General Administration

1[642] Data processing unit subject files, correspondence, memoranda, reports, publications, and related records used to support the administration of data processing services.

RETENTION: 0 after superseded or obsolete

NOTE: This item does not include college or University information resource management (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.

2[643] Information resource management (IRM) and 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RETENTION: 3 planning cycles after plan completed, superseded, or revised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 a college or the University. Contact your Records Management Coordinator for additional advice in this area.

b. Copies, drafts, and routine material

RETENTION: 0 after no longer needed

3[644] Data processing policies, including those covering access and security, systems development, data retention and disposition, and data ownership

RETENTION: 3 years after policy withdrawn, revised, updated, or superseded

4[645] Data processing product/vendor and state contracts reference files, including information on data processing equipment, software, and other products, and their vendors

RETENTION: 0 after no longer needed for reference

Systems and Application Development

5[646] Application development project files and 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.

RETENTION: 3 years after completion of project

NOTE: This item does not cover system or application documentation (see item nos. 6 [647] and 7 [648] in this section). All relevant information and final documentation should be contained in system and application documentation files covered by these items.

6[647] 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”), and 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 workflow records, system specifications, and input and output specifications.

RETENTION: 3 years after system discontinued, or 0 after system data destroyed or transferred to new operating environment, whichever is longer

NOTE: This item does not cover data documentation or other records used to explain the meaning, purpose, or origin of data (see item no. 7 [648] in this section).

7[648] Data documentation and 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 system or application discontinued, or 0 after system’s or application’s data destroyed or transferred to new structure or format, whichever is longer

NOTE: It is essential that colleges and the University 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. 6 [647] in this section may also serve to explain how data were interpreted and used. Contact your Records Management Coordinator for additional advice in this area.

8[649] Automated program listing/source code, including automated program code that generates the machine-language instructions used to operate an automated information system

RETENTION: 3 system update cycles after code superseded or replaced

NOTE: This item assumes that system backup files are maintained and disposed in accordance with accepted data processing practice (i.e., that 3 generations of backups are retained). See item no. 15 [656] in this section.

9[650] Technical program documentation, including paper copy of program code, program flowcharts, program maintenance log, system change notices, and other records that document modifications to computer programs

RETENTION: 3 years after replaced or modified, or related programs no longer used

NOTE: Colleges and the University should consider retaining documentation for critical systems for a longer period. Contact your Records Management Coordinator for additional advice in this area.

10[651] Test database/files, including 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

11[652] Data processing operating procedures, including records of procedures for data entry, operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation

RETENTION: 3 years after procedure withdrawn, revised, updated, or superseded

12[653] Data processing hardware documentation and records documenting the use, operation, and maintenance of a college’s or the University’s data processing equipment, including operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems

RETENTION: 0 after related hardware no longer used and all needed data transferred to and made usable 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 [18] in the General section.

13[654] Operating system and hardware conversion plans, including records relating to the replacement of equipment or computer operating systems

RETENTION: 1 year after successful conversion

14[655] Disaster preparedness and recovery plans, including records related to the protection and reestablishment of data processing services and equipment in case of a disaster

RETENTION: 0 after superseded or obsolete

NOTE: Colleges and the University should store disaster preparedness and recovery plans in a secure area off-site from the computer installation to which they refer.

NOTE: See the related provisions for disaster preparedness and recovery plans in item no. 1 [135] in the Disaster Preparedness section.

15[656] System backup files, including 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

a. Monthly system back-up files for fiscal systems

RETENTION: 0 after 3 system backup cycles, or 1 complete fiscal year after creation, whichever is longer

b. Other than monthly system back-up files for fiscal systems

RETENTION: 0 after 3 system backup cycles

NOTE: This item does not cover system backup procedures (see item no. 11 [652] in this section) or computer system security records (see item no. 17 [879] in this section). Backups used to document transactions or retained for purposes other than system security are covered by other relevant sections in this Schedule. It is advisable that for many application systems two or three copies of backups be produced during each cycle.

NOTE: Annual system backups may be retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases.

16[657] 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 individual no longer has access to system, but not before audit requirements for records modified by that individual have been met

NOTE: System users access records and computer usage records may also serve some security purposes.

17[879] Computer system security records, including records used to control or monitor the security of a system and its data, such as intrusion detection logs, firewall logs, logs of unauthorized access, and other security logs

RETENTION: 10 years after last entry

18[658] Computer usage files, including electronic files or automated logs created to monitor computer system usage, such as login files, system usage files, chargeback files, data entry logs, and records of individual computer program usage

RETENTION: 0 after 3 system backup cycles

19[659] Summary computer usage reports, including summary reports and other paper records created to document computer usage for reporting or cost recovery purposes

RETENTION: 3 complete fiscal years after creation

20[660] Computer run scheduling records, 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, or 1 month after run completed, whichever is longer

21[661] Input documents and 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 entered into system and, if required, verified

NOTE: Input records retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Input records that document valid transactions are covered by item no. 23 [663] in this section. Input records containing information otherwise used by a college or the University are covered by other relevant sections in this Schedule.

22[662] Work/intermediate files, including 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, and “macro” or “startup” files or other electronic records 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: These data may have secondary value beyond the purpose for which they are created. Consider additional uses for these data in determining when they are 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 or recreate or document valid transactions, or needed for system recovery backup

RETENTION: 0 after transaction completed

c. When electronic file is needed to recreate or document a valid transaction, such as creation of a specific report or study

RETENTION: As long as reports, studies, and other principal records for which file is created are retained

NOTE: The ability of a college or the University to recreate or properly document the output may be tied to long-term retention of these records. Contact your Records Management Coordinator for additional advice regarding the long-term retention of electronic records.

23[663] Valid transaction files, including records used to update and/or document a transaction in database or master file, such as database management system (DBMS) log, update files, and similar records

RETENTION: 0 after 3 database/master file backup cycles

NOTE: This item does not include records retained to document a program unit action or for fiscal audit purposes. Records retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Records used to document a program unit action (e.g., receipt of a voucher, issuance of a check), as opposed to a strictly data processing transaction, are covered by other relevant sections in this Schedule.

24[664] Print files, including 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 fiscal audit purposes or to document program unit transactions

RETENTION: 0 after all print runs completed, output verified (if required), and reproduction of report no longer needed

NOTE: Print files retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Print files used to document program unit transactions are covered by other relevant sections in this Schedule.

25[665] Audit trail files, including 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

26[666] Data processing unit’s copies of output reports produced for client program units

RETENTION: 0 after output distributed

27[667] Summary or extracted data files, including summary or aggregate data from a master file or database and “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 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, may warrant longer retention. Contact your Records Management Coordinator for additional advice on the creation and maintenance of these records.

28[668] Finding aids (indexes) or tracking systems, including 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 related hard copy or electronic records destroyed

NOTE: Finding aids and tracking systems of program units other than data processing units are covered by the items covering the related program records in the relevant sections in this Schedule.

29[669] Automated tape library system files, including automated records used to control the location, maintenance, and disposition of magnetic media in a tape library

RETENTION: 0 after related records or media destroyed or withdrawn from tape library

30[670] Reports on the destruction of files (“scratch reports”), including 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

31[671] Tape library control records used to control the location, maintenance, and disposition of magnetic media in a tape library, including lists of holdings and control logs

RETENTION: 0 after superseded or obsolete

Data Administration

32[672] Data/database dictionary records used to manage data in a college’s or the University’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 related application discontinued or modified, or 0 after application’s data destroyed or transferred to new structure or format, whichever is longer

33[673] Data/database dictionary reports and 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. 7 [648] or item no. 32 [672] in this section.

User/Office Automation Support

34[674] Site/equipment support files and 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 related equipment no longer in use

35[675] Help desk telephone logs and reports, including 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

36[676] Software review files and records related to the review and recommendations for software for college or University use, including vendor information, manuals, software reviews, and related material

RETENTION: 0 after superseded or obsolete

Network/Data Communication Services

37[677] Network site/equipment support files and 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 related equipment or site no longer in use

c. Routine records that do not contain substantial information on the maintenance history or site

RETENTION: 1 year

38[678] Inventories of circuits, including automated or paper records containing information on network circuits used by a college or the University, such as circuit number, vendor, cost per month, type of connection, terminal series, software, contact person, and other relevant information about the circuit

RETENTION: 0 after circuit no longer used

39[679] Network or circuit installation and service files, including copies of requests by a college or the University to service provider for data communication service, installation, or repair, responses to requests, work orders, correspondence, memoranda, work schedules, and copies of building or circuitry diagrams

RETENTION: 1 year after request filled or repairs made

40[680] Network usage files and electronic files or automated logs created to monitor network usage, including but not limited to login files and system usage files

RETENTION: 0 after 3 system backup cycles after creation

41[681] Network usage reports, including summary reports and other records created to document computer usage for reporting or other purposes

RETENTION: 1 complete fiscal year after creation

42[682] Network implementation project files, including records used to plan and implement a network, such as reports, justifications, working diagrams of proposed network, wiring schematics, and diagrams

RETENTION: 0 after superseded or obsolete

Internet Services

43[683] Internet services logs and electronic files or automated logs created to monitor access and use of college or University services provided via the Internet, including but not limited to services provided via FTP (file transfer protocol), or website, or Telnet services

RETENTION: 0 after 3 backup cycles, but not before relevant audit and documentation requirements met

44[684] Employee Internet use logs and electronic files or automated logs created to monitor and control use of the Internet by employees, including but not limited to proxy server logs

RETENTION: 0 after 3 backup cycles, but not before any appropriate review and verification