Legal and Compliance
Records Retention and Disposition
February 22, 2010
This policy item applies to:
Retention and disposition of official records of the campuses of the State University of New York are governed by the NYS Arts and Cultural Affairs Law. Such records may not be destroyed unless in conformity with the General Retention and Disposition Schedule for New York State Government Records with respect to categories of state government records included therein or with the State University of New York Records Retention and Disposition Schedule with respect to education and other SUNY-specific records. Requests to destroy paper records after transfer from paper to digital form must be approved by the State Archives unless such dispositions are pre-approved under the SUNY Records Retention Schedule for that category.
Retention and Disposition of Official State-operated Campus and SUNY Records
(1) the images will accurately and completely reproduce all the information in the records being imaged;
(2) the imaged records will not be rendered unusable due to changing or proprietary technology before their retention and preservation requirements are met;
(3) the imaging system will not permit additions, deletions, or changes to the images without leaving a record of such additions, deletions, or changes; and
(4) designees of the State University of New York will be able to authenticate the imaged records by competent testimony or affidavit which shall include the manner or method by which tampering or degradation of the reproduction is prevented.
SUNY’s Records Management Officer (RMO) is currently the Director of Compliance. Each campus should designate a local records management officer and notify the SUNY RMO of such designation. It is the responsibility of the campus RMO to report annually, by September 1 of each year, to the SUNY RMO on disposition actions taken by such campus during the previous academic year and to maintain the campus inventory of records. Requests for approval of retention schedules with shorter retention periods should be submitted by a campus through their local RMO to the SUNY RMO for transmittal to State Archives.
Community College Records
Records maintained by the Community Colleges operating under the program of the State University of New York are governed by one of two schedules established by State Archives. MI-1 schedule (for all miscellaneous governments) is to be followed by Adirondack, Columbia-Greene, Corning, Fulton-Montgomery, Jamestown, North Country and Tompkins-Cortland Community Colleges and the Fashion Institute of Technology. CO-2 schedule (for county governments) should be followed by all other Community Colleges.
Archival and Historical Records
In order to preserve records of historical and archival value, certain categories of records are to be retained permanently. Among these are Presidents’ annual reports, minutes of campus councils, governance organization minutes or handbooks, inaugural or commencement records and important documents generated by or for the campuses such as strategic plans, accreditation reports, etc. Campuses should adhere carefully to the schedules for such records, retain them in a safe place and ensure their preservation when they are no longer needed on a daily basis.
In support of this policy, the following definitions are included:
Records - all books, papers, microforms, computer-readable tapes, discs or other media, maps, photographs, film, video and sound recordings, or other documentary materials, regardless of physical form or characteristics, made or received by State University of New York or its campuses in pursuance of law or in connection with the transaction of University business and retained by the University as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities. Library or museum materials made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of blank forms shall not be deemed to constitute records.
In support of this policy, the following links and/or references to related procedures are included:
SUNY Procedure Document No. 6610 - Legal Proceeding Preparation (E-Discovery) Procedure
SUNY Procedure Document No. 6608 - Information Security Guidelines, Part 1: Campus Programs & Preserving Confidentiality
Schedules for Community Colleges:
MI-1 schedule (for all miscellaneous governments) is to be followed by Adirondack, Columbia-Greene,
Corning, Fulton-Montgomery, Jamestown, North Country and Tompkins-Cortland Community Colleges and the Fashion Institute of Technology.
CO-2 schedule (for county governments) should be followed by all other Community Colleges.
Where applicable, this section contains links and/or references to forms as they relate to this policy:
Instructions for Completing and Submitting Records Disposition Authorization Forms (REC-3, REC-4, and REC-5):
Where applicable, this section contains links and/or references to the authority governing this policy:
This section contains links and/or references to the history relevant to this policy:
Memorandum to Presidents, dated April 1, 2010 regarding Records Retention Policy & Schedules
Memorandum to Presidents Vol. 92, No. 5, dated October 5, 1992 regarding Campus Records and Archives
Memorandum to Campus Business Officers from Brian T. Stenson dated May 19, 1997 regarding General Retention and Disposition Schedule for New York State Government Records
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