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General Administration

*1.[668]

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 IRM policies, records that document fiscal transactions, and any records covered by other items in this schedule:
RETENTION:        0 after superseded or obsolete

**2.[669] 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RETENTION:                        Retain for 3 planning cycles after the plan is completed, superseded, or revised.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.[670]

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RETENTION:        3 years after policy is withdrawn, revised, updated, or superseded

*4.[671]

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.[672]

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. 673 and no. 674):
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. 673 and no. 674).

*2.[673]

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 work flow 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. 674): 
RETENTION:
        3 years after discontinuance of system, but not before system data is destroyed or transferred to new operating environment

*3.[674]

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 off-line.  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. 673 may also serve to explain how data was interpreted and used.  Contact the State Archives for additional advice in this area.

*4.[675]

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. 682, 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. 682).

*5.[676]

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 consider retaining documentation for critical systems for a longer period.  Contact the State Archives for additional advice in this area.

 

*6.[677]

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.[678]

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.[679]

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.[680]

Operating system and hardware conversion plans, records relating to the replacement of equipment or computer operating systems: 
RETENTION:
        1 year after successful conversion

*4.[681]

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.[682]

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.[683]

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.

**6a.[862]

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

**7.[684]

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

*8.[685]

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

*9.[686]

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

*10.[687]

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. 689.  Input records which serve a fiscal audit purpose may be covered by items in the Fiscal section of this schedule.

*11.[688] 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.

*12.[689]

Valid transaction files, records used to update and/or document a transaction in database or master file including valid transaction files, 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.

*13.[690]

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.

*14.[691]

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

*15.[692]

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

*16.[693]

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 SARA for additional advice on the creation and maintenance of these records.

*17.[694]

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.

*18.[695]

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

*19.[696]

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

*20.[697]

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.[698]

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.[699]

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. 674 or no. 698.

 

User/Office Automation Support

*1.[700] 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.[701]

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.[702]

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 Communications Services

*1.[703] 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.[704]

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.[705]

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.[706]

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

*5.[707]

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.[708]

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.[709]

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 a local government gopher site, FTP (file transfer protocol), or World Wide Web site, or via Telnet services:
RETENTION:        0 after 3 backup cycles, but not before relevant audit and documentation requirements have been met

*2.[710]

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

 
Last updated
Wed, 2015-10-14 15:19