Managing Records: Schedule MI-1

Records Retention and Disposition Schedule MI-1

HERITAGE AREA (URBAN CULTURAL PARK)

 

*1.[725]

Management plan for heritage area (urban cultural park), created pursuant to Section 35.05, Parks, Recreation and Historic Preservation Law, including description of boundaries of park area, inventory and designation of cultural resources, statement of goals and objectives, identification of types of park uses, identification of properties for potential acquisition, description of exhibits and programs to be undertaken, economic assessment of the park's cost and benefits, description of techniques for preservation of cultural resources, description of organizational structure and schedule for park planning, development and management and state-issued approval

 
  a. Final management plan: PERMANENT
 

b. Background materials and supporting documentation, including copies of "early action" grant files:

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

6 years
*2.[726] Application for heritage area (urban cultural park) designation submitted to State Office of Parks, Recreation and Historic Preservation, including response and related correspondence: PERMANENT
*3.[727] Visitor center records  
  a. Proposals, plans and drawings, feasibility studies and real property records: PERMANENT
  b. Visitors registers and patron usage records: 3 years
*4.[728] Walking and other tour files  
 

a. Maps, brochures, photographs and background research files:

NOTE: Appraise these records for historical significance prior to disposition. Some maps, brochures and photographs 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 tour discontinued
  b. Notes, correspondence, memoranda, lists of participants and other routine records: 1 year
*5.[729] Exhibit file documenting planning, construction, and use of exhibit, including but not limited to installation photographs and slides, sketches, worksheets, publicity, brochures, exhibit catalogs, inventory lists, loan agreements and visitor surveys  
  a. Brochures, exhibit catalogs, installation photographs and slides, and inventory lists: PERMANENT
 

b. All other records:

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

6 years after exhibit closed
*6.[730]

Special event file, including but not limited to official copy of any program or promotional literature, or significant photographs of events, and background materials and supporting documentation:

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

6 years

 

HUMAN RIGHTS/ECONOMIC OPPORTUNITY

 

*1.[244]

Individual complaint or problem case file of human rights, economic opportunity, equal employment, community relations or similar function, including individual case summary record

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

 
 

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

6 years after last entry
 

b. For case referred to New York State Division of Human Rights:

NOTE: Agencies may wish to retain records covered by parts "a" and "b" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints. For records of affirmative action cases involving local government employees, see item no. 317c in the Personnel/Civil Service section, Personnel subsection.

2 years after last entry
2.[245] Summary record for individual case and/or master summary record of all cases: PERMANENT
*3.[731]

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

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

6 years

 

INSURANCE

NOTE: Proof of liability insurance coverage must be retained longer for solid waste management facilities. See item no. 192 in the Environmental Health section.

 

*1.[246]

Insurance (including self-insurance) case records, except workers' compensation case record, including but not limited to notice of claim, copies of filed court documents, accident reports, medical reports, motor vehicle reports, appraisal report, copy of check, correspondence, and other supporting documentation:

NOTE: The local government may wish to retain the release longer for convenience of reference. Proof of liability insurance coverage must be retained longer to cover claims relating to exposure to asbestos and other toxic substances. Consult your counsel or attorney to ensure that insurance policies and other appropriate documentation are retained as long as needed.

6 years after claim closed, but not until any minor reaches age 21, whichever is later
*2.[247] Workers' compensation case records (including Volunteer Firefighters Benefit Law) case records  
  a. If claim allowed: 18 years after injury or illness, but not less than 8 years after last payment
 

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

NOTE: The employee injury record must be retained for 18 years after date of accident or injury, as required by Section 110, Workers' Compensation Law, even for disallowed claims. See item no. 741 in the Personnel/Civil Service section.

7 years after injury or illness
*3.[248] Master summary record (log or register), of all (including workers' compensation) claims: 0 after all claims and/or cases listed in master summary record have been disposed of
*4.[249] Insurance policy covering fire, theft, property damage, personal injury liability, general liability, insurance of life or property, when no outstanding claims are involved: 6 years after expiration, or until the report on examination is filed, whichever is later
5.[250] Workers' compensation and employer's liability insurance policy, when no outstanding claims are involved: 18 years after expiration
6.[251] Title insurance policy, when no outstanding claims are involved: 20 years after expiration
*7.[252]

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

NOTE: For the exceptions mentioned above, see item no. 326 in the Personnel/Civil Service section, item no. 596 in the Building and Property Regulation section, item no. 220 in the Fiscal section, item no. 192 in the Environmental Health section and item no. 415 in the Public Property and Equipment section.

6 years after expiration
8.[253] Insurance appraisal and/or survey: 0 after superseded or obsolete

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LIBRARY/LIBRARY SYSTEM

 

1.[254]

Incorporation, chartering and registration records:

PERMANENT
*2.[255]

Accession records:

NOTE: Some libraries accession manuscripts, rare books and special collections, but not their general library holdings. In these cases, the accession records need to be retained only for the kinds of materials still accessioned.

1 year after accessioning procedure becomes obsolete
*3.[256] Informational copies of records prepared by and received from public library system, including but not limited to directories, minutes, budgets and reports: 0 after superseded or obsolete
4.[257] Borrowing or loaning records, including interlibrary loan: 0 after no longer needed
*5.[258] Catalog of holdings  
  a. Manuscript or published catalog: PERMANENT
  b. Continuously updated catalog: 0 after superseded or obsolete
6.[259] Individual title purchase requisition which has been filled or found to be unfillable: 1 year
*7.[260] Records documenting selection of books and other library materials: 0 after no longer needed
*8.[261]

Library material censorship and complaint records, including evaluations by staff, patrons' complaints and record of final decision:

NOTE: Appraise these records for historical significance prior to disposition. Some library censorship records deal with serious constitutional issues and may have value for future research.

6 years after last entry
9.[262] Patron's registration for use of rare, valuable or restricted non-circulating materials: 6 years

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LOCAL DEVELOPMENT CORPORATION

 

1.[263]

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 10 years after final payment on loan
2.[264] Master summary record (log or register) documenting contacts and inquiries and resulting responses and actions taken by agency personnel: PERMANENT
3.[265] Business/industry Small Business Administration (S.B.A.) 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 with the S.B.A.: 6 years after denial of application or 10 years after final payment on loan
4.[266] Business consultation services case file, where no loan is applied for from or through the local development corporation, but other services are provided: 3 years after date of most recent entry in record
5.[267] Business or other client inquiry and/or referral, where no substantive services are performed by local development corporation: 1 year
6.[268] Small Business Administration (S.B.A.) certification records, including certificate, application for certification and decertification records: PERMANENT
7.[269] Annual financial and narrative reports submitted to the Small Business Administration (S.B.A.): PERMANENT
8.[270] Monthly or other periodic reports on loan status:
1 year after superseded or obsolete
9.[271] Organizational and establishment records, including certificate of incorporation, constitution and bylaws: PERMANENT
10.[272] Election records, for election of board members and/or officers  
  a. Election results: PERMANENT
 

b. Ballots, nominations, tabulations and other election records:

1 year after election
11.[273] Membership records  
  a. Lists of members: PERMANENT
  b. Records of dues collection and receipt (if applicable): 6 years
 

c. Other membership records, including applications for membership, lists of prospective members and membership notices:

0 after superseded or obsolete
12.[274] Federal and state tax exemption records, including copy of application: PERMANENT
13.[275] Dissolution records, including records of distribution of assets: PERMANENT
*14.[732] Income tax filing and charitable reporting records of local development corporation  
  a. Copies of federal income tax returns and related records: 6 years
 

b. Registration as a charity filed with New York State Office of Attorney General:

6 years after no longer in effect
  c. Annual reports on the solicitation and collection of funds for charitable purposes, filed with New York State Office of Attorney General and Department of State: 6 years

 

MISCELLANEOUS

 

*1.[276]

Ombudsman/referral service records covering citizen complaint services, landlord/tenant advisory services, job placement consultation, handicapped person's assistance, and related services, including but not limited to log or master index, copies of complaints, intakes and referrals, and individual case file materials

 
  a. Relating to other than routine services or activities: 6 years after final disposition of matter
  b. Relating to routine services or activities: 1 year after final disposition of matter
*2.[277]

Noise level monitoring records, including but not limited to summary records, showing long-term trends and developments and original entry and intermediary records, including charts, graphs and statistics:

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 summary records, showing long-term trends and developments, in cases where noise levels are a matter of public concern. Contact the State Archives for additional advice in this area.

6 years
3.[280] Governmental establishment and reorganization records, covering establishment, incorporation, annexation, consolidation, dissolution or charter revision, for political subdivision, including but not limited to petitions, special studies and surveys, correspondence with state agencies, records of voter action and reports: PERMANENT
4.[281] Census records of all regular and special local, New York state and federal censuses: PERMANENT
**5.[906] Annual financial disclosure statements, filed by local political party official or candidate for local elected office, pursuant to Section 812.1 (a), General Municipal Law: 7 years
*6.[733] Financial or political interest disclosure records, filed by vendor or contractor doing business with the local government: 6 years
*7.[282] Minority- and women-owned business files, covering minority- and women-owned businesses doing business with or in the jurisdiction of a local government  
  a. Summary record listing businesses, eligibility criteria and official government policy statement: PERMANENT
 

b. Detailed application/questionnaire/response completed by business:

NOTE: Appraise these records for historical significance prior to disposition. If the local government uses its own rather than statewide criteria for approving these businesses, then these records may document minority- and women-owned business operating in the community.

5 years after date of most recent entry in record
  c. Directory of state-approved minority- and women-owned businesses, supplied by State Department of Economic Development: 0 after superseded
  d. Other records, including job quotes, bid lists, referrals, credit and character references and affidavits, but not including summary record, detailed application/questionnaire/response, eligibility criteria and official government policy statement, and state-supplied directory of businesses: 6 years after contract expiration
*8.[283]

Record of gifts and bequests to a local government, including copy of will, copies of deeds, maps and surveys (if applicable) and records of establishment of and use of monies generated by trust fund or endowment

NOTE: This does not apply to donations of real property, which are covered by item no. 412 in the Public Property and Equipment section.

 
  a. When trust fund or endowment is involved: PERMANENT
  b. For gift of work of art, historical or other artifact or historical manuscript: PERMANENT
  c. For gift or bequest not covered under parts "a" or "b", or by note above: 6 years
*9.[734] Community service records, showing time worked and type of tasks performed by person sentenced by court to community service: 6 years, or 3 years after individual attains age 18, whichever is longer
**10.[735]

Miscellaneous non-government records, received by local government:

NOTE: Appraise these records for historical significance prior to disposition. Records which document the history of the community and its citizens may have continuing value for historical or other research and should be retained permanently. These records may contain valuable information which supplements records created by the local government itself. Records not retained permanently may be offered to a local historical records repository. Contact the State Archives for additional advice.

NOTE: Upon the receipt of these non-public records by a local government, these records become "local government records." Published materials received by a local government are not considered to be public records.

0 after no longer needed
*11.[736]

Photographs or other visual media records, created by a local government, which are not part of a record series listed elsewhere in this Schedule:

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

0 after no longer needed
*12.[737]

Child abuse or maltreatment reports and related records, reporting agency copy:

NOTE: This item covers copies of child abuse and maltreatment reports and related records retained by agencies reporting suspected abuse and maltreatment to the State Central Register or to child protective services units of county social services departments. Reporting agencies may be in such areas as education, youth services and recreation. Reporting copies maintained by law enforcement agencies are covered by item no. 473 in the Public Safety section.

3 years
*13.[738] Lobbying activity records, including but not limited to registration records, individual reporter designation records, and periodic reports of lobbying activity filed with New York Temporary State Commission on Lobbying: 3 years
*14.[739] Project review records, covering projects requiring approval by the Adirondack Park Agency, Lake George Commission, or other government entity or agency, where local government receives records for comment or review, or for informational purposes  
  a. When permit or other approval must be granted by local government involved: Retain as long as related building, land use, planning, zoning, or environmental permit or approval records covered elsewhere in this schedule.
 

b. When no permit or approval by local government is needed, and records are received for comment or informational purposes only:

3 years after date of most recent entry
**15.[907] Child day care program records  
  a. Participant records, including applications to attend day care program; children’s immunization and health records, including parent’s consents for emergency medical treatment; and related records: 3 years after child attains age 18
  b. Program records not covered by other items on this Schedule, including those required to be maintained by 18 NYCRR Sections 414.15, 418-1.15 and 418-2.15, including program registration records; video surveillance tapes; daily attendance records; staff health statements; Statewide Central Register clearance forms and related records; documentation of facility compliance with Uniform Fire Prevention and Building Code and other state requirements; description of program activities; and related records: 6 years or 6 years after superseded or obsolete, whichever is longer
  c. Applications from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program: 3 years

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MUSEUM

 

*1.[284]

Exhibit file documenting planning, construction, and use of exhibit, including but not limited to installation photographs and slides, sketches, worksheets, publicity, brochures, exhibit catalogs, inventory lists, loan agreements and visitor surveys

 
  a. Brochures, exhibit catalogs, installation photographs and slides, and inventory lists: PERMANENT
 

b. All other records:

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

6 years after exhibit closed
*2.[285] Collections records documenting acquisition, accession, deaccession, loan, conservation, and use of materials, including but not limited to accession register, loan agreement, inventory of collection and conservation treatment record  
  a. Routine records, including but not limited to notes and internal memoranda: 1 year
  b. All other collections records: PERMANENT

 

OFF-TRACK BETTING CORPORATION

 

*1.[286]

Daily activity folders

 
 

a. Betting parlor daily folder, including but not limited to daily branch settlement sheet, selling-cashing settlement sheets, worksheets, telephone betting deposit and withdrawal slips, reports of track conditions and report of scratches:

90 days after release of New York State Racing and Wagering Board's audit report, or 3 years, whichever is shorter
  b. Corporation headquarters daily folder, including but not limited to daily branch settlement sheets from parlors, worksheets and summary of daily activity:
90 days after release of State Comptroller's audit report, or 6 years, whichever is shorter
*2.[287] Paid or canceled bet tickets:
90 days after release of New York State Racing and Wagering Board's audit report, or 3 years, whichever is shorter
3.[288] Reports submitted to New York State Racing and Wagering Board  
  a. Annual report: PERMANENT
  b. Daily, weekly, monthly or other periodic report, including reports of any variance from normal operations: 3 years
4.[289] Reports and other records submitted to New York State Department of Taxation and Finance  
  a. Tax returns or tax transmittal reports: 6 years
  b. Daily report on total handle and tax payable: 3 years
  c. Report and transmittal notice for unclaimed winning tickets: 6 years
*5.[290] Wagering reports and statements, created for internal administrative purposes  
 

a. Reports and statements relating to telephone betting:

90 days after release of State Comptroller's audit report, or 6 years, whichever is shorter
  b. Reports and statements not relating to telephone betting, including but not limited to offline ticket report, "settle report," daily activity report and daily terminal activity report: 90 days after release of New York State Racing and Wagering Board's audit report, or 3 years, whichever is shorter, but not less than 1 year after superseded or obsolete
*6.[740] Lottery ticket sales records, covering sales of state lottery tickets by off-track betting corporations  
 

a. Monthly, annual or other summary records of ticket sales:

6 years
  b. Daily and weekly cashed ticket validation records: 2 years
 

c. Cashed winning tickets:

NOTE: The Division of the Lottery requests that cashed winning tickets be destroyed immediately upon validation, so that they no longer could be considered negotiable.

0
**7.[908] Report of winnings submitted to Internal Revenue Service (Form W-2G or equivalent): 5 years
**8.[909] Video lottery gaming records, including related Off-Track Betting Corporation (OTB) records which are created, received or maintained by an OTB in its capacity as a video lottery gaming agent

NOTE: The New York State Division of the Lottery, in Section 2836-2.3 of 21NYCRR, prescribes minimum retention periods for certain records of video lottery gaming agents as well as procedures that an OTB must follow to receive authorization to destroy those records. An OTB subject to Division of the Lottery requirements for its video lottery operations must meet both the minimum retention periods indicated in Section 2836-2.3 as well as minimum retention periods established in Schedule MI-1. Any records for which the Division of the Lottery approves destruction after periods shorter than those indicated in Section 2836-2.3 must continue to meet the minimum retention periods established by Schedule MI-1.

NOTE: The Division of the Lottery requires that video lottery gaming agents proposing to destroy records specified in Section 2836-2.3 must notify the Division in writing at least 15 days prior to the scheduled destruction of any original record. The Division may prohibit such destruction within 15 days of receiving that notice of destruction. However, Division regulations exempt certain records from this requirement for prior notification of planned records destruction. Consult the Division’s regulations or contact the Division for specific information on its requirements.

NOTE: Schedule MI-1 authorizes the destruction of any original records which have been duplicated on microfilm or other media, subject to requirements of Section 57.29 of Arts and Cultural Affairs Law and State Archives procedures. The destruction of such original records maintained by an OTB pertinent to video lottery gaming operations also requires written notification to the Division of the Lottery as indicated in the second Note, above, and approval from the Division of the microfilm or other media system used to copy and store the records.

NOTE: Some provisions of Section 2836-2.3 establish retention periods less than or equal to the periods required by items in Schedule MI-1. Other provisions require certain records to be retained “indefinitely” without a specified retention period. Destruction of both of these categories of records requires approval of the Division of the Lottery as indicated in the second and third Notes, above. Other provisions of Section 2836-2.3 authorize destruction of certain records after no required minimum retention period and without prior notification to the Division of the Lottery of the intended destruction. The Division of the Lottery is also able to approve requests to destroy additional types of records after no Division-required minimum retention period and without need for prior notification to the Division of intended records destruction. However, in all of these circumstances, Schedule users must continue to meet retention requirements established by Schedule MI-1. Schedule users should consult this Schedule for the required minimum retention periods for specific records.

NOTE: The following parts indicate those records which are not otherwise covered by Schedule MI-1 items or for which Section 2836-2.3 requires lengthier retention periods than are required by Schedule MI-1 items. Because some of the following parts cover broad categories of records, Schedule users should refer to the General, Fiscal and other sections of this Schedule to determine if specific records within those broad categories have retention periods greater than that indicated for the part. Records with longer retention periods should be retained for additional periods as specified by the applicable Schedule items. In the event that the Division of the Lottery approves a request from an OTB to reduce any of the following retention requirements, the OTB must continue to meet any minimum retention requirements for those records as specified by other items in this Schedule.
 
  a. Video lottery gaming-related records not specified in part “b,” including records concerning gaming-related vendors; and any other original record not otherwise listed in Section 2836-2.3 or approved for destruction pursuant to its procedures: 5 years
  b. Cage documents, documentation supporting the calculation of video lottery terminal win, and records related to tax reporting and withholding: 4 years after the date of the actual filing of the gross revenue tax return for the tax year in which the record was generated
  c. Payroll records, marketing department records, credit union records, copies of arrest reports, and patron gaming records:

NOTE: Schedule users should note that the Fiscal section, Payroll subsection of this Schedule covers numerous types of payroll records, including many records with retention requirements greater than 3 years as well as other records with retention requirements less than 3 years. Any payroll records with retention requirements greater than 3 years should be retained for those longer periods.
3 years
  d. Mailroom records, advertising records, video gaming department daily activity logs, and any other records, other than those listed in Section 2836-2.3(c)(4), which contain information duplicative or less than that recorded on other documents listed in Section 2836-2.3(c)(1) through (c)(4): 1 year

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PERSONNEL/CIVIL SERVICE

PERSONNEL

 

*1.[310]

Personnel records of local government employees (includes volunteers and interns)

 
  a. Master summary record from personnel case file, including but not limited to age, dates of employment, job titles and civil service status:

PERMANENT

 

 

b. Personnel case file materials, except summary information record, and including but not limited to application for employment, resume, report of personnel change, evaluation, civil service examination results, notice of resignation or termination, and correspondence:

NOTE: Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 332, below.

6 years after termination of employment
*2.[311]

Investigative records and disciplinary proceedings, including but not limited to statement of charge, transcript of hearing, notice of decision, letter of termination or resignation, letter of reinstatement, record of appeal procedure, and correspondence:

NOTE: Records covered by this item may be destroyed before this retention period has been reached, if specified either in a union contract or settlement between the employer and employee.

NOTE: Affirmative action and related complaints may be covered by item no. 317c, below.

3 years after final decision rendered
3.[312] Employee's time records covering leave, absences, hours worked and scheduling, and including but not limited to employee's time cards or sheets, request for change of work schedule, vacation schedule, report of absence and request for leave without pay: 6 years
*4.[313] Annual or other financial disclosure statements, filed by local government employees or officials, pursuant to Section 812.1 (a), General Municipal Law, or local law: 7 years
**5.[314] Employee training history records documenting employee continuing education, training and development, including employee identification, training received, dates of training, and related records:

NOTE: Additional records providing detailed information on training history can be destroyed when no longer needed, provided that summary records are retained for the indicated retention period. For retention requirements for specific types of employee training history records, see specific items in this Schedule.
6 years after termination of employment
*6.[315]

Administrative organization chart and related records showing administrative and supervisory organization:

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.

0 after superseded or obsolete
*7.[316] Identification card records, when card is issued to local public employee: 6 months after becoming invalid
*8.[317] Equal employment opportunity report and related records  
  a. Annual, long-term or special (narrative or statistical) reports, goals and achievements: PERMANENT
  b. Periodic reports, statistics and other records used in compiling annual, long-term or special (narrative or statistical) reports, goals and achievements: 1 year
 

c. Affirmative action and related complaint investigation records:

NOTE: Agencies may wish to retain records covered by part "c" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.

3 years after date of final determination
*9.[318] Health and life insurance records  
  a. For employee with or without dependent survivor: 3 years after termination of employee's or dependent survivor's coverage, whichever is later
  b. Claim for benefits (copy, where original is submitted directly by employee): 1 year
  c. Health and life insurance coverage reports: 6 years
  d. Declination statement filed by employee: 6 years after separation from service
10.[319] Unemployment insurance records  
  a. Claim filed by employee, when claim is approved: 6 years after final payment
  b. Claim filed by employee, when claim is disqualified: 3 years after filing
  c. Claim payment reports: 6 years
*11.[320] Labor-management meeting records, including minutes of meeting, agenda, reports, and correspondence  
  a. Minutes and reports: PERMANENT
  b. Meeting agenda, correspondence, and other records: 6 years
*12.[321] Public employee contract negotiations records, including but not limited to proposals, summary of proceedings, copies of salary schedules and contracts, P.E.R.B. fact-finding report, and correspondence  
  a. All documentation in record, except routine correspondence, routine memoranda and drafts: PERMANENT
  b. Routine correspondence, routine memoranda and drafts: 1 year
*13.[322] Job action records documenting strikes, work stoppages, informational picketing and other job actions conducted by local government employees, including but not limited to correspondence and memoranda, press clippings, copies of notices of violation, detailed and summary records of employees' participation, and penalties levied upon participants  
  a. All documentation in record, except detailed listings of all employees present at various events and other records lacking substantive informational value: PERMANENT
  b. Detailed listings of all employees present at various events, and other records lacking substantive informational value: 6 years
*14.[323] Public employee grievance records, including but not limited to grievance, investigative records, hearing proceedings, decision rendered by employer, employee appeal, records of arbitration procedure, final decision, and correspondence: 3 years after grievance is resolved
*15.[324] On-site safety inspection records, including individual inspections and summary of findings: 3 years after last entry
*16.[325] Toxic substance exposure records  
 

a. Records of exposure or possible exposure of an employee to a toxic substance or other harmful physical agent, including background data to environmental monitoring or measuring, biological monitoring records which are designated as exposure records, material safety data sheets or chemical inventory records indicating use and identity of a toxic substance or harmful physical agent, and related records:

NOTE: Environmental monitoring background data may be destroyed after 1 year provided that sampling results, methodology, a description of the analytical method used, and a summary of other background data relevant to the interpretation of results are retained for at least 30 years, as provided in 29CFR 1910.1020 (d-1) (ii-A).

30 years
  b. Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substances: 40 years after superseded or obsolete
 

c. Material safety data sheet or fact sheet, providing detailed information on specific toxic or other substance at workplace, when not used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace or for substances not defined in 29CFR 1910, Subpart Z as being toxic:

NOTE: If material safety data sheets or fact sheets are used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts "a" or "b".

3 years after substance no longer present at workplace
 

d. Training records covering training of individual employee in handling toxic substances:

3 years after separation from service
 

e. Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employees:

NOTE: This retention may be difficult to calculate in instances where a number of employees have attended the same training. Local officials may wish to retain these summary training records for 60 years or another period sufficient to ensure that all concerned employees have separated from service.

3 years after separation from service of all employees involved
  f. Policy statements and procedures issued by local government relative to dealing with toxic substances: PERMANENT
17.[326] Personal surety bond or undertaking of public official: 20 years after coverage expires
18.[327] Listing or roster of local government officials or employees, including names, addresses, titles and other pertinent information: PERMANENT
19.[328] Oath of office or record of official signature of public employee  
  a. Official copy: PERMANENT
  b. Oath of any election official:

1 year after election
*20.[329]

Log and summary of occupational injuries and illnesses, created pursuant to 12NYCRR, 801.7 and 29CFR, 1904.6:

NOTE: If these records are intended to also satisfy the legal requirements of Section 110, Workers' Compensation Law, and no separate records covered by item no. 741, below, are created, then these records must be retained for 18 years after date of injury or illness.

5 years
*21.[741] Employee injury record, covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law: 18 years after date of injury or illness
**22.[330]

Employee medical records concerning exposure to toxic substances or harmful physical agents

NOTE:
This item does not include health insurance records, which are covered by item no. 318, above, or non-medical toxic substance exposure records, which are covered by item no. 325, above.

 
  a. First aid records of one-time treatment and subsequent observation of minor illnesses and injuries, as defined in 29CFR 1910.1020 (d-1) (i-B), if made onsite by a non-physician and maintained separately from the employee medical records: 3 years after completion of treatment and subsequent observation
  b. Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked one year or longer: 30 years after termination of employment
 

c. Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29CFR 1910.1020 (d-1) (i-C):

NOTE: If copies are not given to the employee upon termination of employment, the retention specified in part "b," above, must be followed.

3 years after termination of employment
**23.[910] Employee medical records not related to exposure to toxic substances or harmful physical agents: 3 years after termination of employment
24.[278] Notification of vacancy in office, or filling of vacant position:
0 after position filled or abolished
*25.[742] Drivers' license review records for local government officials, employees or volunteers  
  a. When no action is taken as result of review: 0
  b. When action is taken as result of review: 3 years
*26.[743] Employee attestation of knowledge of code of ethics, staff policy manual or other official policies or procedures: 3 years after superseded or upon termination of employment
*27.[744] Records documenting the specimen collection and testing process, for commercial motor vehicle driver alcohol and drug testing  
  a. Official copy of all policies and procedures, including documentation of the random selection process: PERMANENT
 

b. Quality control records, including calibration records for testing equipment, assuring that testing equipment is operating correctly:

5 years
 

c. Annual statistical and other reports:

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

6 years
  d. Other records, including periodic reports and statistics and collection logbooks: 2 years
**28.[745]

Drivers' test results and related records

NOTE: Local governments may want to maintain these records concerning employees for an additional period or include them in the employee’s personnel files, especially when they affect an employee’s job status.

 
  a. Verified positive controlled substance test results or alcohol test results indicating a breath or blood alcohol concentration equal to or greater than 0.02, documentation that individual employee's or job applicant's test was conducted and specimen handled properly, records of dispute of test results by driver, justification for conducting other than random test, records of compliance with Substance Abuse Professional's (SAP's) recommendations, correspondence and related records: 5 years
  b. Negative or canceled control substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02: 1 year
  c. Records relating to an individual employee's or job applicant's refusal to take alcohol or substance abuse test: 5 years
*29.[746] Documentation of other violations of alcohol or substance abuse rules, including results of alcohol or substance abuse tests administered by law enforcement personnel, copies of police reports and medical records: 6 years after termination of employment
*30.[747] Staff training and evaluation records for commercial motor vehicle driver alcohol and drug testing  
  a. Official copy of course syllabus or any local government produced training or advisory publication or videotape: 6 years after superseded
  b. Other training records including lists of attendees, copies of instructors' course or class notes, documentation of instructors' training and proof that employees have received required reading materials: 6 years
**31.[911] Employment Eligibility Verification Form I-9, completed by employee and employer for all employees hired after November 6, 1986, verifying that the individual is eligible to work in the United States, including verification documents attached to the form: 3 years from date of hire or 1 year after employment is terminated, whichever is later
**32.[912] Employee assistance program records  
  a. Reports and statistical compilations: 6 years after date of most recent entry
  b. Program (including course and seminar) and literature files: 1 year after program no longer offered or literature superseded or otherwise obsolete
  c. Employee consultation records: 3 years after date of most recent entry in record

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CIVIL SERVICE

 

*1.[748]

Copy of payroll, or payroll report, submitted to civil service office for certification or approval:

NOTE: Official copy of payroll must be retained for 55 years. See item no. 291 in the Fiscal section.

0 after superseded
*2.[749] Official civil service employee roster card:

PERMANENT

 

*3.[331] Established position record showing a history of each position and names and other pertinent information about persons who occupied it  
  a. If record contains detailed information about the position and persons who occupied it: PERMANENT
 

b. If record only provides lists of names of employees:

NOTE: The official listing or roster of all local government officials or employees, covered by item no. 327, must be retained permanently.

1 year after final entry in record
*4.[332] Report of personnel change, (including employee transfer record), except copy retained in employee's personnel records  
 

a. Copy held by office with official civil service function:

0 after termination of employment, but not less than 6 years
  b. Copy retained by fiscal office, where official civil service copy is maintained by other local government having the official civil service function: 6 years
 

c. Employee transfer record:

NOTE: Reports of personnel changes may also be found in employee personnel records. When filed in an employee personnel record, such copies are subject to lengthier retention requirements. See item no. 310, above.

0 after termination of employment, but not less than 6 years
*5.[333]

Job classification records, including job classification questionnaire, analysis of job duties and request for reclassification:

NOTE: Appraise these records for historical significance prior to disposition. Local governments with official civil service functions should consider permanent retention of these records. Contact the State Archives for additional advice.

1 year after subsequent classification action completed, but not less than 10 years
*6.[334] Official copy of job posting and position duties statement  
  a. When duties of position are described in detail: PERMANENT
  b. When duties of position are not described in detail: 6 years
*7.[335] Personnel requisition made to civil service or personnel office, requesting that vacancy be filled: 0 after obsolete
*8.[336] Civil service eligible list records  
 

a. Official eligible list and certification of eligible list:

20 years after expiration of eligible list
 

b. Certification of eligible list sent to and retained by appointing authority:

3 years after expiration of eligible list
  c. Request for certification of eligible list: 1 year after expiration of eligible list, but not less than 3 years
 

d. Individual's request for reinstatement to eligible list and reply:

1 year after expiration of eligible list, but not less than 3 years
 

e. Eligible list canvass records, including but not limited to precanvass questionnaire and letter of canvass and reply:

6 months after expiration of eligible list, but not less than 3 years
  f. Military record of applicant, when applicant was not hired:
3 years after expiration of eligible list
*9.[337]

Application for employment, including resume, when applicant not hired:

NOTE: When the applicant is hired, the application is retained in or as long as the personnel file. See item no. 310 in the Personnel subsection, above.

3 years
*10.[750]

Recruitment, hiring, interview and selection records, including but not limited to correspondence, reports, selection criteria, interview notes, background check records, rating and ranking forms, evaluations and other records pertaining to the hiring, promotion, demotion, transfer, layoff and termination of employees:

NOTE: This item does not cover personnel records of individual employees. See item no. 310 in the Personnel subsection, above.

3 years after completion of personnel action
*11.[751] Application for examination  
 

a. When eligible list is established:

3 years after expiration of eligible list
  b. When no eligible list is established:
3 years after examination date
  c. Supplemental documentation filed in conjunction with application, including but not limited to student loan statement, credentials and copies of transcripts: 1 year
**12.[339] Civil service examination records and appointment review records  
  a. Civil service examination and announcement (official copy held by office with official civil service function): PERMANENT
 

b. Civil service examination and announcement (other than official copy held by office with official civil service function):

0 after no longer needed
 

c. Candidate identification or admission card:

3 years after date of examination
 

d. Examination preparation, administration, and rating records:

5 years after date of examination
  e. Veteran credit records: 50 years
 

f. Qualifying medical, physical fitness or agility examination report, when person is hired, and worked one year or longer:

30 years after termination of employment
 

g. Qualifying medical, physical fitness or agility examination report, when person is hired, and worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29 CFR 1910.1020 (d-1) (i-C):

3 years after termination of employment
 

h. Qualifying medical, physical fitness or agility examination report, when person is not hired:

3 years after date of examination
 

i. Summary listing of examination results:

1 year after date of examination
  j. Notification of examination results mailed to candidate: 3 years
 

k. Examination review records including but not limited to employee request, correspondence, and objection:

3 years after expiration of eligible list
  l. Appointment review records, documenting review of applicant qualifications for non-competitive, temporary or other positions not requiring examinations: 5 years
13.[338] Seniority list ranking employees by length of service: 3 years after superseded or obsolete
*14.[752] Disclosures related to student loan status, received as part of civil service examination application, transmitted to New York State Higher Education Services Corporation, along with transmittal documents: 1 year
*15.[753] Local government requests to State Civil Service Commission for approval of changes in policies or jurisdictional classifications: 3 years after date of last entry in record

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PORT FACILITY

 

*1.[346]

Maps, plans, specifications, drawings and photographs of port facility:

NOTE: Appraise these records for historical significance prior to disposition. Some of these records will have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

6 years after facility no longer in use
2.[347]

Master plan, and all supporting documentation for port facility:

PERMANENT

*3.[348]

Tenant legal and reference files

 
 

a. Contract negotiations, contracts, leases and significant correspondence:

NOTE: Appraise these records for historical significance prior to disposition. These records may document the important roles these facilities play in the economic development of the community. In such cases, these records may have continuing value for historical or other research meriting their permanent retention. Contact the State Archives for additional advice.

6 years after expiration, revocation or renewal
  b. Correspondence, including but not limited to complaints about tenants: 6 years
  c. Informational materials, including but not limited to lists of tenant's employees, copies of schedules, brochures and advertising materials: 0 after obsolete

 

PUBLIC ACCESS TO RECORDS

 

*1.[349]

Subject matter list of records held by local government, required under Freedom of Information Law:

6 months after superseded
*2.[350] Listing of officers or employees of local government required by Freedom of Information Law:

6 months after superseded

 

*3.[351] Register or list of applicants seeking access to public records: 6 months
*4.[352] Freedom of Information records request file  
  a. Request for access to public records, when request is granted: 6 months
  b. Request for access to public records, when request is denied, including statement of denial, appeal records, documentation of review and decision: 6 months after final determination
  c. Certificate that record does not exist or cannot be found: 6 months

 

PUBLIC EMPLOYMENT AND TRAINING

 

*1.[353]

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

 
 

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

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

6 years

 

  b. Background material and supporting documentation: 6 years
2.[354] Employment and training program individual participant file, including but not limited to application, work schedule, evaluations, and notice of transition to non-grant employment: 6 years after last entry
3.[355] Denied employment and training enrollment application: 3 years

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PUBLIC HEALTH

GENERAL

 

*1.[356]

Certification, licensing, and accreditation records covering review and approval by state or federal agency or professional review organization, to operate facility or program, to conduct tests, or to perform specified work, including lists of permissible procedures or tests:

7 years after superseded, revoked, or no longer valid
2.[357] Survey, evaluation, and inspection records covering review of facilities and programs by state or federal agency or professional review organization, including but not limited to medical care evaluation and similar studies:

PERMANENT

 

*3.[359]

Appointment records, including slips, return cards, sign-in sheets, and clinic schedules kept by facility or public health program:

NOTE: Appointment records for certain patients may have legal value to supplement patient medical records in documenting services provided to these patients.

0 after obsolete
4.[360] Screening and assessment records and referrals, for persons evaluated but not treated by facility or program: 3 years
*5.[754] Advice and referral records, covering medical, mental health or other information provided to individuals in person or over the telephone, including but not limited to telephone logs and individual call records  
 

a. When person involved is or becomes a patient:

Retain as long as patient case record.
  b. When person involved is not or does not become a patient: 6 months

 

FISCAL

NOTE: Other fiscal records are covered by items on this Schedule found in the Fiscal section.

 

1.[361]

Annual expenditure report or budget submitted to state or federal agency or professional review organization:

PERMANENT
2.[362] Patient's individual financial case record and account

 

 

  a. Individual case record, account card, or ledger card: 7 years after account closed, but not less than 9 years
  b. Individual charge records, posted to case record or card: 7 years
3.[363]

Medicare, Medicaid or insurance carrier claim records, including but not limited to schedule of payments, copy of claim, listing of invalid or rejected claims, vendor payment list, list of claims submitted for payment, and list of checks received:

7 years
4.[364] Insurance and reimbursement related reports, including Medicare/Medicaid cost report and certified uniform financial or statistical report, and all necessary supporting documentation: 9 years
*5.[365] Patient personal property records, including log or register of personal property of patients and receipts and related property records of original entry: 6 years after death or discharge of patient

 

FACILITY AND PATIENT SERVICES

 

1.[366]

Establishment, major alteration, or change of occupancy or use records

 
  a. Records of review and approval of plans, schedule of costs, feasibility studies, plans, specifications and drawings, final report, and significant correspondence:

PERMANENT

 

  b. Memoranda, routine correspondence, and supplemental fiscal documentation: 6 years after last entry
2.[367] Facility committee records  
  a. Minutes of medical staff committees, including but not limited to utilization review committee, joint conference committee or patient care conference: PERMANENT
  b. Records of medical staff committees, excluding minutes, including but not limited to agenda, worksheets and notes: 6 years
  c. Minutes and all other records of facility committee other than medical staff committees, such as dietary services committee or activities committee: 6 years
3.[368] Dietary services records  
  a. Food service records, including meal counts, roster of patients' diet orders, and dietary services studies: 3 years
  b. Menus: 1 year
4.[369] Patient activities records, including information on courses and activities offered to patients: 2 years
5.[370] Medical information index, including but not limited to physician's index, disease index and operative index: PERMANENT
*6.[371] Census record of patients: 6 years
7.[372] Nursing services report, including substation, shift and ward report: 1 year
8.[373] Hospital stay data collection records covering data collection and review by Statewide Planning and Research Cooperative System (S.P.A.R.C.S.) and Data Protection Review Board (D.P.R.B.)  
 

a. Request for data or review of data:

2 years
  b. Results of data processing: 0 after data verified
  c. Data received from S.P.A.R.C.S.: 0 after no longer needed for administrative purposes
*9.[374] Quality assurance records  
  a. Quality assurance plan, including staff privileges review procedures: PERMANENT
  b. Relating to quality of care provided by individual hospital staff members:

10 years after termination of employment

  c. Relating to quality of care provided individual patient, when not duplicated in medical case record: Retain as long as medical case record.
  d. Relating to more than one patient: Retain as long as all relevant medical case records are retained.
10.[375] Health facility infection control and monitoring records: 10 years
*11.[755] Medical waste disposal records, relating to generation, transportation and disposal of regulated medical waste  
  a. Medical waste tracking records, including exception reports: 3 years after waste accepted for transport
  b. Records created by generators who destroy regulated medical waste on site: 3 years after date waste destroyed
  c. Annual reports prepared by waste generator or transporter: 3 years

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PATIENT CASE RECORDS AND RELATED MATERIALS

 

1.[358]

Master summary record, master index file, or principal register giving basic data on individual patients:

PERMANENT
*2.[756]

Patient data file, providing summary and/or detailed information on patient:

NOTE: Health agencies and facilities should consider permanent or long-term retention of the basic data elements of these systems for both administrative convenience and for potential research purposes. This data may provide for ease of access to other electronic and paper-based files and may create a record which replaces or supplements the master summary record (see item no. 358, above). Contact the State Archives for additional advice.

Maintain as long as patient medical or other case record.

 

3.[376] Patient's leave records, including leave book or slip, patient's request, physician's consent and record of leave taken: 6 years
4.[377] Utilization review records for individual patient, excluding those contained in medical case record: 6 years
5.[378] Pre-admission screening records for long-term care health facility  
  a. When person is not admitted: 0 after obsolete
 

b. When person is admitted, and information is not duplicated in medical case record:

Retain as long as medical case record.
*6.[379]

Medical case record of hospital patient, (in-patient and out-patient), excluding film, tracing, or other record of original entry when information contained is posted to or summarized in case record:

NOTE: Appraise these records for historical significance. These records may have continuing value for historical or other research, and the State Archives suggests hospitals consider permanent retention, or if not permanent, for at least 10 years after death or discharge of patient, based on American Medical Records Association guidelines. In addition, records of adoptive children may need to be retained longer for legal and medical reasons. Also, medical records of mothers may, in certain cases, need to be retained longer if needed relative to their children's health. The State Archives recommends that these factors be considered in disposing of medical case records, and that these records be evaluated for disposition on a case-by-case basis.

6 years after death or discharge of patient, but not until 3 years after individual attains age 18
7.[380] Medical case record of long-term care health facility patient:
6 years after death or discharge of patient, but not until 3 years after individual attains age 18
8.[381] Medical case record of out-patient, including but not limited to diagnostic or treatment center patient; child health, maternity, family planning, lead poisoning, medical rehabilitation, dental health, Indian reservation health, nutrition or tuberculosis clinic patient; health related social services and home health agency patient, but excluding early intervention program: 6 years after discharge or last contact, but not until 3 years after youngest patient attains age 18
*9.[382] Original entry patient care records which exist separately from case record, including nurses' notes, operating room record, therapy record, nursery and obstetrics record, emergency room treatment record, triage records, and temperature charts  
  a. When significant information is posted to medical case record: 6 years
 

b. When significant information is not posted to medical case record:

Retain as long as medical case record.
*10.[383]

Film or tracing, including X-ray, EKG tracing, EEG tracing, sonogram, echo cardiogram and holter monitor printout, when report of film or tracing is retained as long as medical case record:

NOTE: Holter monitor tapes need only be retained for one month after printouts ("disclosures") are produced from them.

NOTE: Older X-rays on nitrate-base films, which have deteriorated to the point where they are no longer usable, should not be retained. Retention of older nitrate-base X-rays may pose a serious fire hazard.

NOTE: Certain mammograms (covered by this item or by item no. 360, above) must be retained for 10 years pursuant to requirements found in 21 CFR, Section 900.12 (c-4-i). Consult your attorney or counsel to determine what action is necessary to meet this requirement.

6 years
11.[384] Patient care conference records, including worksheets and evaluations, but excluding minutes  
  a. When significant information is posted to medical case record: 0 after posting
 

b. When significant information is not posted to medical case record:

Retain as long as medical case record.
*12.[385] Communicable disease individual case records  
 

a. Communicable disease case report or equivalent record, including copy of laboratory report:

6 years after discharge or last contact, or 3 years after individual attains age 18, whichever is longer
  b. Supplementary reports on communicable diseases: 2 years
 

c. Typhoid carrier records:

2 years after death or release of carrier
  d. Syphilis treatment case record: 40 years
  e. Sexually transmitted disease case record, except syphilis: 6 years, or 3 years after individual attains age 18, whichever is longer
*13.[757]

Mental health incident report:

20 years
*14.[386] Mental health individual case record  
  a. Clinical discharge summary: 25 years
  b. Psychiatric test answer sheets: 6 years
 

c. Case record materials, except clinical discharge summary and psychiatric test answer sheets:

NOTE: Appraise these records for historical significance. Records covered by item nos. 386 and 387 may have continuing value for historical or other research. Contact the State Archives for additional advice in this area.

10 years after discharge or last contact with patient, or 3 years after individual attains age 18, whichever is longer
*15.[387] Alcohol or substance abuse individual case record including clinical discharge summary:
6 years after date of discharge or last contact, or 3 years after individual attains age 18, or for the period required by contractual arrangements, whichever is longest
*16.[758] Reports, studies or data queries, including those generated from patient data system (including documentation of macros, queries, and reports)  
 

a. Reports, studies or queries relating to individual patient:

Retain as long as or as part of medical or other patient case record.
 

b. Reports, studies or queries not relating to individual patient:

NOTE: Appraise records covered by part "b" for archival value. Reports and studies analyzing specific medical conditions and their treatments may be valuable for long-term planning and for medical, historical and other research. Contact the State Archives for additional advice.

0 after no longer needed

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LABORATORY

 

*1.[388]

Master summary record, including accession sheet or register

 
 

a. Register of laboratory tests performed:

NOTE: Appraise these records for archival value. These records may contain detailed information on the subject, nature and results of laboratory tests and may have long-term or permanent scientific or historical research value. Contact the State Archives for additional advice.

7 years
  b. Record of collection of specimens: 7 years
*2.[759] Laboratory test data file, providing summary and/or detailed information on laboratory tests performed  
 

a. For clinical laboratory tests:

Maintain as long as related laboratory tests results.
  b. For forensic or toxicology tests: 6 years
 

c. For environmental health tests:

NOTE: Laboratories should consider permanent or long-term retention of the basic data elements of these systems for both administrative convenience and for potential research purposes. This data may provide for ease of access to other electronic and paper-based files (such as accession records and laboratory test results) and may create a record which replaces or supplements the master summary record (see item no. 388, above). Contact the State Archives for additional advice.

Maintain as long as related laboratory tests results.
*3.[389] Request for laboratory test:
Retain as long as the related test results or 7 years, whichever is shorter.
*4.[760] Referral information for cytogenetic cases: 6 years
*5.[390] Laboratory worksheet, workslip, history slip, or similar record  
 

a. For environmental health, or toxicology or forensic test:

Retain as long as related test results.
  b. For clinical laboratory tests: 1 year
*6.[391]

Preventive maintenance, service, or repair record for laboratory equipment or instrument:

NOTE: If equipment is used to produce laboratory tests which have differing minimum legal retention periods, then these preventive maintenance records must be retained as long as the longest period of time these laboratory test results need to be retained.

Retain as long as the equipment or instrument remains in use, and also as long as test results using this equipment are retained.
*7.[392]

Quality control records covering laboratory equipment and procedures:

NOTE: If equipment is used to produce laboratory tests which have differing minimum legal retention periods, then these quality control records must be retained as long as the longest period of time these laboratory test results need to be retained.

Retain as long as test results using this equipment are retained, but not less than 2 years.
8.[393] Laboratory protocol detailing procedures for conducting tests, disposing of specimens, samples and supplies, or other activity, including superseded or obsolete procedures: PERMANENT
*9.[394] Laboratory reports, studies or data queries, including those generated from automated data system  
  a. Forensic and other related investigation reports: 6 years
 

b. All other reports, studies or queries:

NOTE: Appraise these records for archival value. Reports and studies analyzing specific types of tests, test results and the population being tested may be valuable for long-term planning and for medical, historical and other research. Because these records will vary greatly as to content, subject and detail, they should be appraised for archival value. Contact the State Archives for additional advice.

0 after no longer needed
*10.[395] Laboratory specimens and slides  
  a. Blood film, routine: 6 months
  b. Blood film, other than routine: 1 year
  c. Cytology slide, showing abnormality: 7 years
  d. Cytology slide, showing no abnormality: 3 years
  e. Bone marrow biopsy, tissue block, and histopathology slide: 20 years
  f. Bacteriology slide, on which no diagnosis depends: 0
  g. Bacteriology slide, on which a diagnosis depends: 1 year
  h. Cytogenetic slide: 6 years
  i. Photographic record of cytogenetic karyotype: 25 years
  j. Recipient blood specimens: 1 week
*11.[396] Blood collection, release, transfusion and related records  
  a. When plasmapheresis, cytapheresis, intraoperative and postoperative blood recovery, isovolemic hemodilution or reinfusion is involved:
7 years after procedure involved
 

b. Other blood related records, including autogenic or allogenic transfusions:

7 years, or 6 months after the expiration date of the individual product, whichever is later
12.[397] Biologics receipt and distribution record  
  a. Detailed delivery record: 2 years
  b. Summary record of receipt and distribution: 5 years
13.[398] District laboratory supply station records  
  a. Notification of establishment or discontinuance of station or of appointment or termination of its caretaker: PERMANENT
  b. Certificate of approval of station maintenance: 2 years
  c. Periodic inventory of station supplies: 6 years
*14.[399] Laboratory examination test results (clinical)  
  a. Positive report of syphilis serology: 7 years
  b. Negative report of syphilis serology: 2 years
  c. Tissue pathology (including exfoliate cytology) report: 20 years
  d. Cytogenetics report: 25 years
  e. Clinical, except those listed above: 7 years
*15.[761]

Forensic and toxicology test results:

NOTE: These records may need to be retained as long as related case investigation records. Consult the appropriate law enforcement or investigative agency to determine if these records may be needed longer for legal purposes.

6 years
*16.[400] Laboratory examination test results (environmental health)  
  a. Chemical analysis of potable water supply: 10 years
 

b. Routine analysis of water at pool or beach:

0 after posted to summary record, or 3 years if not posted
  c. All other environmental health test results: 3 years
  d. Sampling data and other test results maintained by laboratory of public water supply facility, created pursuant to Section 5-1.49, 10 NYCRR: 12 years
  e. Local health agency copy of any environmental analysis received from laboratory: 1 year

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RADIOLOGICAL HEALTH

 

*1.[177]

Approvals and registrations relating to radiological equipment and materials

 
 

a. Approval to possess or use radioactive materials, received from New York State Department of Health, and related records:

3 years after local government, facility or program no longer possesses or uses radiological materials
 

b. Registration of radiation-producing equipment with New York State Department of Health, and related records:

2 years after expiration or renewal
*2.[178] Radiation-exposure records for an individual  
  a. Records of diagnostic misadministrations: 3 years
  b. Records of therapeutic misadministrations: 6 years
 

c. Radiation-exposure data for an individual, including records of radioactive material deposited or retained in body:

0 after individual attains age 90
*3.[762] Records of occupational doses for an individual using radiation-producing equipment or radiological materials  
  a. Annual or other summary occupational dose records: 0 after individual attains age 90
  b. Detailed occupational dose records: 0 after annual or other summary record containing this information is produced
 

c. Records of prior occupational dose:

0 after individual attains age 90
 

d. Records of planned special exposures:

0 after individual attains age 90
*4.[179] Radiation equipment testing and inspection records  
  a. Regulatory inspection and audit records, including master summary record and "index card": 6 years after equipment no longer in use
  b. Equipment accuracy testing records, including surveys, calibrations, measurements, and quality control tests: 3 years
*5.[180] Records of disposal, theft, loss, or excessive release of radiation  
  a. Records concerning theft or loss of radiation source, excessive release of radiation, or excessive exposure of individual to radiation, including documentation of notification: PERMANENT
  b. Record of disposal by burial in soil: PERMANENT
  c. Records of authorized transfer or receipt, or issue and return of radiation source or radioactive materials, or disposition by incineration or release into sanitary sewer system: 6 years
*6.[763] Radiation program safety records  
 

a. Records documenting provisions of program:

3 years after program ceases to exist
  b. Audits and other reviews of program content and implementation: 3 years
 

c. Records documenting specific instructions given to workers:

3 years

 

MISCELLANEOUS

 

*1.[401]

Birth and death records held by health agency or facility, including copies of birth and death certificates, and related electronic records:

NOTE: The New York State Department of Health requires these records be destroyed as soon as no longer needed. Paper copies of birth and death certificates shall be destroyed within one year of the date of their receipt. Copies of fetal death certificates must be destroyed by the end of each month, pursuant to Section 4160, Public Health Law.

0 after no longer needed
2.[402] Medical rehabilitation service card:
6 months after completion of annual report
*3.[764] Dental clinic records  
 

a. Dental hygienist's clinic record:

0 after youngest person on record attains age 21
  b. Dental referral card, notifying clinic of work done by private dentist: 2 years
 

c. Individual dental treatment summary record:

6 years after dental work completed, or 3 years after individual attains age 18, whichever is longer
4.[403] Maternal and child health reports  
  a. Clinic service report, including but not limited to school health service report, and report of poisoning case, except lead poisoning: 1 year
  b. Individual newborn infant metabolic defects screening report: 0 after individual attains age 21
5.[406] Lead poisoning reports and screening results  
 

a. Positive results of screening, when not duplicated in case record:

Retain as long as case record.
 

b. Positive results of screening, when duplicated in case record:

0
 

c. Negative results of screening, when posted to summary record:

0 after posting
 

d. Negative results of screening, when not posted to summary record:

0 after individual attains age 21
  e. Blood level determination report: 10 years
  f. Summary report of screening program: PERMANENT
*6.[765] Cancer study and control program records  
 

a. Cancer case report for individual, received and used for statistical purposes:

6 years, or 3 years after individual attains age 18, whichever is longer
 

b. Cancer summary record for individual:

2 years after individual dies or attains age 90
7.[766] Negative tuberculosis X-ray films or interpretive reports resulting from screening program: 3 years
*8.[407] Individual immunization record, including authorization and/or parental consent: 6 years, or 3 years after individual attains age 18, whichever is longer
9.[408] Vaccine distribution and usage records  
  a. Official record of distribution and usage: 25 years
  b. Statistical or similar record of vaccines administered: 5 years
*10.[409] Results of screening programs, except lead poisoning  
  a. Summary reports on screening results: PERMANENT
  b. Master index or listing of participants: 50 years
 

c. Positive report of individual screened, including statement of consent or participation and authorization for release of information:

6 years, or 3 years after individual attains age 18, whichever is longer
  d. Negative report of individual screened, including statement of consent or participation and authorization for release of information: 1 year
  e. Log or other working record of screening and testing, used to compile statistics and other data: 1 year
 

f. Anonymous H.I.V. test results and related records:

NOTE: Identifiable H.I.V. related records are covered by item nos. 379 and 381, and related laboratory records are covered by items in the Laboratory subsection.

7 years
*11.[410] Receipt and storage records for controlled substances (or other drugs or medication), including inventory, authorized requisition, receipt and vendor record: 5 years
*12.[411] Usage and distribution records for controlled substances (or other drugs or medication)  
 

a. Record of withdrawal from stock, distribution and administration to patients:

5 years
  b. Order or prescription form used for administering to patients: 6 years
 

c. List of narcotic registrants (persons registered to possess or prescribe controlled substances):

0 after obsolete
  d. Report on habitual user of narcotics: 6 years
*13.[767] Tissue donation and transfer records  
  a. Master summary record (index or log) of all tissue donations and transfers: PERMANENT
  b. Reproductive tissue donation records, including but not limited to information on donor and donation, referral records, tissue storage and processing records, documentation of delivery or receipt and records of tissue disposal and/or use (other than those contained in patient medical records), of donated reproductive tissue in artificial insemination and/or assisted reproductive procedures which result in a live birth: 25 years
 

c. Reproductive tissue donation records, including but not limited to information on donor and donation, referral records, tissue storage and processing records, documentation of delivery or receipt and records of tissue disposal and/or use (other than those contained in patient medical records), of donated reproductive tissue in artificial insemination and/or assisted reproductive procedures which do not result in a live birth:

7 years after release or discard of tissue
 

d. Other tissue donation and transfer records, including but not limited to information on donor and donation, referral records, tissue storage and processing records, documentation of delivery or receipt and records of tissue disposal and/or use (other than those contained in patient medical records), for tissue intended for transplantation:

7 years after release or discard of tissue
 

e. Records of release of tissue or nontransplant anatomic parts for research or educational purposes:

5 years after release
*14.[768] Organ procurement and transplant records  
 

a. Master summary record (index or log) of all organ donations and transplants:

PERMANENT
 

b. Other organ donation and transplant records, including but not limited to information on donor and donation, referral records, documentation of delivery or receipt, information on recipient and records of use (other than those contained in patient medical records), when organ is procured:

7 years after date of procurement
 

c. Other organ donation and transplant records, including but not limited to information on donor and donation, referral records and explanation of why organ is not procured (other than those contained in patient medical records), when organ is not procured:

7 years after date of most recent entry in record

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PUBLIC PROPERTY AND EQUIPMENT

 

*1.[412]

Real property acquisition or sale file for property owned by local government including but not limited to copy of deed, copy of appraisal or valuation, copy of site or plot plan, photographs, recommendation or justification for acquisition or sale, approval for acquisition or sale, closing statement, memoranda and correspondence

 
  a. Copy of site or plot plan, photographs, and recommendation or justification for acquisition or sale: PERMANENT
 

b. Other records in file, including but not limited to copy of deed, copy of appraisal or valuation, closing statement, approval for acquisition or sale, memoranda and correspondence:

NOTE: This does not apply to a sale of real property tax liens conducted by the local government. See the Taxation and Assessment section.

6 years after property no longer owned by local government
2.[413] Master summary record (book, log or register) recording acquisition or sale of property by local government: PERMANENT
3.[414] Official copy of sale or auction list, and notice or advertisement of sale of real property by local government: PERMANENT
*4.[415] Capital construction or public improvement project file, including but not limited to bids, specifications, contracts, performance guarantees, inspection reports, and environmental impact statements  
 

a. Feasibility studies; successful bids; plans, specifications and designs; project description; in-progress and completion photographs; inspection reports; environmental impact statement; annual project statement; fiscal and other final reports; significant change orders; and significant correspondence:

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

6 years after building or facility no longer exists or is no longer owned by local government
 

b. Supplementary documentation, including application for assistance, project budget, interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheet, non-significant change orders; routine correspondence and detailed construction specifications:

6 years after last entry in project file
  c. Unsuccessful bids, to which contract is not awarded: 6 years
 

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

NOTE: For plans, maps, designs, sketches, designs, architectural drawings and photographs of buildings and facilities, see item no. 416, below.

6 years after last entry
*5.[416] Official plans, maps, designs, architectural drawings, and photographs for buildings or other facilities owned by local government, including index, and also including design file for capital construction or renovation project  
  a. Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for significant building or other facility: PERMANENT
 

b. Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for other than significant building or other facility:

6 years after building or facility no longer exists or is no longer owned by local government
 

c. Mechanical, electric and other detailed schematic drawings, not covered by parts "a" or "b," including detailed specifications not appearing on plans, maps, designs, sketches, architectural drawings:

6 years after building or facility no longer exists or is no longer owned by local government
 

d. Other related non-graphic design file documents, including correspondence, cost estimates, reports, planning studies and other records:

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

6 years after completion of project
 

e. Template or other similar automated framework or reference files used in conjunction with more specific automated design files:

Retain as long as the related specific automated design files are retained.
 

f. Index or similar record used to locate, identify and access plans, maps, designs, sketches, architectural drawings, photographs and other existing records:

Maintain as perpetual data file or other record, deleting information only relating to records that have been disposed of.
*6.[417]

Draft or intermediary plans, maps, designs, sketches or architectural drawings, including explanatory textual files, tracings and other than final or "as built" automated design files:

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

0 after no longer needed
*7.[769] Maintenance, testing, service, operational and repair records for buildings and other facilities or their mechanical, electrical systems or other infrastructure  
 

a. Cumulative summary records:

6 years after building or other facility no longer in use
  b. Individual detailed report or related record, such as work request, work order, personnel deployment record, preventive maintenance schedules and records of work completed, when posted to cumulative summary record: 6 years
 

c. Individual report or related record, such as work request, work order, personnel deployment record and records of work completed, when not posted to cumulative summary record:

6 years after building or other facility no longer in use
 

d. Log, maintenance schedule or similar record of ongoing activity:

6 years after last entry
 

e. Descriptive information on specific equipment or component parts:

6 years after equipment or part no longer in use
 

f. Descriptive information on maintenance personnel, vendors or contractors:

1 year after superseded or obsolete
  g. Inventories of parts, materials and supplies needed for maintenance and repairs: 6 years
 

h. Requests for inspection, repair or service, when no work is performed and no funds expended:

NOTE: For plans, designs and schematic drawings of buildings and facilities, including their systems and component parts, see item no. 416, above.

1 year
*8.[770]

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

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

6 years
*9.[418]

Building or facility security records, including but not limited to visitor's register, watchman's or automated security system or false alarm reports, and records of building/room keys or passes issued:

NOTE: This item does not cover airport security records, which are covered by item no. 537 in the Transportation and Engineering section, Airport subsection.

3 years, or 3 years after cancellation or return of key or pass
*10.[419]

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

NOTE: Appraise these records for historical significance prior to disposition. In some cases, facility use files may document significant attempts by the local government to broaden its support base by reaching out to community groups.

6 years
*11.[420]

Fire safety records, including but not limited to fire safety inspection reports, fire drill report, fire alarm records, fire inspection reports and fire investigation reports

NOTE: Records maintained by the public safety agency which performs official fire safety functions are covered by item nos. 446, 448 and 449 in the Public Safety section, Fire Fighting and Prevention subsection.

 
 

a. Fire safety inspection reports:

3 years, or until all violations noted on report are corrected, whichever is later
  b. Records other than fire safety inspection reports: 3 years
*12.[421] Property inventory records, covering buildings, facilities, vehicles, machinery and equipment, including "fixed assets" records:
0 after superseded by updated inventory, or 6 years after replacement, sale, or discontinuance of use of all property listed, whichever is sooner
13.[422] Inventory of supplies: 6 years
14.[423] Public property sale or discard records, except real property, including but not limited to description of property, bids or offers, and receipt of deed of gift: 6 years
*15.[424] Maintenance, testing, service, operational and repair records for equipment or vehicle, but not covering buildings and other facilities or their mechanical, electrical systems or other infrastructure  
 

a. Cumulative summary record for vehicle or equipment:

6 years after vehicle or equipment no longer in use
  b. Individual report when posted to cumulative summary record: 6 years
 

c. Individual report when not posted to cumulative summary record:

6 years after vehicle or equipment no longer in use
 

d. Maintenance or repair log or similar record:

6 years after last entry
  e. Reports and studies relating to maintenance, testing, service, operation and repairs for equipment or vehicles: 6 years
  f. Requests for inspection, repair or service, when no work is performed and no funds expended: 1 year
16.[425] Specifications, warranty and descriptive information received from vendor for vehicle or equipment:
6 years after vehicle or equipment no longer in use
*17.[426]

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

NOTE: This does not apply to emergency use of law-enforcement, fire or other emergency vehicles, which are covered by items in the Public Safety section. For usage records covering busses and other public transportation vehicles, see the Transportation and Engineering section, Public Transportation subsection.

 
 

a. Detailed data file containing information such as on vehicle stops, usage, locations at specific times or intervals:

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

0 after no longer needed
  b. Automated system operation history file, containing significant data and/or periodic data snapshots, generated from detailed system data: 6 years
 

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

6 years
 

d. Logs, schedules, reports, and queries (including macros, queries and necessary documentation used in report and query generation), which do not contain information of legal or fiscal value:

0 after no longer needed
  e. Geographic Information System (G.I.S.) street/road data file used for vehicle routing scheduling, derived from official G.I.S. data maintained by other unit of local government: 0 after no longer needed
*18.[427]

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

NOTE: This item does not cover fuel (jet fuel and service vehicle fuel), de-icer or other chemical storage and dispensing records for airport, which are covered by item no. 862 in the Transportation and Engineering section, Airport subsection.

6 years
*19.[428] Request for services or supplies, including stockroom supplies, forms and publications, duplication, or use of any vehicle or equipment  
  a. When a chargeback or fee is involved: 6 years
  b. When no chargeback or fee is involved: 0 after no longer needed
20.[429] Federal Communications Commission (F.C.C.) private radio licensing records  
  a. Original application and other related records not created for renewal applications:
5 years after final termination of license or denial of application
 

b. Renewal application and related records, including copy of license:

5 years after renewal or termination of license or denial of application
  c. Request for frequency data research: 1 year
 

d. Listing of locations of radios using local government private radio frequency:

0 after superseded or obsolete
*21.[430] Petroleum bulk storage records  
 

a. Registration, including application and related records:

7 years after expiration or termination of registration or denial of application
  b. Monthly and ten-year mandatory inspection reports: 10 years
 

c. Daily and other periodic inspection reports:

1 year
  d. Test certification for underground storage tank: 7 years
  e. Site assessment and related records, required when an underground storage tank is abandoned: PERMANENT
  f. Records relating to leakage and spillage: PERMANENT
  g. Inventory monitoring records: 5 years
*22.[771] Aquatic weed harvesting and/or control records (covers harvesting by mechanical or manual means or control by use of herbicides): 3 years
**23.[913] Hazardous waste generation records  
  a. Individual load delivery and other detailed records, including manifest form: 3 years after waste accepted by transporter
  b. Annual and exception reports: 3 years after due date of report
 

c. Test results and waste analyses:

NOTE: This item covers records of local governments which generate hazardous waste but do not operate programs to collect and dispose of hazardous waste. For governments that operate such programs, item no. 190 in the Environmental Health section, Environmental Facilities: Solid Waste Management Facilities subsection, covers records of the generation, collection and disposal of hazardous waste.

3 years after date waste was removed
**24.[773] Building rehabilitation and reconstruction project files when asbestos is installed, removed, encapsulated, applied, distributed or otherwise involved: 30 years
*25.[774] Lead or copper content testing and remediation files covering lead or copper content in drinking water of public facilities  
 

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

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

c. Records of remediation by replacement of lead or copper plumbing:

6 years after building no longer exists
 

d. Records of remediation by elimination or replacement of water cooler not connected to plumbing:

6 years after cooler eliminated or replaced
*26.[775]

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

NOTE: Records of incidents of possible exposure to pesticides (including herbicides, rodenticides and disinfectants), and other records created because pesticides are considered "toxic substances," are covered by item no. 325 in the Personnel/Civil Service section.

3 years
*27.[776] Inventory of pesticides (including herbicides, rodenticides and disinfectants) maintained by local government:
40 years after superseded or obsolete
*28.[777] Annual report of pesticides (including herbicides, rodenticides and disinfectants) used, submitted to New York State Department of Environmental Conservation: 2 years
*29.[778] Application for business/agency pesticide registration, including all related records:
1 year after superseded or invalid
*30.[779] Records relating to certification for individual certified commercial applicator, including copy of application, records of training in use of pesticides, examination results, copy of certificate and recertification records: 6 years
*31.[780] Permits and approvals from state or county health department to operate pool or beach:
3 years after denial or expiration
*32.[781] Reports of pool or beach operation and inspection: 21 years
*33.[782] Facility inmate work crew records, covering crews from state or county correctional facilities performing work outside the facilities for local government or not-for-profit organization, including but not limited to request for work crew and site visit report: 2 years
**34.[783] Self-evaluation records, required under Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements  
  a. Voluntary compliance plan for facility, including list of persons consulted, description of areas examined, transition plan, list of problems identified and description of modifications anticipated and made: PERMANENT
  b. Copies of work orders, progress notes and other supporting documentation:

1 year after modifications completed

**35.[784] Inspection reports, reviews and audits (internal and external) created relative to the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:
6 years after building or facility involved is no longer in use
**36.[785] Individual case records, filed under the provisions of the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements, including but not limited to complaint, charge or request for reasonable accommodation, medical reports, responses, records of appeals, correspondence and internal memoranda, records documenting work done in response to complaint or request, and documentation of final resolution  
 

a. When complaint or request is filed by officer or employee of the local government involved:

3 years after resolution of case and termination of any reasonable accommodation provided
 

b. When complaint or request is filed by person other than officer or employee of the local government involved:

3 years after date of final entry in record, but not less than 3 years after person involved attains age 18
**37.[786] Master summary record of all cases under the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements: PERMANENT
*38.[787] Videotape or other recording maintained for security purposes  
 

a. Videotape or other recording containing incidents warranting retention for administrative or potential legal uses:

3 years, but not until any minor has attained age 21
 

b. Videotape or other recording not containing incidents warranting retention for administrative or potential legal uses:

0 after no longer needed
*39.[788] Records relating to protection of underground facilities  
  a. Notice of or request for excavation, received by local government from excavator, pursuant to 16 NYCRR, Section 753-5.2, including notice of postponement or cancellation and notice of discovery of unknown facility: 4 years
 

b. Master list or central registry of operators of underground facilities located within borders of county or municipality:

0 after superseded or obsolete
*40.[789] Records filed by contractor or sub-contractor with local government related to public works project, pursuant to Section 220 (3-a), Labor Law, including but not limited to copy or abstract of payroll, classification of workers employed on a project, and statement of work to be performed by each classification: 3 years after contract completion
*41.[790]

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

NOTE: Public water supply records, where a local government provides water for public consumption, are covered by items in the Environmental Health section, Environmental Facilities: General and Environmental Facilities: Public Water Supply subsections.

 
  a. Permits and approvals necessary to establish or operate system, including supporting data and other related records: PERMANENT
  b. Original entry and intermediary charts, graphs and other data collected relating to water usage, water levels and water quality: 10 years
 

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

PERMANENT
  d. Reports and related records not showing long-term trends and developments: 10 years
  e. Reports and test results on unsatisfactory water supply samples: 20 years
  f. Log recording summary information collected at periodic intervals such as changes in pressure and level, proportion of chemicals present, operational changes and problems: PERMANENT
 

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

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

5 years
*42.[878] Energy consumption monitoring records showing use of electricity or fuel, operation of heating and/or cooling equipment, or environmental conditions (temperature, humidity, air quality) in various parts of publicly owned or operated building or other facility  
 

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

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

0 after no longer needed
 

b. Equipment maintenance, testing and service records, except detailed records of routine activities:

6 years after equipment no longer in use
  c. Detailed records of routine maintenance, testing and service: 6 years
 

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

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

6 years
*43.[791] Records relating to mines owned or operated by local government  
  a. Plans, maps and environmental impact statements generated as part of application process to obtain permit from New York State Department of Environmental Conservation to operate mine, or to obtain permit renewal: PERMANENT
 

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

3 years after mine closed and land reclaimed
 

c. Mine registration with the United States Department of Labor, Mine Safety and Health Adinistration (MSHA) known as "Legal Identity Report":

3 years after mine closed and land reclaimed
 

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

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

f. Basic information on employees working at mine, known as "population survey," submitted to MSHA, as required by 30 CFR, Section 45.4:

NOTE: The annual training plan for employees who work at a mine is covered by item no. 584 in the General section. Accident and personal injury reports are covered by item no. 741 in the Personnel/Civil Service Section, Personnel subsection. The rescue plan is covered by item no. 449 in the Public Safety section, Fire Fighting and Prevention subsection. Training certification records for each employee working at a mine are covered by item no. 314 in the Personnel/Civil Service section, Personnel subsection.

0 after no persons listed on report still work at mine

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PUBLIC SAFETY

E-911 AND RELATED RECORDS

 

*1.[792]

Master Street Address Guide (MSAG) and related records

 
 

a. MSAG database, containing such information as road/street names, address ranges, addresses, community names, telephone numbers, and information on properties, structure and individuals:

NOTE: Appraise these records, which may contain valuable information on properties, structures and residents, for secondary uses as well as historical significance prior to disposition. Periodic "snapshots" of this data may be 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. Contact the State Archives for additional advice on the creation and maintenance of these records.

Maintain as perpetual data file, and 1 year after replaced by superseding MSAG data file.
 

b. Street alias file, containing alternative road or street names:

Maintain as perpetual data file, and 3 years after replaced by superseding street alias file.
  c. Records of updates, corrections and confirmations to MSAG database, including assignments of new or revised street addresses: 3 years
 

d. Non-permanent road/street related information, such as relating to temporary closure of road or street:

3 years after information becomes invalid
*2.[793] Telephone utility address records  
 

a. Copy of database or printout received from telephone utility:

0 after no longer needed
  b. Updates, corrections, trouble reports and Automatic Location Information (ALI) discrepancy reports, submitted to and received from telephone utility: 1 year
*3.[794] Non-emergency call receipt and response records, such as those contained in E-311 system, E-911 system module, or other electronic or manual system by which non-emergency calls are handled: 1 year
*4.[795] Automatic Number Information (ANI) and Automatic Location Information (ALI) records  
 

a. ALI database, containing street address information on each telephone number:

NOTE: Local governments which do not maintain MSAG data files may wish to retain this record as a perpetual data file, and for 1 year after replaced by a superseding data file.

0 after no longer needed
 

b. ANI and ALI reports, such as printouts of ANI or ALI screen displays and similar records, but not including ALI discrepancy reports:

NOTE: Local governments should consult their attorney or counsel before these records are disposed of regarding any potential legal value.

0 after no longer needed
*5.[796] E-911 system development and implementation records  
 

a. Feasibility and implementation reports and studies:

NOTE: Appraise these records for historical significance prior to disposition. Because of the costs involved and significance of implementing E-911 and related systems, these records may be important in documenting the system itself as well as the implementation process. Contact the State Archives for additional advice.

6 years after completion of project
 

b. Background materials used in preparing feasibility and implementation reports and studies, preliminary maps, and detailed statistical and other supplementary data accompanying reports and studies:

6 years after completion of project
  c. Records relating to establishment of road/street names, address ranges and addresses, including changes in names of roads/streets and address range changes, including standards followed for naming, addressing and address conversions: PERMANENT
  d. Aerial photographs and final maps created in conjunction with system implementation: PERMANENT

 

COMPUTER-AIDED DISPATCH (CAD)

 

*1.[797]

Computer-aided dispatch (CAD) or incident data file, containing data on each call received and equipment dispatch or other resulting action taken:

NOTE: In some automated systems no MSAG data file exists, and the CAD or incident data file assumes this function. In these cases local governments should consider maintaining this record as a perpetual data file, and 1 year after replaced by superseding data file.

NOTE: Incidents involving minors, casualties, serious injuries, homicides, fires which are incendiary in nature or under investigation, or unsolved law enforcement cases, may necessitate retention of data relating to these incidents longer for potential or ongoing legal needs. Contact the State Archives for additional advice.

3 years
*2.[431] Emergency call receipt and/or equipment dispatch record, including but not limited to police or fire incident report or alarm report, generated each time an alarm or call is received and equipment is dispatched or other resulting action taken  
 

a. When record contains no information on emergency medical treatment of an individual:

NOTE: Incidents involving minors, casualties, serious injuries, homicides, fires which are incendiary in nature or under investigation, or unsolved law enforcement cases, may necessitate retention of data relating to these incidents longer for potential or ongoing legal needs. Records custodians may wish consult their attorney, counsel or law enforcement agency before these records are disposed of regarding any potential longer legal value. Contact the State Archives for additional advice.

3 years
 

b. When record contains information on emergency medical treatment of an individual:

6 years, or 3 years after individual attains age 18, whichever is longer
*3.[798] Geographic Information System (G.I.S.) records used in emergency dispatch process  
 

a. Street, road right-of-way, road centerline, hydrant, tax parcel or other data layer (official copies maintained and/or updated by dispatching unit):

Maintain as perpetual data files, and 1 year after superseded.
 

b. Street, road right-of-way, road centerline, hydrant, tax parcel or other data layers (other than official copies, where official copy is maintained by ther unit of local government which maintains the G.I.S.):

0 after no longer needed
 

c. G.I.S. file and process documentation records, covering G.I.S. operations where dispatch unit creates, revises or performs analyses on data layers and related files:

Maintain until G.I.S. system used in dispatch is superseded or no longer used.
*4.[432]

Communications log (radio, telephone, alarm or other) recording each communication between caller and receiving unit or between dispatch unit and mobile unit or field personnel, for law enforcement agency, fire department or district, emergency medical or central emergency dispatch unit:

NOTE: Local governments should consult their attorney or counsel before these records are disposed of regarding any potential legal value.

3 years after last entry
*5.[433]

Tape recording of communications kept by dispatch unit of law-enforcement agency, fire department or district, emergency medical service or central emergency dispatch unit:

NOTE: Records custodians may wish consult their attorney, counsel or law enforcement agency before these records are disposed of regarding any potential legal value. The State Police suggests that these tapes be retained for at least 30 days if economically feasible. Recordings of serious incidents may warrant longer retention for legal reasons. These tapes should be retained until legal action is resolved, or the relevant specific communications should be transferred onto a separate tape. Contact the State Archives for additional advice.

0 after information posted to emergency call receipt and/or equipment dispatch record
*6.[799] Call receipt and dispatch related reports, other than individual incident reports  
  a. Incident data files submitted to New York Department of State: 2 years
  b. Summary data reports and detailed reports containing information of potential legal or fiscal value: 6 years
 

c. Internal information reports of no legal or fiscal value, such as daily activity reports:

0 after no longer needed

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PUBLIC SAFETY: GENERAL

NOTE: Software and software manuals and documentation are not considered "records" under the Local Government Records Law. Local governments may need, however, to retain older versions of software, as well as relevant manuals and documentation, to document the operation of public safety related systems for legal purposes, such as defending the integrity of systems in court actions. Contact your counsel or attorney for advice in this area prior to destroying outdated software and related documentation.

 

*1.[471]

Accreditation records for law enforcement, fire fighting or prevention or emergency medical services agency or unit:

PERMANENT
*2.[800]

Emergency vehicle, apparatus and equipment records

NOTE: Items covering purchase, warranty, repair, fuel use, and replacement are found in the Public Property and Equipment section.

 
  a. Vehicle upkeep and use records, including records of incidents where vehicle responded and equipment was used: 3 years
  b. Vehicle readiness checklist, or equivalent record, for any emergency vehicle, needed to ensure that necessary equipment and material is in place and in proper order: 3 years
  c. Record of equipment (other than firearms) issued to public safety personnel: 1 year after equipment returned or otherwise disposed of
*3.[435] Training records for law-enforcement officers, E-911, dispatch or fire-fighting personnel, but excluding emergency medical personnel  
 

a. Individual's record of courses attended and/or completed, including basic information on course content:

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

6 years after individual leaves service
  b. Official copy of training manual or bulletin: 50 years
  c. Course instruction records, including attendance lists and lesson plan: 1 year
*4.[801] Alarm records  
 

a. Permit files for connecting fire, water or burglar alarm to public safety agency emergency telephone system, including applications, copies of permits, inspection reports and related records:

6 years after denial, expiration or renewal
  b. Alarm or fire alarm box call record containing basic information on each alarm transmitted: 3 years
  c. False alarm records, including but not limited to lists of false alarms, notices sent to property owners and records of assessing and collecting fines for responses to false alarms: 6 years
 

d. Alarm location records, including maps and listing and descriptions of alarms:

3 years after superseded or obsolete
*5.[802]

Public safety personnel service data file or equivalent record, including incident and activity attendance information showing names of personnel present at fire or other emergency, including attendance at training, drills, meetings and other official activities

NOTE: This item does not cover the personnel records of officer, employee or volunteer. See the Personnel/Civil Service section of this schedule.

 
  a. Summary data on an individual: 3 years
  b. Detailed data on an individual, when posted to or listed on summary data file or other record: 1 year
  c. Detailed data on an individual, when not posted to or listed on summary data file or other record: 3 years
*6.[803] Public safety real property data file, containing basic and detailed information on land and structures, including hazards, property inspections, and individuals associated with properties  
 

a. Basic or "history file" data:

NOTE: Local governments should consider permanent retention of the basic data elements of these property "history" files for all parcels of property, or the creation and permanent retention of "snapshots" of this data. This information may be useful for long-range planning purposes, and for community, urban planning, public safety issues, and other research. Contact the State Archives for additional advice.

Maintain as updated perpetual data file, for as long as system remains in use and property covered comes under service area.
 

b. Detailed data, incluing plans and computer-assisted design records:

0 after superseded or obsolete
 

c. Records of updates and corrections to property data:

3 years after update or correction made
*7.[804] Documentation of macros, queries, and reports  
 

a. Relating to specific case investigation or subject file:

Retain as long as the case investigation or subject file for which the documentation is created is retained.
 

b. Not relating to specific case investigation or subject file:

NOTE: Depending on the results obtained from generating these macros, queries and reports, local officials may wish to retain these records for potential legal and other uses.

0 after no longer needed
*8.[805] Hazardous materials records  
 

a. Hazardous materials location report or exemption filed with fire department or district, or equivalent record:

NOTE: Local officials may wish to retain these records longer, possibly as long as 40 years, if the hazardous materials listed on this record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. Regulations).

3 years after hazardous materials no longer stored at site
 

b. Textual reference information containing medical, chemical or other information used to assist dispatchers and responding personnel, and maps of agency/service coverages:

3 years after superseded or obsolete
 

c. Reports on hazardous materials found in the service area in its entirety, or at specific locations:

NOTE: Local officials may wish to retain these records longer, possibly as long as 40 years, if the hazardous materials listed on this record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. Regulations). In addition, if these reports document the presence of hazardous materials in a community at a given time, they should be appraised for historical significance. These records may have immediate significance for fire fighting and disaster prevention and long-term research value in situations where the hazardous materials found in the area had a significant impact on the community. Contact the State Archives for additional advice.

3 years after hazardous materials listed in report are no longer present at listed sites
*9.[806]

Standard Operating Procedures for call receipt and dispatch, including codes, abbreviations and authority file data:

NOTE: Detailed routine procedures are covered by item no. 9 in the General section.

PERMANENT
*10.[807]

Reference files on municipalities, districts and volunteer entities in service or neighboring areas:

NOTE: Appraise these records for historical significance prior to disposition. These records may have long-term historical value in documenting emergency services in a given area. Contact the State Archives for additional advice.

0 after superseded or obsolete

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EMERGENCY MEDICAL SERVICES

 

*1.[808]

Patient care records

 
 

a. Ambulance run or prehospital care record created each time a patient is transported by emergency vehicle and/or administered medical treatment:

6 years, or 3 years after individual treated and/or transported reaches age 18, whichever is longer
 

b. Patient care data file, containing medical treatment and/or billing information on individual treated by emergency medical personnel:

6 years, or 3 years after individual treated and/or transported reaches age 18, whichever is longer
  c. Summary record of all patients treated and/or transported: 3 years
*2.[440] Ambulance run or emergency medical treatment chronological log, or equivalent record:
6 years after last entry
*3.[441] Emergency medical training records, covering local government employees who receive training  
 

a. Application for training or certification filed by individual:

6 months
  b. Original entry training records, when posted to summary record: 1 year
  c. Original entry training records, when not posted to summary record: 7 years
 

d. Summary record of training:

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

7 years
 

e. Course materials, except final or annual reports:

7 years after course completed
*4.[809] Emergency medical training records, covering local governments which are course sponsors, including but not limited to information on individuals, course files, and information on instructors, as required by Section 800.20, 10NYCRR  
  a. Information on individuals and course files: 5 years
 

b. Information on instructors:

5 years after working association of each instructor cease
*5.[810] Rescue and disaster response reports and related records, covering specific incidents:

NOTE: Specific rescue and disaster response records should be appraised for historical value, and may warrant permanent retention, based on the serious nature of the incident involved. These records may not be duplicated in disaster response files, covered by item no. 136 in the Disaster Preparedness section. Contact the State Archives for additional advice.
3 years, but not until 3 years after any minor involved attains age 18
*6.[811] Emergency medical services reports, containing information on such subjects as specific types of medical emergencies, types of supplies used, and call frequency  
  a. Reports containing billing information: 7 years
  b. Reports not containing billing information: 1 year
 

c. Summary data received from New York State Department of Health:

0 after no longer needed

 

FIRE FIGHTING AND PREVENTION

 

*1.[442]

Blotter or equivalent record providing summary information on all significant activities of a fire department or district:

PERMANENT
*2.[443] Log, journal or similar chronological record of all activity at a fire station:
3 years after date of most recent entry
*3.[444] Fire department or district incident listing or report, received from New York State Department of State  
  a. When blotter or equivalent record is not kept by department or district: PERMANENT
 

b. When incidents listed on printout are also shown on blotter or log:

0 after no longer needed
*4.[445] Reports on fire-fighting activity, not including incident reports  
  a. Reports dealing with serious incidents or problems, or major issues with long-term implications, such as covering overall status of fire-fighting apparatus, equipment and facilities, fire-fighting readiness capability and personnel performance evaluation, and fire casualty reports: PERMANENT
  b. Reports on routine activities, including but not limited to daily activity report, daily communications report, false alarm investigation report, and other periodic report, which contain information of legal or fiscal value: 6 years
 

c. Reports on routine activities, which do not contain information of legal or fiscal value, and reports which contain information duplicated in reports covered by part "a" or part "b," above:

0 after no longer needed
  d. Informational reports received from county fire coordinator: 0 after no longer needed
*5.[446] Fire investigation records  
  a. First, second or third degree arson investigation records, disaster or casualty investigation records, or records of investigations of major fires or significant fires of suspicious origin: PERMANENT
  b. Fourth degree arson investigation records: 10 years
  c. Routine fire investigation records, not covered by parts "a" or "b," above: 3 years
  d. Master summary record of all fire investigations: PERMANENT
*6.[447] Fire mutual aid plan  
  a. Final plan, including maps and other attachments: PERMANENT
 

b. Background materials and supporting documentation used in producing final plan:

3 years after final plan completed
*7.[448] 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: 21 years
  c. Report on inspection of single family dwelling and notice of violation: 6 years
*8.[449] Fire evacuation plan, disaster response plan, fire drill report, fire safety survey, but not including mutual aid plan:

3 years after superseded or obsolete
*9.[450] Fire hydrant records  
 

a. Master record of hydrant locations:

0 after superseded
 

b. Installation, repair, location, maintenance, inspection and replacement records:

3 years after hydrant replaced, removed or use discontinued
*10.[453] Copies of volunteer department or organization fund-raising records, maintained by municipality or fire district: 6 years
*11.[454] Volunteer Firefighter Service Awards benefit plan  
 

a. Benefit plan (including all revisions):

0 after superseded and no longer needed to determine benefits
  b. Drafts and supporting documentation used in producing and updating plan: 1 year
*12.[455] Annual report ("census of members") received from Volunteer Firefighters Insurance Service (VFIS):
0 after superseding report received
*13.[456] Summary records of volunteers listing credits earned and providing breakdown of types of services and how credits earned  
  a. Annual summary report or listing: 55 years
  b. Monthly or other periodic reports or listings: 3 years
*14.[457] Volunteer Firefighter Service Awards records relating to individual volunteer  
 

a. Records showing credits earned and providing breakdown of types of services and how individual earned credits:

6 years after individual leaves service

 

b. Copy of initial and vested certificates of membership in awards plan:

6 years after individual leaves service
 

c. Copy of application to join service awards plan and/or life insurance plan, along with declination statement and related records:

6 years after individual leaves service
 

d. Beneficiary designation records:

0 after superseded or obsolete
 

e. Records relating to individual's challenge to plan's, department's or district's assignment or of number of points earned:

3 years after appeal concluded or other disagreement otherwise resolved
*15.[812] Controlled burn records, covering legally approved burning of leaves and debris permitted by fire department or district: 3 years

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LAW ENFORCEMENT: GENERAL

 

*1.[458]

Incident data summary record, including blotter, "desk record book," or equivalent record containing summary record of department or station activities:

PERMANENT
**2.[466] Law enforcement reports, studies or data queries, including their documentation  
 

a. Reports, studies or queries having legal or fiscal value, such as reports covering use of equipment and personnel resources, reports on crime in specific neighborhoods or on specific kinds of criminal activity, daily activity reports and individual officer "diaries":

NOTE: Appraise records covered by part "a" for archival value. Reports and studies analyzing law enforcement activity within a municipality for specific kind of criminal activity or a given area may be valuable for long-term planning, analysis of trends in law enforcement, and for 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 communications or other routine internal reports:

0 after no longer needed
  c. Uniform Crime Reports submitted to State Division of Criminal Justice Services: 1 year
  d. Incident-based reports or queries: 3 years
 

e. Report or study of law enforcement activity within municipality, generated for local law enforcement agency by county, regional or state law enforcement agency (local law enforcement agency copy):

NOTE: Appraise records covered by parts "e" and "f" for archival value. Reports and studies analyzing law enforcement activity within a municipality or specific area may be valuable for long-term planning, analysis of trends in law enforcement, and for historical and other research. Contact the State Archives for additional advice.

0 after no longer needed
  f. Report or study of law enforcement activity within municipality, generated for local law enforcement agency by county, regional or state law enforcement agency (copy retained by county or regional creating agency): 3 years
**3.[460] Case investigation record for adult, juvenile offender, youthful offender or juvenile delinquent, including but not limited to complaint, investigation report, arrest report, property record, and disposition of the case  
  a. For homicides, suicides, arson (first, second or third degree), missing persons (until located), active warrants, and stolen or missing firearms (until recovered or destroyed): PERMANENT
 

b. For all felonies except those covered by parts "a" and "c", and fatalities other than homicides:

NOTE: Appraise case investigation files for these felonies for historical and other research value, as well as for analysis of long-term trends. Contact the State Archives for additional advice.

25 years after case closed
 

c. For fourth degree arson and non-fatal accidents:

10 years after case closed
 

d. For misdemeanor:

5 years after case closed
 

e. When offense involved was a violation or traffic infraction:

1 year after case closed
  f. When investigation reveals no offense has been committed by adult: 5 years
 

g. When individual involved was a juvenile and no arrest was made, or no offense was committed:

1 year after individual attains age 18
 

h. Domestic incident report, created pursuant to Section 140.10(5), Criminal Procedure Law, when case investigation record is created:

Retain for 4 years or as long as rest of case investigation report, whichever is longer.
*4.[813]

Master summary record of case investigation information:

NOTE: Appraise this record for archival value. This record may supplement the incident data summary record in providing summary information on all case investigations conducted by the law enforcement agency. Contact the State Archives for additional advice.

0 after no longer needed to access case investigation records
*5.[461]

Individual identification file, except jail or penitentiary prisoner case record, including but not limited to fingerprint cards, photographs, record sheets from other agencies, local arrest and disposition records, and miscellaneous reports


NOTE: Section 160 of the Criminal Procedure Law requires that individual identification records be returned to the individual involved or destroyed when criminal actions are terminated in favor of the accused or by conviction for a noncriminal offense.

 
 

a. When offense involved was a crime (misdemeanor or felony):

NOTE: Records created before establishment of the D.C.J.S. statewide automated identification system in 1966 are not duplicated at the state level and should be appraised for both archival value and ongoing legal and administrative purposes. Contact the State Archives for additional information.

5 years after death of individual, or 0 after individual attains age 80, whichever is shorter, provided no arrest in the last 5 years
  b. When offense involved was a violation or traffic infraction: 5 years
 

c. Digital "mug shot" file, containing digital photos and relevant accompanying data on an individual, when official copies of photos are retained in hard copy as part of part "a" or "b," above:

NOTE: Digital "mug shot" file, containing digital photos and relevant accompanying data on an individual, when official copies of photos are not retained in hard copy, must be retained as specified in part "a" or "b," above.

NOTE: Appraise these digital files for archival, legal and administrative value. They may have long term value in criminal investigation. Contact the State Archives and the Division of Criminal Justice Services for additional advice.

0 after no longer needed
 

d. Digital fingerprint file, containing digital images used to produce fingerprint cards:

0 after no longer needed
 

e. Photo arrays, created by combining identification photos for identification and investigative purposes:

Retain as long as relevant case investigation record.
 

f. Criminal record summaries ("rap sheets"), received from Federal Bureau of Investigation or other law enforcement agency:


Retain most current copy as long as relevant case investigation, or 0 after superseded or obsolete if unrelated to case investigation.
  g. Authorized requests for criminal information contained in local government law enforcement agency records, along with response and record of action taken: 6 years
*6.[814] Personal information data file  
 

a. Data on criminals and suspects:

Retain data for 5 years after death of individual, or 0 after individual attains age 80, whichever is shorter, provided no arrest in the last 5 years.
 

b. Data on associated persons, such as victims, relatives and witnesses:

Retain data as long as, or information as part of, relevant case investigation record.
  c. Documentation of updates and changes to data: Retain as long as data which has been changed or updated.
  d. Trouble and discrepancy reports regarding personal information data: 3 years
*7.[815] County- or region-wide arrest information cumulative data file, covering county- or region-wide area:
Maintain as perpetual data file, with superseded or corrected data maintained for 3 years after data updated.
*8.[816]

Profiling reports and related records, including macros, workspaces or other files (including all documentation) created in profiling process

 
  a. Relating to specific case investigation: Retain as long as relevant case investigation record.
  b. Not relating to specific case investigation: 0 after obsolete
**9.[914] Confidential informant records, maintained separately from confidential informant information contained in case investigation records  
  a. Master index or listing of confidential informants: PERMANENT
  b. Detailed information on confidential informant: 0 after individual is deceased or attains age 90

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LAW ENFORCEMENT: PERSONAL PROPERTY

 

*1.[462]

Personal property record

 
 

a. For dangerous weapon, including but not limited to receipt, identification tag, and report of destruction:

NOTE: Local law enforcement officials may wish to retain these records longer for investigative or other long-term administrative purposes. See also item no. 492, below.

6 years after disposition of property, or 0 after disposition of any related case investigation records, whichever is longer
  b. For other property, including but not limited to receipt, confiscated currency report, identification tag, and report of public auction or destruction: 6 years after disposition of property
**2.[465]

Identification records for an individual person or for number-engraved property

 
  a. Personal identification card for an individual, including Sheriff ID, copies of child fingerprint records and records of distribution of child identification kits:

NOTE: Local governments should consult with their legal counsel to determine if these records merit continuing retention due to legal value or for law enforcement purposes, such as in locating and identifying missing children.
0 after no longer needed
  b. Property number assignment register: 0 after obsolete
  c. Identification/validation records for missing or stolen property, license plates, licenses, registrations or ID cards (if not part of case investigation records): 0 after no longer needed
3.[469] Pawn shop records, including lists of pawn shops, purchase and sale reports and reports on stolen property: 5 years
4.[487]

Bicycle licensing or registration record

 
  a. When a fee is charged: 6 years after expiration or renewal
  b. When no fee is charged: 1 year after expiration or renewal

 

LAW ENFORCEMENT: FIREARMS

 

*1.[490]

Firearm licensing file, including application for license to sell, carry, possess, repair and dispose of firearms, and supporting records such as affidavit of character reference, and verification of reason for license

 
 

a. When application is approved:


6 years after license was renewed, canceled, revoked, or expired, or after individual is known to have deceased or reached age 90
  b. When application is disapproved, after any litigation is completed: 6 months
2.[491] Individual firearm purchase record:

6 years

*3.[492]

Certificate of nondestruction of, or notice of intent to destroy, weapon or dangerous instrument, appliance, or substance, including results of New York State Police files search:

NOTE: See also item no. 462, above.

6 years after disposition of property, or 0 after disposition of any related case investigation records, whichever is longer
*4.[494] Records of issuance of firearms or other weapons to law enforcement personnel:
3 years after return or other disposition of weapon
*5.[495] Repair and maintenance records for firearms or other weapons used by law enforcement personnel:
3 years after weapon no longer in use
*6.[817] Record of stolen or missing firearms:
0 after all firearms are located or destroyed

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LAW ENFORCEMENT: MOTOR VEHICLES
(including watercraft)

 

*1.[481]

Traffic and parking violation records, including parking, speeding or other appearance ticket (other than court's copy); officer's supporting deposition; parking violation hearing records; "boot and tow" records; and related records:

2 years after any litigation has been completed
*2.[485]

Speed-timing records

 
  a. Original record produced by radar or other speed-timing device: 2 years after any litigation has been completed
 

b. Records of use of speed-timing, such as radar activity log and reports of speed monitoring:

NOTE: These records may have long-term value in transportation planning, in providing information on average and excessive speeds for specific road segments.

3 years
  c. Calibration and other quality control and testing records for speed-timing devices: 3 years after device no longer in use
*3.[482]

Vehicle accident case record, including vehicle accident report and related records, after any litigation has been completed:

NOTE: This item does not cover the case investigation record. See item no. 460, above.

6 years, or 3 years after youngest individual involved attains age 18, whichever is longer
*4.[483] Vehicle history files, including information on specific vehicles or vehicle models, including those which have been involved in accidents or used in the commission of crimes: 0 after no longer needed
*5.[484] Individual's driving and accident records  
  a. Order, report, or notice concerning vehicle operator's license or registration, including but not limited to order of suspension or revocation of license, notice of compliance with order of suspension or revocation, notice of noncompliance, notice of restoration of license, and report of lost or stolen plates: 3 years
 

b. Driver's summary record of accidents, violations and other activities:

0 after death of individual, or 90 years after date of birth, if death not verified
*6.[486] Impounded or abandoned vehicle record, including but not limited to impound report, tow-away notice to owner, request for information to determine the last owner, notice to owner and lien holders that vehicle has been taken into custody as abandoned, affidavit stating how ownership was acquired by municipality, transfer of ownership document, and bill of sale:
6 years after disposition of vehicle by local government
7.[488] Reports or other records of repossessed vehicles, not impounded by law enforcement agency: 1 year
*8.[489] Vehicle towing records  
 

a. Lists of companies available for towing vehicles:

0 after superseded or obsolete
 

b. Contract or agreement with towing firm:

6 years after expiration or termination
*9.[818] Driver-vehicle examination report or equivalent record, created when local law enforcement agency conducts motor carrier safety inspection: 7 years
*10.[819]

Motor vehicle accident and other summary data, reports and other records:

NOTE: Appraise these records for archival value. These records may be useful in providing summary information on all motor vehicle accidents, and may reveal long-term trends and accident-prone areas and vehicles. Contact the State Archives for additional advice.

6 years

 

LAW ENFORCEMENT: INCARCERATION

 

*1.[474]

Master summary record of all prisoners, including "daily record of the commitments and discharges of all prisoners," including date of entrance, name, offense, term of sentence and other information required by Section 500-f, Correction Law:

PERMANENT
*2.[820]

Prisoner data file:

NOTE: If this record takes the place of the master summary record (item no. 474, above) then it must be retained permanently.

Maintain data for each prisoner 15 years after death or discharge of that prisoner.
*3.[475]

Prisoner case record

 
  a. Case records, including but not limited to commitment, general information history, presentence investigation reports, record sheets from other agencies, record of personal property taken from prisoner upon commitment, record of letters written and received, copies of general correspondence concerning prisoner, reports of infractions of rules, prisoner's health records, and suicide prevention screening records, but not including commissary records: 15 years after death or discharge of prisoner
  b. Commissary records, including listing of items requested by prisoner, and prisoner transaction record: 3 years
*4.[476] Facility housing supervision records, including prisoners' activities log, including such information as identities of visitors, prisoners' phone calls and mail, and records of visits to cells by officers checking on condition of prisoners: 3 years
*5.[477] Prisoners' periodic work report listing names of prisoners by work assignments: 3 years after all prisoners listed have been discharged
*6.[478] Complaint or incident report involving alleged prisoner abuse, injury, or similar occurrence showing description of the problem, identifying the individuals involved and stating the action taken, after any litigation has been completed: 6 years, or 0 after individual involved attains age 21, whichever is longer
*7.[479]

Inspection, audit and other reports or studies, conducted by New York State Commission of Correction or other state or local agency, covering such subjects as jail conditions, compliance with state standards, and prisoner fatalities:

NOTE: Appraise these records for archival value. Local officials should retain permanently any reports or studies documenting serious incidents or problems. Contact the State Archives for additional advice.

6 years
*8.[480]

Reports relating to local correctional facility or lock-up

 
 

a. Reports containing legal and fiscal information:

NOTE: Appraise these records for archival value. Reports and studies analyzing facility prisoners, occupancy or conditions may be useful for long-term planning, analysis of trends in law enforcement, and for historical and other research. Contact the State Archives for additional advice.

6 years
  b. Reports of short-term internal administrative value:
0 after no longer needed
*9.[821] Population counts, including daily census of prisoners: 3 years
*10.[822] Visitation records, including schedule of visits and visitor identification information: 3 years
*11.[823] Dietary services records  
  a. Food service records, including meal counts, roster of prisoners' diet orders, and dietary services studies: 3 years
  b. Menus: 1 year
*12.[824] Health and sanitation inspection and related records, including records of action taken to correct any problems: 6 years
*13.[825] Review and censorship records for incoming printed materials and publications, including evaluations by staff and suitability determinations: 3 years
*14.[826] Prisoner exercise records, including schedule of exercise periods, results of exercise area searches and explanation of any limitations of exercise: 3 years
*15.[827] Application of change in maximum facility capacity, including determination from New York State Commission of Correction, facility staffing determinations, and related records: 3 years after superseded by subsequent change in capacity
*16.[828]

Substitute jail order issued by New York State Commission of Correction, authorizing the confinement of some of all prisoners in another correctional facility, and related records:

NOTE: Appraise these records for archival value. These records may provide important information on conditions at the correctional facility which warrant the moving of prisoners to another facility. Contact the State Archives for additional advice.

3 years

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LAW ENFORCEMENT: MISCELLANEOUS

 

*1.[459]

Warrant execution and subpoena or summons service records

 
 

a. Original signature copies of arrest and other warrants executed by law enforcement agency:

5 years after warrant executed or recalled
  b. Other warrant related records, including copies without original signatures and warrant control records: 5 years after date of most recent entry in record
  c. Copies of subpoenas and summonses, and records of their service: 2 years
  d. Warrant information file: Maintain data on each warrant as long as that warrant is valid.
*2.[829] Domestic violence records, covering single or multiple incidents, not relating to specific case investigation records, including domestic incident report, created pursuant to Section 140.10(5), Criminal Procedure Law, when no case investigation record is created: 4 years
3.[472] Results of alcohol and drug tests administered by law enforcement personnel, when not included in case investigation records: 5 years
*4.[463] Escort service record, including activities such as funeral, parade, military escort, escorting prisoner to and from court or jail, and delivery of blood to hospital: 3 years
5.[464] Vacant place check record, including vacant houses and other places to be checked during patrols: 0 after obsolete
*6.[467] Alcoholic beverage establishment sale and use reports, including checks of New York State Division of Alcoholic Beverage Control (ABC) violations:
5 years
*7.[468] Parolee and sex offender records  
  a. Lists of parolees or sex offenders living within a jurisdiction: 0 after superseded or obsolete
 

b. Detailed records on individual parolee or sex offender:

NOTE: This does not include records created pursuant to the Sex Offender Registration Act, which are covered by item nos. 830 and 831, immediately below.

0 after person's parole terminated
*8.[830]

Subdirectory of High-Risk (Level 3) Sex offenders:

NOTE: The Division of Criminal Justice Services (DCJS) strongly recommends the destruction of superseded information as soon as superseding information is received.

0 after superseded
*9.[831] Sex offender registration records, including but not limited to official notification upon registration, change of address information, determination of final risk level, notification of error or change in jurisdiction, notification that offender is no longer registerable, annual address verification, 90-day personal verification (for level 3 offenders), and community notification information  
 

a. For level 1 or 2 offender, when offender remains in local law enforcement agency's jurisdiction:

0 after death of individual, or 5 years after completion of registration period, whichever is earlier
 

b. For level 1 or 2 offender, when offender has left local law enforcement agency's jurisdiction:


0 after death of individual, or 5 years after offender leaves that jurisdiction, whichever is earlier
  c. For level 3 offender, when offender remains in local law enforcement agency's jurisdiction: 0 after death of individual, or individual attains age 100
  d. For level 3 offender, when offender has left local law enforcement agency's jurisdiction: 0 after death of individual, or 5 years after offender leaves that jurisdiction, whichever is earlier
*10.[470] Missing person records  
 

a. Missing person files, covering any records not included in case investigation records:

10 years, or 0 after individual attains age 90, whichever is longer
  b. Validation records, received from and submitted to State Division of Criminal Justice Services (D.C.J.S.): 6 months
*11.[832] Videotape or other recording of booking or arrest processing  
 

a. When litigation and/or criminal proceedings have commenced:

3 years, but not until any individual has attained age 21, and not until 1 year after any litigation or criminal proceedings have concluded
 

b. When litigation and/or criminal proceedings have not commenced:

3 years, but not until any individual has attained age 21
*12.[833] Copy of order of protection, filed with local law enforcement agency having jurisdiction, pursuant to Article 530, Criminal Procedure Law, and related records  
 

a. Copy of order of protection:

6 months after order expires or otherwise becomes invalid
  b. List or similar record of orders of protection in effect in local jurisdiction: Maintain data on each order as long as that order is valid.
*13.[834]

Videotape or other recording taken from mobile unit

 
  a. When recording relates to specific case investigation: Retain as long as the case investigation to which the recording relates is retained.
 

b. When recording does not relate to specific case investigation, such as routine traffic stop:

NOTE: Recordings of potentially important incidents may warrant longer retention for legal reasons, even if no case investigation has been initiated. Local law enforcement agencies should carefully review these recordings before destroying or reusing them. In addition, recordings of specific pursuits, arrests and other serious incidents should be appraised for archival or long-term administrative value. Contact the State Archives for additional advice.

6 months
*14.[473]

Child abuse or maltreatment reports and related records, reporting law enforcement agency copy, when not included in case investigation record:

NOTE: This item covers copies of child abuse and maltreatment reports and related records retained by law enforcement agencies reporting suspected abuse and maltreatment to the State Central Register or to child protective services units of county social services departments. If these records are included in case investigation records, see item no. 460.

3 years

 

LAW ENFORCEMENT:
N.Y.S.P.I.N. AND RELATED RECORDS

 

*1.[835]

Lists and posters showing "most wanted" persons, and all points bulletins (APBs):

0 after superseded or no longer needed
*2.[836] N.Y.S.P.I.N. validation records, including monthly print-out received from New York State Police and related system entry validation records:
13 months from date report received
*3.[837] N.Y.S.P.I.N. system purging records, including "purge reports" received from New York State Police and records relating to data reentry:
0 after any necessary data reentry completed
*4.[838]

N.Y.S.P.I.N. message records, covering any messages sent or received over N.Y.S.P.I.N. system:

NOTE: The State Archives and the State Police strongly recommend that local law enforcement agencies consider retaining significant messages as part of case investigation records.

0 after no longer needed
*5.[839]

Daily "archive" information retained in electronic format (on removable electronic media) from N.Y.S.P.I.N. system:

NOTE: The State Archives and the State Police strongly recommend that local law enforcement agencies consider retaining archive data as long as may be needed for convenience of reference.

0 after no longer needed
*6.[840]

Log of all transactions, covering all data entry into N.Y.S.P.I.N. system:

NOTE: The State Archives and the State Police strongly recommend that local law enforcement agencies consider retaining electronic logs as long as may be needed for convenience of reference.

0 after no longer needed
*7.[841] Individual person's authorization to use the N.Y.S.P.I.N. system  
 

a. Records created by local law enforcement agency, including records of individual's training and acknowledgment of test results:

0 after individual no longer authorized to use the system
 

b. Listing of authorized individuals, received from State Police:

0 after no longer needed
*8.[842] Miscellaneous paper records created from former version of N.Y.S.P.I.N. system in use prior to 1996:
0 after no longer needed

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