Managing Records: General Retention and Disposition Schedule

General Schedule: Part 5

New and revised items are indicated by an asterisk (*) preceding the item number

Public Information

Publication and Reproduction Services

Records Management

Telecommunications Management

Training

 

PUBLIC INFORMATION

Agencies administer functions to provide information on agency programs and services, respond to inquiries from the public, disseminate information through publications and through the news media, and administer Freedom of Information and Personal Privacy Protection Laws (Sections 84-99, Public Officers Law).

Records Not Covered:  All records of the Committee on Open Government, Department of State.

*90329  Information Inquiries and Requests Records
Letters, memoranda, telephone logs, copies of responses, and related records that document requests for information from the public, organizations, and other agencies, excluding formal requests filed under the Freedom of Information Law.

Minimum Retention and Disposition:  Destroy 6 months after response is made.

Justification:  Records should be retained for 6 months to document responses and to analyze the nature of requests and responses.

*90330  Freedom of Information Law (FOIL) Subject Matter and Employee Lists
Agency copies of subject matter lists, lists of records systems, or file categories along with lists of the name, public office address, title  and salary of every officer or employee of the agency, prepared pursuant to FOIL (Section 87, Public Officers Law).  

Minimum Retention and Disposition:  Destroy 6 months after superseded by updated lists.

Justification:  Obsolete lists may be needed for Article 78, Civil Practice Law and Rules proceedings.

90331  Freedom of Information Requests and Appeals
Formal requests for access to agency records filed by members of the public, the press, or other agencies under FOIL, agency responses to requests, and appeals in situations where access to records is denied.

Minimum Retention and Disposition:  Destroy 6 months after access is provided or appeal is resolved.

Justification:  Records may be needed for Article 78, Civil Practice Law and Rules proceedings.

90332  Personal Privacy Impact Statements --  Copies of privacy impact statements and notices filed by agencies with the Committee on Open Government in compliance with the Personal Privacy Protection Law listing records systems which contain personally identifiable information and indicating their impact on personal privacy.

Minimum Retention and Disposition:  Destroy 6 months after superseded by updated notices or statements.

Justification:  Records may be needed for Article 78, Civil Practice Law and Rules proceedings.

90333  Personal Privacy Records Access Requests and Appeals
Requests by data subjects filed under provisions of the Personal Privacy Protection Law for access to records pertaining to them, agency responses to requests, and appeals in situations where access is denied.

Minimum Retention and Disposition:  Destroy 6 months after access is provided or appeal is resolved, or after filing the next Personal Privacy Annual Report, whichever is later.

Justification:  Records and responses may be needed for Article 78, Civil Practice Law and Rules proceedings and to provide information needed to prepare the next Personal Privacy Annual Report.

*90387 Personal Information Disclosure Records
Lists documenting the disclosure of agency records containing personal information, including the date, nature and purpose of each disclosure and the name and address of the person or governmental unit to whom each disclosure is made.

Minimum Retention and Disposition:  Destroy 5 years after disclosure of information or after life of the record disclosed, whichever is longer.

Justification:  Section 94.3 of Public Officers Law requires the indicated retention period to ensure that individuals can track the disclosure of their personal information.

90334  Requests for Records Amendments or Corrections and Appeals
Requests filed by data subjects under provisions of the Personal Privacy Protection Law to amend or correct personal information contained in agency records, agency responses to those requests, and appeals in situations where the request is denied.

Minimum Retention and Disposition:  Destroy 6 months after corrections are made or appeal is resolved.

Justification:  Records may be needed for Article 78, Civil Practice Law and Rules proceedings.

90335  Personal Privacy Annual Reports
Agency copies of annual reports to the Committee on Open Government indicating the number of requests for access to records and for corrections and amendments to records which were approved and denied each year under the Personal Privacy Protection Law.

Minimum Retention and Disposition:  Destroy after filing of subsequent report.

Justification:  The report is needed for reference when preparing a new annual report.

90336  Press Release/Publication Files
Copies of news articles, press releases, newsletters, posters and other published materials issued by the agency to the media and others to inform the public about events, activities, and accomplishments.

Minimum Retention and Disposition:  Transfer to State Archives 3 years after creation.

Justification:  Agency press releases and similar materials warrant preservation in the State Archives because they possess long-term research value and document agency activities and accomplishments.

*90337  Annual Report Development Files
Narrative reports on agency and program unit activities, statistical data and summaries, drafts, charts, graphs, photographs, and related records used to prepare agency annual reports, but excluding the reports themselves.

Minimum Retention and Disposition:  Destroy 3 years after preparation of annual report.

Justification:  Agencies should retain these records for reference and analysis in preparing subsequent annual reports.

Note:  Agencies should send 30 paper copies and one electronic copy of published annual reports to the State Library for inclusion in the State Document Depository System.

*90338  Agency Annual Reports
Annual reports prepared by agencies describing functions, activities, and events of the past year.

Minimum Retention and Disposition:  Transfer one copy of each report to the State Archives.

Justification:  The copy transferred to the State Archives will satisfy archival requirements.

Note:  Agencies should send 30 paper copies and one electronic copy of published annual reports to the State Library for inclusion in the State Document Depository System.

90339  Public Information Subject Files
Records used to support an agency's program, arranged by subject, including correspondence, memoranda, studies, reports, plans, press clippings, and copies of internal policies and procedures pertaining to relations with the press and news media, public relations techniques, outreach, information dissemination and related topics.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

JustificationThese records have no legal or fiscal value.

 

PUBLICATION AND REPRODUCTION SERVICES

This function includes centralized agency services for publication, printing, photoduplication, and other forms of document reproduction for large volume runs of publications and smaller quantities of documents for limited distribution.

90340  Publication Job Files
Requests, orders, job descriptions and specifications, publication design records, sample job products, and related records documenting jobs completed by an agency publication services unit.

Minimum Retention and Disposition:  Destroy 1 year after completion of job or discontinuation of the publication, whichever occurs later.

Justification:  Job records should be retained in the event of reprinting.

Records Not Covered:  Records documenting purchases of goods and services, chargebacks, contracts and any other fiscal records are covered by items in the Fiscal Operations section of this schedule.

*90341  Publication Production Records
Hardcopy and electronic documents used to prepare publications, including camera-ready copies, printing masters, mechanicals, printer’s proofs, color proofs, digital native and support files, fonts, images, color profiles and related records.

Minimum Retention and Disposition:  Destroy 1 year after completion of publication job, except retain records needed for reprinting until the discontinuation of the publication.

Justification:  Select records are needed for use in reprinting publications.

*90342  Duplication Service Job Files
Records of duplication services provided by outside vendors or by the agency duplicating, photocopy, rapid copy, or self-service copy service, including requests, production activity reports, copy machine usage logs, and related records.

Minimum Retention and Disposition:  Destroy 1 year after creation or after order is completed, whichever occurs first, except destroy records concerning duplication of materials protected under U. S. Copyright Law 5 years after order is completed.

Justification:  Activity reports, machine usage logs, and related records should be kept a minimum of 1 year to monitor activity and trends.  Records concerning copying of materials subject to copyright protection should be retained for 5 years for potential use in criminal proceedings or civil actions alleging copyright infringement, based on 17 USC 507.

Records Not Covered:  Records documenting purchases of goods and services, chargebacks, contracts and any other fiscal records are covered by items in the Fiscal Operations section of this schedule.

90343  Publication and Duplication Subject Files
Records used to support the administration of agency publication and duplication services, arranged by subject, including correspondence, memoranda, studies, reports, plans, operator's manuals, vendor materials, supply catalogs and copies of internal policies and procedures pertaining to publication and duplication equipment, supplies, and services.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

JustificationThese records have no legal or fiscal value.

 

RECORDS MANAGEMENT

Records management includes activities undertaken by agencies to improve the management of records and to comply with provisions of Section 57.05 of the Arts and Cultural Affairs Law and 8 NYCRR Part 188.

Records Not Covered:  Records maintained by the State Archives of the State Education Department, the Office of the Attorney General, or the Office of the State Comptroller which document their role as control or oversight agencies for state agency records management.

*90344  Records Inventory Files
Descriptive inventories of agency records indicating the titles, contents, locations, volume, inclusive dates, and other attributes of those records.

Minimum Retention and Disposition:  Destroy when superseded by a new or updated inventory.

Justification:  Agencies are required to maintain an up-to-date inventory of all records (8 NYCRR 188.6).

*90345  Records Disposition Authorization Files
Approved Records Disposition Authorizations (RDAs), correspondence and memoranda, copies of laws, regulations, and related retention requirements used to establish legally approved retention schedules for agency records.

Minimum Retention and Disposition:  Destroy after the RDA is cancelled or superseded.

Justification:  Agencies must retain RDAs to document compliance with State records management laws and regulations.

Records Not Covered:  Copies of RDAs maintained by the State Archives as the central oversight agency for records management.

90346  Records Storage Files
Records used to transfer and retrieve records to and from inactive storage, and to maintain control over them while in storage.  These records may include State Records Center or commercial records center transfer lists, internal agency storage requests, records shelf lists, and charge-out slips or logs.

Minimum Retention and Disposition:  Destroy 3 years after records have been removed from storage or returned following retrieval.

Justification:  Agencies may need to use these records to track missing files, and to provide information or evidence of their unavailability during audits or litigation.

90347  Records Disposal Files
Records documenting authorized destruction of records or transfer to State Archives for permanent retention.  These include destruction request and approval forms, State Archives memoranda of transfer, and related correspondence.

Minimum Retention and Disposition:  Destroy 3 years after final disposition of records.

Justification:  These records should be retained to document the legal disposition of records in case of discovery actions during litigation or when requested for use in audits.

90348  Records Management Program Subject Files
Records used to support administration of an agency records management program, arranged by subject, including management plans, surveys, reports, correspondence with program units and the State Archives, articles, training materials, information booklets and brochures, program announcements, directions, internal policies and procedures, and related records.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

JustificationThese records have no legal or fiscal value.

 

TELECOMMUNICATIONS MANAGEMENT

Telecommunications management includes the planning, procurement of services, implementation, operation, and maintenance of telephone and other telecommunications facilities for voice and fax communications and audio and video teleconferencing.  Telecommunications networks operated to support data communications are covered in the Information Technology section of this schedule.

Records Not Covered:  Records of the Office for Technology (OFT), Division of Telecommunications, in connection with its responsibilities for oversight and centralized telecommuni­cations services.

*90349  Telephone and Fax Machine Installation and Service Job Files
Copies of requests by agencies to the OFT Division of Telecommunications or other service providers for telephone service, installation or repairs, and responses to the requests.  These records typically include work orders, correspondence, memoranda, work schedules, copies of building diagrams, and duplicate copies of fiscal documents.

Minimum Retention and Disposition:  Destroy 3 years after request is filled or repairs are made.

Justification:  Records should be retained for management analysis and planning.

Records Not Covered:  Agency fiscal and other supporting records of installation, service and repair jobs completed pursuant to contractual agreements are covered by item #90126 in the Fiscal Operations section of this schedule.

*90350  Telecommunications Use Logs and Reports
Records listing local and long-distance telephone calls made, and indicating use of carriers, time, length and charge for calls.  This series includes logs, computer listings, internal reports, and copies of OFT telephone billing reports on various media used to monitor and control employee use of telephone and fax services.

Minimum Retention and Disposition:  Destroy after logs are reviewed and verified, but not before any audit or legal needs have been met.

Justification:  Retention period meets administrative needs for records.

Records Not Covered:  Agency record copies of telephone bills from OFT or commercial service providers maintained by fiscal offices as accounts payable records are covered by items #90126 and #90127 in the Fiscal Operations section of this schedule.  For telephone logs used for office informational purposes, see item #90366 in the General Administration section of this schedule.

*90353  Telecommunications Planning Records
Correspondence, reports, studies, plans, notes, working diagrams of proposed networks, and related records used by agencies to plan for and implement telecommunications systems.

Minimum Retention and Disposition:  Destroy 1 year after completion of planned activities or projects, except destroy records associated with contracts for telecommunications services 6 years after expiration of contract or final payment, whichever is later.

Justification:  Plans may be needed for reference during the first year of operation or for the life of the contract.

90354  Telephone Wiring Schematics and Diagrams
Agency copies of trunk and feeder line diagrams, wiring schematics, specifications, and other records that document the location, capacity and routing of telephone networks used by agencies to support network operation, maintenance, and modification.

Minimum Retention and Disposition:  Destroy when superseded by new network documentation or when network installation is dismantled.

Justification:  These records are essential for network operation and maintenance.

Note:  Data communications may operate over an integrated telecommunications network.  See the Information Technology section of this schedule.

90355  Telephone and Fax Directories
Logs, lists, and directories of telephone and fax numbers.

Minimum Retention and Disposition:  Destroy when superseded by updated directory or listing.

Justification:  These records have no value for operations once they are superseded.

90356  Telephone Services Subject Files
Correspondence, memoranda, reports, internal agency policies and procedures, vendor materials, equipment manuals and related records, arranged by subject and used to support administration of telephone and fax services.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value.

 

TRAINING

Agencies provide training to employees to help ensure a work force with the skills and knowledge sufficient to accomplish agency goals, and to offer employees opportunities for professional development.  Agencies also consent to, encourage, and/or subsidize employee attendance at training conducted by other state agencies, educational institutions, private trainers, and other organizations.

Records Not Covered:  Records related to training provided to other state agencies, local governments, or private organizations and individuals as part of an agency's programmatic responsibilities.

*90020  Course Information Records
Memoranda, flyers, catalogues and other records related to specific training courses, including information on course content, program registration, instructor, credits, hours and roster of agency registrants.

Minimum Retention and Disposition:  Destroy when superseded or obsolete, but not before legal, audit or other needs for records have been met.

Justification:  Information in this series is used for curriculum development and for reference purposes.

Note:  In cases where an agency may need documentation of the content of a training course to demonstrate that employees have been properly trained to comply with standards or guidelines or to meet legal or other needs, the agency may wish to retain selected course information records for extended periods, such as for the length of all concerned employees’ service with the agency, or to include such records as part of the concerned employees’ training history (see item #90022).

*90021  Course Registration Processing Records
Employees’ application and enrollment records for courses, including employee data forms, course applications, and supervisors' and training officers' authorizations or denials.

Minimum Retention and Disposition:  Destroy when no longer needed for administrative use.

Justification:  Information has short-term administrative value.

*90022  Employee Training History
Records of an employee's training history, including employee identifying information (e.g., name, social security number), courses registered for and completed, and beginning and completion dates.

Minimum Retention and Disposition:  Destroy 6 years after course completion.

Justification:  Retention period typically meets agency needs to document specific courses taken in recent years.

Note:  For records of specific types of training, see also the Affirmative Action, Reasonable Accommodation, and Human Rights section, the Health, Safety, and Security section, and the Personnel section of this schedule.  If documentation of employee training is needed for lengthier periods, agencies may wish to retain records for those periods, such as for the duration of the individual’s employment with the agency.  In cases where an agency may need documentation of the content of a training course taken by an employee, such as to demonstrate that an employee was trained to comply with standards or guidelines or to meet legal or other needs, the agency may wish to include documentation of the content of the training course as part of this series or to retain such records for needed periods using item #90020.

90023  Tuition Reimbursement Program Records
Tuition reimbursement records, including application, determination of coursework relatedness, and reimbursement computation forms. 

Minimum Retention and Disposition:  Destroy 1 year after reimbursement is paid to employee or application is rejected.

Justification:  The Governor's Office of Employee Relations (GOER) maintains the record copies of the forms included in this series.  Records have no administrative value after reimbursements are made to employees.

Records Not Covered:  Tuition reimbursement records maintained by the Governor's Office of Employee Relations (GOER) in performing its control function.

 

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