Managing Records: Schedule MI-1

Records Retention and Disposition Schedule MI-1

GENERAL

NOTE: Records common to most offices are listed under this section of the Schedule. In using the Schedule, one should first attempt to locate a specific item under a functional heading. If the record you are locating cannot be found under a functional heading, then proceed to this General section to search for a less specific item covering the record.

*1.[1] Official minutes and hearing proceedings of governing body or board, commission or committee thereof including all records accepted as part of minutes: PERMANENT
**2.[2] Recording of voice conversations, including audio tape, videotape, stenotype or stenographer's notebook and also including verbatim minutes used to produce official minutes and hearing proceedings, report, or other record  
 

a. Recording of public meeting of governing body or board, committee or commission thereof:

NOTE: Videotapes of public hearings and meetings which have been broadcast on local government public access television are covered by item no. 581, below.

NOTE: Appraise these records for historical significance prior to disposition. Audio and videotapes of public hearings and meetings at which significant matters are discussed may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice on the long-term maintenance of these records.

4 months after transcription and/or approval of minutes or proceedings
  b. Other recordings: 0 after no longer needed
*3.[3]

Meeting files for meeting of governing body or board or agency, commission or committee thereof, including agendas, background materials and other records used at meetings:

NOTE: Appraise these records for continuing administrative or historical value prior to disposition. Agendas may have continuing administrative value and may be useful for accessing information in unindexed minutes and for indexing those minutes. Other records prepared for or used at meetings may have administrative or historical value for documenting issues discussed at the meetings and referenced in the minutes. See item no. 1, above, for records which are accepted as part of the minutes.

1 year
*4.[4] Legal opinion or legal directive rendered by government agency: PERMANENT
5.[5] Local law (including certification that law was properly enacted), rule, regulation, ordinance, resolution, proclamation or court order: PERMANENT
*6.[6]

Legal agreement, including contract, lease, and release involving local government:

NOTE: This item does not apply to contracts (collective bargaining agreements) between a local government and a public employee labor organization. These contracts are covered by item no. 321 in the Personnel/Civil Service section, and must be retained permanently.

6 years after expiration or termination or 6 years after final payment under contract, whichever is later
*7.[7] Signature card, or equivalent record, showing signature of individual legally authorized to sign specific transaction: 6 years after authorization expires or is withdrawn
*8.[8]

Proof of publication or posting, legal notices, or certification thereof

NOTE: This item does not apply to notice of forthcoming election (see item no. 143 in the Election section).

 
  a. Relating to bond or note issue or tax limit increase: 6 years after issue or increase disapproved or retired
  b. Not relating to bond or note issue or tax limit increase: 6 years
*9.[9] Manual of procedures, or policies and standards  
  a. Involving major procedures, policies and standards affecting local government operations, critical functions or issues of public visibility or concern: PERMANENT
  b. Involving routine day-to-day procedures, policies and standards pertaining to internal administration of a local government: 6 years after superseded
*10.[10] Correspondence, and supporting documentation maintained in a subject file (generated or received by a local government), except correspondence that is part of a case file or other record series listed elsewhere on this Schedule  
 

a. Documenting significant policy or decision making or significant events, or dealing with legal precedents or significant legal issues:

NOTE: Significant correspondence is often maintained by the chief executive or administrative officer, and sometimes in subject file format. See item no. 198 in the Executive, Manager, and/or Administrator section.

PERMANENT
  b. Containing routine legal, fiscal or administrative information: 6 years
  c. Of no fiscal, legal or administrative value (including letters of transmittal, invitations and cover letters): 0 after no longer needed
*11.[11]

Official copy of publication, including newsletter, press release, published report, bulletin, homepage or other website file, educational or informational program material prepared by or for local government

NOTE: Specific publications are listed in other places in this Schedule. Before using this item to determine the minimum legal retention for a publication, determine if that publication is covered by a more specific item.

 
  a. Publications which contain significant information or substantial evidence of plans and directions for government activities, or publications where critical information is not contained in other publications: PERMANENT
 

b. Publications where critical information is also contained in other publications or reports, publications which document routine activities, publications which contain only routine information, or publications (such as webpages) that facilitate access to government information on the Internet:

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 samples of publications covered by part "b" of the above item. Contact the State Archives for additional advice in this area.

0 after no longer needed
*12.[12]

Special project or program files, including official copy of publications, videotapes, or informational literature prepared for public distribution, background materials and supporting documentation:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. If special projects or programs deal with significant subjects, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently.

6 years after project or program ends
*13.[13]

Grant program file

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

 
 

a. Application, proposal, narrative, evaluation, and annual report for grants that have been awarded:

NOTE: Local governments may find that some of the records covered by part "a" have ongoing administrative value. These records may be useful beyond the minimum retention period for preparing future grant applications.

6 years after renewal or close of grant
  b. Background material, fiscal records, and supporting documentation for grants that have been awarded and all records relating to grant applications that have been rejected: 6 years after renewal or close of grant or denial of application
*14.[33]

Complaint, petition or request for service received by local government

NOTE: Appraise these records for historical significance prior to disposition. Petitions by citizens involving very significant issues should be retained permanently.

NOTE: For additional fiscal items, see Fiscal section of this Schedule.

 
  a. Summary record (such as log or register) of complaints, petitions or requests: 6 years after disposition of all complaints, petitions or requests listed
  b. Complaints, petitions or requests relating to other than routine services or activities: 6 years after final disposition of complaint, petition or request
  c. Complaints, petitions or requests relating to routine government services or activities: 1 year after final disposition of complaint, petition or request
*15.[15] Opinion survey records  
 

a. Survey results, including official copy of survey form:

NOTE: Appraise these records for historical significance prior to disposition. Survey results and sample forms involving very significant issues should be retained permanently.

6 years
  b. Completed survey forms: 0 after survey results prepared
*16.[16]

Repair, installation, maintenance or similar record, including but not limited to request for service, work order, record of work done, and summary or log of service performed:

NOTE: For maintenance, testing, service, operational and repair records for public equipment or vehicle, see item no. 424 in the Public Property and Equipment section.

6 years
*17.[17]

Internal investigation or non-fiscal audit records

NOTE: Fiscal audit records are covered by item no. 214 in the Fiscal section, Audit subsection. Investigations of personnel are covered by item no. 311 in the Personnel/Civil Service section, Personnel subsection.

 
  a. Report and recommendation resulting from investigation: PERMANENT
  b. Background materials and supporting documentation: 6 years
*18.[18] Internal information record, including but not limited to calendars of appointments, office and travel schedule, memoranda and routing slips, routine internal reports, reviews and plans, used solely to disseminate information or for similar administrative purposes: 0 after no longer needed
19.[19] Duplicate copy of record, created for administrative convenience, except where retention is specified elsewhere in this Schedule: 0 after no longer needed
*20.[20] Log or schedule used for internal administrative purposes only: 0 after no longer needed
*21.[21] Mailing list used for billing or other administrative purposes: 0 after superseded or obsolete
*22.[22]

Daily, weekly, monthly, quarterly or other periodic internal or external report, summary, review, evaluation, log, list, statement or statistics:

NOTE: For annual, special, or final report, summary, review or evaluation, see item no. 23, below. For routine internal reports and reviews, see item no. 18.

6 years
*23.[23]

Annual, special or final report, summary, review or evaluation

NOTE: Specific annual reports are listed in many places in this Schedule. Before using this item to determine the minimum legal retention for an annual report, determine that a report is not covered by a more specific item.

 
  a. Reports which contain substantial evidence of government policy, procedures, plans and directions: PERMANENT
 

b. Reports where critical information is contained in other reports, reports which document internal management and housekeeping activities, or reports which contain only routine legal, fiscal and administrative information:

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

6 years
*24.[24]

Program plan (annual, special or long-range):

NOTE: Program plans of a routine nature covering internal activities are covered by item, no. 18. Program plans where significant information is duplicated in other records (which are retained permanently) are covered by item no. 19.

PERMANENT
25.[25] List, index or summary used for internal administrative convenience or for informational purposes: 0 after obsolete
26.[26] Working document, such as draft, worksheet or posting record except worksheets containing fiscal information: 0 after no longer needed
*27.[27]

Communication log recording each communication between caller and receiving unit:

NOTE: Item nos. 27 & 28 do not apply to records found in the public safety area. See the Public Safety section of this Schedule.

1 year
28.[28] Telephone call log, statement or equivalent record: 1 year
*29.[33]

Identification card (duplicate copy or record of issuance) issued to client, patron or resident:

NOTE: This does not apply to identification cards issued by a law-enforcement agency as proof of age or residency or identification cards issued by local government to its employees. For these, see item no. 465 in the Public Safety section and item no. 316 in the Personnel/Civil Service section.

0 after invalid
30.[30]

Postal records, including returned registered or certified mail card or receipt and insurance receipt:

1 year
*31.[31] Accident report and related records: 3 years, or 0 after individual attains age 21, whichever is later
*32.[32]

Report of incident of theft, arson, vandalism, property damage or similar occurrence:

NOTE: This item does not apply to records found in the public safety area. See the Public Safety section of this Schedule.

6 years
*33.[581] Local government public access television records  
 

a. Videotape (or other information storage device) recording local government public access television program, where program is produced by a local government

Where program constitutes an important public meeting, significant event, important subject or documents local government policy making:

NOTE: In order to ensure the continued preservation and availability of videotapes, local governments should consider using broadcast-quality tapes where possible. Those tapes should be periodically inspected and copied to newer tapes and formats. Consult the State Archives for additional advice.

PERMANENT
  Where program constitutes a routine meeting, event or subject: 1 year
  Where program is aired but not produced by a local government: 0 after no longer needed
 

b. Viewer guide or other periodic listing of programs:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. The State Archives recommends that local governments retain a sampling of these records on a monthly, seasonal or other periodic basis.

1 year
  c. Program files on local government cable television programs: 6 years
*34.[582] Records covering photocopying and other reproduction of records, books, or other materials, including usage logs and individual copying requests  
  a. For materials subject to U.S. Copyright Law: 3 years
  b. For materials not subject to U.S. Copyright Law: 0 after no longer needed
*35.[583] Copyright records, for materials copyrighted by local government, including but not limited to copy of application, notice of copyright and correspondence: 6 years after copyright expires or application denied
*36.[584]

Training course information records, including but not limited to memoranda, flyers, catalogues and other records related to specific training courses including information on course content, program registration, instructor, credits, hours and roster of agency registrants:

NOTE: This item does not cover training in the Public Safety area; see item nos. 435 and 441 in the Public Safety section. This item does not cover training in dealing with toxic substances; see item no. 325 in the Personnel/Civil Service section.

0 after superseded or obsolete
*37.[585] Training course registration processing records, including but not limited to employees' application and enrollment records for courses including employee data forms, course applications, and supervisors' and training officers' authorizations or denials: 3 years after date of application to take course

Top of page

 

ARCHIVES/RECORDS MANAGEMENT

*1.[34] Records disposition documentation  
  a. Consent of the Commissioner of Education to the use of records retention and disposition schedules and the legal disposition of records: 0 after superseded
 

b. Documentation of final disposition of records, describing records disposed of and manner and date of disposition:

NOTE: Local governments may wish to retain records covered by part "b" longer than the minimum retention period, to provide evidence that records have been legally disposed of, in response to requests for public access to records. In addition, documentation of the final disposition of archival records is covered by item no. 36, below.

6 years after final disposition of records
*2.[35] Inventory of records: 0 after superseded
3.[36] Records transfer list  
  a. For archival records: PERMANENT
  b. For inactive records: 0 after disposition of records on list
*4.[37] Retrieval request for records in storage: 0 after return of records, or 3 years after retrieval when records not returned
5.[38] Archival administration records  
  a. Appraisal and accessioning documentation, including assessment of conservation needs: PERMANENT
  b. Processing and management working papers, drafts, notes, and related records: 0 after no longer needed
*6.[39]

Guide, listing, index, or other finding aid to archival records:

NOTE: Local governments should retain any superseded guides, lists, indices or other finding aids containing record numbering and identification information, or any other significant information not carried forward to newer versions.

0 after superseded
*7.[40] Records on use of archival materials  
  a. Log or register of researchers, and patron's registration for use of archival records: 6 years
  b. Researcher interviews, reference statistics, requests for records, or similar reference service records: 0 after no longer needed

Top of page

 

ATTORNEY OR COUNSEL

*1.[41]

Legal case file, including but not limited to notice of claim, attorney and investigator activity logs, complaints, court order, motions, notes, briefs, releases and closing sheet:

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 which have importance or which set major legal precedents. For instance, local governments may wish to permanently retain files for cases concerning major local controversies, issues, individuals and organizations which are likely to be the subject of ongoing research or which result in decisions or rulings of major significance to the local government or community or to the entire state. Contact the State Archives for advice in this area. In addition, local governments may wish to retain the complaint and release for routine cases longer for convenience of reference.

6 years after case closed, or 0 after any minor involved attains age 21, whichever is later
2.[42] Legal brief file ("brief bank") containing duplicate copies of legal briefs from case files, retained separately for future reference: 0 after no longer needed
*3.[43] Legal case log giving chronological listing of cases:
0 after no longer needed
4.[44] Legal case index, including notations on activities related to case: PERMANENT
5.[45] Subject file assembled and kept for reference purposes:
0 after no longer needed
**6.[880]

Subpoena, along with documentation of response, issued to local government agency or officer, when not part of legal case file or any other series of records listed on this Schedule:

NOTE: Subpoenas relating to legal case files or other series of records listed on this Schedule should be retained as part of or as long as that respective series.

6 months after date of response

Top of page

 

BUILDING AND PROPERTY REGULATION

BUILDING/PROPERTY HISTORY SYSTEMS

NOTE: Some local governments in the state use automated systems to keep track of various functions of their offices regarding building and property regulation. These systems, which we are referring to generically as "Building/Property History Systems," contain information in such areas as planning, zoning, building permits and inspections, fire safety, code enforcement, violations and complaints. In general, these systems do not replace existing hard copy-based systems, but do create some of the forms and other paper records in these files. In addition, these systems contain data files and other electronic records not found in manual systems. The items below are meant to cover not only electronic records contained in these automated systems, but also maps, reports and other system output maintained in both traditional hard copy and electronic format as well.

More importantly, these systems often contain summary information on various local government activity regarding a specific building and/or parcel of real property. The building/property history data file, listed below, may contain retrospective information on building permit issuance, building inspection, certificate of occupancy issuance, site plan review or other planning actions, zoning variances, special use permits and fire inspections for a single parcel of property over a period of time.

*1.[586] Building/property history data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on such areas as building permit issuance, building inspection, certificate of occupancy issuance, site plan review or other planning actions, zoning variances, special use permits and fire inspections:

NOTE: Local governments should consider permanent retention of the basic data elements of these building/property history systems for all parcels of property in the county. This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed records maintained in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

0 after no longer needed
*2.[587]

Street address/parcel number authority data file, used to supply building/property history system with accurate, up-to-date information on real property tax parcel numbers, property owners' names and addresses, parcel sizes, E-911 or other street addresses, and other essential data necessary for system to operate:

NOTE: This data is often received from an assessor's or tax office. See items covering real property data systems in the Taxation and Assessment section.

Retain until superseding or updated file received.
*3.[588] Lists, reports, studies, queries, searches for information, special project records and analyses created from data contained in one or more data files in building/property history system  
 

a. Final reports and studies resulting from analysis of system data, including background materials and supporting documentation containing significant information on real property and structures located thereon, used for such purposes as long-range planning, change of zoning boundaries and regulations, or planning infrastructure improvements or new facility construction:

NOTE: Appraise these records for historical significance prior to disposition. Records for important projects have historical value and should be retained permanently. Contact the State Archives for additional advice.

6 years after project completed, or after date of final entry in record
 

b. Reports and studies resulting from analysis of system data, including background materials and supporting documentation, queries, searches for information, lists, logs or other internal information records, containing routine information on real property and structures located thereon, or used to produce final reports and studies:

NOTE: Queries conducted in automated systems are not considered "records" unless the query and/or its results are saved in electronic or manual format. See also related items in the Electronic Data Processing section.

0 after no longer needed

Top of page

 

BUILDING AND CONSTRUCTION
(REGULATION AND INSPECTION)

NOTE: Applications for permits necessary for connection to public water supply system or municipal sewer, for individual water supply or sewage disposal system, for groundwater drainage, and for soil or stream disturbance or realty subdivision construction, are found in the Environmental Health section of this Schedule.

*1.[589] Master summary record, including index, log or journal, covering building code complaints, inspections, investigations, and violations: PERMANENT
*2.[590] Housing maintenance or building inspection records, including but not limited to complaints, inspection reports, notice of violation, cumulative building inspection record, appeal or review and final disposition of case  
  a. For school, public building, multifamily dwelling, commercial or industrial structure, or hazardous structure: 6 years after building no longer exists, but not less than 21 years
 

b. For single family home:

NOTE: Building inspection records relating to building permit issuance are covered by item no. 593, below.

6 years after last entry in record
*3.[591] Fire safety inspection records  
  a. Master summary record of inspections performed: PERMANENT
 

b. Report on inspection at school, public building, multifamily dwelling, or commercial or industrial facility and notice of violation:

NOTE: If fire safety inspection records are combined or interfiled with building inspection records, use item no. 590a, immediately above.

21 years
  c. Report on inspection of single family dwelling and notice of violation: 6 years
*4.[592]

Building inspection data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on building inspections not related to building permit issuance, certificate of occupancy issuance, fire inspections, and other relevant detailed information:

NOTE: Local governments should consider permanent retention of the basic data elements of this building inspection data for all parcels of property in the local government, unless that data is preserved by the building/property history system overall summary data file (see item no. 586, above.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

0 after no longer needed
*5.[593]

Building permit and certificate of occupancy issuance records

NOTE: Building permit files often contain plans, sketches, photographs, and other records that provide valuable information on individual structures. These records may have continuing value for historical or other research, and the State Archives suggests they be retained permanently.

 
  a. Master summary record of applications for building, plumbing, electrical, demolition or related permits, or for certificates of occupancy granted: PERMANENT
  b. Log or other chronological list recording permits or certificates of occupancy issued: 1 year after last entry in record, or 1 year after posting
  c. Building, plumbing, electrical, demolition or related permit file, including application and supporting materials; plans, maps and drawings; specifications; inspection reports; copies of all required permits and approvals; affidavit of compliance or completion of work; records of appeal when permit is denied; certificate of occupancy and correspondence  
  When permit is granted: 6 years after building no longer exists
  When permit is denied: 6 years after final decision
  When application is discontinued, has lapsed or is incomplete: 90 days after date of most recent entry in record
 

For non-structural modifications to shopping mall, office complex or similar structure (modifications not involving changes to fire suppression or alarm systems), when permit is granted:

NOTE: Certain records covered by this item may be included under item no. 594, below, such as in instances where they are maintained in electronic format and not created as hard-copy output and included in the building permit file. In these cases, the electronic records covered by item no. 594 must be retained as long as specified by this item.

10 years
  d. Certificate of occupancy and application when not related to building permit application: 6 years after building no longer exists
  e. Detailed construction specifications submitted as part of building permit application: 6 years after denial of permit or completion of work
*6.[594]

Building permit issuance data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on applications for and issuance of building permits, including related inspections, certificate of occupancy issuance, and other relevant detailed information:

NOTE: Counties should consider permanent retention of the basic data elements of this building permit issuance data for all parcels of property in the county, unless that data is preserved by the master summary record (see item no. 586, above.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice in this area.

0 after no longer needed
*7.[595] Building condemnation and demolition files, including application, copy of permit, correspondence, and notice of condemnation: PERMANENT
*8.[596] Contractors' liability insurance records  
  a. Certificate of insurance or copy of insurance policy: 6 years after denial or expiration of relevant permit
  b. Master summary record of contractors doing business in county and their insurance coverage: 1 year after superseded or obsolete
*9.[597]

Building complaints/violations records, including data file contained in building/property history system, and related records, containing information on complaint tracking and violation processing, and other relevant information:

NOTE: For citizen complaints and requests for services, not covered by items in this section, see item no. 33 in the General section. For sanitary code violations, see item no. 173 in the Environmental Health section.

NOTE: Counties should consider longer retention of the basic data elements of this complaints/violations data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 586, above.) This information may be useful for long-range planning purposes in conjunction with building permit issuance and building inspection data. Contact the State Archives for additional advice.

6 years

 

PLANNING

 

1.[340] Comprehensive plan development file, including but not limited to official copy of comprehensive plan and all background surveys, studies, reports, and draft versions of plan: PERMANENT
*2.[598]

Planning action data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on mandatory or discretionary planning review, planning projects, and other relevant detailed information:

NOTE: Local governments should consider permanent retention of the basic data elements of this planning action data for all parcels of property in the local government, unless that data is preserved by the building/property history system overall summary data file (see item no. 586, above.) This information may be useful for long-range planning purposes, and for community and land use history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

0 after no longer needed
3.[341] Planning project or program file for project or program developed by or for planning agency  
  a. Final report and essential supporting information used to develop report, including but not limited to maps, plans, technical memoranda and environmental impact studies: PERMANENT
  b. Background material, including but not limited to notes, memos, worksheets and correspondence: 6 years
4.[342] Master summary record (log or register) maintained by planning agency to record receipt of planning or zoning reviews and projects, and to record subsequent action taken: PERMANENT
5.[343] Geographic reference file maintained by planning agency for internal reference purposes, usually arranged by name of government agency or other service organization: 0 after obsolete
*6.[344] Mandatory planning review case file for required review of site plan, zoning variance, special permit, change of zoning, subdivision creation or enlargement, municipal planning action, or other required review, including but not limited to maps, plans, sketches, photographs, engineering reports, environmental impact statements and studies, copies of zoning records, project narrative, correspondence, and record of final determination  
  a. Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is approved or denied (except records covered by part "d"): PERMANENT
  b. Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is withdrawn or abandoned (except records covered by part "d"): 10 years after last entry
  c. Any other mandatory review: 6 years after last entry
  d. Detailed construction specifications, receipts and transmittal documents, lists of abutting properties, superseded versions of plans and drawings, routine correspondence and internal notes and memoranda from all files: 6 years after last entry
 

e. Informal consultation records, created as a result of informal meeting with prospective applicant, prior to actual submission of application:

NOTE: "Subdivision," as used in this item, means the division of one parcel of land into two or more lots, blocks, plots or sites.

1 year after last entry
7.[345] Discretionary planning review case file, including review of planning review cases, federal or other aid projects, review of mining permit application, environmental impact or similar studies, or other reviews, including but not limited to application, correspondence, copies of local planning or zoning records, maps, plans, sketches, and other supporting materials  
  a. When review is carried out, and comments are forwarded by planning agency: 3 years after last entry
  b. When no comments are forwarded by planning agency: 1 year after receipt of request to review

Top of page

 

ZONING

 

*1.[599] Master summary record (log or register) maintained by zoning agency to record receipt of zoning variance and special use permit applications, change of zoning applications for individual parcels, and other zoning activity, and to record subsequent action taken: PERMANENT
2.[576] Zoning maps, and all updates: PERMANENT
*3.[600]

Zoning action data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on zoning variances, special use permits, and other relevant detailed information:

NOTE: Local governments should consider permanent retention of the basic data elements of this zoning action data for all parcels of property in the local government, unless that data is preserved by the building/property history system overall summary data file (see item no. 586, above.) This information may be useful for long-range planning purposes, and for community and land use history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

0 after no longer needed
*4.[577]

Change of zoning records, including application, petition, protest, hearing minutes, preliminary and final reports and correspondence, relating to changes proposed in zoning boundaries or regulations:

NOTE: Change of zoning records relating to changes in zoning classification for individual parcels of property, not affecting other parcels or larger areas, are covered by item no. 578, below, as if these were zoning variance applications.

PERMANENT
*5.[578] Zoning variance or special permit file, including application and supporting materials, hearing results, decision and appeal records  
  a. For commercial, industrial, historic structure or multi-unit residential variance or permit (except records covered by part "c"): PERMANENT
 

b. For single-unit residential variance or permit:

NOTE: Certain single-unit residential variance and permit files may be significant because they set legal precedents and should be retained permanently. Those involving the definition of what constitutes a "family" may be particularly important.

25 years after date of last entry
  c. Detailed construction specifications, receipts and transmittal documents, lists of abutting properties, superseded versions of plans and drawings, routine correspondence and internal notes and memoranda from all files: 6 years after last entry
 

d. Informal consultation records, created as a result of informal meeting with prospective applicant, prior to actual submission of application:

1 year after last entry
6.[579] Notification of proposed zoning change, received from adjacent town: 1 year
7.[580] Zoning ordinance violation records, not related to zoning variance or special permit application  
  a. For alleged but unfounded violation: 1 year
 

b. Violation files:

6 years after date of last entry in record
  c. Master summary record of violations: PERMANENT

Top of page


COMMUNITY COLLEGE

**NOTE: The Admissions subsection has been eliminated and the single item previously found there is now in the Student Records subsection, formerly known as the Registration subsection. The Affirmative Action subsection has been eliminated; items previously found there are now covered by items in the Personnel/Civil Service and Human Rights/Economic Opportunity sections. The Health Services subsection has been eliminated; items previously found there are now covered by items in the Public Health section.

Community colleges should also consult other sections of this Schedule, especially the General, Electronic Data Processing, Fiscal, Library/Library System, Public Property and Equipment, Public Safety, and Recreation sections, for records that are held by all types of local governments.

Records of special programs not covered by specific items on this Schedule are covered by item no. 12 in the General section. These include such programs as orientation of students and staff; speakers' bureaus and other community services; veterans, servicemembers, and ROTC programs; and incubator programs, small business development services, and technical assistance/training to business and industry.

ACADEMIC AFFAIRS

 

**1.[53] Accreditation records for institutional or program accreditation by the Middle States Association of Colleges and Secondary Schools, the National League for Nursing and other organizations responsible for accrediting institutions of higher learning, including but not limited to institutional self-study documents, reports and determinations resulting from onsite visits for evaluation, and the college's response to deficiencies noted  
  a. Significant correspondence, reports, questionnaires, self-study records and reports, guides and related documents transmitted between the community college and accrediting bodies: PERMANENT
  b. Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records: 6 years after accreditation approved or denied
**2.[54] Curriculum development records, covering internal development and approval for credit, non-credit, and continuing education programs and courses  
 

a. Curriculum and related records describing course of instruction and course content, including transfer status information and course history records:

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

7 years
  b. Approved internal application for curriculum: 7 years
  c. Denied internal application for curriculum: 1 year
 

d. Curriculum planning records:

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

0 after no longer needed
**3.[55] Academic program proposals, including proposals for registration of new programs and requests for approval of changes in existing program title, HEGIS (Higher Education General Information Survey) content, credit hours, curricular content, format, and/or resource commitment  
  a. For successful registration of program: PERMANENT
  b. For failed proposal: 0 after no longer needed
4.[56] Curriculum/program registration records including approvals from the State University of New York and registration letters from the State Education Department: PERMANENT
**5.[59] Course information records  
  a. Official copy of any literature or other material made available to the public, including college catalogs and student handbooks: PERMANENT
  b. Detailed course descriptive information, including background materials and supporting documentation: 7 years after course or program discontinued
  c. Routine internal information records relating to courses, including but not limited to draft descriptions and tentative course schedules: 1 year
**6.[881] Faculty and faculty-student research records, maintained separate from faculty personnel records and student individual academic records  
  a. Published books, papers, journal articles, and other materials made available to the public: PERMANENT
 

b. Other records, including but not limited to records summarizing and publicizing research, and research files which are not the personal property of the researchers:

NOTE: Depending on the nature of the research, some of these files may be valuable for other researchers as well as in documenting research sponsored by and conducted at the college, and should be appraised for potential permanent retention. Appraisals of research files should involve consultation with both members of the faculty and acknowledged professionals in the respective field.

1 year after research concluded or otherwise terminated

 

ALUMNI

 

**1.[65] Alumni contact records including but not limited to name, address, occupation, degree attained, marital status, and summary records of financial contributions of alumni: 0 after superseded or obsolete
**2.[882] Alumni directory or other master summary record of alumni and all other degree recipients, such as published alumni catalog, providing names of alumni, years of graduation, and other information such as degrees granted and place of residence: PERMANENT

Top of page

 

ATHLETICS

 

1.[66] Player recruitment/scouting file concerning recruitment of student athletes for college sports programs, including but not limited to scouting reports, lists of prospects, recruitment proposals, and correspondence  
  a. For student athletes entering college: 3 years after graduation or date of last attendance
  b. For student athletes who do not enter college: 0 after no longer needed
2.[67] Athletic scholarship file including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, and correspondence: 6 years
**3.[70]

Athletic program records

 
 

a. Lists of athletes or participants, records of intercollegiate competitions and intramural athletics, and other records except scouting and training videotapes and other records:

NOTE: Appraise these records for historical significance prior to disposition. Official score and record books, team and action photographs, and videotapes of and programs for intercollegiate competitions may have historical value in documenting intercollegiate student athletics. Records with historical value should be retained permanently.

NOTE: Health-related records are found in the Public Health section of this Schedule. Athletic training records are covered by item no. 885, below.

6 years
  b. Videotapes, reports and other records used for scouting and training purposes: 0 after no longer needed
**4.[883]

Records of gender equity in athletics, including audit and self-evaluation records for male and female athletes and related records, including any records created pursuant to Title IX of the Education Amendments of 1972, codified in Sections 1681-1688 of 20USC, and Section 106.41 of 34CFR:

NOTE: For related reports and records on athletic program activities, see item no. 889 in the Miscellaneous subsection of this section.

6 years
**5.[884] Substance or alcohol abuse testing records for individual athlete, not included in student health services case record  
  a. Positive test results and related records: 6 years after last entry
  b. Negative test results: 3 years
**6.[885] Athletic training records, including but not limited to records of training provided individual athletes and staff: 6 years after last entry
7.[101] Athletic health information report determining student eligibility to participate in campus sports activities: 6 years

 

COUNSELING SERVICES

 

**1.[72] Student counseling records, including but not limited to request for assistance relating to emotional, psychological, personal, social, academic, or placement and career planning concerns, and also covering tutoring and mentoring services provided for and received by students: 6 years
2. [73] Academic termination record containing information about transfer to another college, reason for termination or future plans of student:

0 after no longer needed

3.[74] List of student appointments including slips, return cards or counseling schedules: 0 after obsolete
4.[75] Statistical compilation or reports of students served: 0 after no longer needed
**5.[76] Catalogs and related public relations information received from other academic, vocational or educational institutions: 0 after no longer needed
**6.[886] Career placement records, including but not limited to records of on-campus visits and interviews, job fairs, employer information sessions, and job searches, but not including individual student counseling records: 0 after no longer needed

 

DEVELOPMENT

 

**1.[78]

Donor (and prospective donor) information records containing information on individuals, organizations, foundations, or corporations:

NOTE: Detailed records of specific gifts to a community college are now covered by item no. 283 in the Miscellaneous section of this Schedule.

0 after no longer needed


DISABLED STUDENTS

 

**1.[79] Student file including but not limited to information on disability, correspondence with student's sponsoring agency, orders for special equipment, and notes of contacts with counselors: 6 years after graduation or date of last attendance
2.[81] Staff development materials relating to instructor orientation to disabled students and general disabilities: 0 after obsolete

 

FINANCIAL AID

 

**1.[84] Student financial aid records including but not limited to Free Application for Federal Student Aid (FAFSA) reports, applications for assistance, financial aid disbursement records, copies of income tax forms, financial aid transcripts from other schools, award and declination notices, verifications for non-taxable income and other tax-related records, instructor requests for work-study student, student work-study job descriptions, copies of work-study time records to verify hours with student schedule, and veteran's service information: 6 years
**2.[887]

Financial aid reports (state, federal, and other) covering multiple students, including but not limited to Tuition Assistance Program (TAP) reports:

NOTE: Appraise these records for continuing administrative or historical value prior to disposition. Records with historical value should be retained permanently. Reports containing information showing trends in student financial aid over time may be valuable for planning and other decision-making as well as research purposes.

6 years

 

FISCAL

 

1.[85] Admissions collection record, including but not limited to record of receipts and log of operations: 6 years
**2.[86]

Student's individual account records, covering credit, non-credit, or continuing education courses, housing, food, laboratory and equipment use, and other fees, charges and expenses, and also including tuition waivers:

NOTE: See item no. 210 in the Fiscal section, General Accounting and Miscellaneous subsection, for other billing records.

6 years after last entry
**3.[87] Fiscal reports submitted to or received from the State University of New York (SUNY) including operating report (budget) and annual report (year-end): 6 years

Top of page

 

HOUSING

 

**1.[102] Residency occupancy records including but not limited to room and board contracts and room assignment, and records pertaining to damage of dormitory equipment and furnishings: 6 years after expiration of contract or room assignment
2.[104] Off-campus rental records including lists of landlords and/or listings indicating apartments or rooms available: 0 after superseded or obsolete

 


INSTRUCTION

 

1.[105] Course listing created for administrative convenience, containing department list of classes: 0 after superseded
**2.[106]

Instructor's course syllabus or lesson plan:

NOTE: The community college may wish to retain representative or outstanding course syllabi for future reference, as well as any useful class reading lists or bibliographies.

0 after no longer needed by community college
**3.[107] 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: 2 years
4.[108] List of students majoring in a field of study: 0 after superseded
5.[109] Class schedule including class title, location, dates, and time of meeting: 6 years
**6.[110] Completed examination test papers and answer sheets: 6 months after course completion
**7.[888] Course or laboratory attendance records necessary to provide documentation for student financial aid or other purposes: 6 years
**8.[112] Records relating to tax-free use of alcohol for educational purposes: 6 years after expiration of permit or denial of application
9.[113] Evaluations of course instructor: 3 years
**10.[115] 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: 6 years after certificate expires
  b. Other records, including records of purchase, inventory, destruction, loss or theft: 6 years

Top of page

 

MISCELLANEOUS

 

**1.[58] Chartering documents and establishment plan concerning the community college's corporate status and degree-granting authority, including background materials: PERMANENT
**2.[118]

Fire safety inspection reports prepared pursuant to Section 807-b, Education Law:

NOTE: Although Section 807-b of Education Law authorizes community college officials to destroy these reports after 3 years, the State Archives strongly urges that the "official" or "record" copies of these reports be retained for 21 years to meet possible legal needs, including personal injury litigation that may involve minors.

3 years
3. [69] Special event file  
  a. Official copy of any program or promotional literature or photograph of events or games: PERMANENT
  b. Background materials and supporting documentation: 6 years
**4.[889]

Institutional information/reports which must be sent or made available to enrolled and prospective students and the public, under Sections 668.41, et seq. of 34CFR, including related records, exclusive of campus security records required under Section 668.46 of 34CFR

NOTE: For campus security records see item no. 891, below, as well as items found in the Public Safety section of this Schedule.

 
 

a. Financial assistance information, institutional information, completion or graduation rate information, completion or graduation rates for student-athletes report, and athletic program participation rates and financial support data report:

NOTE: Institutional information and reports may have long-term value to document college policies and the status of various college programs, especially if that information is not readily available in catalogs or other sources. For that reason, officials may wish to retain these records permanently to document these policies and programs.

6 years after issued, superseded or obsolete, whichever is later
  b. Notice of availability of information/reports as distributed or made available to enrolled and prospective students: 3 years after issued, superseded or obsolete, whichever is later
  c. Designation of employee(s) authorized to assist enrolled and prospective students obtain the information/reports: 3 years after superseded
**5.[890] Commencement records  
  a. Official copy of commencement program or other publication: PERMANENT
 

b. Other commencement records, including but not limited to copies of speeches, press clippings and press releases, and event planning and logistics records:

NOTE: Appraise these records for historical significance prior to disposition. Records such as speeches and photographs may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

6 years
**6.[891]

Campus safety records

NOTE: College security units should use the Public Safety section of this Schedule whether or not they have been recognized as accredited law enforcement agencies. This item covers records that must be maintained under Section 668.46 of 34CFR (Institutional Security Polices and Crime Statistics).

NOTE: Sexual offense or alcohol or drug abuse investigation records are covered by item no. 460 in the Public Safety section, Law Enforcement: General subsection. Lists and other records of parolees and sex offenders are covered by item nos. 468 and 830 in the Public Safety section, Law Enforcement: Miscellaneous subsection. Accident or incident reports that are not crime related are covered by item nos. 31 and 32 in the General section.

 
  a. Annual security report: PERMANENT
  b. Notice of availability of the annual security report and related records as distributed or made available to enrolled and prospective students and current and prospective employees: 3 years after issued, superseded or obsolete, whichever is later
  c. Designation of employee(s) authorized to assist enrolled and prospective students obtain the annual security report and related records: 3 years after superseded
  d. Crime statistics, including lists of crimes by location and relevant maps, other than those statistics included in the annual security report: 3 years
  e. Crime logs: 3 years
**7.[124] College-related reports, studies or data queries, including their supporting documentation, covering subjects such as institutional research, graduation rates, enrollment projections, ethnicity and other student profiles, faculty-student class ratios, honors lists, and fiscal matters  
 

a. Annual or semester reports submitted to the U.S. Department of Education, State University of New York (SUNY), or local sponsor(s), including the institutional profile, other reports, studies or queries having legal or fiscal value, and verifications of data following submission by the college:

NOTE: Appraise these records for historical significance prior to disposition. Some of these reports and studies, including their detailed documentation, may contain significant information valuable for long-term planning as well as historical and other research. Contact the State Archives for additional advice.

6 years
  b. Reports, studies or queries having no legal or fiscal value, such as daily activity or other routine internal reports: 0 after no longer needed
**8.[892] Student activity or organization records  
  a. Lists of members or participants, records of activities, competitions and performances, and other records of officially supported student activities and organizations except scouting records and scouting and training videotapes:

NOTE: Appraise these records for historical significance prior to disposition. Photographs and videotapes of programs for certain competitions and performances may have historical value in documenting student activities. Records with historical value should be retained permanently.

NOTE: Parental consents are covered by item no. 71 in the Student Records subsection. Health related records are found in the Public Health section of this Schedule.
6 years
  b. Scouting reports and videotapes used for scouting and training purposes, not associated with intercollegiate athletics: 0 after no longer needed
**9.[893] Food management records  
  a. Program participation or other legal agreement or contract, including attachments and amendments: 6 years after termination of agreement
  b. Other program records, including but not limited to application to participate as a sponsor, individual student participation application records, meal counts and dietary services studies, requisition and approval of requisition for donated commodities, menus, and fiscal records such as adding machine tapes, purchase orders, claims and vouchers: 6 years
**10.[894] Food inspection and investigation records, including inspection report for preparation or serving area and food sanitation complaint investigation records  
  a. When any significant problem is encountered: 3 years after oldest person involved attains age 18
  b. When no significant problem is encountered: 3 years

 

PRESIDENT

 

**1.[119] President's office files including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents, and also including association or organization membership files covering affiliation with or membership in professional, education or civic groups, including the National Junior College Athletic Association (NJCAA), by the college as a whole or some department or unit thereof  
  a. Where file documents a significant subject, or major policy-making or program-development process: PERMANENT
  b. Where file documents routine activity: 6 years or 6 years after expiration of contract, as appropriate

 

STUDENT RECORDS

 

**1.[60] Admission records including but not limited to application, entrance examinations and reports, letters of recommendation, transcripts from secondary schools and other colleges and universities, acceptance letters, advanced placement records, evaluations, and supporting documentation  
  a. For applicants who are accepted and attend:

NOTE: If admission records for students who enter are made part of student records, see item no. 121, below. Duplicate copies retained by a separate admissions office can be disposed of when no longer needed.
6 years after graduation or date of last attendance
  b. For applicants who are accepted and do not attend, and applicants who are not accepted:

NOTE: Community colleges may wish to keep these records longer for international students, for convenience of access by both college personnel and the prospective or accepted students.
2 years following date of exclusion or end of permitted enrollment period for accepted applicants
**2.[121] Student academic records  
  a. Student permanent academic record (transcript): PERMANENT
  b. Change of grade documents, withdrawal authorizations, graduation certification, Social Security certification, student roster and attendance verification records such as class roster, or final grade listing and student schedule: 6 years
  c. Other student records including but not limited to academic action authorizations (dismissals and/or notification of problems); employment placement records; records of internships served; records of selection for and participation in remedial assistance, second language, academic honors, or other special academic programs; and assessment of life/work experience information for academic credits: 6 years after graduation or date of last attendance of student(s) involved
  d. Change in Social Security number record, application for veteran's benefits and enrollment certification and related records: 3 years
  e. Application for graduation, change of course (drop/add) records, credit/no credit (audit) approval, name and/or sex change authorization, pass/fail request, registration form, and request by student for transcript or other record: 1 year
 

f. Unclaimed diplomas:

NOTE: Community colleges may wish to keep these records longer for convenience of both college personnel and graduates who may request their diploma at some later date.

1 year
**3.[895] Non-credit and continuing education records  
  a. Individual attendee records, including but not limited to residence verification, program participation application, summary of participant achievements and attendance, record of courses taken including grades and test results, but excluding test papers and answer sheets:

NOTE: If participation in a non-credit or continuing education course is pertinent to an enrolled student’s academic requirements, attendee records should be maintained as part of the student’s academic records as indicated by item no. 121, above.
6 years
  b. Test papers and answer sheets: 6 months
**4.[896] Student information system containing electronic information on academics, financial matters, and other aspects of student life, regardless of whether or not similar information is contained in series covered by other items found in this Schedule  
  a. Basic data on any student contained in or produced by an automated student information system, including name, age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class, courses taken, and grades:

NOTE: This information may be valuable for long-term planning and evaluation purposes by college administrators, and for instances where students reenter the college later in life. In addition, it may be useful in historical or other research. Creation of a "history file" in the information system may be a useful way to maintain this more important information. Contact the State Archives for additional advice.
6 years after graduation, date of last attendance, or financial accounting, whichever is later
  b. Detailed data on any student contained in or produced by an automated student information system, other than financial aid data: 6 years
  c. Financial aid data on any student contained in or produced by an automated student information system: 6 years or 6 years after loan is repaid, canceled or assigned, whichever is longer
**5.[122] Records of compliance with the Family Educational Rights and Privacy Act of 1974 (FERPA) and related legislation concerning access to student education records and participation in surveys on or activities in designated areas  
  a. Request for hearing on content of student education records, decision of hearing, and student statement on content of disputed record: Retain for the same period the disputed records are maintained
 

b. Record of requests for access to and disclosures of personally identifiable information from the student education records, as required by FERPA regulations:

NOTE: For records of requests for student information which are not subject to FERPA requirements, see item no. 10 in the General section of this Schedule. Requests by students for information on themselves are covered by item no. 121e, above.

Retain for the same period the requested records are maintained
 

c. Request for nondisclosure of directory information or non-participation in surveys on or activities in designated areas:

1 year after request is terminated or is no longer valid or 1 year after the concerned records are no longer maintained
  d. Consent for records disclosure: 1 year after consent is terminated or 1 year after the concerned records are no longer maintained
  e. Waiver of right to inspect and review confidential letters and statements placed in student education records: 1 year after waiver is terminated or 1 year after the concerned records are no longer maintained
  f. Directory Information Policy Statement: PERMANENT
  g. Annual or other notice of rights under FERPA or related legislation concerning access to student records or participation in surveys on or activities in designated areas: 3 years after issued or superseded or obsolete, whichever is later
6.[123] Proof of residence records
 
  a. Community college copy of certificate of residence: 6 years
  b. Lists of students residing in different political jurisdictions: 1 year after superseded or obsolete
**7.[125] Scholarship records  
  a. Individual scholarship file including but not limited to applications, list of eligible candidates, list of competition winners and alternates, recommendations, authorization of awards, financial statements, accounting data, reports, and correspondence: 6 years
  b. List of scholarships awarded students: PERMANENT
**8.[897] Records of gifts and prizes (other than scholarships) awarded students: 3 years
**9.[898] Student degree and grade audit records, other than those found in the student academic records, covered by item no. 121, above: 6 years
**10.[899] Student disciplinary records, including but not limited to suspension notice, suspension hearing record, probationary condition adherence record, expulsion records, correspondence, fine assessment, and related records: 6 years after the end of the academic year
11.[117] Student grievance records including but not limited to grievance, investigative records, hearing proceedings, decision rendered, student appeal, records of arbitration procedure, final decision and correspondence: 6 years after grievance resolved
**12.[900] Recruitment records, other than recruitment of individual student athletes, including but not limited to plans and strategies, lists of potential students, records of socio-ethnic composition of student body, records of college planning workshops and visits by parents and prospective students, and relevant statistics, exclusive of records of individual prospective students as covered by item no. 901, below: 3 years
**13.[901] Records relating to individual prospective students who do not apply for admission, including resumes: 1 year
14.[71] Parental consent record: 6 years
**15.[902] Nursing education program eligible list of candidates, received from New York State Education Department: 3 years after the end of the academic year

Top of page

 

COMMUNITY DEVELOPMENT/ URBAN RENEWAL

 

**1.[126] Master summary record (log or register) documenting all activity of agency, covering housing rehabilitation, tenant relocation, economic development, property acquisition and resale, program participant applications, loan or mortgage issuance, special projects and various contacts: PERMANENT
2.[127] Federal assistance application submitted annually to U.S. Department of Housing and Urban Development or successor agency: PERMANENT
**3.[903] Denied or withdrawn applications for participation in any community development program: 3 years
**4.[904] Financial and statistical reports, studies or data queries, including their documentation  
  a. Reports, studies or queries having legal or fiscal value, including annual reports created from Integrated Dispersal and Information System (IDIS) or other automated system:

NOTE: Appraise records covered by part “a” for archival value. Reports and studies containing data needed to supplement or explain narrative reports (which are maintained permanently and are covered by item no. 23 in the General Section) may be valuable as well as the narrative reports themselves. Contact the State Archives for additional advice.
6 years
  b. Reports, studies or queries having no legal or fiscal value, such as daily activity or other routine internal reports: 0 after no longer needed
**5.[128]

Case files of community development or urban renewal agency

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Contact the State Archives for additional advice.

 
  a. Economic development case file, including but not limited to application, copy of loan approved, financial statements, progress reports, copies of plans and specifications, and correspondence: 6 years after final payment on loan
  b. Business or resident relocation case file, including but not limited to vacation notice, income and need determination records, field reports, estimates of expenditures, copies of property acquisition records, rent collection records and correspondence: 6 years after last entry in record, final payment on loan or discharge of mortgage, whichever is later
  c. Housing rehabilitation case file, including but not limited to application, notice of approval, contract, grant or loan agreement, copies of real property records, building department records, rental assistance records, specifications, property description, certificate of completion and correspondence: 6 years after completion of project, final payment on loan or discharge of mortgage, whichever is later
 

d. Property acquisition case file, including but not limited to maps, plans and specifications; rent collection records and copies of tenant relocation records; demolition records; records of property improvements; advertisements of property for sale; bids and records of bid acceptance or refusal; property description; appraisal and eminent domain records, and correspondence:

NOTE: Rent collection records and copies of tenant relocation records need only be retained for 6 years.

6 years after sale of property by local government
  e. Property purchase and resale case file, such as F.H.A. or real property tax foreclosure, including but not limited to copies of real property records, foreclosure records, copies of building department records, property description, records of property improvements, advertisement of sale, bids and records of bid acceptance or refusal, copy of sale agreement and correspondence: 6 years after sale of property by local government, final payment on loan or discharge of mortgage, whichever is later
  f. Public/community service project case file, including but not limited to project applications, interim financial and progress reports, inspection reports, notes and correspondence, but excluding final reports: 6 years after completion of project
  g. Final reports on public/community service projects: PERMANENT
  h. Home acquisition program case files, financed by federal HOME program or other funding source, including but not limited to application, review records and copies of mortgage documents: 6 years after date of most recent entry in record, final payment on loan or discharge of mortgage, whichever is later
  i. Housing investigation case record for lead poisoning, when investigation is not part of case files covered by other parts of this item: 7 years after case closed
  j. Vouchers and financial claims for payment or reimbursement related to community development cases: Retain as long as related case file is retained
 

k. Photographs, architects' plans and sketches of buildings, streets and urban areas from all case files:

NOTE: Appraise these records for historical significance prior to disposition. Some photographs, plans and sketches may have continuing value for architectural, historical or other research and should be retained permanently. Contact the State Archives for additional advice.

6 years after building no longer owned by local government
*6.[279] Lower income housing rental assistance records (created under Section 8 of the Housing and Community Development Act of 1974)  
  a. Master summary record (index, log or register) of applications and payments: PERMANENT
  b. Case file, including but not limited to applications for assistance, eligibility determination records, certifications, worksheets, correspondence and rental agreements: 6 years after denial of application, termination of agreement or close of case

Top of page

 

COOPERATIVE EXTENSION ASSOCIATION

BASIC ADMINISTRATIVE RECORDS

 

1.[129] Organizational and establishment records, including constitution, bylaws and approval of organization and administration by Cornell University: PERMANENT
2.[130] List of members, "enrollment" or equivalent record: PERMANENT
3.[131] Lists of board members, officers, agents and employees (known as "organization reports"): PERMANENT
4.[132] Election records  
  a. Election results: PERMANENT
  b. Ballots, nominations, tabulations and other election records: 1 year after election
5.[133] Program records on individual courses or programs offered the public  
  a. Official copy of any literature or other material available to the public: PERMANENT
  b. Summary record describing course or program offering and/or its progress and results: PERMANENT
  c. Listing of participants: 6 years
 

d. Other course or program materials:

1 year after course or program discontinued
  e. Advice and referral records, covering information provided to individuals in person or over the telephone or Internet, including but not limited to telephone logs and individual call records: 6 months
6.[134] Program or other non-fiscal audit or review conducted by Cornell University or other agency  
 

a. Report and recommendations:

PERMANENT
  b. Background materials and supporting documentation: 6 years
*7.[601] Copies of exempt organization income tax records, including all records generated to assist Cornell University in filing income tax return for county associations, and copy of filed tax return: 6 years

 

FOOD AND NUTRITION EDUCATION PROGRAMS

 

*1.[602] Reports resulting from Expanded Food and Nutrition Education Program (EFNEP), or similar program  
  a. Annual or final reports: PERMANENT
  b. Quarterly, monthly or other periodic reports: 2 years
*2.[603] Case record of family participating in Expanded Food and Nutrition Education Program (EFNEP) program, or similar program, including but not limited to plan of work, work reports, diagnostic reports, progression record: 1 year after becoming inactive
*3.[604] 4-H youth participant records for Expanded Food and Nutrition Education Program (EFNEP) program, or similar program, including lists of participants, enrollment records and lists of youth contacts: 6 years
*4.[605] List, log or other summary record of visits resulting from Expanded Food and Nutrition Education Program (EFNEP) program, or similar program: 6 years
*5.[606] Master summary record of families served by Expanded Food and Nutrition Education Program (EFNEP) program, or similar program: PERMANENT
*6.[607] Records relating to persons not served by Expanded Food and Nutrition Education Program (EFNEP) program, or similar program, including eligibility screening records, withdrawn applications, and referrals: 2 years

 

MISCELLANEOUS

 

*1.[608] Farm animal disease test records  
  a. Cattle disease test records, including but not limited to summary report for each herd (to which test results have been posted), brucellosis or tuberculosis test results and calf vaccination report: 10 years
  b. Inspection and related records for farm animals other than cattle: 3 years
*2.[609] Log or index of seniors served by local aging services program: 6 years
*3.[610] Individual senior services client file, including but not limited to screening records, applications, evaluations, and follow-up report: 6 years after last entry
*4.[611] Surplus food distribution records, covering federally donated food and related commodities, including but not limited to inventory, order form, eligibility determination records, authorizing receipt and reports on storage and distribution: 4 years
*5.[612] Records created in the establishment, change, or dissolution of a county agricultural district, regardless of approval or denial: PERMANENT
*6.[613] Soil test results for farmland soil sample, including nutrient analysis and recommendations: 3 years
*7.[614] Dairy farm business summary records  
  a. Annual farm business summary for individual farm: PERMANENT
 

b. Data entry and other records, used in compiling summary record:

0 after no longer needed
 

c. Summary data and other information for all participating farms:

PERMANENT
*8.[615] Watershed farmer's case file, including but not limited to farm management assessment, environmental assessment, plan evaluation, whole farm plan and supporting data: PERMANENT
*9.[616] Tractor, equipment or firearm safety training records  
 

a. Official training records, including parental consent, certificate of training and summary of attendance and test results:

6 years, but not less than 3 years after attendee attains age 18
  b. Listing of course participants, and detailed attendance records: 6 years
  c. Summary record describing course or program offering and/or its progress and results: 6 years after course or program no longer offered
  d. Other course program materials: 1 year after course or program discontinued

 

DISASTER PREPAREDNESS

 

*1.[135]

Disaster preparedness or crisis relocation records

 
  a. Official copy of plans, including supporting maps, when prepared by local government under provisions of Section 23, Executive Law: PERMANENT
  b. 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: 3 years after superseded
  c. Background materials and supporting documentation used in preparation of plans: 3 years
*2.[136] Disaster response and damage files compiling information on the response of all agencies to a major 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: PERMANENT

Top of page

ECONOMIC/INDUSTRIAL DEVELOPMENT

 

*1.[137]

Business/industry loan case file, including but not limited to loan application and evaluation, status reports, records of loan payments, tax abatement and exemption records, feasibility studies and correspondence:

6 years after denial of application or 6 years after final payment on loan
2.[138] Master summary record (log or register) documenting contacts and inquiries and resulting responses and actions taken by agency personnel: PERMANENT

 

EDUCATIONAL OPPORTUNITY CENTER

 

*1.[618]

Program approvals for center and/or program operation, including approvals from State University of New York (SUNY) and New York State Education Department (SED):

PERMANENT
*2.[619] Establishment records for educational opportunity center or former urban center: PERMANENT
*3.[620] Annual or other summary statistical report relating to enrollment, graduations, terminations, student finances, ethnicity and grades: PERMANENT
*4.[621] Director's office files including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents  
  a. Where file documents a significant subject, or major policy-making or program-development process: PERMANENT
  b. Where file documents routine activity: 6 years
*5.[622] Course informational program file  
  a. Official copy of any literature or other material made available to the public: PERMANENT
  b. File on each instructional course or program: 1 year after course or program discontinued
*6.[623] Curriculum development records including but not limited to course worksheets, evaluations, and recommendations: 7 years
*7.[624] Official copy of course listing: PERMANENT
*8.[625] Course outline: 6 years
*9.[626] Class record including class number and title, location, date and time class meets, student attendance: PERMANENT
*10.[627] Admissions data including but not limited to acceptance letter, application, income eligibility records, placement testing records, letters of recommendation, and transcripts from schools  
  a. For applicants who enter (when not included in student folder): 6 years after graduation or date of last attendance
  b. For applicants who do not enter whether accepted or not: 2 years following date of admission or exclusion
*11.[628] Student folder  
 

a. Basic documentation, including but not limited to course or program application or registration, income eligibility records, graduation report, reports of grades (including change of grade records), summary attendance information, termination records, name change records, social security number change records, application for veterans' benefits, student counseling records and student summary disciplinary records:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Educational opportunity center student records covered by part "a" may be valuable in documenting EOC services to economically and educationally disadvantaged persons in the center's service area. Contact the State Archives for additional advice.

6 years after graduation or date of last attendance
  b. Supplemental documentation, including but not limited to test papers and answer sheets, copy of high school equivalency diploma, copies of and requests for transcripts and routine correspondence: 1 year
*12.[629] Student's attendance record (register), including but not limited to each student's name, address, and daily attendance, absence and tardiness: 6 years
*13.[630] Student request for counseling or assistance relating to emotional, psychological, personal, social, academic, or vocational concerns: 6 years
*14.[631] Termination record containing academic, attendance-related or disciplinary termination information not contained in student folder: 0 after no longer needed
*15.[632] Student grievance records including but not limited to grievance, investigative records, hearing proceedings, decision rendered, student appeal, records of arbitration procedure, final decision and correspondence: 6 years after grievance resolved
*16.[633] Student disciplinary records (other than those contained in student folder) including but not limited to suspension or disciplinary notice, hearing record, and correspondence: 6 years
*17.[634] List of students enrolled in specific course or program: 0 after superseded
*18.[635] Class schedule including class title, location, dates, and time of meeting: 6 years
*19.[636] College preparation or other examination records (examination results being posted to student folder), including examination questions, test papers and answer sheets: 1 year
*20.[637] Statistical compilation or reports of students provided counseling services: 0 after no longer needed
*21.[638] Request for academic, attendance or other information on disabled student from Vocational and Educational Services for Individual With Disabilities (VESID) of State Education Department, or other agency: 6 years
*22.[639] Periodic (other than annual) fiscal reports submitted to the State University of New York (SUNY): 6 years
*23.[640] Radiation use log including user name, date, film size, quantity, screen, and length of time in facility where radiation is in use: 4 years after graduation

Top of page

 

ELECTION

 

*1.[139]

Voter registration records, including register of voters and pollbook:

NOTE: Appraise these records for historical significance prior to disposition, especially when not duplicated at a county board of elections. Records with historical value should be retained permanently. Even though certain voter registration records are retained permanently by county boards of elections, municipalities and districts may wish to retain these records longer, if not permanently, for convenience of reference and for research purposes, if they contain information not found at county boards. See also item no. 150, below. Contact the State Archives for additional advice in this area.

5 years
*2.[140] Vote recording and tabulating records  
 

a. Sample ballot:

PERMANENT
  b. Voted ballot: 1 year after election
  c. Application for absentee ballot: 30 days after election
  d. Final election results, including election inspectors' return and statement of canvass (where information is not duplicated in report of final election results) and election result reports from town, city, village, or district clerk, or county board of elections: PERMANENT
  e. Intermediate records used to compile final election results, including tally sheets, voting machine tabulation, detailed breakdown of results by wards or election districts and election inspectors' returns and statements of canvass (where information is duplicated in report of final election results): 1 year after election
3.[141] Election readiness records, including certification of testing of voting machines, record of ballot delivery, or similar records: 1 year after election
4.[142] Election officials' appointment records, including notice of appointment, oath of office, and record of service: 1 year after election
5.[143] Notification and publication of notice of forthcoming election  
  a. Official copy of election notice: PERMANENT
 

b. Proof of publication or posting, certification and listing of notice posting, copy of newspaper notice and certification of offices to be voted for at forthcoming election:

1 year after election
*6.[144]

Referendum records, covering any question, recall or special election, including but not limited to actual petitions, records of signature verification and correspondence

NOTE: Certain records documenting establishment, incorporation, annexation, consolidation, dissolution or charter revision must be retained permanently; see item no. 280 in the Miscellaneous section.

 
  a. Summary records documenting request or need for referendum, such as records of public hearing, narrative justification accompanying petition, reports and correspondence dealing with pros and cons of issue at question: PERMANENT
 

b. Other referendum records, including actual petitions, records of signature verification and routine correspondence:

1 year after election
*7.[145] Election officials' training and qualifications records: 3 years
8.[146] Candidate designation or nomination records, including petitions, certificate, declination of nomination, objection to nomination, and related records: 1 year after election
9.[147] Certificate of acceptance of office:
1 year after person leaves office
*10.[148]

Election challenge or investigation records:

NOTE: Appraise these records for historical significance prior to disposition. Records which document significant investigations and challenges to election results may possess historical value and should be retained permanently. Contact the State Archives for additional advice.

6 years after last entry
*11.[149]

Records of election financing and/or campaign receipts, contributions and campaign expenses, including attached copies of political advertisements and literature, including but not limited to report of campaign receipts and expenditures, waiver of report, party committee's designation of treasurer and depository and statement of authorization or non-authorization by candidate:

NOTE: Campaign financing is a major public policy issue. Therefore, the State Archives preserves state-level campaign finance records and the New York City Board of Elections preserves City campaign finance records. Preservation of these archival records will maintain vital evidence for future research about campaign financing. County boards of elections have the option to preserve these financing statements longer than 5 years if they find the need to do so. Likewise, local governments may wish to preserve all or some campaign finance records beyond the five year minimum in those instances where the elections involved are hotly contested and serious local issues are involved. Contact the State Archives for more advice if necessary.

5 years
*12.[150] Informational records received from county board of elections, including lists of election officials, enrollment or registration lists, district maps and instructional materials: 0 after superseded or obsolete
*13.[641] Agency assisted voter registration records  
 

a. Signed declination form, containing person's declination to register to vote:

22 months
  b. Participating agency's copies of transmittal forms, used to accompany copies of completed voter registration applications or change of address forms, submitted to county board of elections: 1 year

 

ELECTRIC AND GAS UTILITY

 

1.[151]

Operational permit records, including application, copy of permit and correspondence:

6 years after denial of application or expiration, renewal or revocation of permit
*2.[152]

Construction, modification, demolition or retirement records for electric or gas production plant and transmission and distribution system, including but not limited to detailed construction specifications and other supplementary documentation, progress and completion reports, work orders, memoranda, worksheets, records of inspection and work evaluation and correspondence:

NOTE: Appraise these records for historical significance prior to disposition. Significant records deriving from the construction, retirement or other major changes in municipal power facilities may have long-term value deriving from and relating to the importance of these facilities in the community and should be retained permanently. Contact the State Archives for additional advice.

10 years after retirement of plant or system
3.[153] Gas and electric utility reports  
 

a. Station or system power generation report:

25 years
  b. Station or system inspection report, including operating tests: 6 years
  c. Inspection and repair reports on street openings, such as for correcting gas leaks: 6 years
  d. Analysis of gas produced and purchased, including BTU and sulfur content: 6 years
  e. Gas measuring records: 3 years
  f. Gas pressure department reports: 3 years
4.[154]

Substation, transformer, pole, tower or generator records, or records of other specific component part of system, including sketches and measurements; and installation, maintenance and discontinuance information:

NOTE: All records relating to any gas pipeline designed to operate at 125 PSIG or more must be retained as long as that pipeline remains in service, per Section 255.17 (b) of 16NYCRR.

6 years after component part replaced or its use discontinued
5.[155] Log book of electric or gas plant or any part of electricity or gas production, transmission and distribution system: 6 years after last entry
6.[156] Charts, graphs and related data recording records  
 

a. Summary chart, graph or equivalent record compiled from records of original entry showing long term trends and developments:

PERMANENT
  b. Recording chart or other record of original entry, including load curve; and temperature, pressure, specific gravity or water level chart: 3 years
  c. Gas measuring records, when information is transferred to summary record: 6 months
  d. Gas measuring records, when information is not transferred to summary record: 1 year
  e. River flow data collected in connection with hydro-electric plant operation: PERMANENT
7.[157] Municipal lighting records, including but not limited to installation, repair, inspection and replacement records for street lights and other lighting devices: 6 years after device no longer in use
8.[158] Subsidiary ledgers or journals of electric or gas utility: 50 years
9.[159] Service interruption records, including but not limited to storm damage, downed and severed power lines, circuit overloading or other related power failure or transmission problem, or apparatus failure reports for gas utility: 6 years
10.[160] Board of Fire Underwriters' certificate:
3 years
11.[161] Records of electric or gas meter tests:
2 years after subsequent test conducted, but not longer than 6 years
12.[162] Electric or gas meter history records:
0 after meter no longer in use

Top of page

 

ELECTRONIC DATA PROCESSING

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. This item does not include local government 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:

0 after superseded or obsolete
*2.[643] Information resources management and data processing services plans, local government IRM plans, 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:

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 the local government. Contact the State Archives for additional advice in this area.

Retain for 3 planning cycles after the plan is completed, superseded, or revised.
  b. Copies, drafts, and routine material: 0 after no longer needed
*3.[644] Data processing policies, records of data processing policies including those covering access and security, systems development, data retention and disposition, and data ownership: 3 years after policy is withdrawn, revised, updated, or superseded
*4.[645] Data processing product/vendor and state contracts reference files, information on data processing equipment, software, and other products and their vendors: 0 after no longer needed for reference

 

SYSTEMS AND APPLICATION DEVELOPMENT

 

*1.[646]

Application development project files, 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. This item does not cover system or application documentation (see item nos. 647 and 648):

NOTE: In some circumstances, local governments may wish to maintain these files longer for reference. All relevant information and final documentation should be contained in system and application documentation files (see item nos. 647 and 648.

3 years after completion of project
*2.[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"), 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. This item does not cover data documentation and other records used to explain the meaning, purpose, or origin of data (see item no. 648): 3 years after discontinuance of system, but not before system data is destroyed or transferred to new operating environment
*3.[648]

Data documentation, 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):

NOTE: In some cases, local governments will retain data for extended periods, sometimes offline. It is essential that they 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. 647 may also serve to explain how data was interpreted and used. Contact the State Archives for additional advice in this area.

3 years after discontinuance of system or application but not before system's or application's data is destroyed or transferred to a new structure or format
*4.[649]

Automated program listing/source code, automated program code which generates the machine-language instructions used to operate an automated information system:

NOTE: This item coincides with item no. 656, system backup files. It assumes that the files are maintained (backed-up) and disposed in accordance with accepted data processing practice; i.e., that 3 generations of backups be retained (see item no. 656).

Retain for 3 system update cycles after code is superseded or replaced.
*5.[650]

Technical program documentation, paper copy of program code, program flowcharts, program maintenance log, system change notices, and other records that document modifications to computer programs:

NOTE: Local governments may consider retaining documentation for critical systems for a longer period. Contact the State Archives for additional advice in this area.

1 year after replacement, modification, or related programs cease to be used
*6.[651] Test database/files, routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system: 0 after no longer needed, but not before user accepts and management reviews and approves test results

Top of page

 

COMPUTER OPERATIONS AND TECHNICAL SUPPORT

 

*1.[652]

Data processing operating procedures, records of procedures for data entry, the operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation:

3 years after procedure is withdrawn, revised, updated, or superseded
*2.[653]

Data processing hardware documentation, records documenting the use, operation, and maintenance of a local government's data processing equipment including operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems:

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 in the General section.

0 after the local government no longer uses related hardware and all data is transferred to and made useable in new hardware environment
*3.[654] Operating system and hardware conversion plans, records relating to the replacement of equipment or computer operating systems: 1 year after successful conversion
*4.[655]

Disaster preparedness and recovery plans, records related to the protection and reestablishment of data processing services and equipment in case of a disaster:

NOTE: The State Archives recommends that local governments store disaster preparedness and recovery plans in a secure area off-site from the computer installation to which they refer.

0 after superseded by revised plan
*5.[656]

System backup files, 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:

NOTE: Backups used to document transactions or retained for purposes other than system security are covered by the relevant sections of this schedule. For fiscal systems, monthly system backups are often retained for the entire fiscal year to provide an audit trail, and annual system backups are retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases. These records should be disposed using items from the Fiscal section of this schedule. It is advisable that for many application systems 2 or 3 copies of backups be produced during each cycle.

0 after 3 system backup cycles
*6.[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:

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

0 after the individual no longer has access to the system, but not before audit requirements for the records modified by that individual have been met.
*7.[879] Computer system security records, records used to control or monitor the security of a system and its data, including but not limited to intrusion detection logs, firewall logs, logs of unauthorized access, and other security logs: 10 years after date of last entry
*8.[658] Computer usage files, electronic files or automated logs created to monitor computer system usage including but not limited to login files, system usage files, charge-back files, data entry logs, and records of individual computer program usage: 0 after 3 system backup cycles
*9.[659] Summary computer usage reports, summary reports and other paper records created to document computer usage for reporting or cost recovery purposes: 1 fiscal year after creation
*10.[660] Computer run scheduling records, records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run: 0 after end of current fiscal year
*11.[661]

Input documents, 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:

NOTE: Input records retained for fiscal audit or legal purposes, or, containing information needed by a local government, are covered by the relevant section of this schedule. Input records that document valid transactions are covered by item no. 663. Input records which serve a fiscal audit purpose may be covered by items in the Fiscal section of this schedule.

0 after all data has been entered into the system and, if required, verified
*12.[662] Work/intermediate files, 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, including "macro" or "startup" file or other electronic record 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:

NOTE: This data may have secondary value beyond the purpose for which it is created. Consider additional uses for this data in determining when it is no longer needed.

0 after 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:

NOTE: This item does not cover intermediate files retained to recreate or document valid transactions, to serve as an audit trail, or needed for system recovery backup.

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

NOTE: A local government's ability to recreate or properly document the output may be tied to long-term retention of these records. Contact the State Archives for additional advice regarding the long-term retention of electronic records.
Retain as long as the reports, studies and other principal records for which the file is created are retained.
*13.[663]

Valid transaction files, records used to update and/or document a transaction in database or master file including valid transaction files, database management system (DBMS) log, update files, and similar records, and not retained to document a program unit action or for fiscal audit purposes:

NOTE: Records used to document a program unit's actions (e.g., receipt of a voucher, issuance of a check), as opposed to a strictly data processing transaction, or needed for fiscal audit or legal purposes, are covered by the relevant sections of this schedule.

0 after 3 database/master file backup cycles
*14.[664]

Print files (not used to document a transaction), 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 audit purposes or to document program unit transactions:

NOTE: Print files needed for fiscal audits or retained to document transactions are covered by the relevant sections of this schedule.

0 after all print runs are completed, output verified (if required), and local government has no need to reproduce the report
*15.[665] Audit trail files, data generated during the creation of a master file or database used to validate a master file or database during a processing cycle: 0 after 3 database/master file backup cycles
*16.[666] Data processing unit's copies of output reports, data processing unit's copy of output reports produced for client program units: 0 after output is distributed
*17.[667]

Summary or extracted data files, summary or aggregate data from a master file or database, including "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:

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, or in both formats, may warrant longer retention. Contact the State Archives for additional advice on the creation and maintenance of these records.

0 after data is distributed
*18.[668]

Finding aids (indexes) or tracking systems, 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:

NOTE: Finding aids and tracking systems of program units other than data processing units are covered by the relevant sections of this schedule and are frequently covered by the same item covering related program records.

0 after the related hard copy or electronic records have been destroyed
*19.[669] Automated tape library system files, automated records used to control the location, maintenance, and disposition of magnetic media in a tape library: 0 after related records or media are destroyed or withdrawn from the tape library
*20.[670] Reports on the destruction of files ("scratch reports"), records containing information on the destruction of files stored on electronic media in a tape library: 0 after superseded or (if required) management review and approval
*21.[671] Tape library control records, records used to control the location, maintenance, and disposition of magnetic media in a tape library including list of holdings and control logs: 0 after superseded

 

DATA ADMINISTRATION

 

*1.[672]

Data/database dictionary records, usually in an automated system, used to manage data in a local government'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:

0 after discontinuance or modification of the related application but not before the application's data is destroyed or transferred to a new structure or format
*2.[673]

Data/database dictionary reports, periodic printouts from a data/database dictionary system including data element attribute reports, database schema, and related records used for reference purposes:

NOTE: The official copy of essential data documentation is covered by either item no. 648 or no. 672.

0 after superseded or obsolete

Top of page

 

USER/OFFICE AUTOMATION SUPPORT

 

*1.[674]

Site/equipment support files, 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: 3 years after creation
  b. Service histories and other summary records: 0 after the related equipment is no longer in use
*2.[675] Help desk telephone logs and reports, 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: 1 year after creation
*3.[676] Software review files, records related to the review and recommendations for software for local government use including vendor information, manuals, software reviews, and related material: 0 after obsolete

 

NETWORK/DATA COMMUNICATION SERVICES

 

*1.[677]

Network site/equipment support files, 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: 3 years after creation
  b. Service histories and other summary records: 0 after the related equipment or site is no longer in use
  c. Routine records that do not contain substantial information on the maintenance history or site: 1 year
*2.[678] Inventories of circuits, automated or paper records containing information on network circuits used by the local government including circuit number, vendor, cost per month, type of connection, terminal series, software, contact person, and other relevant information about the circuit: 0 after the circuit is no longer used by the local government
*3.[679] Network or circuit installation and service files, copies of requests by local governments to service provider for data communication service, installation, or repair and response to the request including work orders, correspondence, memoranda, work schedules, and copies of building or circuitry diagrams: 1 year after request is filled or repairs are made
*4.[680] Network usage files, electronic files or automated logs created to monitor network usage including but not limited to login files and system usage files: 0 after 3 system backup cycles after creation
*5.[681] Network usage reports, summary reports and other records created to document computer usage for reporting or other purposes: 1 fiscal year after creation
*6.[682] Network implementation project files, local government records used to plan and implement a network including reports, justifications, working diagrams of proposed network, wiring schematics, and diagrams: 0 after superseded

 

INTERNET SERVICES

 

*1.[683]

Internet services logs, electronic files or automated logs created to monitor access and use of local government services provided via the Internet, including, but not limited to, services provided via FTP (file transfer protocol), or website, or Telnet services:

0 after 3 backup cycles, but not before relevant audit and documentation requirements have been met
*2.[684] Employee Internet use logs, electronic files or automated logs created to monitor and control use of the Internet by employees, including but not limited to proxy server logs: 0 after 3 backup cycles, but not before any appropriate review and verification

Top of page

 

ENERGY

 

*1.[167]

Energy consumption monitoring records showing use of electricity or fuel or operation of heating and/or cooling equipment, or energy audit, when not relating to facility owned or operated by local government:

NOTE: 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, is covered by item no. 878 in the Public Property and Equipment section.

1 year
*2.[685] Weatherization client case files, covering assistance provided to individuals and families to improve heating efficiency and reduce fuel expenditures, including but not limited to application, income documentation, description of property and work needed to improve heating efficiency, results of energy efficiency testing, description of work performed, copies of fuel bills, fuel information form, landlord agreement, notes and correspondence: 6 years after date of last entry
*3.[686] Master listing of clients participating in weatherization program: 6 years
*4.[687] Annual state plan (final copy) for weatherization assistance program: 6 years
*5.[688] Status report on clients referred to local subgrantee agency: 1 year
*6.[689] Interagency referral form, maintained by referring agency: 1 year

Top of page

 

ENVIRONMENTAL HEALTH

NOTE: Records relating to laboratories are listed in the Public Health section, Laboratory subsection. Radiological health records are now found in that section as well. Lead poisoning records are covered by item no. 406 in the Public Health section, Miscellaneous subsection.

 

ANIMAL INDUSTRY AND VETERINARY MEDICINE

NOTE: See also item no. 608 in the Cooperative Extension Association section, Miscellaneous subsection.

 

*1.[168] Rabies and animal bite records  
  a. Antirabies protection certificate: 5 years
  b. Records concerning certification of area for rabies, including but not limited to correspondence, notices, and copy of resolution:
20 years
  c. Investigation records for bite or other potentially dangerous contact with animal, including potentially rabid animal: 6 years

 

MISCELLANEOUS

 

1.[169]

Environmental disturbance permit file:

PERMANENT
2.[171] Property acquisition or regulation file documenting acquisition of real property or easements for drainage control or other environmental health purposes: PERMANENT
*3.[172] Master summary record of applications relating to realty subdivisions, private water supply, private sewage disposal systems, or hazardous substance (or petroleum) spill, release or investigation records: PERMANENT
*4.[170] Spill, release or investigation records covering hazardous substance or petroleum  
  a. Records of investigation of spill or release of hazardous substance exceeding minimum reportable quantity (as defined in 6NYCRR, Section 597.2, Table 1): PERMANENT
  b. Records of investigation of spill or release of hazardous or toxic substance not exceeding minimum reportable quantity (as defined in 6NYCRR, Section 597.2, Table 1): 7 years after close of investigation
  c. Records of investigation of spill or release of petroleum (as defined in 6NYCRR, Section 597.1 (7)) exceeding 25 gallons: PERMANENT
  d. Records of investigation of spill or release of petroleum (as defined in 6NYCRR, Section 597.1 (7)) not exceeding 25 gallons: 7 years after close of investigation
*5.[173] State and local sanitary and related code violation records, including locally enacted regulations, such as "clean indoor air acts"  
  a. Violation files: 3 years after violation abated
  b. Alleged but unfounded violation files: 1 year after last entry
  c. Master summary record (log or register) of complaints, violations and inspections: 3 years after last entry
*6.[690] Records of minor repairs, enlargements or cleaning of drainage ditches, or in drainage districts, including but not limited to those defined in Sections 15-1943 and 15-1945, Environmental Conservation Law: 6 years after date of completion of work
*7.[691] Hazardous waste site identification records, including survey of suspected hazardous waste disposal sites, including that created pursuant to Section 27-1303, Environmental Conservation Law; copy of state registry listing of sites for a specific jurisdiction; review of registry listings; and determination and notification records for newly identified sites: PERMANENT
*8.[692] Informational copies of reports and studies, received from environmental facilities or from county or state agencies, including copies of reports created pursuant to Section 5-1.72 of 10NYCRR, public health hazard notification, or relating to unsatisfactory water samples, watershed rules violations, and water quality monitoring violations, including testing records and records of action taken by supplier of water to correct violations:
0 after no longer needed

Top of page

 

ENVIRONMENTAL FACILITIES: GENERAL

 

*1.[693]

Capital construction or public improvement project file for environmental facility, covering water treatment plant; public water supply system; wastewater treatment plant and disposal system; and solid waste management facility (including landfill gas recovery facility)

 
 

a. Feasibility studies; successful bids; plans, specifications and designs; project description; in-progress and completion photographs; construction inspection reports; final or "as built" plans, maps, designs, sketches, architectural drawings and photographs; environmental impact statement; annual project statement; fiscal and other final reports; significant change orders; retrofitting records; and significant correspondence:

NOTE: Some draft or intermediary plans, maps, designs, sketches or architectural drawings, or detailed construction specifications may need to be retained permanently under part "a," above, 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 under part "b," below. Contact the State Archives for additional advice.

PERMANENT
 

b. Supplementary documentation, including interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheet, non-significant change orders; routine correspondence, detailed construction specifications and draft or intermediary plans, maps, designs, sketches or architectural drawings:

6 years after completion of project or date of most recent entry, whichever is longer
  c. Unsuccessful bids, to which contract is not awarded: 6 years
 

d. All records, when project is proposed but not undertaken:

NOTE: Appraise these records for historical significance prior to disposition. Certain records for important environmental facility projects that are proposed but not undertaken may have historical and other research value and should be retained permanently. Contact the State Archives for additional advice.

6 years after date of last entry
*2.[181] Permit or registration files for construction, operation and maintenance of environmental facility, covering water treatment plant; public water supply system; wastewater treatment plant and disposal system; and solid waste management facility (including landfill gas recovery facility):  
  a. Permit, application, approval or disapproval; related plans, maps, specifications and engineering drawings; variance from New York state regulations, approval of use of emergency source of water, approval to supply water to or take water from other system, approval of fluoridation process, progress and inspection reports, final and annual reports, summaries of data collected relating to permit issuance, and significant correspondence: PERMANENT
 

b. Routine correspondence, cover and internal memoranda, draft or intermediary plans, designs and photographs, detailed data that has been summarized in other records, and other records of transitory value:

6 years after date of last entry
*3.[183] Component part sketches, measurements, installation, inspection and maintenance records: 6 years after part replaced or its use permanently discontinued
*4.[694] Automated operating system records, covering Supply Control and Data Acquisition (SCADA) or equivalent systems, covering operation, monitoring, problems or emergencies, and maintenance of environmental facility  
 

a. Detailed data collected from sensors or monitors, and detailed reports generated from such data:

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, such as those contained in Section 756.2(c), 6NYCRR. It is recommended that local government environmental facilities 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.

0 after no longer needed
 

b. System operation history file, containing significant data and/or periodic data snapshots, generated from detailed system data:

NOTE: Appraise these records for archival value. History files may contain valuable information to document system operation over a period of time. Contact the State Archives for additional advice in this area.

5 years
*5.[184] Log or equivalent record containing information such as changes in pressure and level, proportion of chemicals present, operational changes, problems and emergencies, and personal observations  
  a. Containing summary information collected at periodic intervals and information on significant readings, events or observations: PERMANENT
 

b. Containing all or routine information collected at frequent intervals:

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

NOTE: Certain inspection logs of solid waste management facilities must be retained for 7 years after date of inspection. See item no. 712, below.

5 years
*6.[185] Charts, graphs and similar records of pumpage, flow, pressure, emissions, temperature, levels of chemicals, and related information  
  a. Summary records showing long-term trends and developments: PERMANENT
 

b. Records of original entry, containing significant information:

10 years
 

c. Records of original entry, containing only routine information with no long-term value:

NOTE: Some of these records may need to be retained longer to meet both administrative needs and legal requirements, such as those contained in Section 756.2(c), 6NYCRR. Consult your attorney or counsel and the State Department of Environmental Conservation to determine which records, if any, must be retained longer than 1 year.

1 year
  d. Intermediary records, compiled from records of original entry, but not showing long-term trends and developments: 5 years
7.[186] Operator qualifications records: 6 years after disapproval, renewal, or expiration of approval
*8.[695]

Reports, studies or data queries, including those generated from SCADA or equivalent environmental facility operating system (including documentation of macros, queries, and reports), when not covered by specific report items in this section:

NOTE: Appraise the records for archival value. Reports and studies documenting various aspects of system operation may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

0 after no longer needed
*9.[696] Environmental facility alarm, problem and emergency records  
  a. Narrative records documenting serious problems or emergencies, including charts, graphs, and data necessary to support such records: PERMANENT
 

b. Records documenting minor or routine alarms or problems, including detailed data generated by automated systems when certain parameters are exceeded:

5 years
 

c. Contingency or similar plans to deal with emergency situations:

PERMANENT

 

ENVIRONMENTAL FACILITIES:
PUBLIC WATER SUPPLY

 

*1.[187]

Permits, approvals, and related records, excluding those related to public water supply system construction or operation, covered by item no. 181, above.

 
  a. Approval necessary for connection to public water supply system: 6 years after connection no longer in use, or after denial of application
  b. Waiver or variance from mandatory disinfection or other requirements: 5 years after superseded or invalid
 

c. Permit files for fluoridation plans, backflow prevention devices, fire pump chlorinators, distribution of bottled or bulk water, or for interconnecting water systems, where local government agency issues permit:

6 years after cessation of operation or denial of application
  d. Informational copies of permit records for fluoridation plans, backflow prevention devices, fire pump chlorinators, distribution of bottled or bulk water, or for interconnecting water systems, where State Department of Health issues permit: 0 after no longer needed
*2.[188] Reports and studies relating to plant, system or facility operation  
 

a. Annual and final reports (including annual report submitted to federal Environmental Protection Agency [EPA]), comprehensive water supply study and report, special studies and detailed reports, including facility inspection reports, reports on watershed rules and rules violations, sanitary surveys, comprehensive performance evaluations, environmental facility monitoring, overall operational reports and reports of emergencies, containing summary or detailed information of long-term value:

PERMANENT
  b. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
 

c. Monthly operational report submitted to New York State Department of Health:

NOTE: Appraise the records for archival value. Reports and studies documenting various aspects of system operation may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

5 years
 

d. Records relating to water quality monitoring violations, watershed rules violations or unsatisfactory water samples, and major changes in aquifer or watershed, including test results and records of corrective actions taken:

NOTE: Appraise these records for long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful in the future in documenting cases of serious drinking water contamination. Contact the State Archives for additional advice.

5 years after superseded
*3.[697] Water systems periodic operation reports, created pursuant to 10NYCRR, Section 5-1.72 (d) and forwarded to county health department or regional office of New York State Department of Health  
  a. Report of microbiological sample results (copy retained by supplier of water): 5 years
  b. Report of surface water systems, showing chemical and turbidity analyses, (copy retained by supplier of water): 10 years
*4.[189] Reports not relating directly to system or treatment facility construction or operation  
 

a. Operational and testing records for fire pump chlorinator, backflow prevention device, where local agency issues permit:

5 years
  b. Informational copies of operational and testing records for fire pump chlorinator, backflow prevention device, where State Department of Health issues permit: 0 after no longer needed
  c. Report of bottled or bulk water distribution: 3 years
 

d. Small privately owned water system detailed evaluations, including sanitary surveys and comprehensive performance evaluations:

10 years after superseded
  e. Interstate water carrier reports and other records: 10 years
*5.[698] Automated hydrological monitoring system records, covering system infrastructure, system service area or aquifer  
 

a. Detailed data collected from sensors or monitors (both collected by this system or obtained from another source, such as a SCADA system), and detailed reports generated from such data:

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. In some cases it may be necessary to maintain this detailed data as long as reports or studies based on the data are retained. It is recommended that local government environmental facilities 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.

0 after no longer needed
 

b. System operation history file, containing significant data and/or periodic data snapshots, generated from detailed system data:

NOTE: Appraise these records for archival value. History files may contain valuable information to document system operation over a period of time. In some cases it may be necessary to maintain this detailed data as long as reports or studies based on the data are retained. Contact the State Archives for additional advice in this area.

5 years
*6.[699] Reports, studies, analytical models or data queries, generated from hydrological monitoring system (including documentation of macros, queries, and reports), when not covered by specific report items in this section  
 

a. Reports and studies documenting major system operational capabilities and proposed modifications, long-range water use planning and aquifer or watershed protection, and/or for long-term planning, for historical and other research, or leading to major future capital expenditures:

PERMANENT
  b. Report and studies of short-term or transitory value, containing incomplete or otherwise invalid data, or drafts generated in the process of creating reports and studies covered by part "a," above: 0 after no longer needed
*7.[700] Water supply emergency plan, prepared pursuant to Section 1125, Public Health Law and Section 5-1.33 of 10NYCRR, including revisions and review records  
  a. Copy maintained by public water supplier: PERMANENT
  b. Copy held by local health agency: 5 years after superseded

Top of page

 

ENVIRONMENTAL FACILITIES:
WASTEWATER TREATMENT

 

*1.[701]

Permits, approvals, and related records, excluding those related to system or treatment facility construction or operation, covered by item no. 181, above, or those relating to receiving significant industrial or high-discharge users, covered by item no. 702, below.

 
  a. Approval necessary for connection to wastewater disposal system: 6 years after denial or approval
  b. Permit for septic tank cleaner or industrial waste collectors to deliver waste to treatment facility: 6 years
*2.[702] Records relating to receipt and pretreatment of significant industrial or other high-discharge waste  
 

a. Permits for discharge of effluent into wastewater treatment system and related records, such as copies of SPDES permits issued to waste generator, discharge monitoring reports, detailed intake records, and laboratory test results:

6 years after denial, renewal or expiration of permit
 

b. Summary records of waste received for treatment, including records relating to waste received that exceeds acceptable volume or content parameters:

NOTE: Certain records covered by parts "b" and "c" relating to significant industrial or other high-discharge waste generation and disposal may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

20 years
  c. Survey or similar records of significant industrial or other high-discharge waste generators in an area served by a specific wastewater treatment facility: 5 years after superseded or obsolete
*3.[703] Reports and studies relating to plant, system or facility operation  
  a. Annual and final reports (except annual report submitted to federal Environmental Protection Agency [EPA]), comprehensive wastewater study and report, special studies and detailed reports, including facility inspection reports, sanitary surveys, environmental facility monitoring, overall operational reports and reports of emergencies, containing summary or detailed information of long-term value: PERMANENT
 

b. Annual report submitted to federal Environmental Protection Agency (EPA), also known as "503 report":

NOTE: As a rule this report does not contain as useful information as do the monthly discharge and operation reports, covered by part "d," below. However, facilities which include more information in this report may wish to retain these reports longer, even permanently, for administrative or research reasons. Contact the State Archives for additional information.

5 years
 

c. Filter inspection reports (such as sieve analysis) for wastewater treatment system:

5 years
 

d. Monthly discharge monitoring and operation reports, submitted to New York State Department of Environmental Conservation in conjunction with SPDES permit requirements:

NOTE: Appraise the records for archival value. Data contained in these reports may be valuable for long-term planning and for historical and other research, warranting permanent retention of these records. Contact the State Archives for additional advice.

5 years after facility no longer in use
 

e. Septic tank cleaner or industrial waste collector reports and related records:

6 years
  f. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
*4.[704]

Records relating to sludge, biosolids, unprocessable solids or other waste byproduct produced as a result of wastewater treatment process, including both detailed records of waste byproducts generated, including laboratory test results and individual load transfer records, and summary records of waste byproducts produced (including unprocessable solids) and disposed of by facility:

NOTE: Certain records relating to sludge, biosolids, unprocessable solids or other waste byproduct produced as a result of wastewater treatment process may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

5 years
*5.[705]

Records relating to leachate received from solid waste management facilities for processing, including both detailed records of leachate received, including laboratory test results and individual load delivery records and summary reports and other records of leachate received and disposed of:

NOTE: Certain records relating to leachate received from solid waste management facilities for processing may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

5 years
*6.[706]

Co-composting records, including but not limited to testing records for materials used and product generated, and marketing and distribution records, including both detailed records, including laboratory test results and individual load delivery records and summary reports and other records of materials used and compost generated and its distribution:

NOTE: Certain records relating to co-composting may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

5 years

 

ENVIRONMENTAL FACILITIES:
SOLID WASTE MANAGEMENT FACILITIES

NOTE: Records relating to co-composting facilities are covered in the Environmental Facilities: Wastewater Treatment subsection, immediately above.

NOTE: Records relating to disposal of sludge, biosolids, unprocessable solids or other waste byproduct produced as a result of wastewater treatment process, are covered by item no. 704, above. Records relating to public educational recycling programs are covered by item nos. 11 and 12 in the General section.

 

*1.[707]

Permit for use of solid waste management facility by business or resident of local government:

6 years after denial or expiration of permit
*2.[708] Reports and studies relating to plant, system or facility operation  
  a. Annual summary reports, final reports, special studies and detailed reports, including facility inspection reports, environmental facility monitoring, overall operational reports and reports of emergencies, water quality records, containing summary or detailed information of long-term value: PERMANENT
 

b. Quarterly or monthly or operational reports, including reports of exceedances generated by resource recovery facilities and condensate sampling reports of landfill gas recovery facilities:

NOTE: Appraise the records for archival value. Reports documenting various aspects of system operation may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

10 years
  c. Detailed tonnage or similar reports (including summary reports or other records generated from individual load delivery records) which contain significant information, for solid waste management facility: 10 years
  d. Monthly discharge monitoring and operation reports, submitted to New York State Department of Environmental Conservation in conjunction with SPDES permit requirements, for use of water as coolant, including thermal water temperature data: 5 years
 

e. Reports and other records of unauthorized waste collected and its final disposition, created pursuant to Section 360-1.14 (i-1), 6NYCRR:

5 years
  f. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
*3.[190] Hazardous waste collection and disposal records  
 

a. Summary reports and other records of substances and quantities collected and disposed of by outside transfer:

PERMANENT
 

b. Individual load delivery and other detailed records, including manifest form:

NOTE: Certain records covered by part "b" may warrant longer retention for legal and administrative reasons, because of the toxic nature of materials collected and transported for disposition at another site. Contact your attorney or counsel to determine if longer retention of these records is necessary.

10 years
 

c. Contract for removal of materials collected, along with related performance bond or certificate of insurance:

6 years after superseded or invalid
*4.[191] Individual load delivery records for solid waste management facility (including materials recycling facility - MRF), including "scalehouse" information records  
  a. Individual load delivery records for residential waste: 6 years*
  b. Individual load delivery records for other than residential waste: 10 years*
  c. Summary reports and other records created from individual load delivery records: 10 years
 

* NOTE: The individual load delivery records may be disposed of after 1 year, providing the summary records created from them contain sufficient information on the date of disposal, name of the generator, transporter and disposer of the waste, types and quantity of waste disposed. To ascertain if the summary records suffice to meet requirements of the State Department of Environmental Conservation, contact D.E.C.'s Division of Solid and Hazardous Materials at (518) 402-8660.

 
  d. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
  e. Automated "scalehouse" data file, containing information on type, weight and source of waste collected and disposed of, as well as billing information: 10 years after information is superseded or invalid
*5.[192] Proof of liability insurance coverage (insurance policy, certificate of insurance or equivalent record), and proof of financial assurance for solid waste management facility  
  a. For landfill: 30 years after closure of landfill
  b. For solid waste management facility other than landfill: 6 years after closure of facility
*6.[193]

Recycling marketing records, including but not limited to annual, final or summary reports and studies, and background files on markets and materials:

NOTE: Routine marketing reports and other records are covered by item no. 708f, above.

6 years
*7.[194] Recycling waste collection annual or summary records and reports, including necessary supporting data: PERMANENT
*8.[709] Records relating to ash, leachate, or other waste byproduct generated and/or disposed of by solid waste management facility  
  a. Detailed records of waste byproducts generated, including laboratory test results, leaching potential test report and individual load transfer records: 5 years
 

b. Summary records of waste byproducts generated and/or disposed of by facility:

NOTE: Certain records covered by parts "a" and "b" relating to ash, leachate other waste byproduct generated and/or disposed of by solid waste management facility may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

10 years
*9.[710] Local solid waste management plan, created pursuant to Section 27-0107, Environmental Conservation Law, covering all updates, and including necessary supporting documentation: PERMANENT
*10.[711] Research, development or demonstration project or program files, including required permits and related records created pursuant to Section 360-1.13, 6NYCRR, official copy of publications, videotapes, or informational literature prepared as a result of the project, background materials and supporting documentation:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. If research, development or demonstration projects or programs deal with significant subjects of a scientific or public improvement nature, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently.
6 years after project or program ends
*11.[712] Self-inspection records of solid waste management facility, created pursuant to Section 360-1.14 (f-3) and (i-2), including inspection log: 7 years from date of inspection
*12.[713] Landfill closure records, including but not limited to site investigation records, conceptual and final closure plans, environmental and facility monitoring records, close and post-closure registration report, closure construction certification report, and periodic inspection reports  
  a. All records, except periodic routine inspection reports, routine notes, memoranda, correspondence and detailed data collected as part of project: PERMANENT
  b. Routine notes, memoranda, correspondence and detailed data collected as part of project: 30 years after date of closure
  c. Periodic routine inspection reports: 7 years after date of closure

Top of page

 

ENVIRONMENTAL MANAGEMENT

 

1.[195]

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:

PERMANENT
*2.[196] Environmental quality review records  
  a. Environmental impact statements and related reports: PERMANENT
 

b. Background materials and supporting documentation used in preparing statements and reports:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. In the case of environmental impact statements prepared for major projects, 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.

6 years
*3.[197] Environmental protection and natural resources management plan  
  a. Final plan and report: PERMANENT
 

b. Background materials and supporting documentation:

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.

6 years
*4.[714] Fish stocking and other fishery records for lakes and streams  
  a. Fishery surveys, including detailed collection records: PERMANENT
 

b. Records of fish stocking:

40 years
  c. Other fishery records, including notes and routine correspondence: 0 after no longer needed
*5.[715] 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:

PERMANENT
  b. Notes, drafts, routine correspondence and non-essential data: 0 after no longer needed
*6.[716] Flood control and beach erosion records  
  a. Flood insurance maps, including all updates: PERMANENT
 

b. Other records, such as shoreline and flood hazard boundary maps, flood insurance surveys, and storm damage reports, and including records provided local officials by the State Department of Environmental Conservation, but excluding flood insurance maps:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. These records may be valuable for areas in the state where beach erosion and flood control have a major impact. Contact the State Archives for additional advice in this area.

0 after superseded or obsolete

Top of page

 

EXECUTIVE, MANAGER, AND/OR ADMINISTRATOR

 

1.[198]

Executive, Manager, or Administrator's office files, including but not limited to correspondence, memoranda, reports, studies, publicity items, non-record copies of contracts, and other legal documents

 
  a. Where file documents a significant subject, or major policy-making or program-development process: PERMANENT
  b. Where file documents routine activity: 6 years

 

FISCAL

AUDIT

 

*1.[214]

Report of audit of financial affairs

 
  a. Audit filed pursuant to Section 35, General Municipal Law, conducted by New York State Comptroller's Office or by New York City Comptroller or by an outside auditing firm: PERMANENT
  b. Other external audits: 6 years
  c. Internal audits, conducted by local government officials: 6 years
2.[215] Audit background documentation, including summaries, posting records, and related records created by an auditing office as part of the auditing procedure: 6 years
3.[216] Audit hearing or review file: 6 years after audit accepted

 

BANKING AND INVESTMENT

 

1.[217]

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:

6 years
2.[218]

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:

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

6 years
3.[219] Copy of check or check stub: 6 years
4.[220] Depository agreement, including designation of depository, bond or surety, or other record relating to deposition of local government funds: 6 years after agreement, contract, designation, bond or surety has expired or been superseded or rescinded
5.[221] Deposit book for checking account: 6 years after date of most recent entry
6.[222] Deposit book for savings account: 6 years after cancellation
7.[223] Deposit slip: 6 years

Top of page

 

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.[224]

Bond issue preparation file, covering bonds issued by local governments

 
  a. Master summary record of bonds issued: 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: 6 years after bond issue retired
2.[225] 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: 6 years after cancellation of last bond or note
*3.[226] Debt-contracting power statement filed with Office of the State Comptroller before sale of bonds: 6 years after bond issue retired
*4.[227] 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: PERMANENT
*5.[228] Periodic reports and similar records of yield received from or status of bonds, notes, securities or other obligations purchased for investment: 6 years after bond issue retired
*6.[717] Records relating to exclusion of self-liquidating indebtedness by a local government, including copy of application filed with Office of State Comptroller, notice and proof of publication, and State Comptroller's written certificate: 6 years after date of certificate

 

BUDGET

 

*1.[46]

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, budget message, budget hearing and review files, and related records:

6 years
2.[49] Annual budget  
  a. Official copy when not included in minutes: PERMANENT
  b. When budget is included in minutes: 0 after officially recorded in minutes
  c. Reporting office copy: 0 after no longer needed
3.[50] Special budget filed with state or federal agency: PERMANENT
4.[51] Budget status report on allocation, receipts, expenditures, encumbrances, and unencumbered funds  
  a. Cumulative report: 6 years
  b. Monthly or quarterly report: 1 year
5.[52] 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: 6 years
*6.[718] Copies of county, town or other budgets, received and maintained for informational purposes: 0 after no longer needed

 

CLAIMS AND WARRANTS

 

*1.[229]

Claim for payment (approved or disallowed), including claim, vendor's voucher and bill:

6 years
2.[231] State or federal-state reimbursement claim file (federal revenue sharing), including but not limited to summary and detail of claim, worksheets and other supporting documents: 6 years
3.[232] Summary record of outstanding or paid warrants or claims:
6 years
4.[233] Notice of claim record and index as required by Section 50-f of the General Municipal Law: 6 years after final disposition of claim
5.[234] Order or warrant to pay monies  
  a. For any funds held in a savings bank: 20 years
  b. For any funds not held in a savings bank: 6 years
6.[235] Outstanding warrants listing, including adding machines tapes: 6 years
7.[236] Assignment of claim: 6 years after satisfaction or 10 years, whichever is less

 

GENERAL ACCOUNTING AND MISCELLANEOUS

 

*1.[199]

General ledger showing summary receipts and disbursements from all funds and accounts:

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.

6 years after last entry
*2.[200]

Subsidiary ledger providing details of the general ledger accounts:

NOTE: This does not apply to subsidiary ledgers of municipal electric utilities. See item no. 158 in the Electric and Gas Utility section.

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.

6 years after last entry
*3.[201]

Journal recording chronological entries of all fiscal transactions:

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.

6 years after last entry
4.[202] 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: 6 years after last entry
5.[203] Cash transaction record showing cash received from collection of various fees and petty cash disbursed: 6 years
6.[204] Tolls or fares collection record, including but not limited to record of receipts and log of operations: 6 years
7.[205] Daily cash record, including adding machine tapes, cashier's slips showing daily cash receipts and analysis of cash receipts: 6 years
**8.[206] Notice of encumbrance indicating funds encumbered and amount remaining unencumbered: 6 years
**9.[207] Past due account fiscal records and summaries: 6 years after account satisfied or otherwise closed
10.[208] 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: 6 years
11.[209] Abstract of receipts, disbursements, or claims: 6 years
12.[210] Billing records covering services provided by local government  
  a. Customer's individual account: 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: 6 years
 

c. Billing address records:

0 after superseded or obsolete
13.[211] Bill of sale of property owned by local government other than real property: 6 years
14.[212] Sales tax records, covering sales tax collected by local governments and transmitted to State Department of Taxation and Finance: 6 years
15.[213] Tax exemption records, showing that local government is exempt from paying sales, use or other taxes: 1 year after superseded or obsolete
*16.[719] Payment recoupment records, documenting the process of recovering monies paid erroneously by local government to employee, vendor or other payee: 6 years after date of most recent entry in record
17.[237] Receipt (received) or copy of receipt (issued) other than for payment of taxes: 6 years
*18.[720] 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:

PERMANENT
  b. Detailed records of grants, awards and gifts, excluding master summary record: 6 years
*19.[721] Credit card records documenting payments received by credit cards or electronic transactions, including credit card payment receipts, and statements showing amounts of payments received and fees deducted: 6 years

Top of page

 

PAYROLL

NOTE: The copy of payroll, or payroll report, submitted to civil service office for certification or approval, is covered by item no. 748 in the Personnel/Civil Service 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.[291]

Payroll, including information on gross and net pay, base pay, taxes, and other deductions

 
 

a. Year-end payroll, including detailed information necessary for salary verification for retirement and social security purposes:

55 years
  b. Periodic payroll, including detailed information necessary for salary 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: 55 years
  c. Periodic payroll, not including detailed information necessary for salary verification for retirement and social security purposes: 6 years
  d. Warrant authorizing payment of salaries based on a specific payroll, if maintained separate from payroll itself: 6 years
  e. Preliminary draft of payroll: 0 after warrant authorizing payment of salaries is signed
  f. Local government's information copy of municipal, school, fire or special district payroll: 0 after no longer needed
*2.[292] Payroll or related report covering all employees or an individual employee, and not covered by specific item in this section  
  a. When needed for audit or other fiscal purposes: 6 years
 

b. When not needed for audit or other fiscal purposes:

NOTE: Local governments may wish to retain records covered by item nos. 292 and 293 longer for social security or retirement documentation purposes.

0 after no longer needed
3.[293] Payroll distribution breakdown record used to distribute or classify labor costs: 6 years
4.[294] Summary record of employee's payroll changes: 6 years after termination of employment
5.[295] Employee's time cards, sheets, or books:
6 years
6.[296]

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: 6 years
  b. When posted to periodic cumulative time summary record: 1 year
*7.[297] Employee request for and/or authorization given to employee to use or donate sick, vacation, personal or other leave, or to work overtime:
6 years
8.[298] Record of assignments, attachments, and garnishments of employee's salary  
  a. When employment was terminated prior to satisfaction: 6 years after termination of employment
  b. When satisfied: 5 years after satisfaction
*9.[299] Employee's voluntary payroll deduction request form: 5 years after authorization expires
10.[300] Schedule or other notification from issuing bank showing savings bond purchased for employee: 5 years after latest bond issue
*11.[301]

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

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

6 years
12.[302] Employee's declaration of intention to accept or reject Social Security:

10 years after employee dies or reaches age 75, whichever is shorter

*13.[303] Quarterly or other periodic report of wages paid prepared for Social Security, and report of any adjustments or corrections: 6 years after year in which wages were reported
14.[304] Copy of federal determination of error in wage reports (Form OAR-S30 or equivalent record): 6 years after determination received
15.[305] Payroll report submitted to New York State Employee's Retirement System, Policemen's and Firemen's Retirement System, or any other official pension system: 6 years
**16.[306] 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: 4 years after tax paid
**17.[307] 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: 4 years
**18.[308] Employee's Withholding Exemption Certificate (Form W-4), or equivalent form: 4 years after a superseding certificate is filed or employment is terminated
**19.[309] Employer's copy of New York state income tax records relating to employees: 4 years after tax was paid
*20.[722] 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: 5 years after authorization expires
*21.[723] 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:

NOTE: Local governments may wish to retain these records for the life of the employee. 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.

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

 

PURCHASING

 

*1.[496]

Purchase order, purchase requisition, or similar record, used to obtain materials, supplies, or services:

6 years
**2.[498]

Purchasing file, including but not limited to bid (successful, unsuccessful), contract, specifications and related records for purchase of materials, supplies and services not connected with capital construction:

NOTE: For capital construction, see item no. 415 in the Public Property and Equipment section and item no. 544 in the Transportation and Engineering 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.

6 years after completion of purchase or 6 years after final payment under contract, whichever is later
3.[499] 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: 0 after obsolete
4.[500] Performance guarantee or written warranty for products or similar record: 6 years after expiration
*5.[501] Invoice, packing slip, shipping ticket, copy of bill of lading or similar record used to verify delivery and/or receipt of materials or supplies: 6 years
*6.[502]

Invoice register, or similar record used to list invoices:

6 years after last entry
7.[504] List or abstract of purchase orders, claims or contracts: 6 years
8.[505] Standing order file, used for purchase of materials and supplies which are received on a regular basis: 6 years
*9.[724] Chargeback records, showing specific fund to be charged for in-house expenditure: 6 years
**10.[905] 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: 1 year after subsequent procurement of the same goods or services completed under a re-initiated procurement, or 1 year after decision not to purchase such goods or services

 

REPORTS

 

1.[238]

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:

6 years
2.[239] Annual or final fiscal reports  
  a. When report is not included in minutes: PERMANENT
  b. When report is included in minutes: 0 after officially recorded
3.[240] Fiscal reports from state agencies: 6 years
4.[241] Fiscal report on management of court funds and of securities or depositories in which court funds are invested or deposited: 6 years
5.[242] Certificate, demand or direction to fiscal officer to pay monies: 6 years
6.[243] Verification of travel expenses, including but not limited to certificate of accuracy and receipts: 6 years

Top of page

Return to main page