New York Codes, Rules and Regulations
Title 8 - EDUCATION DEPARTMENT
Chapter II - Regulations of the Commissioner
Subchapter N - Public Records And Department Publications
Part 188 - State Government Archives And Records Management
Section 188.20 - Retention and preservation of electronic records

Universal Citation: 8 NY Comp Codes Rules and Regs ยง 188.20

Current through Register Vol. 46, No. 39, September 25, 2024

(a) An agency shall ensure that records retention requirements are incorporated into any plan and process for design, redesign, or substantial enhancement of an information system that stores electronic records.

(b) An agency 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 archival electronic records, an agency, in consultation with the State Archives, must determine that the records will remain usable and accessible by ensuring that the records are retained in currently available file formats and by creating adequate documentation of the records and their systems as defined in subdivision (c) of this section. If an agency cannot provide such protection to the records, it shall transfer the archival electronic records to the State Archives in a usable and accessible format.

(c) An agency 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 agency or the authorized transfer of records to an archives facility.

(d) An agency shall prepare and store in a records center copies of archival electronic records in order to safeguard against loss.

(e) For electronic media that contain permanent or archival electronic records, an agency shall institute maintenance procedures to:

(1) verify that the media are free of potentially damaging errors;

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

(3) annually test a three percent statistical sample of all units of media 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 containing a significant number of errors or showing signs of physical degradation;

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

(6) prepare external labels to identify each media unit, the name of the organizational unit responsible for the records, and the records title.

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