Managing Records: Retention & Disposition

State Agency Records Disposition Request Forms

State agencies are required by Section 57.05 of Arts and Cultural Affairs Law and 8 NYCRR Part 188 to obtain records disposition authorizations from the State Education Department to legally authorize the destruction or other final disposition of agency records. The General Retention and Disposition Schedule for New York State Government Records authorizes the disposition of records common to most or all state agencies. Agencies may use items in the General Schedule to authorize records disposition provided that the agency Records Management Officer has notified the State Archives of the agency's intent to use the General Schedule. Additional records, including records unique to an agency, are approved for disposition by records retention and disposition schedules specific to the agency. Agencies wishing to obtain approval for records disposition for any of their records can fill out the appropriate forms, available below, and send them to the State Archives for review and approval. State Archives staff can also assist agencies in developing records retention and disposition schedules.

State Agency Records Inventory and Disposition Request Forms

Documents in PDF format require the free Adobe Acrobat viewer. If you don't have it, download here. Documents in Microsoft Word require you to have MS Word 2000 (or higher) installed on your computer.

If you cannot use these forms in the formats available (PDF or Microsoft Word 2000), contact the State Archives at (518) 474-6926 or via e-mail at RECMGMT@mail.nysed.gov and ask to have the forms mailed to you.

Instructions for Completing and Submitting REC-3, REC-4, and REC-5 Forms

Available in HTML or PDF

These instructions provide information on how to complete the REC-3, REC-4, and REC-5 forms, as well as an overview of the submission and review process.

• Records Disposition Request (REC-3)
  REC-3, PDF
  REC-3, MS Word 2000 Template
  REC-3, MS Word
  This form serves as the cover sheet for a group of REC-4's and REC-5's (from a single program unit) sent to the State Archives for review and approval. State agencies should complete one form for each program unit. The REC-3 form must be signed by the agency Records Management Officer.
• Retention and Disposition Schedule (REC-4)
  REC-4, PDF
  REC-4, MS Word 2000 Template
  REC-4, MS Word
  This form summarizes a number of REC-5 forms by listing the series titles and recommended and/or approved retention and disposition for all record series in a single program unit. State agencies should complete one form for each program unit.
• Records Series Description (REC-5)
  REC-5, PDF
  REC-5, MS Word 2000 Template
  REC-5, MS Word
  This form collects all the information needed about a single records series to help state agencies and the State Archives determine a suitable retention period for the records. State agencies should complete one of these forms for every records series in the program unit they want to schedule.