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Agencies carry out various administrative tasks to support overall agency and office management and administration. These include the development of major and routine administrative policies and procedures, general office administration and other activities. This section covers these activities as well as select records series that may be found throughout an agency.
*90372 Minutes, Agendas, Meeting Files and Recordings of Governing and Advisory Bodies
Records of those governing and advisory bodies of state agencies that are subject to the Open Meetings Law (Sections 100-111, Public Officers Law), including meeting minutes, agendas, meeting or background files developed for use at or in conjunction with the meetings, and audio, video, webcast and other recordings of those meetings.
Minimum Retention and Disposition: Transfer minutes, agendas and meeting and background files to State Archives 5 years after creation or when no longer needed to support agency operations. Destroy audio, video, electronic (including webcast) and other recordings of those meetings 4 months after the meeting.
Justification: Minutes, agendas and related background records of state boards have long-term research value to document the operations of those bodies and their role in developing agency policies and to document agency activities and accomplishments. Recordings generally lack long-term value, although some may merit archival preservation if they provide additional documentation of significant matters discussed at these meetings. Agencies are invited to contact the State Archives if they believe that recordings of meetings of particular boards, or of specific meetings of their boards, may merit archival preservation.
*90366 General Administrative Records
Records created and maintained by program units as a part of routine administrative operations. Includes records concerning office organization, staffing, procedures and communications, along with activity schedules, calendars, phone logs, appointment books, tickler files, daybooks, chronological files consisting of extra copies of outgoing correspondence, and other records used to manage office activities. Also includes routine activity and production reports such as occasional and periodic reports, work load reports, work progress reports, backlog and production reports, and cumulative and summary reports used to monitor and document recurring and routine activities or production.
Minimum Retention and Disposition: Destroy when superseded or obsolete.
Justification: These records have no legal or fiscal value.
Records Not Covered: Records documenting the specific programmatic functions and responsibilities of offices or which are covered elsewhere in this schedule. Also does not apply to general administrative records of agency executive offices; these records may have long-term value. Consult with the State Archives about the disposition of administrative records not covered by this item or elsewhere in this schedule.
*90202 Reports of Major Administrative Studies
Major administrative studies are initiated by the agency head, or conducted in response to a legislative, federal, or Office of the State Comptroller program audit, an executive order, or a court order. They generally address agencywide operations or issues, affect the largest or most critical agency functions, or address issues of public visibility and concern. Studies that recommend elimination, merger, or reorganization of an agency or a major subdivision are considered major studies.
Minimum Retention and Disposition: Transfer one copy of the final report and any responses to the State Archives either directly or as part of the executive-level files of the agency (files of the agency head, executive deputy, etc.). Retain one copy in office of origination for 3 years after report recommendations are implemented or rejected, then destroy.
Justification: Major administrative studies have long-term value for research on agency program development and priorities. Administrative studies may also be used in program management audits by the Office of the State Comptroller and other control agencies.
Note: Agencies should send 30 paper copies and one electronic copy of all published reports to the NYS Library for inclusion in the State Document Depository System.
*90203 Major Administrative and Operational Plans
Comprehensive plans for the administration, reorganization or operation of an entire agency or major subdivision. Administrative and operational plans do not include mission-related or program-specific plans (e.g., State Energy Master Plan, State University Construction Fund Campus Master Plans).
Minimum Retention and Disposition: Transfer one copy of the final plan and any responses to the State Archives either directly or as part of the executive-level files of the agency (files of the agency head, executive deputy, etc.). Retain one copy in office of origination for 3 years after superseded or obsolete, then destroy.
Justification: Major administrative and operational plans have long-term value for research on agency program development and priorities. Plans may also be used in program audits by the Office of the State Comptroller and other control agencies. State Archives staff will evaluate executive-level files to determine their archival value and arrange for their preservation, if warranted.
*90204 Reports of Routine Administrative Studies
Reports of studies, surveys, management audits, or similar efforts that analyze routine operations, procedures, or processes or that address administrative problems in a single program unit.
Minimum Retention and Disposition: Designate one copy as the record copy and retain for 3 years after the implementation or rejection of the study recommendations, then destroy.
Justification: Administrative studies may be used in program management audits by the Office of the State Comptroller and other control agencies.
90205 Administrative Study and Survey Work Papers
Project design plans, survey forms, databases, charts and diagrams, statistics, analyses, research materials, and related records created or collected for major or routine studies, surveys, management audits, or plans.
Minimum Retention and Disposition: Destroy 1 year after implementation or rejection of study recommendations.
Justification: Records should be kept for 1 year to verify and justify conclusions and recommendations.
*90206 Routine Administrative and Operational Plans
Plans developed to guide administrative and routine operations in program areas. These records typically include program unit weekly, monthly, and yearly work plans and plans for specific projects.
Minimum Retention and Disposition: Destroy all plans after superseded or obsolete.
Justification: Routine operational plans are not needed for reference once they are superseded or all activities are completed.
90207 Administrative Analysis and Planning Subject Files
Correspondence, memoranda, copies of reports, articles, and related background materials, arranged by subject and used to support administrative analysis, planning, and development of procedures.
Minimum Retention and Disposition: Destroy when obsolete or superseded.
Justification: These records have no legal or fiscal value.
Note: Agencies should not use this item for records which are covered by separate authorizations in this schedule.
*90208 Major Administrative Policies and Procedures
Major administrative policies and procedures generally are issued by the agency head, chief administrative officer, or an executive-level office to address agencywide operations, critical agency functions, or issues of public visibility or concern or to regulate activities outside the agency. Major policies and procedures are formally promulgated and often take the form of formal directives, formal policy memoranda, printed or published procedures, bulletins, orders, rules, notices, or formal policy and procedural manuals.
Minimum Retention and Disposition: Transfer one copy to the State Archives either directly or as part of the executive-level files of the agency (files of the agency head, executive deputy, etc.). Retain one copy in issuing office for 6 years after policy is withdrawn, revised, or superseded, then destroy.
Justification: Major administrative policies and procedures have long-term value for research on agency missions, program development, and accomplishments. Major administrative policies and procedures may be used in development of agency operational plans, in program audits by the Office of the State Comptroller or other control agencies, and in litigation.
*90209 Routine Administrative Policies and Procedures
Administrative policies and procedures governing routine, day-to-day operation of an agency or program unit. These records may include memoranda, orders, guidelines, bulletins, manuals or other instructions which are directive in nature. Routine administrative policies and procedures usually explain operating policies and procedures pertaining to the internal administration of an agency or program unit.
Minimum Retention and Disposition: Retain one copy in issuing office for 3 years after policy or procedure is withdrawn, revised, or superseded, then destroy.
Justification: The issuing office should retain policies and procedures for a minimum of 3 years after they are withdrawn, revised, or superseded for use in development of subsequent policies and procedures. Routine policies and procedures may be used in program audits by the Office of the State Comptroller and other control agencies. These records may also be used in litigation.
Records Not Covered: Policies or procedures that govern activities of individuals or organizations outside the issuing agency, or that are established through promulgation of regulations, adjudication, or contractual agreements.
Note: Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them. If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.
*90362 Agency Copies of Control Agency Policies and Procedures
Agency copies of memoranda, rules, orders, procedural instructions, regulations, bulletins, notices and any other instructions issued by control agencies which are directive in nature or explain policies or procedures which are to be followed by other state agencies.
Minimum Retention and Disposition: Destroy when no longer needed.
Justification: The control agencies maintain the record copies of these records.
Records Not Covered: Record copies of policies and procedures maintained by control agencies.
Note: Before disposing of these records, agencies may wish to consider whether longer retention is needed to document procedures used or actions taken by the agency in the event of possible future litigation or audit.
90210 Administrative Policies and Procedures Background and Development Files
Background materials created or collected during the development of internal administrative policies and procedures, including correspondence, analyses, research materials, copies of model policies and procedures, draft policies and procedures, comments, and related records.
Minimum Retention and Disposition: Destroy 1 year after a policy or procedure is issued.
Justification: Background materials may be needed for reference and analysis for at least 1 year after a policy or procedure is issued.
*90369 E-Mail Messages
Incoming and outgoing e-mail communications, including attachments, used to distribute information and documents, announce or schedule meetings, and conduct formal and informal communications.
Minimum Retention and Disposition: Destroy after messages and attachments are opened and records have been saved in appropriate electronic or paper file.
Justification: Many e-mail communications are not records and are therefore suitable for immediate destruction. Those messages and attachments which are records should be maintained in appropriate electronic or paper files and disposed consistent with applicable authorizations for those records.
90370 Agency-Assisted Voter Registration Records
Agency records documenting assistance provided to prospective voters to aid them in registering to vote. Includes participating agency’s records transmitting completed voter registration applications or change of address forms to county boards of elections, signed declination forms when individuals decline to register to vote, and related records.
Minimum Retention and Disposition: Destroy after 1 year, except destroy signed declination forms after 22 months.
Justification: Sections 5-211 and 5-212 of Election Law authorize agencies to assist prospective voters. Retention periods meet administrative needs and state requirements under 9 NYCRR 6213.2(b)(2) and 9 NYCRR 6213.3(d).
*90388 Non-Record Copies of Agency Records
Duplicate or extra copies of records held by agency program units for administrative reference purposes, when the record copies are retained to meet legal, fiscal, administrative and other retention requirements and needs and when the non-record copies are not subject to any legal, fiscal or other specific retention requirements. This item also covers non-record copies of records held by program units when other units maintain the record (i.e., official) copies.
Minimum Retention and Disposition: Destroy when no longer needed for administrative reference.
Justification: The agency’s record (i.e., official) copies of these records are retained to meet legal, fiscal, administrative and other requirements.