# Series

serName:
Official minutes and hearing transcripts of governing body or board, commission or committee thereof,

serDescription:
including all records accepted as part of minutes:

serJustification:
Records are archival because of administrative, legal and research value.

serFinalJustication:
Possesses long-term legal and research value in documenting the operations of governing bodies and their role in development of local government policies and to document local government activities and accomplishments.

serRevisionSummary:
Revised series title to be consistent with new non-governing meeting files item.


serDescription:
including audio and video recordings, stenotype or stenographer's notebook and also including verbatim minutes used to produce official minutes and hearing proceedings, report, or other record

serJustification:
(a)This is a reasonable time to consult for comparison to actual minutes, derived after consultation with the Committee on Open Government; (b) Records possess little value following transcription.

serRevisionSummary:
Remove references to "tapes" and replace with "recordings." This revision will make item more media neutral. Ensure that this encompasses webcasts and podcasts. Bob McDonnell notes that Bob Freeman noted to him that written minutes of bodies subject to the OML have to prepared 2 weeks of the meeting, but there is no requirement that they ever have to be approved and, in many cases, they are not approved. A simpler disposition would be "4 months after the meeting." Some MI-1 LGs are subject to Executive Order 3 which requires that webcasts be done of OML bodies. A 4-month retention period satisfies this requirement and is consistent with State General Schedule.


serName:
Meeting files of governing body or board or agency, commission or committee thereof,

serDescription:
including agendas, background materials and other records used at meetings

serNotes1:
Appraise these records for continuing administrative or historical value prior to disposition. Agendas may have continuing administrative value and may be useful for accessing information in unindexed minutes and for indexing those minutes. Other records prepared for or used at meetings may have administrative or historical value for documenting issues discussed at the meetings and referenced in the minutes. See item no. 47, above, for records which are accepted as part of the minutes.

serJustification:
See Appraisal Report 2001-18. In certain cases these files may have archival value; otherwise short retention is sufficient.

serRevisionSummary:
Consider adding an item/subitem to clarify and reduce retention of meeting notes. Review ACAL and FOIL definitions of records to determine whether these are records. Public Officers Law Art.6 § 86 and ACAL Art. 57-A Local Govt Records Law § 57.17 definitions do not exclude specifically drafts or notes from "records." However, the intro to the State GRS states that "temporary drafts or personal notes that were not circulated, reviewed, or used to make decisions or complete transactions" can be excluded from the definition of records. Justification from AS table & appraisal report #01-18. Revised series title to be consistent with new non-governing meeting files item.


serDescription:
or legal directive rendered by local, state, or federal government agency:

serJustification:
Records are archival primarily because of long-term legal value.

serFinalJustication:
Possesses long-term legal and research value as they document the interpretation or application of law, and thereby may establish precedent, and set the legal framework for local government operations.

serRevisionSummary:
Added "local, state, or federal" to description to clarify who is rendering the opinion or directive. This text was removed at some point in the past.


serName:
Local law (including certification that law was properly enacted), rule, regulation, ordinance, resolution, proclamation or court order:

serJustification:
Records are archival primarily because of long-term legal value. These are the basis for all local government functions.

serFinalJustication:
Possesses long-term legal value and are the basis for all local government functions.

serLegalCitation:
MHR §27 (creation); SLG § 10 (creation); TWN § 130-134 (creation)


serDescription:
including contract, lease, and release involving local government:

serNotes1:
This item does not apply to contracts (collective bargaining agreements) between a local government and a public employee labor organization. These contracts are covered by item no. 649 in the Personnel/Civil Service section, and must be retained permanently.

serRetention:
6 years after expiration or termination or 6 years after final payment under contract, whichever is later

serFinalJustication:
Satisfies the statute of limitations for litigation involving contracts (CPLR §213).


serDescription:
or equivalent record, showing signature of individual legally authorized to sign specific transaction:

serRetention:
6 years after authorization expires or is withdrawn

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract or fraud (CPLR §213).


serNotes1:
This item does not apply to real property tax lien sales (see item no. 1051 in the Taxation and Assessment section).

serJustification:
6; date issue or increase retired must be figured in.


serJustification:
(a) Records are archival because of administrative and legal value. See Appraisal Report 99-05; (b) Records possess short term administrative value. See Appraisal Report 99-05

serRevisionSummary:
Consider adding a note for manual of procedures item that disaster plans are included under Civil Defense/Disaster Preparedness section.


serDescription:
and supporting documentation maintained in a subject file (generated or received by a local government), except correspondence that is part of a case file or other record series listed elsewhere on this Schedule

serJustification:
(a) Records are archival because of administrative, research and legal value; (c) Records have no continuing administrative, research and legal value.


serDescription:
including newsletter, press release, published report, calendar, bulletin, recording, homepage or other website file, educational or informational program material prepared by or for local government, and associated consent forms

serNotes1:
Specific publications are listed in other places in this Schedule. Before using this item to determine the minimum legal retention for a publication, determine if that publication is covered by a more specific item.

serJustification:
(a) Records are archival because of administrative, research, possible legal and evidentiary value; (b) Part “b” was added to cover pubs of a routine nature.

serRevisionSummary:
Consider adding "calendar" to description of item 11, publication. Also, consider adding language to address consent forms that government employees or others sign for use of their likeness from photos or recordings taken at events in government publications. Recommendation is to manage the consent forms for the same retention period as the related publication.


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

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. If special projects or programs deal with significant subjects, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently.

serJustification:
6; Archival advisory note replaced former part “a” which had been assigned permanent retention.


serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.

serNotes2:
Federal emergency management and disaster response grants are covered under item no. 147 in Civil Defense/Disaster Preparedness section.

serJustification:
6; archival advisory note added and permanent retention removed in 2002.

serRevisionSummary:
Add note to CO-2 grant records items 13 & 61 to cross refence new Federal emergency management and disaster response grant file item in Civil Defense section which now includes FEMA grants.


serName:
Complaint, petition or request for service

serNotes1:
Appraise these records for historical significance prior to disposition. Petitions by citizens involving very significant issues should be retained permanently.

serNotes2:
For additional fiscal items, see Fiscal section of this Schedule.

serJustification:
(a) appraisal note added in 2002; (c) Retention covers routine administrative needs.


serJustification:
(a) appraisal note added in 2002; (b) Records possess short term administrative value.


serName:
Repair, installation, maintenance or similar record,

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

serNotes1:
For maintenance, testing, service, operational and repair records for public equipment or vehicle, see item no. 817 in the Public Property and Equipment section.

serFinalJustication:
Satisfies short-term administrative needs, OSC's audit requirements, and the statute of limitations for litigation involving a contract (CPLR §213).


serName:
Internal investigation or non-fiscal audit records

serNotes1:
Fiscal audit records are covered by item no. 472 in the Fiscal section, Audit subsection. Investigations of personnel are covered by item no. 637 in the Personnel/Civil Service section, Personnel subsection.

serJustification:
Records are archival because of administrative, research, and possible legal and evidentiary value.


serDescription:
including but not limited to calendars of appointments, office and travel schedule, memoranda and routing slips, routine internal reports, reviews and plans, used solely to disseminate information or for similar administrative purposes:

serJustification:
Records possess short term administrative value.


serDescription:
created for administrative convenience, except where retention is specified elsewhere in this Schedule:


serDescription:
used for internal administrative purposes only:


serDescription:
used for billing or other administrative purposes:


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

serNotes1:
For annual, special, or final report, summary, review or evaluation, see item no. 74, below. For routine internal reports and reviews, see item no. 57.


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

serNotes1:
Specific annual reports are listed in many places in this Schedule. Before using this item to determine the minimum legal retention for an annual report, determine that a report is not covered by a more specific item.

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) archival advisory note replaced mandatory permanent retention.


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

serNotes1:
Program plans of a routine nature covering internal activities are covered by item, no. 57. Program plans where significant information is duplicated in other records (which are retained permanently) are covered by item no. 58.

serJustification:
Records are archival because of administrative, research, and possible legal value.

serFinalJustication:
Possesses long-term administrative and research value for research on local government program development and accomplishments.


serDescription:
used for internal administrative convenience or for informational purposes:


serDescription:
such as draft, worksheet or posting record except worksheets containing fiscal information:


serDescription:
recording each communication between caller and receiving unit:

serNotes1:
Item nos. 63 and 64 do not apply to records found in the public safety area. See the Public Safety section.


serName:
Telephone call log, statement or equivalent record:


serDescription:
(duplicate copy or record of issuance) issued to student, client, patron or resident:

serNotes1:
This does not apply to identification cards issued by a law-enforcement agency as proof of age or identity or identification cards issued by local government to its employees. For these, see item no. 1231 in the Public Safety section and item no. 642 in the Personnel/Civil Service section.

serRevisionSummary:
Change advisory note so first sentence refers to "identity" rather than "residency."


serDescription:
including returned registered or certified mail card or receipt and insurance receipt:

serNotes1:
This does not apply to records documenting delivery of notification to interested parties relating to tax lien sales. See the Taxation and Assessment section of this Schedule.


serRetention:
3 years, or 0 after individual attains age 21, whichever is later

serJustification:
The 3 year statute covers actions involving injuries under Section 214, CPLR.

serFinalJustication:
Satisfies the statutes of limitations for initiating criminal prosecutions for misdemeanors and most felonies (CPL §30.10), for initiating any personal injury suits (CPLR §214), and for minors (CPLR §208).

serLegalCitation:
CPL §30.10, CPLR §§208 & 214 (retention)


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

serNotes1:
This item does not apply to records found in the public safety area. See the Public Safety section of this Schedule.

serNotes2:
For records of responses to threats against public and other facilities, and discovery of possible explosives, pathogens or other hazardous substances, see item no. 925 in the School District and BOCES: School Safety subsection.

serFinalJustication:
Satisfies the statute of limitations for initiating criminal prosecutions for misdemeanors and most felonies (CPL §30.10).


serName:
Local government public access television records

serJustification:
(a-1) Records are archival because of administrative, research, and possible legal value; (a-2 & 3) Records possess short term administrative value; (b) Records possess short term administrative value.

serRevisionSummary:
Remove references to "tapes" and replace with "recordings." This revision will make item more media neutral. Also, make retention period more consistent with item 2. Fix sub-item lettering so a. is properly split into a., b., & c., c. becomes d., and d. becomes e. I view the public access TV recordings as “publications” but just in a different format, whereas the meeting recordings are simply a different format of official minutes/transcripts. Thus, TV programs that cover important/significant subjects should be retained similar to important publications, reports, or studies, while meeting records can be discarded once their surrogates (i.e. minutes/transcripts) have been created. Since there is no requirement for public access programs to create/retain transcripts (unlike meetings subject to OML covered by item 1), then the recordings ought to be retained as the copy of record. I also think there is a qualitative difference between a meeting broadcast on TV versus a recording that is simply posted after the fact on a website. One seems more active and intentional vis-à-vis informing the public, while the latter seems more passive and a quick way to disseminate information pending minutes/transcripts.


serName:
Records covering photocopying and other reproduction

serDescription:
of records, books, or other materials, including usage logs and individual copying requests

serJustification:
(a) Retention taken from U.S. copyright law (17 USC 507); (b) Records possess short term administrative value.

serFinalJustication:
Satisfies the statute of limitations for criminal litigation involving copyright infringement (17 USC §507(b)).

serRevisionSummary:
Increase retention period to 5 years from 3 years for records covering photocopying and other reproductions (part a only). Satisfies the statute of limitations for criminal litigation involving copyright infringement (17 USC §507(b)).


serDescription:
for materials copyrighted by local government, including but not limited to copy of application, notice of copyright and correspondence:

serRetention:
6 years after copyright expires or application denied

serFinalJustication:
Satisfies the statute of limitations for litigation involving criminal actions for copyright violations (17 USC §507).


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

serNotes1:
This item does not cover training in the Public Safety area; see item nos. 1187 and 1200 in the Public Safety section and item no. 930 in the School Safety subsection. This item does not cover training in dealing with toxic substances; see item no. 654 in the Personnel/Civil Service section. For commercial motor vehicle driver alcohol and drug testing training, see item no. 671 in the Personnel/Civil Service section. Records of earnings (in-service) credits are covered by item no. 636 in the Personnel/Civil Service section.

serNotes2:
See Fiscal section for records of fiscal transactions involving training programs.

serNotes3:
For employee training history records, see item no. 640 in the Personnel/Civil Service section.

serJustification:
Records possess little value once obsolete.

serRevisionSummary:
Split training records item (ED-1 item 400) to allow for Continuing Teacher and Leader Education (CTLE) Sponsors courses and workshops that have a 8-year retention periods. Eligible entities include school districts, BOCES, teacher centers, local governments, and colleges/universities. Removed "agency" from roster of registrants to reflect ED-1 Schedule wording and to broaden the scope.


serName:
Training course registration processing records,

serDescription:
including but not limited to employees' application and enrollment records for courses including employee data forms, course applications, and supervisors' and training officers' authorizations or denials:

serRetention:
0 after no longer needed for administrative use

serJustification:
Records possess short term administrative value. Reduction of retention period is recommended to coincide with State General Schedule.

serRevisionSummary:
For course registration records, State General Schedule retention was reduced from 3 years to 0 after no longer needed. Consider reducing similar local government retention periods accordingly.


serName:
Annual and multi-year comprehensive plans,

serDescription:
compliance reports and non-fiscal audits relating to aging services:

serFinalJustication:
Possesses long-term research value in documenting a local government's approach to providing services to a specific population group.

serLegalCitation:
ELD §214 (creation) and ELD §203 (creation)


serDescription:
of seniors served by local aging services program:


serDescription:
including but not limited to applications, evaluations, and follow-up report:

serNotes1:
In instances where local government aging offices also have contact with minors in relation to Medicaid, retention needs to account for the legal age of majority of the client.

serRetention:
6 years after last contact with client, but not until 3 years after individual attains age 18

serFinalJustication:
Satisfies short-term administrative needs and the statute of limitiations for prosecutions involving elder abuse (CPR § 30.10). Satisfies the statute of limitations for litigation involving a minor, personal injury, and a contract (CPLR §208 & 214).

serLegalCitation:
ELD §203 (creation) and CPR § 30.10 (retention), CPLR §208 & 214 (retention)

serComments:
Wasn't sure if elder abuse was approriate, but thought it was conceivable.

serRevisionSummary:
Account for minors appearing in offices for aging's individual client file by adding "3 years after individual attains age 18" to retention period. Added note to clarify why retention period was changed since aging client files normally would not concern minors.


serDescription:
including but not limited to registration, enrollment and service records:


serDescription:
including descriptive inventories of records indicating the titles, contents, locations, volume, inclusive dates, and other attributes of those records:

serRetention:
0 after superseded by a new or updated inventory

serRevisionSummary:
Consider making inventory of records item consistent with that of the State General Schedule (item 90344). Retention period is the same, but added more description.


serJustification:
(a) Documents provenance of archival records; (b) Records have no value once listed records no longer exist

serFinalJustication:
Local governments may need to use these records to track missing files, and to provide information or evidence of their unavailability during audits or litigation.


serDescription:
for records in storage, including charge-out slips or logs:

serNotes1:
Local governments may wish to retain documentation of records that were not returned to storage longer than the indicated retention period to indicate the status and location of those non-returned records. They may need to use these records to track missing files, and to provide information or evidence of their unavailability during audits or litigation.

serRetention:
3 years after records have been removed from storage or returned following retrieval

serJustification:
Some legal and audit value: retention period presently coincides with State General Schedule.

serFinalJustication:
Satisfies short-term administrative and legal needs.

serRevisionSummary:
Consider making retrieval request records retention consistent with that of the State General Schedule (item 90346).


serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) Records only have temporary administrative value. See Appraisal Report 99-05


serName:
Guide, listing, index, or other finding aid

serNotes1:
Local governments should retain any superseded guides, lists, indices or other finding aids containing record numbering and identification information, or any other significant information not carried forward to newer versions.


serJustification:
(b) Records only have temporary administrative value.


serName:
Building/property history data file contained in building/property history system,

serDescription:
and related records, created for informational and reference purposes, containing information on such areas as building permit issuance, building inspection, certificate of occupancy issuance, site plan review or other planning actions, zoning variances, special use permits and fire inspections:

serNotes1:
Counties should consider permanent retention of the basic data elements of these building/property history systems for all parcels of property in the county. This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed records maintained in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

serJustification:
This is the standard retention for a data file where information it contains is continuously. updated. See Appraisal Report 99-05


serName:
Street address/parcel number authority data file,

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

serNotes1:
This data is often received from an assessor's or tax office. See items covering real property data systems in the Taxation and Assessment section.

serRetention:
Retain until superseding or updated file received.


serName:
Lists, reports, studies, queries, searches for information, special project records and analyses

serDescription:
created from data contained in one or more data files in building/property history system

serJustification:
(a) Also, records must be retained for life of project and are potentially archival. See Appraisal Report 99-05; (b) Records only have temporary administrative value. See Appraisal Report 99-05


serDescription:
including index, log or journal, covering building code complaints, inspections, investigations, and violations:

serJustification:
Records are archival because of administrative, research, and possible legal value, and also to index or access other records.

serSubsection:
Building and Construction (Regulation and Inspection)


serName:
Property maintenance or building inspection records,

serDescription:
including but not limited to complaints, inspection reports, notice of violation, cumulative building inspection record, appeal or review and final disposition of case

serNotes1:
For records that fall outside the building inspection process, see item no. 114.

serNotes2:
Building inspection records relating to building permit issuance are covered by item no. 112.

serJustification:
Records have legal and administrative value beyond the life of the structure.

serRevisionSummary:
Consider whether subitem would be appropriate to add to Housing maintenance or building inspection records to accommodate minor building issues, such as broken car in the front yard or garbage piled up. Change title to "property maintenance" to reflect terminology used in 19 NYCRR. Added new sub-item b for routine records & adjusted description of sub-item a. Re-numbered single family dwelling as sub-item c. Also added note for records outside the inspection process per item below. Defined "major" and "minor" issues based on "rent impairing" violation language used in Multiple Dwellings Law Sect. 302-a.

serRevisionRecdFrom:
From Paulette Terwilliger, Town of Ithaca


serJustification:
(a) Records are archival because of administrative, research, and possible legal value, and also to index or access other records; (b) retention also reflects legal actions potentially brought by minors when they reach majority; (c) retention for all part


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

serNotes1:
Counties should consider permanent retention of the basic data elements of this building inspection data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 105.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

serJustification:
While this record is created for internal convenience, preservation of basic data elements may serve archival needs unless duplicated in another series. See Appraisal Report 99-05

serFinalJustication:
Satisfies potential long-term administrative needs. Records may possess historical and other research value in areas relating to land use, urban planning, historical preservation and structure design and maintenance.

serLegalCitation:
19 NYCRR Parts 1203, 1219-1228 (creation)


serName:
Building permit and certificate of occupancy issuance records

serNotes1:
Building permit files often contain plans, sketches, photographs, and other records that provide valuable information on individual structures. These records may have continuing value for historical or other research, and the State Archives suggests they be retained permanently.

serJustification:
(a) Records are archival because of administrative, research, and possible legal value, and also to index or access other records; (b) Records only have temporary administrative value; (c-1) Records may also have legal and administrative value beyond the life of the structure, and may possess research value; (c-3) Records only needed for internal convenience; DOS may have had input into determining retention; (c-4) Retention suggested by DOS; not needed for life of the building; (d) Records may also have legal and administrative value beyond the life of the structure; retention requested by DOS; (e) retention suggested by DOS; not needed for life of the building; (f) Records only needed for internal convenience, these records are usually found at county heath department

serRevisionSummary:
Revise building, planning, and zoning related items to reflect disposition request granted to Town of Brookhaven. Broke up part c, Building, plumbing, electrical, demolition or related permit file, into separate subitems based on retention and renumbered subitems.


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

serNotes1:
Counties should consider permanent retention of the basic data elements of this building permit issuance data for all parcels of property in the county, unless that data is preserved by the master summary record (see item no. 108.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice in this area.


serName:
Building condemnation and demolition files,

serDescription:
including application, copy of permit, correspondence, and notice of condemnation:


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

serNotes1:
For citizen complaints and requests for services, not covered by items in this section, see item no. 77 in the General Administration section. For sanitary code violations, see item no. 406 in the Environmental Health section.

serNotes2:
Counties should consider longer retention of the basic data elements of this complaints/violations data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 105). This information may be useful for long-range planning purposes in conjunction with building permit issuance and building inspection data. Contact the State Archives for additional advice.

serJustification:
6; Records may also have legal and administrative value beyond the life of the structure, and may possess research value. See Appraisal Report 99-05

serRevisionSummary:
Expand description to add summonses and warrants to description of building complaints/violations records item.


serDescription:
including but not limited to official copy of comprehensive plan and all background surveys, studies, reports, and draft versions of plan:

serNotes1:
If multiple drafts of background surveys exist, retain initial, as-built and final surveys and dispose of drafts under item no. 62 in the General Administration section.

serFinalJustication:
Posseses long-term research value in documenting the culmination of a planning process that establishes the official land use policy of a community and presents goals and a vision for the future that guides official decisionmaking. The comprehensive plan invariably includes a thorough analysis of current data showing land development trends and issues, community resources, and public needs for transportation,
recreation, and housing.

serRevisionSummary:
Consider refining description for comprehensive plan development file to indicate that initial, as-built, and final background surveys are sufficient to retain if multiple drafts exist. Added note to clarify this.


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

serNotes1:
Counties should consider permanent retention of the basic data elements of this planning action data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 105.) This information may be useful for long-range planning purposes, and for community and land use history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.


serDescription:
for project or program developed by or for planning agency


serDescription:
(log or register) maintained by planning agency to record receipt of planning or zoning reviews and projects, and to record subsequent action taken:


serDescription:
maintained by planning agency for internal reference purposes, usually arranged by name of government agency or other service organization:

serJustification:
Records only have temporary administrative value and not after superseded or obsolete.


serDescription:
for required review of site plan, zoning variance, special use permit, change of zoning, subdivision creation or enlargement, municipal planning action, or other required review, including but not limited to maps, plans, sketches, photographs, engineering reports, environmental impact statements and studies, copies of zoning records, project narrative, correspondence, and record of final determination (per Sections 239-l, -m, and -n, General Municipal Law)

serNotes1:
"Subdivision," as used in this item, means the division of one parcel of land into two or more lots, blocks, plots or sites.

serNotes2:
Parts "a" to "f" below apply to records of referring bodies (e.g., city, town, or village).

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) Withdrawn applications lack archival value; (e) Records only have temporary administrative value.

serRevisionSummary:
Revise building, planning, and zoning related items to reflect disposition request granted to Town of Brookhaven. The statute of limitations for challenges to planning and zoning actions generally expires 30 days after a determination is filed. Gen. City L. §§27-a(11), 27-b(9), 38, 81-c; Town L. §§274-a(11), 274-b(9), 282, 267-c; Vil. L. §§7-725-a(11), 7-725-b(9), 7-740, 7-712-c. Adds sub-item f. Revised "special permit" in description to say "special use permit" to reflect text in relevant laws. Add sub-item g to cover copies of records submitted by referring body to county or other review body for review. Add note to clarify that parts "a" to "I" apply to records of referring bodies (part "g" applies specifically to counties).


serName:
Discretionary planning review case file,

serDescription:
including review of planning review cases, federal or other aid projects, review of mining permit application, environmental impact or similar studies, or other reviews, including but not limited to application, correspondence, copies of local planning or zoning records, legally required notifications received from adjacent municipalities, maps, plans, sketches, and other supporting materials

serJustification:
Records only have temporary administrative value.

serRevisionSummary:
Revise wording of discretionary planning review case file to include notifications received from adjacent municipalities. GML Sect 239-nn (as of 7/1/2006 a new requirement in GML) notes that an adjacent municipality's clerk be notified of a hearing on a special use permit, use variance, site plan review or subdivision review for property that is within 500 feet of an adjacent municipality. The intent of the provision is to give adjacent municipalities an opportunity to appear at the public hearing and express their concerns, if any, on the application. The municipal clerk is the recipient of notices from other municipalities. This notice is similar to the notice sent to adjacent municipalities of zoning changes, which is addressed in MU-1 item 651. However, the notification is for hearing on certain applications for a special use permit, use variance, site plan review or subdivision review.


serName:
Disaster preparedness or crisis relocation records

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) 3 year retention satisfies any legal needs under 214 CPLR; (c) covers administrative as well as legal and fiscal needs.

serRevisionSummary:
Broaden legal reference to disaster preparedness item.


serName:
Federal surplus property acquisition records:

serRetention:
6 years after receipt of surplus property


serJustification:
3 years presumably was determined sufficient to meet Federal as well as State requirements. The retention period was reduced from 6 years.


serDescription:
including monthly application/report and detailed fuel allocation records:

serJustification:
The retention period was reduced from 6 years; 3 years coincides with the retention for similar social services records.

serFinalJustication:
Satisfies short term administrative and reference needs.


serDescription:
compiling information on the response of all agencies to a major disaster

serNotes1:
Federal emergency management and disaster response grants are covered under item no. 147 in Civil Defense/Disaster Preparedness section.

serJustification:
Records are archival because of administrative, research, and possible legal value; see also Appraisal Report 99-05


serNotes1:
For property acquisition, facility construction and other records covering emergency operating centers and fallout shelters, see the Public Property and Equipment section.

serRetention:
6 years after center no longer used for civil defense purposes

serJustification:
6; the retention period was originally permanent.

serFinalJustication:
Satisfies statute of limitations for personal injury and property damage.

serLegalCitation:
EXC §23 (creation); CPLR §214 (retention)


serDescription:
for institutional or program accreditation by the Middle States Association of Colleges and Secondary Schools, the National League for Nursing and other organizations responsible for accrediting institutions of higher learning, including but not limited to institutional self-study documents, reports and determinations resulting from onsite visits for evaluation, and the college's response to deficiencies noted

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) see Appraisal Report 05-06. Industry standards, as recommended by Middle States Association of Colleges and Secondary Schools?


serDescription:
covering internal development and approval for credit, non-credit, and continuing education programs and courses

serJustification:
The 7 year retention was selected because part “a” has always had the 7 year retention.


serDescription:
including proposals for registration of new programs and requests for approval of changes in existing program title, HEGIS (Higher Education General Information Survey) content, credit hours, curricular content, format, and/or resource commitment

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) Records only have temporary administrative value.


serDescription:
including approvals from the State University of New York and registration letters from the State Education Department:

serJustification:
Records are archival because of administrative, research, and possible legal value.

serFinalJustication:
Possesses long-term administrative and research value by documenting the approval and registration process for community college programs and curricula


serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) The 7 year retention appears to have been based on Federal requirements and/or oversight by SUNY personnel; (c) Records only have temporary administrative value.


serName:
Faculty and faculty-student research records,

serDescription:
maintained separate from faculty personnel records and student individual academic records

serJustification:
(a) Records are archival because of research value and retention is consistent with other official publications; See also Appraisal Report 05-06; (b) Some but not all may be archival; See also Appraisal Report 05-06.


serDescription:
including but not limited to name, address, occupation, degree attained, marital status, and summary records of financial contributions of alumni:

serJustification:
Originally a 2-part item, correspondence is covered by a general item and other records have only routine administrative value.


serDescription:
or other master summary record of alumni and all other degree recipients, such as published alumni catalog, providing names of alumni, years of graduation, and other information such as degrees granted and place of residence:

serJustification:
Records are archival because of research value and retention is consistent with other official publications; See also Appraisal Report 05-06

serFinalJustication:
Possesses long-term research value by documenting graduates and degree recipients, and has potential value in post-secondary educational research as well.


serDescription:
concerning recruitment of student athletes for college sports programs, including but not limited to scouting reports, lists of prospects, recruitment proposals, and correspondence

serJustification:
(a) 3 year retention satisfies Federal and State legal requirements; see also (34 CFR Section 648.47); (b) Records only have temporary administrative value.


serDescription:
including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, and correspondence:

serJustification:
6; see also (34 CFR Section 648.47).


serJustification:
Records possess short term administrative value. See Section 30.4 of the Town Law.


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

serNotes1:
For related reports and records on athletic program activities, see item no. 196 in the Miscellaneous subsection of this section.

serFinalJustication:
Satisfies five-year records retention requirement in 28 USC §1658


serName:
Substance or alcohol abuse testing records

serDescription:
for individual athlete, not included in student health services case record

serJustification:
(a) see also (34 CFR Section 648.47); (b) 3 years covers personal injury and malpractice suits


serDescription:
including but not limited to records of training provided individual athletes and staff:


serDescription:
determining student eligibility to participate in campus sports activities:

serJustification:
6; see also (34 CFR Section 648.47). *There is no 648.47


serDescription:
including but not limited to request for assistance relating to emotional, psychological, personal, social, academic, or placement and career planning concerns, and also covering tutoring and mentoring services provided for and received by students:

serFinalJustication:
Satisfies six-year records retention requirement in 8 NYCRR §29.2(a)(3)


serDescription:
containing information about transfer to another college, reason for termination, or future plans of student:

serJustification:
Records only have temporary administrative value; official record of termination is covered by item no. 132.

serFinalJustication:
Satisfies short-term administrative needs. Official record of termination is covered by student academic records item.


serDescription:
including slips, return cards or counseling schedules:


serName:
Statistical compilation or reports of students served:


serName:
Catalogs and related public relations information

serDescription:
received from other academic, vocational or educational institutions:


serDescription:
including but not limited to records of on-campus visits and interviews, job fairs, employer information sessions, and job searches, but not including individual student counseling records:


serName:
Donor (and prospective donor) information records

serDescription:
containing information on individuals, organizations, foundations, or corporations:

serNotes1:
Detailed records of specific gifts to a community college are covered by item no. 45 in the General Administration section.


serDescription:
including but not limited to information on disability, correspondence with student's sponsoring agency, orders for special equipment, and notes of contacts with counselors:

serRetention:
6 years after graduation or date of last attendance

serFinalJustication:
Satisfies statute of limitations for litigation involving fraud (CPLR §213).


serDescription:
relating to instructor orientation to disabled students and general disabilities:


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

serFinalJustication:
Satisfies federal and OSC's audit requirements.


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

serNotes1:
Appraise these records for continuing administrative or historical value prior to disposition. Records with historical value should be retained permanently. Reports containing information showing trends in student financial aid over time may be valuable for planning and other decision-making as well as research purposes.

serJustification:
6; See also Appraisal Report 05-06 which justifies Archival note.


serDescription:
including but not limited to record of receipts and log of operations:

serFinalJustication:
Satisfies the statute of limitations for litigation based on fraud (CPLR §213).

serLegalCitation:
8 NYCRR §602.10 and .11 (creation); CPLR §213 (retention)


serDescription:
covering credit, non-credit, or continuing education courses, housing, food, laboratory and equipment use, and other fees, charges and expenses, and also including tuition waivers:

serNotes1:
See item no. 514 in the Fiscal section, General Accounting and Miscellaneous subsection, for other billing records.

serFinalJustication:
Satisfies the statute of limitations for litigation based on fraud (CPLR §213)


serName:
Fiscal reports submitted to or received from the State University of New York (SUNY)

serDescription:
including operating report (budget) and annual report (year-end):

serLegalCitation:
Education Law §6304 and 8 NYCRR 602.13(c) (creation)


serDescription:
including but not limited to room and board contracts and room assignment, and records pertaining to damage of dormitory equipment and furnishings:

serRetention:
6 years after expiration of contract or room assignment

serFinalJustication:
Satisfies statute of limitations for litigation involving a contract (CPLR §213).


serDescription:
including lists of landlords and/or listings indicating apartments or rooms available:


serDescription:
created for administrative convenience, containing department list of classes:


serName:
Instructor's course syllabus or lesson plan:

serNotes1:
The community college may wish to retain representative or outstanding course syllabi for future reference, as well as any useful class reading lists or bibliographies.

serRetention:
0 after no longer needed by community college


serName:
Instructor's grade records, test scores, and marking sheets,

serDescription:
including records documenting the evaluation of scientific models, biological specimens, chemical compounds or other objects or materials produced in lab or shop settings:

serJustification:
Records only have temporary administrative value; these were formerly assigned permanent retention.


serName:
List of students majoring in a field of study:


serDescription:
including class title, location, dates, and time of meeting:


serName:
Completed examination test papers and answer sheets:


serDescription:
necessary to provide documentation for student financial aid or other purposes:

serFinalJustication:
Satisfies statute of limitations for litigation based on fraud (CPLR §213).


serName:
Records relating to tax-free use of alcohol

serRetention:
6 years after expiration of permit or denial of application

serLegalCitation:
Alcoholic Beverage Control §92 (creation)


serJustification:
The 3 year retention period is not readily understood.


serName:
Records of hypodermic syringes and needles

serDescription:
acquired for educational use or for administration of vaccines and other controlled substances to students and/or employees


serName:
Chartering documents and establishment plan

serDescription:
concerning the community college's corporate status and degree-granting authority, including background materials:

serJustification:
Records are archival because of administrative, research, and possible legal value; combines two previous items.

serFinalJustication:
Possesses long-term research value in documenting the establishment and legal authority of community colleges.


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

serNotes1:
Although Section 807-b of Education Law authorizes community college officials to destroy these reports after 3 years, the State Archives strongly urges that the "official" or "record" copies of these reports be retained for 21 years to meet possible legal needs, including personal injury litigation that may involve minors.

serJustification:
3 year retention required by Section 807-b, Education Law, but may be too short even with advisory note.

serFinalJustication:
Satisfies statute of limitations for litigation involving personal injury to minors (CPLR §§ 208 and 214).

serLegalCitation:
Education Law § 807-b (creation); CPLR §§ 208 and 214 (retention)


serJustification:
Records possess short term administrative value. See Section 30.4 of the Town Law. *(Not applicable)


serName:
Institutional information/reports which must be sent or made available

serDescription:
to enrolled and prospective students and the public, under Sections 668.41, et seq. of 34CFR, including related records, exclusive of campus security records required under Section 668.46 of 34CFR

serNotes1:
For campus security records see item no. 198, as well as items found in the Public Safety section of this Schedule.

serJustification:
(a) Records are archival because of research value and retention is consistent with other official publications; See also Appraisal Report 05-06; (b) & (c) The 3 year retention satisfies Federal and State legal requirements. (34 CFR Part 668)


serJustification:
(a) Records are archival because of research value and retention is consistent with other official publications; See also Appraisal Report 05-06; (b) Archival note suggested in also Appraisal Report 05-06.


serNotes1:
College security units should use the Public Safety section of this Schedule whether or not they have been recognized as accredited law enforcement agencies. This item covers records that must be maintained under Section 668.46 of 34CFR (Institutional Security Polices and Crime Statistics).

serNotes2:
Sexual offense or alcohol or drug abuse investigation records are covered by item no. 1222 in the Public Safety section, Law Enforcement: General subsection. Lists and other records of parolees and sex offenders are covered by item nos. 1274 and 1275 in the Public Safety section, Law Enforcement: Miscellaneous subsection. Accident or incident reports that are not crime related are covered by item nos. 31 and 32 in the General Administration section. For building security records and video recordings maintained for security purposes, see item nos. 811 and 846 in the Public Property and Equipment section.

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; See also Appraisal Report 05-06; (b) & (c) & (d) 3 year retention satisfies Federal and State legal requirements. (34 CFR Section 648.46)

serRevisionSummary:
Update campus safety sub-items b & e to include additional document types per US Department of Education, Office of Postsecondary Education's The Handbook for Campus Safety and Security Reporting, Chapter 9, and to increase the retention period from 3 to 6 years after end of calendar year. The handbook states that "the annual security report and all supporting records used in compiling the report" should be retained "for three years from the latest publication of the report to which they apply." As further explanation on how to calculate that 3 year period, it states the following: "Be sure to retain the annual security report and all supporting records used in compiling the report for three years from the latest publication of the report to which they apply. For example, the 2015 annual security report should contain statistics for 2012, 2013 and 2014. The 2012 statistics and supporting records must be kept until Oct. 1, 2018 in effect, seven years. Records to be kept include, but are not limited to, the following: copies of crime reports; the daily crime logs; records for arrests and referrals for disciplinary action; timely warning and emergency notification reports; documentation, such as letters to and from local police having to do with Clery Act compliance; letters to and from campus security authorities; correspondence with us regarding Clery Act compliance; and copies of notices to students and employees about the availability of the annual security report." Other than this statement in the handbook, there does not seem to be anything in the applicable law or regulations to support or justify this interpretation. The Clery Act (20 USC 1092(f)) requires the publication of an annual security report that provides data on crimes that occurred "during the most recent calendar year, and during the 2 preceding calendar years." The regs. (34 CFR 668.46) require preparation of an annual security report that contain crime statistics for the "three most recent calendar years" but don't indicate a retention period for records. Also add sub-items f-g to cover new requirements brought about by changes to the Campus Security Act (Clery Act (20 USC 1092(j)), including for missing person procedures, and emergency response. Fire safety records will be handled under the Housing section.


serName:
College-related reports, studies or data queries,

serDescription:
including their supporting documentation, covering subjects such as institutional research, graduation rates, enrollment projections, ethnicity and other student profiles, faculty-student class ratios, honors lists, and fiscal matters

serJustification:
(a) Records are potentially archival because of administrative, research, and possible legal value, hence the advisory note; this item originally was assigned permanent retention. See also Appraisal Report 05-06; (b) Records only have temporary administra


serName:
Student activity or organization records

serJustification:
(a) Records are potentially archival because of administrative and research value, hence the advisory note. See also Appraisal Report 05-06; (b) Records only have temporary administrative value

serRevisionSummary:
Fix reference to parental consents, item 174 -- should be item 219 -- in notes field of item 200 (student activity or organization records).


serJustification:
6; retention event is the termination of the agreement.


serName:
Food inspection and investigation records,

serDescription:
including inspection report for preparation or serving area and food sanitation complaint investigation records

serJustification:
Retention satisfies legal needs and DOH requirements; age of majority is relevant for students and others under age 18


serDescription:
including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents, and also including association or organization membership files covering affiliation with or membership in professional, education or civic groups, including the National Junior College Athletic Association (NJCAA), by the college as a whole or some department or unit thereof

serJustification:
(a) Records are archival because of administrative, research, and possible legal value; (b) retention event may relate to expiration date of contract.


serDescription:
including but not limited to application, entrance examinations and reports, letters of recommendation, transcripts from secondary schools and other colleges and universities, acceptance letters, advanced placement records, evaluations, and supporting documentation

serJustification:
(a) Retention is identical to that for item 132c, student academic records; (b) Records only have temporary administrative value. NOTE: Are Civil Rights Law requirement met with this retention?

serFinalJustication:
CPLR Sect 213 ?; 8 NYCRR Sect. 605.3(b)(2) [3 years for students not accepted or did not attend]

serRevisionSummary:
Extend retention period of applicants who apply to community college who are not accepted or do not attend per 8 NYCRR 605.3(b)(2) (from 2 years to 3 years).


serJustification:
Records are archival because of administrative and legal value. This was formerly a separate item; (c) retention event is graduation or final attendance; (d) 3 year retention satisfies Federal and State legal requirements; (e) & (f) Records only have tem

serLegalCitation:
8 NYCRR Sect. 605.3(b)(1) [permanent academic record]


serName:
Non-credit and continuing education records


serDescription:
containing electronic information on academics, financial matters, and other aspects of student life

serNotes1:
If the student information system is used as the sole means to maintain records covered by other items in the Schedule, then the retention requirements of those items would apply. If not, follow the retention periods below.

serNotes2:
Financial aid records are covered by the Financial Aid subsection.

serJustification:
(a) appraisal note included because basic student data has potential administrative and research value. See Appraisal Report 05-06; (c) retention event relates to status of loan.

serRevisionSummary:
Add note to student information system item (sub-item a) to cross-reference student transcript. Revise student information system item to (1) clarify description and (2) refer users to financial aid items instead of a subitem c; eliminate part c and add note instead (see SUNY Schedule as example).


serName:
Records of compliance with the Family Educational Rights and Privacy Act of 1974 (FERPA) and related legislation

serDescription:
concerning access to student education records and participation in surveys on or activities in designated areas

serJustification:
(a) to (e) Retention depends of length disputed record is retained; (f) Records are archival because of research value and retention is consistent with other official publications.; (g) 3 year retention satisfies Federal and State legal requirements.


serJustification:
(a) original held by county clerk; (b) Records only have temporary administrative value.


serName:
Records of gifts and prizes (other than scholarships) awarded students:

serJustification:
3 year retention satisfies Federal and State legal requirements. Should this be 6 years to meet State audit requirements.


serDescription:
other than those found in the student academic records, covered by item no. 206:


serDescription:
including but not limited to suspension notice, suspension hearing record, probationary condition adherence record, expulsion records, correspondence, fine assessment, and related records:

serRetention:
6 years after the end of the academic year

serFinalJustication:
Satisfies retention requirements in 20 USC Code §1092(f), 34 CFR 668.46, and Education Law Art. 129-A and -B and OSC's audit requirements.

serLegalCitation:
20 USC Code §1092(f), 34 CFR 668.46, and Education Law Art. 129-A and -B (creation, retention)


serDescription:
including but not limited to grievance, investigative records, hearing proceedings, decision rendered, student appeal, records of arbitration procedure, final decision and correspondence:


serDescription:
other than recruitment of individual student athletes, including but not limited to plans and strategies, lists of potential students, records of socio-ethnic composition of student body, records of college planning workshops and visits by parents and prospective students, and relevant statistics, exclusive of records of individual prospective students as covered by item no. 217:

serJustification:
3 year retention satisfies Federal and State legal requirements.

serFinalJustication:
Satisfies 4 year records retention requirement in 28 USC §1658.

serLegalCitation:
28 USC §1658, 29 CFR 1602.31m abd Executive Law Art. 15 (retention)


serName:
Records relating to individual prospective students who do not apply for admission,


serName:
Nursing education program eligible list of candidates,

serDescription:
received from New York State Education Department:

serRetention:
3 years after the end of the academic year

serFinalJustication:
Satisfies four-year records retention requirement in 28 USC §1658


serDescription:
(log or register) documenting all activity of agency, covering housing rehabilitation, tenant relocation, economic development, property acquisition and resale, program participant applications, loan or mortgage issuance, special projects and various contacts:

serJustification:
Records are archival because of administrative, research, and legal value. Most master summary records are retained permanently.

serFinalJustication:
Possesses long-term research value in documenting a local government's approach to community development and urban renewal.


serDescription:
submitted annually to U.S. Department of Housing and Urban Development or successor agency:

serJustification:
Records are archival because of administrative, fiscal, research, and legal value.

serFinalJustication:
Possesses long-term research value in documentingfederal government involvement in local community development and urban renewal projects.

serLegalCitation:
42 USC § 1437f (creation), GMU § 503 (creation)


serDescription:
for participation in any community development program:

serFinalJustication:
Satisfies the requirements of federal regulations for federal awards (2 CFR 200.333).

serLegalCitation:
GMU § 503 (creation), 2 CFR 200.333 (retention)

serComments:
Unclear what legal requirements are applicable. CPLR § 217 or 214? The original justification mentioned legal requirements, but I couldn't figure out what they might be for denied applications.


serName:
Financial and statistical reports, studies or data queries,

serJustification:
6 Records only have temporary administrative value.

serRevisionSummary:
Correct word used in acronym for the IDIS system by changing "Dispersal" to "Disbursement."


serDescription:
of community development or urban renewal agency

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently, particularly property acquisition case files which may be a rich resource for community history. Contact the State Archives for additional advice.

serJustification:
(a) retention depends on final payment on loan; (b) retention may depend on discharge of mortgage; (c) retention depends on final payment on loan or discharge of mortgage; (d) retention depends on length of local government ownership, which may be permanent; (e) retention depends on length of local government ownership; (f) 6; Permanent retention was removed and an archival advisory; (g) Records are archival because of administrative, research, and legal value; (h) 6; retention depends on final payment on loan or discharge of mortgage; (i) Retention is identical to that for similar records found at health agencies; (j) Retention depends on which case file these records relate to; (k) Original permanent retentions replaced with appraisal note to allow for selective weeding.


serDescription:
(log or register) of consumer practice inspections, complaints, violations or other agency activity:

serFinalJustication:
Possesses long-term research value by documenting the history of complaints, violations, and inspections.


serName:
Consumer practice retail establishment inspection report:


serDescription:
including complaint, notice of violation, investigation report, hearing records, record of assessment and collection of fine, or notice of dismissal and related correspondence:

serLegalCitation:
CPLR §213 (retention); GBS §§35, 39, 631, & 774 (creation); GCT §§20.27 & 55 (creation)

serRevisionSummary:
Add hearing records to description of consumer practice complaint file


serDescription:
("proof of accuracy") for sealer's weighing and measuring equipment, issued by New York State Department of Agriculture and Markets:

serJustification:
6; expiration is the event that triggers retention

serFinalJustication:
Satisfies 5 year inspection requirement in AGM §179.9 and m1 NYCRR 222.1(b)

serLegalCitation:
AGM §179.9 and m1 NYCRR 222.1(b) (retention)


serDescription:
of weighing or measuring device or of packaged item sold by weight, when no violation is discovered:

serJustification:
Records possess short term administrative value; this retention was requested by the State Dept. of Ag. & Markets.

serFinalJustication:
Satisfies 2 year inspection requirement in AGM §179.9


serName:
Report on food labelling or advertising,

serFinalJustication:
Satisfies two-year retention requirement in 9 CFR §320.3


serDescription:
of inspections performed and/or other activities of sealer of weights and measures:


serDescription:
of sealer of weights and measures, conducted by New York State Department of Agriculture and Markets:


serDescription:
including inspection report, notice of violation, notice of correction of inaccuracy, hearing records, fine collection record and correspondence:

serLegalCitation:
CPLR §213 (retention), AGM §181.7 (creation)

serRevisionSummary:
Add hearing records to description of violation files.


serName:
Calibrations for bulk milk holding tanks and other volumetric measures:

serRetention:
2 years after recalibration completed or volumetric measure no longer in use

serJustification:
This retention was requested by the State Dept. of Ag. & Markets to satisfy legal and administrative needs.


serJustification:
(a) Records are archival because of administrative, legal, fiscal, and possible research value; (b) This retention follows that used in other states and was also recommended by local officials.


serDescription:
when no investigation is conducted by coroner or medical examiner:

serFinalJustication:
Satisfies the statute of limitations for litigation based on a mistake (CPLR §213)

serLegalCitation:
CPLR §213 (retention); CNT §677.3 (creation)


serDescription:
(MV-104 or similar form) submitted to New York State Department of Motor Vehicles:

serJustification:
6; long term information is retained by State DMV.

serLegalCitation:
VAT §603 (creation); CNT §677.5 (creation)

serRevisionSummary:
Update CO-2 item 152. Form MV-105 does not appear to exist. It should be MV-104.


serJustification:
Records are archival because of administrative, research, fiscal, and possible legal value. See also see also Appraisal Report 99-05 and item # 61 in the Civil Defense section.

serFinalJustication:
Possesses long-term research value by documenting responses of local governments to major disasters and to document major historical events affecting a local government and the community.


serDescription:
including autopsy, explaining official procedures to be followed by office of coroner or medical examiner:

serJustification:
Records are archival because of administrative, research, fiscal, and legal value.

serFinalJustication:
Possesses long-term research value in documenting policies and procedures used in autopsy and death investigation proceedings, and how these may change over time. Also legal value, as coroners/medical examiners are often asked to testify in court as to their practices and findings.


serName:
Transcript, notes and worksheet of autopsy observations:

serLegalCitation:
CNT §677.2 (creation); CNT §674 (creation)


serName:
Laboratory slide, specimen or tissue block,

serNotes1:
County officials may wish to retain records for a longer period when the slides, specimens or tissue blocks concern cases of violent or suspicious deaths, especially if these records may be viable for future testing.

serJustification:
Local officials suggested that the legal viability of these records would not exceed 20 years.

serFinalJustication:
Satisfies long-term administrative needs and legal value. Biological samples may be utilized for DNA testing or identification of an individual. Both these activities have legal implications.


serDescription:
(register, blotter or log) covering all case investigations and other office activities:

serJustification:
Records are archival because of administrative, research, fiscal, and legal value, and to access permanent records.

serFinalJustication:
Possesses long-term research and legal value by documenting the history of all case investigations by the coroner.


serDescription:
generated by office of coroner or medical examiner, including but not limited to register of property, inventory of possessions, remittance statement sent to county legislative body or fiscal officer and receipts:

serFinalJustication:
Satisfies the retention requirements stipulated in CNT §678


serDescription:
documenting litigation and routine matters, including but not limited to court records, investigative materials, memos, correspondence, and decisions and determinations

serJustification:
6; The archival note was included for the first time; See Appraisal Report 99-05. This part was separated from part “a” in 1999. The note and item wording had input from the NYS Public Defenders’ Association. See Appraisal Report 99-05. Most recent rete

serRevisionSummary:
Consolidated description and addressed evidence, including video and audio recordings, in note under part a.


serDescription:
("brief bank") containing duplicate copies of legal briefs from case files, retained separately for future reference:


serJustification:
Records possess short term administrative value; this retention was slightly amended in 1998.


serDescription:
summarizes and/or tracks status of case and may contain listing of cases, dates and summaries of proceedings, conclusions and recommendations, final determinations, notations on activities related to case, and related information:

serFinalJustication:
Possesses long-term administrative, legal, and research value in providing access to permanent legal case files.

serRevisionSummary:
Following review of draft legal section of the State General Schedule, suggest expanding definition of this series.


serDescription:
assembled and kept for reference purposes:


serDescription:
documenting investigation of defendant's need for public defender, including case investigations and master summary record of court assignments and subsequent investigation:


serName:
County attorney's or law department's copy of application for "poor person" status,

serDescription:
filed according to Article 11, Civil Practice Law and Rules, along with copy of response or recommendation:

serJustification:
Records possess short term administrative value; OCA has the official copy.

serFinalJustication:
Satisfies short-term administrative needs. Unified Court System maintains official record.


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

serNotes1:
Subpoenas relating to legal case files or other series of records listed on this Schedule should be retained as part of or as long as that respective series.


serName:
Certificate or notice of appointment from Commissioner of Elections:

serJustification:
Retention was presumably requested by State Board of Elections.

serRevisionSummary:
Fix typo in series title for item 166, CO-2. It should state "from Commissioner" instead of "of Commissioner."

serRevisionRecdFrom:
"From Chelsea M. Merrihew, Records Management Clerk, Essex County Clerk’s Office
"


serName:
Copy of certificate to County Board of Elections

serDescription:
stating each county officer to be voted for at general election:

serJustification:
Retention was requested by State Board of Elections. Records possess limited administrative value.


serDescription:
as to the vote for assemblyman, senator or representative in Congress, filed by inspectors of election:

serNotes1:
This item does not apply to official election canvasses filed with county clerks prior to 1911. These pre-1911 election canvasses are legally in the custody of county boards of elections, and must be retained permanently.

serJustification:
6; These records have not been created since 2001.


serDescription:
filed under the Secured Transaction Section of the Uniform Commercial Code (formerly known as chattel mortgages and conditional sales)

serJustification:
The retention is found in Section 9-408 of the Uniform Commercial Code.


serJustification:
(a) The retention is found in Section 17 of the Lien Law; the retention was slightly revised in 2006; (b) The docket must be retained as long as liens it indices.


serJustification:
The retention is found in Section 189-11 of the Lien Law.


serDescription:
including but not limited to notice of lien, non-attachment, release, subordination, discharge, and index:

serRetention:
6 years after expiration or release of lien

serJustification:
6; the retention was revised in 2006 with clearer wording.

serFinalJustication:
Satisfies statute of limitations for litigation involving a contract.

serLegalCitation:
LIE Art. 10-A (creation); CPLR §213 (retention)


serDescription:
including warrants placing lien on real or personal property by Department of Taxation and Finance (formerly State Tax Commission), Department of Labor, Department of Motor Vehicles, or other state agency, for nonpayment of state taxes or other charges, including index, discharge, and related records:

serRetention:
6 years after discharge of lien or 20 years, whichever is shorter

serJustification:
The 20 year retention was requested by the State Tax Department. The item wording was broadened in 1993.

serFinalJustication:
Satisfies statute of limitations for littgation involving real property.

serLegalCitation:
RPP §291-h (creation); CPLR §211 (retention)


serDescription:
including warrants placing lien on real or personal property or sidewalk, for nonpayment of city taxes or other charges, including index, discharge, and related records:

serJustification:
The 20 year retention is found in Section 211, CPLR.

serFinalJustication:
Satisfies statute of limitations for littgation involving eal property.

serLegalCitation:
LIE Arts. 3 and 9 (creation); CPLR §211 (retention)

serRevisionSummary:
Expand item 734 to cover liens placed by other local governments. For example, Onondaga Co places liens on hotels and motels in arrears for payment of occupancy taxes. Consider whether to add info about sidewalk liens to item 734 or 1051 --where money may be involved (i.e., if city makes sidewalk repairs and bills owner).

serRevisionRecdFrom:
From Warren's file, including Mark Nussenbaum, Bronx County Clerk


serDescription:
to discharge all liens filed by the owner or contractor to guarantee that the property is released from all liens, and lien docket:

serRetention:
6 years after work completed or abandoned

serJustification:
6; the records have not been created since 2001.

serLegalCitation:
LIE §37 (creation, retention); CPLR §213 (retention)


serDescription:
against assets of relief recipient or on claims or suits for personal injuries, discharge and index:

serFinalJustication:
Satisfies statute of limitations for litigation involving personal injury.

serLegalCitation:
SOS §104-b (creation); CPLR §214 (retention)

serRevisionSummary:
Consider removing the term "expiration" from the retention of item. A review of NYSA files and pertinent laws, and these types of liens only end if someone actively discharges them. Thus there is no indication where the term "expiration" came from.


serName:
Assignment of real and personal property,

serDescription:
including but not limited to statement of refiling, certificate of cancellation, order vacating assignment, satisfaction and index to assignments

serJustification:
6; the item was split into 2 parts for clarity in 1990.

serRevisionSummary:
Fix item 280b (assignment of real and personal property) to match 2009 Huth memo. Remove "mortgage" from description and "10 years" from retention.

serRevisionRecdFrom:
From memo written by Geof Huth to county officials announcing future revisions to CO-2 Schedule; Dennis Riley later noted full revisions had not been made.


serDescription:
including notice of lien, certificate of discharge and index:

serJustification:
Article 10-B, Section 248 of Lien Law, which indicates that discharges of liens are to be permanently attached to notice of lien.

serFinalJustication:
Satisfies the permanent retention requirement in LIE §10-B.248.


serDescription:
attached to moneys received by person awarded claim by Office of Victim Services:

serJustification:
No reason for the permanent retention can be identified; this retention should be revisited.

serRevisionSummary:
Replace reference to "Crime Victims Board" with the "Office of Victim Services" in CO-2 item 179. No reason for the permanent retention can be identified; this retention should be revisited.


serDescription:
including but not limited to record of searches conducted, abstract of search results, correspondence and memoranda:


serDescription:
filed pursuant to Section 73, Lien Law, including advances and amendments:

serFinalJustication:
Satisfies shtatute of limitations for litigation involving a contract.

serLegalCitation:
LIE §73 (creation); CPLR §213 (retention)


serName:
Condominium or homeowners' association lien

serRetention:
6 years after expiration or discharge of lien

serLegalCitation:
RPP §339-z and 339-aa (creation); CPLR §213 (retention)


serDescription:
including all related records such as copy, notice, execution, and discharge of warrant; order of sale and other sale records, and discharge of lien:

serRetention:
6 years after expiration or discharge of lien, discharge of warrant, accounting of proceeds of sale, or payment of all charges, whichever is later

serFinalJustication:
Satsifies statute of limitations for littigation involving a contract.

serLegalCitation:
LIE Art. 4 (creation); CPLR §213 (retention)


serName:
Miscellaneous liens on personal property

serDescription:
not covered by other items in this section


serName:
Transcripts of small claims or other money judgments

serDescription:
rendered in municipal or district courts:

serRetention:
6 years after satisfaction or expiration of period to enforce judgment

serJustification:
6 (left some flexibility for county clerk to determine when a judgement no longer enforceable, then dispose of 6 years after that)

serFinalJustication:
Satisfies short-term administrative, fiscal, and legal needs.


serName:
Certification of the names, addresses, date and expiration of term of all appointive municipal officials,


serNotes1:
Building loan mortgages associated with building loan contracts are subject to the permanent retention requirements of item no. 320.

serJustification:
(a) this retention needs to be changed, as it is insufficient; (b) see Section 22, Lien Law. Need to be kept for as long as the contract included in it is kept. (item is proposed for change).

serRevisionSummary:
Fix truncation issue for item 291's retention period. Word 'mortgage' was erroneously cut off. This is an error in PDF version only, not database.

serRevisionRecdFrom:
From memo written by Geof Huth to county officials announcing future revisions to CO-2 Schedule; AnnMarie Hess noted the truncation of text


serJustification:
Records are archival because of administrative, research, and legal value.

serFinalJustication:
Possesses long term research value for historical researchers and veterans associations because of the almost complete filing of discharges that many counties have received, particularly after WWI and WWII.


serJustification:
Records are archival because of research and legal value.

serFinalJustication:
Possesses long term research and legal value. Records contain the original marriage records for marriages between 1907 and 1915 and the official copies of marriage records from 1916 to 1936. These records provide legal documentation that marriages took place.


serName:
Transportation company expired undertaking, bond or surety

serDescription:
filed with county, together with attachment, official approval, renewal receipt of surety company, correspondence and related papers:

serJustification:
Records are archival because of research value. These records likely have not been created in some time.

serFinalJustication:
Records were created when turnpikes, railroads and bus companies were required to file records with a county indicating transportation company held sufficient liability and other insurance coverage. Possesses long term research value documenting the economic history at the local, county and state level as well as documenting the evolution of modes of public transportation over time.


serDescription:
including but not limited to surveys, bonds, and declaration of surrender of all or part of the turnpike's roads in the county:

serJustification:
Records are archival because of research value. These records have not been created in some time.

serFinalJustication:
Possesses long term research value documenting the genesis and evolution of the road transportation system as well as providing context to the social, economic and political imprints left on the communities which the turnpikes served.


serJustification:
Needed for audit required by Section 35 of General Municipal Law

serFinalJustication:
Possesses long term research value in documenting the types of stallion and cattle brand designs created and the purpose in which brands were used - to establish ownership and prevent theft, assert business identity, control herds and facilitate transactions. A current brand registry is maintained by the NYS Department of Agriculture and Markets.


serFinalJustication:
Possesses long term research value as the only official record of slaves held in New York State. Registers contain biographical information identifying each slave and are a primary source for the origins of many family surnames for ex-slaves. The registers were a requirement of the 1799 NYS Manumission Act and include information about the date at which people were released from slavery. The information contained within the register documents the transition of African Americans from enslaved to free at the local community level..


serName:
Private business, not-for-profit, religious or other corporation or partnership records

serDescription:
filed with County Clerk, including but not limited to certificates of incorporation, annual reports, lists of directors or trustees, certificates of stock, records of dissolution, and certificates of partnerships:

serJustification:
Records are archival because of research value. These records have not been filed with county clerks in some time.

serFinalJustication:
Possesses long term resarch value documenting the administrative history of private business, not-for-profit, religious or other corporation or partnership organizations.

serLegalCitation:
RCO §3 (creation) NPC §104, 1401 (creation)


serName:
Original deeds, leases, contracts, wills or other documents

serNotes1:
Section 532 of County Law authorizes original documents to be destroyed 20 years after recording provided that the documents are photographically reproduced for preservation purposes.

serJustification:
Records are archival because of research value. The note was added in 2006.

serFinalJustication:
Possesses long term research and legal value documenting real property ownership and transactions.


serDescription:
including annual report, certificate of honorable discharge, and list of exempt volunteer firemen, filed with County Clerk:

serJustification:
Records presumably possess short term administrative value. Suggest revisiting this retention given the documentation for this item is missing. See General Municipal Law §202 & §202-a

serFinalJustication:
Satisfies short-term administrative and fiscal value.

serLegalCitation:
GMU §202, 202-a (creation); GMU §201 (retention)

serRevisionSummary:
Add language to the description of item 194 to include certificate of honorable discharge of an exempt volunteer fireman. Also consider increasing the retention period from 2 years to 5 years. If a volunteer firemen serves a full 5-year term, he/she is entitled to an honorable discharge.

serRevisionRecdFrom:
From Sharon A. Pullen, Suffolk County clerk (e-mail)


serJustification:
Suggest revisiting this retention given the documentation for this item is missing. The 3 year retention may be based on Federal requirements.

serFinalJustication:
Satisfies the statutue of limitations for litigation involving personal injury or property damage.


serDescription:
documenting transmittal of passport applications and applicable fees to passport agencies of the federal Department of State:

serJustification:
6; retention was increased for 1 year at the request of OSC

serFinalJustication:
Satisfies U.S. Department of State's requirements.

serLegalCitation:
22 CFR §51.22 (creation) Passport acceptance agents (county officials) described in §51.22(b) must not retain copies of executed applications, nor release passport application information to anyone other than the applicant and the US State Department.

serRevisionSummary:
Recommend reducing the retention period from 6 to 2 years per a "Passport Agent’s Acceptance Guide" issued by U.S. Dept. of State, Bureau of Consular Affairs, Office of Passport Services which states these should be retained for 24 months.


serJustification:
Records are archival presumably because of research and long-term legal value.

serFinalJustication:
Possesses long term legal and research value. A power of attorney must be filed with the county clerk prior to being utilized in a real estate transaction. Real estate transactions have long-term legal value and must be retained permanently, thus supporting documentation (i.e. power of attorney) must also be retained permanently.


serDescription:
empowering person to act as agent for insurance company:

serJustification:
Records presumably possess short term administrative value. Suggest revisiting this retention given the documentation for this item is missing.


serName:
Oath of office or record of official signature

serJustification:
(a) Records are archival because of research and long-term legal value; (b) Records have limited research value and retention satisfies election law requirements.


serName:
Notice of filing of oath of office with county clerk

serJustification:
(a) The retention matches that for the employee personnel records item, #391b; (b) Records presumably possess short term administrative value as the official copy is filed elsewhere.


serDescription:
of marriage filed by individual or their attorney, other than official notices of legal separation resulting from New York State court actions:

serJustification:
Records are archival because of long-term legal value.

serFinalJustication:
Provide legal proof that a publicly declared partnership has been terminated.


serDescription:
recording mortgages, mortgagor, amount of mortgage, amount of tax, discharge, credits, satisfaction, and indexes:

serFinalJustication:
Possesses long term research and legal value documenting mortgages in tax record books.


serDescription:
submitted to State Department of Taxation and Finance (formerly State Tax Commission), county legislative body, or county fiscal officer, stating mortgages recorded, tax collected and tax distribution:

serJustification:
7 year retention meets audit needs of both the State Comptroller and State Tax and Finance


serDescription:
filed with mortgage tax report, including all attachments:


serName:
Report of audit of mortgage tax recording procedure

serDescription:
performed by New York state department or agency:

serJustification:
Records are archival because of administrative, research and long-term legal value. Suggest this retention be reexamined.

serFinalJustication:
Possesses long term research, administrative and legal value.


serName:
Certified mortgage tax refund or adjustment orders

serDescription:
issued by State Department of Taxation and Finance (formerly State Tax Commission):


serDescription:
used to determine or revise mortgage tax, including but not limited to: indeterminant mortgage appraisal, and related records; statement of maximum amount secured by mortgage; statement of advance under a corporate trust or prior advance mortgage; statement of amount borrowed by corporations against mortgage; and facts on which exemption is claimed for supplemental mortgages, condominium credit, or other exclusions, exemptions or credits:

serNotes1:
When supporting documents, such as affidavits, are incorporated as part of, and thus indistinguishable from, the mortgage document, then the permanent retention of item no. 309 applies.

serRetention:
15 years or 0 after discharge of mortgage, whichever is longer

serJustification:
These documents establish the basis for a mortgage tax, that unpaid mortgage taxes constitute a lien on the property until paid, and that the affidavits, etc. can be used to challenge the tax calculation throughout that period. Dept. of Taxation and Finan

serFinalJustication:
Satisfies long term administrative, fiscal and legal needs.

serRevisionSummary:
Determine whether the County Clerks Association implemented a proposal from 2005 that would require all records now covered by item 205 (affidavits, etc.) become part of the mortgage record itself. If this proposal is implemented, the clerks would no longer have any separate series as covered by item 205 and all would be covered by item 200. Item 205 would need to be retained, but we should add a note to it referring to an updated item 200.


serDescription:
showing distribution of mortgage tax funds among tax districts:


serDescription:
by mortgage tax recording officer to State Department of Taxation and Finance (formerly State Tax Commission):


serDescription:
regarding apportionment of mortgage tax:


serName:
Certificate of determination and apportionment of mortgage tax


serName:
Records and index documenting the official acquisition, sale, transfer or mortgage of public or private real property:

serJustification:
Records are archival because of administrative, research and long-term legal value.

serFinalJustication:
Possesses long term research and legal value in documenting mortgage of public or private real property.


serDescription:
on boundaries recording the location of public or private real property:

serFinalJustication:
Possesses long term legal and researchvalue documenting boundaries of parcels of land upon which taxes can be levied, including recording updates to changes in boundaries. They are useful for land study and various kinds of historical and other research.

serLegalCitation:
Assessment Improvement Law (Laws of 1970, Chapter 957) (creation)


serDescription:
or other record of delivery of instruments to owner or designated representative after recording:

serJustification:
Records possess short term administrative value; retention approved by State Dept. of Tax & Finance.

serFinalJustication:
Satisfies short term administrative needs.


serName:
Title searches conducted by County Clerk:


serName:
Commitment of land to continued agricultural production:


serName:
Executive, Supervisor, Mayor, Superintendent, Administrator, Manager, County Sheriff, or Police Chief's office files,

serDescription:
including but not limited to correspondence, memoranda, calendars and schedules, reports, studies, publicity items, contracts, and other legal documents

serNotes1:
Executives are the chief executive officer of local governments, including but not limited to city or village mayors, town supervisors, county executives, superintendents, managers, or administrators.

serRevisionSummary:
Add calendar to description of supervisor's office files. Make consistent with and fold in MU-1 Supervisor, Mayor, Manager, and/or Administrator, MI-1 Executive, Manager, and/or Administrator, and ED-1 Superintendent's Office items.


serJustification:
Records possess short term administrative value; retention approved by State Dept. of Ag. & Markets, where official records are maintained; AGM §109

serRevisionSummary:
Remove references in sub-item b to Dept. of Ag & Markets. See documents in file 2010.12.20; 2011.03.03

serRevisionRecdFrom:
From Becky Connolly, Town Clerk, Town of Somerset; Jeffry Huse, NYS Dept. of Agriculture and Markets


serDescription:
for dog, purebred license (including application and renewal license), or dealer's exemption certificate:

serJustification:
Retention requested by State Dept. of Ag. & Markets; retention slightly revised in 1999. Ag & Markets Law, Article 7, Section 109, states licenses must be accompanied by a certification of rabies vaccination, and these vaccinations occur every three years; AGM Law § 109; 8 NYCRR 29.6(3), Public Health Law § 2141 & 2145.7

serRevisionSummary:
Revise dog license item to more accurately reflect the fact that the application received by the town clerk, once approved, is held by the clerk as the license. The dog owner is provided a copy. Current wording implies that clerk holds a copy of the license and not the original.

serRevisionRecdFrom:
From Warren's files: Warren notes that the item is also in the CO-2 Schedule because some county-operated dog shelters supposedly can also license dogs.


serJustification:
Records possess short term administrative value; retention approved by State Dept. of Ag. & Markets.

serRevisionSummary:
Revise retention event for MU-1 item 164 to be "when no longer needed." It is unclear what the current retention event "obsolete" means.

serRevisionRecdFrom:
Linda Ewing, Morris Town Clerk/Tax Collector


serName:
Records relating to replacement of dog tag or purebred ID tag:

serJustification:
Retention requested by State Dept. of Ag. & Markets.


serDescription:
of dog and purebred licenses, tags and validation stickers, or to the disposal of licenses or tags, including but not limited to any application, correspondence, or affidavit:

serRevisionSummary:
Should still include PUREBRED LICENSES because many towns are still issuing them. See documents in file 2010.12.20; 2011.03.03


serJustification:
(b) Retention requested by State Dept. of Ag. & Markets. 1 NYCRR 78.2; AGM §117-a

serRevisionSummary:
Add SURCHARGE FEE MONTHLY REPORT to the 6 year retention of sub-item a. See documents in file 2010.12.20; 2011.03.03. Also expand language of sub-item a to include municipal reports regarding the animal population and control program.


serName:
Records relating to dangerous dog or other animal, to their seizure, or to cruelty to animals:

serRetention:
20 years, but not less than 6 years after death of animal (if death is known to have occurred)

serJustification:
Original retention of 6 years was increased as requested by State Dept. of Ag. & Markets. Refer to Agriculture and Markets Law, Sect. 123 (9) "owner shall be guilty of a class A misdemeanor in addition to any other penalties." and (10) The owner or lawful custodian of a dangerous dog shall, except  in

  the  circumstances  enumerated  in  subdivisions four and eleven of this section, be strictly liable for  medical  costs  resulting  from  injury caused  by  such  dog  to  a  person,  companion  animal, farm animal or domestic animal." CPLR Sect. 208 (age 21), 214 (3 years) & CPL Sect. 2(c) (2 years).


serName:
Records relating to claim for damages caused by dog

serDescription:
or by rabies to domestic animals, including appraisal report, certificate of claim, assessor's report and affidavit, and other records:


serName:
Notice of violation of animal control law or ordinance:


serDescription:
including but not limited to loan application and evaluation, status reports, records of loan payments, tax abatement and exemption records, feasibility studies and correspondence:

serRetention:
6 years after denial of application or 6 years after final payment on loan

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract and OSC's audit requirements.

serLegalCitation:
GMU § 858 (creation), CPLR § 213 (retention)


serDescription:
(log or register) documenting contacts and inquiries and resulting responses and actions taken by agency personnel:

serFinalJustication:
Possesses long-term research value in documenting local government involvement in economic and industrial development.


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

serJustification:
Records are archival because of administrative, legal, and possible research value. See also appraisal report 01-18.

serFinalJustication:
Possesses long-term research value by providing an overview of each Educational Opportunity Center program, and also for review and commentary on the success and potential problems associated with specific courses and activities.


serDescription:
for educational opportunity center or former urban center:

serFinalJustication:
Possesses long-term research value in documenting the founding of Educational Opportunity Centers.


serName:
Annual or other summary statistical report

serDescription:
relating to enrollment, graduations, terminations, student finances, ethnicity and grades:

serJustification:
Records are archival because of research value and retention is consistent with most other annual reports. See also appraisal report 01-18.

serFinalJustication:
Possesses long-term rsearch value by providing substantial evidence of government policy, procedures, plans and directions -- particularly in documenting services provided to the underprivileged.


serDescription:
including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents

serJustification:
(a) Records are archival because of administrative and research value and retention is consistent with most other annual reports. See also appraisal report 01-18.


serDescription:
issued to person enrolling in a community college:

serJustification:
Part of fiscal reimbursement and subject to audit by Section 33 of General Municipal Law.


serName:
Local law or ordinance violation records,

serDescription:
not related to zoning ordinance violation


serDescription:
showing time worked and type of tasks performed by person sentenced by court to community service:

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

serJustification:
Retention meets legal needs, including those of minors. Suggested by counsel of Division of Probation.


serDescription:
filed by local political party official or candidate for local elected office, pursuant to Section 812.1 (a), General Municipal Law:

serJustification:
Conforms to item 737 of MU-1. And based on 812.1(a) of General Municipal Law. Also reflects statute in Criminal Procedures Law regarding actions taken against public officials and also Section 213 of CPLR regarding fraud statute of limitations


serNotes1:
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.

serNotes2:
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.


serName:
Agency assisted voter registration records

serJustification:
(a) 22 months required in 9 NYCRR 6213.2; (b) 1 year chosen because of short-term administrative use only (decided by State Archives)


serName:
Copy of inspection and/or investigation report,

serDescription:
relating to licensing and operation for non-profit organization conducting bingo or games of chance:

serJustification:
Meets administrative needs. Original copy maintained by municipality


serDescription:
and related records, reporting agency copy

serNotes1:
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. 1281 in the Public Safety section, Law Enforcement: Miscellaneous subsection.

serJustification:
Based on advice from OCFS Counsel’s Office. 3 years is statute of limitations for tort actions and covers possible legal liabilities of abuse reporters.

serRevisionSummary:
Update child abuse or maltreatment reports item to reflect the February 2019 enactment of the Child Victims Act. It effectively changes the statute of limitations on child sexual abuse crimes to age 28 in criminal cases (CPL §30.10) and age 55 in civil cases (CPLR §208). Split retention into two.


serDescription:
covering projects requiring approval by the Adirondack Park Agency, Lake George Park Commission, or other government entity or agency, where local government receives records for comment or review, or for informational purposes

serRevisionSummary:
Fixed reference to Lake George "Park" Commission.


serJustification:
(a) Conforms to retention of same item in ED-1 (retention based on legal liability, including CPLR provisions regarding statute of limitations for a minor); (b) Retention based on administrative needs


serDescription:
documenting planning and implementation of programs, services and exhibits sponsored or co-sponsored by the library, including but not limited to photographs, sketches, worksheets, publicity, brochures, exhibit catalogs, inventory lists, loan agreements, correspondence, attendance sheets or registration forms, parental consent forms, and visitor surveys

serJustification:
(a) Details how exhibits were created and executed, and used in planning similar future exhibits; (b) Retention chosen to be more in line with retention of similar records in Oregon archives

serRevisionSummary:
Expanded scope to include program records, including parental consent and registration records. Aligns with Library section item.


serDescription:
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

serJustification:
(a) Added to 2002 version to allow for destruction of routine records in the file; (b) Impossible to properly manage collections without these records


serName:
Reference files on municipalities, districts and volunteer entities

serNotes1:
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.

serRevisionSummary:
Correct item 799 (MU-1) to add "after" to the retention period. Error has already been corrected in 2006 CO-2 and MI-1 versions.


serJustification:
(a) No justification given; (b) & (c) Retention meets administrative and legal needs. Consistent with retention for outpatient medical case records.


serName:
Ambulance run or emergency medical treatment chronological log,

serJustification:
Covers legal and administrative needs (DOH originally requested permanent)


serDescription:
covering local government employees who receive training

serJustification:
(a) Meets administrative needs; (b) Limited administrative value. DOH agreed to 1 year; (c) (d) DOH requested 7 years to meet administrative and legal needs (in case training is relevant in emergency situation); (e) DOH requested 7 years for administrati


serDescription:
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

serJustification:
(a) Meets requirements in 10 NYCRR, Section 800.20(9)(ii); (b) Meets requirements in 10 NYCRR, Section 800.20(9)(iii).


serDescription:
and related records, covering specific incidents:

serNotes1:
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. 146 in the Civil Defense/Disaster Preparedness section. Contact the State Archives for additional advice.

serRetention:
3 years, but not until 3 years after any minor involved attains age 18


serDescription:
containing information on such subjects as specific types of medical emergencies, types of supplies used, and call frequency

serJustification:
Meets fiscal, administrative, and legal needs


serName:
Fire department or district incident listing or report,

serDescription:
received from or sent to New York State Division of Homeland Security and Emergency Services (Office of Fire Prevention and Control)

serJustification:
(a) Provides summary information on all fires; (b) & (c) no justification given

serRevisionSummary:
Update fire district incident listing item to reflect agency change and include reports sent to OFPC.


serJustification:
(a) Useful for research. Permanent retention based on the serious nature and useful informational content of each report; (b) Administrative and sometimes legal/fiscal value; (c) & (d) Limited administrative value


serJustification:
(a) Permanent summary record; (b) 10-year retention recommended by State Police; (c) The non-significant nature of the records justifies a less than permanent retention period; (d) no justification given


serJustification:
(a) To document the mutual aid process; (b) Retention reduced to 3 years after final plan to satisfy minimum legal needs


serJustification:
(a) & (b) No justification given; (c) Satisfies legal and administrative needs


serName:
Mental health admission forms, correspondence, and related records for observation, care, and treatment,

serDescription:
including emergency, voluntary, and involuntary admissions, that are not filed as part of a case file:

serRetention:
10 years after discharge or last contact with patient, or 3 years after individual attains age 18, whichever is longer

serSubsection:
Patient Case Records and Related Materials

serRevisionSummary:
Develop new schedule item for OMH emergency admission forms completed pursuant to Mental Hygiene Law Sect. 9.45 (Emergency admissions for immediate observation, care, and treatment; powers of directors of community services).

serRevisionRecdFrom:
From Abigail Mack, Broome County. Already spoke with Michael Sagar, OMH RMO, and received his OK.


serName:
Hospital credential files for physicians, physical therapists, and other medical professionals:

serRetention:
6 years after credentials expire or are withdrawn

serFinalJustication:
Satisfies 5 year records retention requirement in 10 NYCRR 405.6(b)(7). Satisfies the statute of limitations for litigation involving a contract (CPLR §213).

serLegalCitation:
10 NYCRR 405.4(b)(4) (creation); 10 NYCRR 405.6(b)(7) (retention)

serRevisionSummary:
Develop new item to cover credential files. Health and Hospitals Corp. maintains credential files for all billable providers, including physicians, physical therapists, and others. A credential file is opened when a provider applies for hospital privileges. The file contains all documents necessary to establish or renew a provider's credentials. Providers are typically evaluated for reappointment at 2-year intervals. A credential file remains active until a given provider's hospital privileges are withdrawn. It is likely that the records would need to be retained for as long as the hospital would have any liability for actions of the concerned physicians or other credentialed individuals. This would seem to require at least a 21 year retention period (i.e., 3 years after the age of majority of any concerned minor) after the credentials expire or are withdrawn. If new documentation is prepared every time a physician's credentials are renewed, then records of the previous period could be disposed based on the appropriate retention period. Or, if the renewal documentation does not fully re-create required credential documentation, then the full set of records of all actions to issue or renew credentials would have to be kept for that period. Consult with DOH to determine if they have any requirements for these records. Records need to be retained for 5 years according to 10 NYCRR 405.6(b)(7)(iv). DOH suggested 6 years because of potential statute of limitations re: breach of contract.

serRevisionRecdFrom:
From Warren's file: Bill Saffady, RM consultant


serName:
Health Insurance Portability and Accountability Act (HIPAA) and the Health Information Technology for Economic and Clinical Health Act (HITECH) compliance and disclosure records

serNotes1:
HIPAA does not prescribe how long medical records should be retained. Patient medical records are covered by items no. 743, 744, 745, and 752.

serRevisionSummary:
Add new item to cover compliance and disclosure records for HIPAA, HITECH. Refer to 45 CFR §164.316(b)(2), covered entities and business associates (as defined by HIPAA and which includes local governments that maintain medical records) must retain documentation relating to policies and procedures “for 6 years from the date of its creation or the date when it last was in effect,
whichever is later.” HIPAA also details the process by which individuals may obtain access to their “protected health information” (PHI), including review of denied requests (45 CFR §164.524). Most pertinently, it outlines an individual’s rights to “receive an accounting of disclosures of protected health information made by a covered entity in the six years prior to the date on which the accounting is requested” except for certain disclosures (45 CFR 164.528).


serName:
Annual environmental audit reports submitted to the New York State Department of Environmental Conservation,

serDescription:
including descriptions of environmental problems; records of remedial investigations, plans, and actions; estimates of resources needed to remedy violations; projected remedial time schedules; internal assessments of remedial plans; lists of violations and rankings; and related correspondence and other materials:

serFinalJustication:
Satisfies the statute of limitations for litigation involving a personal injury (CPLR §214).

serLegalCitation:
ENV §3-0311 (creation); CPLR §214 (retention)

serRevisionSummary:
Add new item to cover annual environmental self-audits. The list within DEC's guidance manual, see http://www.dec.state.ny.us/website/do/saea/index.html , includes some LGs (MI-1 users). Model item on General Schedule item 90291.


serName:
Community outreach and education program records,

serDescription:
including but not limited to those for drug and alcohol prevention, citizen/youth police academy, neighborhood watch and other crime prevention, and youths. Records include official copy of publications, recordings, or informational literature prepared for public distribution, training materials, participant applications and supporting documentation:

serRevisionSummary:
Add item for community outreach and education programs, including but not limited to those for drug and alcohol prevention (Stop DWI, DARE), citizen/youth police academy, neighborhood watch and other crime prevention, and youths. CPD is utilizing MU-1 item 18 which seems inappropriate.


serName:
Supplemental information on persons and places used in conjunction with E-911 data maintenance or computer-aided dispatch (CAD)

serRevisionSummary:
Add item to end of E911 section that covers forms completed by parents or other caregivers and submitted to the police indicating that a special needs person (child or adult) lives at a particular residence. This information is input into the system, so that if emergency personnel are sent, they will be aware of the situation. Similar to wild animal notifications given to police agencies and hazardous materials records notices (1061, CO-2) Add item to E911 section to include information on potentially dangerous animals (mainly dogs). Responding agencies need to know if they are dealing with pit bulls or other attack dogs when they respond to an emergency. Warren has heard of these records in a couple of cities.

serRevisionRecdFrom:
From Warren's file: Sue Vernam, Suffolk Co Police


serDescription:
including applications to participate, waivers of liability, and criminal background check results:

serFinalJustication:
Satisfies the statute of limitations for litigation involving a personal injury (CPLR §214).

serRevisionSummary:
Add a new item to cover civilian ride-along program records. CPD is utilizing MU-1 item 18 which seems inappropriate. Generally, police departments do not allow individuals under the age of 18 to participate, so statute of limitations involving minors is moot given the 3 year retention period that is set.

serRevisionRecdFrom:
From Cheektowaga Police Department (Jennifer O'Neill e-mail 5/17/2017)


serDescription:
for checks performed at the request of another agency or business for volunteer or employment purposes:

serFinalJustication:
Satisfies 3 year records retention requirement for National Crime Information Center (NCIC) audits.

serRevisionSummary:
Add new item to cover criminal background checks that police run for employment purposes. CPD is utilizing MU-1 items 17b & 831 which don’t seem like perfect matches. NCIC audit requirements apply to Criminal Justice Information System (CJIS) systems agencies (CSA), which are on the state level and for New York would be the State Police.  It also seems to apply to “local agencies within the jurisdiction of the CSA” which, if I am reading this correctly, would refer to local police agencies. These audits occur every three years.  According to the CJIS security policy, local law enforcement agencies (referred to as CJAs) that receive access to criminal justice information through the CJIS portal must enter into a signed written agreement with the appropriate signatory authority of the CSA providing the access – in this case, the NY State Police.  Audits are required as part of this process, and the guidelines state that audit records need to be kept for 1 year, though this does not really address criminal background or other non-audit related records. See https://www.fbi.gov/file-repository/ncic-audit.pdf/view



I also found a 2015 Oregon State Police memorandum which discusses NCIC audits that included reviews of the records of a number of local police and sheriff’s offices, such as missing person case files, protection orders, warrant records, and criminal background checks.  So it would seem from this that the audits do indeed apply to local agencies and that the three-year retention would be appropriate for background checks.


serFinalJustication:
Satisfies legal and administrative needs.

serRevisionSummary:
Add new item to cover bike helmet inspection records. Used same retention period as child safety seat item (CO-2 item 1009). Since local police may have similar programs, suggest putting under Public Safety: General.

serRevisionRecdFrom:
From Wendy McConkey, Saratoga Co Cooperative Extension. Consult with local police agencies who  create these records also.


serDescription:
including accounts, reports, claims, indentures and records of relief granted:

serJustification:
Permanent retention to document a position no longer existing in local governments. Provide personal data on poor individuals whose names appear in few other records. Fiscal records valuable because they provide detailed information on nature and cost of specific services and their providers.

serSection:
Social Services/Welfare/Poor Relief (Other Than County)


serDescription:
submitted by town or city welfare officer to local governing body or county social services department:

serJustification:
Valuable because they are among few extant records which document work of local welfare officer, a position largely abolished at local level. Valuable for local welfare research. While copies were sent to county social services departments, counties mostly destroyed them using "Social Services Schedule.”


serDescription:
including but not limited to application for assistance or services, eligibility forms, case history or equivalent narrative record, authorization of assistance or services, record of assistance or services provided and correspondence

serJustification:
(a) Permanent retention to document details of local welfare services (no longer provided) and provide insights into individual cases and how they were handled; (b) Complete documentation maintained at county level, so no long-term value. Retention meets minimum legal needs and corresponds with retention periods established for case records held by county social services departments.

serRevisionSummary:
Change the series title to clarify that this series pertains to municipal records only.

serRevisionRecdFrom:
Jennifer O'Neill comments on proposed revision


serJustification:
(a) Records are archival because of research value and retention is consistent with other official publications; See also Appraisal Report 01-18; (b) Records only have temporary administrative value.


serDescription:
including but not limited to course worksheets, evaluations, and recommendations:

serJustification:
Retention period was requested by SUNY personnel.


serJustification:
Records are archival because of research value and retention is consistent with similar items covering school, BOCES and community college records. See also Appraisal Report 01-18.

serFinalJustication:
Possesses long-term research value by documenting the unique nature of Educational Opportunity Center programs and their services to the underprivileged.


serDescription:
including class number and title, location, date and time class meets, student attendance:

serJustification:
Records are archival because of research value due to the unique nature of EOC functions and the population they serve. See also Appraisal Report 01-18.


serDescription:
including but not limited to acceptance letter, application, income eligibility records, placement testing records, letters of recommendation, and transcripts from schools

serJustification:
(a) Retention is consistent with the student folder. Retention period was presumably requested by SUNY personnel; (b) Retention period was requested by SUNY personnel.


serJustification:
(a) Records are potentially archival because of research value due to the unique nature of EOC functions and the population they serve. See also Appraisal Report 01-18; (b) Retention period was requested by SUNY personnel.. See also Appraisal Report 01


serDescription:
including but not limited to each student's name, address, and daily attendance, absence and tardiness:

serJustification:
6; Retention period was requested by SUNY personnel.

serFinalJustication:
Satisfies statute of limitations for litigation involving fraud (CPLR §213)


serName:
Student request for counseling or assistance

serDescription:
relating to emotional, psychological, personal, social, academic, or vocational concerns:


serDescription:
containing academic, attendance-related or disciplinary termination information not contained in student folder:

serJustification:
Retention period was requested by SUNY personnel. It is also consistent with similar item used by community colleges.


serDescription:
(other than those contained in student folder) including but not limited to suspension or disciplinary notice, hearing record, and correspondence:

serFinalJustication:
Satisfies retention requirements in 20 USC Code § 1092(f), 34 CFR 668.46, and Education Law Art. 129-A and -B

serLegalCitation:
20 USC Code § 1092(f), 34 CFR 668.46, and Education Law Art. 129-A and -B (creation)


serName:
List of students enrolled in specific course or program:

serJustification:
Records only have temporary administrative value. Retention period was requested by SUNY personnel.


serName:
College preparation or other examination records

serDescription:
(examination results being posted to student folder), including examination questions, test papers and answer sheets:


serName:
Statistical compilation or reports of students provided counseling services:


serName:
Request for academic, attendance or other information on disabled student

serDescription:
from Adult Career and Continuing Education Services-Vocational Rehabilitation (ACCES-VR) of State Education Department, or other agency:

serJustification:
6; Retention period was requested by SUNY personnel.


serName:
Periodic (other than annual) fiscal reports submitted to the State University of New York (SUNY):


serDescription:
including user name, date, film size, quantity, screen, and length of time in facility where radiation is in use:

serJustification:
Retention period was requested by SUNY and (previously by) DOH personnel. It is also consistent with similar item used by community colleges.


serName:
Information technology subject files, correspondence, memoranda, reports, publications, and related records

serDescription:
used to support the administration of information technology services. This item does not include local government information technology plans, long-range or strategic plans, IT policies, records that document fiscal transactions, and any records covered by other items in this schedule:

serJustification:
Records have no fiscal or legal value. E98.


serName:
Information technology and data processing services plans,

serDescription:
local government IT plans, data processing services plans, strategic plans, and related records used to plan for information systems development, technology acquisitions, data processing services provision, or related areas

serJustification:
(a) Records have limited fiscal and automation planning value. E98. Should a 6 year retention have been assigned?; (b) Records only have temporary administrative value.


serDescription:
records of data processing policies including those covering access and security, systems development, data retention and disposition, and data ownership:

serRetention:
3 years after policy is withdrawn, revised, updated, or superseded

serJustification:
Records have limited fiscal and reference value. E98. Should a 6 year retention have been assigned?


serDescription:
records created and used in the development, redesign, or modification of an automated system or application including project management records, status reports, draft system or subsystem specifications, draft user requirements and specifications, and memoranda and correspondence. This item does not cover system or application documentation (see item nos. 767 and 768):

serNotes1:
In some circumstances, local governments may wish to maintain these files longer for reference. All relevant information and final documentation should be contained in system and application documentation files (see item nos. 767 and 768).

serFinalJustication:
Satisfies short-term administrative and management audit needs.


serDescription:
user and operational documentation describing how an application system operates from a functional user and data processing point of view including records documenting data entry, manipulation, output and retrieval (often called "system documentation records"), records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation (or other metadata), job control or workflow records, system specifications, and input and output specifications. This item does not cover data documentation and other records used to explain the meaning, purpose, or origin of data (see item no. 768):

serRetention:
3 years after discontinuance of system, but not before system data is destroyed or transferred to new operating environment

serJustification:
Records have limited legal and reference value. E98.


serDescription:
records generally created during development or modification and necessary to access, retrieve, manipulate and interpret data in an automated system including data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements (sometimes known as metadata):

serNotes1:
In some cases, local governments will retain data for extended periods, sometimes offline. It is essential that they retain related documentation in an accessible format. This is particularly crucial if the documentation is stored in electronic form or the related records are appraised as archival. Application design documentation and user guides covered by item no. 767 may also serve to explain how data was interpreted and used. Contact the State Archives for additional advice in this area.

serRetention:
3 years after discontinuance of system or application but not before system's or application's data is destroyed or transferred to a new structure or format

serJustification:
The records are needed as long as the related data is maintained. E98.


serDescription:
automated program code which generates the machine-language instructions used to operate an automated information system:

serNotes1:
This item coincides with item no. 776, system backup files. It assumes that the files are maintained (backed-up) and disposed in accordance with accepted data processing practice (see item no. 776).

serRetention:
0 after code is superseded or replaced, or after automated system is no longer in use or has been deleted, but not before any audit or legal needs have been met

serJustification:
These records have value until the code is modified or replaced. E98.

serRevisionSummary:
Delete word "automated" from title, update retention period from 3 system update cycles to 0 years/cycles, and add qualifying phrase to retention period. Update note. Align MU1 item 675 with GS 90228.


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

serNotes1:
Local governments may consider retaining documentation for critical systems for a longer period. Contact the State Archives for additional advice in this area.

serRetention:
1 year after replacement, modification, or related programs cease to be used

serJustification:
Records have limited reference value after programs are replaced or modified. E98.


serDescription:
routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system:

serRetention:
0 after no longer needed, but not before user accepts and management reviews and approves test results

serJustification:
Records have limited reference value. E98.


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

serRetention:
3 years after procedure is withdrawn, revised, updated, or superseded

serJustification:
Records have limited audit and automation planning value once procedures become outdated. E98.


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

serNotes1:
Routine records that do not contain substantial information on the maintenance history or equipment should be destroyed on an annual basis, using item no. 18 in the General section.

serRetention:
0 after the local government no longer uses related hardware and all data is transferred to and made useable in new hardware environment

serJustification:
These records have no value after related hardware is replaced. E98.


serName:
Data migration, system upgrade, and hardware conversion records,

serDescription:
including those relating to the operational aspects of the replacement of equipment or the upgrading of computer operating systems, as well as the migration of data between operating systems. Records include schedules and logs, tracking and data migration tests, notes, correspondence, conversion and implementation plans, and related records generated by the operating system software, application server software, and web server software:

serRetention:
1 year after successful migration, update or conversion

serJustification:
Records have limited reference value after conversion takes place. E98.

serRevisionSummary:
Expand title & description of MU1 item 680. No changes to retention period, except adding "migration, update" to retention event. Align item with GS 90235.


serName:
Disaster preparedness and recovery plans,

serDescription:
records related to the protection and reestablishment of data processing services and equipment in case of a disaster, including disaster recovery manuals, business continuity plans, inventories, procedure plans, contact lists, and other records:

serNotes1:
The State Archives recommends that local governments store disaster preparedness and recovery plans in a secure area off-site from the computer installation to which they refer.

serJustification:
These records have no value after plan is superseded. E98.

serRevisionSummary:
Expand description of MU1 item 681. No changes to retention period or event. Align with GS 90236.


serDescription:
copies of master files or databases, application software, logs, directories, and other records needed to restore a system in case of a disaster or inadvertent destruction

serNotes1:
Backup cycles may vary from daily to weekly or other time periods. Backups used to document transactions or retained for purposes other than system security are covered by the relevant sections of this Schedule. For fiscal systems, monthly system backups are often retained for the entire fiscal year to provide an audit trail, and annual system backups are retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases. These records should be disposed using items from the Fiscal section of this Schedule. It is advisable that for many application systems 2 or 3 copies of backups be produced during each cycle.

serJustification:
Retention reflects accepted data processing standards. E98.

serRevisionSummary:
Consider reducing retention period for annual backup tape. Also note that backup cycles vary from daily to weekly or other time periods. NARA Schedule, see https://www.archives.gov/files/records-mgmt/grs/grs03-2.pdf The current retention period aligns with general schedule item 90237. These items also coincide with LG items 675/769/646/411. Looking at some other states: CA sets a current+2 period for annual backups, PA & CO are until superseded, TX doesn't seem to clearly address backups, and OH has 1 cycle at the county level but a whopping 12 at the state level. FL specifically sates there is no retention for backup copies since they are not intended to serve as record copy. If we want to reduce the current period, the suggested new wording is based on NARAs general schedule 3.2 item 40 & 41. But then I think we should also reduce 90237 to be consistent. FYI there are other items with 3 backup cycles as the retention period that we may also want to adjust.


serDescription:
created to control or monitor individual access to a system, system data, the Internet, and email system, including but not limited to user account records, password files, user acknowledgements of policies, and authorization documentation:

serNotes1:
System users access records and computer usage records may also serve some security purposes.

serRetention:
0 after the individual no longer has access to the system, but not before audit requirements for the records modified by that individual have been met

serRevisionSummary:
Modify MU-1 item 683 to cover Internet use agreements based on General Schedule item 90238.


serDescription:
records used to control or monitor the security of a system and its data, including but not limited to cyber-incident response and investigation records, intrusion detection logs, firewall logs, logs of unauthorized access, and other security logs:

serNotes1:
Appraise these records for historical significance prior to disposition. Records documenting significant security breaches, such as ransomware attacks or other large-scale emergencies, may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serRetention:
6 years after date of last entry, or until review of logs is complete, whichever occurs first

serJustification:
These records may be needed to monitor security system effectiveness. Note the different retention period used on State General Schedule item #90377.

serRevisionSummary:
Consider reducing retention period for computer system security records. This item was modeled on State General Schedule item 90377 Computer Security Records which has a retention of destroy after administrative use, but not before any audit and legal needs have been met. It is unclear where the 10 year retention period or the “date of last entry” came from. The local government scheduling files do not provide any indication. Warren seems to recall that OFT or Cyber Security provided us with advice on this item, but no documentation exists. There are references in the General Schedule EDP files to this item, but it simply states that OSC officials felt that the records should be kept much longer than the 3 backup cycles noted for related usage files. It is recommended that this retention period be modified in the next version of the local government schedules. Perhaps 6 years would be reasonable as it would document that appropriate actions were taken and in the event of any civil actions based on Section 213, Civil Practice Law and Rules, are lodged against the government. It appears that local governments (excepting pbcs and pas) are not required to report security breach notifications. Also add appraisal note.


serDescription:
electronic files or automated logs created to monitor computer system usage including but not limited to login files, system usage files, charge-back files, data entry logs, and records of individual computer program usage:

serRevisionSummary:
If we reduce the retention period for backup files, recommend reducing this retention period for this item & 709/803/683/447. FYI there are other items with 3 backup cycles as the retention period that we may also want to adjust.


serDescription:
summary reports and other paper records created to document computer usage for reporting or cost recovery purposes:


serDescription:
records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting the successful completion of a run:

serJustification:
Records have limited fiscal and reference value. E98.


serDescription:
copies of records or forms designed and used solely for data input and control:

serNotes1:
Input records retained for fiscal audit or legal purposes, or, containing information needed by a local government, are covered by the relevant section of this schedule. Input records that document valid transactions are covered by item no. 783. Input records which serve a fiscal audit purpose may be covered by items in the Fiscal section of this schedule.

serRetention:
0 after all data has been entered into the system and, if required, verified

serJustification:
Records have limited fiscal and reference value. E98

serRevisionSummary:
Examine whether we should strike the language in that seemingly requires retention of the original records by the program unit as well as the IT unit. Suggest deleting language which indicates these are only for centralized data entry operations which seems like an archaic reference, as well as implication that records need to be kept by original unit.

serRevisionRecdFrom:
From Karriann Edwards, Livingston County


serDescription:
records used to facilitate the processing of a specific job/run or to create, update, modify, transfer, export, import, manipulate, or sort data within an automated system, including "macro" or "startup" file or other electronic record created to preserve a combination of data elements and/or method of displaying these data elements when all transactions are captured in a master file, central file, transaction file, or database, and the file is not retained to provide an audit trail:

serRetention:
0 after the transaction is completed, except retain as long as principal records for which the file is created are retained when the electronic file is needed to recreate or document a transaction

serJustification:
(a) Records have limited fiscal and reference value. E99; (b) These records have no value after transaction is completed. E99

serRevisionSummary:
Examine whether we should strike the language that seemingly requires retention of the original records by the program unit as well as the IT unit. Suggest slightly rewording retention and adding note to indicate that electronic file may be retained instead of paper records. Presumbably the retention period implies that electronic files needs to be retained for the same period based on content, but not that both paper and electronic records need to be retained. Decided to eliminate sub-items and notes, and align this item with State General Schedule item 90243 .


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

serNotes1:
Records used to document a program unit's actions (e.g., receipt of a voucher, issuance of a check), as opposed to a strictly data processing transaction, or needed for fiscal audit or legal purposes, are covered by the relevant sections of this schedule.

serRetention:
0 after 2 database/master file backup cycles


serDescription:
(not used to document a transaction), source output data extracted from the system to produce hard copy publications, printouts of tabulations, ledgers, registers, reports, or other documents when the files are not needed for audit purposes or to document program unit transactions:

serNotes1:
Print files needed for fiscal audits or retained to document transactions are covered by the relevant sections of this schedule.

serRetention:
0 after all print runs are completed, output verified (if required), and local government has no need to reproduce the report

serJustification:
These records have no value after printing is completed. E98.


serDescription:
data generated during the creation of a master file or database used to validate a master file or database during a processing cycle:


serName:
Information technology unit's copies of output reports,

serDescription:
data processing unit's copy of output reports produced for client program units:

serJustification:
These records have no value after output is generated. E98.


serDescription:
summary or aggregate data from a master file or database, including "snapshots" of data, created solely to distribute data to individuals or program units for reference and use, but not altered or augmented to support program-specific needs:

serNotes1:
Appraise these records for historical significance prior to disposition. Some snapshots of data, created and maintained as either electronic files saved to disk, tape or diskette, or as hard-copy output such as printed maps, or in both formats, may warrant longer retention. Contact the State Archives for additional advice on the creation and maintenance of these records.

serJustification:
Records often have limited value but may be important, hence the appraisal note. See Appraisal Report 99-05 E98


serName:
Finding aids (indexes) or tracking systems,

serDescription:
electronic indexes, lists, registers, and other finding aids used only to provide access to the hard copy and electronic records in the custody of the information technology unit:

serNotes1:
Finding aids and tracking systems of program units other than data processing units are covered by the relevant sections of this schedule and are frequently covered by the same item covering related program records.

serRetention:
0 after the related hard copy or electronic records have been destroyed

serJustification:
These records have no value after related records no longer exist. E98.


serDescription:
automated records used to control the location, maintenance, and disposition of magnetic media in a tape library:

serRetention:
0 after related records or media are destroyed or withdrawn from the tape library

serJustification:
These records have no value after records or media are no longer in library. E98


serName:
Reports on the destruction of files ("scratch reports"),

serDescription:
records containing information on the destruction of files stored on electronic media in a tape library:

serRetention:
0 after superseded or (if required) management review and approval

serJustification:
These records have no value after superseded or no longer needed. E98


serDescription:
records used to control the location, maintenance, and disposition of magnetic media in a tape library including list of holdings and control logs:

serRetention:
0 after superseded or related media are destroyed or withdrawn from the tape library

serJustification:
These records have no value after superseded. E98


serDescription:
usually in an automated system, used to manage data in a local government's information systems including information on data element definitions, data structures or file layout, code tables, and other data attribute information or records that explain the meaning, purpose, logical relationships, ownership, use, or origin of data:

serRetention:
0 after discontinuance or modification of the related application but not before the application's data is destroyed or transferred to a new structure


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

serNotes1:
The official copy of essential data documentation is covered by either item no. 768 or no. 792.

serJustification:
These records have no value after superseded or obsolete. E98


serDescription:
records documenting support services provided to specific data processing equipment or installations including site visit reports, program and equipment service reports, service histories, and correspondence and memoranda

serJustification:
(a) The 3 year retention period is presumably based on audit value. E98.; (b) These records have no value after related equipment no longer in use. E98.


serDescription:
records used to document requests for technical assistance and responses to these requests as well as to collect information on the use of computer equipment for program delivery, security, or other purposes:

serJustification:
Records have limited reference value. E98.


serDescription:
records and reference files related to the review and recommendations for software for local government use including vendor information, manuals, software reviews, and related material:

serJustification:
These records have no value after related software no longer in use. E98.


serDescription:
records documenting support services provided to specific sites and computer to computer interfaces on a network including site visit reports, trouble reports, service histories, and correspondence and memoranda

serJustification:
(a) The 3 year retention period is presumably based on audit value. E98; (b) These records have no value after related equipment no longer in use. E98; (c) Records have limited fiscal and reference value. E98


serDescription:
containing information on network circuits used by the local government including circuit number, vendor, cost per month, type of connection, terminal series, software, contact person, and other relevant information about the circuit:

serRetention:
0 after the circuit is no longer used by the local government


serName:
Network or circuit installation and service files,

serDescription:
copies of requests by local governments to service provider for data communication service, installation, or repair and response to the request including work orders, correspondence, memoranda, work schedules, and copies of building or circuitry diagrams:

serRetention:
1 year after request is filled or repairs are made

serJustification:
These records have no value after related equipment no longer in use. E98.


serDescription:
electronic files or automated logs created to monitor network usage including but not limited to login files and system usage files:

serRetention:
0 after 3 system backup cycles after creation


serDescription:
summary reports and other records created to document computer usage for reporting or other purposes:


serDescription:
local government records used to plan and implement a network including reports, justifications, working diagrams of proposed network, wiring schematics, and diagrams:

serJustification:
These records have no value after superseded. E98.


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

serRetention:
0 after 2 backup cycles, but not before relevant audit and documentation requirements have been met

serRevisionSummary:
If we reduce the retention period for backup files, recommend reducing this retention period for this item 709/803/683/447. FYI there are other items with 3 backup cycles as the retention period that we may also want to adjust.


serDescription:
electronic files or automated logs created to monitor and control use of the Internet by employees, including but not limited to proxy server logs:

serRetention:
0 after 2 backup cycles, but not before any appropriate review and verification

serRevisionSummary:
Correct typo in employee internet use logs item: "Internet" should be capitalized. If we reduce the retention period for backup files, recommend reducing this retention period for this item & 709/803/683/447. FYI there are other items with 3 backup cycles as the retention period that we may also want to adjust.


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

serNotes1:
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, are covered by item no. 850 in the Public Property and Equipment section.

serJustification:
Records have limited reference value. Similar records for publicly owned facilities are now covered by item no. 916.

serRevisionSummary:
Correct typo in note: "is" should be "are".


serDescription:
covering assistance provided to individuals and families to improve heating efficiency and reduce fuel expenditures, including but not limited to application, income documentation, description of property and work needed to improve heating efficiency, results of energy efficiency testing, description of work performed, copies of fuel bills, fuel information form, landlord agreement, notes and correspondence:

serRetention:
6 years after date of last entry or work is completed

serJustification:
6; retention requested by staff of NYS DOS. (DHCR??)

serFinalJustication:
Satisfies 3 year records retention requirement in 2 CFR 200.333 and short-term administrative needs.

serLegalCitation:
10 CFR 440 (creation); 2 CFR 200.333 (retention)

serRevisionSummary:
Added "or work is completed" to retention event. Language accounts for instances where applications are not approved/pursued or work is otherwise not initiated, while also accommodating instances where work is initiated but perhaps not yet completed.


serJustification:
6; retention requested by staff of NYS DOS.


serDescription:
(final copy) for weatherization assistance program:


serDescription:
on clients referred to local subgrantee agency:

serJustification:
Records have limited reference value; retention requested by staff of NYS DOS.


serRevisionSummary:
Increased retention period to 6 years to account for potential fraud & contract litigation. This retention period also aligns with that of the case files.


serName:
Records concerning use of living animals in testing and experimentation

serJustification:
(a) Laboratory protocols are retained permanently for legal and scientific reasons. See also item no. 486; (b) & (c) Retention requested by State DOH personnel. Meets requirements in 9CFR, Part 2.35; (d) The retention reflects legal needs; State DOH requ

serSubsection:
Local Regulatory/Permitting Agency: Animal Industry and Veterinary Medicine


serJustification:
The retention reflects administrative needs; the State DOH State DOH requested this retention.

serRevisionSummary:
Add rabies sub-item to cover wildlife vaccination records. Aligns with 10 year records retention requirement in U.S. Department of Agriculture, Animal and Plant Health Inspection Service (APHIS), retention schedule for Animal Diseases (see https://www.aphis.usda.gov/library/records/downloads/ADIS.pdf). Confirmed retention period with DOH staff. Changes sub-item a to clarifiy records pertain to domestic livestock and aligned retention trigger with dog control rabies item.


serJustification:
(a) State Ag & Markets requested this retention; item formerly had 4 parts. Meets requirements in 9CFR, Part 2.35. (b) State Ag & Markets requested this retention; item formerly had 4 parts. Meets requirements in 9CFR, Part 2.35.


serFinalJustication:
Possesses long-term administrative, legal, and research value in documenting the regulatory process and the human impact on the environment.


serDescription:
documenting acquisition of real property or easements for drainage control, water lines, or other environmental health purposes:

serFinalJustication:
Possesses long-term administrative, legal, and research value in documenting the conveyance of real property and the human impact on the environment.

serRevisionSummary:
Consider revising "property acquisition or regulation file" item or, perhaps, creating a new item to cover temporary or permanent water line easement records. Reworded item to specifically include water lines.


serDescription:
of applications relating to realty subdivisions, private water supply, private sewage disposal systems, or hazardous substance (or petroleum) spill, release or investigation records:

serJustification:
Records are archival because of administrative, research, and legal value and the need to access other permanent records.

serFinalJustication:
Possesses long-term administrative, research, and legal value in documenting the human impact on the environment.

serLegalCitation:
PBH § 1117 and § 1118 (creation). 6 NYCRR 597.4 (creation), 6 NYCRR 598.14 (creation)


serDescription:
covering hazardous substance or petroleum

serNotes1:
Corrective action plan for responding to contaminated soils and groundwater is covered by item no. 75 in the General Administration section.

serJustification:
Permanent retention was requested by NYS DEC for legal and administrative reasons. The original item required all records be retained permanently.

serRevisionSummary:
Ensure corrective action plan required for petroleum bulk storage is covered by an item. Add note to MU-1 item 209 directing users to item 24 (program plan) which has a permanent retention.


serName:
Realty subdivision environmental health approval file

serJustification:
(a) All records covered by the item were originally required to be kept permanently. The later revision only requires permanent retention for those with obvious legal, administrative and research value. See Appraisal Report # 01-18; (b) All records cove


serName:
State and local sanitary and related code violation records,

serDescription:
including locally enacted regulations, such as "clean indoor air acts"

serJustification:
(a) Retention was requested by NYS DEC for legal, fiscal and administrative reasons; (b) Retention was requested by NYS DEC for administrative reasons; records have limited reference value; (c) Reduced to 3 years to meet requirements of 214 CPLR, and matc


serJustification:
(a) Records are archival because of administrative, legal and research value and retention is consistent with most other annual reports; (c) Retention was requested by NYS DEC for administrative reasons; records have limited reference value.


serJustification:
(a) Records are archival because of research value and retention is consistent with most other annual reports. See also appraisal report 01-18; (b) Records have limited reference value as official records are held by DEC. The item originally had a 6 year retention.


serNotes1:
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.

serJustification:
This retention as requested by NYS DEC. The item originally had a 6 year retention assigned.


serName:
Air quality monitoring and surveillance log

serDescription:
of air sampling station or similar records of original entry:

serJustification:
This retention as requested by NYS DEC. The item originally had a 10 year retention assigned.

serLegalCitation:
6 NYCRR 202-1.1 (creation), 6 NYCRR Part 219 (creation)


serName:
Emission and operating parameter measurements

serDescription:
for incineration facilities and other sources of air contamination

serJustification:
(a) Records are archival because of research value and retention is consistent with most other annual reports; (b) This retention as requested by NYS DEC. The item originally had a 3 year retention assigned.


serDescription:
and related records, relating to water supply or wastewater disposal system, maintained by local health agency

serJustification:
(a) This retention as requested by NYS DEC and DOH. See also appraisal report 01-18; the appraisal note only was added in 2002; (b) The original 20 year retention was reduced to 6 years, presumably by request of State DOH in 2002; (d) & (e) This retentio

serComments:
Assumed that sub-item g concerns water wells, as opposed to gas or oil well permits covered by ENV § 23-0501.


serName:
Records of minor repairs, enlargements or cleaning

serDescription:
of drainage ditches, or in drainage districts, including but not limited to those defined in Sections 15-1943 and 15-1945, Environmental Conservation Law:

serRetention:
6 years after date of completion of work

serJustification:
This retention was requested by State DEC.


serName:
Hazardous waste site identification records,

serDescription:
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:

serJustification:
This retention was requested by State DEC. Counties are required by law to maintain these records indefinitely. See also appraisal report #10-18.

serFinalJustication:
Possesses long-term research value in documenting the human impact on the environment and public health implications of hazardous waste sites.


serDescription:
created pursuant to Part 375, 6NYCRR, including inactive hazardous waste disposal site remediation, brownfield cleanup, environmental restoration, and soil cleanup programs

serJustification:
(a) This retention was requested by State DEC. These records permanently affect the title to and use of real property. See also appraisal report #01-18; (b) & (c) This retention was requested by State DEC. These records do not warrant permanent retenti

serRevisionSummary:
Broaden scope of environmental restoration project records item to include other "environmental remediation" projects under 6 NYCRR 375, such as brownfield cleanup programs (375-3), inactive hazardous water disposal sites, and state and federal Superfund sites.

serRevisionRecdFrom:
From Warren's file: Sonja Goldstein-Suss, Village of Sleepy Hollow


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

serJustification:
(a) These records warrant permanent retention for administrative and other reasons. See also appraisal report #01-18; (b) This retention was requested by State DEC. These records may warrant permanent retention for administrative and other reasons. See

serSubsection:
Local Regulatory/Permitting Agency: Oversight of Environmental Facilities

serRevisionSummary:
Changed trigger event for sub-item d per reviewer comments received from DEC.


serDescription:
relating to environmental facilities, covering records maintained by county health agency or by municipality

serJustification:
(a) This retention was requested by State DEC for administrative and legal reasons; (c) Records covered by part "c" may be archival, if they document problems with the operation of environmental facilities, or more commonly, problems encountered with drinking water quality and watershed protection. Since September 11th, and because of the recent drought, these problems have been occurring at a greater frequency, and with potentially serious implications. Hence an appraisal note is warranted. (appraisal report 01-18)


serDescription:
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:

serNotes1:
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. 424). Contact the State Archives for additional advice.

serJustification:
These history files have potential use in historical and other research, such as in document agency activity over a period of time, and for studies relating to particular areas of concern, such as health and safety at camps, water quality problems in cert

serLegalCitation:
PBH § 229 and § 347 (creation); 10 NYCRR Chapter I (State Sanitary Code)(creation); 10 NYCRR 5 (creation); 10 NYCRR 14 (creation), 6 NYCRR 650 (creation), 10 NYCRR 67 (creation)


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

serNotes1:
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.

serJustification:
Because of the greatly varying nature of the reports and greatly varying subject matter, only an appraisal note can alert the user that some of these reports may be archival. (appraisal report 01-18)

serLegalCitation:
PBH § 229 and § 347 (creation); PBH § 1303 and § 1304 (creation), PBH Art. 13 (creation), 10 NYCRR Chapter I (State Sanitary Code)(creation); 10 NYCRR 5 (creation); 10 NYCRR 14 (creation), 6 NYCRR 650 (creation), 10 NYCRR 67 (creation)


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

serNotes1:
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.

serJustification:
Intended to be permanent by DOH. Retention changed to 6 years by Bruce Dearstyne – no reason given for change.

serSubsection:
Local Regulatory/Permitting Agency: Community Sanitation and Food Protection

serLegalCitation:
PBH § 229 and § 347 (creation); PBH § 1303 and § 1304 (creation), PBH Art. 13 (creation), 10 NYCRR Chapter I (State Sanitary Code)(creation)


serName:
Community sanitation permits and approvals

serDescription:
to operate pool, beach, camp, temporary residence or to hold mass gathering, including those operated as part of a mobile home park:

serJustification:
DOH felt appropriate to cover legal and administrative needs.

serLegalCitation:
10 NYCRR 6, 10 NYCRR 7, and 10 NYCRR 17.4 (creation)

serRevisionSummary:
Add "mobile home park" to descriptions for items in Local Regulatory/Permitting Agency: Community Sanitation and Food Protection subsection. 10 NYCRR 17.4 states that "a separate permit and fee may be required for a children's camp, bathing beach, swimming pool, temporary residence or a service food establishment operated as part of a mobile home park." It may be adequate to simply include reference to mobile park under 272. Any inspections or violations would be covered under 273 and 816.


serName:
Community sanitation reports of operation and inspection

serRevisionSummary:
Determine whether a revision is needed to allow earlier destruction of records of minor violations that do not pose a significant health risk and therefore are unlikely to be needed for legal needs for 21 years (re "community sanitation reports of operation and inspection")


serDescription:
including hearing records, for food service establishment, camp, hotel/motel, swimming pool, bathing beach, or other facility monitored by health agency


serName:
Service food establishment permits and approvals

serJustification:
(a) Originally 0 after no longer in operation (unclear about change); (c) Meets DOH administrative and legal needs; (d) Originally just 2 years (requested by DOH). “after denial, renewal or expiration” added for clarification; (e) Originally just 2 years


serName:
Food inspection and investigation records

serJustification:
Corresponds to retention of related MU-1 item 844 and ED-1 item 136; (a) Based on DOH schedule 20896; (b) Have legal value and must be retained for 6 years after last entry. Requested by DOH. Also consistent with RDA 20896; (c) Based on unfinished DOH schedule (also consistent with RDA 17409); (d) Retention suggested by A


serName:
Capital construction or public improvement project file for environmental facility,

serDescription:
covering water treatment plant; public water supply system; wastewater treatment plant and disposal system; and solid waste management facility (including landfill gas recovery facility)

serJustification:
This item parallels the capital construction item found in the Public Property and Equipment section. Records have long-term research value (see appraisal report 01-18).


serName:
Permit or registration files for construction, operation and maintenance

serDescription:
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)

serNotes1:
Duplicate set of records maintained for public observation should be retained in accordance with specific permit requirements issued by the New York State Department of Environmental Conservation.

serJustification:
(a) Permanent requested by DOH, DEC, and Law. Impact on general health and have research value. The primary legal responsibility for providing safe, potable drinking water lies with local government, all approvals of State agencies notwithstanding. Any

serRevisionSummary:
DEC's "SPDES General Permit for Stormwater Discharges from Municipal Separate Storm Sewers Systems" (Permit No. GP-0-08-002) (see http://www.dec.ny.gov/docs/water_pdf/ms4permit08.pdf) states that permittee must retain two sets of records -- one for public observation and a separate working copy (latter would be official copy). This permit was set to expire in 2010. Is it still a DEC requirement to retain two sets of records, see the current permit appears to be posted at http://www.dec.ny.gov/docs/water_pdf/ms4factsheet.pdf)? Can the duplicate set for the public be scheduled for a shorter retention period? Likely will need to consult with DEC. According to factsheet, new permit contains only "conforming changes" updating expiration date & references. Text of permit GP-0-15-003 retains language re 2 sets of records: http://www.dec.ny.gov/docs/water_pdf/ms4permit.pdf . If necessary, add a note that permittee may have to adhere to DEC guidance? We could add sub-item, except it seems that the duplicate set is only for MS4s & not all environ. facilities - see general permit GP-0-15-001 http://www.dec.ny.gov/docs/water_pdf/spdesgppci015001perm.pdf

serRevisionRecdFrom:
From Warren's file: Tad Moss, Zoning Administrator, Town of Hyde Park


serDescription:
sketches, measurements, installation, inspection and maintenance records:

serRetention:
6 years after part replaced or its use permanently discontinued

serLegalCitation:
6 NYCRR 360 and 650 (creation), 10 NYCRR Part 5 (creation)


serDescription:
covering Supply Control and Data Acquisition (SCADA) or equivalent systems, covering operation, monitoring, problems or emergencies, and maintenance of environmental facility

serJustification:
The proposed retention for this item reflects our current policy on scheduling records of automated systems that collect vast amounts of data. Requiring long-term retention of detailed data would be a burdensome requirement (appraisal report 01-18)


serDescription:
or equivalent record containing information such as changes in pressure and level, proportion of chemicals present, operational changes, problems and emergencies, and personal observations

serJustification:
(a) Originally 6 years, retention changed to permanent by request of DEC counsel (reference to letter I couldn’t find); (b) Meets State and Federal legal requirements


serDescription:
of pumpage, flow, pressure, emissions, temperature, levels of chemicals, and related information

serJustification:
(a) Great research potential; (b) Requested by DOH, DEC, and Law. Covers legal and administrative needs


serRetention:
6 years after disapproval, renewal, or expiration of approval

serLegalCitation:
6 NYCRR 650 (creation); 10 NYCRR 5-4.2(b) (creation)


serDescription:
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:

serNotes1:
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.

serJustification:
Informational and potential research value of records will vary greatly, so appraisal note included (appraisal report 01-18)

serLegalCitation:
6 NYCRR 360.19(k) and 650 (creation), 10 NYCRR Chap. III (creation)


serName:
Environmental facility alarm, problem and emergency records

serJustification:
(a) The implications of a serious problem or emergency at a water treatment plant or other environmental facility are important enough to merit permanent documentation. (appraisal report 01-18); (c) The permanent retention is consistent with similar recor


serDescription:
and related records, excluding those related to public water supply system construction or operation covered by item no. 431

serSubsection:
Environmental Facilities: Public Water Supply


serDescription:
relating to plant, system or facility operation

serJustification:
(a) These records provide important summary information on the operation of water supply and treatment facilities. (appraisal report 01-18); (c) Meets legal and DOH/DEC requirements (appraisal report 01-18); (d) While most of the records do not possess l


serName:
Water systems periodic operation reports,

serDescription:
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


serDescription:
not relating directly to system or treatment facility construction or operation

serRevisionSummary:
Review MU-1 item 231b to accommodate Long Island municipalities who report to County water dept., rather than DOH. Adjusted retention for sub-item e to align with CO-2 & MI-1. Also, CO-2 item 263 under Environmental Health, Miscellaneous is almost a duplicate of item 824 and perhaps is redundant with the exception of sub-item f. Eliminate item 263 and fold 263f into MU1 item 231.


serName:
Automated hydrological monitoring system records,

serDescription:
covering system infrastructure, system service area or aquifer

serJustification:
The proposed retention reflects our current policy on scheduling records of automated systems that collect vast amounts of data.


serName:
Reports, studies, analytical models or data queries,

serDescription:
generated from hydrological monitoring system (including documentation of macros, queries, and reports), when not covered by specific report items in this section


serDescription:
prepared pursuant to Section 1125, Public Health Law and Section 5-1.33 of 10NYCRR, including revisions and review records

serJustification:
The permanent retention is consistent with item no. 57 (part "a") in the Civil Defense/Disaster Preparedness section (official copies of disaster preparedness plans.) appraisal report 01-18


serDescription:
and related records, excluding those related to system or treatment facility construction or operation, covered by item no. 431, or those relating to receiving significant industrial or high-discharge users, covered by item no. 448

serSubsection:
Environmental Facilities: Stormwater and Wastewater Treatment


serName:
Records relating to receipt and pretreatment of significant industrial or other high-discharge waste

serJustification:
(a) Any wastewater permit may not be issued for a period exceeding 5 years (33 USCS, 1311 m-3); (b) No justification provided. However, an appraisal note was included with part "b" because this process involves the treatment and disposal of some toxic ma


serJustification:
(a) Appraised as archival. Permanent retention determined during creation of DEC and DOH schedules; (b) 5 years based on similar records covered under DEC schedule 20664. While the five year retention of records covered by part "b" meets legal and DOH/DE


serName:
Records relating to sludge, biosolids, unprocessable solids or other waste byproduct

serDescription:
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:

serNotes1:
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.

serJustification:
No justification for 5 years, but a few records dealing with this subject may have long-term administrative or even research use, hence the appraisal note. In this case, the amount and nature of the untreatable waste or hazardous byproducts is of concern

serFinalJustication:
Satisfies records retnetion requirement in 40 CFR 503.27.

serLegalCitation:
40 CFR 503.27 (creation and retention), 6 NYCRR 361-3.2(d)(8) (creation)


serName:
Records relating to leachate received from solid waste management facilities

serDescription:
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:

serNotes1:
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.

serJustification:
No justification for 5 years, but a few records dealing with this subject may have long-term administrative or even research use, hence the appraisal note. In this case, co-composting, a relatively new technology, is a matter of concern because it can re


serDescription:
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:

serNotes1:
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.


serName:
Permit for use of solid waste management facility

serDescription:
by business or resident of local government:

serRetention:
6 years after denial or expiration of permit

serJustification:
Meets legal, administrative and fiscal needs

serFinalJustication:
Sastisfies short-term administrative, legal, and fiscal needs.

serSubsection:
Environmental Facilities: Solid Waste Management Facilities

serLegalCitation:
ENV § 27-0711 (creation), 6 NYCRR 366 (creation)

serComments:
This type of use permit seems to be regulated by individual local laws, where as state law/regs cover permits to establish a facility. For example, see Warren County Sec. 50.05: http://www.warrencountyny.gov/gov/ppo/docs/Title5.pdf.


serJustification:
(a) Part "a" is derived from part "a" of item no. 262 of 1993 schedule, which has a permanent retention period. Additional language is added but the need for permanent retention for these significant reports still exists. These records provide important

serComments:
Regulation cited in sub-item e needs to be changed. Solid waste regulations were wholesale revised in 2017.

serRevisionSummary:
Reduce retention period from 10 years to 7 years for solid waste tonnage reports (part c). Rockland County questioned our current 10‐year retention period for tonnage reports for solid waste management facilities. I spoke with Terry Laibach, NYSDEC Region 3, Division of Materials Management and confirmed with her that Regulations of DEC (360‐1.14.(i)) clearly stipulate a 7‐year retention period for these reports. Suggest that sub-item b also be reduced to 7 years, and sub-item e increased to 7 - especially since sub-item e specifically refers to NYCRR. Should sub-item f concerning "routine" information also be retained for 7 years given the broad phrasing of the regulation and its possible application to any records?

serRevisionRecdFrom:
From Rockland Co. New retention period confirmed with  Terry Laibach, NYSDEC Region 3, Division of Materials Management.


serName:
Hazardous waste collection and disposal records

serJustification:
(b) Do not merit permanent retention (NYSA). The proposed retention of part "b" is identical to the retention assigned to similar records of non-hazardous waste, with a note added for potential long-term legal (not archival) value. (appraisal report 01-18

serComments:
The regulations that seem to apply to sub-item b only require a 3-yr retention.

serRevisionSummary:
Added "bids" to sub-item c related to hazardous waste contracts to help clarify the issue.


serDescription:
for solid waste management facility (including materials recycling facility - MRF), including "scalehouse" information records

serJustification:
(a) If a fee is charged then subject to an audit, so 6 years. If no fee, then only administrative value. One year determined by DEC; (b) Suggested by DEC to assist in tracking toxic wastes and hazardous materials delivered to landfills, etc.

serComments:
6 NYCRR 360.19(k) establishes a 7 year retention requirement which does not align with the sub-items. Unclear whether the sub-series note is still apporpriate.

serRevisionSummary:
Updated DEC department and contact information for notes in subitems a-c.


serDescription:
(insurance policy, certificate of insurance or equivalent record), and proof of financial assurance for solid waste management facility

serJustification:
(a) Meets long-term needs for information, which were brought to Archives’ attention by Town of Colesville clerk.


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

serNotes1:
Routine marketing reports and other records are covered by item no. 454f.

serJustification:
6 years in 1990, changed to 10 years in 1993, then back to 6 years after 1993


serDescription:
annual or summary records and reports, including necessary supporting data:

serFinalJustication:
Possesses long-term research value in documenting Possess long-term research value in documenting the enviromental impact of solid waste management and recylcling efforts at the local level.


serName:
Records relating to ash, leachate, or other waste byproduct

serDescription:
generated and/or disposed of by solid waste management facility

serComments:
Does sub-item a have to be increased in line with 6 NYCRR 360.19(k)?


serDescription:
created pursuant to Section 27-0107, Environmental Conservation Law, covering all updates, and including necessary supporting documentation:

serJustification:
Must cover ten years into the future (Environmental Conservation Law, Section 27-0107 1a). These records constitute probably the most comprehensive set of records documenting solid waste management at the local government level. The State's copies of the

serFinalJustication:
Possess long-term research value in documenting the enviromental impact of solid waste management at the local level.


serName:
Research, development or demonstration project or program files,

serDescription:
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:

serNotes1:
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.

serLegalCitation:
6 NYCRR 360.18 (creation), 40 CFR 258.4 (creation)


serName:
Self-inspection records of solid waste management facility,

serDescription:
created pursuant to Section 360-1.14 (f-3) and (i-2), 6NYCRR, including inspection log:

serJustification:
Environmental Conservation Law, Title 6, Section 360-1.14(i-2)

serFinalJustication:
Satisfies the records retention requirements of 6 NYCRR 360.19(k)(2).

serLegalCitation:
6 NYCRR 360.19(e) (creation), 6 NYCRR 360.19(n)(3) (creation), 6 NYCRR 360.19(k)(2) (creation)

serRevisionSummary:
Add "6 NYCRR" to clarify item 885 (MU-1 Schedule).


serDescription:
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

serJustification:
(a) Exceeds Environmental Conservation Law, Title 6, Section 360-2.15. they document a local government major capital project involving sizable expenditure. They also document the shift from use of landfills to other solid waste disposal methods. In add

serComments:
Should re- retention of sub-item c be rephrased to "after creation" since routine inspection reports are required under "post-closure care" & likewise, does sub-item b need to be re-phrased since the post closure period continues for an indeterminate period under 6 NYCRR 363-9.6?

serRevisionSummary:
Replace "7 years after date of closure" in part "c" to "7 years from date of inspection" to account for periodic inspections during the post-closure management period. DEC has already approved the revision of the previous regulations on 11/4/2017.


serDescription:
and listing of open areas and wetlands, including official copy of final inventory or report, final maps, surveys, photographs and background materials and supporting documentation:

serJustification:
Determined to have long term value (not by whom). Background materials originally scheduled destroy after 20 years.

serFinalJustication:
Possesses long-term research value in documenting naturally occurring resources within a local area and are essential in comprehensive land-use planning, zoning updates, and environmental conservation efforts.

serLegalCitation:
ENV § 47-0107 (creation), GMU § 239-x (creation)


serJustification:
(a) Determined to have long-term research value


serName:
Environmental protection and natural resources management plan

serJustification:
(a) Determined to have long-term research value (appraisal report 99-05); (b) Satisfies minimum legal and administrative needs


serName:
Fish stocking and other fishery records for lakes and streams

serJustification:
(a) Retention requested by DEC to meet administrative needs. Also has permanent research value to document the status of fish in the state's waterways over time. (appraisal report 99-05); (b) & (c) Retention requested by DEC to meet administrative needs.


serName:
Lake, river, stream or watershed study files

serJustification:
(a) Retention proposed after conversation with DEC. Permanent retention reflects research value and need to retain records because of long-term land use information; (b) Retention proposed after conversation with DEC


serJustification:
(b) Some of the maps covered by part "b" are copies of maps maintained by State DEC, but still may be very important at the local government level. (appraisal report 01-18)


serJustification:
(a) Provides proof that requirements of Sections 33-35 of General Municipal Law have been met; (b) 6 years because external audits other than those performed to satisfy sections 33-35 are useful to auditors; (c) Useful for performance of internal audit re


serDescription:
including summaries, posting records, and related records created by an auditing office as part of the auditing procedure:

serJustification:
Documents internal audit process and useful for performance of audit required by Section 33 of General Municipal Law

serFinalJustication:
Satisfies short term administrative and fiscal needs.


serJustification:
Satisfies need for records in a legal action over the validity of an audit or individual’s testimony

serFinalJustication:
Satisfies statutue of limitations for lititgation involving a contract, negligence, or fraud.


serDescription:
including but not limited to bank statement, reconciliation, notification of voiding or return of check, cancellation of payment, or other notice for checking or savings account:

serJustification:
Needed for audit required by section 33 of General Municipal Law

serFinalJustication:
Satisfies the statute of limitations for litigation involving a fraud, personal injury, and minors.


serDescription:
including payroll check or other instrument of payment, or order to fiscal officer to pay when used as a negotiable instrument, including voided check or instances of lost or stolen checks, and misdirected financial institution transactions:

serNotes1:
It is recommended that a list of destroyed unused checks be created and maintained for legal or audit purposes.

serRevisionSummary:
Consider revising existing item or adding item to cover stop payment notices for payroll. After considering adding a new item, suggest re-wording existing item. This is preferable since a new item seemed redundant.

serRevisionRecdFrom:
From NYC Board of Elections, Vanessa Steckler


serDescription:
including designation of depository, bond or surety, or other record relating to deposition of local government funds:

serRetention:
6 years after agreement, contract, designation, bond or surety has expired or been superseded or rescinded

serJustification:
Needed to prove that a valid designation and undertaking existed for an audit of the banking function or if a legal action is brought concerning the agreement

serFinalJustication:
Satisfies 6 year records retention requirement in 11 NYCRR 243.2


serFinalJustication:
Satisfies OSC's audit requirements. Satisfies the statute of limitations for litigation involving fraud.


serFinalJustication:
Satisfies the statute of limitations for littigation involving fraud.


serName:
Master summary record of bonds, notes, or securities

serDescription:
purchased by the government for investment, identifying the security, the fund for which held, the place where kept, and listing the date of sale and the amount realized:

serFinalJustication:
Possesses long term research and legal value documenting State government investing and management of funds.


serDescription:
of yield received from or status of bonds, notes, securities or other obligations purchased for investment:

serFinalJustication:
Satisfies statute of limitations on litigation involving a bond.


serDescription:
covering bonds issued by local governments

serJustification:
(a) Needed for legal documentation of individual investments and research into long-term management of funds (section 10 of General Municipal Law). These records possess enduring value to document the financing of local government and of specific project


serName:
Bond or note issue and cancellation register,

serDescription:
including information on the type, amount, number of obligations in issue, rate of interest, date of maturity, holders, cancellation of the bond or note, and other pertinent information:

serRetention:
6 years after cancellation of last bond or note

serJustification:
Needed for audit and as proof that bond/note was registered in prescribed manner

serFinalJustication:
Satisfies OSC's audit requirements. Satisfies statute of limitations for litigation involving a bond.


serDescription:
filed with Office of the State Comptroller before sale of bonds:

serJustification:
Needed for audit and to document that one of the legal requirements for selling the bonds has been met


serName:
Records relating to exclusion of self-liquidating indebtedness

serDescription:
by a local government, including copy of application filed with Office of State Comptroller, notice and proof of publication, and State Comptroller's written certificate:


serDescription:
for budget request or estimate submitted by department head, including but not limited to the preliminary or tentative budget, budget appropriation and staffing requests, estimates of revenues or expenditures, narrative of services, budget message, budget hearing and review files, and related records:


serJustification:
(a) Required in Section 360 of County Law; (b) No administrative, fiscal, legal, or historical value once in minutes


serJustification:
Different from annual budgets and are plan by which expenditures are made for special programs

serFinalJustication:
Possesses long term research value in documenting the plan by which expenditures are made for special programs.


serDescription:
on allocation, receipts, expenditures, encumbrances, and unencumbered funds

serJustification:
(a) Needed for fiscal and administrative reasons (audits and used to track budget actions); (b) Administrative reasons (once information is in yearly report no longer needed)


serDescription:
(if not included in minutes) including approval or denial for change in approved budget and including but not limited to transfer of funds from one budget item to another, overtime authorization, or request for supplemental funds:


serName:
Copies of municipal, special district or other budgets,

serDescription:
received and maintained for informational purposes:

serJustification:
Informational copies with very limited internal administrative value


serDescription:
(approved or disallowed), including claim, vendor's voucher and bill:

serJustification:
Needed for audit required by Section 33 of General Municipal Law


serName:
State or federal-state reimbursement claim file (federal revenue sharing),

serDescription:
including but not limited to annual state aid consolidated funding application, summary and detail of claim, worksheets and other supporting documents:

serJustification:
Needed for audit required by Section 33 of General Municipal Law and federal audits

serRevisionSummary:
Consider clarifying "state or federal-state reimbursement claim file" item to mention federal revenue sharing records. Added parenthetical reference which is present in CO-2, MI-1, & ED-1 schedules.


serName:
Summary record of outstanding or paid warrants or claims:


serDescription:
as required by Section 50-f of the General Municipal Law:

serRetention:
6 years after final disposition of claim

serJustification:
Section 50-f of General Municipal Law requires 5 years. An additional year added to make consistent with other retentions.

serFinalJustication:
Satisfies 5 year records retention requirement in section 50-f of General Municipal Law.


serJustification:
(a) Required by Section 239 of the Banking Law; (b) Needed for audit required by Section 33 of General Municipal Law

serRevisionSummary:
Section 239.7 of the Banking Law used to contain a 20 year statute that applied to certain records of monies held in any account in a “savings bank”. It is no longer valid because Sect. 239.7 has since been repealed. Item 280 (MU-1) will need to be revised to remove a. and b. and keep only the 6 year retention period.


serRetention:
6 years after satisfaction or 10 years, whichever is less

serFinalJustication:
Satisfies the statue of limitations for litigation involving a contract.


serDescription:
showing summary receipts and disbursements from all funds and accounts:

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. General ledgers containing detailed entries that include information on nature of transaction and parties involved may be valuable in documenting financial transactions involving a local government.

serNotes2:
General ledger of municipal electric or gas utility is covered by item no. 383 in the Electric and Gas Utility section.

serJustification:
Originally permanent retention. Changed to 6 years to meet audit needs and be consistent with other schedules

serRevisionSummary:
Add note to the general ledger item to reflect revisions to the electric and gas utility section. Based on examination of 16NYCRR, Part 733 and 18CFR, Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix).


serDescription:
providing details of the general ledger accounts:

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Subsidiary ledgers containing detailed entries that include information on nature of transaction and parties involved may be valuable in documenting financial transactions involving a local government, if this detailed information is not contained in general ledgers.


serDescription:
recording chronological entries of all fiscal transactions:

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Journals containing detailed entries that include information on payor, payee and purpose may be valuable in documenting financial transactions involving a local government.

serNotes2:
Journal voucher of a municipal electric or gas utility is covered by item no. 383 in the Electric and Gas Utility section.

serJustification:
Ledgers with detailed entries originally permanent and other citations 6 years. All changed to 6 years to support audit required by Section 35 of General Municipal Law

serRevisionSummary:
Add note to the journal item to reflect revisions to the electric and gas utility section. Based on examination of 16 NYCRR, Part 733 and 18CFR, Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix)


serDescription:
including but not limited to check register, transfer of funds register, encumbrance register, and register of claims presented for payment and paid claims:


serDescription:
showing cash received from collection of various fees and petty cash disbursed:

serRecordsNotCovered:
Record of cash transactions of municipal electric or gas utility is covered by item no. 384 in the Electric and Gas Utility section.

serRevisionSummary:
Add note to the cash transaction item to reflect revisions to the electric and gas utility section. Based on examination of 16NYCRR, Part 733 and 18CFR, Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix)


serDescription:
including adding machine tapes, cashier's slips showing daily cash receipts and analysis of cash receipts:


serDescription:
indicating funds encumbered and amount remaining unencumbered:

serRevisionSummary:
Reword description for MU-1 252 to say "unencumbered" rather than "encumbered."


serName:
Past due account fiscal records and summaries:

serRetention:
6 years after account satisfied or otherwise closed

serRevisionSummary:
Clarify disposition for MU-1 253 by adding "or otherwise closed."


serName:
Intermediary fiscal record of receipts and disbursements,

serDescription:
including but not limited to detail record, analysis, proof sheet or trial balance worksheet, and adding machine tapes:


serName:
List or abstract of receipts, disbursements, claims, purchase orders, or contracts:

serRevisionSummary:
Add cross references to MU-1 567, CO-2 605, MI-1 504, and ED-1 265 to LGS-1 513. Items were eliminated and consolidated into item 513. Cross reference to former schedule items should have been added to database on 9/2020.


serName:
Billing records covering services provided by local government,

serJustification:
(a) Needed for audit required by Section 35 of General Municipal Law and in case of legal action over amount paid; (b) Needed for audit required by Section 35 of General Municipal Law; (c) obsolete information not needed

serRevisionSummary:
Add clarification that billing item includes water and utilities billing. Look into drafting an item to cover ACH payments and handling of blank checks utilized for gathering bank transaction info needed to process payments. Blank checks utilized for payment purposes would seemingly fall under the new item above re "Original checks" which are retained by LGs "for any other reason". ACH payments would also fall under existing item and suggest amending description to specifically reference this.


serDescription:
of property owned by local government other than real property:

serJustification:
Needed for audit required by Section 35 of General Municipal Law and as evidence that property was legally disposed of


serDescription:
covering taxes collected by local governments:

serRevisionSummary:
Expand sales tax records item to cover occupancy taxes collected in addition to sales tax. These monies are not transmitted to the State. Is there a reason this is under the Fiscal section rather than the Taxation section? Couldn't these records be covered by the general "Tax collection records" items 595/658/529/287? If not, suggested language removes the issue of whether or not money is transferred to the state


serDescription:
showing that local government is exempt from paying sales, use or other taxes:


serDescription:
documenting the process of recovering monies paid erroneously by local government to employee, vendor or other payee:

serRetention:
6 years after date of most recent entry in record

serJustification:
Retention follows 6-year statute of limitations in CPLR, Section 213

serFinalJustication:
Satisfies statute of limitations for litigation involving a mistake.


serName:
Receipt (received) or copy of receipt (issued)

serJustification:
Needed for audit purposes and for proof that a transaction took place and a specific amount of money was involved


serDescription:
covering grants, awards and gifts given by local governments to other local governments, not-for-profit corporations, businesses or individuals

serNotes1:
Records of grants received by local governments are covered by item no. 55 in the General Administration section.

serJustification:
(a) Permanent retention to document gifts and grants awarded by government; (b) Meets fiscal, audit, and legal needs

serRevisionSummary:
Consider whether master summary of grants item needs to be clarified. A master summary record would likely contain basic information about grant recipients and amounts awarded (but this info can certainly vary) and may be an index or database used to track awarding, progress, or payments to recipients. The intention of this master summary item was to save some documentation of grants disseminated by govt. This summary information may be documented in other sources, such as meeting minutes where grants were discussed, annual reports, press releases, or 

budgetary/fiscal records that are retained. Expanded description of "master summary"; also added Note which is in ED-1 but not the other schedules. Add language to item to cover requests that aren't granted and modeled after grant item in General section.

serRevisionRecdFrom:
From Jill Walsh, Account Clerk
Town of Glenville Police Department; From Linda Bull


serDescription:
documenting payments received by credit cards or electronic transactions, including credit card payment receipts, and statements showing amounts of payments received and fees deducted:

serJustification:
Satisfies audit and legal contractual needs

serFinalJustication:
Satisfies OSC's audit requirements. Satisfies statue of limitations for litigation involving a contract.


serDescription:
including but not limited to records of receipt of estate or transfer tax, copies of Surrogate's decrees and Surrogate's orders fixing tax, transmittals between Surrogate Court and county financial officer and estate appraisal records


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

serJustification:
(a) No justification given. Federal payroll requirements, 3 years per 29 CFR Sect 516 ; state requirements, 6 years per Labor Law Sect. 195.1(a)


serName:
Payroll, contributions, or related report

serDescription:
covering all employees or an individual employee, and not covered by specific item in this section

serNotes1:
Local governments may wish to retain these records longer (i.e., 55 years) for social security or retirement documentation purposes.

serJustification:
(a) Needed for audit required by Section 33 of General Municipal Law

serRevisionSummary:
Revise existing payroll report item to cover Health Savings accounts, medical savings accounts, flexible spending accounts, unemployment contributions, etc. Add specific types of contributions/accounts to index.


serDescription:
used to distribute or classify labor costs:


serName:
Summary record of employee's payroll changes:

serJustification:
Needed for audit required by Section 33 of General Municipal Law and to provide complete record of payroll changes for finalizing pension


serJustification:
Needed for audit required by Section 33 of General Municipal Law and internal audits

serRevisionSummary:
Changed series title to make it media/format neutral.


serNotes1:
This item does not apply to an employee's time cards or sheets.

serJustification:
(a) Needed for audit required by Section 35 of General Municipal Law; (b) 1 year to ensure information on summary record is accurate


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


serName:
Record of assignments, attachments, and garnishments of employee's salary,

serDescription:
including pension loan paybacks and time buybacks

serJustification:
(a) Needed for audit and legal purposes; (b) Legal action must be brought within 3 years of filing. Assignment is valid for 2 years (Section 476, PPL), so 5 years allows for longest period possible to file an action.

serRevisionSummary:
Clarify description of employee's salary garnishments item to include pension loan paybacks and time buybacks. Consider revising existing item to cover garnishments that were executed and withdrawn. The current item states that garnishments are to be retained according to a satisfaction date or termination of employment date.


serName:
Employee's voluntary payroll deduction request form,

serDescription:
including but not limited to deferred compensation or health saving account requests:

serJustification:
Complies with IRS Circular E (4 years). Extra year to ensure that forms retained for 4 full years.

serRevisionSummary:
Add clarification that employee's voluntary deduction request form includes deferred compensation enrollment form and health saving account requests. Added qualifying phrase.


serName:
Schedule or other notification from issuing bank

serDescription:
showing savings bond purchased for employee:


serDescription:
used to prove end-of-year total earnings, retirement or other deductions and taxes withheld:

serNotes1:
Local governments may need to retain these records longer for social security or retirement documentation purposes.


serName:
Employee's declaration of intention to accept or reject Social Security:

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

serFinalJustication:
Satisifes long term administrative needs.


serName:
Quarterly or other periodic report of wages paid

serDescription:
prepared for Social Security, and report of any adjustments or corrections:

serRetention:
6 years after year in which wages were reported


serName:
Copy of federal determination of error in wage reports


serDescription:
submitted to New York State Employee's Retirement System, Policemen's and Firemen's Retirement System, State Teachers Retirement System, or any other official pension system:

serRevisionSummary:
Add note advising school districts and BOCES to consider retaining these records longer (i.e., 55 years) for social security or retirement documentation purposes. Note models that of item 180, payroll report, and guidance received from NYS Teachers Retirement System.


serDescription:
including annual and quarterly returns, continuation sheets, notices of tax return due, or equivalent forms:

serRevisionSummary:
Revise items 194-197 of ED-1 and equivalent items in other LG schedules to remove references to obsolete forms and add references to current, relevant forms (or ideally suggest the latter for a separate field). Fix discrepancy in retention periods between CO-2/MI-1/ED-1 items (4 years) and MU-1 item (5 years). See file for more info. Suggest removing form numbers from the descriptions to account for any future changes.

serRevisionRecdFrom:
From Warren's file; From Brenda Flint, Genesee Valley BOCES


serName:
Employer's copy of U.S. Internal Revenue Service tax forms,

serDescription:
including but not limited to U.S. Information Returns, Withholding Tax Statement (Form W-2), Transmittal of Wages and Tax Statements (Form W-3), Request for Taxpayer Identification Number (TIN) and Certification (Form W-9), or equivalent forms:

serFinalJustication:
Satisfies records retention requirements of Internal Revenue Service regulation 26 CFR 31.6001-1(e)(2).

serRevisionSummary:
Fix discrepancy in retention periods between CO-2/MI-1/ED-1 items for 1099 form (4 years) and MU-1 item (5 years). Include in description reference to W-9 forms. Set retention period at 5 years to ensure that these forms are retained for the full 4 years after tax returns are due.


serName:
Employee's Withholding Exemption Certificate (Form W-4),

serRetention:
4 years after a superseding certificate is filed or employment is terminated

serFinalJustication:
Satisfies records retention requirements in Internal Revenue Service regulations 26 CFR 31.6001-1(e)(2).

serRevisionSummary:
Revise items 194-197 of ED-1 and equivalent items in other LG schedules to remove references to obsolete forms and add references to current, relevant forms (or ideally suggest the latter for a separate field). Fix discrepancy in retention periods between CO-2/MI-1/ED-1 items (4 years) and MU-1 item (5 years). See file for more info.


serName:
Employer's copy of New York State income tax records

serJustification:
Reduced to 4 years to match updated ED-1 and federal requirements

serRevisionSummary:
Revise items 194-197 of ED-1 and equivalent items in other LG schedules to remove references to obsolete forms and add references to current, relevant forms (or ideally suggest the latter for a separate field). Fix discrepancy in retention periods between CO-2/MI-1/ED-1 items (4 years) and MU-1 item (5 years). See file for more info. Alternately, we could fold this into the item re federal tax returns above & eliminate this item altogether.


serDescription:
covering direct deposit of employee's salary, including but not limited to application to begin or terminate direct deposit, and transaction log or similar reports:

serRecordsNotCovered:
Routine payroll logs or reports showing pay to employees, including direct deposit payments, are covered by item no. 524.

serJustification:
Retention consistent with other banking-related records. Satisfies legal and fiscal needs.

serRevisionSummary:
Clarify meaning of transaction logs within description of the direct deposit records item (850, CO-2). It is not the intent of this item to cover regular bi-weekly or monthly payroll logs or reports generated by the LG showing pay to employees, including direct deposits (these are covered by item 373, CO-2). Added a note to clarify.

serRevisionRecdFrom:
From Warren's file; Orange County RMO; from Linda Bull


serDescription:
or similar record, used to obtain materials, supplies, or services:

serFinalJustication:
Satisfies OSC's audit requirements. Satisfies short term administrative needs.


serDescription:
including but not limited to bid (successful, unsuccessful), contract, specifications, requests for proposals, vouchers, bills, and related records, for purchase of materials, equipment, supplies and services not connected with capital construction:

serNotes1:
For capital construction, see item no. 806 in the Public Property and Equipment section and item no. 1070 in the Transportation and Engineering section.

serRetention:
6 years after completion of purchase or 6 years after final payment under contract, whichever is later

serJustification:
Corrected language error (now “after completion of purchase”)

serFinalJustication:
Satisfies OSC's audit requirements. Satisfies statute of limitations for litigation involving a contract.

serRevisionSummary:
Add requests for proposals, vouchers, and bills to description of purchasing file item. Consider whether "equipment" should be added to list of purchasing file item (e.g., materials, supplies, services, and equipment) or perhaps purchase records for equipment would be better handled under Public Property and Equipment section (MU-1 item 487). Consider whether consolidation of bid items would be appropriate (e.g., only have purchasing file item) and/or adding cross references to purchasing file would be useful. Consolidating "bid" records is impractical since "bids" are a type of document & typically only a small part of a larger record series or file -- i.e. capital construction, environmental restoration, transport improvement, tax liens, etc. Item 561 Purchasing File seems clear enough since it specifically mentions bids, but inserted "equipment" since this seems to cause confusion with local governments. Also, retention language in MU-1 & ED-1 needs to be aligned with that in CO-2 & MI-1 (i.e. after completion of purchase). Added "bids" to sub-item related to hazardous waste contracts to help clarify the issue (CO2 item 264).

serRevisionRecdFrom:
From Nancy Wagner, City of Saratoga Springs


serDescription:
including but not limited to list of vendors doing business with the local government, vendor evaluation forms, price lists or other information received from vendors:


serDescription:
or written warranty for products or similar record:

serJustification:
Needed in a legal action or complaint brought for failure to fulfill guarantee or warrantee

serFinalJustication:
Satisfies statute of limitation for litigation involving fraud.


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


serDescription:
or similar record used to list invoices:

serJustification:
Increased to 6 years to satisfy audit needs


serDescription:
used for purchase of materials and supplies which are received on a regular basis:


serDescription:
showing specific fund to be charged for in-house expenditure:


serDescription:
including purchase requisitions, vendor solicitations, requests for proposals (RFPs), requests for quotes (RFQs), requests for information (RFIs), requests for comments (RFCs), price quotations and related records concerning bids for goods or services which were canceled without a purchase being completed:

serRetention:
1 year after subsequent procurement of the same goods or services completed under a re-initiated procurement, or 1 year after decision not to purchase such goods or services

serJustification:
Based on ED-1, similar item in General Schedule, and OSC requirements

serRevisionSummary:
Recommend adding Request for Proposal (RFP) to series title and requests for quotes (RFQ), requests for information (RFIs), requests for comments (RFCs) to the description. Recommend retaining RFP in the description since the RFP should also be part of the file. This is consistent with terminology used by OGS, as state contract/procurement oversight agency.


serName:
Daily, weekly, monthly, quarterly, or other periodic fiscal reports,

serDescription:
including but not limited to daily funds report, daily cash report, statement of monthly balances, recapitulation of disbursements, and departmental reports:


serJustification:
(a) Only documentation for research purposes of overall fiscal function in local government or of grant or special projects; (b) Not needed once officially recorded in minutes


serJustification:
Useful for audit required by Section 33 of General Municipal Law


serDescription:
on management of court funds and of securities or depositories in which court funds are invested or deposited:

serNotes1:
Municipalities must submit to the Office of the State Comptroller reports on moneys paid to a court of record pursuant to Section 70.12, 2NYCCR.

serJustification:
Needed by State Comptroller and Appellate Division of the State Supreme Court for audit of court funds held by county fiscal officer

serRevisionSummary:
According to regulation 2 NYCCR 70.12 municipalities must submit to OSC reports on moneys paid to a court of record. Spoke with Geof Huth, OCA, and he confirmed that the item should remain and suggested adding a note to clarify that the funds are managed by the local government.

serRevisionRecdFrom:
From Warren's file; from Geof Huth, 2018.10.16


serName:
Certificate, demand or direction to fiscal officer to pay monies:


serDescription:
including but not limited to certificate of accuracy and receipts:


serDescription:
covering cash bail deposited with county fiscal officer or sheriff

serJustification:
(a) Agreed to by OCA to meet legal and fiscal needs


serDescription:
collected in the course of official duties pursuant to Section 57.09 of the Arts and Cultural Affairs Law

serJustification:
(a) Primary source documents not found elsewhere; (b) Allows historian to weed records when no longer needed for informational value


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

serJustification:
Kept permanently to provide basic information on all cases handled by DHR and to access case records.

serFinalJustication:
Possesses long-term research value in documenting basic information on all human rights related cases and to provide access to case records.


serName:
Periodic statistical or narrative activity or progress reports

serDescription:
on human rights or economic opportunity office activities:

serNotes1:
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.

serFinalJustication:
Satisfies 3-year records retention requirement in 29 CFR 1602.32.

serRevisionSummary:
Add diamond to PDF version of item 575, Periodic statistical or narrative activity or progress reports. The database record is accurate.


serName:
Insurance (including self-insurance) case records, except

serDescription:
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:

serNotes1:
The local government may wish to retain the records 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. For insurance claims relating to exposure to asbestos and other toxic substances and maintained as part of an employer's medical program. Consult your counsel or attorney to ensure that insurance policies and other appropriate documentation are retained as long as needed.

serRetention:
6 years after claim closed, but not until any minor reaches age 21, whichever is later

serFinalJustication:
Satisfies OSC's audit requirements and statute of limitations for minors.

serRevisionSummary:
Consider whether retention period needs to be lengthened for insurance claims for asbestos or toxic substance exposure (item 246, MI-1). CUNY has decided to retain records for 90 years to conform with standard they've set for retention of medical records relating to toxic substance exposure (29 CFR 1910.1020(d)(1)(i)) which require that records be retained until 30 years after termination of employment. CUNY's argument is that this period will meet potential litigation needs and better ensure that federal "30 year after termination" requirement will be met. 29 CFR 1910.1020 concerns access to exposure & medical records, which is covered by items in the Personnel section. Under definitions of 29 CFR 1910.1020(c)(6)(ii) medical records do not include insurance claims depending on how one reads the qualifying phrases. However, 29 CFR 1910.1020(d)(i) clearly states that insurance records maintained separately from employer's medical program are excluded. We could expand the note to indicate this distinction - see suggested language. Also in reading the regulations, 29 CFR 1910.1020(d)(ii) indicates that exposure records only need to be retained for 30 yrs -- not 30 yrs after termination of employment. We could add another sub-item under the Personnel section if we wanted to make this distinction.

serRevisionRecdFrom:
From Warren's file: Richard Malina, CUNY


serName:
Workers' compensation case records (including Volunteer Firefighters Benefit Law)

serJustification:
Required by Section 110, Workers Compensation Law. Also matches similar item in State General Schedule

serRevisionSummary:
Revise Workers' compensation case records item to fold exception in sub-item b note into retention period and to remove legal citation from note to justification field. Revise Workers' compensation case records series title to eliminate redundant text. Revise Workers' compensation case records item to address financial records, perhaps by adding a note. NYS Workers' Compensation Board states that "checks are not part of our WCB case folder. Therefore a shorter retention period would be acceptable." Based on this information, modify the existing workers compensation claim files item to cover financial records. In the meantime, local governments may dispose of related financial records under item 283. We advise local governments to file these financial records separate from the individual claim files for ease of future disposition.


serDescription:
(log or register), of all (including workers' compensation) claims:

serRetention:
0 after all claims and/or cases listed in master summary record have been disposed of

serJustification:
Retention reduced so record only needs to be maintained when cases and/or claims it lists still exist


serDescription:
including but not limited to those covering fire, theft, property damage, personal injury liability, general liability, automobile, cyber liability, insurance of life or property, when no outstanding claims are involved:

serJustification:
Legal requirement brought to attention of Archives by Insurance Dept. (11 NYCRR, Part 243).

serFinalJustication:
Satisfies statute of limitations for litigation involving personal or property damage, and fraud (CVP §213 and §214).

serRevisionSummary:
Expand insurance policy item to cover automobile, cyber liability, and others. Consider clarifying or eliminating "until the report on examination is filed"; retention event for insurance policy item.

serRevisionRecdFrom:
From Pam Vogel, Warren Co. Will need to discuss this with Department of Financial Services.


serName:
Workers' compensation and employer's liability insurance policy,

serDescription:
when no outstanding claims are involved:

serJustification:
Claim can be filed up to 18 years from date of injury or death (Article 2, Section 123 of Workmen’s Compensation Law)

serFinalJustication:
Satisfies 18 year records retention requirement in WKC §123.


serJustification:
Real property actions by state must start within 20 years (Article 2, Section 211c of CPLR) Also for title action searches (Article 3, Section 321 of Real Property Actions and Procedures Law)

serFinalJustication:
Satisfies statute of limitations for litigation by state involving real property.

serLegalCitation:
CPLR §211 (retention); RPA §321 (retention)


serName:
Waiver of liability or certificate of insurance 

serDescription:
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:

serNotes1:
For the exceptions mentioned above, see item no. 655 in the Personnel/Civil Service section, item no. 116 in the Building and Property Regulation section, item no. 479 in the Fiscal section, item no. 457 in the Environmental Health section and item no. 806 in the Public Property and Equipment section.

serJustification:
Needed for possible audit or legal actions

serFinalJustication:
Satisfies statutes of limitations for litigation involving fraud, personal injury and property damage (CPR §213, §214).

serRevisionSummary:
Clarify item 329 (CO-2) to include waivers of liability (e.g., absolve LG from responsibility should death or injury occur to parachute club members during a jump at the county airport).

serRevisionRecdFrom:
From Warren's file: Jean Rascoe, Clinton Co.


serJustification:
Records no longer needed once items are no longer insured


serDescription:
documenting approval by New York State Office of Children and Family Services for local government to operate juvenile detention facility

serJustification:
(a) Research value. Also long-term legal and administrative value as records are consulted during each renewal application throughout facility’s existence; (b) 6 years for legal and administrative purposes; (c) 6 years for legal purposes; (d) Legal and a


serDescription:
major alteration, and change of occupancy records, including but not limited to copies of studies, surveys, plans, specifications and approvals by, and correspondence with, New York State Office of Children and Family Services:

serJustification:
Records document all important decisions in life of facility, and are important for research purposes.

serFinalJustication:
Possesses long-term research and legal value in documenting the founding of juvenile detention facilities. Government or government agency establishment records have always been assigned permanent retention on all local government schedules.


serDescription:
for youth held in juvenile detention facility, including but not limited to detention admission and release notice, educational records and medical records:

serRetention:
0 after individual concerned reaches age 21

serJustification:
Children not housed beyond age 18, and 21 satisfies minimum legal retention.

serFinalJustication:
Satisfies requirement that records be retained until child is age 18 in 9 NYCRR 180-1.12(c). Juveniles may be confined in detention facilities until the age of twenty-one (EXC §508).

serLegalCitation:
SOS §372 (creation); 9 NYCRR 180-1.12(c) (creation, retention)


serDescription:
of all youths held in juvenile detention facility:

serJustification:
Records have little value after youth no longer at a facility, and similar information found in case records.


serJustification:
10 years deemed sufficient to meet any legal or administrative needs (unknown who deemed this). No long-term research value


serDescription:
to youths held at juvenile detention facility:

serJustification:
No long-term research value, though legal and administrative value.


serJustification:
(a) State Division for Youth determined 3 years appropriate for administrative purposes; (b) Executive Code, Section 180.9 c-17 mandates 1 year


serName:
Incorporation, chartering and registration records:

serJustification:
Records document creation of library and its authority to function


serNotes1:
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.

serRetention:
1 year after accessioning procedure becomes obsolete

serJustification:
1 year for administrative value. However, may have continuing research value to document library’s past holdings (hence the NOTE)


serName:
Informational copies of records prepared by and received from public library system,

serDescription:
including but not limited to directories, minutes, budgets and reports:

serJustification:
No reason given (though originally suggested 10 years). Added “or obsolete” in 2002 version.

serFinalJustication:
Satisfies short term administrative needs


serJustification:
Consolidates 12 items on 20-Lib-1 schedule with similar retention periods

serFinalJustication:
Satisfies short term administrative needs and American Library Association’s recommendations

serRevisionSummary:
Review Library section (particularly interlibrary loan items) and ensure that retention periods are consistent across all LG and the State General Schedule. Split interlibrary loan from borrowing/loaning item.

serRevisionRecdFrom:
From Matt Forst, Schenectady County Public Library


serJustification:
(a) Entry must be retained as long as item in collection – and permanent because catalog non-updatable; (b) Entry must be retained as long as item in collection – and 0 after no longer needed because catalog is updatable


serDescription:
which has been filled or found to be unfillable:

serJustification:
Audit and Control consented to 1 year retention because vast quantity made 6 year retention unwieldy


serName:
Library material censorship and complaint records,

serDescription:
including evaluations by staff, patrons' complaints and record of final decision:

serNotes1:
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.

serJustification:
Needed for possible litigation. Important cases also documented in Board minutes or legal case files

serFinalJustication:
Satisfies the statue of limitations for criminal or civil proceedings in accordance with United States Code, Title 17, Chapter 5, §507; Possesses potential long-term research value for documenting constitutional issues.

serLegalCitation:
USC, Title 17, Chap. 5, §507 (Retention)


serDescription:
for use of rare, valuable or restricted non-circulating materials:

serJustification:
Needed for 6 years in cases of investigation for theft or mutilation of materials

serFinalJustication:
Satisfies the statute of limitations for felony or misdemeanor prosecution


serDescription:
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

serJustification:
(b) Added to permit shorter retention of records involving routine services and activities. No justification for retention period


serDescription:
for legislative body, including background materials:

serJustification:
Proof of legal establishment or reapportionment of a county legislative body (supports Section 150 of County Law)


serDescription:
received from federal Bureau of the Census, filed with county or municipality after each census enumeration:

serJustification:
Used to classify towns under Article 2 of Town Law, and is the official record of county or municipality population


serName:
Official record of street name and/or street address changes:

serJustification:
For ongoing reference and to document changes


serName:
Military service and militia assessment records:

serJustification:
State Archives determined they have historic value


serDescription:
covering school, (special) improvement, and fire districts


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

serNotes1:
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.

serJustification:
Reduced to 6 years and appraisal replaces permanent retention. Consistent with treatment of similar schedule items


serDescription:
covering federally donated food and related commodities, including but not limited to inventory, order form, eligibility determination records, authorizing receipt and reports on storage and distribution:


serName:
Governmental establishment and reorganization records,

serDescription:
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:


serDescription:
received from municipality adjoining county:


serName:
Records created in the establishment, change, or dissolution of a county water, sewer, drainage, refuse or agricultural district,

serJustification:
Official and legal documentation of changes to and dissolutions of districts

serRevisionSummary:
Add additional cross reference to former MI-1 schedule item 856 & CO-2 item 992 that were missed in error in item 43, plus when we eliminate duplicate item in Cooperative Extension (LGS-1 254, formerly MI-1 612), add its cross reference to this item also.


serName:
Handicapped child's case folder related to child's education,

serDescription:
containing records created in compliance with Article 89, Education Law:


serName:
Student's individual case folder for county medical scholarship program:

serRetention:
6 years after individual fulfills or defaults on contract


serName:
Liquor license and excise certificate records:


serDescription:
submitted to county, town, or village prior to consolidation of school districts into centralized districts

serRevisionSummary:
Added "town or village" to description.


serDescription:
including but not limited to background files relating to proposed historic preservation legislation, historic district and/or structure designation, records and case files for proposed external modifications to structures with historic designations:


serName:
Financial or political interest disclosure records,

serDescription:
filed by vendor or contractor doing business with the local government:


serName:
Minority-, and women-, or disadvantaged-owned business files,

serDescription:
covering minority-, women-, or disadvantaged-owned (MWBE and DBE) businesses doing business with or in the jurisdiction of a local government

serJustification:
(a) & (b) No justification given; (c) & (d) DED consulted in revising item

serRevisionSummary:
The federal disadvantaged business enterprise (DBE) program (49 CFR Part 26) is similar to the state’s Minority and Women-Owned Business Enterprises (MWBEs) program. Under both, contractors apply for certification to designated agency(ies) who determine their eligibility and publish directories of applicable businesses. In this case, the state DOT is the state point of contact and the state certifying member of the DBE program. Thus, it looks like if we modify the MWBE item (item 282) in the Miscellaneous section to include DBE, it should effectively cover any DBE program related records that a LG may maintain.


serName:
Record of gifts and bequests to a local government,

serDescription:
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

serNotes1:
This does not apply to donations of real property, which are covered by item no. 803 in the Public Property and Equipment section.

serJustification:
(a) Records possess ongoing legal value; (b) Records possess administrative, legal, and historical value


serName:
List of community college students residing in municipality:


serName:
Personnel records of local government employees

serDescription:
(includes volunteers, interns, trustees, and board members)

serNotes1:
The State Archives does not prescribe the amount of detail and nature of information necessary to be maintained for service time verification for retirement purposes. Contact the Office of the State Comptroller or other retirement system to verify that you are maintaining the necessary information.

serJustification:
(a) Retained permanently so basic information will always be maintained on employees; (b) Covers minimum legal and administrative needs for the records; (d) Modeled on NARA schedule item which uses a similar retention period.

serLegalCitation:
Education Law §§3012-c & -d (creation)

serRevisionSummary:
Fix error in note of item 636b, Personnel records. For HTML only, item no. 545 and reference to Fiscal section must be changed. For PDF, just Fiscal section references needs to be updated.


serName:
Investigative records and disciplinary proceedings,

serDescription:
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:

serNotes1:
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.

serNotes2:
Affirmative action and related complaints may be covered by item no. 643c.

serJustification:
NYC DOE has a retention for 3020a cases as 6 years after final decision.

serFinalJustication:
Satisfies three-year records retention requirement in EDN §3020-a.1


serDescription:
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:

serNotes1:
Local governments may wish to retain these records longer, perhaps up to 6 years after employee termination, if they are used for that extended period to document time accumulation or usage, disciplinary actions, or for workers’ compensation claim purposes. Local governments should note, however, that other records might serve the same purposes, including item no. 636 from the Personnel/Civil Service section, item nos. 524a, 524b and 534. from the Fiscal section, Payroll subsection, and item no. 577 from the Insurance section.

serJustification:
Retained 6 years for fiscal, legal, and administrative purposes.

serFinalJustication:
Satisfies the statute of limitations for fraud CPLR § 213.8 (retention); satisfies 3 year records retention requirement in 29 CFR 825.500 (retention).

serLegalCitation:
29 CFR 825.500 (retention); CPLR § 213.8 (retention)


serName:
Annual or other periodic financial or ethics disclosure statements,

serDescription:
filed by local government employees or officials, pursuant to Section 812.1 (a), General Municipal Law, or local law:

serJustification:
Conforms to item 367 in MU-1. And based on 812.1(a) of General Municipal Law.

serFinalJustication:
Satisfies the statute of limitations for fraud (CPLR § 213).

serLegalCitation:
General Municipal Law § 812.1(a) (creation); CPLR § 213 (retention)

serRevisionSummary:
Consider either expanding scope of financial disclosure statements to include ethics disclosures that are submitted annually or multiple times or create new item to cover. Add note to cross-reference one-time submitted ethics disclosures to part b of personnel records item.


serDescription:
documenting employee continuing education, training and development, including employee identification, training received, dates of training, and related records:

serNotes1:
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.

serNotes2:
Detailed fiscal records, such as those covering payment or reimbursement for tuition or other training expenses, are covered by items in the Fiscal section.

serNotes3:
May include training records for evaluators of teachers and principals as part of the annual professional performance review (APPR).

serRetention:
6 years after termination of employment, but no less than 7 years for records documenting professional development programs completed by employees in positions requiring teaching certification

serJustification:
No justification given; from Susan Westling: Must have been properly trained and have received certification and recertification, as necessary, in accordance with Subpart 30-2.9 or 30-3.10, as applicable, of the Rules of the Board of Regents.

serLegalCitation:
8 NYCRR Part 30-2.0 or 30-3.10 (creation)

serRevisionSummary:
Add note to cross reference to training reimbursement records in Fiscal section. For teachers, the retention will need to be "6 years after termination of employment, but no less than 7 years for records documenting professional development programs completed by employees in positions requiring teaching certification" as currently stated. Or perhaps this might even apply to employees covered by other schedules.


serName:
Administrative organization chart and related records

serDescription:
showing administrative and supervisory organization:

serNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Contact the State Archives for additional advice.

serJustification:
Appraisal note replaces permanent retention period to allow for disposition of records without archival value. Also recommended by Department of Civil Service


serDescription:
when card is issued to local public employee:


serName:
Equal employment opportunity report and related records

serJustification:
(a) Records summarize regarding opportunity for employment in municipality for any given year. Also requested by Federal EOC when Clearance List #229 was prepared; (b) Administrative needs only; (c) Legal value – covered by statute (unspecified)


serDescription:
including health, life, and disability insurance and retirement for employee with or without dependent survivor (including retiree, volunteer, or intern)

serJustification:
(a) Combined parts a and b of old schedule (no justification); (b) Convenience copies. Originals held by claimant. 1 year more than sufficient; (c) 6 years meets fiscal and administrative needs

serRevisionSummary:
Fix cross reference errors in note of item 645f, Employee benefit records.


serJustification:
(a) & (c) Meets fiscal, legal, and administrative needs; (b) 3 years covers legal and administrative uses in case disapproval is disputed. Agreed to by Dept. of Civil Service


serDescription:
including minutes of meeting, agenda, reports, and correspondence

serJustification:
(a) Permanent retention meets need for future reference and research into labor-management relations


serName:
Public employee contract negotiations records,

serDescription:
including but not limited to proposals, summary of proceedings, copies of salary schedules and contracts, PERB fact-finding report, and correspondence

serJustification:
(a) Permanent retention for research use into employee salary demands, benefits, working conditions, etc.; (b) New item to dispose of routine documents after 1 year (no justification for 1 year)


serDescription:
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

serJustification:
(a) Historical value for research into white collar and clerical workers, and working conditions at government offices; (b) No justification given other than gives local governments the ability to dispose of non-substantive records which are otherwise inc


serDescription:
including but not limited to grievance, investigative records, hearing proceedings, decision rendered by employer, employee appeal, records of arbitration procedure, final decision, and correspondence:

serJustification:
Meets statutory needs and coincides with retention in State General Schedule

serFinalJustication:
Satisfies long-term administrative needs as precedent for other similar grievances


serName:
Facility health and safety inspection records,

serDescription:
including notices of inspection, inspection reports, descriptions of violations, remedial action plans, correspondence, and memoranda documenting local government cooperation with the NYS Department of Labor in facility inspections mandated by Sect. 802 of 12NYCRR and local government efforts to comply with Department of Labor findings and determinations:

serRetention:
3 years after completion of inspection or after any violations are remedied, whichever is longer

serFinalJustication:
Satisfies statute of limitations for personal injury (CPLR §214).

serLegalCitation:
CPLR §214 (retention); 12 NYCRR 802 (creation)

serRevisionSummary:
Add more detail to MU-1 item 378 to make consistent with item 90298 of the General Schedule and move from Personnel section.


serName:
Toxic substance exposure records (non-medical)

serJustification:
(a) Reduced to meet OSHA legal requirements (29 CFR, Section 1910.20); (c) Increased to 3 years to meet potential legal needs; (d) Retention increased to “3 years after separation” for possible legal use; (e) 12 NYCRR, Part 820.4(g)

serRevisionSummary:
Added (non-medical) to series title to clarify the distinction with item titled "employee medical records concerning exposure to toxic substances or harmful physical agents."


serFinalJustication:
Satisfies the statute of limitations for actions on a bond (CPLR, § 211(a))


serName:
Listing or roster of local government officials or employees,

serDescription:
including names, addresses, titles and other pertinent information:

serJustification:
Permanent retention as it provides basic information on government employees

serFinalJustication:
Possesses long-term research value in documenting basic information on government employees


serName:
Log and summary of occupational injuries and illnesses,

serDescription:
created pursuant to 12NYCRR, 801.33 and 29CFR, 1904.33:

serNotes1:
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. 660, below, are created, then these records must be retained for 18 years after date of injury or illness.

serRetention:
5 years from the end of the calendar year.

serFinalJustication:
Satisfies five-year records retention requirement in 12 NYCRR §801.33

serLegalCitation:
12 NYCRR §801.33 (retention); 29 CFR §1904.33 (creation), LAB §27-b (creation);


serDescription:
covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law:

serRetention:
18 years after date of injury or illness

serJustification:
Required by Section 110, Workers Compensation Law

serFinalJustication:
Satisfies 18 year records retention requirement in Workers Compensation Law, Section 110.1

serLegalCitation:
Workers Compensation Law, Section 110.1 (retention), LAB §27-b (creation);


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

serNotes1:
This item does not include health insurance records, which are covered by item no. 645 or non-medical toxic substance exposure records, which are covered by item no. 654.

serJustification:
(b) Retention reduced to 30 years (corrected earlier error in CFR citation). Also, records appraised as non-archival.

serRevisionSummary:
Folded in "employee medical records" items from ED-1 (item 221) and MU-1 (item 384).


serName:
Employee medical records not related to exposure to toxic substances or harmful physical agents


serName:
Drivers' license review records for local government officials, employees or volunteers:

serJustification:
(a) Retention satisfies legal and administrative needs; (b) Retention satisfies legal and administrative needs. Consistent with retention of employee disciplinary records

serFinalJustication:
Satisfies 5-year records retention requirement in 18 USC §2721(c) and the terms of agreement for a Motor Vehicle Records Search Account (MV-15D).

serRevisionSummary:
Revise retention period (from 3 to 5 years) and eliminate part b. for driver's license review records to reflect changes to federal statute. New retention period satisfies 5-year records retention requirement in 18 USC §2721(c) and the terms of agreement for a Motor Vehicle Records Search Account (MV-15D).


serName:
Employee attestation of knowledge of code of ethics, staff policy manual or other official policies or procedures:

serRetention:
3 years after superseded or upon termination of employment

serJustification:
Retention was chosen to be consistent with Item 394 of the CO-2, though that item’s retention was changed in 2000. So no longer consistent.

serLegalCitation:
General Municipal Law, Section 812.1(a) (creation)


serName:
Records documenting the specimen collection and testing process,

serDescription:
for commercial motor vehicle driver alcohol and drug testing


serName:
Drivers' test results and related records

serNotes1:
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.


serName:
Documentation of other violations of alcohol or substance abuse rules,

serDescription:
including results of alcohol or substance abuse tests administered by law enforcement personnel, copies of police reports and medical records:

serFinalJustication:
Satisfies five-year records retention requirement in 49 CFR § 382.401(b)(1); Satisfies 30 year records retention requirement in 29 CFR 1910.1020(d)(1)(i)


serJustification:
49 CFR, Part 382 (sub-part D). It appears retention greater than statutory requirement.


serName:
Employment Eligibility Verification Form I-9,

serDescription:
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:

serRetention:
3 years from date of hire or 1 year after employment is terminated, whichever is later

serJustification:
Conforms to same item in ED-1 and General Schedule

serFinalJustication:
Satisfies records retention requirement in 8 CFR § 274.a.2 for 3 years from date of hire or 1 year after employment is terminated, whichever is later


serDescription:
submitted to civil service office for certification or approval:

serNotes1:
Official copy of payroll must be retained for 55 years. See item no. 524 in the Fiscal section.

serJustification:
Needed for administrative purposes only. Retention changed to 0 after superseded in case payroll is not certified every month.

serFinalJustication:
These records have no administrative value after payroll transaction is
completed.


serName:
Official civil service employee roster card:

serJustification:
Department of Civil Service requested permanent retention. Contains basic civil service informantion not kept at the state level.

serFinalJustication:
Records contain basic civil service informantion not kept at the state level and have continuing historical value that warrants their preservation..


serDescription:
showing a history of each position and names and other pertinent information about persons who occupied it


serDescription:
(including employee transfer record), except copy retained in employee's personnel records

serJustification:
(a) Meets administrative and legal needs as seen by Department of Civil Service; (b) Retained 6 years for audit purposes; (c) Meets administrative and legal needs as seen by Department of Civil Service; The official civil service copy [416a] should be retained 10 years [this was original proposed retention period] for internal and administrative purposes. The copy retained by the fiscal office [416b]needs to be retained 6 years for audit purposes, this change may result in the change in the employees salary or benefits. Other copies kept by such offices as personnel and budget need only be retained 1 year for internal administrative purposes. This series does not contain the kind of detailed information warranting permanent retention, and is very voluminous in nature.


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

serNotes1:
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.

serRetention:
1 year after subsequent classification action completed, but not less than 10 years

serFinalJustication:
Records have long-term administrative value.


serName:
Official copy of job posting and position duties statement

serJustification:
(a) Records with detailed information are retained permanently; (b) Records without detailed information are not kept permanently (no justification for 6 years)


serDescription:
made to civil service or personnel office, requesting that vacancy be filled:

serJustification:
Retention reduced to 0 after obsolete because records have limited administrative value.

serFinalJustication:
Records have limited admistrative value once a vacancy has been filled.


serJustification:
(a) No justification given; (b) No justification given. [But will need to be changed to 4 years to meet Federal requirements of 28 USC 1658 and 42 USC 1981]; (c) Requested by Dept. of Civil Service for administrative reasons [But will need to be changed to 4 years to meet Federal requirements of 28 USC 1658 and 42 USC 1981]; (d) & (e) Requested by Dept. of Civil Service for administrative reasons. “But not less than 3 years” requested by Division of Human Rights. [But will need to be changed to 4 years to meet Federal requirements of 28 USC 1658 and 42 USC 1981]; (f) No reason given (though suggested it meets administrative and legal needs as seen by Dept. of Civil Service) [But will need to be changed to 4 years to meet Federal requirements of 28 USC 1658 and 42 USC 1981]

serComments:
Sub-items b, c, d, e, and f will need to be changed to 4 years to meet Federal requirements of 28 USC 1658 and 42 USC 1981


serName:
Application for or inquiry concerning employment,

serDescription:
including resume, I-9 form, and related records, when applicant not hired

serRevisionSummary:
Add reference to I-9 form to MU-1 item 393. If not hired, I-9 form would be filed in application for employment file.


serName:
Recruitment, hiring, interview and selection records,

serDescription:
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:

serNotes1:
This item does not cover personnel records of individual employees. See item no. 636 in the Personnel subsection. Local governments may wish to include fingerprint check records and other materials concerning job applicants who are hired in those individuals’ personnel records.

serRetention:
4 years after completion of personnel action

serJustification:
Meets requirements of Human Rights Law, which establishes 3 year limitation for suits alleging unlawful employment practices. Also exceeds requirements for 29 CFR 1602.40. [From GS: Federal regulations (29 CFR 1602.31) require the retention of records for at least 2 years from the date of the personnel action to which they relate. Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).]

serFinalJustication:
Satisfies four year records retention requirement in 28 USC 1658. Federal regulations (29 CFR 1602.31) require the retention of records for at least 2 years from the date of the personnel action to which they relate. Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years

serRevisionSummary:
Extend retention period for employment applications and affirmative action records to 4 years. A 2004 Supreme Court decision (Jones v. Donnelley) suggests that a 4 year period applies if litigation is based on allegations of racial discrimination under U.S. Civil Rights Law. Basically, that law and many other federal laws do not have statutes of limitation. Past Supreme Court rulings held that in such situations, actions must be commenced within the most applicable period of limitation found in the laws of the state where the legal action occurred. This resulted in some unfairness, because different states have different statutes of limitations, which would then apply to the same types of cases based on similar violations of U.S. laws. To partially remedy this, Congress passed a law in 1990 (28 USC 1658) stating that a 4 year period of limitation would apply to any future laws enacted by Congress that failed to state a specific period of limitation for commencing civil actions. For laws enacted prior to 1990, the old rule of using the various states' statutes of limitations would continue to apply. In the 2004 case regarding racial discrimination by an Illinois company, one party claimed that Illinois' 2 year statute of limitation should apply, because U.S. Civil Rights law (42 USC 1981) predates 1990. However, the Court ruled that the 4 year period applies, because even though the law predates 1990, it had been amended by Congress since 1990. (see also Barclay v. American Home Products?)


serJustification:
(a) Retention meets legal requirements of Human Rights Law (3 year statute runs from date eligible list expires); (b) Retention clarified (look in old files for justification); (c) Not required by law so can be disposed of at any time


serName:
Civil service examination and appointment review records

serJustification:
(a) Permanent to document exam process; (b) & (c) No justification other than consistent with other items in section; (d) Requested by Civil Service for legal and administrative reasons; (e) (f) (g) (h) & (i) No justification other than consistent with other items in section; (j) Limited administrative value (results found elsewhere); (k) Requested by Civil Service for legal and administrative reasons; (l) No justification given

serComments:
Most subseries have no justification. Attempted to align justfications with Civil Service RDAs.


serJustification:
Retention period requested by Division of Human Rights

serComments:
RDA 21339 Seniority Rosters has a 20 year retention period.

serRevisionSummary:
Change retention event to "after creation" which will be easier to track for disposition purposes. Extend retention period for employment applications and affirmative action records to 4 years. A 2004 Supreme Court decision (Jones v. Donnelley) suggests that a 4 year period applies if litigation is based on allegations of racial discrimination under U.S. Civil Rights Law. Basically, that law and many other federal laws do not have statutes of limitation. Past Supreme Court rulings held that in such situations, actions must be commenced within the most applicable period of limitation found in the laws of the state where the legal action occurred. This resulted in some unfairness, because different states have different statutes of limitations, which would then apply to the same types of cases based on similar violations of U.S. laws. To partially remedy this, Congress passed a law in 1990 (28 USC 1658) stating that a 4 year period of limitation would apply to any future laws enacted by Congress that failed to state a specific period of limitation for commencing civil actions. For laws enacted prior to 1990, the old rule of using the various states' statutes of limitations would continue to apply. In the 2004 case regarding racial discrimination by an Illinois company, one party claimed that Illinois' 2 year statute of limitation should apply, because U.S. Civil Rights law (42 USC 1981) predates 1990. However, the Court ruled that the 4 year period applies, because even though the law predates 1990, it had been amended by Congress since 1990. (see also Barclay v. American Home Products?)


serName:
Disclosures related to student loan status,

serDescription:
received as part of civil service examination application, transmitted to New York State Higher Education Services Corporation, along with transmittal documents:

serJustification:
No legal responsibility for records, but merely transmits info to HESC. Retention suggested by Department of Civil Service.

serFinalJustication:
Records have short-term admiinistrative value. Local governments have no legal responsibility for these records beyond transmitting them to the New York State Higher Education Services Corporation.


serName:
Local government requests to State Civil Service Commission

serDescription:
for approval of changes to rules or jurisdictional classifications:

serRetention:
3 years after date of last entry in record

serFinalJustication:
Retention period satifies the requirements of Executive Law Art.15.

serRevisionSummary:
Removed the word "policies" from description and replaced it with "rules."


serNotes1:
Although the records have a less than permanent retention period, the State Archives urges county probation agencies to retain presentence or predisposition investigation reports, quarterly supervision reports, and termination reports permanently. These reports contain information not available elsewhere, have long-term research value, document the local government's role in the probation process, and may possess long-term legal and administrative value as well.

serJustification:
(a) 10 years wanted by Division of Probation and Correctional Alternatives, and will satisfy administrative and legal needs; (b) 6 years in line with requirement for case records for other functions; (c) Proposed by Probation and Correctional Alternatives’ counsel to meet legal requirements

serRevisionSummary:
Fix two typos in probation case files item: "adjudicated" should be "adjusted." Remove references to "family court" and simply state "court" and add to note that records "may possess long-term legal and administrative value as well."

serRevisionDateRecd:
2016.05.10; See County schedule revisions folder


serDescription:
(index) containing summary information on each case:

serJustification:
Only source of information on individual cases (when case records disposed of), and facilitates access to information (when cases extant). Regulations of the Probation Dept. specifically outline the data that needs to be retained in the summary or index record.


serJustification:
Local Records decided 1 year retention period sufficient for reference needs. Because a copy is filed with DCJS and DCJS, according to our files, retains their copy for a long time, we set a short retention period of 1 year for the copy retained by the Probation Dept.

serFinalJustication:
Satisfies short-term administrative needs. A copy is filed with Division of Criminal Justice Services (DCJS) who retains its copy for a lengthy period of time.


serName:
Probation department case assignment register

serDescription:
and related records showing assignment of cases, establishing and reviewing work scheduling and work load:

serRetention:
1 year after all cases listed are closed

serJustification:
Sufficient for administrative need as decided by Division of Probation and county probation departments

serRevisionSummary:
Add information to note that the registers also include information on the establishment and review of work scheduling and work load. Changes in text requested by Rensselaer County Probation Department.


serName:
Restitution and other similar financial records

serDescription:
covering DWI, court, supervision and other fees, including but not limited to payment change order, cash book showing receipts and disbursements of funds, ledger card or book, and records of collection attempts:

serJustification:
6 years in line with retention for audit purposes

serRevisionSummary:
Add information about other records pertaining to financial payments by individuals on probation that may be found in this series. These include DWI, court, supervision, and other fees. Changes in text requested by Rensselaer County Probation Department.


serName:
List of persons in arrears in restitution payments:

serRetention:
6 years after list is issued or last entry, whichever is shorter

serJustification:
Periodically updated to reflect changed status of support and restitution payments. Wording recommended by Division of Probation and Correctional Alternatives.


serDescription:
covering inmate in county correctional facility, created pursuant to Article 12, Correction Law:

serJustification:
Suggested by Linda Valenti of Division of Probation. Parallels retention period for probation case record


serDescription:
of records held by local government, required under Freedom of Information Law:

serJustification:
Retention reduced to be consistent with State General Schedule. Agreed to by Bob Freeman


serDescription:
of local government required by Freedom of Information Law:


serDescription:
of applicants seeking access to public records:


serName:
Freedom of Information records request file

serNotes1:
Requests for access to special education records, maintained pursuant to Section 300.563 of 34 CFR, are covered by item no. 946, found in the School District and BOCES section, Special Education subsection.

serJustification:
Retention reduced to be consistent with State General Schedule. Agreed to by Bob Freeman (NYS Department of State, Committee on Open Government)


serDescription:
including but not limited to petition to county Surrogate's Court, investigation report and correspondence:

serFinalJustication:
Satisfies 10 year records retention requirement in SCP §1127.

serLegalCitation:
SCP §1127 (retention); SCP Arts. 11 & 12 (creation)


serName:
Public administrator's final case report

serDescription:
showing distribution of assets when account is settled:

serFinalJustication:
Possesses long-term research value in documenting the administration and settlement of deceased persons’ estates including information on the property of decedents and legal actions taken to settle estates.


serDescription:
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, Workforce Innovation and Opportunity Act, and other job training programs

serJustification:
(a) Permanent retention replaced with archival note because it was agreed that records did not always merit permanent retention; (b) Administrative and reference purposes

serRevisionSummary:
Add “Workforce Innovation and Opportunity Act” to the series description for CO-2 item 445. In 2014, it replaced the Work Force Investment Act of 1998.


serName:
Employment and training program individual participant file,

serDescription:
including but not limited to application, work schedule, evaluations, and notice of transition to non-grant employment:

serJustification:
Satisfies contract-related statute of limitations and satisfies 5-yr federal audit requirement

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract (CPLR § 213) and federal audit requirements (29 CFR 99.220).

serLegalCitation:
CPLR § 213 (retention); 29 CFR 99.220 (retention); LAB § 42 (creation), COM § 202 (creation), and 29 USC §3101 (creation)


serName:
Denied employment and training enrollment application:

serJustification:
Federal requirement record kept 2 years (and to make consistent with retention for non-hired applications)

serFinalJustication:
Satisfies the retention requirement in 29 CFR 1602.31.

serLegalCitation:
29 CFR 1602.31 (retention); LAB § 42 (creation), COM § 202 (creation), and 29 USC §3101 (creation)

serComments:
How does this retention period square with GS 90006?


serName:
Certification, licensing, and accreditation records

serDescription:
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:

serRetention:
7 years after superseded, revoked, or no longer valid

serLegalCitation:
PBH §2805 (creation), PBH §3605.1 (creation)


serName:
Survey, evaluation, and inspection records

serDescription:
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:

serJustification:
Records important to future research into health care facilities and problems in the field.

serFinalJustication:
Possesses long-term research value by documenting the state of health care facilities and programs, which is a critical component of public health.


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

serNotes1:
Appointment records for certain patients may have legal value to supplement patient medical records in documenting services provided to these patients.


serName:
Screening and assessment records and referrals

serJustification:
Meets administrative and legal needs, and agreed to by DOH

serFinalJustication:
Satisfies two-year and six-month statute of limitations for litigation involving medical malpractice (CPLR §214-a)


serDescription:
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

serJustification:
(a) Matches medical case record; (b) DOH Counsel advises against long retention because of unofficial nature of record


serDescription:
submitted to state or federal agency or professional review organization:

serJustification:
Contains valuable information on fiscal operations of facility or program, and consistent with annual report retention in General Schedule

serFinalJustication:
Possesses long-term research value by documenting the long-term fiscal operations of a facility or program, as well as providing statistics on health-care spending and changes to that spending over time

serLegalCitation:
PBH §2803-B (creation), PBH §4607 (creation)


serName:
Patient's individual financial case record and account

serJustification:
(a) 7 years meets DOH audit requirements and 9 years meets audit requirements where rate reimbursement involved; (b) 7 years meets DOH audit requirements

serComments:
**Both should be 10 years across the board, in compliance with Falsoe Claims Act


serName:
Medicare, Medicaid or insurance carrier claim records,

serDescription:
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:

serJustification:
Meets legal, fiscal, and audit requirements (Dept. of Health audit requirements)

serFinalJustication:
Satisfies 10 year statute of limitations under 31 USC §3731.

serRevisionSummary:
Update retention periods for medicare and medicaid claims items to 10 years based on the federal False Claims Act. See update to Social Services section item.


serName:
Insurance and reimbursement related reports,

serDescription:
including Medicare/Medicaid cost report and certified uniform financial or statistical report, and all necessary supporting documentation:

serJustification:
Requested by Deputy Attorney General’s Office for Medicaid Fraud Control for audit purposes. The OAG indicated that the state sets Medicaid reimbursement rates based on cost reporting from 3 years earlier, and that the state can bring suits regarding thes

serFinalJustication:
Satisfies 10-year retention requirement in STF §192.1

serComments:
**Should be changed to 10 years to comply with False Claims Act


serDescription:
including log or register of personal property of patients and receipts and related property records of original entry:

serRetention:
6 years after death or discharge of patient

serJustification:
Retention reduced to 6 years (from 10) to be consistent with hospital medical case record


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

serJustification:
(a) Permanent retention because they relate to major changes at facility; (b) Legal, administrative, and fiscal need (activities documented in part “a” records)


serJustification:
(a) Permanent retention pursuant to 8NYCRR Section 185.7; (b) Legal, administrative, and fiscal need (activities documented in part “a” records); (c) Determined that minutes of committees other than those of medical staff do not contain enough important i


serJustification:
(a) Administrative and fiscal value only (agreed to by DOH); (b) Required by 10NYCRR Section 416.3


serDescription:
including information on courses and activities offered to patients:

serJustification:
Administrative use only (agreed to by DOH)


serDescription:
including but not limited to physician's index, disease index and operative index:

serJustification:
Retained permanently for evidentiary reasons and medical research purposes

serFinalJustication:
Possesses long-term research value by providing evidentiary information on specific diseases and operative procedures, as well as medical research value by documenting cases of diseases reported and treated at hospitals over the course of decades.


serJustification:
Reduced to 6 years to be consistent with reduced retention of hospital case records


serDescription:
including substation, shift and ward report:

serJustification:
Administrative purposes only (agreed to by DOH)


serDescription:
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.)

serJustification:
(a) Requested by DOH; (b) No use once data is verified (approved by DOH); (c) Limited administrative use


serName:
Health facility infection control and monitoring records:

serFinalJustication:
Satisfies six-year retention requirement in PBH §2819.2


serDescription:
relating to generation, transportation and disposal of regulated medical waste


serDescription:
master index file, or principal register giving basic data on individual patients:

serJustification:
Retain permanently because contains basic medical and biographical patient information.

serFinalJustication:
Possesses long-term research value by providing long-term data on patients that can be used in statistical and other studies on patient care, tracking diseases, and other public health issues.


serDescription:
providing summary and/or detailed information on patient:

serNotes1:
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. 738). Contact the State Archives for additional advice.

serRetention:
Maintain as long as patient medical or other case record.

serJustification:
Matches retention of medical case record (see also appraisal report 99-05)

serFinalJustication:
Satisfies six-year retention requirement in EDN §6530.32 and 10 NYCRR 405.10(a)(4) & 405.20, as well as statute of limitations for litigation involving a minor (CPLR §208)

serLegalCitation:
EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention)


serDescription:
including leave book or slip, patient's request, physician's consent and record of leave taken:

serJustification:
Retained to cover possible injury or illness to patient while on leave from hospital stay (legal reasons)

serFinalJustication:
Satisfies three-year stature of limitations for litigation involving personal injury (CPLR §214)


serDescription:
for individual patient, excluding those contained in medical case record:

serJustification:
Administrative, legal, and fiscal reasons only


serJustification:
(a) No need for record if person does not become a patient. No legal liability and no administrative need; (b) Must be retained as if part of patient case record (or made part of that record)


serName:
Medical case record of hospital patient,

serDescription:
(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:

serNotes1:
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.

serRetention:
7 years after death or discharge of patient, but not until 3 years after individual attains age 18

serJustification:
Reduced from 10 years to 6 to coincide with requirement in regs, and to be consistent with DOH requirements for other hospitals [10 NYCRR, Section 405.10 (a-3)

serFinalJustication:
Satisfies seven year retention requirement in EDN §6530.32 and 10 NYCRR 405.10(a)(4) & 405.20, as well as statute of limitations for litigation involving a minor (CPLR §208) and medical malpractice lawsuit for a missed cancer diagnosis (CPLR §§217-a & 214-a.

serLegalCitation:
EDN §6530.32 (retention); CPLR §§208, 217-a & §214-a (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation)

serRevisionSummary:
Lavern's Law, passed in 2018, impacts CPLR §217-a and CPLR §214-a by extending the statute of limitations a patient has to file a medical malpractice lawsuit for a missed cancer diagnosis from 15 months (municipal hospitals) and 2.5 years (private, nonprofit hospitals or doctors), respectively, from date of medical error to date of discovery up to 7 years from date of the last treatment. This change could have an impact on the retention period of items in the public health section, including patient case files. I consulted with the Office of the Attorney General (2019.01.11) and they agreed that "7 years after death or discharge of patient, but not until 3 years after individual attains age 18” would be a sufficient retention period.

serRevisionRecdFrom:
Brought to our attention by SUNY RM staff


serName:
Medical case record of long-term care health facility patient:

serJustification:
Section 740.8 Regulations of the Commissioner of Health – and Schedule 23-H-2 (item 16)


serDescription:
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:

serRetention:
7 years after discharge or last contact, but not until 3 years after youngest patient attains age 18

serJustification:
405.18(c) of the Regulations of the Commissioner of Health, along with minority clause covering any minors.


serDescription:
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

serJustification:
(a) Meets administrative needs; (b) Must be retained as if part of patient case record


serDescription:
including X-ray, EKG tracing, EEG tracing, sonogram, echo cardiogram and holter monitor printout, when report of film or tracing is not incorporated into medical case record:

serNotes1:
Holter monitor tapes need only be retained for one month after printouts ("disclosures") are produced from them.

serNotes2:
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.

serNotes3:
Based on federal requirements (21 CFR Section 900.12 [c-4]), facilities conducting mammography activities (including operating mammography equipment or providing initial interpretation of the mammogram) must maintain mammograms and associated records of patients for 10 years, unless a subsequent mammogram was performed for that patient at the facility within that time, in which case the earlier mammogram can be destroyed after 6 years; or until the records are permanently transferred at patient request to another medical institution, physician or to the patient.

serRetention:
6 years, or 3 years after minor patient reaches age 18, whichever is longer

serJustification:
Legal, administrative, and fiscal needs [needs to be revised based on 10 NYCRR 405.15(a)(5)]; 10 NYCRR 16.22 (b)(2) 10 years for baseline mammography images and 21 CFR, Section 900.12(c-4-i), which requires that certain mammograms must be retained for 10

serFinalJustication:
Satisfies six-year retention requirement in 10 NYCRR 405.15(a)(5). This also includes a requirement that records of minors be retained at least until the age of majority

serLegalCitation:
10 NYCRR 405.15(a)(5) (creation and retention)

serComments:
* should be "6 years, but not until 3 years after individual attains age 18"

serRevisionSummary:
Replace final note in film or tracing item. The current note requires that schedule users either check the CFR, consult their attorney, or call us. In addition, the legal citation needs to be corrected. It indicates a retention of 6 years and notes that the retention pertains "when report of film or tracing is retained as long as medical case record." The item should be revised in part because the wording raises the question of what the retention is if the report isn't retained as long as the case records. A DOH rule, 10 NYCRR 405.15(a)(5), requires that "records of radiologic services including interpretations, consultations and therapy shall be filed with the patient's record." Thus, there is no need for "when report..." clause of the schedule item because the regulation requires such filing. Then, that regulation requires that "the hospital shall retain films, scans and other image records which have not been incorporated in the medical record for at least six years or three years after a minor patient reaches the age of majority." Thus, our item should be re-written to cover films and tracings that have not been made part of a patient medical record, and the retention should be "6 years or 3 years after minor patient reaches age 18, whichever is longer" rather than the simple 6 year retention period we now have.


serDescription:
including worksheets and evaluations, but excluding minutes

serJustification:
(a) No administrative need; (b) Must be retained as if part of patient case record


serName:
Communicable disease individual case records

serJustification:
(a) Meets legal and administrative needs, and agreed to by DOH; (b) Requested by DOH; © Need to be retained until death or release of carrier. DOH requested additional 2 years; (d) Requested by DOH (because of potential long-term recurrence of disease);


serJustification:
Retention period agreed to by OMH to satisfy legal and administrative needs

serLegalCitation:
MHY §33.06 (creation), MHY §29.29.1 (creation)


serJustification:
(a) Discussions with OMH determined long-term clinical value (suggested permanent retention by State Archives due to research value); 14 NYCRR Sect. 599.11, 6 years from the date of the last service in an episode of service; (b) OMH determined sufficient


serName:
Alcohol or substance abuse individual case record

serRetention:
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

serJustification:
6 years meets legal and administrative needs and agreed to by Division of Alcoholism/Alcohol Abuse and Substance Abuse Services. Contract requirement clause added at request of SAS. Suggested for permanent retention by State Archives due to research val

serFinalJustication:
Satisfies six-year retention requirement in EDN §6530.32 and 10 NYCRR 405.10(a)(4), as well as statute of limitations for litigation involving a minor (CPLR §208)

serLegalCitation:
14 NYCRR §304.3(b) (creation), 14 NYCRR §820.8(b) (creation), MHY §22.05 (creation), EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention)


serDescription:
including those generated from patient data system (including documentation of macros, queries, and reports)

serJustification:
(a) Retention matches that of other computer-generated report items. Ties to medical case record; (b) Retention matches that of other computer-generated report items.


serName:
Early intervention program and preschool special education program records,

serDescription:
including but not limited to case record and screening, assessment and referral records, including referral to preschool special education committee

serRevisionSummary:
Question about where to find preschool evaluation program records. Clarify item 884, early intervention program records, especially the referral reference. Counties’ preschool program is described here: http://www.p12.nysed.gov/specialed/publications/preschool/brochure.htm. Added "preschool special education" to series title.

serRevisionRecdFrom:
Brought to our attention by Tioga County Community Health Program Supervisor (in e-mail) / Arthur Siegel and Jennifer O'Neill review of proposed revisions


serJustification:
Permanent retention reduced to meet minimum legal requirements (appraisal note added in its place)

serFinalJustication:
Records related to critical agent testing or to potable water chemistry testing must be retained by environmental testing labs for 10 years.

serRevisionSummary:
Increased retention period to 10 years to meet requirements of 10 NYCRR 55-2.4(a)(3) which indicate that records related to critical agent testing or to potable water chemistry testing must be retained by environmental testing labs for 10 years.


serDescription:
providing summary and/or detailed information on laboratory tests performed

serJustification:
Retention consistent with retention of related laboratory tests


serRetention:
Retain as long as the related test results

serJustification:
Retention now depends on what kind of laboratory test the request is for. Change in retention also reflects changes in laboratory recordation in recent years.

serFinalJustication:
Satisfies retention requirement (seven years or as long as related tests results, whichever is shorter) in 10 NYCRR §58-1.11(c)(1)

serRevisionSummary:
Revised retention period by deleting "or 7 years, whichever is shorter" to comply with 10 NYCRR 55-2.4(a)(3).


serName:
Referral information for cytogenetic cases:

serFinalJustication:
Satisfies six-year retention requirement in 10 NYCRR §58-1.11(c)(1)

serLegalCitation:
10 NYCRR §58-1.11(c)(1) (creation and retention)


serName:
Laboratory worksheet, workslip, history slip, or similar record


serName:
Preventive maintenance, service, or repair record

serNotes1:
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.

serRetention:
Retain as long as the equipment or instrument remains in use, but no less than 2 years, and also as long as test results using this equipment are retained

serJustification:
Retention now depends on what kind of laboratory test the request is for. Also reflects changes in laboratory recordation in recent years

serFinalJustication:
Satisfies long-term administrative need to ensure that equipment has been properly maintained and satisfies retention requirement in 10 NYCRR §58-1.11(c)(4)

serLegalCitation:
10 NYCRR §58-1.11(c)(6) (retention and creation)

serRevisionSummary:
Modified retention to indicate that records must be retained at least for 2 years. Records of monitoring of temperature-controlled spaces must be kept for two years 58-1.11(c)(6). Note that the regulation currently says one year retention but this will soon be changes; the current NYS Clinical laboratory standards of practice say two year retention, see Records Retention Sustaining Standard of Practice 3 (Retention S3): Test Request and Process Documents (d) here (https://www.wadsworth.org/sites/default/files/WebDoc/NYSDOH_Standards_Part_1_General_Systems_01012019.pdf)


serDescription:
covering laboratory equipment and procedures:

serNotes1:
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.

serRetention:
Retain as long as test results using this equipment are retained

serFinalJustication:
Satisfies two-year retention requirement in 10 NYCRR §58-1.11(c)(3)

serLegalCitation:
10 NYCRR §58-1.11(c)(3) (creation and retention); 10 NYCRR 55-2.4(a)(3) (retention)

serRevisionSummary:
Revised retention period by deleting "but not less than 2 years" to comply with 10 NYCRR 55-2.4(a)(3).


serDescription:
detailing procedures for conducting tests, disposing of specimens, samples and supplies, or other activity, including superseded or obsolete procedures:

serJustification:
NOT IN FILE; From Derek Symula, DOH Wadsworth Center: laboratory protocols should be kept for as long as the method is in use and for two years after the method is discontinued see Records Retention Sustaining Standard of Practice 3 (Retention S3): Test Request and Process Documents (c) here https://www.wadsworth.org/sites/default/files/WebDoc/NYSDOH_Standards_Part_1_General_Systems_01012019.pdf)

serFinalJustication:
Possesses long-term research value by documenting the way that laboratory testing is performed, as well as changes to protocols that may reflect larger changes in public health over time.


serName:
Laboratory reports, studies or data queries,

serDescription:
including those generated from automated data system

serJustification:
Retention consistent with other items covering computer-generated reports


serName:
Blood, including blood components and blood derivatives, collection, release, transfusion and related records:

serRetention:
10 years, or 6 months after the expiration date of the individual product, whichever is later

serFinalJustication:
Satisfies records retention requirement in 21 CFR 606.160(d).

serLegalCitation:
21 CFR 606.160 (creation, retention); 10 NYCRR, Section 58-2.10 (creation, retention)

serRevisionSummary:
Check to see whether new requirement announced in the August 24, 2007 Federal Register, that would have affected the retention of blood transfusions, was ever promulgated. The 2007 law does not differentiate between types of blood records as our schedules do -- all blood records need to be kept for 10 years. So it made sense to combine the two parts into one item and clarify that item included "blood components and derivatives." NYS regulation currently requires a shorter retention time than the CFR, but is being revised to mirror the federal requirement.

serRevisionRecdFrom:
Warren's file; Derek Symula, DOH Wadsworth Center


serName:
Biologics receipt and distribution record

serJustification:
NOT IN FILE; DOH hotes that there is no definition of "biologics" but suggested item be left as-is as a catch-all for things not covered by CO2 489 (Derek Symula, DOH Wadsworth Center, 2019.09.23).


serName:
District laboratory supply station records


serName:
Laboratory examination test results (clinical)


serNotes1:
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.


serName:
Laboratory examination test results (environmental health)

serJustification:
(a) 10 NYCRR, Section 55-2.4(a); (b) Not in file; (c) and others no justification


serDescription:
and registrations relating to radiological equipment and materials

serJustification:
(a) 10 NYCRR, Section 61.14(c); (b) Suggested by DOH personnel


serJustification:
Suggested by DOH personnel to meet legal and administrative needs

serComments:
*I don't understand the retention period for part "c" at all. What if someone goes in for radiation treatment in their late 80s and something goes wrong. There won't be any records left after that person turns 90 to cover any potential statute of limitations. And what if the person who goes in for treatment is 91 years old?


serDescription:
for an individual using radiation-producing equipment or radiological materials

serComments:
PART "C" - 12 NYCRR §38.28(d) states: "The licensee or registrant shall retain the records of prior occupational dose and exposure history as specified in section 38.18 (e) of this Part (rule) on the department form for cumulative occupational radiation exposure history or equivalent until the Commissioner terminates each pertinent license or registration, and shall retain the records used in preparing the form or equivalent for three years after the record is made." PART "D" - 12 NYCRR §38.28(e)(2) states: "The licensee or registrant shall retain the records until the commissioner terminates each pertinent license or registration requiring the record"


serName:
Radiation equipment testing and inspection records

serJustification:
Suggested by DOH personnel to meet legal and administrative needs. Master summary record no longer needed permanently


serName:
Records of disposal, theft, loss, or excessive release of radiation


serJustification:
Proposed retention seems to meet legal and administrative needs


serName:
Birth and death records held by health agency or facility,

serDescription:
including copies of birth and death certificates, and related electronic records:

serNotes1:
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.

serNotes2:
This item does not cover official copies of birth and death certificates held by the health departments of Chemung, Monroe, Onondaga and Tompkins counties, which serve as registrars of vital statistics.

serFinalJustication:
Satisfies control agency (Department of Health) requirements.

serComments:
*Reference to retention period mandated by §4160 should be removed, as this does not appear to be the case.


serRetention:
6 months after completion of annual report

serJustification:
Requested by DOH to allow annual report to be verified if necessary


serJustification:
(a) Requested by DOH; (b) Limited administrative value (agreed to by DOH); (c) Reduced from 7 to 6 years to correspond with other outpatient medical case records


serName:
Nutrition program eligibility and certification records (including W.I.C. program),

serDescription:
including but not limited to copy of blood test results, record of advice given patient, and records of fair hearing procedure:

serJustification:
Administrative and audit purposes (agreed to by DOH). Exceeds requirements (3 yrs 6 months) in 7CFR, Section 246.25(a)(2). 6 years requested by OSC to meet audit needs


serName:
Housing investigation case record for lead poisoning:

serJustification:
Meets legal and administrative needs (agreed to by DOH)

serLegalCitation:
PBH §206(1)(n) & Article 13, Title 10  (creation), 10 NYCRR §62-2.3 and 2.4 (creation); CPLR 214-c (retention)

serComments:
*Actually, is this long enough? What if a child was exposed? I just saw reference to a case (Vasilatos v. Dzamba) where a child was exposed to lead in apartment buildings and had a blood test in 1990 that showed elevated levels. She would technically have been able to file suit as late as 2007, when she turned 21. If an investigation case record was also created in 1990, then it would have been important to have on hand as late as 2007 when a lawsuit still could have occurred.


serDescription:
(index, log, register or similar record) of lead poisoning cases and investigations:

serJustification:
Summarizes treatment and cases of lead poisoning and has archival value

serFinalJustication:
Possesses long-term research value as lead poisoning is a serious public health concern, particularly in poor neighborhoods. These records document long-term trends and demographics, and may even be useful in researching public policy.


serName:
Lead poisoning reports and screening results

serJustification:
(a) Considered a medical treatment record and need to be kept as long as case record for legal and clinical needs; (b) No administrative need; (c) No administrative need (agreed to by DOH); (d) DOH requested this retention for possible administrative (ret


serName:
Cancer study and control program records

serJustification:
(a) Requested by DOH (no long-term need for records); (b) Requested by DOH. Have long-term research potential and permanent retention suggested by Archives.


serName:
Tuberculosis case and contact register or record card,

serJustification:
(a) (b) (d) Requested by DOH for legal and clinical needs; (c) Requested by DOH in case disease recurs after period of dormancy; (e) No administrative value after posted to case and contact register


serName:
Tuberculosis case listing by geographical area:

serJustification:
No administrative value after superseded or obsolete


serName:
Negative tuberculosis X-ray films or interpretive reports


serDescription:
including authorization and/or parental consent:

serJustification:
Retention period recommended by DOH Counsel to match retention for patient case records

serLegalCitation:
EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation)


serJustification:
(a) Long-term administrative value to study usage and distribution (requested by DOH); (b) Administrative need (requested by DOH)


serJustification:
Demonstrates long-term trends in public health and treatment; (b) Long-term value in planning other screening and treatment programs (requested by DOH); (c) Akin to medical treatment records, so retained for legal reasons; (d) Limited administrative value

serRevisionSummary:
Reduce retention period for COVID-related records -- health screening records (item 792 d, e) -- to be consistent with draft State General Schedule item. No response received from Department of Health.


serDescription:
for controlled substances (or other drugs or medication), including inventory, authorized requisition, receipt and vendor record:

serJustification:
Requested by DOH and meets FDA requirements for inventories in 10NYCRR, Section 80.112(b)

serFinalJustication:
Satisfies five-year retention in PBH §3370 and 10 NYCRR 80.112

serLegalCitation:
PBH §3370 (retention); 10 NYCRR 80.112 (creation, retention)


serDescription:
for controlled substances (or other drugs or medication)

serNotes1:
Prescription drug claims are covered under Fiscal subsection.

serJustification:
(a) & (b) Requested by DOH and concurs with FDA retention requirements (10NYCRR, Section 80.48); (c) No value once obsolete; (d) Satisfies any legal need for the records

serComments:
** 24 CFR 205 requires only three years, and as five years exceeds this I just put down "administrative needs" to account for the additional time.

serRevisionSummary:
Medicaid Part D, see 42 CFR 423.505(d), requires minimum retention period of 10 years for specified records related to prescription drugs. Add note to CO-2 510 to cross reference to Fiscal subsection.

serRevisionRecdFrom:
From Peter Schreibner, Rockland Co. archivist; Reached out to NYS Board of Pharmacy who suggested contacting the federal Centers for Medicare & Medicaid Services (CMS). Have not followed up with CMS yet.


serJustification:
(a) DOH legal and program personnel requested permanent retention for this record, citing potential long-term medical treatment, legal and medical research needs; (b) - (e) 10 NYCRR, Section 52-2.9


serName:
Organ procurement and transplant records

serJustification:
(a) DOH feels that retention period meets legal and administrative needs; (b) & (c) DOH feels that retention period meets legal and administrative needs; 42 CFR 486.330 min 7 years transplant records


serDescription:
submitted to health department by hospitals for informational purposes:

serJustification:
Retention covers administrative use of these informational copies. Approved by DOH


serName:
Individual patient utilization review or long-term care placement records,

serDescription:
where county health agency either conducts or monitors utilization review or placement in facilities within county:

serJustification:
Needed for fiscal, legal, and administrative reasons. Information found in case records.


serJustification:
Item based on Public Health Law, Articles 13-E and 13-F, though no retention requirements provided


serName:
Contact notification records relative to HIV and AIDS,

serDescription:
maintained by county health agency pursuant to Sect. 63.8 of 10NYCRR


serDescription:
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

serJustification:
(a) 8 NYCRR, Section 185.7(f); (b) Split from part “a” so records without archival value do not have to be kept permanently (no reason for retention)


serDescription:
(book, log or register) recording acquisition or sale of property by local government:

serJustification:
8 NYCRR, Section 185.7(f). Also valuable for research as it lists all properties bought and sold by government

serFinalJustication:
Possesses long term research value in in documenting state acquisition or sale of real property.


serName:
Official copy of sale or auction list, and notice or advertisement of sale of real property by local government:

serJustification:
Permanent retention for legal and research purposes. Consistent with 8 NYCRR, Section 185.7(f) and Archives retention policy for publications

serFinalJustication:
Satisfies long term legal needs. Possesses long term research value in documenting state acquisition or sale of real property.


serName:
Capital construction or public improvement project file,

serDescription:
including but not limited to bids, specifications, contracts, performance guarantees, inspection reports, and environmental impact statements

serNotes1:
"Capital projects" are defined in Section 2.00, Local Finance Law; Section 99-g, General Municipal Law; Section 351, County Law; Section 103, Town Law; and Section 5-522, Village Law.

serJustification:
(a) & (b) No justification given; (c) Legal need, but does not contain information to merit retention as long as case file; (d) Meets legal, administrative, fiscal needs. Possible permanent retention if major project proposed but not undertaken

serRevisionSummary:
Consider adding a note to direct users to a legal definition of "capital construction projects" within CO-2 item 515.


serName:
Official plans, maps, designs, architectural drawings, and photographs

serDescription:
for buildings or other facilities owned by local government, including index, and also including design file for capital construction or renovation project

serJustification:
(a) Permanent retention implied in 8 NYCRR, Section 185.7(f), and valuable for research into local gov. property and its uses; (b) Split from part “a” so records without archival value do not have to be kept permanently (no reason for retention). Similar


serName:
Draft or intermediary plans, maps, designs, sketches or architectural drawings,

serDescription:
including explanatory textual files, tracings and other than final or "as built" automated design files:

serNotes1:
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.


serName:
Maintenance, testing, service, operational and repair records

serDescription:
for buildings, grounds, and other facilities or their mechanical, electrical systems or other infrastructure

serRevisionSummary:
Review items from LG schedules covering building maintenance records and compare to equivalent item in State General Schedule (90286) which has a different retention period. Consider what changes, if any, need to be made to what schedule. Expand scope of building maintenance item to include grounds.

serRevisionRecdFrom:
From Warren's file, his file contains information from other states' retention schedules


serName:
Reports and studies relating to maintenance, testing, service, operation and repairs

serDescription:
for buildings and other facilities or their mechanical, electrical systems or other infrastructure:

serNotes1:
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.

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract, personal injury or property damage. Possesses potential long-term research value in documenting historical or other research value.


serDescription:
including but not limited to visitor's register and watchman's or automated security system or false alarm reports, and records of issuance and cancellation of building or room keys or passes:

serNotes1:
This item does not cover airport security records, which are covered by item no. 1061 in the Transportation and Engineering section, Airport subsection.

serRetention:
3 years or, for records documenting issuance or cancellation of keys or passes, 3 years after keys or passes are cancelled or revoked

serJustification:
3-year retention deemed by Archives staff to be satisfactory to meet legal needs

serFinalJustication:
Satisfies the statute of limitations for litigation involving personal injury or property damage and initiation of prosecution for misdemeanor.

serRevisionSummary:
Consider clarifying building security records item to include door access systems (e.g., swiper cards). The retention period is slightly different in the CO-2 schedule, so these would need to be reconciled.


serDescription:
including but not limited to requests, correspondence, fiscal records and authorizations:

serNotes1:
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.

serJustification:
Retain for legal and administrative use only


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

serNotes1:
Records maintained by the public safety agency which performs official fire safety functions are covered by item nos. 1208, 1211 and 1212 in the Public Safety section, Fire Fighting and Prevention subsection.

serJustification:
(a) No justification given; (b) 3-year retention deemed by Archives staff to be satisfactory to meet legal needs


serDescription:
covering buildings, facilities, vehicles, machinery and equipment, including "fixed assets" records:

serRetention:
6 years after superseded by updated inventory, or 6 years after replacement, sale, or discontinuance of use of all property listed, whichever is sooner

serJustification:
Revised to allow disposition when superseded by updated inventory (former retention period made disposition nearly impossible)

serRevisionSummary:
Consider which is the best version of the property inventory item and apply it across all schedules. The retention period differs between the ED-1, other LG schedules, and the State General Schedule. The current ED-1 item is the way the item used to read, with a retention of 6 years after replacement, sale, etc. of all property on the intentory. The concern was that inventories are regularly updated, with the result that all versions need to be kept until all items from the original version are gone. This would be true even if the effect of a revision was only to add items to the inventory. The solution we came up with is the version now in CO-2, MU-1, and MI-1, with a retention of 0 after superseded, or 6 years after all items are gone, whichever occurs sooner. The obvious problem with this is that once an inventory is superseded, the government would destroy the previous version. The second clause (6 years after disposition of all property) in the retention period would never come into play, because the government could ultimately supersede a totally obsolete inventory with a version listing nothing. Because the inventory lists a wide variety of property, including fixed assets, it may be important to keep these inventories for OSC audit use for 6 years. We can do this by changing the retention to "6 years after superseded by updated inventory, or 6 years after replacement, sale, or discontinuance of use of all property listed, whichever is sooner."


serName:
Public property sale or discard records,

serDescription:
except real property, including but not limited to description of property, bids or offers, and receipt of deed of gift:

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract.


serDescription:
for equipment or vehicle, but not covering buildings and other facilities or their mechanical, electrical systems or other infrastructure

serNotes1:
Purchase records are covered by item no. 547 in Fiscal section and warranty records are covered by item no. 818 in this section.

serJustification:
(a) & (c) Meets legal responsibility over equipment use, as well as need to consult cumulative record over repairs, expenses, etc; (b) Retained for legal and fiscal reasons; (d) Covers minimum legal, fiscal, and administrative needs; (e) & (f) no justific


serName:
Specifications, warranty and descriptive information

serDescription:
received from vendor for vehicle or equipment:

serRetention:
6 years after vehicle or equipment no longer in use

serJustification:
Specifications may be referred to during life of equipment plus 6 years


serName:
Vehicle routing, scheduling and usage records,

serDescription:
including automated system used to schedule and assign routes of service and maintenance vehicles

serNotes1:
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 buses and other public transportation vehicles, see the Transportation and Engineering section, Public Transportation subsection.

serNotes2:
This does not apply to school bus routing records. See Transportation section, School Bus Routing and Scheduling subsection.

serJustification:
(a) & (b) (d) & (e) No justification given; (c) Meets legal and administrative needs


serDescription:
for fuel, oil, or similar products used by publicly owned vehicles or equipment:

serNotes1:
This item does not cover fuel (jet fuel and service vehicle fuel), de-icer or other chemical storage and dispensing records for airports, which are covered by item no. 1066 in the Transportation and Engineering section, Airport subsection.

serJustification:
Meets legal, fiscal, and administrative needs. Any significant information in summary reports


serDescription:
including stockroom supplies, forms and publications, duplication, or use of any vehicle or equipment

serJustification:
(a) no justification given; (b) Archives staff determined “0 after no longer needed” was more reasonable than 1 year


serName:
Federal Communications Commission (F.C.C.) private radio licensing records


serJustification:
(a) (c) (d) (e) (f) No justification given; (b) Records kept 10 years per 6 NYCRR, Section 613.6(c); (g) Records kept 5 years per 6 NYCRR, Section 613.4(c-1)


serName:
Aquatic weed harvesting and/or control records

serDescription:
(covers harvesting by mechanical or manual means or control by use of herbicides):

serJustification:
Requested by DEC to satisfy administrative needs


serName:
Building rehabilitation and reconstruction project files

serJustification:
Reduced retention to 30 years to match updated requirements from the Dept. of Labor (Section 904 of Labor Law)

serFinalJustication:
Satisfies 30 year records retention requirement in LAB §904

serRevisionSummary:
Expand scope of asbestos abatement item (MU-1 767) to include lead abatement. Split item into asbestos and lead abatement subitems.


serName:
Lead or copper content testing and remediation files

serDescription:
covering lead or copper content in drinking water of public facilities

serJustification:
Retention based on discussion with DOL and DOH, and reflects legal needs for records


serName:
Pesticide (including herbicide, rodenticide and disinfectant) application record

serDescription:
(showing kind and quantity used, dosage rate, method of application, target organism, area and time of application):

serNotes1:
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. 654 in the Personnel/Civil Service section.

serFinalJustication:
Satisfies the 3 year minimum records retention in 6 NYCRR 325


serDescription:
(including herbicides, rodenticides and disinfectants) maintained by local government:

serJustification:
DEC personnel suggested retention period. 40 years meets OSHA requirements

serFinalJustication:
Satisfies long term administrative and reference needs. Satisfies the statute of limitations for litigation involving personal injury, property damage, or initiation of prosecution for felony or misdemeanor.

serLegalCitation:
CPLR §214 (retention) CPL §30.10 (retention)


serDescription:
(including herbicides, rodenticides and disinfectants) used, submitted to New York State Department of Environmental Conservation:


serName:
Application for business/agency pesticide registration,

serFinalJustication:
Satisifes short term administrative needs.


serName:
Records relating to certification for individual certified commercial applicator,

serDescription:
including copy of application, records of training in use of pesticides, examination results, copy of certificate and recertification records:

serFinalJustication:
Satisfies the statute of limitations for litigation inovlving personal injury or property dfamage. Satisfies short term administrative and reference needs.

serLegalCitation:
6 NYCRR 325.18 (creation); CPLR §213, 214 (retention)


serDescription:
from state or county health department to operate pool or beach:

serFinalJustication:
Satisfies the statute of limitations for litigation involving personal or property injury, damages, or initiation of prosecution for misdemeanor.


serName:
Reports of pool or beach operation and inspection:

serFinalJustication:
Satisfies the 20 year records retention requirement in Civil Practice Law and Rules.


serDescription:
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:

serJustification:
Retention suggested by NYS Commission of Corrections Counsel’s Office to cover legal and administrative needs

serFinalJustication:
Satisfies short term legal and administrative needs.


serDescription:
required under Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements


serDescription:
(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:

serRetention:
6 years after building or facility involved is no longer in use

serFinalJustication:
Satisfies statute of limitations for litigation involving personal injury. Satisfies short term adminitrative and fiscal needs.

serRevisionSummary:
Correct "regulations of requirements" to "regulations or requirements" in item 909, CO-2 and other schedules as appropriate. Need to add "Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:" to the MU-1 and MI-1 items, as this clause has been left out. The text is fine in the ED-1.


serDescription:
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

serJustification:
For length of accommodation plus 3 years. 3 years meets legal needs in the event of suits under the Human Rights Law or other legislation. Conforms to same item in ED-1

serRevisionSummary:
Need to add "Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:" to the MU-1 and MI-1 items, as this clause has been left out. The text is fine in the ED-1.


serDescription:
under the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations or requirements:

serFinalJustication:
Possesses long term research value in documenting summary record of all Amercian with Disabilities Act related cases.


serName:
Video or audio recordings maintained for security purposes

serJustification:
(a) Litigation can commence within 3 years of incident; (b) Archives staff determined “0 after no longer needed” more reasonable than “1 month”. Generally consistent with retention of emergency tapes in Public Safety section

serRevisionSummary:
Revise series title for security recordings to eliminate references to specific media, e.g., videotape.


serName:
Records relating to protection of underground facilities

serJustification:
(a) 16 NYCRR, Section 753-5.2; (b) Not required by law to be kept beyond superseded or obsolete


serName:
Records filed by contractor or sub-contractor with local government related to public works project,

serDescription:
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:

serJustification:
Contractors must keep payroll records until 5 years after completion of contract (Chapter 565, Labor Law - 1997)

serFinalJustication:
Satisfies 5 year records retention requirement in LAB §220.3-a.a.iii.

serRevisionSummary:
The Laws of 2008 (Chapter 8) effectively revised Section 220 (3-a) of the Labor Law upon which the retention and disposition of this contractor records item was based. The revised law lengthens the retention period of contractor records to five years after contract completion.


serDescription:
covering water supply system (such as private well) maintained by local government for its own use

serNotes1:
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.

serJustification:
(a) The proposed permanent retention is consistent with both similar records of the regulating agency and records of public water supply systems. (appraisal report 01-18); (b) (d) & (e) no justification given; (c) (f) The proposed permanent retention is c


serDescription:
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


serName:
Records relating to mines owned or operated by local government

serJustification:
(a) & (b) No justification; (c) Retention consistent with New York State operational permit records; (d) Consistent retention with related USDA Mine Safety and Health Administration records; (e) Required by 30 CFR, Section 50.30; (f) Required by 30 CFR, S


serName:
Master Street Address Guide (MSAG) and related records


serName:
Non-emergency call receipt and response records,

serDescription:
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:

serNotes1:
Emergency 911 calls are covered by item nos. 1180 and 1183 of this section.

serRevisionSummary:
Add a cross reference to non-emergency E-911 calls to indicate that emergency 911 calls are covered by "tape recording of communications" item (496, MU-1). Also, if transcript is prepared of specific 911 call, it is covered by case investigation item (523, MU-1). Perhaps need to specify this in the description for item 523. As for item 523, I don't think we need to add this to the description. If there is a transcript and it is put in the case investigation file, then it becomes part of the file and thus it is understood that it is in there. Also, there are probably many cases that are not in response to 911 calls, and thus those transcripts would not be in the file.


serName:
Automatic Number Information (ANI) and Automatic Location Information (ALI) records

serJustification:
Retention meets legal needs for records. Generally have short-term needs


serName:
E-911 system development and implementation records

serJustification:
(a) & (b) Retention meets legal and fiscal needs; (c) These records have permanent administrative and legal value in documenting road/street name and address changes. This series is equivalent to an item which has been on State Archives schedules for a long time,


serName:
Computer-aided dispatch (CAD) or incident data file,

serDescription:
containing data on each call received and equipment dispatch or other resulting action taken:

serNotes1:
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.

serNotes2:
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.


serName:
Emergency call receipt and/or equipment dispatch record,

serDescription:
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

serJustification:
(a) Reduced retention meets legal needs for records; (b) no justification given


serName:
Geographic Information System (G.I.S.) records used in emergency dispatch process

serJustification:
Retention period meets administrative needs (no other justification given)


serDescription:
(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:

serNotes1:
Local governments should consult their attorney or counsel before these records are disposed of regarding any potential legal value.

serJustification:
Reduced retention meets legal needs for records


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

serNotes1:
Records custodians may wish to 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.

serRetention:
0 after information posted to emergency call receipt and/or equipment dispatch record

serJustification:
No administrative value (though serious incidents may have legal value so these recordings may need to be kept longer)

serRevisionSummary:
Remove references to "tapes" and replace with "recordings." This revision will make item more media neutral.


serName:
Call receipt and dispatch related reports,

serJustification:
Retention meets legal needs for records. Suggested by Dept. of State, who receives data file for their own use


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

serJustification:
Records are permanent for legal, evidential and research purposes

serRevisionSummary:
Update accreditation records for law enforcement item to reflect more accurate and reasonable need for these records. Currently scheduled as permanent. DCJS’s NYS Law Enforcement Accreditation Program (NYSLEAP) agencies need to be reaccredited every five years (per 9 NYCRR 6035.9). Confirmed retention periods with Hilary McGrath, DCJS.

serRevisionRecdFrom:
From Hilary McGrath, DCJS; appraisal report 19-05


serName:
Emergency vehicle, apparatus and equipment records

serNotes1:
Items covering purchase, warranty, repair, fuel use, and replacement are found in the Public Property and Equipment section.

serJustification:
(a) Retention meets legal and administrative needs; (b) Administrative and limited legal reasons; (c) no justification given

serLegalCitation:
10 NYCRR part 800 (ambulance); DOH Policy Statement #02-11


serName:
Training records for law-enforcement officers, E-911, dispatch or fire-fighting personnel,

serDescription:
but excluding emergency medical personnel

serJustification:
(a) In the case of law enforcement officers and fire fighters, training has a direct impact on litigation over job performance; (b) No justification given; (c) Administrative reference needs


serJustification:
(a) No justification given; (b) - (d) Meets legal needs for records. Approved by DOS, DCJS, and State Police


serName:
Public safety personnel service data file

serDescription:
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

serNotes1:
This item does not cover the personnel records of officer, employee or volunteer. See the Personnel/Civil Service section of this schedule.


serDescription:
containing basic and detailed information on land and structures, including hazards, property inspections, and individuals associated with properties


serName:
Documentation of macros, queries, and reports

serJustification:
(a) Retention matches that of other computer-generated report items. Ties to medical case record. For any reports, studies or queries appraised as archival, this documentation would need to be retained as well, to explain how these records were created,


serDescription:
for call receipt and dispatch, including codes, abbreviations and authority file data:

serNotes1:
Detailed routine procedures are covered by item no. 52 in the General section.

serJustification:
Retention consistent with retention of important procedures covered by Item 9 in the General section. These procedures may have long-term legal value in defending actions of emergency personnel. The codes and abbreviations are necessary to understand in


serName:
Fire evacuation plan, disaster response plan, fire drill report, fire safety survey,


serJustification:
(a) Retained as long as it is most up-to-date listing of hydrant locations; (b) Meets legal needs


serName:
Copies of volunteer department or organization fund-raising records,

serDescription:
maintained by municipality or fire district:


serName:
Length of Service Award Program (LOSAP),

serDescription:
including plan document, trust document, summary of provisions, adoption agreement, point system, and similar documents

serJustification:
(a) Records do not have long-term value once a plan is superseded. Retention period satisfies administrative and legal needs. (appraisal report 99-05); (b) Records have short-term administrative value. (appraisal report 99-05)

serSubsection:
Length of Service Award Program for Volunteer Firefighters and Volunteer Ambulance Workers

serRevisionSummary:
Update LOSAP schedule items. LOSAP plans began in 1990. Add trust document and point systems as these can be part of the plan. Municipal funded plans must hold related funds in trust. The municipality may act as trustee or enter into an agreement with a bank. Members may earn points for responses, training, drills, meetings, calls, and other activities. Every fire district must track points. Municipalities must approve points and investigates any appeals. Add reference to LOSAP. Simplify reference simply to LOSAP as Volunteer Firefighter and Volunteer Ambulance Worker will be referenced in subsection title. Add reference to specific types of documents.

serRevisionRecdFrom:
From 10/1/18 meeting with Tony Hill, Penflex, Inc. & 12/10 email follow up


serDescription:
who qualify for a year of service credit under Length of Service Award Program (LOSAP) received from third party administrator:

serJustification:
This record does not constitute the official list of volunteer members, which is covered by another item, with a permanent retention assigned. Therefore this series does not require permanent retention as well. (appraisal report 99-05)

serLegalCitation:
GMU Articles 11-A, 11-AA, 11-AAA, & 11-AAAA (creation)

serRevisionSummary:
Update title and description of MU-1 item 518 to reflect terminology used and to delete reference to a specific LOSAP vendor (VFIS). Simplify reference simply to LOSAP as Volunteer Firefighter and Volunteer Ambulance Worker will be referenced in subsection title.

serRevisionRecdFrom:
From 10/1/18 meeting with Tony Hill, Penflex, Inc.


serDescription:
listing points earned and providing breakdown of types of services and how points earned under Length of Service Award Program (LOSAP)

serJustification:
(a) No justification given. See General Municipal Law (GML) Article 11-A, Section 217 & 219-a; (b) meets administrative needs

serRevisionSummary:
Update LOSAP schedule items. Use "points" rather than "credits" in schedule items. Simplify reference simply to LOSAP as Volunteer Firefighter and Volunteer Ambulance Worker will be referenced in subsection title.


serName:
Length of Service Award Program (LOSAP) records relating to individual volunteer

serJustification:
(a)-(d) No justification given; (e) Meets administrative and legal needs

serRevisionSummary:
Update LOSAP schedule items. Add reference to LOSAP. Simplify reference simply to LOSAP as Volunteer Firefighter and Volunteer Ambulance Worker will be referenced in subsection title.


serDescription:
covering legally approved burning of leaves and debris permitted by fire department or district:


serName:
Incident, complaint, or arrest summary record or log

serDescription:
containing a summary of activities, when records or data are not submitted to the New York State Division of Criminal Justice Services (DCJS):

serNotes1:
Copies of records or data submitted to DCJS are covered under item no. 1221 below.

serNotes2:
Most pre-1950 records have historical value.

serJustification:
Only documentation to show overall activity in law enforcement office. Permanent retention also urged by several university professors (because of research value)

serFinalJustication:
Summary records of criminal activities have long-term historical and research value in documenting crime trends and policing practices, as well as the social history of communities. The FBI’s summary UCR records and master NIBRS records, have been scheduled for annual transfer to NARA. DCJS should transfer its UCR and IBR system records to the State Archives.

serRevisionSummary:
Made significant changes to the wording (removed "blotter" terminology as it is ill-defined) and narrowed the scope of the permanent records to those only found at the local level. More recently, local police departments report summary incident information to the state.


serName:
Law enforcement reports, studies or data queries,

serJustification:
(a) Records have legal value and are used in court to help officers recollect activities when testifying; (b)-(f) no justification given


serDescription:
for adult, juvenile offender, youthful offender or juvenile delinquent, including but not limited to complaint, investigation report, arrest report, property record, court order, and disposition of the case

serNotes1:
Classification of a case investigation record should be based on the case's final disposition (the crime or offense an individual is convicted of or pleads to).

serNotes2:
A case may be closed if it results in prosecution and appeals are exhausted, it results in a settlement, it results in no arrest, or when restitution is no longer sought.

serJustification:
(a) Permanent retention recommended by State Police; (b) (c) (f) (g) Retention requested by State Police to match retention of their own case investigation records (apparently not scheduled); (d) Retention suggested by Sgt. Sandy Fluno, State Police. Se

serRevisionSummary:
Add a note at series level of CO-2 item 561 that states that classification of a case investigation record should be based on the case's final disposition, i.e., the crime that the individual is convicted of or pleads to. // Add note to clarify how we define "case closure" for CO-2 item 561. For example, a local government can close a case when it has given up looking for restitution, when case results in no arrest, or when case results in prosecution and appeals are exhausted. // Add item to description of case investigation record to cover court orders for DNA swabs and documentation that the order was carried out. Per § Art. 13, 15A-266.6: " A copy of the court order indicating the date, time, and location the person is to appear to have a sample taken shall be given to the sheriff. " OCA noted that these are filed as part of the case file and the retention of the case file would govern the retention of these orders.

serRevisionRecdFrom:
Lt. Glenn Miner, State Police, provided confirmation; From Melissa Harmon, Technical Sergeant, Ithaca Police Dept. //  From Jose Diaz, Orange Co Sheriff's Office; consult with DCJS RDAs and staff on retention period


serName:
Master summary record of case investigation information:

serNotes1:
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.

serRetention:
0 after no longer needed to access case investigation records

serJustification:
This is one of the most important series of law enforcement records, and has a number of uses, ranging from accessing other series of records to long-term administrative value, and historical and other research value.


serDescription:
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

serNotes1:
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.

serJustification:
(a) (c) (e) (f) No justification given; (b) Meets administrative needs (5 years recommended by Suffolk Co. Police Department); (d) 0 after no longer needed because systems automatically destroy these records due to space limitations; (g) DCJS requested 6


serJustification:
(a) Retention corresponds to that for individual identification records; (b) (c) (d) satisfies administrative and legal needs


serName:
County- or region-wide arrest information cumulative data file,

serRetention:
Maintain as perpetual data file, and 3 years after replaced by superseding file

serRevisionSummary:
Revise retention for CO-2 item 941, county- or region-wide arrest information cumulative data file to make more clear and consistent with other retention periods that include "perpetual data file."

serRevisionRecdFrom:
Phone call from Stephanie Green, Jefferson Co. Sheriff's Office


serDescription:
including macros, workspaces or other files (including all documentation) created in profiling process


serDescription:
maintained separately from confidential informant information contained in case investigation records

serJustification:
(a) Long-term administrative and legal value in providing convenient listing of all confidential informants used over time and what cases their work related to (Appraisal Report 05-06); (b) no justification given


serJustification:
(a) No justification given; (b) Satisfies legal and fiscal needs


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

serJustification:
(a) Retention based on discussion with local governments and State Police; (b) & (c) meets administrative needs


serDescription:
including lists of pawn shops, purchase and sale reports and reports on stolen property:


serName:
Bicycle licensing or registration record

serJustification:
(a) Fiscal audit requirements; (b) Administrative needs and to cover condition of expiration


serDescription:
including application for license to sell, carry, possess, repair and dispose of firearms, amendments, transfers, and supporting records such as affidavit of character reference, criminal history and mental health check, fingerprint record, and verification of reason for license.

serJustification:
(a) Retention reduced from 20 years to meet minimum legal (statutory) needs; (b) satisfies administrative needs

serRevisionSummary:
Add reference to pistol permit to series title or description. Fix truncation error and eliminate extra text in PDF version for item 1234, pistol permits.


serJustification:
Satisfies fiscal audit and administrative needs


serName:
Certificate of nondestruction of, or notice of intent to destroy, weapon or dangerous instrument, appliance, or substance,

serDescription:
including results of New York State Police files search:

serRetention:
6 years after disposition of property, or 0 after disposition of any related case investigation records, whichever is longer


serName:
Records of issuance of firearms or other weapons to law enforcement personnel:

serRetention:
3 years after return or other disposition of weapon


serName:
Repair and maintenance records for firearms or other weapons used by law enforcement personnel:


serRetention:
0 after all firearms are located or destroyed

serJustification:
Administrative value only. Case investigation records must be retained much longer.


serDescription:
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:

serJustification:
Retention of hearing records reduced to 2 years (so part b eliminated)

serFinalJustication:
Satisfies the statute of limitations for litigation against a sheriff, constable or other officer for the non-payment of money collected upon an execution (CPLR §214).

serSubsection:
Law Enforcement: Motor Vehicles (including watercraft)

serRevisionSummary:
Revise items which use phrase "after litigation is completed" to include text that is less confusing and more accurate and increase retention period to 3 years. In general, the intent of this phrase is to broadly cover case resolution. Thus, the use of the phrase in item 481 (MI-1) which covers traffic and parking violations is to indicate the 2 year retention applies to conclusion of the case, regardless of whether that happens through the individual paying the fine, or challenging the ticket through court litigation. In the case of items 482 and 490, the period applies based on the completion of any litigation or, if there is no litigation, to the creation of the records. In both cases, the period is sufficient to cover the period during which litigation must commence. Current phrasing derives from advice provided us by the State Police. Consider term "final disposition of case" or "case closed" to be consistent with other items in section. CPD claims that traffic and parking violation records must be kept for 3 years per statute of limitations. MU-1 Schedule item 544 states 2 years after any litigation has been completed. Please confirm which retention period is appropriate. CPD reports that it has tow audit, tow receipts, tow releases as part of this series – maybe we need to update the series description? I don't think we need to update the description since it already specifies "boot and tow" records.

serRevisionRecdFrom:
From Warren's file: Richard Malina, CUNY; From Cheektowaga Police Department


serName:
Traffic enforcement camera and speed-timing records

serRevisionSummary:
Reduce retention period for item 1241b from 20 years to 1 year for license plate reader data.


serDescription:
including vehicle accident report and related records, after case closed:

serNotes1:
This item does not cover the case investigation record. See item no. 1222, above.

serRetention:
6 years, or 3 years after youngest individual involved attains age 18, whichever is longer

serJustification:
Retention increased to be consistent with patient medical and emergency treatment records, to which these records are related

serRevisionSummary:
Revise items which use phrase "after litigation is completed" to include text that is less confusing and more accurate. In general, the intent of this phrase is to broadly cover case resolution. Thus, the use of the phrase in item 481 (MI-1) which covers traffic and parking violations is to indicate the 2 year retention applies to conclusion of the case, regardless of whether that happens through the individual paying the fine, or challenging the ticket through court litigation. In the case of items 482 and 490, the period applies based on the completion of any litigation or, if there is no litigation, to the creation of the records. In both cases, the period is sufficient to cover the period during which litigation must commence. Current phrasing derives from advice provided us by the State Police. Consider term "final disposition of case" or "case closed" to be consistent with other items in section.


serDescription:
including information on specific vehicles or vehicle models, including those which have been involved in accidents or used in the commission of crimes:

serJustification:
Meets administrative needs (no apparent legal needs)


serName:
Individual's driving and accident records

serJustification:
(a) Satisfies administrative need (principal records maintained with state DMV); (b) Records have value for the life of the individual


serDescription:
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:

serRetention:
6 years after disposition of vehicle by local government

serJustification:
Meets fiscal and administrative needs (exceeds 3-yr requirement of Motor Vehicle Regulations that local agency retain transfer of ownership documentation for 3 years)


serName:
Reports or other records of repossessed vehicles, not impounded by law enforcement agency:


serJustification:
(a) Meets administrative needs; (b) no justification given


serName:
Driver-vehicle examination report or equivalent record,

serDescription:
created when local law enforcement agency conducts motor carrier safety inspection:

serJustification:
Meets federal retention requirements as specified by the Federal Highway Administration (Brian Temperine) – no specific citation


serName:
Motor vehicle accident and other summary data,

serNotes1:
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.

serJustification:
Meets legal and fiscal needs. Similar to item 689 in Transportation section


serDescription:
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:

serJustification:
Permanent retention required by Section 500-f, Correction Law.


serNotes1:
If this record takes the place of the master summary record (item no. 1250, above) then it must be retained permanently.

serRetention:
Maintain data for each prisoner 15 years after death or discharge of that prisoner

serJustification:
Retention consistent with that of prisoner case record as well as case records for state correctional facilities


serName:
Facility housing supervision records, including prisoners' activities log,

serDescription:
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:


serDescription:
listing names of prisoners by work assignments:

serRetention:
3 years after all prisoners listed have been discharged


serName:
Complaint or incident report involving alleged prisoner abuse, injury, or similar occurrence

serDescription:
showing description of the problem, identifying the individuals involved and stating the action taken, after any litigation has been completed:

serRetention:
6 years, or 0 after individual involved attains age 21, whichever is longer


serName:
Inspection, audit and other reports or studies,

serDescription:
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:

serNotes1:
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.


serName:
Reports relating to local correctional facility or lock-up

serJustification:
(a) No justification given; (b) Allows for disposition when obsolete or reports with only limited administrative value


serName:
Population counts, including daily census of prisoners:


serDescription:
including schedule of visits and visitor identification information:


serJustification:
Retention stated in 9 NYCRR, Section 7009.7(b-1). It looks like this section has since been repealed.


serName:
Health and sanitation inspection and related records,

serDescription:
including records of action taken to correct any problems:

serJustification:
Meets minimum statutory legal needs and corresponds with retention of similar records of county health departments


serName:
Review and censorship records for incoming printed materials and publications,

serDescription:
including evaluations by staff and suitability determinations:


serDescription:
including schedule of exercise periods, results of exercise area searches and explanation of any limitations of exercise:


serName:
Application of change in maximum facility capacity,

serDescription:
including determination from New York State Commission of Correction, facility staffing determinations, and related records:

serRetention:
3 years after superseded by subsequent change in capacity


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

serNotes1:
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.


serName:
Warrant execution and subpoena or summons service records


serDescription:
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:

serJustification:
Retention specified in Criminal Procedures Law, Section 140.10(5)


serRevisionSummary:
Add subpart to "results of alcohol and drug tests" item (535, MU-1) to cover calibration and testing records for equipment. Can be modeled on "speed-timing records" item, part c. (548, MU-1). Consider adding item to cover data master operator's form, relates to DWI testing equipment, plus breathalyzer testing data (weekly data master test), solution sample certifications (sent by State about every 6 months), and subject samples operational checklist. Will need to consult with DCJS and their RDAs. While DCJS schedule 18291 has 6 years after equipment is replaced, there is no reasonable justification for this, and I suspect it is 6 years (at least in part) because the series also includes grant materials so there is an OSC audit requirement involved.  I believe that 3 years would be more appropriate because it is consistent with radar calibration records covered under 587a of the CO-2 schedule, and is sufficient to cover any statute of limitations for personal injury under CPLR 214.  Also, the State Police maintain their breathalyzer operational checklists for 3 years (RDA 11691).  There do not appear to be any laws or regs that dictate retention requirements for these types of records. 

I avoided using the term DataMaster in the series description, as this is the name of a brand of breathalyzer and may not be used by everyone (or police departments may decide to go with a different brand in the future).

serRevisionRecdFrom:
From Warren's files: Peter Carpenter, Village of Ossining Police Department; From Jose Diaz, Orange Co Sheriff's Office; consult with DCJS RDAs and staff on retention period


serDescription:
including activities such as funeral, parade, military escort, escorting prisoner to and from court or jail, and delivery of blood to hospital:


serDescription:
including vacant houses and other places to be checked during patrols:


serName:
Alcoholic beverage establishment sale and use reports,

serDescription:
including checks of New York State Division of Alcoholic Beverage Control (ABC) violations:


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

serNotes1:
The Division of Criminal Justice Services (DCJS) strongly recommends the destruction of superseded information as soon as superseding information is received.


serDescription:
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

serJustification:
(a) (b) (d) Retention requested by DCJS; (c) no justification given


serDescription:
where another has jurisdiction in the case:

serNotes1:
Records of lead agency are covered by the case investigation records item

serJustification:
(a) increased to 10 years to be consistent with retention of case investigation records for missing persons; (b) no justification given

serRevisionSummary:
Update missing person records item. This item  includes a retention period of 10 years. According to the scheduling files, this 10 years is based on and consistent with the case investigation files retention period. The case files retention periods have subsequently been updated and the 10-year retention period is no longer consistent. Item needs to be updated accordingly. It is also unclear how this item relates to vehicle history files (item 585, CO-2). The age 90 retention period for missing persons item seems unduly long in cases where the missing person is found. Consider modifying item to include a shorter retention period for found "missing" persons. After consulting with Warren, he believes that the records in item 533, Missing person records, are separate from case investigations because they are found in separate jurisdictions.  If a county sheriff had the principal file they likely share some records with municipal police departments in the area. Thus, if a police department is the principal/lead investigating unit on a missing persons investigation, one should utilize item 523, Case investigation record. If another department or the 

sheriff’s office is the lead agency, one would utilize item 533.

serRevisionRecdFrom:
From Rebecca Tufano, Records Manager, Monroe County Sheriff Records & Dawn M. Mills, Administrative Aide, Ogdensburg Police Department


serName:
Video or audio recordings of booking or arrest processing

serJustification:
Requested by DCJS Counsel’s Office to satisfy legal needs. Person would have up to 3 years to commence action for alleged violations covered under CPLR, Section 214. See also CPLR, 208 for minors.


serDescription:
filed with local law enforcement agency having jurisdiction, pursuant to Article 530, Criminal Procedure Law, and related records

serJustification:
Satisfies administrative and short-term legal needs. Retention suggested by DCJS Counsel’s Office.


serName:
Recordings taken from mobile and stationary units,

serDescription:
including but not limited to vehicle cameras, body-worn cameras, and video surveillance

serJustification:
Meets legal needs (in some cases tied to investigation record)

serRevisionSummary:
Add reference to body-worn cameras and video surveillance (cctv) and remove references to "tapes" and replace with "recordings." This revision will make item (Video tape or other recording taken from mobile unit) more media neutral. Perhaps even expand series title to include stationary units. Consider reducing retention period.

serRevisionRecdFrom:
In 2014, State Police advised that we keep the six-month retention, and that keeping the records this long was necessary in case of possible litigation (i.e. 30 days is far too short because it may take several months before legal action is taken on an incident).  He said that he realizes it may be a burden on local police, but that it is necessary. In 2016, DCJS was interested in reducing this retention period. We'll need to have a meeting with interested agencies to decide whether retention period reduction is plausible.


serDescription:
and related records, reporting law enforcement agency copy, when not included in case investigation record

serNotes1:
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. 1222.


serDescription:
including but not limited to record of service, collections and disbursements, correspondence, copy of court order and related records

serJustification:
(a) Meets audit needs (original 20 year retention applies to court official records only); (b) & (c) Meets administrative needs and permanently documents all destroyed cases. Approved by DCJS and State Police


serDescription:
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

serJustification:
Suggested by Commission of Corrections Counsel’s Office to cover legal and administrative needs (*different from item on other schedules because it covers county facility which supplies inmates)


serJustification:
To preserve firearms information for criminal investigations and because strongly urged by State Police Deputy Superintendent


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

serJustification:
Meets legal and administrative requirements (retention approved by State Police)

serSubsection:
Law Enforcement: NYS Integrated Justice Portal and Related Records

serRevisionSummary:
Consider revising item 826 (MU-1) to also cover "homeland security advisories" received by public safety agencies. Do these need to be included, or would schedule interpretation be sufficient? Do the advisories simply note the current state or alert, or is there more specific information? Do the advisories come from NYS or federal government? Removed references to NYSPIN and replaced with Integrated Justice Portal.


serName:
Integrated Justice Portal validation records,

serDescription:
including monthly print-out received from New York State Police and related system entry validation records:

serRevisionSummary:
Removed references to NYSPIN and replaced with Integrated Justice Portal.


serName:
Integrated Justice Portal system purging records,

serDescription:
including "purge reports" received from New York State Police and records relating to data reentry:

serRetention:
0 after any necessary data reentry completed


serName:
Integrated Justice Portal message records,

serDescription:
covering any messages sent or received over Integrated Justice Portal:

serNotes1:
The State Archives and the State Police strongly recommend that local law enforcement agencies consider retaining significant messages as part of case investigation records.


serDescription:
retained in electronic format (on removable electronic media) from Integrated Justice Portal:

serNotes1:
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.


serDescription:
covering all data entry into Integrated Justice Portal:

serNotes1:
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.


serName:
Miscellaneous paper records created from predecessor systems:


serName:
Participation, attendance, or enrollment records

serDescription:
for park, recreational facility, camp, civic center, or club

serJustification:
(a) Administrative and fiscal audit needs; (b) Agreed to by Audit and Control because summary records can be audited. Also administrative need.; (c) audit requirements

serSubsection:
Parks, Recreational Programs and Civic Centers


serName:
Park, recreational facility, marina, civic center, or club permits,

serDescription:
granted to individual, family, or organization, including but not limited to application, affidavit, and copy of stub or license

serRevisionSummary:
Expand description of item 570 (MU-1) to include permits granted to organizations.


serDescription:
allowing child's participation in recreational activities, including authorization for medical treatment:

serRetention:
6 years, or 3 years after child attains age 18, whichever is longer

serFinalJustication:
Satisfies statute of limitations for minors, for litigation of personal injury, and for felony or misdeamonr prosecution

serLegalCitation:
CPLR §214, §208 (retention); CPL §30.10 (retention)


serDescription:
covering such topics as facility construction, improvement and usage:

serNotes1:
Construction records for recreation facilities are covered by item no. 806 in the Public Property and Equipment section.

serNotes2:
Appraise these records for historical significance prior to disposition. Final reports and studies, especially for major facilities and significant programs, may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serFinalJustication:
Satisfies short term administrative needs. May possess long term research value in documenting historic value of important projects or historic structures.


serDescription:
including but not limited to official copy of any program or promotional literature, or photographs of events or performances, background materials and supporting documentation:

serNotes1:
Appraise these records for historical significance prior to disposition. Official copies of programs or promotional literature, or photographs of significant events or performances, may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serFinalJustication:
Satisfies short term administrative needs.May possess long-term historical or other research value


serDescription:
including but not limited to trip request data; bus driver, staff and chaperone assignments; list of attendees and trip reports:

serFinalJustication:
Satisfies the statute of limitations for litigation of personal injury and short term administrative needs.


serDescription:
covering school bus or other vehicle used for transporting persons involved in recreational activities, including but not limited to copies of contracts, certificates of insurance, driver information, daily logs or other reports, and copies of applicable rules and regulations:

serFinalJustication:
Satisfies the statute of limitations for litigation involving a contract and short term administrative needs.


serName:
Applications for individual acceptance to camp,

serDescription:
or participation in specific recreational programs and activities

serJustification:
(a) & (c) No justification given; (b) Satisfies legal needs


serDescription:
of participants in People With Developmental Disabilities recreation program:

serSubsection:
People With Developmental Disabilities Recreational Programs


serName:
Case record of participant in People With Developmental Disabilities recreational program,

serDescription:
including individual registration, medical evaluation, social development evaluation, intake/screening report and discharge evaluation:

serRetention:
6 years after participation ends, or 3 years after individual attains age 18, whichever is longer

serFinalJustication:
Satisfies the statute of limitations for minors, for litigation of personal injury, and for felony or misdemeanor prosecution.


serDescription:
containing basic data on camp facilities:

serJustification:
Retention period discussed with and approved by Cornell University. Provides summary history information on camp, including info. on buildings and facilities


serDescription:
to operate camp, covering pool, beach, food service and all related permits, including applications and related materials:

serRetention:
3 years after approval, denial, withdrawal or expiration

serJustification:
Retention period discussed with and approved by Cornell University. Meets legal needs

serFinalJustication:
Satisfies the statute of limitations for litigation of a personal injury.


serName:
Reports of camp operation and inspection,

serDescription:
including facility safety, health and food service reports:

serJustification:
Retention period discussed with and approved by Cornell University. Satisfies legal needs of minors to begin legal action.

serFinalJustication:
Satisfies the statute of limitations for litigation involving a minor and personal injury.


serDescription:
including analysis of pool or beach water samples:

serJustification:
Retention period discussed with and approved by Cornell University. No legal value

serComments:
Non-routine reports are covered by items in the Environmental Health section.


serRetention:
6 years, but not less 3 years after than camper attains age 18

serJustification:
Retention period discussed with and approved by Cornell University. Meets legal needs of minors to begin legal action

serFinalJustication:
Satisfies records retention period for medical records of a minor in 10 NYCRR 405.


serName:
Log or list of illnesses, accidents, injuries

serDescription:
or other health and safety related incidents

serJustification:
(a) Retention period discussed with and approved by Cornell University; (b) Retention period discussed with and approved by Cornell University. Also satisfies legal needs of minors to begin legal action


serJustification:
Retention period discussed with and approved by Cornell University.


serJustification:
(a) Corresponds to retention of related item CO-2 item 270(c) in Environmental Health section and ED-1 item 136. Also requested in the past by DOH; (b) Retention period discussed with and approved by Cornell University. Meets legal needs


serDescription:
including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, list of scholarships awarded campers, and correspondence:

serFinalJustication:
Satisfies short term administrative needs. Satisfies OSC's audit requirements.


serJustification:
(a) Historical value (see appraisal report 84-07); (b) To preserve individual’s family and medical history, as well as record of adoption; (c) Satisfies fiscal, administrative, and legal needs. Age 28 chosen based on section 422.6 of Social Services Law; (d) 18 NYCRR, Part 428.15 (appears to have been subsequently repealed); (e) No justification given; (f) Satisfies statute of limitations for litigation involving a minor; (g) Satisfies legal, administrative, and fiscal audit needs; (h) Added 10 year requirement for heating equipment to satisfy ODTA requirements (HEAP program only allow 1 such replacement in a 10-year period). 3-year period in 1st part based on DSS to conform to retention requirements for HEAP funds found in federal regs. (45CFR, Section 74.21(a)); (i) Retention suggested by DSS to meet federal audit requirements (45 CFR 74.21) and the statute of limitations on contract actions (CPLR 213)

serRevisionSummary:
Modify title of CO-2 617 to specify that these social services case records apply to counties only. Split HEAP case files into two: one covers regular benefit, emergency benefit, and clean and tune benefit with an increased retention period of 6 program years, including the current program year and the other covers Heating Equipment Repair and Replacement (HERR) and Cooling Assistance Component benefits with an increased retention period of 10 years. Increased retention period for adoption subsidy to 10 years after child attains age 21 to cover any potential false claims that may be brought with regard to the subsidy.


serName:
Denied or withdrawn application for assistance or services

serDescription:
or to adopt child or to offer foster care, excluding foster homes, including related records:

serRetention:
6 years after the denial or withdrawal of the application

serJustification:
Revised retention advised by DSS Counsel’s office. Disposition before 6 years “could lead to confusion, a lack of adequate documentation in the event of a court action…and implies that these cases are not as important as those opened and closed later.”

serRevisionSummary:
Updated item by excluding foster homes, which will be covered under a new schedule item, and added a retention event (denial or withdrawal of the application). Consulted with OCFS legal counsel.

serRevisionRecdFrom:
Deborah Staley, OCFS legal counsel; Kim Cervo, Nassau County Records Manager


serDescription:
index or other record showing applications or requests for assistance or services or showing participation in program:

serJustification:
Administrative reference and legal needs


serName:
Social services case transaction history or case activity control log

serDescription:
listing actions taken on case and dates, including public assistance, adult services, children's services, adoption case, and day care registration:

serJustification:
Needed to preserve a master summary record of all service or assistance for cases


serRetention:
6 years after termination of foster home certification or license


serJustification:
(a) Meets fiscal and legal needs (Section 104.1 of Social Services Law); (b) Meets fiscal and legal needs (Section 104.2 of Social Services Law).


serJustification:
Meets fiscal and legal needs (Section 104.1 of Social Services Law).


serDescription:
including deed, mortgage, lien or estate records, and appraisal of fair market value:

serRetention:
6 years after assets liquidated or recoupment is completed


serName:
Utilization review and long-term care placement records,

serDescription:
where county social services conducts review and placement functions:


serDescription:
retained in accounting office, pursuant to 18NYCRR and Office of Temporary and Disability Assistance (OTDA) policy:

serJustification:
Consulted Temporary and Disability Assistance. Meets fiscal needs


serFinalJustication:
Satisfies 10 year statute of limitations under 31 USC §3731

serRevisionSummary:
Update retention periods for medicare and medicaid claims items to 10 years based on the federal False Claims Act. See update to Public Health section item.


serDescription:
including Medicare or Medicaid cost report, certified uniform financial or statistical report, and all necessary supporting documentation:

serJustification:
Requested by NYS Deputy Attorney General for Medicaid Fraud Control. (3-year cost reporting period prior to reimbursement plus 6 year statute of limitations after reimbursement)

serRevisionSummary:
Lengthened retention period to 10 years as Medicare and Medicaid records are subject to the False Claims Act which has a 10 year retention period.


serName:
Support collection enforcement case records:

serRetention:
6 years after youngest child affected by order attains age 21

serJustification:
DSS said revision needed to meet legal and administrative needs. Child support orders are generally enforceable until 6 years after affected child attains age 21


serDescription:
(index or register) of support collection cases:


serName:
Support collection case review and adjustment records:

serJustification:
Based on DSS advice on legal and administrative needs. Child support orders are generally enforceable until 6 years after affected child attains age 21


serName:
Social services case management system reports,

serDescription:
produced from manual or automated case management or other systems used to monitor and report on service and non-service cases, other than reports which are specific to individual cases or are covered by other items in this section

serJustification:
Retention cited in relevant Office of TDA manuals


serDescription:
relating to alms house or county home, including but not limited to interment, exhumation or removal records; inscriptions from headstones; burial permits; and maps or surveys of grave locations:


serName:
Register or equivalent summary record listing residents of county poor house


serName:
Adult home/adult care/adult shelter/family shelter facility records

serJustification:
(a) Required by 18 NYCRR, Section 487.10(h); (b) Required by 18 NYCRR, Section 487.10(h). Broadened to include 7 years after superseded/obsolete because some records may be valuable longer

serRevisionSummary:
Added "adult shelter/family shelter" to series name.


serName:
Domestic violence liaison screening and case records

serJustification:
(a) Matches standard 6-year retention for other types of social services case files and domestic violence-related records; (b) Meets administrative needs to use for statistical purposes and later verification of responses


serName:
Domestic violence residential program records,

serDescription:
including case records, daily rosters, incident reports, disaster and emergency plans, and related records:

serRetention:
6 years after termination of operation of the program

serJustification:
(a) 18 NYCRR 452.9(c)(7) – though not interpreted to mean 6 years after end of program. Consistent with other social services case records; (b) - (d)

serRevisionSummary:
Update retention event for domestic violence residential program records.

Records listed here are governed by 18 NYCRR Section 452.9 (b) and are to be retained for 6 years "following termination of operation of the program." '' Eliminate subitems and add types of records to series description, since all retention periods are now the same.

serRevisionRecdFrom:
DebStaley, OCFS counsel; Arthur Siegel and Jennifer O'Neill review of proposed revisions


serName:
Domestic violence safe home network records,

serDescription:
including names and addresses of safe homes; lists of family/household members residing in safe homes; records of interviews with members of safe homes; information on orientation and training of safe home providers; description of safe home environments; lists of safe home rules; copies of agreements between safe home providers and the network concerning their respective responsibilities; copies of annual evaluations of safe homes; records of complaints and follow-up; records of fires, accidents and serious incidents in safe homes; and related records:

serJustification:
Consistent with other social services and domestic violence case records

serRevisionSummary:
Update retention event for rhese records per 18 NYCRR Section 454.11 with reference back to Section 452.9 (b) to be retained for 6 years following termination of the operation of the program.


serName:
Domestic violence safe dwelling records,

serDescription:
including descriptions of physical plant; security plans; diagrams of rooms; locations of smoke detectors, fire extinguishers and telephones; lists of safe dwelling rules; records of fires and accidents; copies of annual reevaluations of safe dwellings; and related records:

serRevisionSummary:
Updated retention event per 18 NYCRR Section 454.10 with reference back to Section 452.9 (b) to be retained for 6 years following termination of the operation of the program


serName:
Domestic violence nonresidential services records


serJustification:
(a) No justification given; (b) Needed to permanently document these cases and/or contacts


serName:
Child fatality investigative reports and records

serJustification:
(a) Reports provide important information on child fatalities and possible changes in State/local policies or practices that would prevent similar future occurrences (Appraisal Report 05-06); (b) Not needed as official copy is maintained by county social


serDescription:
between soil and water conservation district and state, federal or other agency, indicating services to be performed and work to be carried out:

serJustification:
Outlines basic responsibilities of district as set down by USDA. Keep permanently also because it is ongoing approval, so never obsolete

serFinalJustication:
Satisfies long-term administrative and legal needs. Possesses long-term research value in documenting agreements between district, state and federal agencies for soil and water conservation efforts.


serDescription:
granted soil and water conservation district by landowner for drainage or irrigation purposes:

serJustification:
Easements may permanently impact property title. Also documents issues of environmental health.

serFinalJustication:
Satisfies long-term administrative and legal needs.


serNotes1:
Municipal cooperators' case files involving discretionary planning review are covered by item no. 124 in the Building and Property Regulation section.

serFinalJustication:
Satisfies long-term administrative needs and possesses long-term research value.


serName:
Request for assistance or information, and response

serDescription:
provided by soil and water conservation district, when no agreement is entered into by the two parties:

serJustification:
Limited administrative use only – sufficient for statistical verification


serJustification:
Meets legal, fiscal, and administrative needs


serDescription:
made by soil and water conservation district:

serJustification:
Documents in summary form all activity of district


serDescription:
(log or contact sheet) recording all contacts made by soil and water conservation district:

serJustification:
Administrative use only. Significant information posted to summary record


serDescription:
containing summary information on technical assistance and consultation provided in municipality or geographic area, and basic data on major soil and water conservation projects:

serJustification:
Valuable for future research. Compilation of information from various sources into one series

serFinalJustication:
Possesses long-term research value in documenting major soil and water conservation projects.


serDescription:
containing detailed breakdown of soil types and land uses for parcel of agricultural property, used in calculating agricultural assessment:

serRetention:
1 year after superseded by updated worksheet


serDescription:
showing detailed breakdown of soil types and groups, including aerial photographs used in producing maps:

serFinalJustication:
Possesses long-term research value in documenting soil types and groups data.


serName:
Copy of environmental impact statement (E.I.S.),

serDescription:
furnished soil and water conservation district for information and comments


serName:
Soil test results for farmland soil sample,

serDescription:
including nutrient analysis and recommendations:


serDescription:
including but not limited to farm management assessment, environmental assessment, plan evaluation, whole farm plan and supporting data:

serFinalJustication:
Possesses long-term research value in documenting watershed land management.


serName:
Real property history data file contained in taxation/assessment data system,

serDescription:
and related records, created for informational and reference purposes, containing summary and/or cumulative historical information on such areas as property ownership, sales, land use, property characteristics and structures:

serNotes1:
Counties and municipalities should consider permanent retention of these real property taxation/assessment history data files for all parcels of property. This information may be useful for long-range planning purposes, mass reappraisal, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed records maintained in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice.

serJustification:
Retention determined by Land Records Team. Possess administrative and possible archival value


serName:
Real property current data file contained in taxation/assessment data system (either RPS or equivalent system),

serDescription:
and related records, containing current information on such areas as property ownership, sales, land use, property characteristics and structures:

serNotes1:
Counties and municipalities should consider permanent retention of the basic data elements of these real property taxation/assessment systems for all parcels of property. These data elements may be outputted to electronic, paper, microfilm or other format, or may be transferred to an automated real property history data file (see item no. 1022). Contact the State Archives for additional advice.

serNotes2:
A series of interrelated and inseparable files currently contained in the RPS system hold both summary and detailed taxation/assessment data. This Schedule treats these files as one record.

serRetention:
0 after no longer needed, but not less than 4 years

serJustification:
Retention determined by Land Records Team. Possess administrative value (no reason for 4 years though)

serFinalJustication:
Satisfies four-year retention requirement in RPT §1573(1)(c)


serDescription:
used to supply this or other system with accurate, up-to-date information on real property tax parcel numbers, property owners' names and addresses, parcel sizes, E-911 or other street addresses, or to correlate multiple addressing and/or parcel numbering systems:

serRetention:
Maintain as updated data file as long as address and/or parcel numbering systems the file contains are in use, and as long as necessary to access records identified by previous address or numbering sy


serName:
Final assessment roll sequential master backup file

serDescription:
(sometimes known as "taxable status" file), produced annually by RPS or equivalent system, containing assessment data submitted to the New York State Office of Real Property Tax Services:

serNotes1:
This data may have secondary value beyond the purpose for which it is created, if it can serve as a "snapshot" of assessment data, and no other annual snapshot is created. This record may be valuable in place of or in conjunction with an automated real property history data file. Contact the State Archives for additional advice on the maintenance and uses of these records.

serRetention:
10 years after filing of related assessment roll

serFinalJustication:
Satisfies ten-year retention requirement in RPT §516.2

serLegalCitation:
RPT §516.2 (retention); RPT §516.1 (creation); 20 NYCRR §8190-3.1 (creation)

serRevisionSummary:
Update references to ORPS within Taxation and Assessment section to reflect the Office of Real Property Tax Services' current integration with the Dept. of Taxation and Finance, specifically description for CO-2 item 998.


serName:
Lists, reports, studies, special projects and analyses

serDescription:
created from data contained in one or more data files in real property taxation/assessment system or subsystem


serName:
Assessor's field data, including field book and automated field assessment data file,

serDescription:
containing assessor's notes and computations used in determining property valuation:

serJustification:
Requested by Board of Equalization and Assessment, as assessment not likely questioned after 4 years.

serFinalJustication:
Satisfies four-year retention requirement in RPT §1573(1)(c) and and 20 NYCRR 8186-1.15(b)(1)


serDescription:
or equivalent master summary record of improvements and alterations to unit of real property, and resulting valuation and assessment:

serJustification:
Summary information on all property, and valuable for research

serFinalJustication:
Possesses long-term research value by providing detailed information on property and structures that might be of use to historians, as well as documenting changes in assessments over the years.


serName:
Physical inventory and property description detailed data file,

serDescription:
used to produce property assessment record card or equivalent record, containing detailed property description (and sometimes related valuation) information, as well as photographic images and outline sketches of properties and structures located on them:

serNotes1:
Counties and municipalities should consider permanent retention of these detailed property description data files for all parcels of property. This information may be very useful for community, urban planning and architectural history research. If this is not feasible, then the State Archives strongly recommends that the most important data elements be preserved either in the system or output to "history" files, reports or other system output. Images contained in the system may be particularly valuable for architectural, community and historical research. Contact the State Archives for additional advice on the creation and maintenance of these records.

serFinalJustication:
Satisfies [six??]-year retention requirement in RPT §1573(1)(c).

serLegalCitation:
RPT §1406.6 (creation); RPT §467-a(3)(d)(i) (creation); RPT §500.1 (creation); RPT §1573(1)(c) (retention)


serName:
Records used in determining property valuation,

serDescription:
including but not limited to property valuation detailed data file, used to conduct analyses and perform computations necessary for valuation or revaluation of property; detailed property description; file content sheet; inventory content sheet; comparative property valuations; comparative sales records and comparables and/or sales data file; standard valuation criteria data and copies of building and zoning records:

serNotes1:
If the file content sheet is merely used for posting information on assessment changes, it is covered by item no. 62 in the General Administration section.

serJustification:
4 years is sufficient for administrative reasons and to have on hand in case assessment is challenged. Requested by Equalization and Assessment.

serFinalJustication:
Satisfies four year retention requirement in RPT §1573(1)(c) and and 20 NYCRR 8186-1.15(b)(1)


serJustification:
(a) Retention determined by Land Records Team. Provides summary information on all property and assessments (thus permanent retention); (b) Retention determined by Land Records Team. Consistent with other records used in property valuation


serName:
Questionnaires and data mailings sent to property owners,

serDescription:
used to update information and to verify assessment and property description information maintained by local government:

serRetention:
1 year after any necessary changes are posted to official records

serJustification:
Retention period determined by Land Records Team. Only short-term administrative value


serName:
Railroad ceiling and special franchise assessment determination records

serJustification:
(a) Records for the basis on which railroads or special franchises are taxed. Requested by Board of E and A; (b) Covers the period the railroad can appeal the assessment

serComments:
*Unable to find info. on appealing in law


serJustification:
(a) Requested by Board of E/A. Lists rate(s) upon which taxes are proportioned to municipalities; (b) Board of E/A felt 3 years meets administrative and legal needs


serJustification:
(a) Official tax maps, so should be kept permanently (and valuable for research); (b) Yearly recertification, so older maps not useful. Meets administrative needs; (c) legal value

serRevisionSummary:
Add back in the one of two tax map subitems previously in the MU-1 Schedule (587b.) that were inadvertently excluded from the LGS-1. 587c was added in 2020 as a new item 1037.


serName:
Tax assessment and approval records for state-owned lands subject to taxation,

serDescription:
including certificate of approval from New York State Office of Real Property Tax Services, notice of determination, lists of taxable state land, working papers, correspondence, and reports:

serNotes1:
Appraise these records for historical significance. Certain records describing state-owned property, determining the amount of tax payable and concerning specific uses of state lands which are a matter of public concern may merit permanent retention. Contact the State Archives for additional advice in this area.

serJustification:
Record exists at ORPS, so retention shorter than “permanent” warranted

serLegalCitation:
RPT §542 (creation); 20 NYCRR §8199-4.1 to 4.3 (creation)

serRevisionSummary:
Review item for tax determination for State-owned lands to determine if item correctly covers current process under which NYS Office of Real Property Services confirms town assessments rather than determining tax payments.


serDescription:
covering veterans, aged, School Tax Relief Program (STAR), nonprofit organizations, new business, conservation easements, forest land, and other exemptions or abatements

serJustification:
(a) & (d) NO INFORMATION GIVEN; (b) & (c) Retained for fiscal, legal, and administrative reasons

serRevisionSummary:
Add forest land tax exemption to description for MU-1 item 589, see DEC's website: http://www.dec.ny.gov/lands/5236.html


serDescription:
including but not limited to application for re-evaluation, copy of advisory appraisal, petition, statement of complaint, copy of hearing results and correspondence:

serNotes1:
Minutes of the Assessment Board of Review must be retained permanently. See item no. 47 in the General Administration section.

serJustification:
Legal, administrative, and fiscal reasons. Basic info. kept in assessment board minutes

serFinalJustication:
Satisfies six-year statute of limitations for litigation based on a mistake (CPLR §213)

serLegalCitation:
RPT §524 and 525 (creation); RPT §1536 (creation); 20 CRR-NY 8186-5.3(creation); 20 NYCRR §8195-1.1 (creation); 20 NYCRR § 8197-4.2(b) (creation); CPLR §213 (retention)


serName:
Copies of tax grievance or judicial assessment review records

serDescription:
received by school districts, non-assessing villages and counties, including but not limited to copies of petition and notice filed pursuant to sections 708(3) and 730(8), Real Property Tax Law:

serNotes1:
The receiving agency may wish to retain these records longer if the grievance or judicial assessment review may involve a substantial potential future tax refund.

serJustification:
Retention suggested by Equalization and Assessment Counsel’s Office to satisfy legal requirements and possible administrative needs


serDescription:
including but not limited to application for agricultural value assessment and correspondence

serJustification:
(a) Requested by Board of E/A. Applications renewed annually and no long-term value; (b) Recommended by Board of E/A. Landowner must clearly demonstrate long-term commitment to agricultural use


serDescription:
created and filed pursuant to Part 8193-4, 20NYCRR:

serJustification:
NO INFORMATION GIVEN **[Does 20 NYCRR 8193-4.4(b)(2) apply for retention? It would be maximum 8 years.]**

serRevisionSummary:
Update "assessor's annual report" item to reflect revised legal citation. Should now be Part 8193-4, 20NYCRR. Check regulation to confirm this.


serName:
Working papers or other intermediary records

serDescription:
used in preparation of, or in posting changes to, assessment roll or tax roll, including but not limited to assessor's notes, Record of Taxable Status and automated data file:

serFinalJustication:
Satisfies three-year retention requirement in RPT §1590.2


serDescription:
(including records relating to correction of errors on assessment and/or tax rolls)

serJustification:
Section 506 of Real Property Tax Law; (b) Section 516 of Real Property Tax Law; (c) no justification given; (d) Required by 8NYCRR, Section 185.7(i); (e) Warrant copy kept permanently, and these copies rarely consulted beyond 1 year; (f) Summary informatiion; See 9/21/2018 email from Tobias A. Lake / Senior Attorney / New York State Department of Taxation and Finance / W A Harriman Campus, Building 9, Albany NY 12227
(518) 457-2070 | Tobias.Lake@tax.ny.gov


serJustification:
(a) Requested by Board of E/A to cover administrative, legal, and fiscal needs; (b) Retention period arrived at with assistance of Land Records Team and Alan Kowlowitz; (c) Retention period arrived at with assistance of Land Records Team and Alan Kowlowit


serName:
Statement or list of unpaid taxes or taxes due,

serDescription:
or other lists, reports or studies relating to tax collection:

serJustification:
Agreed to by Board of E/A. Covers administrative, fiscal, and legal needs

serLegalCitation:
RPT §922 (creation); RPT §1122.1 (creation); RPT §1154 (creation); PT §987 (creation)


