Part 2: Environmental Management through Insurance


ENVIRONMENTAL MANAGEMENT

*1.[449] Natural resource inventory and listing of open areas and wetlands, including official copy of final inventory or report, final maps, surveys, photographs and background materials and supporting documentation:
RETENTION:        PERMANENT
*2.[450] Environmental protection and natural resources management plan
  a.       Final plan and report:
RETENTION:        PERMANENT
 

b.       Background materials and supporting documentation:
RETENTION:        6 years

NOTE: Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently. Supporting documentation may be very valuable, and the State Archives suggests local governments consider retaining these records permanently. Contact the State Archives for additional advice in this area.

*3.[451] Lake, river, stream or watershed study files
  a.       Final and interim reports and studies, maps, photographs, significant correspondence and essential data collected as part of study:
RETENTION:        PERMANENT
  b.       Notes, drafts, routine correspondence and non-essential data:
RETENTION: 0 after no longer needed



FISCAL

AUDIT

1.[310] Report of audit of financial affairs

 

a.       Audit filed pursuant to Section 35, General Municipal Law, conducted by Office of the State Comptroller or by New York City Comptroller or by an outside auditing firm:
RETENTION:        PERMANENT

  b.       Other external audits:
RETENTION:        6 years
  c.       Internal audits, conducted by local government officials:
RETENTION:        6 years
2.[311] Audit background documentation, including summaries, posting records, and related records created by an auditing office as part of the auditing procedure:
RETENTION:        6 years
3.[312] Audit hearing or review file:
RETENTION:        6 years after audit accepted

      

BANKING AND INVESTMENT

NOTE:  Section 239.7 of the Banking Law contains a 20 year statute that applies to certain records of monies held in any account in a "savings bank" (as defined in Section 2.4, Banking Law).  While most local governments are prohibited by law from depositing monies in a savings bank, some local governments may have some funds deposited in a savings bank.  In these instances, records covered by item no. 110, and possibly item nos. 109, 111, 113 and 114, below, depending on the nature of the account and what information these records contain, may need to be retained for 20 years.  If you have funds deposited in a savings bank, and need additional information on this subject, contact the State Archives.

1.[109] Banking communications, including but not limited to bank statement, reconciliation, notification of voiding or return of check, cancellation of payment, or other notice for checking or savings account:
RETENTION:        6 years
2.[110]

Canceled check (including payroll check), or other instrument of payment, such as bank check, warrant check, order check, or order to fiscal officer to pay when used as a negotiable instrument, including voided check:                RETENTION:        6 years

NOTE: It is recommended that a list of destroyed unused checks be created and maintained for legal or audit purposes.

3.[111]

Copy of check or check stub:
RETENTION:        6 years

4.[112]

Depository agreement, including designation of depository, bond or surety, or other record relating to deposition of local government funds:
RETENTION:        6 years after agreement, contract, designation, bond or surety has expired or been superseded or rescinded

5.[113]

Deposit book for checking account:
RETENTION:        6 years after date of most recent entry

6.[114]

Deposit book for savings account:
RETENTION:        6 years after cancellation

7.[115]

Deposit slip:
RETENTION:        6 years

*8.[119]

Master summary record of bonds, notes, or securities purchased by the government for investment, identifying the security, the fund for which held, the place where kept, and listing the date of sale and the amount realized:
RETENTION:        PERMANENT

*9.[120]

Periodic reports and similar records of yield received from or status of bonds, notes, securities or other obligations purchased for investment:
RETENTION:        6 years after bond issue retired

BONDS AND NOTES

NOTE: The following record series provide disposition authority for records related to the issuance of bonds, notes or obligations.  However, the actual bonds, notes or obligations are not covered by these items.  Instead, bonds, notes or obligations may only be destroyed pursuant to Section 63.10 of the Local Finance Law.  Questions should be addressed to the Office of the State Comptroller, Division of Legal Services, 110 State Street, Albany, NY 12236; phone, (518) 474-5586.

*1.[116] Bond issue preparation file, covering bonds issued by local governments

  a.       Master summary record of bonds issued:
RETENTION:        PERMANENT
  b.       Other records, including those relating to bond attorneys, preparation of the prospectus, prospectus distribution to bond buyers, bond printing, list of prospective or actual buyers, bond printing bids, bond ratings, and proof of publication of notice of estoppel:
RETENTION:        6 years after bond issue retired
2.[117] Bond or note issue and cancellation register, including information on the type, amount, number of obligations in issue, rate of interest, date of maturity, holders, cancellation of the bond or note, and other pertinent information:
RETENTION:        6 years after cancellation of last bond or note
3.[118] Debt-contracting power statement filed with Office of the State Comptroller before sale of bonds:
RETENTION:        6 years after bond issue retired
*4.[452] Records relating to exclusion of self-liquidating indebtedness by a local government, including copy of application filed with Office of the State Comptroller, notice and proof of publication, and State Comptroller's written certificate:
RETENTION:        6 years after date of certificate

BUDGET

*1.[55] Budget preparation file for budget request or estimate submitted by department head, including but not limited to the preliminary or tentative budget, budget appropriation and staffing requests, estimates of revenues or expenditures, narrative of services, school district copy of BOCES budget, budget message, budget hearing and review files, and related records:
RETENTION:        6 years
2.[58] Annual budget
  a.       Official copy when not included in minutes:
RETENTION:        PERMANENT
  b.       When budget is included in minutes:
RETENTION:        0 after officially recorded in minutes
  c.       Reporting office copy:
RETENTION:        0 after no longer needed
3.[59] Special (contingency) budget filed with state or federal agency:
RETENTION:        PERMANENT
4.[60] Budget status report on allocation, receipts, expenditures, encumbrances, and unencumbered funds
  a.       Cumulative report:
RETENTION:        6 years
  b.       Monthly or quarterly report:
RETENTION:        1 year
5.[61] Budgetary change request, (if not included in minutes) including approval or denial for change in approved budget and including but not limited to transfer of funds from one budget item to another, overtime authorization, or request for supplemental funds:
RETENTION:        6 years
*6.[453] Copies of city, county, town or other budgets, received and maintained for informational purposes:
RETENTION:        0 after no longer needed



CLAIMS AND WARRANTS

1.[121]           Claim for payment (approved or disallowed), including claim, vendor's voucher and bill:
RETENTION:        6 years
*2.[123]

State or federal-state reimbursement claim file (federal revenue sharing), including but not limited to annual State aid consolidated funding application, summary and detail of claim, worksheets and other supporting documents:
RETENTION:        6 years

NOTE:  For administrative reports prepared for inclusion with annual State aid consolidated funding applications, see item no. 148 in the Administration section.

3.[124]

Summary record of outstanding or paid warrants or claims:
RETENTION:        6 years

4.[125]

Notice of claim record and index as required by Section 50-f of the General Municipal Law:
RETENTION:        6 years after final disposition of claim

5.[126] Order or warrant to pay monies
  a.       For any funds held in a savings bank:
RETENTION:        20 years
  b.       For any funds not held in a savings bank:
RETENTION:        6 years
6.[127] Outstanding warrants listing, including adding machines tapes:
RETENTION:        6 years
7.[128] Assignment of claim:
RETENTION:        6 years after satisfaction or 10 years, whichever is less

       

GENERAL ACCOUNTING AND MISCELLANEOUS

1.[95] General ledger showing summary receipts and disbursements from all funds and accounts:
RETENTION:        6 years after last entry

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  General ledgers containing detailed entries that include information on nature of transaction and parties involved may be valuable in documenting financial transactions involving a local government.

*2.[96]

Subsidiary ledger providing details of the general ledger accounts:
RETENTION:        6 years after last entry

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  Subsidiary ledgers containing detailed entries that include information on nature of transaction and parties involved may be valuable in documenting financial transactions involving a local government, if this detailed information is not contained in general ledgers.

3.[97] Journal recording chronological entries of all fiscal transactions:
RETENTION:        6 years after last entry NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  Journals containing detailed entries that include information on payor, payee and purpose may be valuable in documenting financial transactions involving a local government.
4.[98] Accounting register, including but not limited to check register, transfer of funds register, encumbrance register, and register of claims presented for payment and paid claims:
RETENTION:        6 years after last entry
5.[99] Cash transaction record showing cash received from collection of various fees and petty cash disbursed:
RETENTION:        6 years
6.[100] Daily cash record, including adding machine tapes, cashier's slips showing daily cash receipts and analysis of cash receipts:
RETENTION:        6 years
7.[101] Notice of encumbrance indicating funds encumbered and amount remaining unencumbered:
RETENTION:        6 years
*8.[102] Past due account fiscal records and summaries:
RETENTION:        6 years after account satisfied or otherwise closed
9.[103] Intermediary fiscal record of receipts and disbursements, including but not limited to detail record, analysis, proof sheet or trial balance worksheet, and adding machine tapes:
RETENTION:        6 years
10.[104] Abstract of receipts, disbursements, or claims:
RETENTION:        6 years
11.[105] Billing records, including nonresident pupil's tuition, covering services provided by school district/BOCES
  a.       Customer's individual account:
RETENTION:        6 years after last entry
  b.       Records used to determine billing and charges including "flat rate" computation record and copies of bills and charge slips:
RETENTION:        6 years
  c.       Billing address records:
RETENTION:        0 after superseded or obsolete
12.[106] Bill of sale of property owned by local government other than real property:
RETENTION:        6 years
13.[107]

Sales tax records, covering sales tax collected by local governments and transmitted to State Department of Taxation and Finance:
RETENTION:        6 years

14.[108]

Tax exemption records, showing that local government is exempt from paying sales, use or other taxes:
RETENTION:        1 year after superseded or obsolete

15.[324]

Payment recoupment records, documenting the process of recovering monies paid erroneously by local government to employee, vendor or other payee:
RETENTION:        6 years after date of most recent entry in record

16.[129]

Receipt (received) or copy of receipt (issued) other than for payment of taxes:
RETENTION:        6 years

*17.[454] Grant, award or gift files, covering grants, awards and gifts given by local governments to other local governments, not-for-profit corporations, businesses or individuals
 

a.       Master summary record of grants, awards or gifts:
RETENTION:        PERMANENT

 

b.       Detailed records of grants, awards and gifts, excluding master summary record:
RETENTION:        6 years

NOTE:  For records of grants received by local governments, see item no. 13 in the General section.

*18.[455]

Credit card records documenting payments received by credit cards, including credit card payment receipts, and statements showing amounts of payments received and fees deducted:
RETENTION:        6 years

 

PAYROLL

NOTE: The copy of payroll, or payroll report, submitted to civil service office for certification or approval, is covered by item no. 351 in the Personnel/Civil ervice section, Civil Service subsection.

NOTE: The State Archives does not prescribe the amount of detail and nature of information necessary to be maintained for salary verification for retirement and social security purposes. Contact the Office of the State Comptroller or other retirement system to verify that you are maintaining the necessary payroll information.

*1.[179] Payroll, including information on gross and net pay, base pay, taxes, and other deductions

 

a.       Year-end payroll:
RETENTION:        55 years

 

b.       Periodic payroll, including detailed information necessary for salary and time of service verification for retirement and social security purposes, when no year-end payroll is maintained or year-end payroll does not contain this required detailed information:
RETENTION:        55 years

 

 c.       Periodic payroll, when year-end payroll contains detailed information necessary for salary and time of service verification for retirement and social security purposes:
RETENTION:        6 years

 

d.       Warrant authorizing payment of salaries based on a specific payroll, if maintained separate from payroll itself:
RETENTION:        6 years

 

e.       Preliminary draft of payroll:
RETENTION:        0 after warrant authorizing payment of salaries is signed

 

f.        Local government's information copy of other local government's payroll:
RETENTION:        0 after no longer needed

*2.[180]

Payroll or related report covering all employees or an individual employee, and not covered by specific item in this section

NOTE: Local governments may wish to retain these records longer for social security or retirement documentation purposes.

  a.  When needed for audit or other fiscal purposes:
RETENTION:        6 years

  b.       When not needed for audit or other fiscal purposes:
RETENTION:        0 after no longer needed
3.[181]

Payroll distribution breakdown record used to distribute or classify labor costs:
RETENTION:        6 years

NOTE: Local governments may wish to retain these records longer for social security or retirement documentation purposes.

4.[182]

Summary record of employee's payroll changes:
RETENTION:        6 years after termination of employment

5.[183]

Employee's time cards, sheets, or books:
RETENTION:        6 years

6.[184]

Record of employee absences or accruals

NOTE: This item does not apply to an employee's time cards or sheets.

 

a.       When not posted to periodic cumulative time summary record:
RETENTION:        6 years

 

b.       When posted to periodic cumulative time summary record:
RETENTION:        1 year

7.[185]

Employee request for and/or authorization given to employee to use or donate sick, vacation, personal or other leave, or to work overtime:
RETENTION:        6 years

8.[186] Record of assignments, attachments, and garnishments of employee's salary
 

a.       When employment was terminated prior to satisfaction:
RETENTION:        6 years after termination of employment

 

b.       When satisfied:
RETENTION:        5 years after satisfaction

*9.[187]

Employee's voluntary payroll deduction request form and related records:
RETENTION:        5 years after authorization expires

10.[188]

Schedule or other notification from issuing bank showing savings bond purchased for employee:
RETENTION:        5 years after latest bond issue

11.[189]

Employee's personal earnings record used to prove end-of-year total earnings, retirement or other deductions and taxes withheld:
RETENTION:        6 years

NOTE: Local governments may need to retain these records longer for social security or retirement documentation purposes.

12.[190]

Employee's declaration of intention to accept or reject Social Security:
RETENTION:        10 years after employee dies or reaches age 75, whichever is shorter

13.[191]

Quarterly or other periodic report of wages paid prepared for Social Security, and report of any adjustments or corrections:
RETENTION:        6 years after year in which wages were reported

14.[192]

Copy of federal determination of error in wage reports (Form OAR-S30 or equivalent record):
RETENTION:        6 years after determination received

15.[193]

Payroll report submitted to New York State Employee's Retirement System, New York State Teachers Retirement System or any other official pension system:
RETENTION:        6 years

*16.[194]

Employer's copy of Annual Federal Tax Return (Form 940), Quarterly Federal Tax Return (Form 941E) and Continuation Sheets (Form 941a), Notice of Tax Return Due (Form TY 14), or equivalent forms:
RETENTION:        4 years after tax paid

*17.[195]

Employer's copy of U.S. Information Return for Calendar Year (Form 1099), Withholding Tax Statement (Form W-2) or Transmittal of Wages and Tax Statements (Form W-3), or equivalent forms:
RETENTION:        4 years

*18.[196]

Employee's Withholding Exemption Certificate (Form W-4), or equivalent form:
RETENTION:        4 years after a superseding certificate is filed or employment is terminated

*19.[197]

Employer's copy of New York State income tax records relating to employees:
RETENTION:        4 years after tax was paid

*20.[342]

Direct deposit records, covering direct deposit of employee's salary, including but not limited to application to begin or terminate direct deposit, and transaction log or similar reports:
RETENTION:        5 years after authorization expires

*21.[343] Employee's declaration of intention to decline membership or participation in retirement system or benefit plan, including copy of written notification of options provided employee by local government
 

a.      For retirement system:
RETENTION:        6 years after termination of employment

NOTE:  Local governments may wish to retain these records for a lengthier period such as 20 years after employee termination.  State legislation in effect between 1993 and 1996 allowed for retroactive retirement system membership, for employees who were not previously offered membership, and the possibility exists that similar legislation may be passed into law in the future.  If this occurs, these declarations of non-membership may be valuable for local governments to document intentions of present or former employees.

  b.       For benefit plan:
RETENTION:        6 years after termination of employment

   

PURCHASING

*1.[257] Purchase order, purchase requisition, or similar record, used to obtain materials, supplies, or services:
RETENTION:        6 years
*2.[259]

Purchasing file, including but not limited to bid (successful, unsuccessful), contract and specifications, and related records, for purchase of materials, supplies and services not connected with capital construction:
RETENTION:        6 years after expiration or termination or 6 years after final payment under contract, whichever is later

NOTE:  For capital construction, see item no. 241 in the Public Property and Equipment section.  Local governments may wish to retain records documenting purchases for additional periods if those records may be needed for warranty claims concerning the purchased items.

3.[260]

Vendor file, including but not limited to list of vendors doing business with the local government, vendor evaluation forms, price lists or other information received from vendors:
RETENTION:        0 after obsolete

4.[261]

Performance guarantee or written warranty for products or similar record:
RETENTION:        6 years after expiration

*5.[262]

Invoice, packing slip, shipping ticket, copy of bill of lading or similar record used to verify delivery and/or receipt of materials or supplies:
RETENTION:        6 years

*6.[263]

Invoice register, or similar record used to list invoices:
RETENTION:        6 years after last entry

7.[265]

List or abstract of purchase orders, claims or contracts:
RETENTION:        6 years

8.[266]

Standing order file, used for purchase of materials and supplies which are received on a regular basis:
RETENTION:        6 years

*9.[456]

Chargeback records, showing specific fund to be charged for in-house expenditure:
RETENTION:        6 years

*10.[502]

Canceled bids file, including purchase requisitions, vendor solicitations, requests for proposals (RFPs), price quotations and related records concerning bids for goods or services which were canceled without a purchase being completed:
RETENTION:        1 year after subsequent procurement of the same goods or services completed under a re-initiated procurement, or 1 year after decision to not purchase such goods or services

 

REPORTS

1.[130] Daily, weekly, monthly, quarterly, or other periodic fiscal reports, including but not limited to daily funds report, daily cash report, statement of monthly balances, recapitulation of disbursements, and departmental reports:
RETENTION:        6 years
2.[131] Annual or final fiscal reports
 

a.       When report is not included in minutes:
RETENTION:        PERMANENT

 

b.       When report is included in minutes:
RETENTION:        0 after officially recorded

3.[132]

Fiscal reports from state agencies:
RETENTION:        6 years

4.[133]

Certificate, demand or direction to fiscal officer to pay monies:
RETENTION:        6 years

5.[134]

Verification of travel expenses, including but not limited to certificate of accuracy and receipts:
RETENTION:        6 years


FOOD MANAGEMENT AND CHILD NUTRITION

*1.[135] Food management and child nutrition records

  a.       Program participation agreement, including attachments and amendments:
RETENTION:        6 years after termination of agreement
 

b.       Other program records, including but not limited to application to participate as a sponsor, individual child participation application, records including meal counts, requisition and approval of requisition for donated commodities, and fiscal records such as adding machine tapes, purchase orders, claims and vouchers:
RETENTION:        3 years after end of school fiscal year

NOTE:  Fiscal records relating to food management and child nutrition do not need to be retained for 6 years as similar fiscal records found in the Fiscal section of this Schedule must be retained.
 

c.       Free and reduced meal policy statement, with attachments and certificate of acceptance:
RETENTION:        3 years after policy superseded

*2.[136] Food inspection and investigation records  
  a.       Inspection report for preparation or serving area:
RETENTION:        3 years
  b.       Food sanitation complaint investigation or food embargo records, for investigations other than food- or water-borne disease investigations:
RETENTION:
        6 years after last entry
 

c.       Food sanitation complaint investigation or food embargo records, when a food- or water-borne disease investigation is conducted:
RETENTION:
        21 years

NOTE:  Appraise these records for long-term uses, warranting longer, if not permanent, retention prior to disposition.  Records covered by item no. 136c may be useful in the future in documenting cases of serious food poisoning, such as where death or serious illness occurs from E. coli contamination.  Contact the State Archives for additional advice.


                               

GIFTED AND TALENTED PROGRAMS

*1.[325] Student folder for student enrolled in gifted and talented program, including but not limited to application or offer for participation, testing or eligibility determination records, progress reports, product assessment, samples of student's work, notes and correspondence:
RETENTION:        6 years after student participation in program terminates

NOTE:  Schools may prefer to maintain these records as part of a student cumulative education record file.  See item no. 275 in the Student Records section of this Schedule.
2.[326] Lists of students applying for participating and/or enrolled in gifted and talented program(s)
  a.       Annual list of students enrolled in gifted and talented program(s):
RETENTION:        20 years
 

b.       List of students who applied for and/or were denied placement:
RETENTION:        3 years

 

c.       Other lists of students, created for internal administrative purposes:
RETENTION:        0 after no longer needed

*3.[327]

Application and/or offer for participation in gifted and talented program, including eligibility identification and testing records, when student is not enrolled or does not participate in program:
RETENTION:        3 years

4.[328]

Documentation of the process for selection and placement for students in gifted and talented program, including explanation and justification of acceptance criteria, and district program plan:
RETENTION:        PERMANENT

HEALTH

*1.[137] Student's cumulative health record, including but not limited to health history; individualized health care plan; immunization record; results and recommendations from examination, screening, or treatment; parent or guardian referral and permission record; and teacher's comments
 

a.       Summary record or individual records when not posted to summary record:
RETENTION:        0 after individual attains age 27

 

b.       Individual records when posted to summary record, except blood and body fluids incident report:
RETENTION:        1 year after end of school year

 

c.       Individual immunization record, including authorization and/or parental consent:
RETENTION:        6 years, or 3 years after individual attains age 18, whichever is longer

NOTE:  These records may be requested beyond their minimum legal retention period by persons needing proof of certain immunizations for college admission or other purposes.  The State Archives recommends that school districts and BOCES evaluate the need to retain immunization records longer than the stated minimum retention period for these purposes.

 

d.       Blood and body fluids incident report, even when posted to summary record:
RETENTION:        0 after individual attains age 27

2.[138]

Log of students' accidents and illnesses during school day:
RETENTION:        1 year after end of school year

NOTE:  This retention period presumes that information contained in the log is also contained in the individual and/or summary health records covered by parts a. and/or b. of item no. 137, above.  If this information is not posted to the student's individual and/or summary health records, then the log must be retained until the youngest student listed in it attains age 27.

3.[139]

Student's psychological or social assessment record file

NOTE:  Institutional school districts should retain all these records until the student attains age 27.

 

a.       Report regarding student's ability, personality, family, and environmental influences:
RETENTION:        6 years after report written

 

b.       Source materials used in preparing report, including "protocols," tests and notes, for students not classified as special education:
RETENTION:        1 year after report written

 

c.       Source materials used in preparing report, including "protocols," tests and notes, for students classified as special education:
RETENTION:        6 years

*4.[329]

Inventory, storage, receipt and distribution records for vaccines and controlled substances (or other drugs or medication) administered to students and/or employees:
RETENTION:        5 years

*5.[330]

Student health summary reports, covering all or groups of students, including school immunization survey summary and communicable disease summary report:
RETENTION:        3 years

*6.[457] Early intervention program records, including but not limited to case record and screening, assessment and referral records
 

a.       Individual case record:
RETENTION:        7 years after discharge or last contact, but no less than 3 years after person attains age 18

 

b.       Screening, assessment and referral records, not found in individual case record:
RETENTION:        7 years

 


HUMAN RIGHTS/ECONOMIC OPPORTUNITY

*1.[141] Individual complaint or problem case file of human rights, economic opportunity, equal employment, community relations or similar function, including individual case summary record

NOTE: Agencies may wish to retain records covered by parts "a" and "b" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.  For records of affirmative action cases involving local government employees, see item no. 206c in the Personnel/Civil Service section, Personnel subsection.

 

a.       For case handled at local level (includes cases referred to New York State Division of Human Rights but returned to local agency for adjudication):
RETENTION:        6 years after last entry

NOTE:  Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently. Local governments should consider permanent retention of significant cases handled at the local level.  Contact the State Archives for additional advice in this area.

 

b.       For case referred to New York State Division of Human Rights:
RETENTION:        2 years after last entry

*2.[142]

Summary record for individual case and/or master summary record of all cases:
RETENTION:        PERMANENT

3.[331]

Periodic statistical or narrative activity or progress reports on human rights or economic opportunity office activities:
RETENTION:        6 years

NOTE:  Appraise these records for historical significance prior to disposition.  Periodic reports containing summary information not found in annual reports may have continuing value for historical or other research and should be retained permanently.

     

INSTRUCTION

*1.[143] Curriculum records

NOTE:  This also includes high school equivalency, alternative learning and adult education courses offered by a school district or BOCES.
 

a.       Course curriculum and related records describing course of instruction and course content:
RETENTION:        PERMANENT

 

b.       Approved curriculum variance application:
RETENTION:        10 years after variance approved

 

c.       Approved application for occupational education (work-study) curriculum:
RETENTION:        4 years after curriculum discontinued

 

d.       Approved application for curriculum other than occupational education (work-study):
RETENTION:        1 year after curriculum discontinued

 

e.       Denied application for curriculum approval or variance:
RETENTION:        1 year after end of school year

 

f.        Individualized home instruction plan (IHIP), worksheets and related records:
RETENTION:        6 years after student graduates or would normally have graduated from high school

  g. Curriculum planning records:
RETENTION:        0 after no longer needed

NOTE:  Reports and studies prepared as part of curriculum planning may have long-term value meriting continued preservation.  Local officials should evaluate these records for continued, or permanent, preservation. Contact the State Archives for additional advice.

2.[144]

Teacher's lesson plan:
RETENTION:        0 after no longer needed by school district or BOCES

*3.[145]

Instructor's grade records, test scores, and marking sheets, including records documenting the evaluation of scientific models, biological specimens, chemical compounds or other objects or materials produced in lab or shop settings:
RETENTION:        2 years

*4.[146] Examination and test answer papers, including Regents examinations:
RETENTION:        1 year after end of school year
5.[147] Records of hypodermic syringes and needles acquired for educational use or for administration of vaccines and other controlled substances to students and/or employees
 

a.       Certificate of need for educational use:
RETENTION:        6 years after certificate expires

 

b.       Other records, including records of purchase, inventory, destruction, loss or theft:
RETENTION:        6 years

*6.[149] Training records for law-enforcement officers, E-911, dispatch or fire-fighting personnel

NOTE:  This item covers official records of public safety training conducted by county vocational education and extension boards or other ED-1 users.
 

a.       Individual's record of courses attended and/or completed, including basic information on course content:
RETENTION:
        6 years after individual leaves service

NOTE:  Local officials may wish to keep these records longer, possibly for the career of the individual, if the records are consulted throughout that period.

  b.       Official copy of training manual or bulletin:
RETENTION:
        50 years  
  c.       Course instruction records, including attendance lists and lesson plan:
RETENTION:
        1 year
*7.[333]

Application for and approval to offer high school equivalency preparation program, physical education program, occupational education program, instructional programs for incarcerated students, adult education, alternative learning program, foreign exchange visitor program, or similar  programs, including application by school district or BOCES, letter of determination, information on participating staff, State Education Department (SED) program review records, service plans, reports submitted to SED and correspondence:
RETENTION:        6 years

8.[334]

Regents examination and competency test report:
RETENTION:        5 years

*9.[335]

Summary records of standardized aptitude and achievement tests, including but not limited to test result summaries, copies of tests, eligibility determination records, and records describing testing programs:
RETENTION:        1 year after end of school year

NOTE:  For schools or districts placed "under corrective action" or "under registration review" by SED, these records may need to be retained until these designations are canceled by SED and no longer apply.
*10.[458]

Emergency medical training records, covering local governments which are course sponsors, including but not limited to information on individuals, course files, and information on instructors, as required by Section 800.20, 10NYCRR

NOTE:  This item covers records of emergency medical training for which school districts, BOCES or other ED-1 users are course sponsors.  See item no. 35 in the School Safety section for records of training received by school personnel or students.

  a.       Information on individuals and course files:
RETENTION:
        5 years
  b.       Information on instructors:
RETENTION:       
5 years after working association of each instructor ceases

 

INSURANCE

*1.[150] Insurance (including self-insurance) case records, except workers' compensation case record, including but not limited to notice of claim, copies of filed court documents, accident reports, medical reports, motor vehicle reports, appraisal report, copy of check, correspondence, and other supporting documentation:
RETENTION:        6 years after claim closed, but not until any minor reaches age 21, whichever is later

NOTE:  The local government may wish to retain the release longer for convenience of reference.  Proof of liability insurance coverage must be retained longer to cover claims relating to exposure to asbestos and other toxic substances. Consult your counsel or attorney to ensure that insurance policies and other appropriate documentation are retained as long as needed.
*2.[151] Workers' compensation case records (including Volunteer Firefighters Benefit Law) case records
 

a.       If claim allowed:
RETENTION:        18 years after injury or illness, but not less than 8 years after last payment

 

b.       If claim disallowed after trial, or case otherwise disposed of without an award after the parties have been given due notice:
RETENTION:        7 years after injury or illness

NOTE:  The employee injury record must be retained for 18 years after date of accident or injury, as required by Section 110, Workers' Compensation Law, even for disallowed claims.  See item no. 474 in the Personnel/Civil Service section.

3.[152]

Master summary record (log or register), of all (including workers' compensation) claims:
RETENTION:        0 after all claims and/or cases listed in master summary record have been disposed of

4.[153]

Insurance policy covering fire, theft, property damage, personal injury liability, general liability, insurance of life or property, when no outstanding claims are involved:
RETENTION:        6 years after expiration, or until the report on examination is filed, whichever is later

5.[154]

Workers' compensation and employer's liability insurance policy, when no outstanding claims are involved:
RETENTION:        18 years after expiration

6.[155]

Title insurance policy, when no outstanding claims are involved:
RETENTION:        20 years after expiration

*7.[156]

Certificate of insurance certifying as to name of insured, type of insurance, limits of liability, date of expiration and policy number, when no outstanding claim is involved, except a certificate of insurance certifying as to a security bond or undertaking:
RETENTION:        6 years after expiration

NOTE:  For the exceptions mentioned above, see item no. 215 in the Personnel/Civil Service section, item no. 112 in the Fiscal section and item no. 241 in the Public Property and Equipment section.

8.[157]

Insurance appraisal and/or survey:
RETENTION:        0 after superseded or obsolete