organizations which are likely to be the subject of ongoing research or which result in decisions or rulings of major significance to the local government or community or to the entire state.  Contact the State Archives for advice in this area.  In addition, local governments may wish to retain the complaint and release for routine cases longer for convenience of reference.

2.[51]

Legal brief file ("brief bank") containing duplicate copies of legal briefs from case files, retained separately for future reference:
RETENTION:        0 after no longer needed

*3.[52]

Legal case log giving chronological listing of cases:
RETENTION:        0 after no longer needed

4.[53]

Legal case index, including notations on activities related to case:
RETENTION:        PERMANENT

5.[54]

Subject file assembled and kept for reference purposes:

RETENTION:        0 after no longer needed

*6.[403]

Subpoena, along with documentation of response, issued to local government agency or officer, when not part of legal case file (see item no. 50, above) or not part of any other series of records listed on this Schedule:

RETENTION:        6 months after date of response

NOTE:  Subpoenas relating to legal case files or other series of records listed on this Schedule should be retained as part of or long as that respective series.

CIVIL DEFENSE

*1.[63] Federal surplus property acquisition records:
RETENTION:        6 years after receipt of surplus property
*2.[64]

Emergency food storage records:
RETENTION:        3 years

*3.[65]

Emergency fuel allocation records, including monthly application/report and detailed fuel allocation records:
RETENTION:        3 years

*4.[67]

Emergency operating center records covering maintenance and use:
RETENTION:        6 years after center no longer used for civil defense purposes

NOTE:  For property acquisition, facility construction and other records covering emergency operating centers and fallout shelters, see the Public Property and Equipment section.

*5.[68] Fallout shelter records
  a.       Licenses, plans and surveys:
RETENTION:        6 years after building no longer in existence
 

b.       Listing of shelters:
RETENTION:        0 after superseded or obsolete

           

ELECTION

*1.[69] Voter registration records, including school district's copy of voters and pollbook:
RETENTION:        5 years

NOTE:  Appraise these records for historical significance prior to disposition, especially when not duplicated at a county board of elections.  Records with historical value should be retained permanently.  Even though certain voter registration records are retained permanently by county boards of elections, school districts may wish to retain these records longer, if not permanently, for convenience of reference and for research purposes, if they contain information not found at county boards.  See also item no. 79, below.  Contact the State Archives for additional advice in this area.

*2.[70] Vote recording and tabulating records
  a.       Sample ballot:
RETENTION:        PERMANENT
  b.       Voted ballot:
RETENTION:        1 year after election
  c.       Application for absentee ballot:
RETENTION:        30 days after election
 

d.       Final election results, including election inspectors' return and statement of canvass (where information is not duplicated in report of final election results) and election result reports:
RETENTION:        PERMANENT

  e.       Intermediate records used to compile final election results, including tally sheets, voting machine tabulation, detailed breakdown of results by wards or election districts and election inspectors' returns and statements of canvass (where information is duplicated in report of final election results):
RETENTION:        1 year after election
3.[71]

Election readiness records, including certification of testing of voting machines, record of ballot delivery, or similar records:
RETENTION:        1 year after election

4.[72] Election officials' appointment records, including notice of appointment, oath of office, and record of service:
RETENTION:        1 year after election
5.[73] Notification and publication of notice of forthcoming election
 

a.       Official copy of election notice:
RETENTION:        PERMANENT

 

b.       Proof of publication or posting, certification and listing of notice posting, copy of newspaper notice and certification of offices to be voted for at forthcoming election:
RETENTION:        1 year after election

*6.[74]

Referendum records, covering any question, recall or special election, including but not limited to actual petitions, records of signature verification and correspondence

NOTE:  Certain records documenting the establishment, extension, alteration, consolidation, or dissolution of a school district must be retained permanently; see item no. 168 in the Administration section.

  a.       Summary records documenting request or need for referendum, such as records of public hearing, narrative justification accompanying petition, reports and correspondence dealing with pros and cons of issue at question:
RETENTION:        PERMANENT
  b.       Other referendum records, including actual petitions, records of signature verification and routine correspondence:
RETENTION:        1 year after election
*7.[75] Election officials' training and qualifications records:
RETENTION:        3 years
*8.[76] Candidate designation or nomination records, including petitions, certificate, declination of nomination, objection to nomination, and related records:
RETENTION:        1 year after election
9.[77] Certificate of acceptance of office:
RETENTION:        1 year after person leaves office
*10.[78]

Election challenge or investigation records:
RETENTION:        6 years after last entry

NOTE: Appraise these records for historical significance prior to disposition. Records which document significant investigations and challenges to election results may possess historical value and should be retained permanently.  Contact the State Archives for additional advice.

11.[79] Informational records received from county board of elections, including lists of election officials, enrollment or registration lists, district maps and instructional materials:
RETENTION:        0 after superseded or obsolete
*12.[80]

Records of election financing and/or campaign receipts, contributions and campaign expenses, including attached copies of political advertisements and literature, including but not limited to report of campaign receipts and expenditures, waiver of report, party committee's designation of treasurer and depository and statement of authorization or non-authorization by candidate:
RETENTION:        5 years

NOTE:  Campaign financing is a major public policy issue.  Therefore, the State Archives preserves state-level campaign finance records and the New York City Board of Elections preserves City campaign finance records.  Preservation of these archival records will maintain vital evidence for future research about campaign financing.  County boards of elections have the option to preserve these financing statements longer than 5 years if they find the need to do so.  Likewise, local governments may wish to preserve all or some campaign finance records beyond the five year minimum in those instances where the elections involved are hotly contested and serious local issues are involved.  Contact the State Archives for more advice if necessary.

ELECTRONIC DATA PROCESSING

 

GENERAL ADMINISTRATION

*1.[404] Data processing unit subject files, correspondence, memoranda, reports, publications, and related records used to support the administration of data processing services.   This item does not include local government IRM plans, long-range or strategic plans, EDP and Information Resource Management (IRM) policies, records that document fiscal transactions, and any records covered by other items in this Schedule:


RETENTION: 0 after superseded or obsolete
*2.[405] Information resources management and data processing services plans, local government IRM plans, data processing services plans, strategic plans, and related records used to plan for information systems development, technology acquisitions, data processing services provision, or related areas
 

a.       Master copy of plan and essential background documentation:
RETENTION:        Retain for 3 planning cycles after the plan is completed, superseded, or revised.

NOTE:  Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently. Some of these records may document the development and advancement of technology used by the local government.  Contact the State Archives for additional advice in this area.

  b.       Copies, drafts, and routine material:
RETENTION:        0 after no longer needed
*3.[322] Electronic data processing needs and computer resources long-range plans, including but not limited to BOCES computer services plans, covering projected need for cooperative computer services in supervisory district for a three- or five-year period, submitted annually to the New York State Education Department; and instructional computer technology plans, created pursuant to Section 100.12 8NYCRR
 

a.       School district or BOCES copies of plans:
RETENTION:        6 years after superseded or obsolete

NOTE:  Appraise these records for historical significance prior to disposition.
  b.       Information copies of BOCES computer services plans sent to school district:
RETENTION:        0 after superseded or obsolete
 

c. Background and supplemental records used to prepare plans:
RETENTION: 6 years

*4.[406] Data processing policies, records of data processing policies including those covering access and security, systems development, data retention and disposition, and data ownership:
RETENTION:        3 years after policy is withdrawn, revised, updated, or superseded
*5.[407] Data processing product/vendor and state contracts reference files, information on data processing equipment, software, and other products and their vendors:
RETENTION:        0 after no longer needed for reference

    

SYSTEMS AND APPLICATION DEVELOPMENT

*1.[408] Application development project files, records created and used in the development, redesign, or modification of an automated system or application including project management records, status reports, draft system or subsystem specifications, draft user requirements and specifications, and memoranda and correspondence.  This item does not cover system or application documentation (see items no. 409 and no. 410):
RETENTION:        3 years after completion of project

NOTE:  In some circumstances, local governments may wish to maintain these files longer for reference.  All relevant information and final documentation should be contained in system and application documentation files (see items no. 409 and no. 410).

*2.[409] Data systems specifications, user and operational documentation describing how an application system operates from a functional user and data processing point of view including records documenting data entry, manipulation, output and retrieval (often called "system documentation records"), records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation (or other metadata), job control or workflow records, system specifications, and input and output specifications.  This item does not cover data documentation and other records used to explain the meaning, purpose, or origin of data (see item no. 410):
RETENTION:        3 years after discontinuance of system, but not before system data is destroyed or transferred to new operating environment
*3.[410]

Data documentation, records generally created during development or modification and necessary to access, retrieve, manipulate and interpret data in an automated system including 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 (sometimes known as metadata):
RETENTION:        3 years after discontinuance of system or application but not before system's or application's data is destroyed or transferred to a new structure or format

NOTE:  In some cases, local governments will retain data for extended periods, sometimes offline.  It is essential that they retain related documentation in an accessible format.  This is particularly crucial if the documentation is stored in electronic form or the related records are appraised as archival.  Application design documentation and user guides covered by item no. 409 may also serve to explain how data was interpreted and used.  Contact the State Archives for additional advice in this area.

*4.[411]

Automated program listing/source code, automated program code which generates the machine-language instructions used to operate an automated information system:
RETENTION:        Retain for 3 system update cycles after code is superseded or replaced.

NOTE:  This item coincides with item no. 418, system backup files.  It assumes that the files are maintained (backed-up) and disposed in accordance with accepted data processing practice; i.e., that 3 generations of backups be retained (see item no. 418).

*5.[412]

Technical program documentation, paper copy of program code, program flowcharts, program maintenance log, system change notices, and other records that document modifications to computer programs:
RETENTION:        1 year after replacement, modification, or related programs cease to be used

NOTE:  Local governments may wish to consider retaining documentation for critical systems for a longer period.

*6.[413] Test database/files, routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system:
RETENTION:        0 after no longer needed, but not before user accepts and management reviews and approves test results

     

COMPUTER OPERATIONS AND TECHNICAL SUPPORT

*1.[414] Data processing operating procedures, records of procedures for data entry, the operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation:
RETENTION:        3 years after procedure is withdrawn, revised, updated, or superseded
*2.[415]

Data processing hardware documentation, records documenting the use, operation, and maintenance of a local government's data processing equipment including operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems:
RETENTION:        0 after the local government no longer uses related hardware and all data is transferred to and made useable in new hardware environment

NOTE:  Routine records that do not contain substantial information on the maintenance history or equipment should be destroyed on an annual basis, using item no. 18 in the General section.

*3.[416] Operating system and hardware conversion plans, records relating to the replacement of equipment or computer operating systems:
RETENTION:        1 year after successful conversion
*4.[417]

Disaster preparedness and recovery plans, records related to the protection and reestablishment of data processing services and equipment in case of a disaster:
RETENTION:        0 after superseded by revised plan

NOTE:  The State Archives recommends that local governments store disaster preparedness and recovery plans in a secure area off-site from the computer installation to which they refer.

*5.[418]

System backup files, copies of master files or databases, application software, logs, directories, and other records needed to restore a system in case of a disaster or inadvertent destruction:
RETENTION:        0 after 3 system backup cycles

NOTE:  Backups used to document transactions or retained for purposes other than system security are covered by the relevant sections of this Schedule.  For fiscal systems, monthly system backups are often retained for the entire fiscal year to provide an audit trail, and annual system backups are retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases. These records should be disposed using items from the Fiscal section of this Schedule.  It is advisable that for many application systems 2 or 3 copies of backups be produced during each cycle.

*6.[419]

System users access records, created to control or monitor individual access to a system and its data, including but not limited to user account records and password files:
RETENTION:        0 after the individual no longer has access to the system, but not before audit requirements for the records modified by that individual have been met.

NOTE:  System users access records and computer usage records may also serve some security purposes.

*7.[420] Computer system security records, records used to control or monitor the security of a system and its data, including but not limited to intrusion detection logs, firewall logs, logs of unauthorized access, and other security logs.
RETENTION:        10 years after date of last entry
*8.[421] Computer usage files, electronic files or automated logs created to monitor computer system usage including but not limited to login files, system usage files, charge-back files, data entry logs, and records of individual computer program usage:
RETENTION:        0 after 3 system backup cycles
*9.[422] Summary computer usage reports, summary reports and other paper records created to document computer usage for reporting or cost recovery purposes:
RETENTION:        1 fiscal year after creation
*10.[423] Computer run scheduling records, records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run:
RETENTION:        0 after end of current fiscal year
*11.[424]

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 retained by the program unit:
RETENTION:        0 after all data has been entered into the system and, if required, verified

NOTE:  Input records retained for fiscal audit or legal purposes, or, containing information needed by a local government, are covered by the relevant section of this Schedule.  Input records that document valid transactions are covered by item no. 426.  Input records which serve a fiscal audit purpose may be covered by items in the Fiscal section of this Schedule.

*12.[425] Work/intermediate files, records used to facilitate the processing of a specific job/run or to create, update, modify, transfer, export, import, manipulate, or sort data within an automated system, including "macro" or "startup" file or other electronic record created to preserve a combination of data elements and/or method of displaying these data elements
 

a.       When export, import or relational data file is used to supply data to or receive data from other system, or to exchange data between files in this system:
RETENTION:        0 after no longer needed

NOTE:  This data may have secondary value beyond the purpose for which it is created.  Consider additional uses for this data in determining when it is no longer needed.

 

b.       When all transactions are captured in a master file, central file, valid transaction file, or database, and the file is not retained to provide an audit trail:
RETENTION:        0 after the transaction is completed.

NOTE: This item does not cover intermediate files retained to recreate or document valid transactions, to serve as an audit trail, or needed for system recovery backup.

 

c.       When electronic file is needed to recreate or document a valid transaction, such as creation of a specific report or study:
RETENTION:        Retain as long as the reports, studies and other principal records for which the file is created are retained.

NOTE: A local government's ability to recreate or properly document the output may be tied to long-term retention of these records.  Contact the State Archives for additional advice regarding the long-term retention of electronic records.

*13.[426]

Valid transaction files, records used to update and/or document a transaction in database or master file including valid transaction files, database management system (DBMS) log, update files, and similar records, and not retained to document a program unit action or for fiscal audit purposes:
RETENTION:        0 after 3 database/master file backup cycles

NOTE: Records used to document a program unit's actions (e.g., receipt of a voucher, issuance of a check), as opposed to a strictly data processing transaction, or needed for fiscal audit or legal purposes, are covered by the relevant sections of this Schedule.

*14.[427]

Print files (not used to document a transaction), source output data extracted from the system to produce hard copy publications, printouts of tabulations, ledgers, registers, reports, or other documents when the files are not needed for audit purposes or to document program unit transactions:
RETENTION:        0 after all print runs are completed, output verified (if required), and local government has no need to reproduce the report

NOTE:  Print files needed for fiscal audits or retained to document transactions are covered by the relevant sections of this Schedule.

*15.[428] Audit trail files, data generated during the creation of a master file or database used to validate a master file or database during a processing cycle:
RETENTION:        0 after 3 database/master file backup cycles
*16.[429]

Data processing unit's copies of output reports, data processing unit's copy of output reports produced for client program units:
RETENTION:        0 after output is distributed

*17.[430]

Summary or extracted data files, summary or aggregate data from a master file or database, including "snapshots" of data, created solely to distribute data to individuals or program units for reference and use, but not altered or augmented to support program-specific needs:
RETENTION:        0 after data is distributed

NOTE:  Appraise these records for historical significance prior to disposition. Some snapshots of data, created and maintained as either electronic files saved to disk, tape or diskette, or as hard-copy output such as printed maps, or in both formats, may warrant longer retention.  Contact the State Archives for additional advice on the creation and maintenance of these records.

*18.[431]

Finding aids (indexes) or tracking systems, electronic indexes, lists, registers, and other finding aids used only to provide access to the hard copy and electronic records in the custody of the data processing unit:
RETENTION:        0 after the related hard copy or electronic records have been destroyed

NOTE:  Finding aids and tracking systems of program units other than data processing units are covered by the relevant sections of this Schedule and are frequently covered by the same item covering related program records.

*19.[432] Automated tape library system files, automated records used to control the location, maintenance, and disposition of magnetic media in a tape library:
RETENTION:        0 after related records or media are destroyed or withdrawn from the tape library
*20.[433] Reports on the destruction of files ("scratch reports"), records containing information on the destruction of files stored on electronic media in a tape library:
RETENTION:        0 after superseded or (if required) management review and approval
*21.[434] Tape library control records, records used to control the location, maintenance, and disposition of magnetic media in a tape library including list of holdings and control logs:
RETENTION:        0 after superseded

 

DATA ADMINISTRATION

*1.[435] Data/database dictionary records, usually in an automated system, used to manage data in a local government's information systems including information on data element definitions, data structures or file layout, code tables, and other data attribute information or records that explain the meaning, purpose, logical relationships, ownership, use, or origin of data:
RETENTION:        0 after discontinuance or modification of the related application but not before the application's data is destroyed or transferred to a new structure or format
*2.[436]

Data/database dictionary reports, periodic printouts from a data/database dictionary system including data element attribute reports, database schema, and related records used for reference purposes:
RETENTION:        0 after superseded or obsolete

NOTE:  The official copy of essential data documentation is covered by either item no. 410 or no. 435.

*3.[437] Regional information center data, received from school districts and other BOCES, processed and forwarded to State Education Department (SED), and related records
 

a.       Actual data, both as received and as processed:
RETENTION:        0 after no longer needed

NOTE:  For schools or districts placed "under corrective action" or "under registration review" by SED, this data may need to be retained until these designations are canceled by SED and no longer apply.

 

b.       Background and supplemental information on data processing for school districts and other BOCES, including but not limited to data correction and verification records and correspondence:
RETENTION:        6 years

                 

USER/OFFICE AUTOMATION SUPPORT

*1.[438] Site/equipment support files, records documenting support services provided to specific data processing equipment or installations including site visit reports, program and equipment service reports, service histories, and correspondence and memoranda

  a.       Site visit reports, problem and equipment service reports, and routine correspondence and memoranda:
RETENTION:        3 years after creation
  b.       Service histories and other summary records:
RETENTION:        0 after the related equipment is no longer in use
*2.[439] Help desk telephone logs and reports, records used to document requests for technical assistance and responses to these requests as well as to collect information on the use of computer equipment for program delivery, security, or other purposes:
RETENTION:        1 year after creation
*3.[440] Software review files, records related to the review and recommendations for software for local government use including vendor information, manuals, software reviews, and related material:
RETENTION:        0 after obsolete

      

NETWORK/DATA COMMUNICATION SERVICES

*1.[441] Network site/equipment support files, records documenting support services provided to specific sites and computer to computer interfaces on a network including site visit reports, trouble reports, service histories, and correspondence and memoranda

  a.       Site visit reports, trouble reports, and related correspondence:
RETENTION:        3 years after creation
  b.       Service histories and other summary records:
RETENTION:        0 after the related equipment or site is no longer in use
 

c.       Routine records that do not contain substantial information on the maintenance history or site:
RETENTION:        1 year

*2.[442]

Inventories of circuits, automated or paper records containing information on network circuits used by the local government including circuit number, vendor, cost per month, type of connection, terminal series, software, contact person, and other relevant information about the circuit:           RETENTION:        0 after the circuit is no longer used by the local government

*3.[443]

Network or circuit installation and service files, copies of requests by local governments to service provider for data communication service, installation, or repair and response to the request including work orders, correspondence, memoranda, work schedules, and copies of building or circuitry diagrams:
RETENTION:        1 year after request is filled or repairs are made

*4.[444]

Network usage files, electronic files or automated logs created to monitor network usage including but not limited to login files and system usage files:
RETENTION:        0 after 3 system backup cycles after creation

*5.[445]

Network usage reports, summary reports and other records created to document computer usage for reporting or other purposes:
RETENTION:        1 fiscal year after creation

*6.[446]

Network implementation project files, local government records used to plan and implement a network including reports, justifications, working diagrams of proposed network, wiring schematics, and diagrams:
RETENTION:        0 after superseded

   

INTERNET SERVICES

*1.[447] Internet services logs, electronic files or automated logs created to monitor access and use of local government services provided via the Internet, including, but not limited to, services provided via FTP (file transfer protocol), or website, or Telnet services:
RETENTION:        0 after 3 backup cycles, but not before relevant audit and documentation requirements have been met

*2.[448]

Employee internet use logs, electronic files or automated logs created to monitor and control use of the Internet by employees, including but not limited to proxy server logs:
RETENTION:        0 after 3 backup cycles, but not before any appropriate review and verification