NYCRR TITLE 8 - EDUCATION

§185.8  Retention and preservation of electronic records (see Section 188.20 of this Title)

Statutory authority: Education Law, § 207; Arts and Cultural Affairs Law, §§ 57.17, 57.19, 57.21, 57.23, 57.25, 57.29 57.33, 57.35; L. 1987 ch. 737

NOTE: Added 185.8 on 4/08/94; repealed and added 185.8 eff 08/01/97 on 7/02/97.


§ 188.20  Retention and preservation of electronic records

(a) A state agency or local government shall ensure that records retention requirements are incorporated into any plan and process for design, redesign, or substantial enhancement of an information system that uses electronic data processing or electronic optical imaging technologies to maintain or store electronic records.

(b) A state agency or local government shall ensure that electronic records are not rendered unusable because of changing technology before their retention and preservation requirements are met. In the case of permanent or archival electronic records, a state agency or local government, in consultation with SARA, must determine that the records will remain usable and accessible through conversion of the records to new system hardware and software and through the creation of adequate documentation as defined in subdivision (c) of this section. If a state agency cannot accomplish such a conversion, it shall transfer the archival electronic records to the State Archives in a usable and accessible format.

(c) A state agency or local government shall develop and maintain up-to-date documentation about all permanent or archival electronic records sufficient to:

(1) specify all technical characteristics necessary for reading and processing the records;

(2) identify all defined inputs and outputs from the system;

(3) define the contents of the files and records;

(4) determine restrictions on access and use;

(5) understand the purposes and functions of the system;

(6) describe update cycles and/or conditions and rules for adding information to the system, changing information in the system, or deleting information; and

(7) ensure the ongoing retention of records by the state agency or local government or, in the case of state agencies, the authorized transfer of records to an archives facility.

(d) A state agency shall prepare and store in a records center, and local governments shall prepare and store in a secure off-site facility, backup copies of archival electronic records in order to safeguard against loss.

(e) For magnetic computer media that contain permanent or archival electronic records, a state agency or local government shall institute maintenance procedures to:

(1) verify no more than six months prior to use that the magnetic media used to store permanent or archival electronic records are free of permanent errors;

(2) rewind under constant tension all tapes and cartridges at least every 2 years;

(3) annually test a three percent statistical sample of all volumes, or 10 volumes of each type, of magnetic media, whichever is larger, to identify any loss of data and to discover and correct the causes of data loss;

(4) copy immediately onto new media any permanent or archival electronic records stored on media with 10 or more permanent errors per volume;

(5) copy all permanent or archival electronic records onto new media before the media are 10 years old;

(6) prepare external labels which provide a unique identifier for each volume, the name of the organizational unit responsible, and the permanent or archival electronic records title.

Statutory authority: Education Law, § 207; Arts and Cultural Affairs Law, §§ 57.05; L. 1987

Last reviewed: March 15, 2010

Last Updated: March 18, 2010 -- asm