Part 4: Public Access to Records through Special Education

 

PUBLIC ACCESS TO RECORDS

*1.[231] Subject matter list of records held by local government, required under Freedom of Information Law:
RETENTION:        6 months after superseded
*2.[232]

Listing of officers or employees of local government required by Freedom of Information Law:
RETENTION:        6 months after superseded

*3.[233]

Register or list of applicants seeking access to public records:
RETENTION:        6 months

*4.[234]

Freedom of Information records request file

NOTE: Requests for access to special education records, maintained pursuant to Section 300.563 of 34 CFR, are covered by item no. 374, found in the Special Education section in this Schedule.

 

a.       Request for access to public records, when request is granted:
RETENTION:        6 months

 

b.       Request for access to public records, when request is denied, including statement of denial, appeal records, documentation of review and decision:
RETENTION:        6 months after final determination

 

c.       Certificate that record does not exist or cannot be found:
RETENTION:        6 months

PUBLIC EMPLOYMENT AND TRAINING

*1.[235] Employment and training program file for Job Training Partnership Act, Comprehensive Employment and Training Act (C.E.T.A.), Manpower Development and Training Act, youth employment training, Work Force Investment Act, and other job training programs
 

a.       Project application, proposal, narrative, evaluation, and annual report:
RETENTION:        6 years

NOTE:  Appraise these records for historical significance prior to disposition.  Records with historical value should be retained permanently.

 

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

2.[236]

Employment and training program individual participant file, including but not limited to application, work schedule, evaluations, and notice of transition to non-grant employment:
RETENTION:        6 years after last entry

3.[237]

Denied employment and training enrollment application:
RETENTION:        3 years

PUBLIC PROPERTY AND EQUIPMENT

*1.[238] Real property acquisition or sale file for property owned by local government including but not limited to copy of deed, copy of appraisal or valuation, copy of site or plot plan, photographs, recommendation or justification for acquisition or sale, approval for acquisition or sale, closing statement, memoranda and correspondence
  a.       Copy of site or plot plan, photographs, and recommendation or justification for acquisition or sale:
RETENTION:        PERMANENT
 

b.       Other records in file, including but not limited to copy of deed, copy of appraisal or valuation, closing statement, approval for acquisition or sale, memoranda and correspondence:
RETENTION:        6 years after property no longer owned by local government

2.[239]

Master summary record (book, log or register) recording acquisition or sale of property by local government:
RETENTION:        PERMANENT

3.[240] Official copy of sale or auction list, and notice or advertisement of sale of real property by local government:
RETENTION:        PERMANENT
*4.[241]

Capital construction or public improvement project file, including but not limited to bids, specifications, contracts, performance guarantees, inspection reports, and environmental impact statements

NOTE:  For plans, maps, designs, sketches, designs, architectural drawings and photographs of buildings and facilities, see item no. 242, below.
 

a.       Feasibility studies; successful bids; plans, specifications and designs; project description; in-progress and completion photographs; inspection reports; environmental impact statement; annual project statement; fiscal and other final reports; significant change orders; and significant correspondence:
RETENTION:        6 years after building or facility no longer exists or is no longer owned by local government

NOTE: Appraise these records for historical significance prior to disposition.  Records for important projects or historic structures have historical value and should be retained permanently.  Contact the State Archives for additional advice.
  b.       Supplementary documentation, including application for assistance, project budget, interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheet, non-significant change orders; routine correspondence and detailed construction specifications:
RETENTION:        6 years after last entry in project file
  c.       Unsuccessful bids, to which contract is not awarded:
RETENTION:        6 years after expiration or termination of contract which is awarded or 6 years after final payment under contract, whichever is later
  d.       All records, when project is proposed but not undertaken:
RETENTION:        6 years after last entry
*5.[242] Official plans, maps, designs, architectural drawings, and photographs for buildings or other facilities owned by local government, including index, and also including design file for capital construction or renovation project
  a.       Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for significant building or other facility:
RETENTION:        PERMANENT
  b.       Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for other than significant building or other facility:
RETENTION:        6 years after building or facility no longer exists or is no longer owned by local government
  c.       Mechanical, electric and other detailed schematic drawings, not covered by parts "a" or "b," including detailed specifications not appearing on plans, maps, designs, sketches, architectural drawings:
RETENTION:        6 years after building or facility no longer exists or is no longer owned by local government
 

d.       Other related non-graphic design file documents, including correspondence, cost estimates, reports, planning studies and other records:
RETENTION:        6 years after completion of project

NOTE:  Some of these non-graphic documents may need to be retained for 6 years after the building or other facility no longer exists, if they document significant changes with long-term fiscal and other implications. Local governments should review these records for these possible uses prior to disposition.

  e.       Template or other similar automated framework or reference files used in conjunction with more specific automated design files:
RETENTION:        Retain as long as the related specific automated design files are retained.
  f.        Index or similar record used to locate, identify and access plans, maps, designs, sketches, architectural drawings, photographs and other existing records:
RETENTION:        Maintain as perpetual data file or other record, deleting information only relating to records that have been disposed of.
*6.[243]

Draft or intermediary plans, maps, designs, sketches or architectural drawings, including explanatory textual files, tracings and other than final or "as built" automated design files:
RETENTION:        0 after no longer needed

NOTE:  Some of these design documents may need to be retained for 6 years or longer, possibly as long as the building or other facility exists, if they document significant changes with long-term fiscal and other implications.  Local governments should review these records for these possible uses prior to disposition.

*7.[481]

Maintenance, testing, service, operational and repair records for buildings and other facilities or their mechanical, electrical systems or other infrastructure

NOTE:  For plans, designs and schematic drawings of buildings and facilities, including their systems and component parts, see item no. 242, above.

 

a.       Cumulative summary records:
RETENTION:        6 years after building or other facility no longer in use

  b.       Individual detailed report or related record, such as work request, work order, personnel deployment record, preventive maintenance schedules and records of work completed, when posted to cumulative summary record:
RETENTION:        6 years
 

c.       Individual report or related record, such as work request, work order, personnel deployment record and records of work completed, when not posted to cumulative summary record:
RETENTION:        6 years after building or other facility no longer in use

  d.       Log, maintenance schedule or similar record of ongoing activity:
RETENTION:        6 years after last entry
  e.       Descriptive information on specific equipment or component parts:
RETENTION:        6 years after equipment or part no longer in use
  f.        Descriptive information on maintenance personnel, vendors or contractors:
RETENTION:        1 year after superseded or obsolete
  g.       Inventories of parts, materials and supplies needed for maintenance and repairs:
RETENTION:        6 years
  h.       Requests for inspection, repair or service, when no work is performed and no funds expended:
RETENTION:        1 year
*8.[482]

Reports and studies relating to maintenance, testing, service, operation and repairs for buildings and other facilities or their mechanical, electrical systems or other infrastructure:
RETENTION:        6 years

NOTE:  Some of these reports may need to be retained longer for long-term facility management purposes, such as for 6 years after building or other facility no longer in use.  Some may even have permanent historical or other research value.  Contact the State Archives for additional information.
*9.[245]

Public facility use file, including but not limited to requests, correspondence, fiscal records and authorizations:
RETENTION:        6 years

NOTE:  Appraise these records for historical significance prior to disposition.  In some cases, facility use files may document significant attempts by the local government to broaden its support base by reaching out to community groups.
*10.[247] Property inventory records, covering buildings, facilities, vehicles, machinery and equipment, including "fixed assets" records:
RETENTION:
        6 years after superseded by updated inventory, or 6 years after replacement, sale, or discontinuance of use of all property listed, whichever is sooner
11.[248]

Inventory of supplies:
RETENTION:        6 years

12.[249] Public property sale or discard records, except real property, including but not limited to description of property, bids or offers, and receipt of deed of gift:
RETENTION:        6 years
*13.[250] Maintenance, testing, service, operational and repair records for equipment or vehicle, but not covering buildings and other facilities or their mechanical, electrical systems or other infrastructure
 

a.       Cumulative summary record for vehicle or equipment:
RETENTION:        6 years after vehicle or equipment no longer in use

 

b.       Individual report when posted to cumulative summary record:
RETENTION:        6 years

 

c.       Individual report when not posted to cumulative summary record:
RETENTION:        6 years after vehicle or equipment no longer in use

 

d.       Maintenance or repair log or similar record:
RETENTION:        6 years after last entry

 

e.       Reports and studies relating to maintenance, testing, service, operation and repairs for equipment or vehicles:
RETENTION:        6 years

 

f.        Requests for inspection, repair or service, when no work is performed and no funds expended:
RETENTION:        1 year

14.[251]

Specifications, warranty and descriptive information received from vendor for vehicle or equipment:
RETENTION:        6 years after vehicle or equipment no longer in use

*15.[252]

Vehicle routing, scheduling and usage records, including automated system used to schedule and assign routes of service and maintenance vehicles

NOTE:  This does not apply to school bus routing records.  See Transportation section, School Bus Routing and Scheduling subsection.

 

a.       Detailed data file containing information such as on vehicle stops, usage, locations at specific times or intervals:
RETENTION:        0 after no longer needed

NOTE:  Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of this data may need to be retained longer to meet both administrative needs and legal requirements.  It is recommended that local officials store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.

 

b.       Automated system operation history file, containing significant data and/or periodic data snapshots, generated from detailed system data:
RETENTION:        6 years

 

c.       Logs, schedule, reports, and queries (including macros, queries and necessary documentation used in report and query generation), which contain information of legal or fiscal value:
RETENTION:        6 years

 

d.       Logs, schedules, reports, and queries (including macros, queries and necessary documentation used in report and query generation), which do not contain information of legal or fiscal value:
RETENTION:        0 after no longer needed

16.[253]

Consumption and dispensing records for fuel, oil, or similar products used by publicly owned vehicles or equipment:
RETENTION:        6 years

*17.[254] Request for services or supplies, including stockroom supplies, forms and publications, duplication, or use of any vehicle or equipment
 

a.       When a chargeback or fee is involved:
RETENTION:        6 years

 

b.       When no chargeback or fee is involved:
RETENTION:        0 after no longer needed

18.[255] Federal Communications Commission (F.C.C.) private radio licensing records
 

a.       Original application and other related records not created for renewal applications:
RETENTION:        5 years after final termination of license or denial of application

 

b.       Renewal application and related records, including copy of license:
RETENTION:        5 years after renewal or termination of license or denial of application

 

c.       Request for frequency data research:
RETENTION:        1 year

 

d.       Listing of locations of radios using local government private radio frequency:
RETENTION:        0 after superseded or obsolete

*19.[256] Petroleum bulk storage records
 

a.       Registration, including application and related records:
RETENTION:        7 years after expiration or termination of registration or denial of application

 

b.       Monthly and ten-year mandatory inspection reports:
RETENTION:        10 years

 

c.       Daily and other periodic inspection reports:
RETENTION:        1 year

 

d.       Test certification for underground storage tank:
RETENTION:        7 years

 

e.       Site assessment and related records, required when an underground storage tank is abandoned:
RETENTION:        PERMANENT

 

f.        Records relating to leakage and spillage:
RETENTION:        PERMANENT

 

g.       Inventory monitoring records:
RETENTION:        5 years

*20.[483]

Aquatic weed harvesting and/or control records (covers harvesting by mechanical or manual means or control by use of herbicides):
RETENTION:        3 years

*21.[86]

Asbestos management plans required pursuant to the federal Asbestos Hazard Emergency Response Act and 40CFR Part 763, Subpart E, including plans required for each school listing all buildings leased, owned or otherwise used as a school building and whether they contain asbestos, dates of asbestos inspections, reinspections and surveillances, copies of analyses, descriptions of responses or preventive measures taken, and related records, including equivalent records previously created under the New York State School Asbestos Safety Act (Article 9-A, Education Law):
RETENTION:        3 years after next required reinspection or equivalent period after all asbestos-containing building material has been removed from a homogenous area

NOTE:  Records of building projects involving asbestos are covered by item no. 87, below.

*22.[87]

Building rehabilitation and reconstruction project files when asbestos is installed, removed, encapsulated, applied, distributed or otherwise involved:
RETENTION:        30 years

23.[323]

Lead or copper content testing and remediation files covering lead or copper content in drinking water of public facilities

 

a.       Water sample test results and related records, when lead or copper level exceeds the action level as defined in Section 5-1.41, State Sanitary Code:
RETENTION:        50 years

 

b.       Water sample test results and related records, when lead or copper level does not exceed the action level as defined in Section 5-1.41, State Sanitary Code:
RETENTION:        10 years

 

c.       Records of remediation by replacement of lead or copper plumbing:
RETENTION:        6 years after building no longer exists

 

d.       Records of remediation by elimination or replacement of water cooler not connected to plumbing:
RETENTION:        6 years after cooler eliminated or replaced

24.[353]

Pesticide (including herbicide, rodenticide and disinfectant) application record (showing kind and quantity used, dosage rate, method of application, target organism, area and time of application):
RETENTION:        3 years

NOTE:  Records of incidents of possible exposure to pesticides (including herbicides, rodenticides and disinfectants), and other records created because pesticides are considered "toxic substances," are covered by item no. 214 in the Personnel/Civil Service section.

*25.[484]

School pesticide neighbor notification records prepared and maintained pursuant to 8NYCRR Section 155.24, including annual, summer school, emergency, forty-eight hour and other notifications, lists of persons receiving notifications, summary reports on pesticide applications, and related records:
RETENTION:        3 years

26.[354]

Inventory of pesticides (including herbicides, rodenticides and disinfectants) maintained by local government:
RETENTION:        40 years after superseded or obsolete

27.[355]

Annual report of pesticides (including herbicides, rodenticides and disinfectants) used, submitted to New York State Department of Environmental Conservation:
RETENTION:        2 years

28.[356]

Application for business/agency pesticide registration, including all related records:
RETENTION:        1 year after superseded or invalid

29.[357]

Records relating to certification for individual certified commercial applicator, including copy of application, records of training in use of pesticides, examination results, copy of certificate and recertification records:
RETENTION:        6 years

30.[358]

Permits and approvals from state or county health department to operate pool or beach:
RETENTION:        3 years after denial or expiration

31.[359]

Reports of pool or beach operation and inspection:
RETENTION:        21 years

*32.[92] Laboratory examination test results for pool
  a. Routine analysis (i.e., indicating water is within accepted standards) of water at pool:
RETENTION:        1 year
  b. Non-routine analysis (i.e., indicating water is not within accepted standards) of water at pool:
RETENTION:        3 years
33.[360]

Facility inmate work crew records, covering crews from state or county correctional facilities performing work outside the facilities for local government or not-for-profit organization, including but not limited to request for work crew and site visit report:
RETENTION:        2 years

*34.[361] Self-evaluation records, required under Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements
 

a.       Voluntary compliance plan for facility, including list of persons consulted, description of areas examined, transition plan, list of problems identified and description of modifications anticipated and made:
RETENTION:        PERMANENT

 

b.       Copies of work orders, progress notes and other supporting documentation:
RETENTION:        1 year after modifications completed

*35.[362]

Inspection reports, reviews and audits (internal and external) created relative to the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:
RETENTION:        6 years after building or facility involved is no longer in use

*36.[363] Individual case records, filed under the provisions of the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements, including but not limited to complaint, charge or request for reasonable accommodation, medical reports, responses, records of appeals, correspondence and internal memoranda, records documenting work done in response to complaint or request, and documentation of final resolution
 

a.       When complaint or request is filed by officer or employee of the local government involved:
RETENTION:        3 years after resolution of case and termination of any reasonable accommodation provided

 

b.       When complaint or request is filed by person other than officer or employee of the local government involved:
RETENTION:        3 years after date of final entry in record, but not less than 3 years after person involved attains age 18

*37.[364]

Master summary record of all cases under the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:
RETENTION:        PERMANENT

*38.[485]

Records relating to protection of underground facilities, including copies of notice of or request for excavation, received by local government from excavator, pursuant to 16 NYCRR, Section 753-5.2, including notice of postponement or cancellation and notice of discovery of unknown facility:
RETENTION:        4 years

*39.[486]

Records filed by contractor or sub-contractor with local government related to public works project, pursuant to Section 220 (3-a), Labor Law, including but not limited to copy or abstract of payroll, classification of workers employed on a project, and statement of work to be performed by each classification:
RETENTION:        3 years after contract completion

*40.[487]

Water supply system records, covering water supply system (such as private well) maintained by local government for its own use

 

a.       Permits and approvals necessary to establish or operate system, including supporting data and other related records:
RETENTION:        PERMANENT

 

b.       Original entry and intermediary charts, graphs and other data collected relating to water usage, water levels and water quality:
RETENTION:        10 years

 

c.       Reports and related data collection and other summary records showing long-term trends and developments:
RETENTION:        PERMANENT

 

d.       Reports and related records not showing long-term trends and developments:
RETENTION:        10 years

 

e.       Reports and test results on unsatisfactory water supply samples:
RETENTION:        20 years

 

f.        Log recording summary information collected at periodic intervals such as changes in pressure and level, proportion of chemicals present, operational changes and problems:
RETENTION:        PERMANENT

 

g.       Log recording all or routine information such as changes in pressure and level, proportion of chemicals present, operational changes and problems:
RETENTION:        5 years

NOTE:  If no logs containing summary information are generated, local governments may wish to retain all or some records covered by part "g" of this item longer, for both long-term administrative use and for potential research purposes.

*41.[85] Energy consumption monitoring records showing use of electricity or fuel, operation of heating and/or cooling equipment, or environmental conditions (temperature, humidity, air quality) in various parts of publicly owned or operated building or other facility
 

a.       Detailed data collected from sensors or monitors, and detailed reports generated from such data:
RETENTION:        0 after no longer needed

NOTE:  Some of this data and these detailed reports may need to be retained for 6 years for energy consumption trending analysis or energy consumption audit purposes.  The State Archives recommends that local governments consult the Office of the State Comptroller or their own auditor to determine which data may have long-term value.

  b. Equipment maintenance, testing and service records, except detailed records of routine activities:
RETENTION:
        6 years after equipment no longer in use
 

c.       Detailed records of routine maintenance, testing and service:
RETENTION:        6 years

 

d.       Reports relating to energy consumption and environmental conditions, including reports of problems and corrective actions taken, summary reports of environmental conditions, and reports showing long-term energy consumption trends, along with accompanying charts, graphs and data tables:
RETENTION:        6 years

NOTE: Appraise these records for historical or other long-term significance prior to disposition.  Records showing long-term trends in energy use may need to be retained permanently, or at least 6 years after the building or other facility is no longer in use.  Contact the State Archives for additional advice.

*42.[488]

Records relating to mine owned or operated by local government 

NOTE:  The annual training plan for employees who work at a mine is covered by item no. 24 in the General section.  Accident and personal injury reports are covered by item no. 474 in the Personnel/Civil Service section, Personnel subsection.  The rescue plan is covered by item no. 62 in the School Safety section.  Training certification records for each employee working at a mine are covered by item no. 203 in the Personnel/Civil Service section, Personnel subsection.

 

a.       Plans, maps and environmental impact statements generated as part of application process to obtain permit from New York State Department of Environmental Conservation to operate mine, or to obtain permit renewal:

RETENTION:        PERMANENT
 

b.       Other records generated as part of application process to obtain permit from New York State Department of Environmental Conservation to operate mine, or to obtain permit renewal, including but not limited to original and renewal application, actual permit, reports and correspondence:

RETENTION:        3 years after mine closed and land reclaimed
 

c.       Mine registration with the United States Department of Labor, Mine Safety and Health Administration (MSHA) known as "Legal Identity Report":
RETENTION:        3 years after mine closed and land reclaimed

 

d.       Listing of employment, accident and injury data, submitted annually by MSHA to local government:
RETENTION:        5 years

 

e.       Quarterly mine employment and coal production report, submitted to MSHA, as required by 30 CFR, Section 50.30:
RETENTION:        5 years

 

f.        Basic information on employees working at mine, known as "population survey," submitted to MSHA, as required by 30 CFR, Section 45.4:
RETENTION:        0 after no persons listed on report still work at mine

*43.[91] Hazardous waste generation records
 

a.       Individual load delivery and other detailed records, including manifest form:
RETENTION:        3 years after waste accepted by transporter

 

b.       Annual and exception reports:
RETENTION:        3 years after due date of report

 

c.       Test results and waste analyses:
RETENTION:        3 years after date waste was removed

*44.[489] Comprehensive long-range plan for educational facilities and five-year capital facilities plan created under 8 NYCRR Section 155.1, or equivalents, and related records
 

a.       Final copy of plan:
RETENTION:        PERMANENT

 

b.       Background materials and supporting documentation, including plan development records:
RETENTION:        10 years

*45.[490]

School facility report card, prepared for each occupied school building:
RETENTION:        PERMANENT

 

SCHOOL SAFETY

*1.[62] Disaster preparedness or crisis relocation records

NOTE:  See item no. 491, below, for district-wide and school safety plans.

 

a.       Copies of plans held by local government, including supporting maps, when official copies prepared under Section 23, Executive Law, are maintained by county or other local government which created them, along with other disaster preparedness plans, not prepared under Section 23, Executive Law, intended for specific buildings or for use by specific local government units:
RETENTION:        3 years after superseded

 

b.       Background materials and supporting documentation used in preparation of plans:
RETENTION:        3 years

*2.[66] Rescue and disaster response reports and related records, including responses to threats or hazards to the public, school facilities or vehicles due to natural, technological, or human-made circumstances and/or the discovery of possible explosives, pathogens or other hazardous substances, covering specific incidents
 

a.       Records of major disasters, including information on the response of all agencies to the disaster, including such records as photographs, press clippings, property damage reports, records of emergency response, summary reports of personal injuries, records relating to demolition and new construction, and correspondence:
RETENTION:        PERMANENT

 

b.       Records of other than "major" disasters:
RETENTION:        3 years, but not until 3 years after any minor involved attains age 18

NOTE:  Specific records should be appraised for historical value and may warrant permanent retention based on the serious nature of the incident involved. These would include actual discovery of explosives, pathogens or hazardous materials, and major facility evacuations and quarantines.  Contact the State Archives for additional advice in this area. 
*3.[491] District-wide and school safety plan records, including school safety, emergency management and emergency response plans
 

a.       Final approved copies of plans, along with all revisions and amendments:
RETENTION:        PERMANENT

 

b.       Plan development, adoption and related records, including records of school safety teams:
RETENTION:        6 years

*4.[492]

School violence and dangerous school records

NOTE:  Requests for transfer and related records of individual students are covered by item no. 275b in the Student Records section, Academic Records subsection.

 

a.       Violent and disruptive incident reports and summary records, including copies of summary information submitted to the State Education Department (SED):
RETENTION:        0 after youngest person involved attains age 27

NOTE:  Summary records may need to be retained longer, even permanently, if they document school violence, or if a school has been designated a persistently dangerous school.  Contact the State Archives for additional advice.

 

b.       Violent and disruptive incident data received back from SED:
RETENTION:        0 after data verified and any necessary corrections completed

 

c.       Persistently dangerous school designation records, including SED citation, plan for corrective action, results of audits and monitoring, student transfer protocol and lists of transferring students, and documentation of removal of designation:
RETENTION:        PERMANENT

5.[140]

Child abuse or maltreatment reports and related records:
RETENTION:        3 years

NOTE:  This item covers child abuse and maltreatment reports and related records retained by schools and other agencies reporting suspected abuse and maltreatment to the State Central Register or to child protective services units of county social services departments.  It also covers reports and related records of allegations of child abuse by an employee or volunteer in an educational setting made or received by schools and districts.  For personnel-related records of allegations of child abuse against employees and volunteers in an educational setting, see item no. 199c in the Personnel/Civil Service section, Personnel subsection.

*6.[493]

Sexual molestation and sexual harassment records, maintained separately from student health records or employee personnel records, and not including child abuse or maltreatment reports, covered by item no. 140, above:
RETENTION:        0 after youngest person involved attains age 27

*7.[244]

Building or facility security records, including but not limited to visitor's register and watchman's or automated security system or false alarm reports:
RETENTION:        3 years

*8.[352]

Videotape or other recording maintained for security purposes

 

a.       Videotape or other recording containing incident warranting retention for administrative or potential legal uses:
RETENTION:        3 years, but not until any minor has attained age 21

 

b.       Videotape or other recording not containing incident warranting retention for administrative or potential legal uses:
RETENTION:        0 after no longer needed

*9.[246] Fire and building condition records, including but not limited to fire safety inspection reports, fire drill reports, fire alarm records, fire inspection reports, fire investigation reports, structural safety inspection reports, building condition surveys and visual inspection reports
 

a.       Fire safety inspection reports prepared pursuant to Section 807-a, Education Law:
RETENTION:        3 years

NOTE:  Although Section 807-a of Education Law authorizes school authorities to destroy these reports after 3 years, the State Archives strongly urges that school authorities holding the "official" or "record" copies of these reports retain these records for 21 years to meet possible legal needs, including for use in personal injury litigation involving minors.

 

b.       Structural safety inspection reports and building condition surveys, required by Section 409-d, Education Law and 8NYCRR 155.4:
RETENTION:        21 years

 

c.       Visual inspection reports, required by 8NYCRR 155.4:
RETENTION:        5 years

 

d.       Records other than reports and surveys covered by parts "a," "b" and "c," above:
RETENTION:        3 years

*10.[35]

Emergency medical training records including defibrillator training, covering local government employees and students who receive training

NOTE:  This item covers records of emergency medical training received by school personnel and students.  For records of emergency medical training courses for which schools, BOCES or other ED-1 users are course sponsors, see item no. 458 in the Instruction section.

 

a.           Training and certification applications and lists of persons who have taken or need to take training:
RETENTION:        0 after superseded or obsolete

 

b.           Original entry training records, when posted to summary record:
RETENTION:        1 year

 

c.           Original entry training records, when not posted to summary record:
RETENTION:        7 years

 

d.           Summary record of training:
RETENTION:        6 years after individual leaves service or student graduates or would normally have graduated from high school, but no less than 7 years

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.

 

e.           Course materials, except final or annual reports:
RETENTION:        7 years after course completed

 

SPECIAL EDUCATION

INDIVIDUAL STUDENT RECORDS

NOTE:  Section 300.573(b) of 34 CFR requires school districts and BOCES to destroy, at the parent's request pursuant to Section 300.573(a), "personally identifiable information" contained in these records, when this information "is no longer needed to provide educational services to the child."  However, pursuant to Section 300.573(b), "a permanent record of the student's name, address and phone number, his or her grades, attendance record, classes attended, grade level completed, and year completed may be maintained without time limitation." (See item no. 366, below, and item no. 275, in the Student Records section of this Schedule.)  Such destruction may occur before the legal minimum retention period stated above has arrived, if it is conducted strictly according to the procedures outlined in federal regulations and guidelines provided by the federal Department of Education and the New York State Education Department's Office for Special Education Services.

School districts and BOCES should carefully determine what educational needs warrant retention of any records which parents might request be destroyed.  In informing parents of their rights, school districts and BOCES may also wish to remind parents that certain records with personally identifiable information may be useful in the future to the parents or children for other purposes, such as for social security benefits or to qualify for future services from the New York State Office of Mental Retardation and Developmental Disabilities.  To protect the school district or BOCES in the case of a future request for records destroyed at parental request, school officials should consider maintaining a record of any such destruction done at parental request with remaining records in the applicable set of records.  For additional information, contact the State Education Department, Office of Vocational and Educational Services for Individuals with Disabilities (VESID), Special Educational Policy and Quality Assurance.

*1.[267] Special education file of student (including both school-age students and pre-school children) with a disability
 

a.       Student information sheet, most recent year's IEP (Individualized Education Program), evaluation record, and summary record (if created):
RETENTION:        6 years after student graduates/would normally have graduated from high school or 6 years after student attains age 21, whichever is shorter

NOTE: These records may be needed more than 6 years beyond the student's graduation or 21st birthday to verify previous disability, especially in connection with applications by former students for social security or other benefits.  At the same time, unnecessarily long retention of these records may jeopardize the personal privacy safeguards contained in Section 300 of Title 34 of the Code of Federal Regulations.  School districts and BOCES should weigh these concerns carefully and consult their attorney or counsel before establishing policy concerning retention of these records beyond their legal minimum retention periods.

 

b.       Other special education records including but not limited to attendance record, copy of high school transcript or student progress reports, referral form, individual evaluations, and health record, IEP's (except most recent), parent communication, agency communication, and attendance/staff reports, behavior/staff changes records, test papers, psychologists' notes and "protocols," regardless of whether or not student is declassified from special education:
RETENTION:        6 years

 

c.       Federal Medical Assistance records for Special Education and Case Management Services, including but not limited to all documentation, logs, surveys, reports, remittance statements and memoranda of advisements pursuant to the School Supportive Health Services Program (SSHSP) and the Preschool Supportive Health Services Program (PSHSP):
RETENTION:        6 years after date of payment to school district or BOCES

*2.[365]

Records of special education "committee minutes," where needs of various students and their progress and problems are discussed, when significant information is transferred or posted to individual student special education records:
RETENTION:        6 years

NOTE: If significant information is not transferred or posted to the special education file for each individual student, then these records must be retained for 6 years after student graduates/would normally have graduated from high school or 6 years after student attains age 21, whichever is shorter, as per item no. 267a, above.

3.[271]

Referral service records of preschool student with a disability, including but not limited to intake information record, record of referral for services, follow-up review record, and correspondence:
RETENTION:        6 years

*4.[366]

Basic record listing special education student's name, address, phone number, grades, attendance record, classes attended, grade level completed, and year completed, created pursuant to Section 300.573(b) of 34 CFR:
RETENTION:        6 years after student graduates/would normally have graduated from high school or 6 years after student attains age 21, whichever is shorter

NOTE:  This item covers the "basic record" for special education students which some schools maintain separate from the student's "permanent record card" (see item no. 275 in the Student Records section of this Schedule). If information from this separate "basic record" is included in the student's "permanent record card", which must be retained permanently, then the retention period for this record is 0 after no longer needed.  If the student's "permanent record card" does not, however, contain any reference to specific education status, then school districts and BOCES should consider retaining this record permanently.  Federal regulations permit the maintenance of a "permanent record" containing this information "without time limitation." Schools which maintain a single "permanent record" for all students, including special education students, should use item no. 275, from the Student Records section, to authorize records disposition.

5.[367]

Basic data on any student contained in an automated special education records system, including name, age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class, type of disability, referral date, date service initiated, date of declassification, and level of service:
RETENTION:        0 after no longer needed

NOTE:  School districts and BOCES should consider permanent retention of the basic data elements of these special education records systems on an annual or bi-annual basis, such as at the beginning and/or end of the school year.  This information may be useful for long-range planning purposes, such as projecting trends in special education needs and services.  Contact the State Archives for additional advice in this area.

6.[376]

Documentation of regular updates made to basic data contained in special education data file, such as covering corrections, deletions or additions to data:
RETENTION:        1 year

         

FINANCIAL TRACKING AND REPORTING

1.[268] State agency notification to school district identifying student with a disability placed in residential facility, (State Education Department STAC [System for Tracking and Accounting for Children] 200 or 201 Form or equivalent) prepared by state agency other than State Education Department:
RETENTION:        6 years after notice superseded, or student attains age 21, whichever is shorter
2.[269]

Commissioner of Education approval for providing and funding special education services, (State Education Department STAC [System for Tracking and Accounting for Children] 3 Form or equivalent), identifying child, services provider, and type, duration and cost of services:
RETENTION:        6 years

3.[270]

Federal assistance records for special education, including but not limited to application, advisement, eligible student survey form, reports, statement of payment and memorandum of instruction:
RETENTION:        6 years

  

PROGRAM ADMINISTRATION

1.[368] Plans prepared in relation to providing special education services
 

a.       School district annual or biennial plan outlining special program and education services, required by Section 200.2(c) of 8NYCRR:
RETENTION:        PERMANENT

 

b.       Special education space requirement plan developed by BOCES, including related correspondence and any amendments:
RETENTION:        6 years after superseded

2.[369]

Reports relating to special education program (not covered by other items in this Schedule)

 

a.       Summary reports of student data:
RETENTION:        6 years

 

b.       Annual and other reports covering the evaluation, referral, placement and review processes, and IEP (Individualized Education Program) development:
RETENTION:        6 years

3.[370]

Waivers permitting a school district or BOCES to implement an innovative special education program, along with applications, correspondence, reports and all related records

 

a.       Waiver granted on an annual basis:
RETENTION:        6 years

 

b.       Waiver granted on a permanent basis:
RETENTION:        6 years after expiration

 

c.       Annual or other reports submitted to New York State Education Department (SED) regarding operation and evaluation of the program:
RETENTION:        6 years

4.[371]

Records of special education program monitoring by New York State Education Department (SED), including but not limited to monitoring report, response and records of any resulting action taken:
RETENTION:        6 years after date of most recent entry in record, or until the next program review is completed, whichever is later

MISCELLANEOUS

1.[372] Census and register of students with disabilities residing in school district, eligible to attend school or pre-school special education program:
RETENTION:        6 years

NOTE: This item does not cover the school census listing all persons of school age residing in the district which is covered by item no. 43, found in the Student Records section, Student Information Systems and Related Records subsection.  If the general school census and the census and register of students with disabilities are one and the same record, follow the instructions given under item no. 43.
2.[373]

Lists maintained in relation to providing special education services, including but not limited to list of names and resumes of impartial hearing officers, list of free or low-cost legal and other relevant services, list of public and private agencies and other professional resources where independent evaluations may be obtained, list of potential surrogate parents, and list of preschool programs:
RETENTION:        6 years

NOTE:  This does not cover the register, census or list of students with disabilities, which is covered by item no. 372, above.

3.[374] Requests for access to special education records
 

a.       Requests for access by parents and authorized employees:
RETENTION:        1 year

 

b.       All other requests, maintained pursuant to Section 300.563 of 34 CFR, including name of party requesting access, date access denied or granted, and purpose for which access is requested:
RETENTION:        5 years

4.[375] Records of special education testing of students, where students are not classified as requiring special education
 

a.       Lists of students tested but not classified:
RETENTION:        6 years

  b.       Records relating to individual student not classified, including but not limited to referral, results of testing and evaluation report:
RETENTION:        0 after student attains age 21, but not less than 6 years