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NOTE: Records relating to laboratories are listed in the Public Health section, Laboratory subsection. Radiological health records are now found in that section as well. Lead poisoning records are covered by item nos. 499, 500 and 501 in the Public Health section, Miscellaneous subsection.

Local Regulatory/Permitting Agency: Animal Industry and Veterinary Medicine

*1.[236]

Records concerning use of living animals in testing and experimentation

 
  a. Laboratory protocol and testing procedures: PERMANENT
  b. Laboratory and testing inspection reports, including description of actual tests: 3 years
  c. Approval granted individual in charge of laboratory: 3 years after individual's association with laboratory terminated
  d. Approval granted laboratory: 3 years after expiration
*2.[237] Rabies and animal bite records  
  a. Antirabies protection certificate: 5 years
  b. Records concerning certification of area for rabies, including but not limited to correspondence, notices, and copy of resolution: 20 years
  c. Investigation records for bite or other potentially dangerous contact with animal, including potentially rabid animal: 6 years
*3.[238] Farm animal disease test records  
  a. Cattle disease test records, including but not limited to summary report for each herd (to which test results have been posted), brucellosis or tuberculosis test results and calf vaccination report: 10 years
  b. Inspection and related records for farm animals other than cattle: 3 years
 

Local Regulatory/Permitting Agency: Miscellaneous

1.[239]

Environmental disturbance permit file:

PERMANENT
2.[242] Property acquisition or regulation filedocumenting acquisition of real property or easements for drainage control or other environmental health purposes: PERMANENT
*3.[244] Master summary record of applications relating to realty subdivisions, private water supply, private sewage disposal systems, or hazardous substance (or petroleum) spill, release or investigation records: PERMANENT
*4.[241] Spill, release or investigation recordscovering hazardous substance or petroleum  
  a. Records of investigation of spill or release of hazardous substance exceeding minimum reportable quantity (as defined in 6NYCRR, Section 597.2, Table 1): PERMANENT
  b. Records of investigation of spill or release of hazardous or toxic substance not exceeding minimum reportable quantity (as defined in6NYCRR, Section 597.2, Table 1): 7 years after close of investigation
  c. Records of investigation of spill or release of petroleum (as defined in 6NYCRR, Section 597.1 (7)) exceeding 25 gallons: PERMANENT
  d. Records of investigation of spill or release of petroleum (as defined in 6NYCRR, Section 597.1 (7)) not exceeding 25 gallons: 7 years after close of investigation
*5.[243] Realty subdivision environmental health approval file:  
  a. All file documentation when county health agency approval is required and subdivision is undertaken, including final plans and certificate of approval, except routine memoranda, worksheets, non-significant change orders, routine correspondence, detailed construction specifications and draft or intermediary plans, maps, designs, sketches that do not document significant changes: PERMANENT
  b. Routine memoranda, worksheets, non-significant change orders, routine correspondence, performance bonds, detailed construction specifications and draft or intermediary plans, maps, designs, sketches that do not document significant changes, when county health agency approval is required and subdivision is undertaken: 20 years after date of approval
 

c. All file documentation when county health agency approval is required and subdivision is not undertaken:

NOTE: Appraise these records for historical significance prior to disposition. These records may document major proposed land use changes and provide detailed information on the land involved, thus possessing historical or other value warranting permanent retention. Contact the State Archives for additional advice.

20 years after date of most recent entry in record
  d. All file documentation when county health agency receives records for informational purposes, but their approval is not required, such as for subdivisions not meeting the legal definition found in Section 1115.1, Public Health Law: 0 after no longer needed
  e. Final determination approval criteria and precedents: PERMANENT
*6.[245] State and local sanitary and related code violation records, including locally enacted regulations, such as "clean indoor air acts"  
  a. Violation files: 3 years after violation abated
  b. Alleged but unfounded violation files: 1 year after last entry
  c. Master summary record (log or register) of complaints, violations and inspections: 3 years after last entry
*7.[246] Insect control ("vector") records  
  a. Annual, final or special reports: PERMANENT
  b. Background materials and supporting documentation: 6 years
  c. Records of discovery and analysis of insects or animals found not to be disease carriers: 0 after no longer needed
*8.[247] Pesticide use records  
  a. Annual, final or special reports: PERMANENT
  b. Copies of Department of Environmental Conservation (D.E.C.) pesticide applicator certification or business/agency registration records: 0 after no longer needed
 

c. Pesticide use inspection or investigation records:

NOTE: This item does not cover application of pesticides (including herbicides, rodenticides and disinfectants) on municipal property or by municipal personnel. See item no. 900 in the Public Property and Equipment section.

6 years
  d. Copies of emergency pesticide application notification records, where the original records are forwarded to New York State Department of Health, pursuant to Section 33-1004.1 (b-ii-L), Environmental Conservation Law: 1 year
 

e. Pesticide application notification records, created as the result of passage of county notification law, pursuant to Section 33-1004.2, Environmental Conservation Law:

6 years
*9.[248]

Air contamination permit files

NOTE: These records do not cover records of resource recovery facilities owned or operated by local governments. These records are covered by the "Environmental Facilities: General" and "Environmental Facilities: Solid Waste Management Facilities" subsections, below.

 
  a. Restricted or controlled burning permit file: 3 years after last entry
  b. Permit file for construction of incinerator, stationary combustion installation, resource recovery facility or process exhaust and ventilation system: 7 years after source no longer exists
  c. Permit file ("source file") for operation of incinerator, stationary combustion installation, resource recovery facility or process exhaust and ventilation system, including but not limited to certificate to operate, inspection and monitoring records: 0 after source no longer exists, but not less than 6 years after denial, expiration or renewal
  d. Information copies of construction or operation permit records, where official copies are held by New York State Department of Environmental Conservation, which issues permit directly: 0 after no longer needed
*10.[249] Air quality monitoring and surveillance logof air sampling station or similar records of original entry: 5 years
*11.[250] Emission and operating parameter measurements for incineration facilities and other sources of air contamination  
  a. Annual reports: PERMANENT
 

b. Summary reports and records of original entry:

5 years
*12.[261] Permits, approvals, and related records, relating to water supply or wastewater disposal system, maintained by local health agency  
 

a. Private water supply or wastewater disposal system approvals, including small privately owned water systems, when not part of realty subdivision application:

NOTE: Appraise these records for historical significance and other long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful if public water supply or public wastewater treatment systems serve these areas in the future. Contact the State Archives for additional advice.

20 years after completion of work or 6 years after denial of application
  b. Permit for septic tank cleaner or industrial waste collectors, issued by local agency: 6 years
 

c. Informational copies of permit records for septic tank cleaner or industrial waste collectors, where State Department of Environmental Conservation issues permit:

0 after no longer needed
  d. Permit files for distribution of bottled or bulk water, where local government agency issues permit: 6 years after expiration of permit or denial of application
  e. Permit files for fluoridation plans, backflow prevention devices, fire pump chlorinators, or for interconnecting water systems, where local government agency issues permit: 6 years after distribution of bottled or bulk water, cessation of operation or denial of application
  f. Informational copies of permit records for fluoridation plans, backflow prevention devices, fire pump chlorinators, distribution of bottled or bulk water, or for interconnecting water systems, where State Department of Health issues permit: 0 after no longer needed
  g. Well driller certification records: 0 after superseded or obsolete
*13.[263] Reports not relating directly to system or treatment facility construction or operation, maintained by local agency  
  a. Operational and testing records for fire pump chlorinator, backflow prevention device, where local agency issues permit: 5 years
  b. Informational copies of operational and testing records for fire pump chlorinator, backflow prevention device, where State Department of Health issues permit: 0 after no longer needed
  c. Report of bottled or bulk water distribution: 3 years
 

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

10 years after superseded
  e. Interstate water carrier reports and other records: 10 years
  f. Septic tank cleaner or industrial waste collector reports and related records: 6 years
*14.[810] Records of minor repairs, enlargements or cleaning of drainage ditches, or in drainage districts, including but not limited to those defined in Sections 15-1943 and 15-1945, Environmental Conservation Law: 6 years after date of completion of work
*15.[811] Hazardous waste site identification records, including survey of suspected hazardous waste disposal sites, including that created pursuant to Section 27-1303, Environmental Conservation Law; copy of state registry listing of sites for a specific jurisdiction; review of registry listings; and determination and notification records for newly identified sites: PERMANENT
*16.[812] Environmental restoration project records,created pursuant to Subpart 375-4 of 6NYCRR  
  a. Application for state assistance; feasibility studies; successful bids; plans, specifications and designs; project description; in-progress and completion photographs; inspection reports; final plans, maps, designs, sketches, architectural drawings and photographs; structure demolition records; environmental impact statement; annual project statement; copies of project review records; fiscal and other final reports; significant change orders; property disposition records; and significant correspondence: PERMANENT
  b. Supplementary documentation, including interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheet, non-significant change orders; routine correspondence, detailed construction specifications and draft or intermediaryplans, maps, designs, sketches or drawings: 6 years after completion of project or date of most recent entry, whichever is longer
  c. Unsuccessful bids, to which contracts arenot awarded: 6 years
 

d. All records, when project is proposed butnot undertaken:

NOTE: Appraise these records for historical significance prior to disposition. Certain records for environmental restoration projects that are proposed but not undertaken may have research value in documenting property where hazardous substances are located or which is otherwise adversely affected, and should be retained permanently. Contact the State Archives for additional advice.

6 years after date of last entry
 

Local Regulatory/Permitting Agency: Oversight of Environmental Facilities

NOTE: Records relating to the establishment of water or sewer districts in a town or county are also covered by item no. 855 in the Miscellaneous section.

*1.[813]

Permits, approvals, and related records, relating to public water supply or wastewater disposal system, maintained by local health agency

 
  a. Approvals of extensions of areas covered by public water supply or public wastewater treatment systems: PERMANENT
 

b. Approval necessary for connection to public water supply or wastewater disposal system:

NOTE: Appraise these records for long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful in the future in documenting the location of pipes and other underground devices. Contact the State Archives for additional advice.

6 years after connection no longer in use, or 6 years after denial of application
  c. Records relating to surveillance of public water supply system, conducted by local health department, including inspection and sampling records, and waiver from mandatory disinfection requirements: 3 years after superseded, invalid or obsolete
  d. State Pollutant Discharge Elimination System (SPDES) permit issued by county health agency pursuant to Section 17-0701.7, Environmental Conservation Law: 6 years after permittee ceases pollution discharge
*2.[262] Reports and studies relating to environmental facilities, covering records maintained by county health agency or by municipality  
  a. Copies of reports and studies, received from public water supply systems, including copies of reports created pursuant to Section 5-1.72 of10NYCRR, where these facilities are under surveillance of county health department: 3 years
  b. Informational copies of reports and studies, received from environmental facilities, including copies of reports created pursuant to Section 5-1.72 of 10NYCRR, where county does not have surveillance responsibility: 0 after no longer needed
 

c. Records relating to unsatisfactory water samples, watershed rules violations, and water quality monitoring violations, including testing records and records of action taken by supplier of water to correct violations, where county is involved in testing samples, monitoring violations and correcting problems:

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

6 years after superseded
  d. Informational copies of records relating to unsatisfactory water samples, watershed rules violations, and water quality monitoring violations, including testing records and records of action taken by supplier of water to correct violations, where county is not involved in testing samples, monitoring violations and correcting problems: 1 year
  e. Public health hazard notification, received by county or municipality from public water supply system, pursuant to Section 5-1.77(b),10NYCRR: 6 years
  f. Copies of monthly discharge monitoring and operation reports, submitted to county health department acting as agent for New York State Department of Environmental Conservation in conjunction with SPDES permit requirements: 5 years
  g. Report or list of SPDES permits ranked in respect to need for review, received from New York State Department of Environmental Conservation: 0 after superseded or obsolete
*3.[814]

Environmental health data file, providing summary and/or detailed information on various environmental health permitting and regulatory activities, such as community sanitation, service food establishments, private water supply and wastewater treatment systems, lead poisoning investigations, and code violations:

NOTE: Health agencies should consider long-term retention of the basic data elements of these systems for both administrative convenience and for potential research purposes, if data files are maintained locally aside from data input into the New York State Department of Health database. This data may provide for ease of access to other files and may create a record which supplements the facility data information record (see item no. 271, below). Contact the State Archives for additional advice.

0 after no longer needed
*4.[815]

Reports, studies or data queries, including those generated from environmental health data system (including documentation of macros, queries, and reports):

NOTE: Appraise the records for archival value. Reports and studies documenting various aspects of community sanitation (such as camps, resorts and mass gatherings) may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

0 after no longer needed
 

Local Regulatory/Permitting Agency: Community Sanitation and Food Protection

NOTE: For related records, see also the Consumer Protection Services section.

*1.[271]

Facility information data record containing data on camp, hotel/motel, swimming pool, bathing beach, service food establishment or other facility monitored by health agency:

NOTE: Appraise these records for historical significance prior to disposition. These records may be used to document camps and other resorts in certain areas of the state where tourism is a subject of serious concern. Contact the State Archives for additional advice.

6 years after facility no longer in use
2.[272] Community sanitation permits and approvals to operate pool, beach, camp, temporary residence or to hold mass gathering: 3 years after denial or expiration
3.[273] Community sanitation reports of operation and inspection: 21 years
*4.[816] Violation records, including hearing records, for food service establishment, camp, hotel/motel, swimming pool, bathing beach, or other facility monitored by health agency  
  a. When no minor is involved: 6 years
  b. When a minor is involved: 6 years after date of most recent entry, but not until 3 years after any minor involved attains age 18
*5.[269] Service food establishment permits and approvals  
  a. Service food establishment construction, alteration or remodeling records, except records documenting minor facility modifications: 3 years after establishment no longer in operation
  b. Records documenting minor facility modifications for service food establishment: 3 years
  c. Operational permit file for service food establishment, including records of suspension or closure: 3 years after expiration
  d. Temporary operation permit file for service food establishment: 2 years after denial, renewal or expiration
 

e. Frozen dessert or oleomargarine sale permit records:

2 years after denial, renewal or expiration
*6.[270] Food inspection and investigation records  
  a. Inspection report for preparation or serving area: 3 years
  b. Food sanitation complaint investigation or food embargo records, for investigations other than food- or water-borne disease investigations: 6 years after last entry
 

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

NOTE: Appraise these records for long-term uses, warranting longer, if not permanent, retention prior to disposition. Records covered by item 270c may be useful in the future in documenting cases of serious food poisoning, such as where death or serious illness occurs from E. coli contamination. Contact the State Archives for additional advice.

21 years
  d. Food labelling and advertising investigation or complaint records: 2 years
 

Environmental Facilities: General

*1.[817]

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

 
 

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

NOTE: Some draft or intermediary plans, maps, designs, sketches or architectural drawings, or detailed construction specifications may need to be retained permanently under part "a," above, if they document significant changes with long-term fiscal and other implications. Local governments should review these records for these possible uses prior to disposition under part "b," below. Contact the State Archives for additional advice.

PERMANENT
 

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

6 years after completion of project or date of most recent entry, whichever is longer
  c. Unsuccessful bids, to which contract is notawarded: 6 years
 

d. All records, when project is proposed but notundertaken:

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

6 years after date of last entry
*2.[255] Permit or registration files for construction, operation and maintenance of environmental facility, covering water treatment plant; public water supply system; wastewater treatment plant and disposal system; and solid waste management facility (including landfill gas recovery facility):  
  a. Permit, application, approval or disapproval; related plans, maps, specifications and engineering drawings; variance from New York state regulations, approval of use of emergency source of water, approval to supply water to or take water from other system, approval of fluoridation process, progress and inspection reports, final and annual reports, summaries of data collected relating to permit issuance, and significant correspondence: PERMANENT
 

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

6 years after date of last entry
*3.[257] Component part sketches, measurements, installation, inspection and maintenance records: 6 years after part replaced or its use permanently discontinued
*4.[818] Automated operating system records,covering Supply Control and Data Acquisition (SCADA) or equivalent systems, covering operation, monitoring, problems or emergencies, and maintenance of environmental facility  
 

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

NOTE: Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of this data may need to be retained longer to meet both administrative needs and legal requirements, such as those contained in Section 756.2(c), 6NYCRR. It is recommended that local government environmental facilities store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.

0 after no longer needed
 

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

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

5 years
*5.[258] Log or equivalent record containing information such as changes in pressure and level, proportion of chemicals present, operational changes, problems and emergencies, and personal observations  
  a. Containing summary information collected at periodic intervals and information on significant readings, events or observations: PERMANENT
 

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

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

NOTE: Certain inspection logs of solid waste management facilities must be retained for 7 years after date of inspection. See item no. 839, below.

5 years
*6.[259] Charts, graphs and similar records of pumpage, flow, pressure, emissions, temperature, levels of chemicals, and related information  
  a. Summary records showing long-term trends and developments: PERMANENT
 

b. Records of original entry, containing significant information:

10 years
 

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

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

1 year
  d. Intermediary records, compiled from records of original entry, but not showing long-term trends and developments: 5 years
7.[260] Operator qualifications records: 6 years after disapproval, renewal, or expiration of approval
*8.[819]

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

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

0 after no longer needed
*9.[820] Environmental facility alarm, problem and emergency records  
  a. Narrative records documenting serious problems or emergencies, including charts, graphs, and data necessary to support such records: PERMANENT
 

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

5 years
 

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

PERMANENT
 

Environmental Facilities: Public Water Supply

*1.[821]

Permits, approvals, and related records,excluding those related to public water supply system construction or operation, covered by item no. 255, above.

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

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

6 years after cessation of operation or denial of application
  d. Informational copies of permit records for fluoridation plans, backflow prevention devices, fire pump chlorinators, distribution of bottled or bulk water, or for interconnecting water systems, where State Department of Health issues permit: 0 after no longer needed
*2.[822] Reports and studies relating to plant, system or facility operation  
 

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

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

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

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

5 years
 

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

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

5 years after superseded
*3.[823] Water systems periodic operation reports,created pursuant to 10NYCRR, Section 5-1.72 (d) and forwarded to county health department or regional office of New York State Department of Health  
  a. Report of microbiological sample results (copy retained by supplier of water): 5 years
  b. Report of surface water systems, showing chemical and turbidity analyses, (copy retained by supplier of water): 10 years
*4.[824] Reports not relating directly to system or treatment facility construction or operation  
 

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

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

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

10 years after superseded
  e. Interstate water carrier reports and other records: 10 years
*5.[825] Automated hydrological monitoring system records, covering system infrastructure, system service area or aquifer  
 

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

NOTE: Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of this data may need to be retained longer to meet both administrative needs and legal requirements. In some cases it may be necessary to maintain this detailed data as long as reports or studies based on the data are retained. It is recommended that local government environmental facilities store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.

0 after no longer needed
 

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

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

5 years
*6.[826] Reports, studies, analytical models or data queries, generated from hydrological monitoring system (including documentation of macros, queries, and reports), when not covered by specific report items in this section  
 

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

PERMANENT
  b. Report and studies of short-term or transitory value, containing incomplete or otherwise invalid data, or drafts generated in the process of creating reports and studies covered by part "a," above: 0 after no longer needed
*7.[827] Water supply emergency plan, prepared pursuant to Section 1125, Public Health Law and Section 5-1.33 of 10NYCRR, including revisions and review records  
  a. Copy maintained by public water supplier: PERMANENT
  b. Copy held by local health agency: 5 years after superseded
 

Environmental Facilities: Wastewater Treatment

*1.[828]

Permits, approvals, and related records,excluding those related to system or treatment facility construction or operation, covered by item no. 255, above, or those relating to receiving significant industrial or high-discharge users, covered by item no. 829, below.

 
  a. Approval necessary for connection to wastewater disposal system: 6 years after denial or approval
  b. Permit for septic tank cleaner or industrial waste collectors to deliver waste to treatment facility: 6 years
*2.[829] Records relating to receipt and pretreatment of significant industrial or other high-discharge waste  
 

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

6 years after denial, renewal or expiration of permit
 

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

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

20 years
  c. Survey or similar records of significant industrial or other high-discharge waste generators in an area served by a specific wastewater treatment facility: 5 years after superseded or obsolete
*3.[830] Reports and studies relating to plant, system or facility operation  
  a. Annual and final reports (except annual report submitted to federal Environmental Protection Agency [EPA]), comprehensive wastewater study and report, special studies and detailed reports, including facility inspection reports, sanitary surveys, environmental facility monitoring, overall operational reports and reports of emergencies, containing summary or detailed information of long-term value: PERMANENT
 

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

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

5 years
 

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

5 years
 

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

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

5 years after facility no longer in use
 

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

6 years
  f. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
*4.[831]

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

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

5 years
*5.[832]

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

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

5 years
*6.[833]

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

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

5 years
 

Environmental Facilities: Solid Waste Management Facilities

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

NOTE: Records relating to disposal of sludge, biosolids, unprocessable solids or other waste byproduct produced as a result of wastewater treatment process, are covered by item no. 831, above. Records relating to public educational recycling programs are covered by item nos. 11 and 12 in the General section.

*1.[834]

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

6 years after denial or expiration of permit
*2.[835] Reports and studies relating to plant, system or facility operation  
  a. Annual summary reports, final reports, special studies and detailed reports, including facility inspection reports, environmental facility monitoring, overall operational reports and reports of emergencies, water quality records, containing summary or detailed information of long-term value: PERMANENT
 

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

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

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

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

5 years
  f. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
*3.[264] Hazardous waste collection and disposal records  
 

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

PERMANENT
 

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

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

10 years
 

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

6 years after superseded or invalid
*4.[265] Individual load delivery records for solid waste management facility (including materials recycling facility - MRF), including "scalehouse" information records  
  a. Individual load delivery records for residential waste: 6 years*
  b. Individual load delivery records for other than residential waste: 10 years*
  c. Summary reports and other records created from individual load delivery records: 10 years
 

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

 
  d. Reports and studies covering routine information only, not covered by other item in this Schedule: 0 after no longer needed
  e. Automated "scalehouse" data file, containing information on type, weight and source of waste collected and disposed of, as well as billing information: 10 years after information is superseded or invalid
*5.[266] Proof of liability insurance coverage(insurance policy, certificate of insurance or equivalent record), and proof of financial assurance for solid waste management facility  
  a. For landfill: 30 years after closure of landfill
  b. For solid waste management facility other than landfill: 6 years after closure of facility
*6.[267]

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

NOTE: Routine marketing reports and other records are covered by item no. 835f, above.

6 years
*7.[268] Recycling waste collection annual or summary records and reports, including necessary supporting data: PERMANENT
*8.[836] Records relating to ash, leachate, or other waste byproduct generated and/or disposed of by solid waste management facility  
  a. Detailed records of waste byproducts generated, including laboratory test results, leaching potential test report and individual load transfer records: 5 years
 

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

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

10 years
*9.[837] Local solid waste management plan, created pursuant to Section 27-0107, Environmental Conservation Law, covering all updates, and including necessary supporting documentation: PERMANENT
*10.[838] Research, development or demonstration project or program files, including required permits and related records created pursuant to Section 360-1.13, 6NYCRR, official copy of publications, videotapes, or informational literature prepared as a result of the project, background materials and supporting documentation:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. If research, development or demonstration projects or programs deal with significant subjects of a scientific or public improvement nature, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently.

6 years after project or program ends
*11.[839] Self-inspection records of solid waste management facility, created pursuant to Section 360-1.14 (f-3) and (i-2), including inspection log: 7 years from date of inspection
*12.[840] Landfill closure records, including but not limited to site investigation records, conceptual and final closure plans, environmental and facility monitoring records, close and post-closure registration report, closure construction certification report, and periodic inspection reports  
  a. All records, except periodic routine inspection reports, routine notes, memoranda, correspondence and detailed data collected as part of project: PERMANENT
  b. Routine notes, memoranda, correspondence and detailed data collected as part of project: 30 years after date of closure
  c. Periodic routine inspection reports: 7 years after date of closure
 

 

Last updated
Wed, 2015-10-07 15:00