# Subseries

subSerDescription:
Summary data, statistics, reports and program activity records that do not identify individual persons:


subSerDescription:
Copy of site or plot plan, photographs, and recommendation or justification for acquisition or sale:

subSerFinalJustification:
Satisfies the statute of limitations for litigation by state or grantee of state for real property. Possesses long term research value in documenting state acquisition or sale of real property.


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

subSerNotes1:
This does not apply to a sale of real property tax liens conducted by the local government. See the Taxation and Assessment section.

subSerRetention:
6 years after property no longer owned by local government

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


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records for important projects or historic structures have historical value and should be retained permanently. Contact the State Archives for additional advice.

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

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract, fraud, personal injury or property damage. May possess long-term research value in documenting historic value of important projects or historic structures.


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

subSerRetention:
6 years after last entry in project file

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract or fraud. Also satisfies OSC's audit requirements.

subSerRevisionSummary:
Consider adding "performance guarantees" to description in part b of capital construction project file. This document type is noted in the item description, but it is unclear under which subitem it is covered.


subSerDescription:
All records, when project is proposed but not undertaken:

subSerNotes1:
For plans, maps, designs, sketches, designs, architectural drawings and photographs of buildings and facilities, see item no. 807, below.


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

subSerFinalJustification:
Possesses long term research value in documenting history of building form and function of signficant buildings or facilities.


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

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract, or personal injury or property damage.


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


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

subSerNotes1:
Some of these non-graphic documents may need to be retained for 6 years after the building or other facility no longer exists, if they document significant changes with long-term fiscal and other implications. Local governments should review these records for these possible uses prior to disposition.


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

subSerRetention:
Retain as long as the related specific automated design files are retained

subSerFinalJustification:
Satisfies long term administrative needs.


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

subSerRetention:
Maintain as perpetual data file or other record, deleting information only relating to records that have been disposed of


subSerRetention:
6 years after building or other facility no longer in use


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


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


subSerDescription:
Log, maintenance schedule or similar record of ongoing activity:


subSerDescription:
Descriptive information on specific equipment or component parts:

subSerRetention:
6 years after equipment or part no longer in use


subSerDescription:
Descriptive information on maintenance personnel, vendors or contractors:


subSerDescription:
Inventories of parts, materials and supplies needed for maintenance and repairs:


subSerDescription:
Site assessment and related records, required when an underground storage tank is abandoned:

subSerFinalJustification:
Satisfies long term legal and reference needs.


subSerDescription:
Records relating to leakage and spillage:

subSerFinalJustification:
Satisfies long term legal and fiscal needs.


subSerRetention:
3 years after waste accepted by transporter


subSerNotes1:
This item covers records of local governments which generate hazardous waste but do not operate programs to collect and dispose of hazardous waste. For governments that operate such programs, item no. 455 in the Environmental Health section, Environmental Facilities: Solid Waste Management Facilities subsection, covers records of the generation, collection and disposal of hazardous waste.


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

subSerFinalJustification:
Satisfies long term administrative needs. Satisfies statute of limitations for litigation involving personal injury, property damage, or initiation of prosecution of felony or misdemeanor.

subSerLegalCitation:
CPLR §214 (retention) CPL §30.10 (retention)


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


subSerDescription:
Records of remediation by replacement of lead or copper plumbing:


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

subSerRetention:
6 years after cooler eliminated or replaced


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

subSerFinalJustification:
Possesses long term research value documenting building history of ADA compliance.


subSerDescription:
Copies of work orders, progress notes and other supporting documentation:


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

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

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


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

subSerRetention:
3 years after date of final entry in record, but not less than 3 years after person involved attains age 18

subSerFinalJustification:
Satisfies statue of limitations for litigation involving personal injury and minors.

subSerLegalCitation:
CPLR §214 (retention) CVP §208 (retention)


subSerDescription:
Recording containing incidents warranting retention for administrative or other potential legal uses:

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

subSerFinalJustification:
Satisfies the statute of limitations involving personal injury, minors, and initiation of prosecution for misdemeanor.

subSerLegalCitation:
CPLR §214 (retention), CVP §208 (retention), CPL §30.10 (retention)


subSerDescription:
Recording not containing incidents warranting retention for administrative or potential legal uses:


subSerDescription:
Notice of or request for excavation, received by local government from excavator, pursuant to 16NYCRR, Section 753-5.2 (Dig Safely NY), including notice of postponement or cancellation and notice of discovery of unknown facility:

subSerFinalJustification:
Satisfies 4 year records retention requirement in 16 NYCRR 753-5.2

subSerLegalCitation:
16 NYCRR 753-5.2 (creation and retention)

subSerRevisionSummary:
Add reference to Dig Safely NY in parentheses after legal reference for underground facilities item part a (first verify that this is appropriate).


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


subSerDescription:
Permits and approvals necessary to establish or operate system, including supporting data and other related records:

subSerFinalJustification:
Possesses long term research valu ein documenting water supply system maintained by local government for its own use.


subSerDescription:
Original entry and intermediary charts, graphs and other data collected relating to water usage, water levels and water quality:

subSerFinalJustification:
Satisfies long term administrative and reference needs.


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

subSerFinalJustification:
Possesses long term research value in documenting long term water supply trends and developments.


subSerDescription:
Reports and related records not showing long-term trends and developments:

subSerFinalJustification:
Satisfies long-term adminsitrative and reference needs.


subSerDescription:
Reports and test results on unsatisfactory water supply samples:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving personal injury, property damage and initiation of prosecution of felony and misdemeanor

subSerLegalCitation:
CPLR §214 (retention), CPL §30.10 (retention)


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

subSerFinalJustification:
Possesses long term research value in documenting changes in water supply pressure, level, proportion of chemicals, operations and problems


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

subSerNotes1:
If no logs containing summary information are generated, local governments may wish to retain all or some records covered by part "g" of this item longer, for both long-term administrative use and for potential research purposes.

subSerFinalJustification:
Satisfies short term administrative and reference needs.


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

subSerNotes1:
Some of this data and these detailed reports may need to be retained for 6 years for energy consumption trending analysis or energy consumption audit purposes. The State Archives recommends that local governments consult the Office of the State Comptroller or their own auditor to determine which data may have long-term value.


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


subSerDescription:
Detailed records of routine maintenance, testing and service:

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving personal injury.


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

subSerNotes1:
Appraise these records for historical or other long-term significance prior to disposition. Records showing long-term trends in energy use may need to be retained permanently, or at least 6 years after the building or other facility is no longer in use. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving personal injury. May possess long term research value in documenting environmental conditions within publicly owned or operated buildings or other facilities.


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

subSerFinalJustification:
Satisfies long term administrative needs. Satisfies statute of limitations for litigation involving a contract. Possesses long term research value in documenting the history and environmental impace of mines owned or operated by local government.


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

subSerRetention:
3 years after mine closed and land reclaimed


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


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


subSerDescription:
Quarterly mine employment and coal production report, submitted to MSHA, as required by 30 CFR, Section 50.30:

subSerFinalJustification:
Satisfies the 5 year records retention requirement in 30 Code of Federal Regulations (CFR) §50.30


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

subSerNotes1:
The annual training plan for employees who work at a mine is covered by item no. 81 in the General Administration section. Accident and personal injury reports are covered by item no. 660 in the Personnel/Civil Service section, Personnel subsection. The rescue plan is covered by item no. 1212 in the Public Safety section, Fire Fighting and Prevention subsection. Training certification records for each employee working at a mine are covered by item no. 640 in the Personnel/Civil Service section, Personnel subsection.

subSerRetention:
0 after no persons listed on report still work at mine


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

subSerNotes1:
Appraise these records, which may contain valuable information on properties, structures and residents, for secondary uses as well as historical significance prior to disposition. Periodic "snapshots" of this data may be created and maintained as either electronic files saved to disk, tape or diskette, or as hard-copy output such as printed maps, or in both formats. Contact the State Archives for additional advice on the creation and maintenance of these records.

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


subSerDescription:
Street alias file, containing alternative road or street names:

subSerRetention:
Maintain as perpetual data file, and 3 years after replaced by superseding street alias file


subSerDescription:
Records of updates, corrections and confirmations to MSAG database, including assignments of new or revised street addresses:


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

subSerRetention:
3 years after information becomes invalid


subSerDescription:
Copy of database or printout received from telephone utility:


subSerDescription:
Updates, corrections, trouble reports and Automatic Location Information (ALI) discrepancy reports, submitted to and received from telephone utility:


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

subSerNotes1:
Local governments which do not maintain MSAG data files may wish to retain this record as a perpetual data file, and for 1 year after replaced by a superseding data file.


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

subSerNotes1:
Local governments should consult their attorney or counsel before these records are disposed of regarding any potential legal value.


subSerDescription:
Feasibility and implementation reports and studies:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Because of the costs involved and significance of implementing E-911 and related systems, these records may be important in documenting the system itself as well as the implementation process. Contact the State Archives for additional advice.


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


subSerDescription:
Records relating to establishment of road/street names, address ranges and addresses, including changes in names of roads/streets and address range changes, including standards followed for naming, addressing and address conversions:


subSerDescription:
Aerial photographs and final maps created in conjunction with system implementation:


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

subSerNotes1:
Incidents involving minors, casualties, serious injuries, homicides, fires which are incendiary in nature or under investigation, or unsolved law enforcement cases, may necessitate retention of data relating to these incidents longer for potential or ongoing legal needs. Records custodians may wish consult their attorney, counsel or law enforcement agency before these records are disposed of regarding any potential longer legal value. Contact the State Archives for additional advice.


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


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

subSerRetention:
Maintain as perpetual data files, and 1 year after superseded


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


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

subSerRetention:
Maintain until G.I.S. system used in dispatch is superseded or no longer used.


subSerDescription:
Incident data files submitted to New York Department of State:


subSerDescription:
Summary data reports and detailed reports containing information of potential legal or fiscal value:


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


subSerDescription:
Vehicle upkeep and use records, including records of incidents where vehicle responded and equipment was used:


subSerDescription:
Vehicle readiness checklist, or equivalent record, for any emergency vehicle, needed to ensure that necessary equipment and material is in place and in proper order:


subSerDescription:
Record of equipment (other than firearms) issued to public safety personnel:

subSerRetention:
1 year after equipment returned or otherwise disposed of


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

subSerNotes1:
Local officials may wish to keep these records longer, possibly for the career of the individual, if the records are consulted throughout that period.


subSerDescription:
Training materials, which address core law enforcement, firefighting, or dispatch activities:

subSerFinalJustification:
Satisfies long-term administrative and reference needs.

subSerRevisionSummary:
Revise item for training materials to clarify difference between subitems b & c. Add sub-item d to address DCJS materials. I chose to focus on documenting the core functions rather than strictly LG created materials. I would argue it is more important to understand how a police officer, firefighter, or dispatcher was trained to carry our their core duties, rather than whether the LG created the training materials. Also, I reduced the long-term retention period to mirror DCJS & FLETC retention periods.


subSerDescription:
Training materials, which address general public safety issues or non-core law enforcement activities:

subSerFinalJustification:
Satisfies short-term administrative and reference needs.


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

subSerRetention:
6 years after denial, expiration or renewal


subSerDescription:
Alarm or fire alarm box call record containing basic information on each alarm transmitted:


subSerDescription:
False alarm records, including but not limited to lists of false alarms, notices sent to property owners and records of assessing and collecting fines for responses to false alarms:


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


subSerDescription:
Detailed data on an individual, when posted to or listed on summary data file or other record:


subSerDescription:
Detailed data on an individual, when not posted to or listed on summary data file or other record:


subSerNotes1:
Local governments should consider permanent retention of the basic data elements of these property "history" files for all parcels of property, or the creation and permanent retention of "snapshots" of this data. This information may be useful for long-range planning purposes, and for community, urban planning, public safety issues, and other research. Contact the State Archives for additional advice.

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


subSerDescription:
Detailed data, including plans and computer-assisted design records:


subSerDescription:
Records of updates and corrections to property data:


subSerDescription:
Relating to specific case investigation or subject file:

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


subSerDescription:
Not relating to specific case investigation or subject file:

subSerNotes1:
Depending on the results obtained from generating these macros, queries and reports, local officials may wish to retain these records for potential legal and other uses.


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

subSerNotes1:
Local officials may wish to retain these records longer, possibly as long as 40 years, if the hazardous materials listed on this record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. Regulations).

subSerRetention:
3 years after hazardous materials no longer stored at site


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


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

subSerNotes1:
Local officials may wish to retain these records longer, possibly as long as 40 years, if the hazardous materials listed on this record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. Regulations). In addition, if these reports document the presence of hazardous materials in a community at a given time, they should be appraised for historical significance. These records may have immediate significance for fire fighting and disaster prevention and long-term research value in situations where the hazardous materials found in the area had a significant impact on the community. Contact the State Archives for additional advice.

subSerRetention:
3 years after hazardous materials listed in report are no longer present at listed sites


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

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


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


subSerDescription:
Summary record of all patients treated and/or transported:


subSerDescription:
Application for training or certification filed by individual:


subSerDescription:
Original entry training records, when posted to summary record:


subSerDescription:
Original entry training records, when not posted to summary record:


subSerDescription:
Course materials, except final or annual reports:


subSerDescription:
Information on individuals and course files:


subSerRetention:
5 years after working association of each instructor cease


subSerDescription:
Reports not containing billing information:


subSerDescription:
Summary data received from New York State Department of Health:


subSerDescription:
When blotter or equivalent record is not kept by department or district:


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


subSerDescription:
County fire coordinator's, marshal's or emergency services director's information copy:


subSerDescription:
Reports dealing with serious incidents or problems, or major issues with long-term implications, such as covering overall status of fire-fighting apparatus, equipment and facilities, fire-fighting readiness capability and personnel performance evaluation, and fire casualty reports:


subSerDescription:
Reports on routine activities, including but not limited to daily activity report, daily communications report, false alarm investigation report, and other periodic report, which contain information of legal or fiscal value:


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


subSerDescription:
Informational reports received from county fire coordinator:


subSerDescription:
First, second or third degree arson investigation records, disaster or casualty investigation records, or records of investigations of major fires or significant fires of suspicious origin:


subSerDescription:
Fourth degree arson investigation records:


subSerDescription:
Routine fire investigation records, not covered by parts "a" or "b," above, including fifth degree arson investigation records:


subSerDescription:
Master summary record of all fire investigations:


subSerDescription:
Final plan, including maps and other attachments:


subSerDescription:
Background materials and supporting documentation used in producing final plan:


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


subSerDescription:
Installation, repair, location, maintenance, inspection and replacement records:

subSerRetention:
3 years after hydrant replaced, removed or use discontinued


subSerDescription:
Benefit plan (including all revisions and amendments):

subSerRetention:
0 after superseded and no longer needed to determine benefits

subSerLegalCitation:
GMU Articles 11-A, 11-AA, 11-AAA, & 11-AAAA (creation)

subSerRevisionSummary:
Update LOSAP schedule items. Add amendments to benefit plans.

subSerRevisionRecdFrom:
From 10/1/18 meeting with Tony Hill, Penflex, Inc.


subSerDescription:
Drafts and supporting documentation used in producing and updating plan:


subSerDescription:
Monthly or other periodic reports or listings:


subSerDescription:
Records showing points earned and providing breakdown of types of services and how individual earned points:

subSerRetention:
6 years after individual leaves service or program terminated

subSerRevisionSummary:
Update LOSAP schedule items. Use "points" rather than "credits" in schedule items. // Update LOSAP schedule items. Update retention event for MU-1 item 520a to reflect fact that municipality may terminate its participation in state-administered defined contribution or defined benefit programs.


subSerDescription:
Copy of individual participant statements received from third party administrator:

subSerRevisionSummary:
Update retention event for MU-1 item 520b to reflect fact that municipality may terminate its participation in state-administered defined contribution or defined benefit programs. Clarified description by referring to the individual benefit statement that the TPA provides.

subSerRevisionRecdFrom:
From 10/1/18 meeting with Tony Hill, Penflex, Inc. & 12/10 email follow up


subSerDescription:
Copy of forms completed for participation including applications, enrollment forms, or similar documents and related records:

subSerRevisionSummary:
Update MU-1 item 520c to be limited to service awards. Removed reference to life insurance plan: supplemental life insurance is offered by the municipality and may be legacied out (this is unclear to me). Members are automatically enrolled in service program unless they opt out. Basic information on each volunteer must be provided. Some vendors use an enrollment form even though participation is mandatory.insurance is offered by the municipality and may be legacied out (this is unclear to me). Members are automatically enrolled in service program unless they opt out. Basic information on each volunteer must be provided -- do fire companies supply copy of original volunteer membership application?


subSerRetention:
0 after superseded or obsolete or contributions paid

subSerRevisionSummary:
Update LOSAP schedule items. Update retention event for MU-1 item 520d. When individual leaves service, their participation ends and their contribution is paid out.


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

subSerRetention:
3 years after appeal concluded or other disagreement otherwise resolved


subSerDescription:
Reports, studies or queries having legal or fiscal value, such as reports covering use of equipment and personnel resources, reports on crime in specific neighborhoods, reports based on the Clery Act, or on specific kinds of criminal activity:

subSerNotes1:
Appraise records covered by part "a" for archival value. Reports and studies analyzing law enforcement activity within a municipality for specific kind of criminal activity or a given area may be valuable for long-term planning, analysis of trends in law enforcement, and for historical and other research. Contact the State Archives for additional advice.

subSerRevisionSummary:
Consider adding reference to Clery Act records under existing law enforcement records item, part a. See also community college sections of CO-2 and MI-1 Schedules which contain other Clery Act-related records (item 1032, CO-2; item 891, MI-1)

subSerRevisionRecdFrom:
From Cala J. Finley, Records Inventory Clerk, Plattsburgh Police Dept


subSerDescription:
Reports, studies or queries having no legal or fiscal value, such as daily communications or other routine internal reports:


subSerDescription:
Uniform Crime Reports submitted to State Division of Criminal Justice Services:


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

subSerNotes1:
Appraise records covered by parts "e" and "f" for archival value. Reports and studies analyzing law enforcement activity within a municipality or specific area may be valuable for long-term planning, analysis of trends in law enforcement, and for historical and other research. Contact the State Archives for additional advice.


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


subSerDescription:
For homicides, suicides, arson (first, second or third degree), missing persons (until located), aggravated sexual assault (first degree), course of sexual conduct against a child (first degree), active warrants, and stolen or missing firearms (until recovered or destroyed):

subSerRevisionSummary:
Add aggravated sexual abuse in the first degree or course of sexual conduct against a child in the first degree to part a of the case investigation record item. According to Criminal Procedure Law § 30.10(2)a, sex offenses, such as aggravated sexual abuse in the first degree or course of sexual conduct against a child in the first degree, have no statute of limitations.

subSerRevisionRecdFrom:
From Melissa Harmon, Technical Sergeant, Ithaca Police Dept.


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

subSerNotes1:
Appraise case investigation files for these felonies for historical and other research value, as well as for analysis of long-term trends. Contact the State Archives for additional advice.


subSerDescription:
For fourth degree arson and non-fatal (including vehicular) accidents:

subSerRevisionSummary:
Need to add "vehicular" as a qualifier to accident in MU-1 523c.


subSerDescription:
When offense involved was a violation or traffic infraction:


subSerDescription:
When investigation reveals no offense has been committed by adult:


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


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

subSerRetention:
Retain for 4 years or as long as rest of case investigation report, whichever is longer.


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

subSerNotes1:
Records created before establishment of the D.C.J.S. statewide automated identification system in 1966 are not duplicated at the state level and should be appraised for both archival value and ongoing legal and administrative purposes. Contact the State Archives for additional information.

subSerRetention:
5 years after death of individual, or 90 years after individual's date of birth, whichever is shorter, provided no arrest in the last 5 years

subSerRevisionSummary:
Make items that reference life expectancy consistent. In CO-2, items 562 and 940 use a life expectancy of 80 years, while 1062 uses a life expectancy of 90 years. Need to standardize this period and express it as 80 (or 90) years after date of birth, rather than person attaining that age. Increased retention period to 90 years and changed retention event to date of birth.


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

subSerNotes1:
Digital "mug shot" file, containing digital photos and relevant accompanying data on an individual, when official copies of photos are not retained in hard copy, must be retained as specified in part "a" or "b," above.

subSerNotes2:
Appraise these digital files for archival, legal and administrative value. They may have long term value in criminal investigation. Contact the State Archives and the Division of Criminal Justice Services for additional advice.


subSerDescription:
Fingerprint records, born-digital or scanned, transmitted to the Division of Criminal Justice Services:

subSerFinalJustification:
Division of Criminal Justice Services maintains official and centralized digital fingerprint system.

subSerRevisionSummary:
Consider whether any revisions need to be made to text to clarify wording or intent. Local police departments submit digital copies of their fingerprint records to the Division of Criminal Justice Services. I just verified with the RMO at DCJS that they do not require that police departments maintain hard copy prints and I'm not aware of any requirements that would preclude them from destroying hard copies after scanning (per the Regulations of the Commissioner of Education). They may want to retain the hard copy until successful transmission of the digital copy to DCJS and will want to confirm with their legal counsel that this practice is acceptable. Likely, the short retention period is based on the fact that DCJS maintains a digital fingerprint system and local police departments can request look-ups in it. DCJS has currently scheduled their fingerprint system as permanent. The mention of "fingerprint cards" is confusing in part d. I'll make a note to consider updating the wording of this item in our future edition.

subSerRevisionRecdFrom:
From Tim Buckley, Delaware County Sheriffs Office


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

subSerRetention:
Retain as long as relevant case investigation record.


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

subSerRetention:
Retain most current copy as long as relevant case investigation, or 0 after superseded or obsolete if unrelated to case investigation


subSerDescription:
Authorized requests for criminal information contained in local government law enforcement agency records, along with response and record of action taken:


subSerRetention:
Retain data for 5 years after death of individual, or 90 years after individual's date of birth, whichever is shorter, provided no arrest in the last 5 years


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

subSerRetention:
Retain data as long as, or information as part of, relevant case investigation record.


subSerDescription:
Documentation of updates and changes to data:

subSerRetention:
Retain as long as data which has been changed or updated.


subSerDescription:
Trouble and discrepancy reports regarding personal information data:


subSerDescription:
Relating to specific case investigation:

subSerRetention:
Retain as long as relevant case investigation record


subSerDescription:
Not relating to specific case investigation:


subSerDescription:
Master index or listing of confidential informants:


subSerDescription:
Detailed information on confidential informant:

subSerRetention:
0 after individual is deceased or 90 years after individual's date of birth


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

subSerNotes1:
Local law enforcement officials may wish to retain these records longer for investigative or other long-term administrative purposes. See also item no. 1236, below.

subSerRetention:
6 years after disposition of property, or 0 after disposition of any related case investigation records, whichever is longer


subSerDescription:
For other property, including but not limited to receipt, confiscated currency report, identification tag, and report of public auction or destruction:


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

subSerNotes1:
Local governments should consult with their legal counsel to determine if these records merit continuing retention due to their legal value or for law enforcements purposes, such as in locating and identifying missing children.


subSerDescription:
Identification/validation records for missing or stolen property, license plates, licenses, registrations or ID cards (if not part of case investigation records):


subSerNotes1:
Freedom of Information exemption requests are covered by item no. 707 in Public Access to Records section.

subSerRetention:
6 years after license was renewed, recertified, canceled, revoked, or expired, or after individual is known to have deceased or reached age 90

subSerRevisionSummary:
Revise CO-2 item 592a to include recertification of pistol permits in disposition plan. The NYS SAFE Act now requires recertification of pistol permits. According to the NY State Police website: “If your permit was issued before January 15, 2013, the deadline to submit your recertification is January 31, 2018 and every five years thereafter. If your permit was issued on or after January 15, 2013, the deadline to recertify is five years after the date the permit was issued and every five years thereafter.” Licenses that are not recertified before the deadline are revoked. However, renewal and recertification are not the same thing. Four downstate counties (NYC, Westchester, Suffolk, and Nassau) are exempt from recertification because permits in those counties expire within five years and so must be renewed anyway. Thus, those counties will continue their standard permit renewal process. For the remaining counties, before the SAFE Act permits did not expire and were therefore not subject to renewal, so now permit holders in these counties must recertify every 5 years. This change was reviewed and approved by the State Police. Add note to cross reference to FOIL exemption records. // Make items that reference life expectancy consistent. In CO-2, items 562 and 940 use a life expectancy of 80 years, while 1062 uses a life expectancy of 90 years. Need to standardize this period and express it as 80 (or 90) years after date of birth, rather than person attaining that age. Changed retention event to date of birth.

subSerRevisionRecdFrom:
Jennifer O'Neill e-mail with Arthur Siegel // From Warren's file


subSerDescription:
When application is disapproved, after any litigation is completed:

subSerLegalCitation:
PEN §400.4-a (retention); CPLR Art. 78 (retention)


subSerDescription:
Original record produced by camera, radar or other speed-timing device, except license plate reader records:

subSerRevisionSummary:
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.


subSerDescription:
License plate reader hits on hot list data from the eJusticeNY Integrated Justice Portal:

subSerRetention:
Retain as long as the case investigation to which the hit relates is retained


subSerDescription:
Order, report, or notice concerning vehicle operator's license or registration, including but not limited to order of suspension or revocation of license, notice of compliance with order of suspension or revocation, notice of noncompliance, notice of restoration of license, and report of lost or stolen plates:


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

subSerRetention:
0 after death of individual, or 90 years after date of birth, if death not verified


subSerDescription:
Lists of companies available for towing vehicles:


subSerDescription:
Case records, including but not limited to commitment, general information history, presentence investigation reports, record sheets from other agencies, record of personal property taken from prisoner upon commitment, record of letters written and received, copies of general correspondence concerning prisoner, reports of infractions of rules, prisoner's health records, and suicide prevention screening records, but not including commissary records:

subSerRetention:
15 years after death or discharge of prisoner


subSerDescription:
Commissary records, including listing of items requested by prisoner, and prisoner transaction record:


subSerDescription:
Reports containing legal and fiscal information:

subSerNotes1:
Appraise these records for archival value. Reports and studies analyzing facility prisoners, occupancy or conditions may be useful for long-term planning, analysis of trends in law enforcement, and for historical and other research. Contact the State Archives for additional advice.


subSerDescription:
Reports of short-term internal administrative value:


subSerDescription:
Food service records, including meal counts, roster of prisoners' diet orders, and dietary services studies:


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

subSerRetention:
5 years after warrant executed or recalled


subSerDescription:
Other warrant related records, including copies without original signatures and warrant control records:


subSerDescription:
Copies of subpoenas and summonses, and records of their service:


subSerRetention:
Maintain data on each warrant as long as that warrant is valid


subSerDescription:
Lists of parolees or sex offenders living within a jurisdiction:


subSerDescription:
Detailed records on individual parolee or sex offender:

subSerNotes1:
This does not include records created pursuant to the Sex Offender Registration Act, which are covered by item nos. 1275 and 1276, immediately below.


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

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


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

subSerRetention:
0 after death of individual, or 5 years after offender leaves that jurisdiction, whichever is earlier


subSerDescription:
For level 3 offender, when offender remains in local law enforcement agency's jurisdiction:

subSerRetention:
0 after death of individual, or individual attains age 100


subSerDescription:
For level 3 offender, when offender has left local law enforcement agency's jurisdiction:


subSerDescription:
When litigation and/or criminal proceedings have commenced:

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


subSerDescription:
When litigation and/or criminal proceedings have not commenced:

subSerRetention:
3 years, but not until any individual has attained age 21


subSerRetention:
6 months after order expires or otherwise becomes invalid


subSerDescription:
List or similar record of orders of protection in effect in local jurisdiction:

subSerRetention:
Maintain data on each order as long as that order is valid


subSerDescription:
When recording relates to specific case investigation:

subSerRetention:
Retain as long as the case investigation to which the recording relates is retained


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

subSerNotes1:
Recordings of potentially important incidents may warrant longer retention for legal reasons, even if no case investigation has been initiated. Local law enforcement agencies should carefully review these recordings before destroying or reusing them. In addition, recordings of specific pursuits, arrests and other serious incidents should be appraised for archival or long-term administrative value. Contact the State Archives for additional advice.


subSerDescription:
When money has been paid, when no payment is involved, or when money judgment has not been fully satisfied:


subSerDescription:
Listing or index of cases which have been destroyed:


subSerDescription:
Index or finding aid used in identifying or locating existing cases:

subSerRetention:
Retain so that all existing cases can be identified and located.


subSerDescription:
County correctional facility's copies of records relating to work performed by its prisoners:

subSerRetention:
6 years after all prisoners involved were discharged


subSerDescription:
County agency copies of records of work performed for them by prisoners from state facilities:


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

subSerRetention:
0 after individual no longer authorized to use the system


subSerDescription:
Listing of authorized individuals, received from State Police:


subSerFinalJustification:
Satisfies OSC's audit requirements and short term administrative needs.


subSerDescription:
Records of original entry, including worksheets, used admission tickets and ticket stubs:

subSerRetention:
6 years, or 1 year after posting to summary record or report, whichever is shorter


subSerDescription:
Statement of disposition of unused tickets, when a fee is charged:


subSerRetention:
0 after invalid, but not less than 6 years


subSerRetention:
0 after invalid, but not less than 1 year


subSerDescription:
Lease or rental agreement for marina slip:

subSerRetention:
6 years after expiration, termination or denial

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving


subSerDescription:
Records of dispensing of fuel or other goods or services at marina:

subSerFinalJustification:
Satisfies the statute of limitations for litigation of fraud or felony or misdemeanor prosecution.

subSerLegalCitation:
CPLR §213 (retention); CPL §30.10 (retention)


subSerDescription:
Lists of athletes or participants, records of competitions, and other records except scouting records and scouting and training videos:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Official score and record books, team and action photographs and videotapes of and programs for significant competitions may have historical value in documenting community-based amateur athletics. Records with historical value should be retained permanently.

subSerNotes2:
Parental consents are covered by item no. 855.


subSerDescription:
Scouting reports and videotapes used for scouting and training purposes:


subSerDescription:
If applicant is accepted or allowed to participate, and a fee is charged:

subSerRetention:
6 years after attendance or participation ends


subSerDescription:
If applicant is accepted or allowed to participate, and no fee is charged:

subSerRetention:
3 years after attendance or participation ends


subSerDescription:
When information is also contained in individual health records files:


subSerDescription:
When information is not contained in individual health records files:

subSerRetention:
6 years, but not less than 3 years after youngest person listed in record attains age 18

subSerFinalJustification:
Satisfies records retention period for medical records of a minor in 10 NYCRR 405.


subSerDescription:
Program participation agreement, including attachments and amendments:


subSerDescription:
Other program records, including but not limited to application to participate as a sponsor, individual child participation application records, requisition and approval of requisition for donated commodities, and fiscal records such as adding machine tapes, purchase orders, claims and vouchers:


subSerDescription:
Free and reduced meal policy statement, with attachments and certificate of acceptance:


subSerDescription:
Meal counts and dietary services studies:


subSerFinalJustification:
Satisfies the statute of limitations for lititgation involving minors and personal injury.

subSerLegalCitation:
CPLR §208 and 214 (retention); PHL Title 8 (creation); 10 NYCRR Part 14 (creation)


subSerFinalJustification:
Satisfies the statute of limitations for lititgation involving personal injury.

subSerLegalCitation:
CPLR §214; PHL Title 8 (creation); 10 NYCRR Part 14 (creation)


subSerDescription:
Where first entry is 1950 or earlier, including but not limited to application for assistance or services, eligibility forms, case history, authorization of assistance or services, and correspondence:


subSerDescription:
For adopted child, where first entry is 1951 or later, including but not limited to pre-adoption history, medical report on natural mother and child, and correspondence, but not covering adoption subsidy:

subSerRevisionSummary:
Clarify that note that appears above part c should apply to parts c, d, and e, rather than part b. Add note to parts c, d, and e and remove from part b. Also, revise the note to reference item 617 rather than 1.


subSerDescription:
For cases involving children, where first entry is 1951 or later, and covering one of the following: abuse or maltreatment; family adopting a child; child health; medical assistance; protective services; or day care child's medical records; except for adopted child sealed case record, which must be retained permanently; including but not limited to application for assistance or services, eligibility forms, authorization of assistance or services, and correspondence:

subSerNotes1:
Sections 422.5 and 422.6 of the Social Services Law, as amended by Chapter 12 of the Laws of 1996, Chapter 136 of the Laws of 1999, and Chapter 555 of the Laws of 2000, contain legal requirements relating to retention of reports of child abuse and maltreatment held by county social services departments. The current requirements are as follows: 1. Reports, which are unfounded, received by the State Central Register prior to February 12, 1996, must be destroyed or have information expunged from them forthwith. 2. Reports, which are unfounded, received by the State Central Register after February 11, 1996, must be legally sealed forthwith and retained for 10 years after receipt of the report (by the State Central Register), and then must be destroyed or have information expunged from them, except such reports must be destroyed prior to the passage of 10 years upon direction of the NYS Office of Children and Family Services pursuant to provisions of Chapter 555 of the Laws of 2000. 3. All indicated (substantiated) reports must be retained for 10 years after the youngest child mentioned in the report attains age 18, and then must be destroyed or have information expunged from them. For additional information on this subject, contact Counsel's Office, New York State Office of Children and Family Services, 52 Washington Street, North Building, Room 133, Rensselaer, NY 12144-2796; phone, (518) 474-3333.

subSerNotes2:
Although item no. 1134, sections c and e have a less than permanent retention period, the State Archives recommends that county social services agencies consider permanently retaining services case histories (narrative and comment sheets), where they exist. These histories contain information not available elsewhere, and document counties' roles in public assistance programs.

subSerRevisionSummary:
Clarify that note that appears above part c should apply to parts c, d, and e, rather than part b. Add note to parts c, d, and e and remove from part b. Also, revise the note to reference item 617 rather than 1. Update OCFS contact information.


subSerDescription:
For preventive services to children, where first entry is 1951 or later:

subSerNotes1:
When preventive services are provided in conjunction with or in addition to foster care, the disposition of the preventive services case record should follow the provisions of part “e”. When preventive services are provided in conjunction with or in addition to adoption services, the disposition of the preventive services case record should follow the provisions of part “b”. When preventive services are provided in conjunction with or in addition to protective services, the disposition of the preventive services case record should follow the provisions of part “c”, including applicable notes.

subSerRetention:
6 years after 18th birthday of youngest child in the family


subSerDescription:
For foster care cases, where first entry is 1951 or later:

subSerRetention:
30 years after the discharge of the child from foster care


subSerDescription:
For child held in detention home, children's shelter or similar facility, where first entry is 1951 or later, including but not limited to admission and release notice, copy of court order, copy of admission physical examination, psychiatric evaluation, accusation of staff abuse, list of personal property, and clothing inventory:


subSerDescription:
Non-services and services case files, other than those described in other parts of this item, including programs such as Public Assistance and Care, Medical Assistance, Food Stamps, Adult Services, and Aid to Dependent Children, where first entry is 1951 or later, and including but not limited to application for assistance or services, eligibility forms, authorization of assistance or services, and correspondence:

subSerNotes1:
The United States Department of Agriculture (USDA), Food and Consumer Services (FCS), requires that certain case files involving food stamps be retained for a longer period of time than stated in part "g". If there has been an intentional program violation (IPV) disqualification, the case record must be retained for the life of the individual involved, or until FCS has notified the State Office of Temporary and Disability Assistance that the case record is no longer needed. For cases involving work requirement violations and permanent disqualifications, the case records must be retained for the life of the individual involved or until that individual attains age 60, whichever is shorter. For additional information, contact the Division of Temporary Assistance, New York State Office of Temporary and Disability Assistance, at (518) 474-9300.


subSerRetention:
3 years after case closed, except 10 years after case closed for case records for heating equipment replacement


subSerRetention:
6 years after adoption subsidy terminated


subSerDescription:
When there has been no assignment of assets:


subSerDescription:
Original entry and intermediary records, used in posting information to official account record:


subSerDescription:
Fiscal and statistical reports relating to support collection:


subSerDescription:
Certification of proper maintenance of tax maps:

subSerFinalJustification:
Satisfies [one-year] retention requirement in 20 NYCRR 8189.17

subSerLegalCitation:
20 NYCRR 8189.17 (creation and retention)


subSerDescription:
Property index cards, supplemental data and background files, used in tax map preparation and maintenance:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Property index cards and related records may contain retrospective sales and other property history information, which may be very valuable if the same information is not contained in a real property history file.

subSerLegalCitation:
RPT §503.1(b) and RPT §1532.1(a) (creation); 20 NYCRR 8189.14(e) (creation)


subSerDescription:
Original detailed application and supporting documentation:

subSerRetention:
6 years after expiration of exemption or abatement

subSerFinalJustification:
Satisfies statute of limitations for litigation based on fraud in CPLR §213

subSerLegalCitation:
RPT Article 4 (creation); CPLR §213 (retention)


subSerDescription:
Renewal applications, routine correspondence and memoranda (when original detailed application is maintained):


subSerDescription:
Application denial records, including results of hearing:


subSerDescription:
Forms used to report social security numbers/taxpayer identification numbers and not containing other substantive information, for use in income verification programs:


subSerFinalJustification:
Satisfies six-year retention requirements in AGM §304-a(4)(f)


subSerDescription:
For lands outside of agricultural district:


subSerNotes1:
Tentative rolls are maintained by cities, towns, assessing villages, and Tompkins and Nassau counties.

subSerFinalJustification:
Satisfies five-year retention requirement in RPT §506

subSerLegalCitation:
RPT §506.3 (retention), RPT §506.1 (creation)

subSerRevisionSummary:
Added note to clarify who holds these records.


subSerNotes1:
The official copy of the final assessment roll is filed with the county, with copies of the roll also filed with the constituent municipalities.

subSerFinalJustification:
Satisfies ten-year retention requirement in RPT §516.2

subSerLegalCitation:
RPT §516.2 (retention); RPT §516.1 (creation)


subSerNotes1:
Copies of assessment rolls are maintained by counties which prepare them for towns, villages, and cities located within the county. Also includes copies of assessment rolls prepared by Westchester County cities and towns for the county.

subSerRevisionSummary:
Modify description for item 657c (CO-2) to accommodate Westchester Co's situation. Westchester Co does not produce an assessment roll, but obtains copies of the final assessment rolls from all cities and towns for a variety of reasons. Should apply change to all similar LG schedule items.

subSerRevisionRecdFrom:
From Warren's file: David Jackson, Executive Director, Westchester Co Tax Commission


subSerDescription:
Warrant copy of tax roll, including warrant or levy to collect taxes:

subSerNotes1:
The official copy is often filed with the county. All towns turn over the warrant copy of tax roll to the county, except for Westchester County towns, and all school districts except for city school districts. Villages may turn over roll to county.

subSerFinalJustification:
Satisfies permanent retention requirement in RPT §§946, 1330, 1332, and 1436

subSerLegalCitation:
RPT §§946, 1330, 1332, and 1436 (creation and retention); RPT §904.1 (creation)


subSerDescription:
Non-warrant copy of tax roll prepared for internal administrative use when warrant copy is retained permanently:

subSerRevisionSummary:
Qualified description by adding "prepared for internal administrative use" to distinguish it from new sub-item g


subSerNotes1:
An abstract is simply a summary record, with selected information from the tax roll, which may or may not be prepared. Appraise these records for potential long-term research value before destruction. Some abstracts may provide an overview of the taxation process that cannot be easily obtained from the tax rolls.

subSerRevisionSummary:
Added note to clarify who holds these records. Consider revising disposition of item for assessment and tax rolls, part f. abstract of tax roll. Instead of requiring permanent retention, on the basis that the summary or statistical information in the abstracts provides an overview of the taxation process, allow for records to be destroyed when no longer needed and add appraisal note suggesting that local officials evaluate abstracts for potential long-term value. Some abstracts may have such value, while others won't depending on how the abstract is constructed. Tax roll abstracts are not prepared by all entities.


subSerDescription:
Tax collection data file, returned copy of tax bill, copy of tax bill sent by assessing entity, copy of receipt issued taxpayer, collector's daily accounts, receiving office tapes, records of overpayment, rebate or refund, record or notice of payment of post-due taxes, report on tax monies collected, request for extension of time to collect taxes, and similar records:

subSerNotes1:
Documentation of payment of school taxes must be retained permanently as it may affect the title to real property. Usually this information will be found on the warrant tax roll (item no. 1045d, above). If the warrant copy of the tax roll does not contain this information, then copies of paid tax bills or equivalent records must be retained permanently to document this tax payment information.

subSerFinalJustification:
Satisfies statute of limitations for litigation based on fraud (CPLR §213). Also exceeds five-year retention requirement for tax extensions in RPT§900.3.

subSerLegalCitation:
RPT Article 9, Title 3 (creation); RPT §1184.9(b) (creation); RPT§900.3 (creation); CPLR §213 (retention)

subSerRevisionSummary:
Add to Tax collection records item (MU-1 595a) that records can also include copies of tax bills sent by assessing entity (e.g., village, county).


subSerDescription:
Tax collection history data, containing summary tax collection history information, created from tax collection data file:

subSerNotes1:
Appraise these records for historical significance prior to disposition. This data may be useful for a number of years for convenience of reference, and may possibly have long-term historical value.


subSerDescription:
Documentation of regular updates or corrections made to tax collection data file:


subSerDescription:
Official copy of tax lien sale (or auction) list or catalog:

subSerFinalJustification:
Possesses long-term research value by providing information about core government activites. Official government publications have been determined to possess potential historic value.


subSerDescription:
Official copy of notice of sale and proof of publication:

subSerFinalJustification:
Satisfies long-term administrative value by providing evidence that lien sales were properly published

subSerLegalCitation:
RPT §1124 (creation); RPT §1190.3 (creation); RPT §1156 (creation)


subSerDescription:
Letter notifying owner, mortgagee, lien-holder or any other "interested party" of the forthcoming sale and proof of personal delivery of letter of notification (by process server), or proof of delivery and receipt via certified or registered mail:

subSerFinalJustification:
Satisfies long-term administrative value by providing evidence that parties concerned in the lien sale were properly notified


subSerDescription:
Tax lien sale records, including but not limited to tax lien foreclosure and sale data file, copy of deed, bids, abstract of sale, memoranda and correspondence, documentation of regular updates or corrections made to tax lien data file, except letter of notification, proof of delivery and receipt of letter of notification, sale book and official copy of notice of sale, proof of publication, sale (or auction) catalog or list:

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

subSerLegalCitation:
RPT §1194 (creation); RPT §1168 (creation); RPT §1190.3 (creation)


subSerDescription:
Annual certificate of apportionment sent to municipality or district:

subSerFinalJustification:
Satisfies long-term administrative needs by documenting how taxes are apportioned to municipalitieshow taxes are apportioned to municipalities


subSerDescription:
Apportionment records, except annual certificates:

subSerLegalCitation:
RPT §1304 (creation); RPT §1314 & 1316 (creation); RPT §844 (creation)


subSerDescription:
Operating certificate, application for certification and FAA inspection reports relating to certification, operational manual (including all updates):

subSerFinalJustification:
Satisfies implied permanent retention requirement in 14 CFR §139.215. Also possesses long-term research value by documenting the operation and procedures of airports within New York State.

subSerLegalCitation:
14 CFR §139 (creation); 14 CFR §139.215 (retention)


subSerDescription:
Security-related and other mandates and circulars received from the FAA, along with any related correspondence, dealing with significant issues:

subSerFinalJustification:
Possesses long-term research value by documenting policies and procedures required by the FAA, which is particularly significant in light of 9/11.


subSerDescription:
Security-related and other mandates and circulars received from the FAA, along with any related correspondence, not dealing with significant issues:

subSerRetention:
1 year after superseded, obsolete or no longer needed


subSerDescription:
Security or safety inspection records, which contain non-routine information or indicate need for maintenance, repairs, or changes in airport operational policies:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Inspection records documenting serious problems or conditions may have historical value and may merit permanent retention. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies five-year statute of limitations for litigation involving criminal negligence (CPL §30.10)

subSerLegalCitation:
49 USC §44708 (creation); 49 USC §44903(h)(4) (creation), CPL §30.10 (retention)


subSerDescription:
Records of routine inspections performed at airport, where longer retention is not necessary for administrative, fiscal or legal reasons:


subSerDescription:
Other security records, including but not limited to visitor's register, security officers' logs or reports, automated security system reports, false alarm reports, and records of security videotape review:

subSerNotes1:
Record documenting potentially important incidents may warrant longer retention for legal reasons. Airport officials should carefully review these records before destroying them. Original records may need to be retained longer than 3 years even if posted to summary records. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies three-year statute of limitations for litigation involving personal injury in CPLR §214


subSerDescription:
Summary security records, including periodic reports:


subSerDescription:
Contract negotiations, contracts, leases and significant correspondence:

subSerNotes1:
Appraise these records for historical significance prior to disposition. These records may document the important roles these facilities play in the economic development of the community. In such cases, these records may have continuing value for historical or other research meriting their permanent retention. Contact the State Archives for additional advice.

subSerRetention:
6 years after expiration, revocation or renewal

subSerFinalJustification:
Satisfies the six-year statute of limitations for litigation involving a contract in CPL §213


subSerDescription:
Correspondence, including but not limited to complaints about tenants:


subSerDescription:
Informational materials, including but not limited to lists of tenants' employees, sample of airline schedules, brochures and advertising materials:

subSerNotes1:
For copies of actual airline schedules, see item no. 1065.


subSerDescription:
Airline employee security background check, security clearance, and identification records:

subSerRetention:
6 years after employee no longer employed at airport

subSerFinalJustification:
Satisfies the six-year statute of limitations for litigation based on fraud in CPLR §213


subSerDescription:
Incident data summary record recording incidents or accidents at airport:

subSerFinalJustification:
Satisfies three-year retention requirement for litigation involving personal injury (CPLR §214)


subSerDescription:
Incident or accident report and related records:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records documenting serious incidents or accidents have historical value and may merit permanent retention. (For disaster files, see also item no. 146 in the Civil Defense/Disaster Preparedness section.) Contact the State Archives for additional advice.


subSerDescription:
Accreditation records relating to individuals:


subSerDescription:
Other records, including lists of accredited individuals:


subSerDescription:
Summary records, and records containing information with fiscal or legal implications:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Summary records may have historical value in documenting airport activity and may merit permanent retention. Contact the State Archives for additional advice.


subSerDescription:
Routine records, not containing information with fiscal or legal implications:

subSerNotes1:
Data and related records submitted to and received from the New York State Department of Transportation relative to financial assistance and grant applications is covered by item no. 55b in the General Administration section.


subSerDescription:
Consumption and dispensing records for fuel, oil, or similar products used by service vehicles, equipment or airplanes:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Summary records may have historical value in documenting the use of fuel and other chemicals at airports and may merit permanent retention. Contact the State Archives for additional advice.

subSerLegalCitation:
AGM §192 (creation); TAX §301-e (creation)


subSerFinalJustification:
Satisfies three-year statute of limitations for litgation involving personal injury (CPLR §214)


subSerDescription:
Approvals from the New York State Department of Environmental Conservation (or other agency) for storage and dispensing of fuel and other substances:

subSerRetention:
7 years after expiration or termination of approval or denial of application


subSerDescription:
Records relating to non-significant leakage, spillage and runoff:

subSerLegalCitation:
6 NYCRR §613-6.3 and 6.6 (creation), CPL §30.10 (retention)


subSerDescription:
Records relating to significant leakage, spillage and runoff, or any leakage from underground storage tanks:

subSerNotes1:
For other petroleum bulk storage records, see item no. 823 in the Public Property and Equipment section.

subSerFinalJustification:
Possesses long-term research value in documenting major environmental disasters, as well as documenting the location of toxic contamination for future environmental and public health concerns


subSerDescription:
Plans to control leakage, spillage, or runoff, or to deal with accidents and emergencies:

subSerFinalJustification:
Possesses long-term research value by documenting the extremely high level of security involved in protecting hazardous materials, and the potential for serious environmental damage from spills as well as catastrophic explosions


subSerDescription:
All records in file, except draft or intermediary records documenting other than significant changes and those closely duplicating other records in file:

subSerFinalJustification:
Possesses long-term research value by documenting changes in the state's infrastructure


subSerDescription:
Draft or intermediary records documenting other than significant changes, or closely duplicating other records in file:


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

subSerRetention:
6 years after highway or structure no longer exists or is abandoned

subSerLegalCitation:
17 NYCRR §165.6 (creation); 6 NYCRR §617.9 (creation), HAY §10.2 and 10.3 (creation)


subSerDescription:
Supplementary documentation, including application for assistance, project budget, interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheets, routine correspondence and detailed construction specifications:

subSerRetention:
6 years after last entry in project file or, if project involves bonds, 6 years after final bond redemption

subSerFinalJustification:
Satisfies six-year statute of limitations for litigation involving a contract (CPLR §213)

subSerLegalCitation:
TRA §456 (creation), CPLR §213 (retention)

subSerRevisionSummary:
Update MU-1 item 616b. Part b covers the fiscal records with a retention of 6 years after project completion. The problem is that while this 6 year period is fine for fiscal audit purposes, it may not be sufficient when a locality fails to meet the 10-year service life certification. Because the locality may be penalized through reductions in future awards, it is desirable for the locality to have fiscal records of the original project for that 10 year period so that it could possibly dispute the amount of the future award reduction. So, we agreed with DOT 

that we will revise this item in future MU-  Schedule to specify that records should 

be kept for 6  years or until the end of any service life certification, whichever is later. Revision has already been made to CO-2 and MI-1, so model this language on CO-2 item 678b.


subSerDescription:
Records related to New York State Department of Transportation-issued grants or the Consolidated Local Street and Highway Improvement (CHIPS) and Extreme Winter Recovery (EWR) programs, including but not limited to project certification, invoices, equipment usage statements, payroll records, curb ramp installation photos, proof of payment, and summary records:

subSerFinalJustification:
Satisfies six-year statute of limitations for litigation involving a contract (CPLR §213) and is required as part of DOT contracts to local governments

subSerRevisionSummary:
Worked with DOT Counsel to determine retention requirements and draft schedule item.

subSerRevisionRecdFrom:
Phone conversation with Joe Rossi (counsel), DOT


subSerRetention:
6 years after final payment under contract

subSerRevisionSummary:
Consider revising part c of "project file for capital transportation improvement" item to indicate that the retention period should be 6 years after completion of contract rather than awarding of contract (rejection of bid). Wording should be consistent with similar contract items.


subSerDescription:
Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for significant highway or structure:

subSerFinalJustification:
Possesses long-term research value by documenting the original design of significant highways or structures as well as any subsequent changes that occurred, and are required for ongoing building maintenance and rehabilitation


subSerDescription:
Final or "as built" plans, maps, designs, sketches, architectural drawings and photographs, for other than significant highway or structure:

subSerRetention:
6 years after structure no longer exists


subSerNotes1:
Some of these non-graphic documents may need to be retained for 6 years after the highway or structure no longer exists, if they document significant changes with long-term fiscal and other implications. Local governments should review these records for these possible uses prior to disposition.


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


subSerRetention:
6 years after highway or structure no longer exists


subSerDescription:
Detailed schematic drawings, not covered by parts "a" or "b," including detailed specifications not appearing on plans, maps, designs, sketches, and architectural drawings:


subSerDescription:
Detailed data file containing information such as on maintenance and repairs:

subSerNotes1:
Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of this data may need to be retained longer to meet both administrative needs and legal requirements, unless official copies are maintained outside the system and are disposed consistent with item nos. 1067, 1068, 1079, 1081, 1082, 1083, and 1085 in this section. It is recommended that local officials store this data offline long enough to meet audit or any other requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.


subSerNotes1:
Appraise these records for archival value. History files may contain valuable information to document highway, road, street or transportation structure management over a period of time. Contact the State Archives for additional advice in this area.


subSerDescription:
Logs, schedules, reports, and queries (including macros, queries and necessary documentation used in report and query generation), which do not contain information of legal or fiscal value, such as when no work is performed and no funds expended:


subSerDescription:
Geographic Information System (G.I.S.) street/road data file used as base maps for system operation, derived from official G.I.S. data maintained by other unit of local government:

subSerNotes1:
Appraise these records for archival value. If G.I.S. data layers contain "value added" information on highways, roads, streets and transportation structures not found in the source files from which they were created, they may have secondary uses. Contact the State Archives for additional advice in this area.


subSerDescription:
Copies of maps, plans, diagrams, drawings, photographs, surveys, engineering and survey notes, detailed specifications, profiles or cross-sections, where official copies are maintained elsewhere, and are covered by item no. 1072, above:


subSerDescription:
Summary record (such as log or register) of complaints or requests:


subSerDescription:
Complaint or request for service, including follow-up records, where remedial action is taken:

subSerRetention:
6 years after remedial action taken or condition otherwise abated, whichever occurs first


subSerDescription:
Complaint or request for service, including follow-up records, where no remedial action is taken:


subSerDescription:
Reports, studies or queries having legal or fiscal value:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Some of these reports and studies, including their detailed documentation, may contain significant information on such subjects as traffic congestion and traffic safety, and may reveal long-term trends and accident-prone areas and vehicles. Contact the State Archives for additional advice.


subSerDescription:
Reports, studies or queries having no legal or fiscal value, such as daily activity, individual "crew" or "shift" reports," daily communications or other routine internal reports:


subSerDescription:
Records relating to individual or group of interconnected signs or signals, such as authorization for actions taken, photographs, copies of accident reports, copies of maps and surveys, sketches and diagrams, traffic surveys and correspondence:

subSerRetention:
6 years after sign or signal replaced or no longer exists, whichever is shorter


subSerDescription:
Reports and other records of malfunctioning or missing sign or signal:

subSerRetention:
1 year after sign or signal repaired, removed or replaced

subSerFinalJustification:
Satisfies three-year statute of limitations for litigation based on personal injury (CPLR §214)


subSerDescription:
Accident reports where design or maintenance of highway or structure is relevant to accident:

subSerLegalCitation:
VAT §2413 (creation), VAT §605.1 (creation), CPL §30.10 (retention)


subSerDescription:
Traffic counts, daily statistics, or similar records of original entry:


subSerDescription:
Copies of permits, applications, and related records, when a fee is involved:

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving personal or property injury, damages, or initiation of prosecution for misdemeanor (CPLR §214 and CPL§30.10)

subSerLegalCitation:
VAT §1203-a (creation), CPLR §214 (retention) CPL §30.10 (retention)

subSerRevisionSummary:
Expand "handicapped parking permit records" item to more fully cover fee-based vs. non-fee based handicapped permits.


subSerDescription:
Copies of permits, applications, and related records, when no fee is involved:

subSerRetention:
1 year after expiration of permit or denial of application


subSerDescription:
Where construction or maintenance of highway, street, road or bridge in question is responsibility of local government which receives the records, including instances where highways, streets or roads under separate jurisdictions abut:


subSerDescription:
Copies of records received for information purposes only:


subSerDescription:
Final or "as built" copies of official maps, plans and designs showing system route and details of structures, along with draft or intermediary copies that document significant changes:

subSerFinalJustification:
Possesses long-term research value by documenting the areas served by public transportation systems, as well as changes to the system over time. These records are of significant public interest since they deal with infrastructure, and might also be used to track municipal growth and demographic trends.


subSerDescription:
Draft or intermediary copies of official maps, plans and designs showing system route and details of structures, that do not document significant changes:


subSerDescription:
Schedules and diagrams showing individual routes and route and time changes:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Local governments should consider permanent retention of samples only of schedules and diagrams covered by part "c" of the above item. Contact the State Archives for additional advice in this area.


subSerNotes1:
Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of this data may need to be retained longer to meet both administrative needs and legal requirements. It is recommended that public transportation systems store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.


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


subSerDescription:
Voice data maintained in or by automated system, including conversations between central operational unit and individual vehicle operators, and voice data used for annunciation on vehicles:

subSerNotes1:
Records custodians may wish to consult their attorney, counsel or law enforcement agency before these records are disposed of regarding any potential legal value. Recordings documenting 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.


subSerDescription:
Reports and queries dealing with serious incidents or problems, or major issues with long-term implications:

subSerFinalJustification:
Possesses long-term research value by documenting the history of problems or significant incidents that relate to major public transportation systems and therefore deal with issues of public safety and infrastructure.


subSerDescription:
Reports on routine activities, which contain information of legal or fiscal value:


subSerDescription:
Reports on routine activities, which do not contain information of legal or fiscal value:


subSerDescription:
Narrative records documenting serious problems or emergencies, including data necessary to support such records:

subSerFinalJustification:
Possesses long-term research value in documenting emergencies and disasters with potential historical significance. This is particularly important in the wake of 9/11.


subSerFinalJustification:
Possesses long-term research value in documenting policies and procedures in place for dealing with emergencies. This is particularly important in the wake of 9/11.


subSerDescription:
If report indicates no maintenance problems, or when no significant work is performed and no funds expended:

subSerFinalJustification:
Satisfies six-month retention requirement in 7 NYCRR §721.2(b)

subSerLegalCitation:
17 NYCRR §721.2(b) (creation and retention)


subSerDescription:
If significant work is performed and funds are expended:


subSerFinalJustification:
Possesses long-term research value as they contain unique information of interest to transportation and urban historians on the organization, operation, and accident history of public transportation systems.

subSerLegalCitation:
TRA §17-b (creation)17 NYCRR §990.12 (creation)


subSerFinalJustification:
Possesses long-term research value by documenting how these systems change over time, as well as providing information on its merits and deficiencies


subSerDescription:
Certificate of inspection and approval to operate:

subSerFinalJustification:
Satisfies three-year statute of limitation for litigation involving criminal negligence (CPL §30.10)

subSerLegalCitation:
TRA §152 and §172 (creation), CPL §30.10 (retention)


subSerDescription:
Copies of operational records received from private transportation companies serving local government under contract:


subSerDescription:
Data collected in preparation of annual fiscal and service data reports, including statistical sampling records:

subSerRetention:
6 years after submission of related report


subSerDescription:
Service plans (including all amendments), final or annual reports, results of audits and reviews, and related policies and procedures, including eligibility requirements and documentation of provider or services coordinator selection:

subSerFinalJustification:
Possesses long-term research value by documenting the development, improvement, and operation of transportation programs that serve special needs populations.


subSerDescription:
Compliance plan (initial or consolidated), including but not limited to such records as worksite profile, survey results, average passenger occupancy (APO) calculations, forecasted participation, summary of trip reduction strategies, list of worksites and implementation schedule, and also covering revisions and updates, including records relating to agency review, approval, disapproval and appeal (copies maintained by local government acting as Local Administrative Agency):

subSerNotes1:
Appraise these records for archival value. These records may be useful in providing information on relieving traffic congestion problems in certain urban areas. Contact the State Archives for additional advice.


subSerDescription:
Compliance plan (initial or consolidated), including but not limited to such records as worksite profile, survey results, average passenger occupancy (APO) calculations, forecasted participation, summary of trip reduction strategies, list of worksites and implementation schedule, and also covering revisions and updates (copy maintained by local government employer):


subSerDescription:
Bi-annual maintenance report (copy maintained by local government employer or local government acting as Local Administrative Agency):


subSerDescription:
Information on potential participants, including list of applicants and individual employee surveys:


subSerDescription:
Final reports, including all attachments:

subSerFinalJustification:
Possesses long-term research value by documenting programs that often provide innovative kinds of public transportation improvements


subSerRetention:
6 years after completion of report or date of most recent entry in record


subSerRetention:
2 years after expiration of permit or denial of application

subSerFinalJustification:
Satisfies statute of limitations for initiating criminal prosecution for misdemeanors (CPL §30.10.2c)

subSerLegalCitation:
ENV §11-0515 and 6 NYCRR 175 (creation); CPL §30.10.2(c) (retention)


subSerRetention:
5 years after expiration of license or permit or denial of application


subSerDescription:
Application for and copy of license, investigation report, correspondence and all related records, except financial reports:

subSerRetention:
3 years after expiration of license or denial of application

subSerFinalJustification:
Satisfies statute of limitations for petty offense or misdemeanor prosecution.

subSerLegalCitation:
GML §190 and §480 (creation); CPL §30.10.2(c) and (d) (retention)


subSerDescription:
Financial report submitted quarterly, weekly or at the conclusion of each day's games:

subSerFinalJustification:
Satisfies Gaming Commission’s audit requirements.


subSerDescription:
Annual financial/operational report submitted to municipality:


subSerFinalJustification:
Possesses long-term research value by documenting the plan for the management and development of the heritage area, and as the plan constitutes the fundamental document defining the goals and boundaries for each area.


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Some of the records these files may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Proposals, plans and drawings, feasibility studies and real property records:

subSerFinalJustification:
Possesses long-term research value as the records document the central role visitor facilities will play in the operation and promotion of the heritage area.


subSerDescription:
Visitors registers and patron usage records:


subSerDescription:
Maps, brochures, photographs and background research files:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Some maps, brochures and photographs may have continuing value for architectural, historical or other research and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Notes, correspondence, memoranda, lists of participants and other routine records:


subSerNotes1:
Appraise these records for historical significance prior to disposition. Some of these records may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Original application for license, including performance bond and other records:

subSerRetention:
6 years after expiration or denial of license


subSerDescription:
Renewal records, including renewal application, performance bond and other records, when a fee is charged:

subSerRetention:
6 years after expiration or denial of renewal license


subSerDescription:
Renewal records, including renewal application, performance bond and other records, when no fee is charged:

subSerRetention:
1 year after expiration or denial of renewal license


subSerDescription:
All records in file, excluding detailed inventories submitted for "closing out" or "defunct business" sales:


subSerDescription:
Detailed inventories submitted for "closing out" or "defunct business" sales:


subSerDescription:
Special franchise files, other than renewal records:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Special franchise files for public utilities and transportation companies, for instance, may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Renewal record in file, such as renewal application, or performance bond:

subSerRetention:
6 years after record becomes invalid or obsolete


subSerDescription:
Annual and monthly reports of licenses sold, monthly summary sheet showing licenses sold, detail allotment sheet and similar records:


subSerDescription:
Stub, copy or abstract of license regulated under the Regulations of the Department of Environmental Conservation and retained by municipality:


subSerDescription:
Index volume or other master listing of chattel mortgages and/or conditional sales:


subSerDescription:
Chattel mortgage or conditional sale contract and satisfaction:


subSerDescription:
Master summary record (index, log or register) of applications and payments:


subSerDescription:
Case file, including but not limited to applications for assistance, eligibility determination records, certifications, worksheets, correspondence and rental agreements:

subSerRetention:
6 years after denial of application, termination of agreement or close of case


subSerNotes1:
Appraise these records for historical significance prior to disposition. These records may document the important roles these facilities play in the economic development of the community. In such cases, these records may have continuing value for historical or other research meriting their permanent retention. Contact State Archives for additional advice.

subSerLegalCitation:
NAV § 142 (creation), CPLR § 213 (retention)


subSerDescription:
Informational materials, including but not limited to lists of tenant's employees, copies of schedules, brochures and advertising materials:


subSerNotes1:
Appraise these records for historical significance prior to disposition. If the local government uses its own rather than statewide criteria for approving these businesses, then these records may document minority- and women-owned business operating in the community.


subSerDescription:
Directory of state-approved minority- and women-owned businesses, supplied by State Department of Economic Development:


subSerDescription:
For gift or bequest not covered under parts a or b, or by note above:


subSerDescription:
Copy, and related records, retained by municipality which completes certificate:


subSerDescription:
Informational records received from county clerk:


subSerDescription:
Copies held by municipality where facility (or proposed facility) is located:


subSerDescription:
Copies held by other municipalities in the area, supplied by applicant for informational purposes:


subSerDescription:
Assumed business name certificate index:


subSerFinalJustification:
Possesses long-term research value in documenting oaths of office


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

subSerRetention:
90 days after release of New York State Gaming Commission's audit report, or 3 years, whichever is shorter


subSerDescription:
Corporation headquarters daily folder, including but not limited to daily branch settlement sheets from parlors, worksheets and summary of daily activity:

subSerRetention:
90 days after release of State Comptroller's audit report, or 6 years, whichever is shorter


subSerFinalJustification:
Possesses long term research value as reports document activities and management of racing and wagering entities.

subSerLegalCitation:
PML §517 (creation); 9 NYCRR 4408.2 (creation)


subSerDescription:
Daily, weekly, monthly or other periodic report, including reports of any variance from normal operations:


subSerDescription:
Daily report on total handle and tax payable:


subSerDescription:
Report and transmittal notice for unclaimed winning tickets:


subSerDescription:
Reports and statements relating to telephone betting:


subSerDescription:
Reports and statements not relating to telephone betting, including but not limited to offline ticket report, "settle report," daily activity report and daily terminal activity report:

subSerRetention:
90 days after release of New York State Gaming Commission's audit report, or 3 years, whichever is shorter, but not less than 1 year after superseded of obsolete

subSerFinalJustification:
Satisfies OSC's audit requirements and 3 year requirement in 9 NYCRR 4500.14.


subSerDescription:
Monthly, annual or other summary records of ticket sales:


subSerDescription:
Daily and weekly cashed ticket validation records:


subSerNotes1:
The New York State Gaming Commission requests that cashed winning tickets be destroyed immediately upon validation, so that they no longer could be considered negotiable.

subSerRevisionSummary:
Replaced references to Division of the Lottery with NYS Gaming Commission. In 2012, the Gaming Commission took over administration of OTBs from the Division of the Lottery.


subSerRetention:
Retain as long as related building, land use, planning, zoning, or environmental permit or approval records covered elsewhere in this schedule.


subSerDescription:
Video lottery gaming-related records not specified in part "b", including records concerning gaming-related vendors; and any other original record not otherwise listed in Section 5101.2 or approved for destruction pursuant to its procedures:


subSerDescription:
Cage documents, documentation supporting the calculation of video lottery terminal win, and records related to tax reporting and withholding:

subSerRetention:
4 years after the date of the actual filing of the gross revenue tax return for the tax year in which the record was generated


subSerDescription:
Payroll records, marketing department records, credit unions records, copies of arrest reports, and patron gaming records:

subSerNotes1:
Schedule users should note that the Fiscal section, Payroll subsection of this Schedule covers numerous types of payroll records, including many records with retention requirements greater than 3 years as well as other records with retention requirements less than 3 years. Any payroll records with retention requirements greater than 3 years should be retained for those longer periods.


subSerDescription:
Mailroom records, advertising records, video gaming department daily activity logs, and any other records, other than those listed in Section 5101.2(b)(4), which contain information duplicative or less than that recorded on other documents listed in Section 5101.2(b)(1) through (b)(4):


subSerDescription:
Reports, studies or queries having legal or fiscal value, such as reports covering use of equipment and personnel resources, reports on crime in specific neighborhoods or on specific kinds of criminal activity


subSerDescription:
Reports, studies or queries having no legal or fiscal value, such as daily activity, individual officer “diaries,” daily communications or other routine internal reports:


subSerDescription:
Where first entry dates from 1972 or earlier:


subSerRetention:
6 years after case closed, but not until any minor involved attains age 28


subSerDescription:
Notification of creation, transfer or termination of escrow account, when original record is maintained by county:

subSerRetention:
1 year after transfer or termination of account

subSerLegalCitation:
RPT §987 (creation); RPT §953.9 and 953-a(4) (creation)


subSerDescription:
Notification of creation, transfer or termination of escrow account, when original record is not maintained by county:

subSerRetention:
6 years after transfer or termination of account


subSerDescription:
For all local governments except non-assessing villages


subSerRetention:
1 year after subsequent assessment roll finalized by town or county


subSerDescription:
When created at regular intervals, such as annually:


subSerDescription:
Created when data from this file is used in conjunction with planning
reports, studies or special projects:

subSerRetention:
Retain as long as the reports, studies and other
principal records for which the history file or snapshots are created are retained.


subSerDescription:
Schedule, map or diagram produced periodically to show routes usually
traveled by school buses:


subSerDescription:
Schedule, map or diagram produced daily or for each trip, showing route
traveled on particular day or trip by school bus:


subSerDescription:
Official copy of publications, videotapes, or informational literature prepared for public distribution:

subSerFinalJustification:
Possesses long-term research value by documenting the process used to determine the siting of school buildings, tracking trends in population densities, and determining boundaries for student distribution to individual schools


subSerDescription:
Final maps, plans, statistical tables, reports and studies:


subSerDescription:
Compliance plan (initial or consolidated), including but not limited to such records as worksite profile, survey results, average passenger occupancy

(APO) calculations, forecasted participation, summary of trip reduction strategies, list of worksites and implementation schedule, and also covering

revisions and updates, including records relating to agency review,

approval, disapproval and appeal (copies maintained by local government acting as Local Administrative Agency):

subSerNotes1:
Appraise these records for archival value. These records may be useful in providing information on relieving traffic congestion problems in
certain urban areas. Contact the State Archives for additional advice.


subSerDescription:
Compliance plan (initial or consolidated), including but not limited to such records as worksite profile, survey results, average passenger occupancy

(APO) calculations, forecasted participation, summary of trip reduction strategies, list of worksites and implementation schedule, and also covering

revisions and updates (copy maintained by local government employer):


subSerDescription:
Official copy of brochure or other publication announcing and describing courses to be offered:

subSerFinalJustification:
Possesses long-term research value in documenting the nature of courses offered over time. These are professional development courses for teachers, and have long-term value not only for individual teachers but also in tracking trends in professional development.


subSerRevisionSummary:
We are aware of NYSED’s requirements that apply to CTLE sponsors’ training records, specifically that these records must be retained for at least 8 years (per http://www.highered.nysed.gov/tcert/resteachers/ctlesponsorhome.html). Since this reflects a recent change to the Regulations of the Commissioner of Education, we’ll need to review and update this section of the ED-1 Schedule.

subSerRevisionRecdFrom:
"From Carl Vitevitch, Administrative Coordinator
Eastern Suffolk BOCES School Library System. See also RDAs 22765 to 22767
"


subSerDescription:
Course development records, including, but not limited to, course proposal, instructor’s name and curriculum vitae, and evaluation of the need for the course:


subSerDescription:
Official copy of brochure or other publication announcing and describing workshops to be offered:

subSerFinalJustification:
Possesses long-term research value in documenting the nature of workshops offered over time. These are professional development workshops for teachers, and have long-term value not only for individual teachers but also in tracking trends in professional development.


subSerDescription:
Records of credits awarded for workshop attendance (if applicable):

subSerNotes1:
If credits are awarded for workshop attendance, and these are not
posted to individual earnings (in-service) credit record, these records must be retained for 55 years.

subSerRetention:
0 after posted to individual earnings (in-service)
credit record


subSerDescription:
Workshop development records, including, but not limited to, course proposal, instructor’s name and curriculum vitae, and evaluation of the need for the course:


subSerDescription:
Official copy of evaluation or survey form and instructions:


subSerDescription:
Summary of evaluation or survey results:


subSerDescription:
Individual returned evaluation or survey forms:


subSerDescription:
Master list of students, created annually or for each class:


subSerDescription:
Other lists of students, created for internal administrative purposes:


subSerDescription:
Other related records, including plan development and submission records, background material and supporting documentation:


subSerDescription:
Duplicate school district data maintained by BOCES:


subSerDescription:
Testing eligibility determination and testing protocols, official copies of tests, and summary records describing testing programs:


subSerDescription:
Test papers, answer sheets, test administration notes, test schedules and other routine test administration records:


subSerDescription:
Lists of students tested but not entered in supplemental education program:


subSerDescription:
Records relating to individual student not entered in supplemental education
program:

subSerRetention:
0 after student attains age 21, but not less than 6 years


subSerDescription:
Lists of outside providers of services and lists of students receiving services
from specific providers:


subSerDescription:
Outside provider files, excluding contracts and legal agreements:

subSerRetention:
6 years after outside provider no longer used by
school district or BOCES


subSerDescription:
Contracts or legal agreements with outside providers:

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


subSerDescription:
Cumulative achievement record equivalent (sometimes known as "Permanent

Record Card") for elementary and secondary school, New York State career development and occupational studies (CDOS) commencement credential, and skills and achievement commencement credential, including but not limited to information on school entry, withdrawal and graduation, subjects taken, grades received from examinations, career plan in effect during the school year in which the student exits high school, and work skills employability profile:

subSerFinalJustification:
Satisfies long-term administrative needs. These records may be requested by former students and higher education institutions many decades after graduation for verification of courses taken, grades received, honors received and degrees conferred for purposes of admission to higher education institutions or employment.

subSerRevisionSummary:
Add references to "skills and achievement commencement credential" and "New York State career development and occupational studies (CDOS) commencement credential" and employability profile & career plan to item 275a and to adult education and home schooling

subSerRevisionRecdFrom:
Appraisal report 19-05; In July 2013, the Regulations of the Commissioner of Education were amended to include the issuance by schools of a "skills and achievement commencement credential" or "New York State career development and occupational studies (CDOS) commencement credential" to special education students in lieu of a Regents or high school diploma (for detailed information about the Regulations revisions, see http://www.p12.nysed.gov/specialed/publications/CDOScredential-att1.htm). CDOS Commencement Credential and the Skills and Achievement Commencement Credential for Students with Severe Disabilities, as they are exiting credentials, should be kept in the student's permanent academic record (item 275a) or if the credentials are not posted to the student's cumulative achievement record, then the records would be retained permanently under item 276b. Since these credentials function as Regents or high school diplomas, it is important that they be kept permanently. 8 NYCRR Sect. 100.6(b)(4) states that "Award of the credential shall be documented in the student’s transcript." The employability profile & career plan, that are required components for earning the CDOS Commencement Credential, should be kept in the student's permanent academic record (item 275a). 8 NYCRR Sect. 100.6(b)(1)(i) states that "A copy of the student’s career plan in effect during the school year in which the student exits high school shall be maintained in the student’s permanent record." 8 NYCRR Sect. 100.6(b)(1)(iii) states that "A copy of the student’s work skills employability profile(s) shall be maintained in the student’s permanent record." Worked with SED's Special Ed. unit (Alison Conners) to match these to existing items.


subSerDescription:
Other student records, including but not limited to registration record; screening evaluation reports; home language questionnaire, English language proficiency identification assessment results, and related records; remedial program participation record; Section 504 evaluations, accommodation plans and related records; state assessment opt out records; counselor notes; teacher comments; correspondence; and transfer or discharge notice:

subSerRetention:
6 years after student graduates or would normally have graduated from high school

subSerRevisionSummary:
Added home language questionnaire and other English proficiency determination and assessment records


subSerDescription:
Examination (including Regents examination) test results, local proficiency test results, papers and answer sheets, homework, and duplicate copies of report cards when information regarding subjects taken and final grades received is posted to the pupil’s cumulative achievement record:

subSerLegalCitation:
8 NYCRR 100.3-100.6 & Part 102 (creation)

subSerRevisionSummary:
Tina Sciocchetti (SED) and SED Test Security Unit requested an extension of the one‐year retention requirement for testing papers to 2 years. Add reference to homework, perhaps by expanding item 275c. Expand scope of item 275 (perhaps 275c) to include local student proficiency tests administered at beginning, middle, and end of school year.

subSerRevisionRecdFrom:
From Linda Bull, see file 2017.03.02; From Linda Bull, see file 2017.04.12


subSerDescription:
Program admission application, when application is approved:

subSerRetention:
6 years or student participation in program terminates, whichever is later


subSerDescription:
Program admission application, when application is not approved or student does not enroll in program:


subSerDescription:
Cumulative achievement record maintained by BOCES, including information on credits, grades, attendance, instructors' comments and employability profile:

subSerLegalCitation:
8 NYCRR 100.2(w), 100.5 & .6 (creation, retention); EDN §4602 (creation)


subSerDescription:
Other student records maintained by BOCES, including annual and periodic progress reports, from which information is posted to cumulative achievement record:


subSerDescription:
School district's copy of BOCES cumulative achievement and other BOCES student records:


subSerDescription:
Copies or abstracts of student records, sent by a high, middle, and/or intermediate school in another district to elementary, middle, and/or intermediate school which student had attended, and which district does not operate a high, middle school, and/or intermediate school itself:

subSerNotes1:
For copies of student records received from other school districts that do operate a high, middle, and/or intermediate school, use item no. 58.

subSerRevisionSummary:
Clarify the description for 275i. The item pertains to instances such as a public school district which does not operate a high school (such as Menands and Maplewood) which only provides education through the 8th grade, receive records from high schools that their students attend (Watervliet, North Colonie, etc.). These children remain "students" of the district where they reside for state aid, special education, and other purposes. This duplicate recordkeeping also occurs on Long Island with those 4 central high school districts which only operate high schools. If schools within the same district send each other copies of records they create, these records are not our concern because they are treated as duplicate records on our schedule. We merely set the minimum retention for the official copy. In the situation described above, both copies need to have a minimum retention because two separate local governments are keeping them. Also "high school" should be amended to read "high school, middle, or intermediate school" because some districts only provide education through grade 6 and then send their students to a nearby middle or intermediate school in another district. Also added note.


subSerDescription:
Student records, including but not limited to parental consent, approval from student's school district, program participation application, summary of participant achievements and attendance, record of courses taken including grades and examination results, but excluding examination test
papers and answer sheets:

subSerRetention:
0 after student attains age 24, but not less than 6 years

subSerLegalCitation:
EDN §4602 & 4604 (creation); 8 NYCRR 100.7 (creation)


subSerDescription:
Examination test papers and answer sheets:


subSerDescription:
If posted to cumulative achievement record:


subSerDescription:
If not posted to cumulative achievement record:

subSerFinalJustification:
Satisfies long-term administrative needs. These records may be requested by former students and higher education institutions many decades after graduation for verification of degrees conferred for purposes of admission to higher education institutions or employment.

subSerLegalCitation:
8 NYCRR 100.5 & .6 (creation, retention)


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


subSerDescription:
Other program records, including but not limited to application to participate as a sponsor, individual child participation application, records including meal counts, requisition and approval of requisition for donated commodities, and fiscal records such as adding machine tapes, purchase orders, claims and vouchers:

subSerNotes1:
Fiscal records relating to food management and child nutrition do not need to be retained for 6 years as similar fiscal records found in the Fiscal section of this Schedule must be retained.


subSerDescription:
Free and reduced meal policy statement, with attachments and certificate of acceptance:


subSerFinalJustification:
Satisfies statute of limitations for personal injury (CPLR §214).

subSerLegalCitation:
CPLR §214 (retention); PHL Title 8 (creation)


subSerFinalJustification:
Satisfies statute of limitations for fraud (CPLR §213).

subSerLegalCitation:
CPLR §213 (retention); PHL Title 8 (creation)


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

subSerNotes1:
Appraise these records for long-term uses, warranting longer, if not permanent, retention prior to disposition. Records covered by this subitem may be useful in the future in documenting cases of serious food poisoning, such as where death or serious illness occurs from E. coli contamination. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies statute of limitations for litigation involving a minor (CPLR §208) and personal injury (CPLR §214).

subSerLegalCitation:
CPLR §208 and §214 (retention); PHL Title 8 (creation)


subSerDescription:
Annual list of students enrolled in gifted and talented program(s):


subSerDescription:
List of students who applied for and/or were denied placement:


subSerDescription:
Other lists of students, created for internal administrative purposes:


subSerDescription:
Summary record or individual records when not posted to summary record:

subSerFinalJustification:
Satisfies statute of limitations for medical malpractice litigation involving a minor (CPLR §208).

subSerLegalCitation:
EDN Art. 19 (creation); 8 NYCRR 29.2 (retention); 8 NYCRR 136.3 (creation); EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10 & .20 (retention, creation)


subSerDescription:
Individual records when posted to summary record, except blood and body fluids incident report:


subSerDescription:
Individual immunization record, including authorization and/or parental consent:

subSerNotes1:
These records may be requested beyond their minimum legal retention period by persons needing proof of certain immunizations for college admission or other purposes. The State Archives recommends that school districts and BOCES evaluate the need to retain immunization records longer than the stated minimum retention period for these purposes.

subSerLegalCitation:
EDN §914 (creation); 8 NYCRR 136.3 (creation); 10 NYCRR 405.10 & .20 (retention, creation)


subSerDescription:
Blood and body fluids incident report, even when posted to summary record:

subSerLegalCitation:
8 NYCRR 29.2 (retention); 10 NYCRR 2.12 (creation); EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10 & .20 (retention, creation)


subSerDescription:
Report regarding student's ability, personality, family, and environmental influences:


subSerDescription:
Source materials used in preparing report, including "protocols," tests and notes, for students not classified as special education:


subSerDescription:
Source materials used in preparing report, including "protocols," tests and notes, for students classified as special education:


subSerRetention:
7 years after discharge or last contact, but no less than 3 years after person attains age 18

subSerFinalJustification:
Satisfies 7 year and age 21 records retention requirement in 10 NYCRR 69-4.26.

subSerLegalCitation:
10 NYCRR 69-4.26 (creation and retention); CPLR §208 (retention)


subSerFinalJustification:
Satisfies 7 year records retention requirement in 10 NYCRR 69-4.26.

subSerLegalCitation:
10 NYCRR 69-4.26 (creation and retention)


subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Local governments should consider permanent retention of significant cases handled at the local level. Contact the State Archives for additional advice in this area.

subSerFinalJustification:
Satisfies three-year records retention requirement in 29 CFR 1602.30.


subSerDescription:
Course curriculum and related records describing course of instruction and course content:

subSerFinalJustification:
Possesses long-term research value in documenting the development of curricula. Although the State Education Department provides core curricula and syllabi for various areas individual schools are able to modify those plans or even develop their own course curricula.


subSerDescription:
Approved application for occupational education (work-study) curriculum:


subSerDescription:
Approved application for curriculum other than occupational education (work-study):


subSerDescription:
Denied application for curriculum approval or variance:


subSerDescription:
Individualized home instruction plan (IHIP), worksheets, and other related home schooling records:

subSerFinalJustification:
Satisfies the statute of limitations for actions not otherwise provided for

subSerLegalCitation:
CPLR § 213 (retention); 8 NYCRR 100.10 (creation)

subSerRevisionSummary:
Add references to home schooling in item 143 f. Individualized home instruction plan (IHIP).


subSerNotes1:
Reports and studies prepared as part of curriculum planning may have long-term value meriting continued preservation. Local officials should evaluate these records for continued, or permanent, preservation. Contact the State Archives for additional advice.


subSerFinalJustification:
Satisfies statute of limitations for litigation involving a contract (CPLR §213.2)

subSerLegalCitation:
8 NYCRR 137.1 (creation); CPLR §213.2 (retention); 10 NYCRR Title 10 §80.133 (retention and creation)


subSerFinalJustification:
Satisfies three-year retention requirement specified in 8 NYCRR 137.3


subSerDescription:
Official copy of training manual or bulletin:


subSerDescription:
Course instruction records, including attendance lists and lesson plan:


subSerFinalJustification:
Possesses long-term research and historic value because the records were created before 1910 and, as such, other documentation may no longer exist, information may be more detailed and historically significant than modern records, and records may have intrinsic value. Also provide useful information on historic demographic trends in education.


subSerNotes1:
School districts and BOCES should consider permanent retention of these lists on an annual or bi-annual basis, such as at the beginning and/or end of the school year. This information may be useful for long-range planning purposes, teaching with historical records projects, and
community history research. Contact the State Archives for additional advice in these areas.


subSerDescription:
All school census records created prior to 1949 (some early 19th century census records only list names of parents) including so-called "attendance registers" used between 1895 and 1928, in booklet form provided by the State Office of Public Instruction, later the State Education Department (these booklets also contain the school census, trustees' annual reports, registers of visitors, and other information); and school census and enrollment reports, created between 1929 and circa 1949, in booklets provided by the State Education Department, or their equivalents:

subSerFinalJustification:
Possesses long-term research value by documenting historical demographic and enrollment trends in education.


subSerDescription:
Post-1949 school census records, maintained in updateable card-file format:

subSerNotes1:
While not required to do so, school districts and BOCES may wish to retain some school census records maintained in this format permanently for local and family history research and teaching with
historical records projects. Contact the State Archives if you would like additional information on this subject, or to discuss your district's census records in detail.

subSerRetention:
6 years after information it contains becomes obsolete


subSerDescription:
Post-1949 school census records, maintained in list, booklet, computer printout or electronic format:

subSerRetention:
Retain one complete census permanently for every 5 year interval; retain others for 6 years

subSerFinalJustification:
Satisfies short-term administrative needs for most records. Permanent retention of every 5th-year record satisfies long-term research needs by documenting demographic changes to the school population over time.


subSerDescription:
All attendance records created prior to 1929, including "attendance registers" used between 1895 and 1928, in booklet form provided by the State Office of Public Instruction, later State Education Department (these booklets also contain the school census, trustees' annual reports, registers of visitors, and other information):

subSerFinalJustification:
Possesses long-term research and historic value because some date before 1910 and, as such, other documentation may no longer exist, information may be more detailed and historically significant than modern records, and records may have intrinsic value. Also provide useful information on historic demographic trends in education.

subSerRevisionSummary:
Correct date references within parts a and b of the student's attendance record item (44).


subSerDescription:
"Attendance registers" used from 1929 to the present, containing information set forth in Section 104.1 of 8NYCRR:

subSerNotes1:
If annual or bi-annual lists of students are not available for certain school years, school districts and BOCES may wish (but are not required) to retain post-1929 attendance registers for those years in their place to provide students' names. If separate student lists are available, school districts and BOCES may wish to retain examples of the detailed post-1929

attendance registers for use in historical research or in teaching with historical records projects. Contact the State Archives for additional advice

in this area.

subSerLegalCitation:
8 NYCRR 104.1 (creation); EDN §3211 (creation)

subSerRevisionSummary:
Update "attendance register" language to reflect guidance given by SED staff. Item 44b currently states: "in a form provided or approved by the State Education Department.” 



The NY State Education Department’s website states in response to “must schools continue to use the attendance register format approved by the Commissioner?,” ”No. The regulaon defines the register of attendance as any written or electronic record maintained for the purpose of recording the attendance, absence, tardiness or early departure for a pupil. As long as the register contains the information set forth in CR 104.1(d), the LEA is free to develop its own format to be used within the context of its comprehensive attendance policy" (see http://www.p12.nysed.gov/sss/pps/attendance/attendanceQ-A.html). Correct date references within parts a and b of the student's attendance record item (44).


subSerDescription:
Detailed attendance data contained in electronic format in student information systems, or maintained as system output:


subSerNotes1:
Appraise these records for historical significance prior to
disposition. Records with historical value should be retained permanently.

subSerNotes2:
Annual reports containing attendance information submitted to the State Education Department for State aid reimbursement purposes are covered by item no. 881 in the School District and BOCES section, Administration subsection.


subSerDescription:
Periodic reports and other records used to complete annual or bi-annual report:


subSerDescription:
Lists of members or participants, records of activities, competitions and performances, and other records of officially-supported student organizations except scouting records and scouting and training videos:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Photographs and videos of and programs for certain competitions and performances may have historical value in documenting student activities. Records with historical value should be retained
permanently.

subSerNotes2:
Parental consents are covered by item no. 969, below. Health related records are found in the School District and BOCES section, Health subsection.


subSerDescription:
Scouting reports and videos used for scouting and training purposes:


subSerDescription:
Lists of athletes or participants, records of interscholastic competitions and intramural athletics, and other records except scouting records and scouting and training videos:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Official score and record books, team and action photographs and videos of and programs for interscholastic competitions may have historical value in documenting interscholastic student athletics. Records with historical value should be retained permanently.

subSerFinalJustification:
Satisfies short-term legal and administrative needs.


subSerDescription:
Records of major disciplinary actions, including suspensions:

subSerRetention:
3 years after end of school year, but no less than 3 years after student attains age 18

subSerFinalJustification:
Satisfies statute of limitations for litigation involving minors in CPLR §208 and for request of due process hearing in 20 USC §1415(f)(3)(C).

subSerLegalCitation:
8 NYCRR 100.2(l)(4) (creation); EDN §3214 (creation); CPLR §208 (retention); 20 USC §1415(f)(3)(C) (retention)


subSerNotes1:
School districts and BOCES may wish to retain all or select records of minor disciplinary actions for a lengthier period, especially in situations where the records may be needed for use in litigation alleging that a student was improperly disciplined due to an unrecognized learning
disability. Such litigation could potentially commence up to the time when the student attains age 21.

subSerFinalJustification:
Satisfies statute of limitations for request of due process hearing in 20 USC §1415(f)(3)(C).

subSerLegalCitation:
8 NYCRR 100.2(l)(4) (creation); EDN §3214 (creation); 20 USC Section 1415(f)(3)(c) (retention)


subSerDescription:
Notification of missing child and need to "flag" student record, and

subsequent notification to remove "flag" from record, when missing child is located:

subSerRetention:
0 after receiving notification that child is no longer missing

subSerLegalCitation:
EDN §3222.4 (creation); EXC §837-e (creation)


subSerDescription:
Notification of missing child and need to "flag" student record, when child is not reported as having been located:


subSerDescription:
Letter of notification, and letter of correction, when child reported missing is identified as not having been a student at school district receiving
notification:


subSerDescription:
Student information sheet, most recent year's IEP (Individualized Education Program), evaluation record, student exit summary, and summary record (if created):

subSerNotes1:
These records may be needed more than 6 years beyond the student's graduation or 21st birthday to verify previous disability, especially in connection with applications by former students for social security or other benefits. At the same time, unnecessarily long retention of these records may jeopardize the personal privacy safeguards contained in Section 300 of Title 34 of the Code of Federal Regulations. School districts and
BOCES should weigh these concerns carefully and consult their attorney or counsel before establishing policy concerning retention of these records beyond their legal minimum retention periods.

subSerRetention:
6 years after student graduates/would normally have

graduated from high school or 6 years after student attains age 21,

whichever is shorter

subSerLegalCitation:
8 NYCRR 100.6 (creation, retention), 8 NYCRR 200.22(b) and 201.2(a) (creation), 34 CFR 300.304 (creation); 20 USC 1414 (creation); EDN §4402 (creation); 8 NYCRR 200.4 (creation)

subSerRevisionSummary:
Add reference to "student exit summary" to item 267. Consider adding item to cover "behavior intervention plans."

subSerRevisionRecdFrom:
In July 2013, the Regulations of the Commissioner of Education were amended to include the issuance by schools of a "skills and achievement commencement credential" or "New York State career development and occupational studies (CDOS) commencement credential" to special education students in lieu of a Regents or high school diploma (for detailed information about the Regulations revisions, see http://www.p12.nysed.gov/specialed/publications/CDOScredential-att1.htm). For the Skills and Achievement Commencement Credential, any supplementary materials (e.g., Student Exit Summary) can be kept in the student's special education file. Worked with SED's Special Ed. unit  (Alison Conners) to match these to existing items. // Jennifer O'Neill e-mail


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

subSerNotes1:
Health records should be filed in the student's health record in the Health subsection.

subSerRevisionSummary:
Consider adding item to cover "behavior intervention plans." Address inconsistency in retention of health records in item 267 (Special ed student file) and item 137 (student health record). Removed reference to "health records," as these should be maintained with the student health records covered under item 137. See Missouri State retention schedule as example, which also does not include health records in this item. Also, added the note "but not including summary data covered in the cumulative education file" to the series description because the records covered in item 275 should be maintained permanently for special education students as well. Instead, add note to subitem b that health records should be filed in the student health record.


subSerDescription:
Federal Medical Assistance records for Special Education and Case Management Services, including but not limited to all documentation, logs, surveys, reports, remittance statements and memoranda of advisements pursuant to the School Supportive Health Services Program (SSHSP) and the Preschool Supportive Health Services Program (PSHSP):

subSerRetention:
6 years after date of payment to school district or BOCES

subSerFinalJustification:
Satisfies six year records retention requirement in 18 NYCRR §504.3(a).

subSerLegalCitation:
42 USC 1396b (creation); 18 NYCRR 504.3(a) (retention)


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

subSerFinalJustification:
Possesses long-term research value by documenting district plans and policies for dealing with special education students, as well as policy changes over time.

subSerLegalCitation:
8 NYCRR 200.2(c) (creation); EDN §3602.8(b) (creation)


subSerDescription:
Special education space requirement plan developed by BOCES, including related correspondence and any amendments:

subSerFinalJustification:
Satisfies short-term legal and administrative needs


subSerDescription:
Annual and other reports covering the evaluation, referral, placement and review processes, and IEP (Individualized Education Program)
development:

subSerFinalJustification:
Satisfies legal and short-term administrative needs.

subSerLegalCitation:
8 NYCRR 200.9(e) (creation); EDN §4402.1.b (creation); IDEA §612(a)(22) (creation)


subSerLegalCitation:
8 NYCRR 200.6(l) (creation)8 NYCRR 200.16(i)(3)(vi) (creation)


subSerLegalCitation:
8 NYCRR 200.6(l) (creation); 8 NYCRR 200.16(i)(3)(vi) (creation)


subSerDescription:
Annual or other reports submitted to New York State Education
Department (SED) regarding operation and evaluation of the program:


subSerDescription:
Requests for access by parents and authorized employees:


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

subSerFinalJustification:
Satisfies five year records retention period in 20 USC §1232g.

subSerLegalCitation:
34 CFR 300.563 (creation); 20 USC §1232g (retention)


subSerDescription:
Lists of students tested but not classified:


subSerDescription:
Records relating to individual student not classified, including but not limited to referral, results of testing and evaluation report:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving a minor (CPLR §208).

subSerLegalCitation:
CPLR §208 (retention); 20 USC 1414 (creation); EDN §4401-a.6 (creation)


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

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

subSerLegalCitation:
CPLR §214 (retention), EXC §23 (creation)


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

subSerFinalJustification:
Posseses long-term research value in documenting major disasters and related responses that might have historical significance.


subSerDescription:
Records of other than “major” disasters:

subSerNotes1:
Specific records should be appraised for historical value and may warrant permanent retention based on the serious nature of the incident involved. These would include actual discovery of explosives, pathogens or hazardous materials, and major facility evacuations and quarantines. Contact the State Archives for additional advice in this area.

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

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving minors and for personal injusry (CPLR §208 and 214)


subSerDescription:
Final approved copies of plans, along with all revisions and amendments:

subSerFinalJustification:
Possesses long-term research value in documenting school safety efforts in the wake of 9/11 and the evolution of school safety planning philosophies.

subSerLegalCitation:
EDN §2801-a; 8NYCRR Section 155.17 (creation)


subSerDescription:
Plan development, adoption and related records, including records of school safety teams:


subSerDescription:
Violent and disruptive incident (VADIR) and Dignity for All Students Act (DASA) reports and summary records, including copies of summary information submitted to the State Education Department (SED):

subSerNotes1:
Summary records may need to be retained longer, even
permanently, if they document school violence, or if a school has been designated a persistently dangerous school. Contact the State Archives for additional advice.

subSerRetention:
0 after youngest person involved attains age 27

subSerFinalJustification:
Satisfies statute of limitations involving minors (CPLR §208)

subSerRevisionSummary:
Update item 492 to include DASA records. Will need to confirm with SED staff that retention period is accurate.

subSerRevisionRecdFrom:
From SED Counsel; appraisal report s  14-07a and 19-05


subSerDescription:
Violent and disruptive incident data received back from SED:

subSerRetention:
0 after data verified and any necessary corrections
completed


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

subSerFinalJustification:
Posseses long-term research value in providing sufficient explanation for an admittedly negative stigma placed on the school or district by the NYS Education Department.


subSerDescription:
Video or other recording containing incident warranting retention for administrative or potential legal uses:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving minors (CPLR §208) and personal injury (CPLR §214). Also satisfies statute of limitations for initiating criminal prosecution for misdemeanors (CPL §30.10.2c)

subSerLegalCitation:
CPLR §208, §214, and CPL §30.10.2c (retention)


subSerDescription:
Video or other recording not containing incident warranting retention for administrative or potential legal uses:


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

subSerNotes1:
Although Section 807-a of Education Law authorizes school authorities to destroy these reports after 3 years, the State Archives strongly urges that school authorities holding the "official" or "record" copies of these reports retain these records for 21 years to meet possible legal needs, including for use in personal injury litigation involving minors.

subSerFinalJustification:
Satisfies 3 year records retention requirement in EDN §807-a.


subSerDescription:
Structural safety inspection reports and building condition surveys, required by Section 409-d, Education Law and 8NYCRR 155.4:

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving minors (CPLR §208).

subSerLegalCitation:
CPLR §208 (retention); EDN §409-d and 8NYCRR 155.4 (creation)


subSerDescription:
Visual inspection reports, required by 8NYCRR 155.4:

subSerFinalJustification:
Satisfies 5 year records retention requirement in 8 NYCRR 155.4.


subSerDescription:
Records other than reports and surveys covered by parts "a," "b" and "c," above:

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

subSerLegalCitation:
EDN §409-d and 8NYCRR 155.4 (creation); CPLR §214 (retention)


subSerDescription:
Training and certification applications and lists of persons who have taken or need to take training:

subSerLegalCitation:
10 NYCRR 800.20 and EDN §804-c and -d (creation)


subSerFinalJustification:
Satisfies 5 year records retention requirement in 10 NYCRR 800.20.

subSerLegalCitation:
10 NYCRR 800.20 (creation, retention) and EDN §804-c and -d (creation)


subSerRetention:
6 years after individual leaves service or student graduates or would normally have graduated from high school, but no less than 7 years

subSerFinalJustification:
Satisfies 5 year records retention requirement in 10 NYCRR 800.20. Also satisfies short-term administrative needs.


subSerDescription:
Routine analysis (i.e., indicating water is within accepted standards) of water at pool:


subSerDescription:
Non-routine analysis (i.e., indicating water is not within accepted standards) of water at pool:


subSerFinalJustification:
Satisfies long term administrative and reference needs. Possesses long term research value in documenting capital needs of districts and BOCES for facilities support..


subSerDescription:
Background materials and supporting documentation, including plan development records:


subSerDescription:
Registration application and qualification and availability records:

subSerRetention:
6 years after individual's registration is discontinued


subSerFinalJustification:
Satisfies long-term administrative needs for retirement benefit purposes


subSerDescription:
Summary report submitted to Commissioner of Education:

subSerFinalJustification:
Possesses long-term research value in documenting history of subversive activities among local government employees


subSerDescription:
Records relating to person charged with subversive activity, or membership in a subversive organization, including hearing records and record of final
disposition of case:


subSerDescription:
Declarations by persons claiming no involvement in subversive activities or membership in subversive organizations:


subSerDescription:
Professional development plan, including all amendments and updates:

subSerFinalJustification:
Possesses long-term research value in documenting the management of the state’s schools

subSerLegalCitation:
8 NYCRR Part 100.2(dd), Education Law §§3012-c&-d (creation)


subSerDescription:
Plan development and adoption records, including records of plan development team, and related records:


subSerDescription:
Professional performance review plan, including all amendments and updates:


subSerDescription:
Plan development, adoption, variance and related records:


subSerDescription:
District internship or equivalent plan, including all amendments and updates:


subSerDescription:
Plan development, adoption, variance and related records, including records of plan submission to and approval by the State Education Department:


subSerRetention:
3 years after expiration of eligible list


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


subSerRetention:
6 months after expiration of eligible list, but not less than 3 years


subSerFinalJustification:
Satisfies five-year records retention requirement in 10 NYCRR §800.20(9)(ii)

subSerLegalCitation:
10 NYCRR §800.20(9)(ii) (creation and retention)


subSerRetention:
5 years after working association of each instructor ceases

subSerFinalJustification:
Satisfies five-year records retention requirement in 10 NYCRR §800.20(9)(iii)

subSerLegalCitation:
NYCRR §800.20(9)(iii) (creation and retention)


subSerDescription:
Annual list of students placed in magnet schools:


subSerFinalJustification:
Is consistent with retention period for student cumulative education record file.


subSerDescription:
When application is not approved or student does not enroll in program:


subSerDescription:
Original application, including district plan for operating magnet school(s):

subSerFinalJustification:
Possesses long-term research value in documenting the history, planning, and operation of magnet schools.


subSerDescription:
Renewal application and all other related records:


subSerDescription:
Individual child's folder, including but not limited to application from parent/guardian, individual service plan, conference notes, year-end or other reports, health records, family profile and social information:


subSerDescription:
Annual or other master listing of students enrolled in program:


subSerDescription:
For gift or bequest not covered under parts "a" or "b," or by note above:


subSerDescription:
Participant records, including applications to attend day care program; children's immunization and health records, including parent's consents for emergency medical treatment; and related records:


subSerDescription:
Program records not covered by other items on this Schedule, including those required to be maintained by 18 NYCRR Sections 414.15, 418-1.15 and 418-2.15, including program registration records; video surveillance tapes; daily attendance records; staff health statements; Statewide Central Register clearance forms and related records; documentation of facility compliance with Uniform Fire Prevention and Building Code and other state requirements; description of program activities; and related records:


subSerDescription:
Family folder, including but not limited to application from parent/guardian, testing records, service plan, records of home visits, conference notes, year-end progress or other reports, health records, family profile and social information:


subSerDescription:
Applications (including related testing records) from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program:


subSerDescription:
Annual or other master listing of students and families enrolled in program:


subSerDescription:
Performance indicators used to monitor, evaluate and improve program:

subSerRetention:
6 years after superseded or obsolete


subSerRevisionSummary:
Eliminate existing note and clarify that note that appears above part c should not apply to part d. OCFS counsel notes that "preventive services records "must be expunged six years after the 18th birthday of such child" in accordance with the regulation and as such, permanent retention is not acceptable."


subSerNotes1:
Although item no. 1134, sections c and e have a less than permanent retention period, the State Archives recommends that county social services agencies consider permanently retaining services case histories (narrative and comment sheets), where they exist. These histories contain information not available elsewhere, and document counties' roles in public assistance programs.


subSerNotes1:
For child that is a foster care case, follow disposition requirements under part e.

subSerRevisionSummary:
Per OCFS counsel, added clarification note that foster care cases should follow disposition requirements under part e.


subSerDescription:
Non-services and services case files, other than those described in other parts of this item, including programs such as Public Assistance and Care, Medical Assistance, Supplemental Nutrition Assistance Program (SNAP), Adult Services, and Aid to Dependent Children, where first entry is 1951 or later, and including but not limited to application for assistance or services, eligibility forms, authorization of assistance or services, and correspondence:

subSerNotes1:
The United States Department of Agriculture (USDA), Food and Consumer Services (FCS), requires that certain case files involving Supplemental Nutrition Assistance Program (SNAP) be retained for a longer period of time than stated in part "g". If there has been an intentional program violation (IPV) disqualification, the case record must be retained for the life of the individual involved, or until FCS has notified the State Office of Temporary and Disability Assistance that the case record is no longer needed. For cases involving work requirement violations and permanent disqualifications, the case records must be retained for the life of the individual involved or until that individual attains age 60, whichever is shorter. For additional information, contact the Division of Temporary Assistance, New York State Office of Temporary and Disability Assistance, at (518) 474-9300.

subSerRevisionSummary:
Updated reference to food stamps to SNAP.


subSerDescription:
Home Energy Assistance Program (HEAP) case files, including regular benefit, emergency benefit, and clean and tune benefit:

subSerRetention:
6 program years, including the current program year

subSerRevisionSummary:
Added "program (HEAP)" so it properly reads "Home Energy Assistance Program (HEAP)"


subSerDescription:
Home Energy Assistance Program (HEAP) case files, including Heating Equipment Repair and Replacement (HERR) and Cooling Assistance Component benefits:


subSerFinalJustification:
Possesses long-term research value in documenting the organizational governance of the local development corporation.


subSerDescription:
Copies of federal income tax returns and related records:


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

subSerLegalCitation:
NPC § 1411 (creation), EXEC § 172 (creation)


subSerDescription:
Annual reports on the solicitation and collection of funds for charitable

purposes, filed with New York State Office of Attorney General and

Department of State:

subSerLegalCitation:
NPC § 1411 (creation), EXEC § 172-b (creation)


subSerFinalJustification:
Possesses long-term research value in documenting membership of the organization.


subSerDescription:
Records of dues collection and receipt (if applicable):

subSerFinalJustification:
Satisfies short-term administrative needs, ) and OSC's audit requirements.


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


subSerDescription:
For cases where determination is decided through a hearing:

subSerRetention:
1 year after date of final determination or 1 year after student no longer enrolled in district, whichever is longer


subSerDescription:
For cases where residency is verified without a hearing:

subSerRetention:
1 year after date of final determination


subSerDescription:
Inspection reports, except those conducted by the municipality and covered under Building and Property Regulation section:


subSerDescription:
Health insurance buy-out program records, including approval documentation, annual proof of alternate health insurance coverage, and annual waiver forms:

subSerNotes1:
Excludes original opt-out or declination application which is covered by subitem b. above and incentive payment records which are covered by item no. 647.

subSerRevisionSummary:
Add another subitem to ED-1 item 207 to address annual health insurance enrollment forms (excluding declinations which would be covered under 207d). Presumably, the retention period for this new subitem would be short.


subSerDescription:
Personnel case file materials for teachers, except summary information record, and including but not limited to application for employment, resume, results of criminal background check, report of personnel change, evaluation, civil service examination results, notice of resignation or termination, observation and site visit records (as part of the annual professional performance review (APPR)), and correspondence:

subSerNotes2:
Employers may wish to retain records for lengthier periods (i.e., the duration of preferred eligible lists) when employees are placed on
preferred eligible lists at the time of termination. These lists have a duration of seven years under Sections 2510 and 3013 of Education Law. For New York City, preferred eligible lists are established under Section 2588 of Education Law without specified durations.

subSerFinalJustification:
Satisfies 7 year records retention requirement in EDN §3013.

subSerRevisionSummary:
Add subitem to personnel records item to reflect 7-year retention requirement for teachers' records.


subSerDescription:
Contract worker background check records for those working in local government facilities, including checks of criminal history backgrounds, driver’s licenses, employment, and references:

subSerRetention:
6 years after contract or worker is terminated, whichever is sooner

subSerLegalCitation:
CPL §213 (retention); EDN §305 (creation)

subSerRevisionSummary:
Consider revising items re Personnel records of local government employees to include fingerprint cards and related records of staff of 3rd party contractors. Suggest adding new item. Since 3rd party contractors (i.e. school cafeteria workers) technically are not LG employees, but LGs may retain certain personnel related records (i.e. fingerprint checks), it would seem a separate sub-item would make the most sense.

subSerRevisionRecdFrom:
From Cassandra Sellingham Queensbury UFSD


subSerDescription:
Employment eligibility verification records (I-9 form):

subSerRetention:
3 years from the date of the hire or 1 year after termination of employment, whichever is later

subSerFinalJustification:
Satisfies 3-year after hiring date and 1-year after termination of employee records retention requirement in 8 CFR 274a.2.

subSerRevisionSummary:
Add part e. to personnel item to authorize shorter retention of I-9 form per 8 CFR 274a.2 (three years after the date of the hire or one year after the date the individual's employment is terminated, whichever is later).


subSerDescription:
Security guard application records pursuant to Section 89-g(7) of General Business Law, including copy of application for a registration card, proof of due diligence to verify the information therein contained, photograph, and training records:

subSerNotes1:
All other security guard personnel records are covered by other subitems.

subSerFinalJustification:
Satisfies 1-year records retention requirement in GBS §89-g(7).

subSerRevisionSummary:
Consider what impact, if any, the Security Guard Act provisions have on the retention period of personnel records. Under the Security Guard Act (Article 7-A of General Business Law), there are requirements for companies that employ licensed security guards. Those entities must meet certain obligations, including the following in Sect. 89-g(7): "Every security guard company shall maintain for each security guard it employs, and for a period of one year following the retirement, resignation or termination of such security guard's employment a copy of the application for a registration card, proof of due diligence to verify the information therein contained, one photograph and training records, after which year the security guard company shall cause all such records and documents to be destroyed." Bob McDonnell’s reading of this is that it covers the types of records that would ordinarily be retained in a personnel file, and that would ordinarily be required to be kept until 6 years after employee termination. However, this law effectively overrides our retention schedules, because it requires that the specified records be destroyed one year after termination. Added part f. to personnel records item.

subSerRevisionRecdFrom:
Adrian Boone; From Warren's files: Bob McDonnell notes: "The NYS Department of State licenses security guards. Under the Security Guard Act (Article 7-A of the General Business Law), there are requirements for companies that employ licensed security guards. The term "company" is defined by Sect. 89-f to include public entities, including State agencies and local governments. Those entities must meet certain obligations, including the following in Sect. 89-g(7): "Every security guard company shall maintain for each security guard it employs, and for a period of one year following the retirement, resignation or termination of such security guard's employment a copy of the application for a registration card, proof of due diligence to verify the information therein contained, one photograph and training records, after which year the security guard company shall cause all such records and documents to be destroyed." My reading of this is that it covers the types of records that would ordinarily be retained in a personnel file, and that would ordinarily be required to be kept until 6 years after employee termination. However, this law effectively overrides our retention schedules, because it requires that the specified records be destroyed one year after termination. Thus, I don't see any need for us to update our schedules to cover this. We might to add a note to our schedules in the future, but whether of not we have such a note, the governments are still required by this law to maintain and then destroy records after the indicated period. In other words, a specific law requiring records destruction overrides any retention schedule item that we would otherwise issue for those records and makes such an item unnecessary for authorizing records destruction."


subSerNotes1:
When the applicant is hired, the application is retained in or as long as the personnel file. See item no. 636 in the Personnel subsection.

subSerRetention:
4 years after completion of personnel action

subSerFinalJustification:
Satisfies four-year retention requirement in 28 USC 1658

subSerRevisionSummary:
Update retention period to 4 years to be consistent with General Schedule.


subSerDescription:
General employment inquiries and resumes which are not related to posted vacancies:

subSerRevisionSummary:
Expand "application for employment" item to cover general employment inquiries.


subSerDescription:
Documentation of inadvertent or premature destruction or loss of records:

subSerNotes1:
Local governments may wish to retain records covered by part "b" and "c" longer than the minimum retention period, to provide evidence that records have been legally disposed of, in response to requests for public access to records. In addition, documentation of the final disposition of archival records is covered by item no. 90.

subSerNotes2:
The Public Service Commission must be notified regarding any premature destruction or loss of records related to public service utilities per 16NYCRR 733.9.

subSerRetention:
6 years after expiration of original disposition term


subSerDescription:
Official plan and detailed procedures for conducting test:

subSerFinalJustification:
Possesses long-term research value in documenting local preparations to deal with emergencies and disasters.


subSerDescription:
Other records, including but not limited to copies of information provided participants and citizens, traffic congestion reports, video or audio recordings, and interviews with participants and emergency responders:


subSerDescription:
Missing student notification policy and procedures, including supporting materials:

subSerRetention:
6 years after policy and procedures are superseded

subSerFinalJustification:
Satisfies 6 year records retention requirement in 20 USC 1092(f).

subSerLegalCitation:
20 USC 1092(j) (creation, retention); 34 CFR 668.46(h) (creation)


subSerDescription:
Emergency response and evacuation policy and procedures, including supporting materials:

subSerLegalCitation:
20 USC 1092(f) (creation, retention); 34 CFR 668.46(g) (creation)


subSerDescription:
Annual fire safety and compliance reports:

subSerFinalJustification:
Possesses long-term research value in documenting campus safety issues.


subSerNotes1:
Appraise records relating to significant fires for historic value.


subSerDescription:
Fire statistics, including supporting materials:

subSerRetention:
7 years after the end of the calendar year in which summarized data was first published in a fire safety and compliance report


subSerRetention:
6 months after election and, if school election, after board of education resolution

subSerFinalJustification:
Satisfies 6 month retention requirements in ELN § 2034.6(b).


subSerDescription:
Prescription drug claims, for Medicare Part D plan sponsors:

subSerFinalJustification:
Satisfies 10 year records retention requirement in 42 CFR 423.505(d).


subSerRevisionSummary:
Medicaid Part D, see 42 CFR 423.505(d), requires minimum retention period of 10 years for specified records related to prescription drugs. Add new subitem to CO2 454.

subSerRevisionRecdFrom:
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.


subSerDescription:
For persons evaluated but not treated by facility or program, other than early intervention program:


subSerDescription:
For records of the Physically Handicapped Children's Program (program pays for expenses related to approved medical conditions of children that are not covered by the family's health insurance):

subSerNotes1:
New York State Department of Health has determined that the records retained as part of Physically Handicapped Children's Program are not medical records.

subSerFinalJustification:
Satisfies New York State Department of Health requirements.

subSerRevisionSummary:
Physically Handicapped Children's Program was given information regarding the retention for medical case records. DOH has rendered an opinion that the local /state Physically Handicapped Childrens Program is not maintaining a medical record, therefore the regulation concerning retention of medical records is not applicable to this unit. The state recommends the retention for these files to be 6 years from the initial receipt or creation of the document. It was decided that the records that were originally thought to be Medical case records (CO-2 item 473) are actually Screening and Assessment Records (CO-2 item 452).


subSerDescription:
Standing orders (written protocols approved by a physician or other authorized practitioner that allow qualified health care professionals including nurses or pharmacists to administer vaccinations):

subSerFinalJustification:
1 year should be sufficient to cover any need to refer to obsolete order after new one is established.

subSerRevisionSummary:
Consider updating existing vaccine distribution record series to include medical director standing orders. Perhaps these would have a shorter retention period. Standing orders programs authorize nurses and pharmacists to administer vaccinations according to an institution- or physician-approved protocol without a physician's exam. We've received no legal guidance on this.


subSerDescription:
Daily operation reports for swimming pools, bathing beaches, and recreational aquatic spray grounds:

subSerFinalJustification:
Satisfies 1 year records retention requirement in 10 NYCRR 6-1.21, 6-2.18, & 6-3.20.


subSerDescription:
All other reports, including inspection report:

subSerLegalCitation:
PBH § 347 (creation), 10 NYCRR 1.10 and 1.11 (creation)


subSerDescription:
Wildlife vaccination program records, including application and notification records, forms, logs, and reports:

subSerNotes1:
Appraise any annual, final, or special reports for historical significance prior to disposition. Reports may document significant public health initiatives and provide detailed information on the impact and results, thus possessing historical or other value warranting permanent retention. Contact the State Archives for additional advice.


subSerDescription:
Permits issued to allow vehicles to be used for various purposes, such as waste transport, hazardous materials transport, and oversized loads:

subSerRevisionSummary:
Consider revising "maintenance, testing, service, operational and repair records for equipment and vehicle" item to cover permits issued to allow vehicles to be used for various purposes, such as waste transporters, overweight loads, etc. or adding a new item. Also consider relationship of records to item in Transportation sections of some schedules for Highway Related Permit Files, which are permits a county or town may issue to various vehicles.


subSerNotes1:
Local governments may wish to retain these records longer for retirement documentation purposes.

subSerFinalJustification:
Satisfies short-term administrative and fiscal needs.


subSerDescription:
All other records, including drafts and working papers:


subSerDescription:
Validation records, received from and submitted to Division of Criminal Justice Services:


subSerRevisionSummary:
Consider adding a subitem to firearm licensing file item to cover "withdrawn or incomplete" applications with a short retention period. Item currently only addresses approved or denied applications and not those for which no action was taken.

subSerRevisionRecdFrom:
From Kelly Yacobucci Farquhar, County Historian/RMO, Montgomery County Dept. of History & Archives


subSerDescription:
Results of tests administered by law enforcement personnel, when not included in case investigation records:


subSerDescription:
Records pertaining to the verification and maintenance (including calibration) of breath analysis instruments and standards, including but not limited to operator’s form, testing data, solution sample certifications, and operational checklist:


subSerDescription:
Calibration, quality control, and testing records for other types of equipment:


subSerDescription:
Assessment reports, annual compliance surveys (compliance reports), standard compliance reports, and other correspondence:

subSerFinalJustification:
Satisfies control agency DCJS's requirements and is consistent with their records retention periods.


subSerDescription:
Contents of file folders used to demonstrate compliance with the program, provided they are copies:

subSerRetention:
0 after accreditation period ends or is renewed


subSerDescription:
Physician authorization to resume athletic activity after a traumatic brain injury:

subSerFinalJustification:
Satisfies permanent records retention requirement in EDN §305.42(a)(iii).


subSerRetention:
0 when superseded by a full backup or when no longer needed for system restoration, whichever is later


subSerRetention:
0 after 2 system backup cycles and is verified as successful or when no longer needed for system restoration, whichever is later


subSerDescription:
Financial records, including checks or payment confirmation notices:


subSerNotes1:
School districts and BOCES may wish to keep these records longer for convenience of both school personnel and graduates who may request their diploma at some later date.

subSerRevisionSummary:
Add subitem to student academic item (275) to cover unclaimed diplomas, and possibly copies of awarded diplomas . Model on item in community college section.


subSerDescription:
Master listing of permits or designated parking spaces or other summary record:


subSerDescription:
Records not accepted as part of the minutes, including agendas, background materials and other records used at meetings:


subSerDescription:
Temporary drafts or personal notes that were not circulated, reviewed, or used to make decisions or complete transactions:


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

subSerFinalJustification:
Possesses long-term research value in documenting the operations, decisions, policies, activities, and accomplishments of local governments.


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


subSerDescription:
Of no fiscal, legal or administrative value:


subSerDescription:
Records related to the application for, receipt, and delivery of supported services, or which demonstrate compliance with statutory or regulatory requirements, including pre-bidding, bidding, contracts, application process, invoices, and FCC certification forms and program integrity assurance review documentation:

subSerRetention:
10 years after the last day of the applicable funding year or the service delivery deadline for the funding request, whichever is later

subSerFinalJustification:
Satisfies the 10 year records retention requirement in 47 CFR 54.516.


subSerDescription:
Asset and inventory records of equipment purchased sufficient to verify the actual location of such equipment:


subSerDescription:
Proof of residency records for student, excluding residency investigations and hearing records:

subSerRetention:
Retain most current until 6 years after student graduates or would normally have graduated from high school. Destroy older proofs 6 years after superseded.

subSerRevisionSummary:
Add new sub-item to cumulative education record (275) or expand scope of b. to cover "proof of residency" records. Most recent proof of residency usually filed with student records, and 6 years after graduation is consistent with retention of supporting documentation in 275b. Older proofs do not need to be retained for the same period of time once obsolete, but do still need to meet CPLR 213 requirements in case of litigation. Residency investigations and hearing records are covered under item 462.


subSerDescription:
For fraud case complaint records, when no action is taken:

subSerRetention:
6 years after decision not to investigate

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving fraud (CPLR §213) and is consistent with the retention period established for similar records managed by the NYS Office of the Welfare Inspector General.


subSerDescription:
For fraud case complaint or investigation records, when additional action is taken:


subSerNotes1:
For records of requests for student information which are not subject to FERPA requirements, see item no. 53 in the General Administration section. Requests by students for information on themselves are covered by item no. 948.


subSerDescription:
Waiver of right to inspect and review confidential letters and statements placed in
student education records:

subSerRetention:
1 year after waiver is terminated or 1 year after the
concerned records are no longer maintained


subSerLegalCitation:
Directory information policy statements be retained as long as student PII disclosure records which includes permanent retention.

subSerRevisionSummary:
FERPA directory information policy statements were appraised and found to have long-term historical value.


subSerRetention:
3 years after issued or superseded or obsolete, whichever is
later


subSerDescription:
Home language questionnaire and English language proficiency identification assessment results:

subSerFinalJustification:
Satisfies permanent records retention requirement in 8 NYCRR 154-2.3.

subSerLegalCitation:
8 NYCRR 154-2.3 (creation, retention); 8 NYCRR 117.3(c)(4) (creation)


subSerDescription:
Parental communication, principal's designation recommendation and any subsequent review of recommendation, student interview records, and any other records generated as part of the identification and review process:


subSerDescription:
Non-warrant copy of tax roll prepared by the county and submitted to city or town showing county taxes:

subSerNotes1:
When a county prepares its warrant for county taxes, it also prepares and send to each of the cities and towns a non-warrant copy of the city and town assessment roll showing county taxes for properties on those rolls. These non-warrant copies of city/town tax rolls, showing only county taxes and not city or town taxes, are used by the cities and towns to prepare their warrant rolls.

subSerFinalJustification:
Satisfies 5 year records retention requirement in RPT §900.3.

subSerRevisionSummary:
Add an additional part to item 594, MU-1, to cover non-warrant copies of tax rolls sent to cities and towns by the county, showing county taxes. Proposed retention period is 5 years. These copies, with this retention, are required by Sect. 900.3 of Real Property Tax Law.


subSerDescription:
Records requesting tax bills or statements be sent to third-party designees:

subSerRetention:
6 years after request expires or is withdrawn

subSerFinalJustification:
Satisfies statute of limitations for litigation involving fraud (CPLR §213). Also satisfies OSC’s audit requirements.

subSerRevisionSummary:
Revise item 595 (MU-1) or create new subitem to account for a form that senior citizens can request to have a copy of their tax bill sent to a third-party designee. Once someone files this form, it stays in effect until it is revoked, the person dies, or the property is sold. Technically, I think that these events can be folded into "expires or is withdrawn" and is a much cleaner way of phrasing it.

subSerRevisionRecdFrom:
E-mail from Sarah to Jennifer (re: inquiry from Livonia Town Clerk)


subSerDescription:
For employees of school district or BOCES:


subSerDescription:
For individuals who are not employees of school district or BOCES:

subSerFinalJustification:
Satisfies 2 year records retention requirement in VAT §509-g.


subSerDescription:
Security plan and registration record submitted to the New York State Department of Transportation under provisions of Section 14-m, Transportation Law:

subSerFinalJustification:
Satisfies 3 year retention requirement in TRA, Article 2 §14-m(ii)(b).

subSerRevisionSummary:
Add new subitem to MU-1 item 609 in the Airport subsection to cover a security plan and airport registration, which are required by Transportation Law, Article 2 §14-M


subSerFinalJustification:
Satisfies 30 year records retention requirement in 29 CFR 1910.1020 (d)(1)(i)


subSerDescription:
Records and documents relating to medical certifications, re-certifications or medical histories of employees or employees’ family members, created for purposes of Family and Medical Leave Act (FMLA):

subSerFinalJustification:
Satisfies 3-year records retention requirement in federal Family and Medical Leave Act of 1993 (29 CFR 825.500).

subSerRevisionSummary:
Add subpart b. and references to FMLA medical records in employee medical record item.


subSerDescription:
Consolidated Omnibus Budget Reconciliation Act (COBRA) compliance records, including but not limited to correspondence, employee notice of qualifying event, records documenting continuation or termination of coverage, and copy of employer notices:

subSerFinalJustification:
Satisfies 6-year records retention requirement in 29 USC §1027. COBRA amends Employee Retirement Income Security Act of 1974 (ERISA), codified as 29 USC §1027.

subSerLegalCitation:
29 USC Part 6 (creation); 29 USC §1027 (retention)

subSerRevisionSummary:
Add new subpart f. to health insurance item (CO-2 item 399) to cover COBRA compliance records.


subSerDescription:
Records relating to individual teachers mentored:

subSerRetention:
7 years from date of completion of the mentoring activity for records documenting professional development programs completed by employees in positions requiring teaching certification

subSerFinalJustification:
Satisfies 7-year records retention requirement in 8 NYCRR 100.2(dd)(5)(ii).

subSerLegalCitation:
8 NYCRR 100.2(dd)(5)(ii) (creation, retention)


subSerDescription:
Records of overall activities not relating to individual teachers mentored:

subSerFinalJustification:
Retention period is consistent with that of item no. 479b.


subSerFinalJustification:
Retention periods are based on similar records covered in PERB schedule.


subSerDescription:
Unit clarification and Management/Confidential (M/C) case files:

subSerRetention:
8 years after close of case and any appeals completed


subSerRetention:
6 years after discontinuance of involvement with the parties


subSerDescription:
Record of requests for access to and disclosures of protected health information from patient, student, and employee medical and other records, as required by HIPAA/HITECH regulations:

subSerFinalJustification:
Satisfies 6-year records retention requirement in 45 CFR 164.528


subSerDescription:
Privacy and security policies and procedures, staff designations, privacy practices notices, complaints and resolution records, staff training on policies and procedures, data use agreements, incident and breach notification documentation, and related records as required by HIPAA/HITECH regulations:

subSerRetention:
6 years from the date of creation or last effective date, whichever is later

subSerFinalJustification:
Satisfies 6-year records retention requirement in 45 CFR 164.316 and 45 CFR 164.530(j).

subSerLegalCitation:
45 CFR 164.316 (creation, retention); 45 CFR 164.530(j) (creation, retention)


subSerDescription:
Information on handicapped persons in residence, including CAD special needs notification form; building access or hazards relating to specific structures; presence of dangerous animals; location of firearms, ammunition, and hazardous materials:


subSerDescription:
Routine information of no potential legal value, such as name spelling corrections and information verification records:

subSerNotes1:
Street and address information is covered by item no. 1173.


subSerDescription:
When no copies of original materials are requested:


subSerDescription:
When copies of original materials are requested:

subSerFinalJustification:
Satisfies the statute of limitations for legal action under U.S. Copyright Law (17 USC 507).


subSerNotes1:
Photo release records are covered under item no. 68 in General Administration section.

subSerRetention:
6 years, or 3 years after child attains age 18, whichever is longer


subSerDescription:
Attendance sheets and registration forms, when no fee is charged:


subSerRetention:
3 years after superseded by updated plan


subSerDescription:
Inspection and maintenance plan and annual certification:

subSerRetention:
3 years after superseded by revised plan or certification


subSerDescription:
Annual summary reports, including those submitted to the New York State Division of Criminal Justice Services and the county legislative body:


subSerDescription:
Quarterly and monthly reports submitted to New York State Division of Criminal Justice Services:

subSerFinalJustification:
Three-year retention consistent with retention of similar reports in 567b.


subSerDescription:
Reports, studies, or queries having legal or fiscal value, such as reports covering personnel resources, reports on socio-economic characteristics of department clients, reports on clients participating in different programs, and assignment and disposition of similar type cases:

subSerNotes1:
Appraise these records for historical value prior to disposition. Reports and studies analyzing probation department programs and activity may be valuable for long-term planning, analysis of trends in criminal justice, and for historical and other research. Contact the State Archives for additional advice.

subSerFinalJustification:
Six years requested by ACPD and consistent with similar reports covered in item 567a.


subSerDescription:
Reports, studies or queries having no legal or fiscal value, such as daily activity, individual staff assignments, or other routine internal reports:


subSerDescription:
Summary data on any individual contained in or produced by an automated system:

subSerFinalJustification:
Master summary data consistent with summary data of probationers in item 432.


subSerDescription:
Detailed data on any individual contained in or produced by an automated system, regardless of duplication of information found in individual case file:

subSerNotes1:
Although the data covered by part "b" has a less than permanent retention period, the State Archives urges county probation agencies to retain information on presentence or predisposition investigations, quarterly supervision, and termination permanently. This information may not be available elsewhere, and documents the county's role in the probation process and may possess long-term legal and administrative value as well. Maintaining the data electronically may be preferable to maintaining the paper case record materials covered by item no. 1123b.

subSerFinalJustification:
Retention consistent with retention of probation case file reports in 431a.


subSerDescription:
Macros and queries (including the necessary documentation used in report and query generation) used to generate reports and other output from system data:

subSerRetention:
Retain as long as resulting report or other data output record

subSerFinalJustification:
Retention similar to that of reports, studies or data queries in Item 883a and 930a.


subSerDescription:
Routine drug tests results, where results are found to be negative and are not filed as part of the case file:

subSerFinalJustification:
5 years consistent with retention for similar test by OPRHP police.

subSerRevisionSummary:
Add new subitem to case files to cover results of routine drug tests. Dutchess Co maintains results of routine drug tests separate from the full case files. I assume that any positive tests will be incorporated into the case file and thus subject to that retention period.

subSerRevisionRecdFrom:
From Warren's file: Dutchess Co Probation Dept.


subSerDescription:
Monitoring records for ignition interlock devices, including notification of installation or de-installation of device, emergency notification program communications/notifications, motor vehicle information, monitoring data, and correspondence:

subSerRetention:
1 year or once the probation period has ended, whichever is longer

subSerFinalJustification:
Devices required to be installed for length of probation period, but no less than twelve months

subSerRevisionSummary:
Consider adding subitem to 431 (case files) to cover monitoring of ignition locks for DWI drivers

subSerRevisionRecdFrom:
From Glenn Terwilliger, RMO in Goshen, NY


subSerRevisionSummary:
Add subitem to cover documentation of ownership of various pieces of property, including vehicles, such as titles, registrations, etc. Add note to reference purchase and warranty records covered by existing items in separate sections.

subSerRevisionRecdFrom:
From Warren's file; From Linda Bull, 2018.04.09


subSerDescription:
Denied registration application and related records:

subSerRevisionSummary:
Added new subitem. Because the wording would otherwise be too confusing, I broke out denied application records into a separate subitem.


subSerDescription:
Records demonstrating compliance with the compatibility requirement if storing regulated substances containing greater than 10 percent ethanol, greater than 20 percent biodiesel or any other regulated substance:

subSerRetention:
Maintain for the life of the storage tank

subSerRevisionSummary:
Added new subitem per requirements of 40 CFR, Part 280.20 which were new in 2015.


subSerDescription:
When asbestos is installed, removed, encapsulated, applied, distributed or otherwise involved:


subSerDescription:
When lead is removed, encapsulated or otherwise involved:


subSerDescription:
Records of use of camera or speed-timing, such as radar activity log and reports of speed or traffic enforcement monitoring:

subSerNotes1:
These records may have long-term value in transportation planning, in providing information on average and excessive speeds for specific road segments.


subSerDescription:
Calibration and other quality control and testing records for speed-timing devices and traffic enforcement cameras:


subSerDescription:
Division of Criminal Justice Services training materials:

subSerFinalJustification:
Municipal Police Training School (Division of Criminal Justice Services retention schedules) maintains official training records.


subSerDescription:
Annual inspection of bottled water facility for certification purposes:

subSerFinalJustification:
Satisfies the records rentention requirements in 10 NYCRR 5-6.13(e).

subSerLegalCitation:
10 NYCRR 5-6.16(d)(1) (creation); 5-6.13(e) (retention)

subSerRevisionSummary:
Add subitem to MU-1 item 230 to cover records of annual inspection of each bottled and bulk water facility for certification purposes. The inspection may be conducted by a third party approved by the Department, local county health department or district office, or by the Department.


subSerDescription:
Surveillance, investigation, and response records:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records of unusual disease occurrences or epidemics may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

subSerLegalCitation:
10 NYCRR 2.6 and 2.16 (creation), 10 NYCRR 40-2.22 (creation)


subSerDescription:
When offense involved was a crime committed by a juvenile, other than a Class A or B felony, and no subsequent crime committed:

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

subSerRevisionSummary:
Add a new sub-item for individual identification file (MU-1 item 524) specific to juveniles.

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


subSerDescription:
Records documenting exemptions under payments in lieu of taxes (PILOT):

subSerFinalJustification:
Satisfies legal, administrative, and fiscal needs, and is consistent with retention of records that document collection of tax payments.

subSerRevisionSummary:
Add a subitem to tax exemption or abatement file

subSerRevisionRecdFrom:
"From Christine Hogan, Westchester County Record Center; From Warren's file: Village of Waverly; From Sheila Almond, UO BOCES, via Linda Bull
"


subSerDescription:
Program files on local government cable television programs:


subSerDescription:
Continuing Teacher and Leader Education (CTLE) Sponsors courses and workshop:

subSerFinalJustification:
Satisfies control agency (State Education Department) requirements.


subSerDescription:
Personnel-related records of reports of allegations of child abuse against school employees and volunteers in an "educational setting" (as defined in

Section 1125, Education Law), for those reports which do not result in

criminal convictions:

subSerNotes1:
Personnel-related records which do result in criminal convictions are covered by part “b." For related records of child abuse and maltreatment, see item no. 27 in the General Administration section, Incidents subsection.

subSerRetention:
5 years after the date of the report, or after such earlier time as may be determined by the school or district

subSerFinalJustification:
Satisfies 5-year retention period per Education Law § 1128-a.

subSerLegalCitation:
Education Law § 1126 (creation); EDN § 1128-a (retention)


subSerDescription:
Earnings (in-service) credit records, covering teachers, teacher assistants and other personnel:

subSerRetention:
75 years after date of birth of employee, 55 years

after earliest document in file if date of birth is not known, or 6 years after

termination of employment, whichever is later


subSerDescription:
Application, stub, copy or abstract of license regulated under local laws, rules, or regulations:


subSerDescription:
Reasonable assurance letters, created pursuant to Section 590(10) and (11) of Labor Law, covering both professional and non-professional employees of educational institutions:

subSerLegalCitation:
Labor Law § 590(10) and (11) (creation) and CPLR Sec. 213 (retention)

subSerRevisionSummary:
Add subitem to ED-1 #199 to cover reasonable assurance letters. Employees cannot receive unemployment benefits chargeable to school districts if they have reasonable assurance that they will return to work after the scheduled break. Under N.Y. Labor Law § 590(10) and (11), employees who work for educational institutions are precluded from receiving unemployment insurance benefits for “any week commencing during the period between” successive academic years or terms if the institution provides the employee with a “reasonable assurance” of continued employment.


subSerNotes1:
Appraise these records for historical significance or value for collections documentation prior to disposition. Some of these records may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

subSerRetention:
6 years after exhibit closed or program ended


subSerDescription:
Notifications received by municipal clerks from persons owning, harboring, or possessing wild animals:


subSerDescription:
Notifications sent from municipal clerks to public safety agencies:


subSerDescription:
Certification of Military Active Service Status form:

subSerRevisionSummary:
Add a subitem for "Certification of Military Active Service Status" form, which is provided by the NYS DEC. The certificate states that it must be retained for three years by the issuing agent, and the retention period is a DEC requirement that was probably intended to match the retention period of RDA 18285 (License Issuing Agent Files).

subSerRevisionRecdFrom:
Colleen Hay, Livonia Town Clerk review of proposed revisions


subSerDescription:
Employee oath or affirmation related to verification of the student attendance register:

subSerRetention:
Retain as long as the attendance register to which it relates

subSerRevisionSummary:
Add sub-item to item 44 to cover employee oath or affirmation for verification of the student attendance register


subSerDescription:
Copies of permits, applications, and related records, including for handicapped parking:

subSerRevisionSummary:
Expand "parking lot or garage usage records" item to more fully cover handicapped permits.


subSerDescription:
Original application for license, including environmental assessment and impact statement and other records:

subSerNotes1:
Appraise these records for historical significance and other long-term uses prior to disposition, as they may warrant longer, if not permanent, retention. Environmental assessment and impact records and other records associated with junkyard licenses may have research value in documenting potential environmental and public safety concerns. Contact the State Archives for additional advice in this area.


subSerDescription:
Approved application and related records:

subSerRetention:
6 years after termination or expiration of foster home certification or license


subSerDescription:
Denied, withdrawn, or expired application and related records:

subSerRetention:
6 years after the denial, withdrawal or expiration of the application


subSerNotes1:
Appraise these records for historical significance prior to disposition, especially when not duplicated at a county board of elections. Records with historical value should be retained permanently. Even though certain voter registration records are retained permanently by county boards of elections, municipalities and districts may wish to retain these records longer, if not permanently, for convenience of reference and for research purposes, if they contain information not found at county boards. See also item no. 373. Contact the State Archives for additional advice in this area.

subSerFinalJustification:
Satisfies short-term administrative needs. County Boards of Elections normally maintain official voter registration records.

subSerLegalCitation:
ELN §5-500-508 (creation); EDN Art. 41-214-215 (creation), EDN §2014 (creation)


subSerRetention:
2 years after receipt or until final decision, whichever is later


subSerDescription:
Photographs, press clippings, property damage reports, records of emergency response, summary reports of personal injuries, records relating to demolition and new construction, and correspondence:

subSerFinalJustification:
Possesses long term research value documenting major historical events affecting a local government and the community.


subSerDescription:
Emergency distribution records for food, medical, equipment, and other supplies:

subSerNotes1:
Administration of vaccinations is covered by item no. 791 in Public Health section.

subSerRevisionSummary:
Add new subitem to cover emergency distribution records, see appraisal report 19-05.

subSerRevisionRecdFrom:
From Warren's file: Cindy Sauer, Westchester Co


subSerDescription:
Application and related records pertaining to hardship waiver from second observation or school visit by evaluator:


subSerDescription:
For sexual offenses against a child as defined by the Child Victims Act, excluding sexual offenses in part "a" above:

subSerLegalCitation:
CPL §30.10.3(f) (retention); CPLR §208(b) (retention)


subSerDescription:
Copies of records submitted to county planning agency, regional planning council or other review body for review:

subSerRetention:
6 years after date submitted to review body


subSerDescription:
For clinical laboratory tests, history slips:

subSerRevisionSummary:
Added new sub-item and increased retention period from 1 to 7 years per input from DOH Wadsworth Center staff and limited to history slips.


subSerNotes1:
For additional plans, maps, designs, sketches, designs, architectural drawings and photographs of buildings and facilities, see item nos. 1072 and 1073.


subSerDescription:
For sexual offenses against a child as defined by the Child Victims Act:


subSerRetention:
Retain as long as the case investigation to which the recording 
	relates is retained


subSerDescription:
When recording does not relate to specific case investigation:


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


subSerDescription:
Beneficiary designation or dependent enrollment records:


subSerDescription:
Copy of map, held by municipality which conducts assessments, where official copy is held by county:


