# Series

serName:
Master summary record of real property tax lien sales:

serJustification:
Official record of tax lien sales and potential research value

serFinalJustication:
Satisfies long-term administrative needs by documenting the history of property ownership and providing a list by which to identify potential state lands


serJustification:
(a) Official copy of a publication produced by government; (b) Needed to conclusively document that a sale was properly published. Based on court decisions, no statute of limitations to sue over failure to properly publish; (c) Permanent retention reques


serDescription:
(register, log or index file) of real property tax lien redemptions and/or discharges:

serJustification:
Generally the only series with summary information on tax lien redemption

serFinalJustication:
Satisfies long-term administrative needs by providing evidence that real property has been redeemed and is no longer under lien, as well as documenting title to real property


serName:
Real property tax lien redemption records,

serDescription:
including but not limited to notice of foreclosure, certificate of redemption, record of payment of tax and penalties, memoranda and correspondence, except master summary record:

serNotes1:
These records may have value in documenting title to real property. The State Archives suggests that these records be evaluated, in conjunction with the master summary record, above, before disposition takes place.

serRetention:
6 years after redemption or discharge of lien

serLegalCitation:
RPT §1110 to §1114 (creation); RPT §1124.1 (creation)


serDescription:
including copy of deed, submitted to New York State Office of Real Property Tax Services (covers form RP-5217 or equivalent):

serLegalCitation:
RPT §574.1 (creation): 20 NYCRR §8191-2.1 (creation)

serRevisionSummary:
Update references to ORPS within Taxation and Assessment section to reflect the Office of Real Property Tax Services' current integration with the Dept. of Taxation and Finance, specifically description for CO-2 item 665. Update list of forms cited in "real property transfer report". For example, EA 5217 is now RP5217. Ideally, in the future, we'll have a separate field to capture forms and other information that may change frequently. Updated name of NYSORPTS.


serDescription:
used in relation to taxation and assessment, including but not limited to lists of property owners, real estate transfers, address changes, exempt properties, filed grievances, tax redemptions, notice of bankruptcy or foreclosure proceeding (including from U.S. bankruptcy courts), and billing addresses:

serRevisionSummary:
Tweak wording to include copies of notices sent to clerk from US Bankruptcy court


serJustification:
(a) Is the official record of how taxes are apportioned to municipalities; (b) Requested by Board of E/A


serJustification:
Retained to verify that a proper and thorough search was conducted. Needed to protect employee conducting search (legal value)


serName:
Tax levy and tax rate determination records,

serDescription:
including computation of constitutional tax margin and statement filed with State Comptroller's Office:

serJustification:
Retention approved by Equalization and Assessment’s Counsel’s Office, and by OSC Bureau of Municipal Affairs.

serFinalJustication:
Satisfies OSC's audit requirements and exceeds five-year retention requirement in RPT §900


serDescription:
involving certification from the Federal Aviation Administration (FAA)

serJustification:
(a) Long-term value for legal and evidentiary reasons. Contains information on facility, operation, personnel, tenants, and safety; (b) & (c) no justification given


serJustification:
(a) No justification, but probably similar to item 895. Appears to exceed 3-yr requirement for personal injury claims in CPLR, 214; (b) & (d) no justification given; (c) No justification given, but possibly based on CPLR, 214.


serName:
Airport tenant legal and reference files

serJustification:
(a) Satisfies legal and administrative need (probably CPLR, Section 213). Follows the pattern for a similar series held by port facilities (see item 3 [405] in MU-1). Records can have enduring value to document the often-significant roles such facilities


serJustification:
(a) No archival value as many entries would cover only routine matters; (b) No justification given, though probably based on CPLR, 214 (though inconsistent with retention of other incident/accident reports in other parts of CO-2)


serName:
Accreditation records for airport personnel,

serDescription:
accredited by American Association of Airports, Airports Council International, or other organization

serJustification:
(a) No justification given, but probably similar to other Personnel file records; (b) no justification given


serName:
Airline/airport schedule and usage records,

serDescription:
such as those received from airlines or the FAA, including monthly reports, passenger counts, cargo and load records

serJustification:
(a) No justification given, though probably based on CPLR, 213 (since possible fiscal implications); (b) no justification given


serName:
Fuel (jet fuel and service vehicle fuel), de-icer or other chemical storage and dispensing records


serName:
Highway or other transportation structure maintenance and repair records

serDescription:
covering routine maintenance and repair activities, tree cutting, and pavement marking:

serJustification:
Significant information posted to summary record. Limited administrative value (esp. as most cover routine repairs and maintenance)

serRevisionSummary:
Expand the wording of "Highway or other transportation structure maintenance and repair records" to tree cutting that pertains to highway maintenance. Consider whether separate item is needed or above item need to be further expanded to cover tree cutting work done for public utility lines or for rights-of-way that aren't highways. I do think that 6 years here is especially appropriate now that tree cutting is involved, since CPLR 213 states that the statute of limitations for a "mistake" is 6 years -- and there is always the risk that the tree of a private individual (not on the right-of-way) could have been inadvertently cut down.


serDescription:
including log or report of weather conditions:

serJustification:
Covers minimum legal, administrative, and fiscal needs.


serName:
Highway or transportation structure history file

serDescription:
containing summary information on highways, roads, streets, bridges, elevated railways, overpasses, underpasses, culverts, and other structures, except records covering routine maintenance and repair activities

serJustification:
No justification given, though if they are duplicates or drafts, then no value beyond limited administrative need. See appraisal report 01-18.


serName:
Project file for capital transportation improvement

serDescription:
covering highways, roads, streets, bridges, other structures, parking lots and garages, and public transportation system improvements

serJustification:
(a) Retain for fiscal, administrative, and legal reasons; (b) No justification given, though fiscal/contract records probably covered under CPLR, 213. (not sure about last clause of retention); (c) Retain in case unsuccessful bidder brings legal action; (


serDescription:
(index, log or register) of transportation improvement projects:

serJustification:
Records index files with permanent retention periods, so must be kept permanently

serFinalJustication:
Possesses long-term research value by providing a concise source of information on transportation improvement projects, certain records of which have long-term research value themselves


serName:
Official maps, plans, diagrams, drawings, photographs, surveys, engineering and survey notes, detailed specifications, profiles or cross-sections of highways, roads, streets, bridges, or other structures

serDescription:
including indices or finding aids, when not relating to specific project design files, covered by item no. 1073, immediately below

serJustification:
(a) Provide important information for research on roads, highways, and various structures; (b) & (c) No justification given, though possibly based on CPLR, 213? Also, see RDA 15821 of SUNY Construction Fund for similar records (though that is 3 years aft


serName:
Design file for capital transportation improvement project,

serDescription:
including plans, maps, designs, sketches, designs, architectural drawings, and photographs for highways and other transportation structures maintained by local government

serJustification:
(a) No justification given, though these types of records tend to be required for ongoing building maintenance and rehabilitation as well as for legal and historical purposes; (b) - (f) No justification. Do not warrant permanent retention (appraisal repo


serName:
Highway, road, street or transportation structure management automated maintenance, repair and inspection system records,

serDescription:
also containing information such as on motor vehicle accidents, highway safety, highway-related permits, complaints and requests for service

serNotes1:
This does not apply to automated systems used by public transportation systems, see item no. 1093 in the Public Transportation subsection, below.

serJustification:
(a) NO INFORMATION GIVEN; (b) (d) - (f) Consistent with our approach to scheduling records in other automated systems, no parts of the item are assigned permanent retention (appraisal report 01-18); (c) Consistent with our approach to scheduling records i


serDescription:
including legal description of right-of-way, copies of deeds, maps and photographs:

serJustification:
Document property owned by local government. Also value in researching highway/road.

serFinalJustication:
Possesses long-term administrative value by providing evidence of legal rights to right-of-way areas, as well as documenting where these areas are located


serDescription:
documenting acquisition of real property obtained through eminent domain proceedings for transportation-related project, including record of public hearing, findings and determination, appraisal information, copy of court proceedings and correspondence:

serJustification:
Permanent retention as they document property held by local government. Also documents process whereby government seizes private land.

serFinalJustication:
Possesses long-term research value by documenting the the state's process of real property acquisition through eminent domain, and also by documenting the history of the state's landholdings.

serLegalCitation:
EDP §203 (creation), HAY §30.3 and 30.4 (creation)


serDescription:
of Highway Superintendent or Commissioner of Public Works for expenditure of highway or road fund money:


serDescription:
received from and submitted to New York State Department of Transportation on status, mileage, improvements, or other characteristics of highways and bridges:

serNotes1:
Appraise these records for historical significance prior to disposition. These records may constitute a valuable summary listing of highways and structures. Contact the State Archives for additional advice.

serJustification:
No justification for 5 years. But some local governments visited in the survey process suggested the appraisal note be added, as they maintain this series as a master summary record of highways and highway structures in their jurisdiction, and see long-t


serDescription:
including notification (including communication log and telephone call log) of unsafe, dangerous or defective condition of highway, street, road, bridge, sidewalk, or other capital improvement, including but not limited to inspection report and record of abatement of condition

serJustification:
No justification given (though exceeds statute of limitations for personal injury in CPLR, 214)


serName:
Transportation- or engineering-related reports, studies or data queries,

serDescription:
including their supporting documentation, covering subjects such as traffic congestion studies, traffic safety studies, traffic sign or signal survey, speed limit change request, including but not limited to information gathering forms; copies of accident reports and court records; copies of maps, plans and surveys; and correspondence

serJustification:
(a) No justification given, though probably 6 years for legal and fiscal needs. Because of the greatly varying nature of the reports and greatly varying subject matter, only an appraisal note can alert the user that some of these reports may be archival.


serName:
Traffic sign or signal erection, relocation, or removal records

serJustification:
No justification given, though like building construction records retention probably based on fiscal/legal needs (needed at least as long as signal is in place). *Might "c" need to be kept longer in case of lawsuits based on a malfunctioning signal?


serName:
Copies of motor vehicle accident reports

serDescription:
received from law-enforcement or other government agency

serJustification:
(a) May be needed if county sued as a result of accident. Also possibly useful in abating problems with highway or structure which led to accident.; (b) Have little administrative value


serDescription:
covering handling of oversized vehicles or equipment, or temporary barricading, obstruction, closing, excavation, construction or encroachment:

serRetention:
6 years after expiration or denial of permit

serJustification:
Retained for administrative and legal reasons

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

serLegalCitation:
CPL §30.10 (retention), HAY §52 and §136 (creation), VAT §385.15 (creation)


serDescription:
covering construction work which improves facilities benefiting the public:

serNotes1:
This does not apply to building permits or environmental health related permits. See the Building and Property Regulation and Environmental Health sections of this Schedule.

serJustification:
Does not cover capital construction files, and retention for administrative and legal needs only

serLegalCitation:
CPL §30.10 (retention), HAY §52 and §136 (creation)


serDescription:
for bridges, elevated railways and similar structures:

serRetention:
6 years after structure no longer in use or inspected features have been replaced

serJustification:
Added phrase “or inspected features have been replaced” suggested by someone in AG’s office ***Not sure why this is 6 years.

serLegalCitation:
HAY §236.3 (creation), 49 USC §237.109 (creation), HAY §231.3 and §232.5 (creation), HAY §234.1 (creation), CPL §30.10 (retention)


serName:
Intergovernmental agreements, contracts or orders

serDescription:
relative to highway maintenance, and sharing of equipment, materials or services:

serJustification:
Contain little information of value for future research, thus kept for legal and administrative reasons. Permanent information in structure history and project files


serDescription:
usually arranged by topic, name or number of road, or name of municipality or other government agency:

serNotes1:
Appraise these records for historical significance prior to disposition. These records may contain valuable information on a variety of highway- and transportation- related subjects. Contact the State Archives for additional advice.

serJustification:
Some local governments visited in the survey process suggested the appraisal note be added, as they have maintained this series for a number of years and feel it contains valuable information in their particular case, and see long-term value in this serie


serJustification:
(a) Legal, fiscal, and administrative value. Form the basis of audit of facility; (b) Records are similar in function to receipts, and thus require a 6-year retention period; (c) OSC agreed they only need to be kept one year. Their audit conducted on su


serJustification:
No justification given. Meets legal and administrative needs (and similar retention to permit records under items 269 and 905)

serRevisionSummary:
Consider expanding "handicapped parking permit records" item to cover all parking permits

serRevisionRecdFrom:
From Warren's file (also from 12/5/2016 e-mail from Jennifer O'Neill)


serName:
Copies of highway, street, road or bridge records received from other governmental jurisdiction:


serDescription:
including but not limited to requests for inspection, inspection reports and log or schedule of inspections performed:

serNotes1:
Some of these records may need to be retained longer for potential legal needs, in case inspected vehicles are involved in personal injury accidents. Consult counsel to determine which records, if any, may need to be retained longer to meet these needs.

serJustification:
No justification given. But similar retention to item 980b (meets legal and administrative needs).

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


serDescription:
of entire system or specific branch or route providing information on stations, stops, dates of operation and times of arrival and departure

serJustification:
(a) Vital to document the area served and routes travelled by public transportation system. Research value; (b) The addition of new part "b" covering non-archival copies of maps and plans is consistent with a number of other items in the Schedule. The p


serDescription:
used to monitor and schedule operation of public transportation passenger vehicles (busses and subway vehicles), including Supply Control and Data Acquisition (SCADA) or equivalent system, used to monitor environmental conditions (temperature, humidity, air quality) in vehicles or various areas accessible to the public

serNotes1:
For reports and queries from system data, see item no. 1345. For alarm, problem and emergency records created from system data, see item no. 1346.


serName:
System operational records of original entry

serDescription:
created in non-automated system or used for data entry or verification, where significant information is data entered or posted to reports and other summary records (including but not limited to passenger counts, tickets, and stubs):

serJustification:
Information posted to summary records (which are kept personally). Large volume of records, so need to dispose of after short period of time. (Summary record is item 1010)


serName:
Operational reports and queries for public transportation system,

serDescription:
including macros, queries and necessary documentation used in report and query generation

serJustification:
(a) Only significant records covered by this item warrant permanent retention. (appraisal report 01-18); (b) & (c) This item is consistent with other items on the schedule covering a wide variety of reports, for example item no. 23 in the General section.


serName:
Public transportation system alarm, problem and emergency records

serJustification:
(a) The implications of security problems involving subways and busses in the wake of 9/11 are important enough to merit permanent documentation. (appraisal report 01-18); (b) no justification given; (c) The permanent retention of part "c" is consistent


serName:
Bus driver's daily work or tour of duty report,

serDescription:
reporting road failures and any defects noted, created pursuant to 17NYCRR Section 721.21 (b)

serJustification:
(a) Meets regulatory requirement (17 NYCRR, Section 721.21(b)); (b) Meets audit requirements of OSC and DOT. Also parallels retention of related records dealing with vehicle maintenance


serName:
Public transportation safety plan files,

serDescription:
covering plans submitted to New York State Department of Transportation pursuant to Part 975, 17NYCRR

serJustification:
DOT's copies of the plans are scheduled (RDA no. 16444) to be transferred to the State Archives 1 year after becoming superseded or invalid, and are covered by appraisal report 90-31. These are valuable at the local government level for the same reasons,


serName:
Operational certification and review records

serDescription:
relating to approval and inspection by New York State Department of Transportation

serJustification:
(a) Have research value into system, its merits and deficiencies, and how it evolves over time; (b) Maintained for legal needs; (c) (d) no justification given


serName:
Special federal- or state-funded public transportation program records,

serDescription:
covering Special Transportation Services for the Transportation Disabled, special mobility improvement projects related to transportation enhancements within the Metropolitan Commuter Transportation District, and Rural Public Transportation Assistance Program

serJustification:
(a) The records covered by part "a" document these programs providing specific kinds of public transportation improvements and thus warrant permanent preservation (appraisal report 01-18); (b) The proposed retention is generally consistent with the treatm


serName:
Commuter traffic reduction program records,

serDescription:
covering Employee Commute Option (ECO), Transportation Demand Management (TDM), or similar program records

serJustification:
(a) (b) (c) Retention period arrived at after consulting DOT for legal and administrative needs; (d) 17 NYCRR, Part 38.10.


serName:
Special public transportation related studies,

serDescription:
covering subjects such as commuter parking, car pooling, bicycle paths, bicycle lanes, and bus route changes

serJustification:
(a) The records covered by part "a" document these programs providing various, often innovative, kinds of public transportation improvements. An examination of these records at Rockland County revealed that a number of innovative projects of public conce


serDescription:
covering trips conducted outside normal public transportation schedule, such as "curb-to-curb" handicapped vehicle use; transportation provided by aging, youth, veterans' and other specialized services; and trips to special events; and including applications for service, lists of attendees, trip reports, and records of fees collected:


serName:
Predecessor public transportation company records,

serDescription:
covering private bus companies, trolley, horse-car railroad, or turnpike companies, held by successor local government agency:

serNotes1:
Appraise these records for historical significance prior to disposition. Some of these records will likely possess significant value for historical or other research and should be retained permanently. These records may contain valuable information which supplements records created by the local government itself, and may constitute some of very few existing records documenting these functions before the 1970s. Contact the State Archives for additional advice.

serJustification:
These records can have great value for historical research, and are sometimes some of very few existing records documenting these functions before the 1970s. An actual examination of some of the CDTA records mentioned above verified the valuable informat


serDescription:
submitted to the New York State Department of Motor Vehicles certifying compliance with requirements for bus drivers as indicated in Article 19-A of Vehicle and Traffic Law, including accompanying annual statistical report on miles traveled by buses, driver convictions and accidents, and related information:

serJustification:
Retention based on DMV retention of original reports for similar period and expectation that bus operators will retain various records required by Article 19-A for the indicated period (15 NYCRR 6.19 and 6.22)

serFinalJustication:
Satisfies the three-year retention requirement in 15 NYCRR 6.19 and VAT §509-M

serLegalCitation:
VAT §509-J (creation); 15 NYCRR 6.22 (creation); 15 NYCRR 6.19 (creation and retention); VAT §509-M (retention)

serRevisionSummary:
Add item within Public Transportation subsection to cover annual affidavit of compliance. Item has already been added to CO-2 and needs to be added to MU-1, MI-1, and ED-1. The item may need an additional part in all 4 schedules to cover the various personnel and medical records which bus system operators must maintain for current year plus 3 years for their drivers (see 19-A, Vehicle and Traffic Law and 15 NYCRR 6.19). However, should those records have that shorter retention, or should they be covered by the longer retention applicable to personnel files and medical files? It may be that no separate part is needed for those records if they are adequately covered by the existing employee personnel and medical records items.


serName:
Copies of, applications for, or canceled or validated tickets or pass books:


serName:
Cumulative record or sale or issuance of toll books, tickets, or passes:


serDescription:
including but not limited to basic data form, interview and counseling records, copies of state and federal veterans' benefit forms, and records of referral to New York State Division of Veterans' Affairs:

serNotes1:
A 1973 fire destroyed many records at the National Military Personnel Records Center. Local veterans service agencies may need to retain records predating 1973 in order to provide information contained in those records destroyed in that fire.

serRetention:
10 years after no activity and completion of the most recent counseling service

serComments:
RDA 20448 has longer retention period, perhaps expand this retention to match?

serRevisionSummary:
Consult with DVA about updating item covering client counseling files from "6 years after last entry" to "destroy after ten years of no activity after completing the most recent counseling service" per 2015 DVA memo. No word from DVA.

serRevisionRecdFrom:
2015 memo in Schedule Revisions folder. Awaiting input from DVA (2/7/2018 - email address failed; sent another email to general emailbox on 9/17/2018).


serDescription:
showing summary information on all client contacts:

serJustification:
Suggested by Division of Veterans’ Affairs (length they retain similar records)


serDescription:
submitted to New York State Division of Veterans' Affairs:

serJustification:
NO INFORMATION GIVEN; See RDA 4919 which has a 2 year retention.


serName:
Annual comprehensive plan and compliance report

serDescription:
relating to youth services, also includes detention care plan or report:

serJustification:
Provide summary information on agency activity and appraised as archival. Also used in long-range planning

serFinalJustication:
Possesses long-term research value in documenting local government delivery and long-range planning of youth services.

serLegalCitation:
SOS §34-a and §409-d (creation); 9 NYCRR 165-1.3 (creation)

serComments:
See also RDA 18782 and Appraisal Report 94-04.


serDescription:
(log or master index) of youths served by youth service program:

serJustification:
Retention allows records to be maintained as long as any case files or other records they index or access

serFinalJustication:
Satisfies long-term administratvie and reference needs and allows records to be maintained as long as any case files or other records they index or access.

serLegalCitation:
SOS §409-d (creation); 9 NYCRR 165-1.3 (creation)


serName:
Individual client consultation case file:

serFinalJustication:
Satisfies short-term administrative needs and the statute of limitations for litigation involving minors (CPLR § 208).

serLegalCitation:
SOS §409-f (creation), CPLR §208 (retention)


serName:
Individual client employment placement records,

serDescription:
including but not limited to master index card, job order form, and periodic statistical report:

serJustification:
Division of Youth suggested 3 years for reference purposes. Useful information in annual and other reports.

serFinalJustication:
Satisfies short-term administrative and reference needs.

serLegalCitation:
EXC § 512 (creation); 9 NYCRR 184.2 (creation); 12 NYCRR 900.1 (creation)


serDescription:
documenting the operation of youth courts, including but not limited to records of cases heard by the courts; forms signed by defendants, their guardians, and youth court staff; records concerning completion of sentence requirements, such as community service; and case notes of contacts made in reference to a defendant's case:

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

serJustification:
NO INFORMATION GIVEN [mirrors retention for legal case files]; Unclear whether statute of limitations is the source of this retention period. From NYSBA Journal Jan. 2011: "There is no section of New York law that specifically provides for diversion to youth court..." See also: http://www.courtinnovation.org/project/youth-courts & http://www.courtinnovation.org/topic/youth-court

serFinalJustication:
Satisfies short-term administrative needs. Also satisfies the statute of limitations for litigation involving minors (CPLR §208) and for initiating criminal prosecution for non-Class A felonies (CPL §30.10.2(b)).

serLegalCitation:
CPL § 30.10.2(b) (retention), CPL § 170.55 (creation), CPLR §208 (retention)


serJustification:
Open-ended. Needs to be retained permanently.

serFinalJustication:
Satisfies long-term administrative and reference needs.


serDescription:
required for such activities as specific loan, transfer, sale, transport, possession, breeding and salvage of animals

serJustification:
(a) Determined after phone call with DEC, Special Permits staff; (b) Determined after phone call with U.S. Fish and Wildlife Service staff in Boston


serDescription:
containing information on background, breeding, medical history, maintenance and growth of animals, and reports received from Species360 (formerly International Species Information System (I.S.I.S.)):

serJustification:
Permanent retention suggested by Syracuse Zoo because they have use as long as animal in collection, and beyond for scientific research.

serFinalJustication:
Possesses long-term research value in documenting scientific knowledge of animals in zoo collection. Satisfies 5 year after animal’s death or transfer records retention requirement for Association of Zoos and Aquariums’ accreditation guidelines


serDescription:
for animals, where basic medical information is posted to individual animal history files:

serRetention:
3 years after animal dies or is no longer in collection


serDescription:
covering food preparation and feeding of animals:


serDescription:
created prior to consolidation of municipal school districts into centralized districts

serNotes1:
For attendance and school census records of predecessor school districts, see the Student Records section. Other series of school records created prior to consolidation should be treated as a discrete series for each of the consolidated districts. Appropriate retention periods for these records are addressed elsewhere.


serName:
School district/BOCES registration and accreditation records,

serDescription:
including but not limited to application for and registration from State Education Department (SED), results of review of registration status, accreditation by private evaluating agency and award received from federal Department of Education, SED and other agencies and organizations:

serFinalJustication:
Possesses long-term research value in documenting the circumstances and processes surrounding the registration of a new school.


serName:
Basic Educational Data System (BEDS) records,

serDescription:
including School Data Form, School District Summary Form, personnel master summary data and related reports used to report summary data on instructional programs to the State Education Department:

serFinalJustication:
Satisfies short-term administrative needs. NYS Education Department maintains official BEDS records.


serName:
School district, individual school, or BOCES improvement records,

serDescription:
covering review by State Education Department (SED) of academic performance, aptitude test scores, school safety or violence, fiscal management, or overall administration

serJustification:
(a) Records have significance in all instances in documenting needs, plans and measures taken to correct such deficiencies, and the results of those corrective actions. Therefore designated for permanent preservation. (appraisal report 04-01); (b) No specific justification for 6 years


serDescription:
covering grades, test scores, staffing, fiscal matters, complaints about use of corporal punishment, school prayer certification, annual professional performance reviews (APPR) and other activities and performance of school district or BOCES, including reports prepared for inclusion with annual State aid consolidated funding application

serJustification:
(a) State aid funding is now contingent on the proper submission of these reports, and these reports are used to monitor conditions at individual schools, school districts, and BOCES. These records possess permanent value for research purposes as well as important administrative value. Permanent retention for these records is consistent with retention of substantive annual reports covered by other items on the Schedule, such as item no. 23a in the General section. (04-01); (b) (e) (f) no justification given; (c) State aid funding is now contingent on the proper submission of these reports, and these reports are used to monitor conditions at individual schools, school districts, and BOCES. These records possess permanent value for research purposes as well as important administrative value. Permanent retention for these records is consistent with retention of substantive annual reports covered by other items on the Schedule, such as item no. 23a in the General section (04-01); (d) State aid funding is now contingent on the proper submission of these reports, and these reports are used to monitor conditions at individual schools, school districts, and BOCES. These records possess permanent value for research purposes as well as important administrative value. Permanent retention for these records is consistent with retention of substantive annual reports covered by other items on the Schedule, such as item no. 23a in the General section (04-01). Added reference to APPR.


serDescription:
covering grades, test scores, staffing, pupil attendance, fiscal matters, and overall activities and performance of school district or BOCES, including plans prepared for inclusion with annual State aid consolidated funding application, not covered by specific items found elsewhere in this schedule, including comprehensive district education (or equivalent) plan; district plan for participation by teachers and parents in school-based planning and shared decision-making; attendance plan, including proposed strategies for attendance improvement and dropout prevention; and similar administrative plans

serJustification:
State aid funding is now contingent on the proper submission of these reports, and these reports are used to monitor conditions at individual schools, school districts, and BOCES.  These records possess permanent value for research purposes as well as important administrative value. Permanent retention for these records is consistent with retention of substantive annual reports covered by other items on the Schedule, such as item no. 24a in the General Administration section (04-01); (b) & (c) no justification given


serJustification:
(a) Permanent record is found in official minutes. See Appraisal Report 99-05; (b) 6, archival note replaced permanent retention. See Appraisal Report 99-05

serFinalJustication:
These records should be retained to document the legal disposition of records in case of discovery actions during litigation or when requested for use in audits.

serRevisionSummary:
Consider revising records disposition documentation to include lists of records that have inadvertently been destroyed. 16NYCRR, Sect 733.9 requires that a record be created each time records are destroyed or lost before their retention period expires and that a copy of this record be sent to the PSC. Suggest a new sub-item c for premature/inadvertent destruction.

serRevisionRecdFrom:
From Warren's file, he examined PSC regulations (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix)


serDescription:
(log or register) maintained by zoning agency to record receipt of zoning variance and special use permit applications, change of zoning applications for individual parcels, and other zoning activity, and to record subsequent action taken:

serJustification:
This proposed retention is consistent with that of other master summary record series. This record is particularly important because of the long-term value and permanent legal precedents set by zoning decisions (appraisal report 99-05)


serJustification:
Must be retained permanently for administrative, legal, and research reasons. It is important to know the zoning classification of any section of the municipality at any given time in history when zoning was in effect, as zoning helps define the character of a neighborhood and how it changes over time.


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

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


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

serNotes1:
Change of zoning records relating to changes in zoning classification for individual parcels of property, not affecting other parcels or larger areas, are covered by item no. 129, as if these were zoning variance applications.


serDescription:
including application and supporting materials, hearing results, decision and appeal records

serJustification:
(a) Long-term administrative and legal needs. Often referred to for reference and research purposes. They reflect policy regarding application of zoning laws, and contain information on major construction and development; (b) Long-term administrative and legal needs. Often referred to for reference. They reflect policy regarding application of zoning laws. 25 years chosen to cover these long-term needs; (c) & (d) no justification given

serRevisionSummary:
Revise building, planning, and zoning related items to reflect disposition request granted to Town of Brookhaven. Clarify descriptions for building permit item.


serRevisionSummary:
Revise wording of notification of proposed zoning change to say "adjacent municipality" instead of "adjacent town"


serDescription:
not related to zoning variance or special permit application


serJustification:
Documents lot ownership, and as this is assigned through lot ownership or inheritance all owners since original purchase must be known to establish burial rights. Also may be useful for genealogical research.

serFinalJustication:
Possesses long-term administrative, legal, and research value to document lot ownership and burial locations.


serDescription:
for lot, request for deed to be prepared, or request for copy of deed:

serJustification:
Limited internal administrative value. No fiscal value and does not prove ownership of lot.


serJustification:
Very valuable research source, as often provide information lacking in interment records. May document stones now missing or difficult to decipher.

serFinalJustication:
Possesses long-term research value by providing information often lacking in interment records. Records may also document stones now missing or difficult to decipher.


serName:
Interment, exhumation or removal records,

serDescription:
including proof of military service and discharge:

serJustification:
Administrative, legal, and research value. Useful for genealogical research and it may be necessary to identify precise locations of burials and document that burials/removals were conducted properly.

serFinalJustication:
Possesses long-term adminsitrative, legal, and research value by documenting burial locations and whether or not burials or removals were conducted properly.

serRevisionSummary:
Add Cemetery section to CO-2 Schedule. Consider whether proof of veterans military discharge, etc. need to be added

serRevisionRecdFrom:
From Dan Block, Rockland County assistant attorney; County operates a veterans' cemetery, see http://rocklandgov.com/index.php?cID=695


serJustification:
Administrative use and for research in locating graves and lots. Also significant for research into landscape architecture.

serFinalJustication:
Possesses long-term administrative, legal, and research value by documenting the location of graves and lots.


serDescription:
necessary to erect monument or perform other work on cemetery lot, including application and related records:


serDescription:
forwarded by clinic, veterinarian or animal shelter to municipality:

serRetention:
3 years after receipt or after certificate expires

serJustification:
No justification given; AGM Law § 109; 8 NYCRR 29.6(3), Public Health Law § 2141 & 2145.7

serRevisionSummary:
Clarify retention period for reports of rabies vaccinations as 3 years after receipt or after certificate expires. Update item to cover rabies vaccine certificates from rabies vaccine clinics that are required to be offered annually by county health departments. Additional booster shots are required either annually or every three years, depending on the type
of vaccine administered.

serRevisionRecdFrom:
From Warren's file: Andie Newman, Asst. State Public Health Veterinarian, Zoonoses Program, DOH; Hay


serDescription:
including constitution, bylaws and approval of organization and administration by Cornell University:

serFinalJustication:
Possesses long term research value documenting the establishment and organization of the Association.


serName:
List of members, "enrollment" or equivalent record:

serFinalJustication:
Possesses long term resarch value documenting enrollment history.


serName:
Lists of board members, officers, agents and employees

serFinalJustication:
Possesses long term research value documenting administrative history of the Association.


serDescription:
on individual courses or programs offered the public


serName:
Program or other non-fiscal audit or review

serDescription:
conducted by Cornell University or other agency


serName:
Copies of exempt organization income tax records,

serDescription:
including all records generated to assist Cornell University in filing income tax return for county associations, and copy of filed tax return:


serName:
Reports resulting from Expanded Food and Nutrition Education program (EFNEP), Supplemental Nutrition Assistance Program Education (SNAP-Ed), or similar program

serJustification:
(a) Permanent retention because records document achievements of the program and year-to-year progress and difficulties; (b) Retention period assigned after discussions with Cornell University staff, and approved by Cooperative Extension office

serRevisionSummary:
Make updates proposed by Cooperative Extension and OTDA. Remove ESNY as ESNY is SNAP-Ed's NY program, and add back in references to Expanded Food and Nutrituion Education Program (EFNEP) which were erroneously removed in the 2020 LGS-1 version.

serRevisionRecdFrom:
Cornell Cooperative Extension, Michelle Scott-Pierce and OTDA, Lisa Irving


serName:
Case record of family participating in Expanded Food and Nutrition Education program (EFNEP), Supplemental Nutrition Assistance Program Education (SNAP-Ed),

serDescription:
or similar program, including but not limited to plan of work, work reports, diagnostic reports, progression record:

serJustification:
Retention period assigned after discussions with Cornell University staff, and approved by Cooperative Extension office

serRevisionSummary:
Make updates proposed by Cooperative Extension and OTDA.  Increase retention of item 245 to meet USDA's EFNEP Coordinator Guide and Cornell's FNEC internal policy. Remove ESNY as ESNY is SNAP-Ed's NY program, and add back in references to Expanded Food and Nutrituion Education Program (EFNEP) which were erroneously removed in the 2020 LGS-1 version.


serName:
4-H youth participant records for Expanded Food and Nutrition Education program (EFNEP),

serDescription:
or similar program, including lists of participants, enrollment records and lists of youth contacts:


serName:
List, log or other summary record of visits

serDescription:
resulting from Expanded Food and Nutrition Education program (EFNEP), Supplemental Nutrition Assistance Program Education (SNAP-Ed), or similar program:

serFinalJustication:
Satisfies short term adminitrative needs.


serName:
Master summary record of families served

serDescription:
by Expanded Food and Nutrition Education program (EFNEP), Supplemental Nutrition Assistance Program Education (SNAP-Ed), or similar program:

serJustification:
Retention period assigned after discussions with Cornell University staff, and approved by Cooperative Extension office. Permanent retention because it provides a listing of all families served by program and has potential research value

serFinalJustication:
Possesses long term research value in documenting the participants of the Expaned Food and Nutrition Education Program.


serDescription:
by Expanded Food and Nutrition Education program (EFNEP), Supplemental Nutrition Assistance Program Education (SNAP-Ed), or similar program, including eligibility screening records, withdrawn applications, and referrals:

serJustification:
Retention period assigned after discussions with Cornell University staff, and approved by Cooperative Extension office. 2 years meets needs for any Civil Rights Law actions taken by denied applicants.

serFinalJustication:
Satisfies short term administrative and legal needs.


serJustification:
Retention period meets legal and administrative needs. Approved by Cornell University staff.


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

serJustification:
Retention previously approved for CO-2 and approved by Cornell University personnel for MI-1. Satisfies legal and administrative needs.


serJustification:
Retention period meets legal and administrative needs. Agreed to by Cornell University staff.


serJustification:
(a) Retention meets administrative needs. Agreed to by Cornell University staff. These records are the best source of information at the local government level to document problems faced by dairy farmers along with programs and activities designed to pre


serJustification:
Retention period requested by Cornell University. Permanent to document land use and non-point source pollution.

serFinalJustication:
Possesses long term reseaerch value in documenting land use and non-point source pollution.


serName:
Tractor, equipment or firearm safety training records


serJustification:
Retention shortened to 5 years because permanent records are held by county boards of elections

serRevisionSummary:
Added subitem b, registration challenge records.


serJustification:
(a) (d) (e) No justification given; (b) Election Law, Section 3-222(3)?; (c) Retention suggested by Pat Murray, State Board of Elections, which covers legal needs

serRevisionSummary:
(1) Consider updating "voted ballot" to be consistent with retention period for General Elections' voted ballots which are governed by NYS Election Law. Would result in increased retention period. No changes needed at this time. (2) Add "unused ballot" subitem. It must be retained a minimum of 6 months per Education Law. (3) Consider updating "voted ballot" retention period to reflect Education Law Sect 2034.6. No changes needed at this time.


serDescription:
including certification of testing of voting machines or systems, record of ballot delivery, or similar records:

serJustification:
One year, though current law seems to suggest 2 years (Election Law, Section 3-222.4)

serFinalJustication:
Satisfies 2 year retention requirement in ELN §3-222.4.

serLegalCitation:
ELN §7-206, §4-134 (creation), EDN §2035 (creation); ELN §3-222.4 (retention)


serDescription:
including notice of appointment, oath of office, and record of service:

serLegalCitation:
ELN §3-414 (creation); EDN Art. 41-2034.9 (creation)


serName:
Notification and publication of notice of forthcoming election

serRevisionSummary:
Add "copy of any information" sent to voters to election publication item


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

serNotes1:
Certain records documenting establishment, incorporation, annexation, consolidation, dissolution or charter revision must be retained permanently; see item nos. 876 and 43.

serJustification:
(a) *Originally divided into part a) significant issue and part b) insignificant issue. Changed for 2000 edition to a) summary records and b)other – though part a) was always “Permanent”; (b) Retention changed from permanent (1 year meets minimum federal legal requirements).


serName:
Election officials' training and qualifications records:

serJustification:
Retention period consistent with item revised for county boards of elections by RAS.


serName:
Candidate designation or nomination records,

serDescription:
including petitions, certificate, declination of nomination, objection to nomination, and related records:

serJustification:
*Originally 1 year retention, then increased to 2-year retention after passage of 1994 law (Sec. 3-220 of Election Law), then reduced back to 1 year subsequent to that. The law is still in effect, so unclear why return to just 1 year.

serFinalJustication:
Satisfies 2 year retention requirement in ELN §3-220.6.

serLegalCitation:
ELN §154 (creation); ELN §15-108 (creation); EDN Art. 41-2018 (creation); ELN §3-220.6 (retention)

serRevisionSummary:
Correct typo in retention period of candidate designation or nomination records item, e.g., 1 year rather than 1 years. CBOE schedule item 90078 re accepting/declining nominations has 2 year retention. Decision was made not to change ballot records, so no change in retention is required.


serName:
Election challenge or investigation records:

serNotes1:
Appraise these records for historical significance prior to disposition. Records which document significant investigations and challenges to election results may possess historical value and should be retained permanently. Contact the State Archives for additional advice.

serLegalCitation:
ELN §8-508 - §8-510 (creation), CPLR §213 (retention)


serName:
Informational records received from county board of elections,

serDescription:
including lists of election officials, enrollment or registration lists, district maps and instructional materials:


serName:
Records of election financing and/or campaign receipts, contributions and campaign expenses, including attached copies of political advertisements and literature,

serDescription:
including but not limited to report of campaign receipts and expenditures, waiver of report, party committee's designation of treasurer and depository and statement of authorization or non-authorization by candidate:

serNotes1:
Campaign financing is a major public policy issue. Therefore, the State Archives preserves state-level campaign finance records and the New York City Board of Elections preserves City campaign finance records. Preservation of these archival records will maintain vital evidence for future research about campaign financing. County boards of elections have the option to preserve these financing statements longer than 5 years if they find the need to do so. Likewise, local governments may wish to preserve all or some campaign finance records beyond the five year minimum in those instances where the elections involved are hotly contested and serious local issues are involved. Contact the State Archives for more advice if necessary.

serJustification:
5 years is consistent with item revised for the county boards of elections (BOE concurs). Originally three items with 5 years to permanent retention.

serFinalJustication:
Satisfies 5-year retention requirements in ELN §14-118

serLegalCitation:
ELN Art. 14 (creation); ELN §14-118 (retention)


serDescription:
for electric or gas production plant and transmission and distribution system, including application, copy of permit and correspondence:

serRetention:
6 years after denial of application or expiration, renewal or revocation of permit

serJustification:
Legal and administrative value, and made contingent on the expiration, renewal, or revocation of permit. Lack detailed information on utility, which is found in other series.

serFinalJustication:
Satisfies 6 year records retention requirement in 16 NYCRR 733.15.

serLegalCitation:
GMU § 360 (creation), 16 NYCRR 733.15 (retention)

serRevisionSummary:
Add clarifying language to MU-1 item 187 to specify these permits relate to utility systems. Similar language is in construction item.


serName:
Construction, modification, demolition or retirement records

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

serNotes1:
Appraise these records for historical significance prior to disposition. Significant records deriving from the construction, retirement or other major changes in municipal power facilities may have long-term value deriving from and relating to the importance of these facilities in the community and should be retained permanently. Contact State Archives for additional advice.

serRetention:
10 years after retirement of plant or system

serJustification:
10 years meets PSC Code requirements (archival note added because some records need to be retained permanently)

serFinalJustication:
Satisfies the 10 year records retention requirement in 16 NYCRR 733.15.


serJustification:
(a) Required by Public Service Code, Appendix 4A, Item 22.1(e); (b) Different retention periods for inspection records in Public Service Code, Appendix 4A – but 6 years chosen because it is the longest and simpler to lump them all together; (c) Public Service Code, Appendix 4A, item 23.1(j) and 23.2(g); (d) Required by Public Service Code, Appendix 4A, Item 22.2(i); (e) Required by Public Service Code, Appendix 4A, Item 23.2(j); (f) Required by Public Service Code, Appendix 4A, Item 23.2 (m)


serName:
Substation, transformer, pole, tower or generator records,

serDescription:
or records of other specific component part of system, including sketches and measurements; and installation, maintenance and discontinuance information:

serNotes1:
All records relating to any gas pipeline designed to operate at 125 PSIG or more must be retained as long as that pipeline remains in service, per Section 255.17 (b) of 16NYCRR.

serRetention:
6 years after component part replaced or its use discontinued

serJustification:
Public Service Code, Appendix 4A, Items 23.1(n) and (p) require retention for life of equipment. 6 years added to ensure availability for legal purposes.

serFinalJustication:
Satisfies the life of equipment records retention requirement in 16 NYCRR 733.15 and the statute of limitations for civil actions not otherwise provided for in law (CPLR § 213).

serLegalCitation:
GMU § 360 (creation), 16 NYCRR 733.15 (retention), CPLR § 213 (retention)


serDescription:
or any part of electricity or gas production, transmission and distribution system:

serJustification:
Public Service Code, Appendix 4A, item 22.1(d)


serName:
Charts, graphs and related data recording records

serJustification:
(a) To document long-term trends and developments in electricity generation and usage; (b) Different retention periods for different records in this series in Public Service Code, Appendix 4A. For consistency, 3 years chosen as it is the longest required retention period; (c) & (d) Required by Public Service Code, Appendix 4A, Item 22.2 (n); (e) Public Service Code, Appendix 4A, item 22.1(j) specifies retention for life of corporation. Vital for long-range planning and environmental management because of environmental impact of hydroelectric plants.


serDescription:
including but not limited to installation, repair, inspection and replacement records for street lights and other lighting devices:

serJustification:
Meets basic legal, fiscal, and administrative needs.


serDescription:
or journals and journal vouchers of electric or gas utility:

serJustification:
Public Service Code, Appendix 4A, item 10 (a&b).

serFinalJustication:
Satisfies 50 year records retention requirement in 16 NYCRR 733.15.

serRevisionSummary:
Expand subsidiary ledger or journal item to include general ledgers, general journals, and journal vouchers. Add notes to fiscal items for general ledgers and journals which would read like the note used for subsidiary ledger item [see Fiscal section].

serRevisionRecdFrom:
From Warren's file, based on his examination of 16NYCRR Part 733 and 18CFR Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix)


serDescription:
including but not limited to storm damage, downed and severed power lines, circuit overloading or other related power failure or transmission problem, or apparatus failure reports for gas utility:

serJustification:
Public Service Code, Appendix 4A, item 23.1 specifies retention periods for various records that fall in this series, and 6 years was longest among these.


serName:
Board of Fire Underwriters' certificate:

serJustification:
Public Service Code, Appendix 4A, item 23.1(q)

serFinalJustication:
Satisfies 3 year records retention requirement in 16 NYCRR 733.15.


serRetention:
2 years after subsequent test conducted, but not longer than 6 years

serJustification:
Public Service Code, Appendix 4A, item 23.1(k), 23.2(g), and 22.2(q)

serFinalJustication:
Satisfies records retention requirement in 16 NYCRR 733.15.


serJustification:
Public Service Code, Appendix 4A, various items.

serFinalJustication:
Satisfies life of equipment records retention requirement in 16 NYCRR 733.15.

serLegalCitation:
GMU § 360 (creation, 16 NYCRR 733.15 (retention)


serDescription:
received from school districts and other BOCES, processed and forwarded to State Education Department (SED), and related records


serName:
Informational copies of reports and studies,

serDescription:
received from environmental facilities or from county or state agencies, including copies of reports created pursuant to Section 5-1.72 of 10NYCRR, public health hazard notification, or relating to unsatisfactory water samples, watershed rules violations, and water quality monitoring violations, including testing records and records of action taken by supplier of water to correct violations:


serDescription:
held by local government which does not conduct assessments, where official copy is held by county or municipality:


serName:
Master Summary record of real property transfers within area served by local government:

serNotes1:
Appraise these records for historical significance. These records, compiled from real property transfer reports received from the county, may have continuing value for historical or other research. Contact the State Archives for additional advice.

serRetention:
0 after no longer needed, but not less than 6 years


serDescription:
for non-profit organization conducting bingo or games of chance

serJustification:
(a) Requested by Cathy Grogan of the State Racing and Wagering Board. No fiscal or administrative need to retain more than 3 years. (period affirmed in 5/16/85 memo to Warren Broderick); (b) Requested by Racing and Wagering Board in 5/16/84 memo. Meets legal, fiscal, and administrative needs. (they audit games more frequently than OSC); (c) Meets fiscal audit needs. Requested by OSC.


serName:
Authority to license bingo and games of chance

serDescription:
delegated to local official by local governing body:

serJustification:
As delegation of authority is open-ended, records should be retained as long as it remains valid.


serDescription:
summarizing all information on bingo and games of chance operations in municipality:


serName:
Lottery, raffle, or other fund-raising game or event records,

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


serName:
Management plan for heritage area (urban cultural park),

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

serJustification:
(a) The final management plan for each of the State's heritage areas is an important document developed by the local government and binding on it and the State as a plan for the management and development of the area. Although copies of final management plans are available through the State OPRHP, record copies of the plans should also be permanently retained by the local governments which developed them and carry the lead responsibility for administering the heritage areas consistent with the plans. (99-05); (b) Retention takes into account all uses of records, including research value. See also OPRHP RDAs 21793 to 21798.


serName:
Application for heritage area (urban cultural park) designation

serDescription:
submitted to State Office of Parks, Recreation and Historic Preservation, including response and related correspondence:

serJustification:
Provides important documentation on local government efforts to gain legal recognition for the significance of its historical, cultural and natural resource heritage. Application files provide extensive information on the locality and its statewide significance in the context of the Heritage Areas System. It is is the starting point for the designation and planning of the heritage area. The file contains important documentation developed by the local government to justify the creation of a heritage area and merits permanent preservation for this reason. (99-05) See also OPRHP RDAs 21793 to 21798.

serFinalJustication:
Possesses long-term research value by documenting local government efforts to gain legal recognition for the significance of its historical, cultural and natural resource heritage.


serJustification:
(a) The key records deriving from the planning of visitor center facilities are important for documenting the central role those facilities will play in the operation and promotion of the heritage area. (99-05); (b) no justification given; See also OPRHP RDAs 21793 to 21798.


serJustification:
(a) Some records may have enduring value to document the area's significance which led to its designation as a heritage area. (99-05). No justification for 6-year retention; (b) 3 years meets administrative needs; See also OPRHP RDAs 21793 to 21798.


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

serJustification:
Matches revised exhibits item in Museum section; See also OPRHP RDAs 21793 to 21798.


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

serNotes1:
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.

serJustification:
Retention period assigned to take into account all uses of records. Appraisal note is similar to that used for special event files maintained by municipal recreation programs;See also OPRHP RDAs 21793 to 21798.


serDescription:
and member libraries, prepared by public library system (member library's copy):


serDescription:
(log or register), of license and permit application and issuance:

serRetention:
6 years after all licenses or permits listed on records are invalid

serJustification:
Has administrative value as long as any of the permits or licenses it lists remain valid. Must be retained to be able to access licenses and permits. No justification for 6 years (fiscal?).


serName:
Licensing file for person to perform contracting trade

serDescription:
(general contracting, plumbing, electrical or similar work) in municipality

serJustification:
(a) Records needed as long as license is valid, plus 6 years to cover legal, administrative, and fiscal needs; (b) Satisfies legal and fiscal needs [event changed somewhat after 1986]; (c) Because no fee is charged there is no need to retain records for audit. One year allows for administrative consultation of records [event changed somewhat after 1986]


serName:
Business or special event license or permit issuance records,

serDescription:
covering home improvement, apartment rentals, vendors, peddlers, trash collectors, junk dealers, flea markets, going-out-of-business sales, yard or garage sales, posting notices, signs, entertainment and recreational events, explosives license records (predating 1971), tree-cutting, waiver of open-container law, or other local legislation, and similar permit applications

serNotes1:
Junk yard license records are covered under item no. 400 in the Environmental Health section.

serJustification:
(a) Retention period has approval of Division of Audit and Control. No use for long-term administrative or research purposes; (b) no justification given

serRevisionSummary:
Add reference to permits for apartment rentals (e.g., rent out rooms or apartment at your house), tree cutting, explosives permits, and permits for using utility pole (e.g., posting a notice) to business or special event license item. Consider removing "predating 1971" from reference to explosives licenses. Counties and towns can issue explosives permits, but not licenses. Licenses are issued by NYS Dept. of Labor per Labor Law Sects. 450-465 & 12 NYCRR 39. Consider adding information to description of item 315 (MU-1) that would cover utility companies that obtain permits to do tree-cutting. Add cross reference note to junkyard license item in the Environmental Health section. Also added signs.

serRevisionRecdFrom:
From Warren's files: John Lucido, Town of Greenburgh Building Inspector (explosives); From Warren's file (see transportation folder) (tree cutting).      From Warren's files: Steve Geurds, Town of Colonie


serName:
Trailer, mobile home or trailer park permit records,

serDescription:
including application, site plan, copy of permit, copies of environmental health records, fire and building inspection reports:

serRetention:
6 years after denial of application, or expiration or renewal of license

serJustification:
Meets legal, fiscal, and administrative needs. Should be kept longer than business or special event permit because of various legal problems relating to proliferation of trailer parks in municipalities.


serDescription:
documenting franchises granted by municipality to public utility, communications, transportation or other corporation (such as electric, telephone, cable, fiber optic, taxi, bus service, or concessions) including application, record of negotiations, franchise bonds, consumer surveys, reports and correspondence

serJustification:
(a) No justification given; (b) Have short-term legal value, not for life of franchise

serRevisionSummary:
Consider clarifying special franchise files by adding some examples, such as electric, telephone, cable, fiberoptic, cab/taxi, bus service, concessions to the series description.


serName:
Notice of intent to apply for alcoholic beverage license

serDescription:
submitted by license applicant to municipal clerk:

serJustification:
Because the SLA approval or denial must be made within 2 years of the application date, the SLA feels that 2 year retention is sufficient.

serRevisionSummary:
In 2011, the law (ABC §110-B) changed so that renews do not have to be submitted to the Town Clerk, only new alcoholic beverage licenses come to us now. NYC locations do still have to send in their renewals. This renewal clause was removed rom the series description.


serName:
Records relating to issuance and distribution of sporting or marine licenses or permits

serJustification:
(a) Records document the distribution and sale of licenses and collection of license fees. Needed for audit purposes; (b) Not needed for audit because duplicated at State level. 2-years satisfies both other fiscal and administrative needs.

serRevisionSummary:
Consider clarifying conservation license item by adding hunting, fishing (or sporting) licenses to description. Modify item to include marine licenses or permits issued by the municipality per local laws vs. DEC regulations. // Change the word "conservation" in series title to "sporting" in order to cover various activities such as hunting, fishing, trapping, etc.

serRevisionRecdFrom:
Town of Southhampton, Candace Brambley // Suggested by Jennifer O'Neill during review of proposed revisions


serName:
Notification of issuance of license to purchase, own, possess, transport, use, manufacture, sell, or dispose of explosives,

serDescription:
also known as "magazine certificate," issued pursuant to Section 458.9, Labor Law, and sent to municipality:

serJustification:
Dept. of Labor has official records. Retention satisfies administrative needs at municipality


serDescription:
filed with city or village receiving tax payment from utility:

serJustification:
Meets legal, administrative, and fiscal needs. The amount of payment is recorded in the general ledger.


serNotes1:
Local governments may wish to consider long-term or permanent retention for chattel mortgage records since documentation often contains information about debtor-creditor relations and transactions, as well as prove useful for social history.

serRevisionSummary:
Add appraisal note to MU-1 item 330 (CO-2 item 169), chattel mortgages. Consider changing retention period for chattel mortgages to permanent. I really see no reason to change this retention period -- especially since more recent chattel mortgages are now UCCs and these are covered under a separate item and no real justification was given for keeping the chattel mortgages permanently. Moreover, Missouri and Texas have scheduled their chattel mortgages for destruction (while at least Texas retains the index permanently).


serName:
Out-of-state or other unofficial marriage, birth, death or divorce records, separation, or annulment records

serDescription:
filed with clerk for informational purposes:

serJustification:
No legal value as they are not official records and cannot be verified.

serRevisionSummary:
Added separations and annulments to title.


serName:
Lower income housing rental assistance records

serDescription:
(created under Section 8 of the Housing and Community Development Act of 1974)

serJustification:
(a) Item taken from Miscellaneous section of Schedule MU-1;Records are archival because of administrative, research, and legal value. Most master summary records are retained permanently.; (b) 6; item taken from Miscellaneous section of Schedule MU-1.

serRevisionSummary:
Consider adding subitem to Section 8 housing assistance records item to cover monthly reports. Would this item include inspections or would those be covered under housing maintenance or building inspection records (MU-1 item 59)? Some inspections may be covered under item 59 of the MU-1, but the Public Housing Authority may also conduct inspections. The disposition of most public housing authority records is subject to PHL, not Archives' retention schedules, so a subitem for inspection reports is needed as well.

serRevisionRecdFrom:
Nicole M. Colson, Clerk-Treasurer, Village of Corinth


serName:
Maps, plans, specifications, drawings and photographs

serNotes1:
Appraise these records for historical significance prior to disposition. Some of these records will have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serJustification:
Retention period reduced to allow for disposition of specific documents not warranting permanent retention


serDescription:
and all supporting documentation for port facility:

serJustification:
Permanent retention because records document long-term usage of port facility and plans for the future. Background material often contains information not in plans and should be retained to supplement report.

serFinalJustication:
Possesses long-term research value in documenting the usage of a port facility and plans for the future.


serJustification:
(a) Satisfies legal and administrative needs and consistent with other contract-related retentions. Appraisal note based on fact that contract negotiations originally scheduled as “permanent.”; (b) Administrative and possibly legal value to warrant six years, but does not deal with significant enough matters to warrant longer retention; (c) Have little value when superseded or obsolete.


serDescription:
of all regular and special local, New York State and Federal censuses:

serFinalJustication:
Possesses long term research value providing information on individuals and their relationship to the community not found in other records, and providing an interim look at population between federal census years. Original records for the State's pre-1915 censuses are kept at the county level. The 1911 Capitol fire destroyed manuscript schedules of the State census for 1801-1905; some county clerks' offices hold duplicate copies of some of the State censuses taken periodically between 1825-1925.


serName:
Power generating facility licensing records,

serDescription:
covering all records submitted to municipality as part of nuclear power, hydropower, cogeneration or other power facility licensing or relicensing process, including but not limited to maps and plans, construction specifications, reports and studies, copies of applications, copies of court transcripts and environmental data collected as part of application process

serJustification:
(a) The construction and location of power generating facilities is a matter of great public controversy and concern. Records provide important information on these facilities, including their benefits as well as potential negative effects on the community. The records will remain of research value over time because they document the impact of often-controversial facilities on the community (appraisal report 99-05); (b) no justification given


serDescription:
(D.B.A.-Doing Business As) and related materials

serJustification:
(a) No justification given; (b) They document the existence of businesses functioning in the community. Indexes to assumed business names provide valuable summary information and can be used to track ownership of small businesses and thereby facilitate research regarding economic activities in the community (appraisal report 99-05)


serDescription:
including nurses, midwives, doctors and other professionals:

serFinalJustication:
Possesses long term research value in documenting biographical data, and social and economic history of a community, as well as capturing information on local and federal licensing requirements for professions which New York State government does not license.


serDescription:
appointment records, including but not limited to commission, certificate of official character, certificate of appointment and oath:

serRetention:
6 years after each authorization expires or is withdrawn

serFinalJustication:
The appointment of a notary public shall be for a term of four years. A commissioner of deeds shall hold office for the term of two years from the date of their appointment, and until others are appointed in their places. The retention period satisfies these term requirements.

serLegalCitation:
EXC §130.1, 139 (creation), PBO §10 (creation)

serRevisionSummary:
Added "each" to retention to clarify.


serDescription:
notice of termination, and related records, filed with municipality or county:

serJustification:
Records are archival because of long-term legal value and being equivalent to marriage records, permanent retention seemed justified.

serFinalJustication:
Documenting a publicly declared personal partnership between two individuals, domestic partnership statements are equivalent to marriage records which are permanent and exist as the legal proof of a public joining of two individuals.


serName:
Photographs, other visual media, or audio/video records,

serDescription:
including aerial photographs and consent forms, created by a local government, which are not part of a record series listed elsewhere in this Schedule:

serNotes1:
Appraise these records for historical significance prior to disposition. Some photographs and other visual media records may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serRevisionSummary:
Clarify description for photographs or audio/visual records to include aerial photographs and photo release/consent forms.

serRevisionRecdFrom:
From Mahopac Library; From  Joan Burns, Records Management Clerk, ONC BOCES


serDescription:
including but not limited to registration records and periodic reports of lobbying activity filed with the New York State Joint Commission on Public Ethics:

serRevisionSummary:
Remove "individual reporter designation records" from lobbying activity records item and update reference to NYS Commission on Lobbying.


serRevisionSummary:
Revised series description to include public officers.

serRevisionRecdFrom:
Jeff Braude (RMO, Dept. of Civil Service) commented on proposed schedule revision


serJustification:
(a) Retention meets the needs of the NYS Racing and Wagering Board for access to records (noted by Bob McDonnell); (b) Retention determined with approval and input of Racing and Wagering Board, Department of Audit and Control, and Taxation and Finance.

serRevisionSummary:
Updated reference to "New York State Racing and Wagering Board" to "New York State Gaming Commission."


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

serJustification:
Retention meets the needs of the NYS Racing and Wagering Board for access to records (noted by Bob McDonnell).

serRevisionSummary:
Updated "New York State Racing and Wagering Board" to "New York State Gaming Commission."


serName:
Reports submitted to New York State Gaming Commission

serJustification:
(a) Consistent with State Archives policy of assigning annual reports permanent retention; (b) Racing and Wagering Board felt that reports should be retained for 3 years for administrative purposes.


serName:
Reports and other records submitted to New York State Department of Taxation and Finance

serJustification:
(a) Retention requested by Taxation and Finance. Racing and Wagering Board and Audit & Control consented; (b) no justification given; (c) Retention requested by Taxation and Finance and Audit and Control.


serDescription:
created for internal administrative purposes

serJustification:
(a) Retention based on consult with Audit & Control and Taxation & Finance. Because of problems related to telephone betting, a longer retention needed than that for records covered by item “b.”; (b) Retention meets the needs of the NYS Racing and Wageri


serDescription:
covering sales of state lottery tickets by off-track betting corporations

serJustification:
(a) & (c) No justification given; (b) 2 years requested by State Comptroller’s Office for audit purposes.


serName:
Report of winnings submitted to Internal Revenue Service

serFinalJustication:
Satisfies federal Internal Revenue Service requirements.


serDescription:
including related Off-Track Betting Corporation (OTB) records which are created, received or maintained by an OTB in its capacity as a video lottery gaming agent

serNotes1:
The New York State Gaming Commission, in Sections 5101.2 and 5109.3 of 9NYCRR, prescribes minimum retention periods for certain records of video lottery gaming agents as well as procedures that an OTB must follow to receive authorization to destroy those records. An OTB subject to Gaming Commission requirements for its video lottery operations must meet both the minimum retention periods indicated in Sections 5101.2 and 5109.3 as well as minimum retention periods established in this Schedule. Any records for which the Gaming Commission approves destruction after periods shorter than those indicated in Sections 5101.2 and 5109.3 must continue to meet the minimum retention periods established by this Schedule.

serNotes2:
The Gaming Commission requires that video lottery gaming agents proposing to destroy records specified in Section 5101.2 must notify the Commission in writing at least 15 days prior to the scheduled destruction of any original record. The Commission may prohibit such destruction within 15 days of receiving that notice of destruction. However, Commission regulations exempt certain records from this requirement for prior notification of planned records destruction. Consult the Commission's regulations or contact the Commission for specified information on its requirements.

serNotes3:
This Schedule authorizes the destruction of any original records which have been duplicated on microfilm or other media, subject to requirements of Section 57.29 of Arts and Cultural Affairs Law and State Archives procedures. The destruction of such original records maintained by an OTB pertinent to video lottery gaming operations also requires written notification to the Gaming Commission as indicated above, and approval from the Commission of the microfilm or other media system used to copy and store records. Some provisions of Section 5101.2 establish retention periods less than or equal to the periods required by items in this Schedule. Other provisions require certain records to be retained "indefinitely" without a specified retention period, Destruction of both of these categories of records requires approval of the Commission as indicated in the Notes, above. Other provisions of Section 5101.2 authorize destruction of certain records after no required minimum retention period and without prior notification to the Commission of the intended destruction. The Commission is also able to approve requests to destroy additional types of records after no Commission-required minimum retention period and without need for prior notification to the Commission of intended records destruction. However, in all of these circumstances, Schedules users must continue to meet retention requirements established by this Schedule. Schedule users should consult this Schedule for the required minimum retention periods for specific records. The following parts indicate those records which are not otherwise covered by items in this Schedule or for which Sections 5101.2 and 5109.3 require lengthier retention periods than are required by items in this Schedule. Because some of the following parts cover broad categories of records, Schedule users should refer to the General Administration, Fiscal and other sections of this Schedule to determine if specific records within those broad categories have retention periods greater than that indicated for the part. Records with longer retention periods should be retained for additional periods as specified by the applicable Schedule items. In the event that the Commission approves a request from an OTB to reduce any of the following retention requirements, the OTB must continue to meet any minimum retention requirements for those records as specified by other items in this Schedule.

serComments:
Notes 4 & 5 will need to be separated once item is output as textual document.

serRevisionSummary:
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. Replaced references to Sect. 2836-2.3 of 21NYCRR (repealed) with 9NYCRR Sect. 5101.2 & 5109.3. Replaced references to "Schedule MI-1" with "this Schedule."


serName:
Questionnaire on student race and ethnicity

serDescription:
responsive to state and federal statistical data requirements:

serRetention:
3 years or 3 years after audit, review, or investigation is completed, whichever is later

serRevisionSummary:
Add new item to cover questionnaires titled Student Race & Ethnicity Update which are sent to all parents: http://www2.ed.gov/policy/rschstat/guid/raceethnicity/questions.html. Because the collection of the data is associated with the disbursement of federal funds, the regulatory requirement for maintaining original individual responses is a minimum of three years unless there is an audit, inspection, review, or investigation that has not been resolved (in that case, the responses must be maintained until resolution is complete). Institutions must maintain the information in the responses as it was collected using the two-part question, in case the U.S. Department of Education needs it in the exercise of its oversight and enforcement responsibilities.


serDescription:
including eligibility assessments, participant information, nutrition counseling, and meal services:

serFinalJustication:
Satisfies 6 year records retention requirement in 9 NYCRR 6654.11(j).

serRevisionSummary:
Consider adding an item for records of nutrition providers. Such providers are typically non-government and are regulated by the LG office for the aging, but in some cases these providers can be LG offices. Office of Aging regulations have a split retention, but a single retention period will facilitate implementation.


serDescription:
gathered from a government, organization, or individual as part of the discovery process or subpoenaed under civil or criminal procedure law, but not used in a case:

serRetention:
30 days after final disposition of case, unless return is requested by owner.  If requested, return to owner.

serFinalJustication:
Satisfies short-term administrative and legal needs and is consistent with retention requirements set by the Uniform Court System

serRevisionSummary:
Following review of the draft legal section of State General Schedule, suggest adding this series to the local government schedule.


serDescription:
documenting the receipt, handling, and return of evidence in the course of an investigation:


serDescription:
including agreement, disbursement records, and transfer or termination of account records:

serRetention:
6 years after transfer or termination of account

serFinalJustication:
Satisfies the statute of limiitations for litigation involving a contract (CVP §213) and OSC's audit requirements.

serRevisionSummary:
Consider adding item to cover escrow accounts related to building projects. Builders and developers set up escrow accounts from which the Town professionals are paid for reviews and inspections that they perform. Proposed language tracks with tax escrow account item. Changed series title to specify type of escrow account.

serRevisionRecdFrom:
Chris Masterson, Town Clerk, Town of Wappinger;  Town of Lewisboro


serName:
Test evacuation and mock disaster response records

serRevisionSummary:
Add new item to cover test evacuation and mock disaster response records

serRevisionRecdFrom:
From Warren's file: Cindy Sauer, Westchester County; see appraisal report 19-05


serName:
Disaster preparedness and emergency management training materials,

serDescription:
including lesson plans, course materials, and participant lists:

serRevisionSummary:
Add item for disaster training materials.


serName:
Fire safety disclosure records for on-campus student housing

serRevisionSummary:
Add item to cover any new requirements brought about by changes to the Campus Security Act (Clery Act (20 USC 1092(f))), specifically fire safety records for student housing. Since this only relates to schools with on-campus housing, it makes sense to create as a new item under the "Housing" sub-section rather than a sub-item of the campus safety record series. See 2016 Handbook for Campus Safety & Security Reporting: https://www2.ed.gov/admins/lead/safety/handbook.pdf.

serRevisionRecdFrom:
Warren's files; see appraisal report 19-05


serDescription:
including papers, homework and other assignments, whether or not graded:

serRetention:
1 full semester after the course has ended

serRevisionSummary:
Add item to cover class assignments, homework, and the like. Some of these items may be "graded" while others are non-graded and used for instructional purposes. Closest current item is item 377 in ED-1. A review of retention schedules for 12 colleges - only 5 had items related to student work/class assignments with varied retentions up to 1 year. Suggested language is a mash-up of these examples.


serFinalJustication:
Satisfies the statute of limitations for general litigation (CVP § 213) and for litigation involving a minor (CVP § 208).


serDescription:
and related records necessary for connection to public electric or gas supply system:

serNotes1:
Records related to public electric and gas system construction or operation are covered by items in this section.

serRetention:
6 years after connection no longer in use, or after denial of application

serLegalCitation:
General Municipal Law Art. 14-A (creation), Public Service Law Art. 2 (creation)

serRevisionSummary:
Consider adding an item covering resident application to connect to municipal electric system which would mirror that item which covers the public water supply connection application process.


serFinalJustication:
Satisfies the permanent records retention requirement in 16 NYCRR 733.14.

serLegalCitation:
16 NYCRR 733.14(e) (creation, retention)

serRevisionSummary:
Add item to cover "life or mortality study data [created] for depreciation purposes." 16 NYCRR 733.14(e) requires this be retained permanently.

serRevisionRecdFrom:
From Warren's file, based on his examination of 16 NYCRR Part 733 and 18CFR, Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix); see appraisal report 19-05


serName:
Radon detection test kit distribution records:

serRevisionSummary:
Add item to cover radon detection records. Relates to 10 NYCRR 16.130, but no specific law or regs are specific to kits.


serName:
Original check, money order, or similar instrument of payment

serDescription:
received and kept by local government, scanned and deposited to bank account, or retained by the local government for any other reason:

serNotes1:
It is recommended that the process of receipt of payment and subsequent deposit as a part of the standard course of business be documented and maintained for legal or audit purposes.

serRetention:
60 days after deposit and verification of account information or no longer needed for any purpose

serJustification:
Satisfies short-term administrative and fiscal needs.

serRevisionSummary:
Add item to cover electronic checks. We have already given a handful of governments authorization to utilize this item. This was based on common practice -- most banks require account holders to report errors to their account within 30 days after they receive their statement. Add another 30 days to assume the check posts to the account on the 1st day of the cycle. Local governments would retain a copy of their bank statements for 6 years (MU-1, item 263) and the statements should include an itemized listing of the checks.


serName:
Accounting and financial reporting for post-employment benefits other than pensions (OPEB)

serRevisionSummary:
Add item to cover requirements found in GASB 45 & 75. GASB 45, or GASB Statement 45, is an accounting and financial reporting provision requiring government employers to measure and report the liabilities associated with other (than pension) postemployment benefits (or OPEB). Reported OPEBs may include post-retirement medical, pharmacy, dental, vision, life, long-term disability and long-term care benefits that are not associated with a pension plan. Government employers required to comply with GASB 45 include all states, towns, education boards, water districts, mosquito districts, public schools and all other government entities that offer OPEB and report under GASB. GASB 45 was instigated by the Governmental Accounting Standards Board (GASB) in July 2004 because of the growing concern over the potential magnitude of government employer obligations for post-employment benefits.

serRevisionRecdFrom:
From Jeffrey Chodikov, Capital Region BOCES; From Shelli Reickert
Administrative Assistant/District Clerk
Schodack Central School District
District/Business Office


serDescription:
that disclose to residents when their computerized private information was or may have been acquired by a person without valid authorization, including notifications to affected persons and to designated state agencies (if required), logs of notifications, and related records:

serFinalJustication:
Satifies the statute of limitations for general litigation in CPR §213.

serRevisionSummary:
Add item to cover security breach notifications, modeled on General Schedule item. The State Technology Law §208 specifically excludes local government from this requirement (except PDCs and PAs). Similar language does appear in NYC Administrative Code Title 10, Chap. 5, but didn't find similar language in any of the general local govt laws (County, Municipal, City).


serName:
Minutes and meeting files of non-governing bodies,

serDescription:
including internal staff committees or teams, inter-agency teams, or entities not covered by Public Officers Law Article 7 (Open Meetings Law), documenting proceedings of meetings, including minutes, agendas, background materials, recordings, and other records

serNotes1:
See item nos. 47, 48, and 51 for minutes, recordings, and meeting files of governing bodies or entities covered by the Open Meetings Law.

serRevisionSummary:
Add item for internal meeting records. Used same justification as item 10 (Correspondence) which is similarly divided.


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

serRevisionSummary:
Consider reinstating item 114, Radiation use log, that previously appeared in this section, but was later removed with the intention that such records are better covered by items 178 and 762 in the Public Health section, Radiological Health subsection. Item 114 seemed more aimed at use of radiological materials for instructional purposes, as opposed to the health orientation of items 178 and 762. Examine this issue and determine whether item 114 needs to be reinstated. Language used is from previous MI-1 schedule, though it's unclear why a 4 yr post-grad retention is appropriate. Also, the item only deals with student use; should there be a corresponding sub-item for staff/faculty? I assume this has to do with programs such as these: https://www.health.ny.gov/professionals/doctors/radiological/schlist2.htm.


serFinalJustication:
Satisfies 10 year records retention requirement in 16 NYCRR 733.15.

serRevisionSummary:
Add item to cover cash books. Add note to fiscal item for cash transaction record item [see Fiscal section of this spreadsheet].

serRevisionRecdFrom:
From Warren's file, based on his examination of 16NYCRR, Part 733 and 18CFR, Part 125 (Appendix 4-A was revised in 1999 and became a new Part 733 instead of an appendix)


serName:
Hazardous or toxic substance or petroleum bulk storage records,

serDescription:
except storage facilities owned or operated by local government, including inspection and monitoring records:

serRecordsNotCovered:
Records related to a spill or release of hazardous or toxic substance or petroleum are covered by item no. 403.

serNotes1:
Records related to petroleum bulk storage facility owned or operated by local government are covered by item no. 823 in the Public Property and Equipment section.

serNotes2:
Local governments may wish to retain records longer than the minimum retention period due to potential long-term environmental and public health risks associated with these substances.

serFinalJustication:
Satisfies 10 year records retention requirement in 6 NYCRR 598.8.

serLegalCitation:
6 NYCRR 613-1.5 (creation), 6 NYCRR 613-4.3 (creation), 6 NYCRR 613-1.9 (creation), 6 NYCRR 613-2.6, 613-3.5 & 613-4.5 (creation), 6 NYCRR 596.2(c) (creation), 6 NYCRR 229.5 (retention), 6 NYCRR 598.6 & 598.7 (creation), 6 NYCRR 598.8 (retention)

serRevisionSummary:
Review legal requirements relating petroleum bulk storage and develop a new item to include inspection and health risk assessments for residential or commercial properties with a minimum of 1,100 gals. of oil or gasoline on the site that must be registered and monitored. The sites may not have had spills or releases. This item would fall under Local Regulatory/Permitting Agency: Miscellaneous

serRevisionRecdFrom:
From Warren's file: Cindy Sauer, Westchester Co


serName:
Case file for each account containing court-controlled funds held by the fiscal office,

serDescription:
including but not limited to court order establishing account, investment records, and record of dispersal of funds upon account being closed:

serFinalJustication:
Satisfies OSC's audit requirements and short-term administrative and legal needs.

serRevisionSummary:
Add new item in General Accounting and Miscellaneous subsection to cover case files for each account containing court-controlled funds held by the fiscal office.

serRevisionRecdFrom:
From Warren's file, based on his conversation with Andre Casillo, Nassau Co. Treasurer's Office, and Jane Chin, OCA; relates to item 286 in CO-2


serDescription:
mailed to qualified voters and other residents, notifying them of budget to be voted on at annual or special election:

serRevisionSummary:
Add new item for Budget section regarding budget notices mailed to voters and residents. The information required in the school budget notice is duplicated exactly in the school property tax report card. Tax report cards are scheduled under item 498 with a permanent designation. Thus, these notices may be scheduled for eventual destruction.

serRevisionRecdFrom:
From Warren's file; appraisal report 19-05


serName:
Records of universal telecommunications and information services (E-rate) program for schools and libraries

serRevisionSummary:
Investigate further e-rate program records and whether they are adequately covered by existing purchasing schedule items. Appears to affect only school districts and BOCES. Review research material that has been collected in Warren's file. From the USAC.org (which manages the program on behalf of the FCC): "All applicants and service providers are required to retain receipt and delivery records relating to pre-bidding, bidding, contracts, application process, invoices, provision of services, and other matters relating to the administration of universal service for a period of at least ten years after the latter of the last day of the applicable funding year or the service delivery deadline for the funding request." Records covered enumerated in FCC 5th Report and Order dated 8/4/2004. See: http://www.usac.org/sl/tools/document-retention.aspx


serDescription:
including but not limited to applications for assistance, financial aid disbursement records, copies of income tax forms, financial aid transcripts from other schools, award and declination notices, verifications for non-taxable income and other tax-related records, and veteran's service information:

serRevisionSummary:
Add new subitem to ED-1 item 105 (billing records) to cover student financial aid records. It appears that adult students can receive financial aid for career and technical education at BOCES. Model on item in community college section. MOVE TO SCHOOL DISTRICT FISCAL SECTION.


serRevisionSummary:
Add new item. Review request from Albany County and contact them to confirm that proposed wording meets their needs. A similar inquiry was made by Suffolk Co Social Services who thought that welfare fraud investigations should be separate from the case file item. Suffolk Co suggested we speak also with Monroe Co who does extensive investigations.

serRevisionRecdFrom:
From Warren's file: Brandy Alden, RMO, Albany County (2009); Jeffrey Meyer, Special Investigations Unit, Suffolk Co DSS (2003)


serName:
Child and adult day care providers review records,

serDescription:
including monthly, quarterly, and annual reports:

serRevisionSummary:
Consider revising item 621 or adding new item to cover county records of reviews of youth and nursing facilities and other types of facilities regulated by the county. Take a look at old retention schedule 18-SS-1 which had various items for records of oversight of youth and nursing home facilities, such as 481 for reviews of nursing homes and 457 for authorizations to operate child care facilities. There were a number of these types of reports in the schedule, and they all had the same retention period. Records pertaining to authorizations to operate nursing/adult care facilities are covered under 985b of CO-2. Similar records for youth facilities might be covered under item 1055b.

serRevisionRecdFrom:
From Warren's file; Pete Scheibner, Rockland Co. archivist: Pete inquired about retention of records of day care centers that are reviewed by the county social services dept. According to the "rules," the county DSS is responsible for reviewing day care centers to determine where client money is going.


serDescription:
including the names, addresses, phone numbers, and other information for individuals designated as student emergency contacts. Information may be used in conjunction with school safety and disaster plans:

serRetention:
Destroy when information is superseded or student leaves the district, whichever is shorter

serRevisionSummary:
Add new item to cover student emergency contact record


serName:
Copy of order of protection for student or employee at school or place of employment,

serDescription:
pursuant to Article 530, Criminal Procedure Law:

serRetention:
6 months after order expires or otherwise becomes invalid

serRevisionSummary:
Add item to cover copies of court orders of protection for student or employee at school or place of employment. Model item after item in public safety section of other retention schedules.


serRevisionSummary:
Add new item to cover parental and other consents for release of student record information (per FERPA). Model item on existing item in CO-2 Schedule (item 133). See item 393 revision in Miscellaneous section.

serRevisionRecdFrom:
"From Mary Lou Botsford, District Clerk/Records Access Officer, Newburgh Enlarged City School District; Joan Burns, Records Management Clerk, ONC BOCES

"


serDescription:
consisting of annual notifications as defined pursuant to Section 209-cc of General Municipal Law

serRevisionSummary:
Our version in the updated schedule comes from the CO-2, but she is looking at the MU-1, which has two subitems. The CO-2 version (and the one replicated here), is intended for counties because it references notifications from city, town, and village, while the MU-1 version covers notifications to city, town and village clerks from individuals.


serName:
Non-official copies of tentative and final assessment rolls,

serRevisionSummary:
Add item to cover non-official copies of tentative and final assessment rolls which local governments may maintain for administrative purposes.


serDescription:
including but not limited to driver training certificates, character references, application for employment, physical examination, driving examination and training records

serSubsection:
Transportation: Other School Transportation Records

serRevisionSummary:
Add item to cover records relating to training BOCES provides for school bus drivers who are not BOCES employees. Taking these courses is mandated by the state under NYS DMV Vehicle and Traffic Law - 19-A. A certificate is issued. Keeping the records an additional year covers the possibility that the individual is not prompt in taking these refresher courses. It also ensures that some record of these course results is available to motor carriers that employ these individuals, as Section 509-d stipulates that these motor carriers must keep in the file of the bus drivers (for three years) records pertaining to defensive driving review and driving examination forms.

serRevisionRecdFrom:
From Joan Burns, Records Management Clerk, ONC BOCES


serName:
Family and Medical Leave Act (FMLA) compliance records,

serDescription:
including but not limited to employee notice of leave, dates and hours of FMLA leave, copy of employer notices, documents describing employee benefits and premium payments, and records of disputes:

serNotes1:
Additional records required under FMLA, including basic payroll and data identifying the employee’s compensation, are covered under items in the Fiscal section, Payroll subsection. Records relating to medical certifications, re-certifications or medical histories of employees or employees’ family members, created for purposes of FMLA, are required to be maintained as medical records separate from personnel files and are covered under item no. 662b.

serFinalJustication:
Satisfies 3-year records retention requirement in federal Family and Medical Leave Act of 1993 (29 CFR 825.500).

serRevisionSummary:
Fix typo in item 644. Series title should say "Family and Medical Leave Act."


serName:
Retirement incentive records documenting employees who elect for early retirement under government-offered incentive programs,

serDescription:
including agreements with employees for lump sum, monthly, or annual payments; records of actual payments; and related correspondence:

serRevisionSummary:
Consider adding an item to cover early retirement incentive records. Also consistent with retention of similar records in Georgia State Archives and Oregon University.

serRevisionRecdFrom:
"From Norma M. Slocum, Secretary to the Personnel Officer, Tioga County Personnel Office
"


serName:
Documentation of teacher mentoring program,

serDescription:
including but not limited to names and teacher certificate numbers of mentors and teachers served, type of mentoring activities, and the number of hours devoted to mentoring each new teacher

serRevisionSummary:
Add new item to cover records that document teacher mentoring program.


serName:
Annual occupational injuries and illness surveys,

serDescription:
submitted to the New York State Department of Labor under 12NYCRR, 801.41:

serRetention:
1 year after submission to the Department of Labor

serJustification:
Department of Labor maintains official records.

serRevisionSummary:
Add new item to include annual occupational injury and illness surveys submitted to Dept. of Labor. Model it on General Schedule item 90296.


serName:
Mini-PERB application and petition records filed with Public Employment Relations Board (PERB)

serDescription:
for approval and of local government provisions and procedures pursuant to Section 212, Civil Service Law, including but not limited to application for approval of procedures, petition to review implementation of procedures, correspondence, memoranda, copies of local laws and public notices, and final determination by PERB:

serLegalCitation:
CVS §212 (creation); 4 NYCRR 203 (creation)

serRevisionSummary:
Add new item to cover mini-PERB application and petition records. Local governments, under Section 212 of the Taylor Law, have the option to handle their own public employment relations matters (except improper practice charges, which must be handled by PERB). To choose this option, the local governments must enact local laws establishing a mini-PERB and may petition PERB seeking review of a mini-PERB decision. There is no real guidance here in terms of retention, though it seems like permanent retention for records under part "a" would be prudent, and is also consistent with library incorporation/chartering records (the closest parallel I could find).


serDescription:
including but not limited to charges, notice of conference and hearing, correspondence, briefs, transcripts, exhibits, withdrawal or stipulation of settlement requests, and final decision

serRevisionSummary:
Add new item to cover mini-PERB records case files. Local governments, under Section 212 of the Taylor Law, have the option to handle their own public employment relations matters (except improper practice charges, which must be handled by PERB). To choose this option, the local governments must enact local laws establishing a mini-PERB and may petition PERB seeking review of a mini-PERB decision. There is no real guidance here in terms of retention, though it seems like permanent retention for records under parts "a" through "e" would be prudent, and is also consistent with library incorporation/chartering records (the closest parallel I could find).


serName:
Requests for employment or salary verification,

serDescription:
for former or current employees or individuals who are not employees, received internally and externally, including copies of requests, release of information authorization records, and related documentation and correspondence:

serRevisionSummary:
Add new item to cover employment verification requests received for employees, former employees, or individuals who are not employees, perhaps for fewer years than MU-1 item 346a. For example, a bank confirms employment of loan applicant by sending form to employer (government) to complete. Plus, incorporate salary verification records relating to unemployment insurance coverage of LG employees per Federal Unemployment Act (Public Law 94-566). Based on following item: https://library.uoregon.edu/records/schedule/166-475-0095#21

serRevisionRecdFrom:
2017.04.07, Ann Saunders, Clerk, City of Watertown / From Catherine S. Reetz, Administrative Asst. to Superintendent and District Clerk, Wayne K-12 school district


serDescription:
including memoranda to employees of ethics requirements, employee requests to receive honoraria or travel reimbursement, employee request to engage in outside activities or secondary employment, requests to exempt employees or positions from financial disclosure requirements, and related correspondence, reports and other records:

serRetention:
7 years after end of calendar year or 7 years after records concerning or authorizing ongoing actions have no further validity, whichever is longer

serFinalJustication:
Satisfies the statute of limitations for prosecution of violations of comparable state ethics requirements as Class A misdemeanors under Section 73 of Public Officers Law (CPL §30.10(3-b).

serRevisionSummary:
Add new item to cover employee ethics records modeled on General Schedule item 90383, e.g., approval for secondary employment, outside activities


serDescription:
maintained in addition to those found in client case file, including but not limited to surveys and information received from law enforcement agencies or the State Division of Criminal Justice Services, or downloaded off the Internet; detailed GPS tracking records; daily individual location logs; and non-official copies of offender registration records:

serRevisionSummary:
Add new item to cover sex-offender records. These are separate from those found in the client case files. Item requested by Rensselaer County Probation Department.


serName:
Lists of probationers and other clients,

serDescription:
submitted to and received from New York State Division of Criminal Justice Services, including update and correction records:

serRevisionSummary:
Add new item to cover lists of probationers and other clients, which is similar to the list of registered sex offenders maintained by the Probation Department and submitted to / received from DCJS. Similar retention period as list of sex offenders (item 956).


serDescription:
including but not limited to records of supplies or services provided veterans, home relief order, payment vouchers and lists of supplies purchased from vendors:

serJustification:
Permanent retention for research value (covers the period 1930s-1950s when few other public welfare records survive)


serDescription:
including requests to borrow or copy materials from other libraries, receipts for materials, copy logs, accounting records, and circulation records

serRevisionSummary:
Add new item to cover interlibrary loan records.


serRetention:
3 years after card expires or is inactive

serRevisionSummary:
Add new item for library card application records.

serRevisionRecdFrom:
From Nancy Mueller, Buffalo & Erie County Public Library System


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

serRevisionSummary:
Add new item to cover program records including program enrollment lists and parental consent records. Can use MI-1 Schedule items in Recreation section as models, specifically 506 & 508, as well as museum exhibit item. Amy Heebner questioned the need to keep attenance sheets and registration forms. Since no fees are probably charged for library exhibits or programs, attendance and registration records can have a short retention period.

serRevisionRecdFrom:
From Grace Palmasatto, Long Beach Public Library; see appraisal report 19-05


serRevisionSummary:
Consider adding a subitem to 738 (power generating facility licensing records) or a separate item to cover dam safety records which may have a permanent retention period (will need to be appraised) OR revise items 718 (lake, river, stream or watershed study files) or 887 (flood control and beach erosion records) within Environmental Management section. Appraise emergency action plans & incident reports. 6 NYCRR 673 covers any type of dam, so a separate item is warranted (from item 738).

serRevisionRecdFrom:
From Warren's files: Washington County and Town of Fort Ann; Bob McDonnell questioned whether dam safety plans were limited to power-generating dams or would cover other dams (Warren thought plans were limited to power dams)


serDescription:
filed by individual retained by another person or group to represent them at an appearance before the governing body or department:

serFinalJustication:
Is consistent with retention period for similar agency records maintained by the Joint Commission on Public Ethics.

serRevisionSummary:
Add new item for "notices of appearances" which are notices filed by persons appearing before a governing body in the capacity of representing another party. The notices provide names and addresses, the entity being represented, and the matter on which the entity is being represented. Make consistent with item proposed in draft legal section to General Schedule.

serRevisionRecdFrom:
From Warren's file: Donna Hill, Town of Smithtown; Bob McDonnell notes that these records are similar to "records of appearances" prepared by many state agencies and retained for 3 years. Presumably, a similar retention period would be in order for notices.


serDescription:
except bingo or games of chance, when operated by local government:

serNotes1:
Records relating to licensing of bingo or games of chance by local governments are covered under the Games of Chance/Bingo/Lottery section.

serFinalJustication:
Satisfies statute of limitations for petty offense or misdemeanor prosecution (CPL §30.10.2(c) and (d)).

serRevisionSummary:
Add item for LGs who operate raffles, lotteries, or other fundraising game or events (rather than those that license the operation of those games by organizations per Games of Chance/Bingo/Lottery section of MU-1). Model it on MU-1 item 292.


serDescription:
including minutes, agendas, background materials, studies and reports, and other records used by an employee acting in an official capacity with associations, organizations, or other groups that are not part of the local government:

serRevisionSummary:
Add new item to cover records of external group meeting files where employee is a representative of the government.


serName:
Probation-related reports, studies or data queries, including their documentation

serRevisionSummary:
Add a new item to cover probation-related reports, studies, or data queries. Divided into four types: annual, quarterly/monthly, reports that have legal or fiscal value, and reports that have no legal/fiscal value.

serRevisionRecdFrom:
Records and retention periods requested by Albany County Probation Department.


serDescription:
containing electronic information on probationers and other clients

serRevisionSummary:
Add new item for probation client data system. Series should cover summary data on individuals, detailed data on individuals, and macros/queries. Retention periods consistent with that of similar probation reports and queries found elsewhere.

serRevisionRecdFrom:
Requested by the Rensselaer County Probation Department.


serName:
Freedom of Information records exemption file

serDescription:
for pistol license holders per the NYSAFE Act, as well as other possible exemptions, including application and copy of approval or denial notices:

serNotes1:
Exemptions under the Family Educational Rights and Privacy Act (FERPA) are covered by item nos. 209 in the Community College section and 972 in the School District and BOCES section, Student Records subsection.

serRetention:
3 years after exemption is null and void

serFinalJustication:
Satisfies 2-year statute of limitations for misdemeanors or false statements made under CPL §30.10.

serLegalCitation:
PEN §400.00(5) (creation); CPL §30.10 (retention)

serRevisionSummary:
Add new item to cover public records exemptions for pistol license holders, as mandated under the NYSAFE Act, as well as other possible exemptions, excluding FERPA which is covered separately. Reviewer thought the heading could be better worded to reflect that this is referring to records that are exempt from FOIL requests because of the NYSAFE ACT or other statutes.

serRevisionRecdFrom:
Jennifer O'Neill e-mail with Arthur Siegel; Review response from Colleen Hay, Livonia Town Cler


serName:
Preschool special education claim records,

serDescription:
filed with the New York State Education Department for reimbursement of administrative costs related to the Children with Special Health Care Needs Program and the Physically Handicapped Children's Program:

serRevisionSummary:
Preschool special education claim records, related to Children with Special Health Care Needs Program and Physically Handicapped Children's Program.

serRevisionRecdFrom:
From Janine Fitzmaurice, Dutchess County Department of Health


serName:
Federal emergency management and disaster response grant files,

serDescription:
including application, proposal, narrative, evaluation, reports, background materials, fiscal records, and supporting documentation:

serNotes1:
Appraise these records for historical significance prior to disposition.

serRetention:
6 years after renewal, close of grant, or denial of application

serFinalJustication:
Satisfies short-term administrative and fiscal needs.

serRevisionSummary:
Add new item in Civil Defense section to include FEMA grants and cross reference grant records items to disaster item.


serDescription:
to adjust rates for collection, treatment, or disposal of sewage, including operation reports:

serRetention:
6 years after new rate is effective or is not approved

serRevisionSummary:
Added new item to cover retention of wastewater facility operation reports for a private wastewater facility. Expanded to include other utilities.

serRevisionRecdFrom:
From Nina Matthews, Town of Tuxedo; review Transportation Corporations Law  sect. 121


serName:
Automated road/street file or data layer contained in school bus routing and scheduling G.I.S.:

serRetention:
Maintain as updated data file as long as system is in use, and for 1 year after system upgraded or replaced

serSubsection:
Transportation: School Bus Routing and Scheduling


serName:
Automated student data file contained in school bus routing and scheduling G.I.S. or other automated system,
G.I.S. or other automated system,

serDescription:
used primarily for school bus routing and scheduling:

serNotes1:
If this data file also serves as the basic data file of an automated student

information system (see item no. 953 in the Student Records: Student

Information Systems and Related Records subsection), or if no automated student

information system exists and this data file constitutes the school district’s or BOCES’

only record listing and providing basic information on all students, the school district

or BOCES should consider permanent retention of the basic data elements. See note

to item no. 953 for additional information.

serRetention:
Maintain as updated data file as long as system is in use, and
for 1 year after system upgraded or replaced

serJustification:
Retention arrived at with assistance of Land Records Team and input from SED personnel. Records have administrative value.


serName:
Automated individual school information data file (sometimes contained in school bus routing and scheduling G.I.S.)

serDescription:
containing basic data on school building and its administration, and summary student information, for each school within a district:

serRetention:
Maintain as updated data file as long as system is in use, and for 6 years after system upgraded or replaced


serName:
Transportation-related system operation history file,

serDescription:
containing significant data and/or periodic data snapshots, generated from detailed system data

serNotes1:
Appraise these records for archival value. History files may contain valuable

information to document system operation over a period of time. Contact the State

Archives for additional advice in this area.


serName:
Records of updates, corrections and confirmations to data files

serDescription:
used in automated transportation-related systems, including assignments:


serName:
Transportation-related routing and scheduling reports, studies or data queries,

serDescription:
including documentation of macros, queries, and reports:

serNotes1:
Appraise the records for archival value. Certain reports and studies may be valuable for long-term planning and for historical and other research. Contact the
State Archives for additional advice.

serNotes2:
Macros or queries are created for a number of reasons. For example, an automated system might be used to produce maps and reports which recommend and

lead to construction of an additional elementary school in a school district. In this

case, the system output reports and maps should be retained permanently. The State

Archives recommends that any macro or query created as part of this process also be retained as long as the resulting report or study. See also item no. 998.

serJustification:
No justification given. Though since annual reports and interim reports (former parts a and b) are now covered under other items, it was probably determined that the remaining records have little administrative value, and that the former 3-year retention was too long.


serName:
School bus route schedule, map or diagram,

serDescription:
including such information as locations and times of stops and number of students transported

serJustification:
(a) No justification given; (b) Retention arrived at with assistance of Land Records Team and input from SED personnel. Records have administrative value.


serName:
Routine correspondence and similar records relating to school bus routing and scheduling,

serDescription:
included but not limited to letters and maps of bus routes sent to parents and correspondence received relating to updating information on bus routes and schedules:


serName:
Planning studies conducted using school bus routing and scheduling or other automated system,

serDescription:
covering areas such as new school facility construction and alteration of boundaries within district

serJustification:
(a) & (b) Permanent research value. Retention arrived at with assistance of Land Records Team and input from SED personnel; (c) Retention arrived at with assistance of Land Records Team and input from SED personnel. Records have administrative value.


serDescription:
created in non-automated system or used for data entry or verification, where significant information is data entered or posted to reports and other summary records, including but not limited to tachographic charts and other records generated by vehicle data recorders:

serNotes1:
Records custodians should consult their attorney or counsel before these records are disposed of regarding any potential legal value. Recordings of serious
incidents may warrant longer retention for legal reasons. Tapes or other records generated by data recorders should be retained until legal action is resolved.

serRetention:
0 after no longer needed for administrative or legal purposes
and relevant information posted to summary record


serName:
School bus purchase and capacity approval application records:

serNotes1:
This item does not cover school bus purchase files, which are covered by item no. 547 in the Fiscal section, Purchasing subsection, and school bus maintenance files, which are covered by item no. 817 in the Public Property and Equipment section.

serJustification:
Originally 1 year after disposition of bus. E&S staff advised that records no longer have any importance.


serName:
School bus ridership list or pupil transportation eligibility record for common carriers and contract yellow buses,

serDescription:
including names of students for each trip:


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

serLegalCitation:
TRA §212 (creation), CPLR §213 (retention)


serName:
Non-public school pupil transportation records,

serDescription:
including parental requests and consents:

serJustification:
No justification given [does this need to be 3 years after student reaches the age of 18?]

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


serJustification:
Retention arrived at with assistance of Land Records Team and input from SED personnel. Records have legal value.

serLegalCitation:
CPLR §214 (retention), EDN §3623.1(c) (creation)


serJustification:
Retention meets legal and fiscal needs. [perhaps needs to be retained 3 years after youngest person on list reaches 18?]

serFinalJustication:
Satisfies statute of limitations for litigation involving a minor (CPLR §208) and three-year for litigation involving personal injury (CPLR §214)


serName:
Annual and semi-annual statistical, narrative and fiscal reports

serDescription:
submitted to the State Education Department:

serFinalJustication:
Satisfies long-term administrative needs by documenting long-term trends in spending for educational services, staffing, programs offered, and other services.

serSubsection:
Teacher Resource and Computer Training Center


serJustification:
(a) & (b) No justification given; (c) “Course proposal” added to this item in 1997. They were originally a separate item with “permanent” retention, but made less than permanent because description of courses offered is retained permanently under part “a”.


serJustification:
(a) (b) (d) No justification given; (c) Note changed in 1997 to reflect 55 year need for records for retirement (social security purposes).


serName:
Individual earnings (in-service) credit record,

serDescription:
including information on courses attended and credits earned:

serNotes1:
Schools and BOCES should maintain records of individual earnings (inservice)
credits as part of personnel files. See item no. 636 in the Personnel/Civil Service section.

serRetention:
75 years after date of birth of employee or 55 years after earliest document in file if date of birth is not known

serJustification:
Modeled after National Archives schedule item which uses similar retention period


serName:
Course and workshop registration records,

serDescription:
including but not limited to course registration and approval form, registration acknowledgement and rejection or cancellation notice:


serName:
Listing of canceled courses or workshops:


serName:
Grading and scoring records for individual teacher,

serDescription:
including records of grading and scoring of college level courses attended:


serDescription:
documenting action to address climate change by reducing greenhouse gas emissions and investing in green economies:

serFinalJustication:
Possesses long-term research value in documenting local efforts to address climate change and the human impact on the environment.

serRevisionSummary:
Consider adding an item to cover local climate action plans, see http://www.dec.ny.gov/energy/67101.html

serRevisionRecdFrom:
From appraisal report 15-09; see appraisal report 19-05


serDescription:
including video inspection of environmental facilities, public water supply, and wastewater disposal systems when not covered by specific items in this section:

serRevisionSummary:
Add item to cover videos an LG creates of their sewer system. Suggest adding a new, broad item to the Environ. Health: General section to address possible AV records rather than trying to amend wastewater, solid waste, etc. individually.


serDescription:
including records related to public health emergencies, communicable disease occurrences, and epidemics

serRevisionSummary:
Consider adding new item to CO-2 to cover records relating to Lyme disease, West Nile virus, Zika, and other “new” communicable diseases. We’ve been telling counties to retain these records permanently because (1) they are not currently scheduled and (2) for the next version of the local government schedules we will consider the permanent retention of the first few years of records relating to “new” communicable diseases.


serName:
Confidential information received, including from tip hotline:

serRevisionSummary:
Add item to cover confidential source information shared through crime and drug tip hotlines. These can be shared by phone, email, mail, etc. Can be modeled after item 532 (communications log) in CO-2, except that the phone calls are not recorded, they contain more than simply summary information, they may need to be retained for a long time (as years old tips may still lead to arrest), and they may need to be transferred to the investigation case file as appropriate. I thought one year would be appropriate, as Missouri has scheduled these same records for 1 year, and Kentucky for 2.


serDescription:
where local government pays for or reimburses employee for college tuition or job-related training expenses:

serRetention:
6 years after payment or reimbursement is made to employee

serRevisionSummary:
Revise existing items and add a new item to cover tuition reimbursement records for training related to and unrelated to an employee's job. At minimum a 6-year retention period would be needed to satisfy fiscal audit requirements, but research will need to be done to determine whether other requirements exist that affect the retention period.

serRevisionRecdFrom:
From Warren's files: Tom Lee, Long Island Rail Road


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


serDescription:
journal, or similar chronological record of all activity at a fire station:


serDescription:
prepared for ensuing school year as part of the school budget process:

serJustification:
This document is a significant report from the school district administration to the voters and will have long-term value for future studies of school financing and the relationship of school budgets to enrollment changes and changes in one of the most commonly-referenced standards for measuring the national economy (appraisal report 04-01)

serFinalJustication:
Possesses long-term research value by documenting long-term trends in school financing and the relationship of school budgets to enrollment changes and changes in one of the most commonly-referenced standards for measuring the national economy


serName:
Supplemental education records for individual student,

serDescription:
including but not limited to letters of notification to parent(s) or guardian(s), copies of individual test results, parental or guardian consent (if applicable), student's personalized plan, student final and other progress reports, but not including individual student progress log:

serNotes1:
For records of supplemental education services included in an individual student's cumulative education file, see item no. 948 in the Student Records subsection.


serLegalCitation:
8 NYCRR 100.2(ee), 8 NYCRR 120.4(f), 8 NYCRR 154 (creation)


serName:
Lists of students enrolled in supplemental education programs


serName:
Application to the State Education Department to conduct supplemental education program,

serDescription:
including district plan and related records


serName:
Records of program monitoring by the State Education Department,

serDescription:
including but not limited to notification of visit, monitoring report, response and records of any resulting action taken:


serName:
Payroll breakdown and other background documentation of program,

serDescription:
providing information such as details of program time spent by individual staff members:


serName:
Supplemental education testing records covering tests conducted under Local Education Agency Programs (LEAP) or equivalent programs,

serDescription:
used to determine eligibility for supplemental education programs, submitted to New York State Education Department

serJustification:
(a) (b) (d) (e) No justification given; (c) Permanent retention is consistent with retention of manuals of major procedures, policies and standards affecting local government operations, critical functions or issues of public visibility or concern (appraisal report 04-01)


serName:
Records of supplemental education testing of students, where students are NOT determined to need supplemental education


serName:
Records covering outside providers of supplemental education services

serNotes1:
Records dealing with individual students, including specific requests to receive services from outside providers, are covered by item no. 973.


serName:
Student cumulative education record file (including "permanent record card")

serNotes1:
This covers resident full-time students, including those receiving home instruction and non-resident full-time students paying tuition.

serNotes2:
The birth names of transgender and gender nonconforming students should be stored in a separate folder from the student’s permanent academic record in part "a" and kept confidential, but maintained permanently.

serJustification:
(originally 50 years after graduation). No justification in files for change in retention. Nothing in regs to mandate this.; (b) (d) (e) (f) (g) (h) no justification given; (c) Meets administrative reference needs. Handbook for the Conduct of Summer High Schools states records must be kept one year [“after end of school year” added later]; (i) Added in 1997 to show that these informational copies have little value. Based on discussions with SED personnel.

serRevisionSummary:
Fix typo in note of item 948i. Item referenced should be LGS-1 58, rather than old item number 19. Reduce retention period from 2 years to prior retention period of 1 year for item 948c.

serRevisionRecdFrom:
Brenda Flint, Records Management Officer, Genesee Valley BOCES; Steven E. Katz, Assistant Commissioner, Office of State Assessment


serName:
Student records covering non-district students, and students attending high school equivalency, alternative learning, driver’s education, and adult education courses

serDescription:
including records related to the National External Diploma Program (NEDP) and Comprehensive Adult Student Assessment Systems (CASAS)

serNotes1:
This does not cover non-resident full-time students paying tuition. Their records are covered by item no. 948. This item does cover records of students who pay tuition and reside in another district, but take occasional courses in the district where these records are maintained. It also covers records of resident students taking high school equivalency or non-diploma courses and adult residents taking BOCES career and technical education courses.

serRevisionSummary:
Update item 281 to include drivers' education records and adult education records. Add reference within item 281 to NEDP (“National External Diploma Program (NEDP), administrated through Comprehensive Adult Student Assessment Systems (CASAS) which is a complete assessment program that allows adults to demonstrate transferable skills for which a high school diploma is awarded [per 8 NYCRR 100.8]

serRevisionRecdFrom:
Determine appropriate retention period by discussing with SED P-12 Career and Technical Education staff // From Anne Frank, SED, Office of Career and Continuing Education Services, Adult Education Programs and Policy


serDescription:
containing samples of a student's best work, and including progress reports and grades (where applicable):

serNotes1:
The student and teacher may weed out and dispose of individual student papers in the portfolio at the end of each school year, providing samples of the student's best work are retained as specified above.

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

serJustification:
Retention period approved by SED personnel.


serName:
Certificate of Regents high school and college entrance diplomas issued

serDescription:
or Career Development and Occupational Studies (CDOS) commencement credentials and Skills and Achievement Commencement Credentials for Students with Severe Disabilities issued

serJustification:
(originally 50 years after graduation) – combined with “b”

serRevisionSummary:
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. Worked with SED's Special Ed. unit (Alison Conners) to match these to existing items.


serDescription:
relating to Regents preliminary and literacy examinations, created prior to 1970:

serJustification:
Since the original 10 year retention period has lapsed for all these records, the correct retention period is now “0”


serName:
Basic data on any student contained in or produced by an automated student information system,
information system,

serDescription:
including name, age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class:

serNotes1:
School districts and BOCES should consider permanent retention of the basic data elements of these student information systems 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.

serJustification:
Retention determined with assistance from SISAWG and input from SED personnel. Retention satisfies administrative needs. Note suggests permanent retention of core data.

serSubsection:
Student Records: Student Information Systems and Related Records

serComments:
Student Information Systems and Related Records


serName:
Food management and child nutrition records

serJustification:
(a) Satisfies legal needs under CPLR, 213. Also satisfies state and federal audit requirements. SED informed State Archives that records might be needed for fraud investigation; (b) Satisfies federal audit requirements in Federal Education Dept. General Regulations, Subpart D (Section 74.21); (c) no justification given


serJustification:
No justification given; Corresponds to retention of related item CO-2 item 270(c) in Environmental Health section and MU-1 item 844.


serName:
Student folder for student enrolled in gifted and talented program,

serDescription:
including but not limited to application or offer for participation, testing or eligibility determination records, progress reports, product assessment, samples of student's work, notes and correspondence:

serNotes1:
Schools may prefer to maintain these records as part of a student cumulative education record file.  See item no. 948 in the Student Records subsection.

serRetention:
6 years after student participation in program terminates

serJustification:
No justification given; see also item 338a.

serFinalJustication:
Is consistent with retention period for student cumulative education record file.


serName:
Lists of students applying for participating and/or enrolled in gifted and talented program(s)

serJustification:
Retention requested by Mary Daley of SED. Meets legal and administrative needs; see also item 337


serName:
Application and/or offer for participation in gifted and talented program,

serDescription:
including eligibility identification and testing records, when student is not enrolled or does not participate in program:


serName:
Documentation of the process for selection and placement

serDescription:
for students in gifted and talented program, including explanation and justification of acceptance criteria, and district program plan:

serJustification:
Retention requested by Mary Daley of SED. Meets legal and administrative needs. Records determined to have archival value. See also item 336.

serFinalJustication:
Possesses long-term research value in documenting acceptance criteria and planning of the gifted program.


serDescription:
including but not limited to health history; individualized health care plan; immunization record; results and recommendations from examination, screening, or treatment; parent or guardian referral and permission record; and teacher's comments

serJustification:
Permanent retention established to preserve for research information created during pilot demonstration project involving a nurse-practitioner who does things normally done by a doctor; (b) Satisfies administrative needs and reference needs of student.; (c) Retention reduced to 6 years based on change made to Public Health section of other schedules; (d) Retention meets potential legal needs for records

serRevisionSummary:
Add subitem to 137 of the ED-1 to include physician authorizations to resume athletic activity after a traumatic brain injury. Revised series title "Student's cumulative health record" to "Student's health record" to avoid confusion with part a. "summary record".

serRevisionRecdFrom:
Jennifer O'Neill email to Arthur Siegel; From Maria M. and Linda Primeau, Averill Park CSD


serName:
Log of students' accidents and illnesses

serNotes1:
This retention period presumes that information contained in the log is also contained in the individual and/or summary health records covered by parts a. and/or b. of item no. 899. If this information is not posted to the student's individual and/or summary health records, then the log must be retained until the youngest student listed in it attains age 27.

serRevisionRecdFrom:
Maria McCashion email to Jennifer O'Neill


serName:
Student's psychological or social assessment record file

serNotes1:
Institutional school districts should retain all these records until the student attains age 27.

serJustification:
Satisfies administrative and reference needs. SED Bureau of School Psychology and Social Services as well as Psychology Chair from Kings Park School District said that record would not be valid beyond 6 years because it is an interpretation of that individual only at that point in time; (b) Administrative reference needs; (c) Allows for longer retention for special education students (retention requested by VESID)


serName:
Inventory, storage, receipt and distribution records

serDescription:
for vaccines and controlled substances (or other drugs or medication) administered to students and/or employees:

serFinalJustication:
Satisfies 5 year records retention requirement in PBH §3370.

serLegalCitation:
10 NYCRR 80.46 and 80.48 (creation); PBH §3370 (retention)


serDescription:
covering all or groups of students, including school immunization survey summary and communicable disease summary report:

serJustification:
Retention suggested by SED personnel to meet administrative and legal needs. Also meets DOH needs for immunization summary report.


serDescription:
including but not limited to case record and screening, assessment and referral records

serJustification:
Seven-year retention requested by DOH to meet retention standard they are establishing (related to Medicaid reimbursement). 3 years after age 18 meets statute of limitations involving minors.


serName:
Individual complaint or problem case file

serDescription:
of human rights, economic opportunity, equal employment, community relations or similar function, excluding individual case summary record

serNotes1:
Agencies may wish to retain records covered by parts "a" and "b" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints. For records of affirmative action cases involving local government employees, see item no. 643c in the Personnel/Civil Service section, Personnel subsection.

serJustification:
(a) Retention reduced to coincide with that for DHR case files. Retained 6 years for reference purposes and potential appeals. (however 2008 revision to DHR case files reduced retention to 3 years); (b) Complete record held by DHR so kept only for adminis

serRevisionSummary:
Consider reducing retention period of case file to 3 years to be consistent with recent 2008 reduction in retention period for Division of Human Rights case files. The original retention period of 6 years was established to coincide with DHR case files retention period. Revise case file description to exclude summary record which is covered under item 324. Standardize case files item across all 4 schedules. There are now 4 differing version of the same item, with each using difference notes and placing those notes at different locations. Warren suggests that ED-1 version may be the best.


serNotes1:
This also includes high school equivalency, alternative learning and adult education courses offered by a school district or BOCES.

serJustification:
(a) (b) (c) (e) No justification given; (d) Meets administrative reference need for information as long as course is taught and one year thereafter; (f) Retention consistent with other student records; (g) Item will permit schools to dispose of these planning records when no longer needed for administrative use. However, through the appraisal note, we indicate the potential for some of the records to have long-term value to document the particular instructional methods and content chosen by the schools (04-01).


serRetention:
0 after no longer needed by school district or BOCES


serDescription:
including test answer papers, examination scoring certificates and Regents examinations:

serNotes1:
Scores may be used in annual professional performance reviews (APPR).

serRevisionSummary:
Reduce retention period from 2 years to prior retention period of 1 year for item 908, Exams.

serRevisionRecdFrom:
Steven E. Katz, Assistant Commissioner, Office of State Assessment


serJustification:
Retention period approved by SED personnel


serName:
Training records for law-enforcement officers, E-911, dispatch or fire-fighting personnel

serNotes1:
This item covers official records of public safety training conducted by county vocational education and extension boards or school districts or BOCES.

serRevisionSummary:
Remove erroneous references to ED-1 Schedule (e.g., from items 910 & 915) in note.


serName:
Application for and approval to offer high school equivalency preparation program,

serDescription:
physical education program, occupational education program, instructional programs for incarcerated students, adult education, alternative learning program, foreign exchange visitor program, or similar programs, including application by school district or BOCES, letter of determination, information on participating staff, State Education Department (SED) program review records, service plans, reports submitted to SED and correspondence:

serJustification:
Retention agreed to by SED program personnel to meet fiscal, legal, and administrative needs, and consistent with similar records for other programs.

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

serLegalCitation:
CPLR § 213.2 (retention) and 8 NYCRR 158.7 (creation)


serName:
Regents examination and competency test report:

serJustification:
Meets administrative needs. Retention approved by SED personnel.


serName:
Summary records of standardized aptitude and achievement tests,

serDescription:
including but not limited to test result summaries, copies of tests, eligibility determination records, and records describing testing programs:

serNotes1:
For schools or districts placed "under corrective action" or "under registration review" by SED, these records may need to be retained until these designations are canceled by SED and no longer apply.

serNotes2:
Scores may be used in annual professional performance reviews (APPR).


serDescription:
created prior to or in lieu of the maintenance of student data in automated student information systems, containing such information as student's age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class, and sometimes ethnicity, summary grade, attendance and deportment information

serJustification:
(a) Permanent retention because records predate 1910; (b) Retention determined with assistance from SISAWG and input from SED personnel.


serName:
Documentation of regular updates made to student lists or student data file,

serDescription:
such as covering corrections, deletions or additions to student data:

serJustification:
Retention determined with assistance from SISAWG and input from SED personnel. Retention should cover any administrative needs.


serNotes1:
The Census and Register of Students With Disabilities is covered by item no. 944, found in the Special Education subsection. If the (general) school census, covered by this item, and the Census and Register of Students with Disabilities
are one and the same record, this item covers its retention.

serJustification:
(a) Originally combined as one item. Permanent retention because of historical value; (b) & (c) Originally combined as one item. Retention determined with assistance from SISAWG and input from SED personnel.


serName:
Pupil personnel cumulative record (guidance folder),

serDescription:
containing information on all aspects of student's school career:

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


serDescription:
including but not limited to each student's name, date of birth, names of parents or guardian, address, and daily attendance, absence and tardiness

serJustification:
(a) Originally combined as one record. Retention determined with assistance of SISAWG (working group) and input from SED personnel. Historic value; (b) Meets legal, administrative, and fiscal needs. Recommended by SED Educational Planning and Evaluation. Originally combined as one record; (c) Originally combined as one record. Retention determined with assistance of SISAWG (working group) and input from SED personnel.


serDescription:
including but not limited to parent's excuse, investigation report, and record of attendance at religious observance or education:

serJustification:
Satisfies administrative reference needs. Provides reasonable amount of time during which questions about a student absence might arise. Recommendation of SED Educational Planning and Evaluation.

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


serName:
Attendance reports and other summary attendance records, not

serDescription:
containing detailed information on individual absences

serJustification:
(a) Retention period reduced from permanent because team determined that all of these may not be archival. No justification for 6 years though; (b) No justification given


serJustification:
(a) Meets administrative reference and fiscal needs. Note added in 1997 to account for records with potential historical value; (b) No justification given

serRevisionSummary:
Replaced references to "videotapes" with "videos".


serJustification:
(a) Meets legal and administrative needs; (b) no justification given


serDescription:
generated by student organizations, athletic teams and "booster clubs" to help support extra-curricular activities:

serJustification:
Retention period satisfies fiscal audit needs.


serName:
Extra-curricular activity selection and evaluation records,

serDescription:
including applications, nominations, qualifications, evaluations, ratings, voting records, records of appeals of selection or evaluation decisions, lists of students or student materials selected or not selected, and related records concerning the selection or evaluation of students or student materials for participation or inclusion in activities such as athletic teams, the National Honor Society, the National Junior Honor Society, school plays, school art shows, school newspapers or literary magazines, and other activities:

serRetention:
6 months after end of selection or evaluation process or 6 months after final resolution of any appeal of a selection or evaluation decision, whichever is later

serFinalJustication:
Satisfies 30 day "from the making of the decision or the performance of the act complained of" limitation for filing appeal to SED Commissioner in 8 NYCRR 275.16.

serLegalCitation:
EDN §310 & 8 NYCRR 275.16 (retention)


serName:
Student employment certificate record ("working papers"),

serDescription:
including but not limited to application, evidence of age, parent's consent, physical fitness certificate, and employment certificate or rejection of application:

serJustification:
Meets legal and reference needs. Statute of limitations for litigations is 3 years after age 18. Retention to age 21 also confirmed in phone conversation with Chief Investigator of Division of Labor Standards.

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

serLegalCitation:
CPLR §208 (retention); EDN §§3216 & 3217 (creation)


serDescription:
including but not limited to detention notice, suspension notice, suspension hearing record, correspondence, and related records

serJustification:
Originally one item (statute of limitations in IDEA is 2 years for requesting a due process hearing)


serDescription:
(covering academic, athletic or other scholarships) including but not limited to scholarship applications, list of eligible candidates, list of competition winners and alternates, and reports:

serNotes1:
Policies and procedures for awarding and administering scholarships are covered under item no. 52 and consideration should be made to retain these records until the scholarship program is discontinued.

serJustification:
Meets administrative reference needs, as it provides a reasonable time during which challenges would be made by students not awarded scholarships.

serRevisionSummary:
Consider either expanding item 279 or developing a new schedule item to cover documentation on administration of the scholarship program (e.g., how scholarships are awarded, background materials, etc.). They'll need to be retained at least until the scholarship or scholarship program is discontinued, and then probably a year or so after that. Item 279 currently does not account for this. A note to item 279 was added and cross reference made to item no. 9.


serName:
Records of gifts and prizes awarded students:


serDescription:
for student to participate in, or request for student to be excused from, specific activity, including but not limited to physical education program, field trip, or athletic program:

serFinalJustication:
Satisfies short-term legal and administrative needs.

serRevisionSummary:
Add reference to "school bus passes" in item 47, parent's consent

serRevisionRecdFrom:
"From Anne Hanley, District Clerk and Superintendent's Secretary, Clifton-Fine Central School District
"


serName:
Missing child notification and related records,

serDescription:
received from State Division of Criminal Justice Services

serJustification:
Retention meets administrative and legal needs for records. Retentions approved by SED and DCJS personnel.


serDescription:
of student (including both school-age students and preschool children) with a disability

serNotes1:
This does not cover summary data found in the student's cumulative education record which are covered under item no. 948.

serNotes2:
Records documenting students' Career Development and Occupational Studies (CDOS) commencement credentials and Skills and Achievement Commencement Credentials for Students with Severe Disabilities are covered by item 948a in the Student Records subsection.

serJustification:
(a) Meets legal and administrative needs, and was recommended by the Office for Education of Children with Handicapping Conditions – who consulted SED Counsel; (b) & (c) no justification given

serSubsection:
Special Education: Individual Student Records

serRevisionSummary:
Add note to item 267 to cross reference users to item 275 which documents special education students' commencement credentials (which are the equivalent of a diploma).


serName:
Records of special education "committee minutes,"

serDescription:
where needs of various students and their progress and problems are discussed, when significant information is transferred or posted to individual student special education records:

serNotes1:
If significant information is not transferred or posted to the special education file for each individual student, then these records must be retained for 6 years after student graduates/would normally have graduated from high school or 6
years after student attains age 21, whichever is shorter, as per item no. 931a.

serNotes2:
Committees covered by this item include committees on special education, committees on preschool special education, and subcommittees on special education.

serJustification:
Retention period suggested by SED personnel to meet legal and administrative needs

serLegalCitation:
EDN §§4401A, 4402, 4410 (creation); 8 NYCRR 200.3 (creation); 34 CFR 300 (creation)

serRevisionSummary:
Add note re pre-school special education committees & special ed sub-committees to item 365.


serName:
Referral service records of preschool student with a disability,

serDescription:
including but not limited to intake information record, record of referral for services, follow-up review record, and correspondence:

serLegalCitation:
EDN §4410 (creation); 8 NYCRR 200.16 (creation)


serName:
Basic record listing special education student's name, address, phone number, grades, attendance record, classes attended, grade level completed, and year completed,

serDescription:
created pursuant to Section 300.624(b) of 34 CFR:

serNotes1:
This item covers the "basic record" for special education students which some schools maintain separate from the student’s "permanent record card" (see item no. 948 in the Student Records subsection). If information from this separate "basic record" is included in the student's "permanent record card",


which must be retained permanently, then the retention period for this record is 0


after no longer needed. If the student's "permanent record card" does not, however, contain any reference to specific education status, then school districts and BOCES should consider retaining this record permanently. Federal regulations permit the maintenance of a "permanent record" containing this information "without time limitation." Schools which maintain a single “permanent record” for all students, including special education students, should use item no. 948, from the Student Records subsection, to authorize records disposition.

serRetention:
6 years after student graduates/would normally have graduated from high school or 6 years after student attains age 21, whichever is shorter

serJustification:
Retention period suggested by SED personnel to meet legal and administrative needs, including federal requirements (cross reference to item 275)

serRevisionSummary:
Correct the citation to the CFR in the description of item 366. The citation, referring to the field comprising the permanent record, reads Section 300.573(b) of 34 CFR. However, the actual citation should be Section 300.624(b) of 34 CFR.


serName:
Basic data on any student contained in an automated special education records
system,

serDescription:
including name, age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class, type of disability, referral date, date service initiated, date of declassification, and level of service:

serNotes1:
School districts and BOCES should consider permanent retention of the basic data elements of these special education records systems on an annual or biannual
basis, such as at the beginning and/or end of the school year. This information may be useful for long-range planning purposes, such as projecting trends in special education needs and services. Contact the State Archives for additional advice in this area.

serJustification:
Retention period modeled after items covering basic data file in student information systems


serName:
Documentation of regular updates made to basic data contained in special education data file,

serDescription:
such as covering corrections, deletions or additions to data:

serJustification:
Retention arrived at internally with assistance of SISAWG working group and input from SED personnel (satisfies anticipated administrative needs)


serName:
State agency notification to school district identifying student with a disability placed in residential facility,

serDescription:
(State Education Department STAC [System for Tracking and Accounting for Children] 200 Form or equivalent) prepared by state agency other than State Education Department:

serRetention:
6 years after notice superseded, or student attains age 21, whichever is shorter

serSubsection:
Special Education: Financial Tracking and Reporting

serLegalCitation:
8 NYCRR 200.11 (creation); EDN §4006 (creation)


serName:
Commissioner of Education approval for providing and funding special education services,

serDescription:
(State Education Department STAC [System for Tracking and Accounting for Children] 3 Form or equivalent), identifying child, services provider, and type, duration and cost of services:

serJustification:
Meets legal, fiscal, and administrative needs, and was recommended by the Office for Education of Children with Handicapping Conditions – who consulted SED Counsel.

serComments:
Financial Tracking and Reporting; STAC 1 & 5 forms


serName:
Federal assistance records for special education,

serDescription:
including but not limited to application, advisement, eligible student survey form, reports, statement of payment and memorandum of instruction:

serFinalJustication:
Satisfies 6-year records retention requirement in 18 NYCRR 504.3(a).


serName:
Plans prepared in relation to providing special education services

serJustification:
(a) Permanent retention because plans document district plans and policies for dealing with special education students; (b) Retention period suggested by SED personnel to meet legal and administrative needs


serName:
Reports relating to special education program

serDescription:
(not covered by other items in this Schedule)

serComments:
Program Administration; PD-6 and -8 forms


serName:
Waivers permitting a school district or BOCES to implement an innovative special education program,

serDescription:
along with applications, correspondence, reports and all related records


serName:
Records of special education program monitoring by New York State Education Department (SED),

serDescription:
including but not limited to monitoring report, response and records of any resulting action taken:

serRetention:
6 years after date of most recent entry in record, or until the next program review is completed, whichever is later

serFinalJustication:
Satisfies short-term legal and administrative needs. 34 CFR 300.601(a)(2) requires that each state review its performance plan "at least once every six years."


serName:
Census and register of students with disabilities

serDescription:
residing in school district, eligible to attend school or pre-school special education program:

serNotes1:
This item does not cover the school census listing all persons of school age residing in the district which is covered by item no. 956, found in the Student Records section, Student Information Systems and Related Records subsection. If the general school census and the census and register of students with disabilities are one and the same record, follow the instructions given under item no. 956.

serLegalCitation:
EDN §4402.1.a (creation); 8 NYCRR 200.2(a) (creation)


serName:
Lists maintained in relation to providing special education services,

serDescription:
including but not limited to list of names and resumes of impartial hearing officers, list of free or low-cost legal and other relevant services, list of public and private agencies and other professional resources where independent evaluations may be obtained, list of potential surrogate parents, and list of preschool programs:

serNotes1:
This does not cover the register, census or list of students with disabilities, which is covered by item no. 944.

serLegalCitation:
EDN §4404.1.d.1 (creation); 8 NYCRR 200.2(e) (creation)


serName:
Requests for access to special education records

serJustification:
Retention period suggested by SED personnel and Committee on Open Government to meet legal and administrative needs, including federal requirements


serName:
Records of special education testing of students,

serDescription:
where students are not classified as requiring special education

serJustification:
(a) Retention period suggested by SED personnel to meet legal and administrative needs; (b) no justification given


serNotes1:
See item no. 926, below, for district-wide and school safety plans.


serDescription:
and related records, including responses to threats or hazards to the public, school facilities or vehicles due to natural, technological, or human-made circumstances and/or the discovery of possible explosives, pathogens or other hazardous substances, covering specific incidents

serJustification:
(a) No justification given; (b) The item as revised permits the disposition of some documentation of less serious incidents, such as unsubstantiated bomb threats, mysterious e-mail messages, etc. based on case-by-case review (no justification for specific retention).


serName:
District-wide school safety and building-level emergency response plans

serJustification:
(a) Records possess important administrative value as well as permanent value for research purposes – due to heightened security since September 11, 2001, increased incidents of actual and potential school violence, and the resulting emphasis placed on school safety since passage of the federal No Child Left Behind Act of 2001. Permanent retention is consistent with retention of program plans covered by other Schedule items, including item no. 24a in the General section which covers "plans which concern major government policies, procedures and activities," (appraisal report 04-01); (b) Plan development, adoption and related records are disposable – though no justification given for specific retention (appraisal report 04-01); (c) Records possess permanent value for research purposes as well as important administrative value. These records are needed to provide sufficient explanation for an admittedly negative stigma placed on the school or district by SED. Such records will have enduring historical value relative to the history of the school (appraisal report 04-01)

serRevisionSummary:
Change series title of item 491 to "District-wide School Safety and Building-Level Emergency Response plans," as that is what documents are referred to. Also delete the description. Both the law and regs groups these plans under “school safety plans,” hence the original title. Probably less confusing for districts to use actual title of plans and actual titles are included in law and regs.

serRevisionRecdFrom:
From Ivy Kraus, Greenburgh Central School District (schedule review)


serName:
School violence and dangerous school records

serNotes1:
Requests for transfer and related records of individual students are covered by item no. 948b in the Student Records: Academic Records subsection.

serJustification:
(a) & (b) No justification given; (c) Records possess permanent value for research purposes as well as important administrative value. These records are needed to provide sufficient explanation for an admittedly negative stigma placed on the school or district by SED. Such records will have enduring historical value relative to the history of the school (appraisal report 04-01)


serName:
Sexual molestation and sexual harassment records,

serDescription:
maintained separately from student health records or employee personnel records, and not including child abuse or maltreatment reports, covered by item no. 27 in the General Administration section:

serRetention:
0 after youngest person involved attains age 27

serFinalJustication:
Satisfies statute of limitations for litigation involving minors (CPLR §208) and a non-class A felony (CPL 30.10(2)b)


serDescription:
including but not limited to fire safety inspection reports, fire drill reports, fire alarm records, fire inspection reports, fire investigation reports, structural safety inspection reports, building condition surveys and visual inspection reports

serJustification:
(a) 3 years; (b) 21 year retention matches the period used for the structural safety inspections; (c) A visual inspection report is to be completed at least once every 5 years (8NYCRR 155.4). This ensures availability of report until next inspection; (d) no justification given


serDescription:
including defibrillator training, covering local government employees and students who receive training

serNotes1:
This item covers records of emergency medical training received by school personnel and students. For records of emergency medical training courses for which schools, BOCES or other ED-1 users are course sponsors, see item no. 915 in the Instruction subsection.


serDescription:
required pursuant to the federal Asbestos Hazard Emergency Response Act and 40CFR Part 763, Subpart E, including plans required for each school listing all buildings leased, owned or otherwise used as a school building and whether they contain asbestos; dates of asbestos inspections; reinspections and surveillances; copies of analyses; descriptions of responses or preventive measures taken; and related records, including equivalent records previously created under the New York State School Asbestos Safety Act (Article 9-A, Education Law):

serNotes1:
Records of building projects involving asbestos are covered by item no. 830.

serRetention:
3 years after next required reinspection or equivalent period
after all asbestos-containing building material has been removed from a homogenous area

serFinalJustication:
Satisfies 3 year records retention requirement in 40 CFR 763.94.


serName:
School pesticide neighbor notification records

serDescription:
prepared and maintained pursuant to 8NYCRR Section 155.24, including annual, summer school, emergency, forty-eight hour and other notifications, lists of persons receiving notifications, summary reports on pesticide applications, and related records:


serName:
Laboratory examination test results for pool (school)


serName:
Comprehensive long-range plan for educational facilities

serDescription:
and five-year capital facilities plan created under 8NYCRR Section 155.1, or equivalents, and related records

serJustification:
(a) Permanent retention because they provide for a systematic approach for establishing the capital needs of the districts and BOCES and enable those entities to prioritize their needs in the context of the five-year plans. Overall, the plans are an important asset to the districts and BOCES in determining where limited capital funds should be spent and they serve as a tool to educate the public about the need for facilities support. These are clearly major administrative reports (appraisal report 04-01); (b) no justification given


serDescription:
prepared for each occupied school building, as required by Sect. 155.6 of 8NYCRR between 2001 and 2011:

serJustification:
These report cards are important records for documenting the physical status of school buildings and the actions of school districts and BOCES to properly maintain those buildings. The permanent retention of these records is similar to the permanent retention requirements found throughout the ED-1 Schedule for significant administrative reports (appraisal report 04-01). The law requiring the creation of the cards was repealed in 2011. There is a very small amount of time that these report cards were created (2001-2011) and virtually all the information provided can be found elsewhere. During the same time period school districts were required (and continue to be required) to not only send SED a Building Condition Survey every 5 years, but an Annual Visual Inspection Report for the years in between the surveys as well. The retention period for the Building Condition Surveys is 21 years (per ED-1 item 246b) and 5 years for the Annual Visual Inspection Reports (per ED-1 item 246c).

serFinalJustication:
Satisfies long term administrative and reference needs. Satisfies statute of limitations for litigation involving personal injury.

serRevisionSummary:
Update ED-1 item 490, school facility report card, to note that the enabling legislation was in effect from 2001 to 2011 (8NYCRR 155.6). For more information, see http://www.p12.nysed.gov/facplan/Laws_Regs/8NYCRR155.htm#_155_6_Schl_Facility_Report_Cards. Consider reappraising this item (currently scheduled as permanent). Given that the information is presented to the school board in summary format, and thus found elsewhere, I would also suggest that these be reappraised and probably authorized for destruction. I don't see what use such a small span of records would have.

serRevisionRecdFrom:
From Maria McCashion; Perhaps we should add a note noting the est. regs. repeal? Likely, we'll want to retain the item as LGs must keep these records permanently. How long was this reg. requirement in place? If not long, perhaps a reappraisal of records is in order; appraisal report 19-05


serDescription:
including records of centralized substitute teacher registries


serDescription:
submitted to Commissioner of Education, along with statements from public school system employees and related records

serRevisionSummary:
Add "public school system" to description in order to clarify that these reports apply only to public school employees. This is needed to avoid confusion.

serRevisionRecdFrom:
Jennifer O'Neill comment to proposed schedule changes.


serDescription:
including copies of applications, transcripts and other records submitted to New York State Education Department:

serNotes1:
This item covers copies of teacher certification records maintained separate from individual teachers’ personnel files. Certification records for individual teachers should be retained based on item no. 636b.


serName:
List of teachers whose teaching certificates have been revoked:

serJustification:
Meets administrative needs for records. Retention approved by SED personnel.


serDescription:
describing how teachers will be provided with substantial professional development opportunities (may relate to annual professional performance review (APPR))

serNotes1:
If the professional development plan is part of the comprehensive district education (or equivalent) plan, it is covered by item no. 882a in the School District and BOCES section, Administration subsection.

serJustification:
(a) These records possess important administrative value and permanent value for research purposes since they document the management of the state’s schools. Permanent retention is consistent with retention of program plans covered by other items in the ED-1 Schedule, including item no. 24a in the General section which covers "plans which concern major government policies, procedures and activities." In particular, these professional development plans document a district's or BOCES' actions to maintain an adequate level of staff development and training in an era of financial constraints. (appraisal report 04-01); (b) Plan development and adoption records, including records of plan development teams, are disposable under this part (appraisal report 04-01)


serName:
Annual professional performance review plan records

serJustification:
(a) These records possess important administrative value and permanent value for research purposes since they document the management of the state’s schools.  Permanent retention is consistent with retention of program plans covered by other items in the ED-1 Schedule, including item no. 24a in the General section which covers "plans which concern major government policies, procedures and activities." In particular, these plans document a district's or BOCES' plans to review performance of teachers and professional administrative staff. (appraisal report 04-01); (b) Plan development and adoption records, including records of plan development teams, are disposable under this part (appraisal report 04-01). From Susan Westling (SED): Needed to be eligible for an increase in State aid and approved pursuant to Education Law §3012-d by the Commissioner. Commissioner must approve documentation by September 1 that a school district has fully implemented the standards and procedures for conducting APPRs in accordance with Education Law §§3012-c & -d and Subpart 30-2 & -3 of the Rules of the Board of Regents, as applicable.



Must also satisfy provisions of Article 14 of the Civil Service Law (Public Employees’ Fair Employment Act) and CPLR Art. 78. An Article 78 proceeding against an administrative agency, public body or officer must be commenced within four months after the determination to be reviewed becomes final and binding upon the petitioner, or after the respondent’s refusal, upon the demand of the petitioner, to perform its duty; or with leave of the court where the petitioner, at the time such determination became final and binding upon him or at the time of such refusal, was under a disability because of infancy or insanity, within two years after such time (CPLR 217 [1]).

serRevisionSummary:
Reword current series title to reflect statutory language: Annual Professional Performance Review plan records; add new sub-iterm to cover application records for hardship waiver from the requirement for a second observation/school visit by an impartial independent trained evaluator


serJustification:
(a) These records possess important administrative value and permanent value for research purposes since they document the management of the state’s schools. Permanent retention is consistent with retention of program plans covered by other items in the ED-1 Schedule, including item no. 24a in the General section which covers "plans which concern major government policies, procedures and activities." In particular, these plans document how a district or BOCES uses mentors for interns and trainees and how their performance is evaluated. (appraisal report 04-01); (b) Plan development and adoption records, including records of plan development teams, are disposable under this part (appraisal report 04-01)

serRevisionSummary:
Update title of item 479, mentor teacher internship plan records.


serDescription:
including but not limited to application, inspection reports, authorization, and registration:

serJustification:
Meets administrative and legal needs to justify the existence of the program. Permanent retention of these records is consistent with State Archives requirement for preservation of equivalent program authorization and registration records for professional nursing, practical nursing, and other educational programs operated by community colleges, as specified in the CO-2 and MI-1 schedules.

serFinalJustication:
Possesses long-term research value in documenting justification for the existence of the program


serDescription:
including but not limited to course of instruction, course content, and rules and regulations:

serJustification:
Permanent chosen to preserve a history of the operation of the program for administrative reference and historic research needs.

serFinalJustication:
Possesses long-term research value in documenting the history of the program and its operation


serName:
State Education Department licensing examination eligible list:

serRetention:
3 years after the end of the school year

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


serNotes1:
This item covers records of emergency medical training for which school districts or BOCES are course sponsors. See item no. 930 in the School Safety subsection for records of training received by school personnel or students.


serName:
Documentation of process used for application, selection and placement

serDescription:
of students in magnet school program, including explanation and justification of acceptance criteria:

serJustification:
Retention period arrived at through discussion with Sharifa Dulbug of SED. Determined to have archival value. See item 328.

serFinalJustication:
Possesses long-term research value in documenting acceptance criteria and selection process for magnet schools.


serName:
Lists of students applying for placement and/or placed in magnet schools

serJustification:
Retention period arrived at through discussion with Sharifa Dulbug of SED. Meets legal and administrative needs. See also item 326.


serName:
Individual student application for placement in magnet school

serJustification:
(a) Retention period arrived at through discussion with Sharifa Dulbug of SED. Meets legal and administrative needs; (b) no justification given. See also item 325.


serName:
Application to New York State Education Department to operate magnet school(s),

serJustification:
(a) Retention period arrived at through discussion with Sharifa Dulbug of SED. Application has no renewal or termination date and district plan determined to have archival value; (b) Retention period arrived at through discussion with Sharifa Dulbug of SED. Meets legal and administrative needs.


serName:
Records of magnet school program monitoring by New York State Education Department,

serJustification:
Retention period arrived at through discussion with Sharifa Dulbug of SED. Meets legal and administrative needs.

serFinalJustication:
Satisfies 5 year records retention requirement in 34 CFR 75.730, 75.731, and 75.732.


serName:
Non-public school student text book loan records,

serDescription:
including request for text books and record of loan and return:


serDescription:
covering children enrolled in program operated by school district

serJustification:
(a) & (b) No justification given; (c) Revised from a permanent to a non-permanent retention to conform to similar items elsewhere in the Schedule. A list of student enrolled in a Pre-K or similar program does not constitute a student “achievement” record subject to the permanent retention requirement of Schedule ED-1 and therefore its disposition should not be guided by that requirement (appraisal report 04-01)


serName:
Records of auxiliary organizations or activities,

serDescription:
including but not limited to parent support organizations, such as PTA, employee unions, parent sponsored clubs, after‑school activities which are not officially sanctioned by the school, and other miscellaneous records in the custody or possession of the school district or BOCES:

serNotes1:
Appraise these records for historical significance prior to disposition. Records which document the history of the community and its citizens may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice.

serJustification:
Retention period and note require appraisal, because not all of the records merit permanent retention


serDescription:
for student, other than information contained in cumulative education record file, and including hearing record

serRevisionSummary:
Revise "residency determination records" to more accurately reflect how schools file records and their retention period. See related "proof of residency" item in Student Records section. Part "a" - no justification given in files (though letter from Seafgord SD implies that 1 year meets administrative needs), since there is no threat of punitive damages in these cases and the student has one week after determination of being in the school illegally to either move into the district or leave the school.


serDescription:
including lists of parolees or sex offenders living within a jurisdiction:


serDescription:
including but not limited to notification of transfer of discontinued non-public school student records to other school or agency, and non-public school student records transferred from discontinued non-public school to public school district:

serJustification:
Permanent retention recommended because school closing will affect public school district. Also potentially archival in documenting history of non-public school.


serName:
Copies of custody orders and other miscellaneous social services records

serDescription:
relating to individual students, maintained by school districts and BOCES:

serJustification:
Retention suggested by DCJS general counsel because of legal needs


serName:
Appeal or petition to the Commissioner of Education,

serDescription:
along with related records, when not related to a specific series of records listed on this Schedule:

serNotes1:
This item includes, but is not limited to, appeals filed pursuant to Sects. 310 and 3012-c and -d, Education Law (latter relates to annual professional performance reviews (APPR)). Appeals or petitions relating to specific series of records listed on this Schedule should be retained as part of or as long as that respective series.

serRetention:
3 years after resolution of appeal or petition

serLegalCitation:
Education Law, Section 310 (creation); Education Law §§3012-c & -d (creation)

serRevisionSummary:
Broadened scope of item to include appeals not necessarily subject to Education Law Sect. 310. Could also include appeal to State Education Department by eligible teachers and principals to challenge their State-provided growth score, filed pursuant to Education Law §§3012-c & -d


serName:
Request for personal information from New York State Department of Motor Vehicles (DMV),

serRevisionSummary:
Add item to cover DMV photo request records. Federal law (18 USC § 2721) limits release and use of personal information from state motor vehicle records; government agencies are permitted access for legitimate business reasons. It states that “Any authorized recipient (except a recipient under subsection (b)(11)) that resells or rediscloses personal information covered by this chapter must keep for a period of 5 years records identifying each person or entity that receives information and the permitted purpose for which the information will be used and must make such records available to the motor vehicle department upon request.” Based on this 5-year statute of limitations, DMV has scheduled its records of public requests for copies of its “accident reports, driving records, registration and title records” for 7 years (RDA 20491). Note that this RDA does not mention driver’s license records specifically.  New NYS Green Light Law (effective 12/14/19) require 5-year retention: "any person or entity certifying pursuant to this  paragraph shall  keep  for  a  period  of  five  years  records  of  all  uses and

  identifying each person or entity that  primarily  enforces  immigration  law that received department records or information from such certifying person  or entity" (VTL Sect. 201.12b). I think that a 5-year retention period would be sufficient for local governments to maintain their copies (Oregon has a 5-year retention period for these records).

serRevisionRecdFrom:
From Cala J. Colpoys, Records Inventory Clerk, Plattsburgh Police Dept.


serDescription:
including but not limited to daily load delivery tickets and weigh scale records:

serJustification:
Though auditable, records are very voluminous and hard to audit. Each authority has its own CPA audit annually, and reports are submitted to State Comptroller. OSC agreed to 2 year retention so records would be available 1 year after CPA audit completed


serJustification:
(a) Records are archival because of research value and retention is consistent with other official publications; (b) Archival note suggested

serRevisionSummary:
Added new item modeled on Community College item.


serDescription:
governed by Section 136 of the General Municipal Law


serName:
Application for foster home, including related records

serRevisionSummary:
Added new item to cover foster home applications, both approved and denied. Consulted with OCFS legal counsel on drafting this item.


serDescription:
showing cumulative teaching hours and used in the assignment and selection of courses to teach:

serRevisionSummary:
Develop a new item to cover Assignment of Program (AOP) lists. This is a cumulative list produced each year that includes all teaching hours at the College of a professor, which is used for the selection of courses to teach. Basically if you have accumulated more teaching hours, you get to have first dibs on which course you want to teach. Add to the "Academic Affairs" section of the Community College subheading.

serRevisionRecdFrom:
Griselda Gonzalez of the Fashion Institute of Technology


serName:
Staff evaluation rating verification report and related statement of confirmation

serDescription:
as required as part of the annual professional performance review (APPR) for teachers and principals:

serJustification:
From Susan Westling: Signed by the district/BOCES official responsible for verifying the data provided in the Staff Evaluation Rating Verification report and submitted to the Commissioner.

serRevisionSummary:
Add new item covering staff evaluation rating verification report and related statement of confirmation (relates to APPR).


serDescription:
(cases of victims that sustain substantial 2nd and 3rd degree burns) that medical officials submit to the New York State Office of Fire Prevention and Control:

serRevisionSummary:
Add item covering burn injury reports (cases of victims that sustain substantial 2nd and 3rd degree burns) that medical officials submit to the NYS Office of Fire Prevention and Control. The state fire administrator will then notify the proper investigatory agency, including municipal officials. These burn injury reports received and maintained by the Office of Fire Prevention and Control are scheduled for destruction 7 years after end of calendar year of date of report. The justification for this retention period is that the records have legal value in criminal and civil actions for up to 7 years based on statute of limitations.


serName:
Alcoholism, substance abuse, and tobacco use prevention program records

serRevisionSummary:
Add an item covering alcohol, substance, and tobacco abuse prevention programs, both youth and adult.

serRevisionRecdFrom:
Brought to our attention by Schenectady Co. Health Dept.  (via phone call)


serName:
Workplace violence prevention program records,

serDescription:
documenting compliance with Section 27-b of Labor Law, including employee complaints, incident reports, inspection reports, and remedial action plans:

serNotes1:
This item excludes school districts and BOCES. Policy and procedure and training records are covered in the General Administration section.

serLegalCitation:
LAB §27-b & 12 NYCRR PART 800.6 (creation); 12 NYCRR PART 801 (retention)

serRevisionSummary:
Create a new item covering workplace violence program records. Include a NOTE that indicates that it excludes school districts and BOCES (and the other school-related entities mentioned). Use General Schedule item 90298 as a model for developing the item – it relates to a separate, though similar, Dept. of Labor requirement. In 2006, New York State enacted legislation requiring public employers to develop and implement programs to prevent and minimize workplace violence and help ensure the safety of public employees. These requirements impact state agencies, as well as local governments (excluding school districts and BOCES). See https://labor.ny.gov/workerprotection/safetyhealth/workplaceviolence.shtm.

serRevisionRecdFrom:
Email from Jennifer O'Neill to Arthur Siegel


serName:
School bus photo violation monitoring system records

serNotes1:
Recordings from school bus cameras used for security purposes are covered by item no. 846 in the Public Property and Equipment section. Case investigation records are covered under item no. 1222 in the Public Safety section.

serRevisionSummary:
New legislation was passed in August 2019 (A04950B) which authorizes the use of school bus photo violation monitoring systems to record violators who pass stopped school buses and contracts between school districts and municipalities to share these recordings to prosecute violators.


serDescription:
for mental health admissions (emergency, voluntary, and involuntary), including notifications to county or municipal health offices:

serRevisionSummary:
Add new item to cover police department's transport of individuals to health facilities for mental health treatment.


serRetention:
6 years after denial of application or 10 years after final
payment on loan

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


serFinalJustication:
Possesses long-term research value in documenting local development corporation activities.

serComments:
It is unclear what these summary records actually entail -- from the description it sounds like it could encompass routine inquiries. As such it is unclear why these are permanent.


serName:
Business/industry Small Business Administration (S.B.A.) loan case file,

serDescription:
including but not limited to loan application and evaluation, status reports, records of loan payments, tax abatement and exemption records, feasibility studies and correspondence with the S.B.A.:

serRetention:
6 years after denial of application or 10 years after final payment on loan


serName:
Business consultation services case file,

serDescription:
where no loan is applied for from or through the local development corporation, but other services are provided:

serRetention:
3 years after date of most recent entry in record


serName:
Business or other client inquiry and/or referral,

serDescription:
where no substantive services are performed by local development corporation:

serComments:
Unclear why this is 1 yr if item 10c is 0 after no longer needed, or public inquiries in State General Schedule item 90329 is 6 months.


serName:
Small Business Administration (S.B.A.) certification records,

serDescription:
including certificate, application for certification and decertification records:

serFinalJustication:
Possesses long-term research value in documenting a special capability or status of businesses to provide goods and services or demonstrate eligibility for certain government contracting.

serLegalCitation:
NPC § 1411 (creation), 13 CFR 121, Subpart A (creation)


serDescription:
submitted to the Small Business Administration (S.B.A.):

serFinalJustication:
Possesses long-term research value in documenting the essential operations and financial accounts of an entity receiving federal assistance.

serLegalCitation:
13 CFR 124.112 (creation), 13 CFR 124.602 (creation), NPC § 1411 (creation)


serName:
Monthly or other periodic reports on loan status:


serDescription:
including certificate of incorporation, constitution and bylaws:

serFinalJustication:
Possesses long-term research value in documenting the organizational governance and scope of authority and responsibility of the local development corporation.


serDescription:
for election of board members and/or officers


serName:
Federal and state tax exemption records,

serFinalJustication:
Possesses long-term research value in documenting the tax exempt status of entities.


serDescription:
including records of distribution of assets:

serFinalJustication:
Possesses long-term research value in documenting the cessation of organizational governance, authority, and responsibility.


serName:
Income tax filing and charitable reporting records

serJustification:
(a) & (c) Retention meets legal and administrative needs; (b) no justification given


# Subseries

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

subSerNotes1:
Local governments may find that some of the records covered by part "a" have ongoing administrative value. These records may be useful beyond the minimum retention period for preparing future grant applications.


subSerDescription:
Where file documents a significant subject, or major policy-making or program-development process:

subSerFinalJustification:
Possess long-term research value in documenting changes in policies and directives, as well as significant information on school district decision-making and major activities.


subSerDescription:
Basic records including but not limited to school district trustees' minutes; school commissioners' reports; school district "record books;" records of formation, alteration or consolidation of districts; teacher hiring and salary records; school fund and other accounting ledgers; district tax rolls or lists; school library reports and book lists; certificates of apportionment and annual and special reports:

subSerFinalJustification:
Possesses long-term research value by documenting the administration of New York schools before their consolidation into centralized school districts starting in 1914 (pursuant to EDN §1801).


subSerDescription:
Supporting fiscal and administrative documentation, including but not limited to receipts, warrants and orders to pay, canceled checks, bank statements, and routine correspondence:

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


subSerDescription:
Records documenting the establishment, extension, alteration, consolidation, or dissolution of district including but not limited to petition, records of public hearing, correspondence with New York State agencies, maps, surveys, special reports and studies, and photographs:

subSerFinalJustification:
Possesses long-term research value in documenting the circumstances and processes surrounding the establishment, dissolution, or other significant changes to a school district or BOCES.


subSerDescription:
Background materials and supporting documentation, including but not limited to periodic reports, routine correspondence, memoranda, and copies of district budgets:


subSerDescription:
Official notifications from SED, final versions of corrective action and school improvement plans, results of SED progress reviews, summary of corrective actions taken, and significant correspondence:

subSerFinalJustification:
Possesses long-term research value in documenting needs, plans and measures taken to correct academic, safety, or administrative deficiencies, and the results of those corrective actions.


subSerDescription:
Other records, including but not limited to draft corrective action and school improvement plans, results of data analyses, notes and correspondence:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records documenting schools or districts "in need of improvement" or "in need of corrective action" or placed "under registration review" by SED may have continuing value for historical or other research and should be considered for permanent retention unless the information they contain is duplicated or summarized in records covered by part "a" of this item. Contact the State Archives for additional information.

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


subSerDescription:
Significant reports, including public school performance report, covering academic performance, attendance, suspension and drop-out rates for the previous year; school district and BOCES report cards, covering expenditures for administration and improvement, student academic performance indicators, and measures of fiscal performance; district progress report, providing annual summary data on standardized achievement and aptitude test results, Regents and other examination test results, and analyses of test data, as well as other information on such subjects as enrollment and attendance, staffing, class size, graduating classes and ethnicity; and similar administrative reports:

subSerFinalJustification:
Possesses long-term research value in documenting ongoing conditions in individual schools, school districts, and BOCES, as well as being consistent with retention of substantive annual reports covered by other items on the Schedule.

subSerLegalCitation:
8 NYCRR 100.2(m), 8 NYCRR 100.2(cc) (creation)


subSerDescription:
School progress report, when information can be readily extracted from district progress report:


subSerDescription:
School progress report, when information cannot be readily extracted from district progress report:

subSerFinalJustification:
Possesses long-term research value in documenting the long-term progress and demographic trends of individual schools, as well as being consistent with retention of substantive annual reports covered by other items on the Schedule.


subSerDescription:
Final version of comprehensive assessment report (CAR), received from State Education Department, and returned upon verification, when report is created instead of a district progress report, and it contains annual summary data on standardized achievement and aptitude test results, Regents and other examination test results, and analyses of test data, as well as other information on such subjects as enrollment and attendance, staffing, class size, graduating classes and ethnicity, and/or it constitutes a report published by the school district:


subSerDescription:
Final version of comprehensive assessment report (if not covered by part d):


subSerDescription:
Routine reports and background files and supporting documentation used in creating, verifying, or correcting any reports covered by this item:


subSerDescription:
Final versions of significant plans, including all amendments:

subSerFinalJustification:
Possesses long-term research value in measuring standards and progress at schools, school districts, and BOCES over time. Retention is also consistent with retention of program plans covered by other Schedule items.


subSerDescription:
Other plans and background files and supporting documentation for all plans, including results of data analysis, along with plan submission records:


subSerDescription:
Recording of public or other meeting of governing body or board, committee or commission thereof:

subSerNotes1:
Industrial development agencies are required to post video recordings of all open meetings and public hearings on their websites for a period of not less than five years pursuant to Section 857, General Municipal Law. Appraise these records for historical significance prior to disposition. Audio and videotapes of public hearings and meetings at which significant matters are discussed may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice on the long-term maintenance of these records.

subSerNotes2:
Video recordings of public hearings and meetings which have been broadcast on local government public access television are covered by item no. 72.

subSerRetention:
4 months after transcription or minutes are created

subSerFinalJustification:
Satisfies 4 month records retention requirement in New York State Information Technology Policy, Standard: Webcasting Open Meetings (NYS-S07-001). Some recordings may merit archival preservation if they provide additional documentation of significant matters discussed at these meetings.

subSerLegalCitation:
PBO Art. 7 (creation), PBO §103(f) [recordings of open meetings] & §106 [minutes]


subSerDescription:
Relating to bond or note issue or tax limit increase:

subSerRetention:
6 years after issue or increase disapproved or retired

subSerFinalJustification:
Satisfies the statute of limitations on bond or note (CPLR §213).

subSerLegalCitation:
CPLR §213 (retention); LFN §58.00 (creation); EDN §2022 (creation)


subSerDescription:
Not relating to bond or note issue or tax limit increase:

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


subSerDescription:
Involving major procedures, policies and standards affecting local government operations, critical functions or issues of public visibility or concern:

subSerNotes1:
Disaster plans are covered by item 139 in the Civil Defense/Disaster Preparedness section.

subSerFinalJustification:
Possesses long-term administrative, legal, and research value for local government mission, program development, and accomplishments. Major policies and procedures may be used in development of local government operational plans, in program audits by OSC or other control agencies, and in litigation.


subSerDescription:
Involving routine day-to-day procedures, policies and standards pertaining to internal administration of a local government:

subSerFinalJustification:
Satisfies short-term administrative and legal needs.


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

subSerNotes1:
Significant correspondence is often maintained by the chief executive or administrative officer, and sometimes in subject file format. See item no. 471 in the Executive section.

subSerFinalJustification:
Possesses long-term administrative and research value as they provide significant information on significant local government decision-making and major activities.


subSerDescription:
Containing routine legal, fiscal or administrative information:


subSerDescription:
Of no fiscal, legal or administrative value (including letters of transmittal, invitations and cover letters):


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

subSerFinalJustification:
Possesses long-term research value in documenting local government activities and accomplishments.


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

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


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

subSerNotes1:
Local governments may find that some of the records covered by part "a" have ongoing administrative value. These records may be useful beyond the minimum retention period for preparing future grant applications.

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


subSerDescription:
Background material, fiscal records, and supporting documentation for grants that have been awarded and all records relating to grant applications that have been rejected:

subSerRetention:
6 years after renewal or close of grant or denial of application


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

subSerRetention:
6 years after disposition of all complaints, petitions or requests listed


subSerDescription:
Complaints, petitions or requests relating to other than routine services or activities:

subSerRetention:
6 years after final disposition of complaint, petition or request

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


subSerDescription:
Complaints, petitions or requests relating to routine government services or activities:

subSerRetention:
1 year after final disposition of complaint, petition or request


subSerDescription:
Survey results, including official copy of survey form:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Survey results and sample forms involving very significant issues should be retained permanently.


subSerDescription:
Report and recommendation resulting from investigation:

subSerFinalJustification:
Possesses long-term administrative, research, and possible legal and evidentiary value in documenting investigations of corruption, fraud, criminal activity, conflicts of interest, abuses of office, and waste in local government.


subSerDescription:
Background materials and supporting documentation:


subSerDescription:
Reports which contain substantial evidence of government policy, procedures, plans and directions:

subSerFinalJustification:
Possesses long-term research value in summarizing the management, functions, activities, and events of the local government.


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

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


subSerDescription:
Recording of local government public access television program, where program is produced by a local government and where program constitutes a routine meeting, event or subject:

subSerFinalJustification:
Satisfies short-term administrative and reference needs.


subSerDescription:
Recording of local government public access television program, where program is produced by a local government and where program constitutes an important public meeting, significant event, important subject or documents local government policy making:

subSerNotes1:
In order to ensure the continued preservation and availability of recordings, local governments should consider using broadcast-quality recordings where possible. Those recordings should be periodically inspected and copied to newer media and formats. Consult State Archives for additional advice.

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


subSerDescription:
Recording of local government public access television program, where program is aired but not produced by a local government:


subSerDescription:
Viewer guide or other periodic listing of programs:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. The State Archives recommends that local governments retain a sampling of these records on a monthly, seasonal or other periodic basis.


subSerDescription:
For materials subject to U.S. Copyright Law:

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


subSerDescription:
For materials not subject to U.S. Copyright Law:


subSerDescription:
Consent of the Commissioner of Education to the use of records retention and disposition schedules and the legal disposition of records:

subSerFinalJustification:
Satisfies short term administrative needs. State Archives maintains copies as central oversight agency for records management.


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

subSerRetention:
6 years after final disposition of records

subSerFinalJustification:
Satisfies the statute of limitations for litigation and OSC's audit requirements. .


subSerFinalJustification:
Possesses long-term research value in documenting the provenance of archival records.


subSerFinalJustification:
Satisfies short term administrative needs.


subSerDescription:
Appraisal and accessioning documentation, including assessment of conservation needs:

subSerFinalJustification:
Satisfies long-term administrative needs and posseses research value in documenting appraisal decisions and management and preservation of archival records.


subSerDescription:
Processing and management working papers, drafts, notes, and related records:


subSerDescription:
For commercial, industrial, historic structure or multi-unit residential variance or permit (except records covered by part "c"):


subSerDescription:
For single-unit residential variance or permit:

subSerNotes1:
Certain single-unit residential variance and permit files may be significant because they set legal precedents and should be retained permanently. Those involving the definition of what constitutes a "family" may be particularly important.


subSerDescription:
Detailed construction specifications, receipts and transmittal documents, lists of abutting properties, superseded versions of plans and drawings, routine correspondence and internal notes and memoranda from all files:


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


subSerRetention:
6 years after date of last entry in record


subSerFinalJustification:
Possesses long term research value in documenting election history of the Association.


subSerDescription:
Ballots, nominations, tabulations and other election records:


subSerDescription:
Official copy of any literature or other material available to the public:

subSerFinalJustification:
Possesses long term research value in documenting official materials


subSerDescription:
Summary record describing course or program offering and/or its progress and results:

subSerFinalJustification:
Possesses long term research value documenting program offerings.


subSerRetention:
1 year after course or program discontinued


subSerDescription:
Advice and referral records, covering information provided to individuals in person or over the telephone or Internet, including but not limited to telephone logs and individual call records:


subSerFinalJustification:
Satisfies short term adminitrative needs.


subSerFinalJustification:
Possesses long term researh value in documenting history of the Expanded Food and Nutrition Educaiton Program


subSerDescription:
Quarterly, monthly or other periodic reports:


subSerDescription:
Cattle disease test records, including but not limited to summary report for each herd (to which test results have been posted), brucellosis or tuberculosis test results and calf vaccination report:

subSerFinalJustification:
Satisfies long term legal and administrative needs.


subSerDescription:
Inspection and related records for farm animals other than cattle:

subSerFinalJustification:
Satisfies short term legal and administrative needs.


subSerDescription:
Annual farm business summary for individual farm:

subSerFinalJustification:
Possesses long term research value in documenting problems faced by dairy farmers along with the effect of programs and activities.


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


subSerDescription:
Summary data and other information for all participating farms:


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

subSerRetention:
6 years, but not less than 3 years after attendee attains age 18

subSerFinalJustification:
Satisfies statute of limitations on litigation involving minors.


subSerDescription:
Listing of course participants, and detailed attendance records:


subSerRetention:
6 years after course or program no longer offered


subSerFinalJustification:
Satisfies 3 year records retention requirement in 16 NYCRR 733.15.

subSerLegalCitation:
GMU § 360 (creation), 16 NYCRR 733.15 (retention)


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

subSerFinalJustification:
Possesses long-term research value in documenting long-term trends and developments in electricity generation, gas production, and energy usage.


subSerDescription:
Recording chart or other record of original entry, including load curve; and temperature, pressure, specific gravity or water level chart:


subSerDescription:
Gas measuring records, when information is transferred to summary record:

subSerFinalJustification:
Satisfies 6 month records retention requirement in 16 NYCRR 733.15.


subSerDescription:
Gas measuring records, when information is not transferred to summary record:

subSerFinalJustification:
Satisfies 1 year records retention requirement in 16 NYCRR 733.15.


subSerDescription:
River flow data collected in connection with hydro-electric plant operation:

subSerFinalJustification:
Possesses long-term research value in documenting long-range planning, environmental management, and environmental impact of hydroelectric plants.


subSerDescription:
Actual data, both as received and as processed:

subSerNotes1:
For schools or districts placed "under corrective action" or "under registration review" by SED, this data may need to be retained until these designations are canceled by SED and no longer apply.


subSerDescription:
Background and supplemental information on data processing for school districts and other BOCES, including but not limited to data correction and verification records and correspondence:


subSerFinalJustification:
Possesses long-term research value in documenting individuals and issues subject to vote.

subSerLegalCitation:
ELN Art. 7 (creation); EDN §2032 (creation)


subSerLegalCitation:
ELN §3-222 (retention), ELN Art. 7 (creation); EDN §2032 (creation)


subSerLegalCitation:
ELN §8-400 (creation); EDN §§2018-A & 2018-B (creation)


subSerDescription:
Final election results, including election inspectors' return and statement of canvass (where information is not duplicated in report of final election results) and election result reports from town, city, village, or district clerk, or county board of elections:

subSerFinalJustification:
Possesses long-term research value in documenting the results of elections.

subSerLegalCitation:
ELN §9-210 (creation); EDN §2034 (creation)


subSerDescription:
Intermediate records used to compile final election results, including tally sheets, voting machine tabulation, detailed breakdown of results by wards or election districts and election inspectors' returns and statements of canvass (where information is duplicated in report of final election results):


subSerFinalJustification:
Possesses long-term research value in documenting individuals and issues involved in local elections.


subSerDescription:
Proof of publication or posting, certification and listing of notice posting, copy of newspaper notice and certification of offices to be voted for at forthcoming election, and copy of any information sent to prospective voters regarding forthcoming election:


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

subSerFinalJustification:
Possesses long-term research needs in documenting a history of local government referenda.

subSerLegalCitation:
ELN §4-108 (creation); ELN §15-104(c) (creation)


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


subSerDescription:
Station or system power generation report:

subSerFinalJustification:
Satisfies 25 year records retention requirement in 16 NYCRR 733.10 and 733.15.

subSerLegalCitation:
GMU § 360 (creation), 16 NYCRR 733.10 (retention) and 16 NYCRR 733.15 (retention)


subSerDescription:
Station or system inspection report, including operating tests:

subSerFinalJustification:
Satisfies retention records requirement in 16 NYCRR 733.15.


subSerDescription:
Inspection and repair reports on street openings, such as for correcting gas leaks:

subSerFinalJustification:
Satisfies 6 year records retention requirement in 16 NYCRR 733.15.


subSerDescription:
Analysis of gas produced and purchased, including BTU and sulfur content:


subSerFinalJustification:
Satisfies retention requirement in 16 NYCRR 733.15.


subSerDescription:
Log or register of researchers, and patron's registration for use of archival records:

subSerFinalJustification:
Satisfies the statute of limitations for felony or misdemeanor prosecutions


subSerDescription:
Researcher interviews, reference statistics, requests for records, or similar reference service records:


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

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

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


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

subSerNotes1:
Queries conducted in automated systems are not considered "records" unless the query and/or its results are saved in electronic or manual format. See also related items in the Information Technology section.


subSerDescription:
Records documenting major issues (those that constitute a fire hazard or a serious threat to the life, health or safety of occupants) related to a school, public building, multifamily dwelling, commercial or industrial structure, or hazardous structure:

subSerRetention:
6 years after building no longer exists, but not less than 21 years

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

subSerLegalCitation:
19 NYCRR Parts 1203, 1219-1228 (creation); CPLR §§208 & 214 (retention)


subSerDescription:
Records documenting routine or minor issues related to a school, public building, multifamily dwelling, commercial or industrial structure, or hazardous structure:

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


subSerDescription:
Master summary record of inspections performed:


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

subSerNotes1:
If fire safety inspection records are combined or interfiled with building inspection records, use item no. 109.

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

subSerLegalCitation:
19 NYCRR Parts 1203, 1219-1228 (creation); CPLR §208 (retention)


subSerDescription:
Report on inspection of single family dwelling and notice of violation:


subSerDescription:
Master summary record of applications for building, plumbing, electrical, demolition or related permits, or for certificates of occupancy granted:

subSerFinalJustification:
Possesses historical and other research value in areas relating to land use, urban planning, historical preservation and structure design and maintenance.


subSerDescription:
Log or other chronological list recording permits or certificates of occupancy issued:

subSerRetention:
1 year after last entry in record, or 1 year after posting


subSerDescription:
Building, plumbing, electrical, demolition or related permit file, including application and supporting materials; plans, maps and drawings; specifications; inspection reports; copies of all required permits and approvals; affidavit of compliance or completion of work; records of appeal when permit is denied; certificate of occupancy and correspondence, when permit is granted:

subSerNotes1:
Certain records covered by this item may be included under item no. 113, such as in instances where they are maintained in electronic format and not created as hard-copy output and included in the building permit file. In these cases, the electronic records covered by item no. 113 must be retained as long as specified by this item.


subSerDescription:
Building, plumbing, electrical, demolition or related permit file, when permit is denied:


subSerDescription:
Building, plumbing, electrical, demolition or related permit file, when application is discontinued, has lapsed or is incomplete:

subSerRetention:
90 days after date of most recent entry in record


subSerDescription:
Building, plumbing, electrical, demolition or related permit file, for non-structural modifications to shopping mall, office complex or similar structure (modifications not involving changes to fire suppression or alarm systems), when permit is granted:

subSerFinalJustification:
Satisfies control agency (NYS Department of State) requirements.


subSerDescription:
Certificate of occupancy and application when not related to building permit application:

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

subSerLegalCitation:
19 NYCRR Parts 1203, 1219-1228 (creation); CPLR §214 (retention)


subSerDescription:
Pre-printed construction specifications submitted as part of building permit application as required by building trade or insurance companies:

subSerRetention:
6 years after denial of permit or completion of work


subSerDescription:
Plumbing system review or similar records held by county health department which assists municipality in building permit application review and issuance:

subSerNotes1:
In cases where all documentation is not forwarded to the municipality, the county agency may wish to retain these records as long as the municipality retains the records covered by part parts "c" through "f," above.


subSerDescription:
Certificate of insurance or copy of insurance policy:

subSerRetention:
6 years after denial or expiration of relevant permit


subSerDescription:
Master summary record of contractors doing business in municipality/county and their insurance coverage:


subSerDescription:
Final report and essential supporting information used to develop report, including but not limited to maps, plans, technical memoranda and environmental impact studies:


subSerDescription:
Background material, including but not limited to notes, memos, worksheets and correspondence:


subSerDescription:
Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is approved or denied (except records covered by part "d"):

subSerFinalJustification:
Possesses long-term research value in documenting local land use, planning, and zoning decisions.


subSerDescription:
Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is withdrawn or abandoned (except records covered by part "d"):


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


subSerDescription:
When review is carried out, and comments are forwarded by planning agency:


subSerDescription:
When no comments are forwarded by planning agency:

subSerRetention:
1 year after receipt of request to review


subSerDescription:
Official copy of plans, including supporting maps, when prepared by local government under provisions of Article 2-B, Executive Law, or other legal or regulatory requirements:

subSerFinalJustification:
Possesses long term administrative and research value.


subSerDescription:
Copies of plans held by local government, including supporting maps, when official copies prepared under Article 2-B, Executive Law, are maintained by the local government which created them, along with other disaster preparedness plans, not prepared under Article 2-B, Executive Law, intended for specific buildings or for use by specific local government units:

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

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


subSerDescription:
Background materials and supporting documentation used in preparation of plans:


subSerRetention:
6 years after building no longer in existence

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


subSerDescription:
Significant correspondence, reports, questionnaires, self-study records and reports, guides and related documents transmitted between the community college and accrediting bodies:

subSerFinalJustification:
Possesses long-term administrative, legal, and research value by documenting the accreditation of community colleges


subSerDescription:
Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records:

subSerRetention:
6 years after accreditation approved or denied

subSerFinalJustification:
Satisfies industry standards as recommended by Middle States Commission on Higher Education


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

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


subSerDescription:
Approved internal application for curriculum:


subSerDescription:
Denied internal application for curriculum:


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


subSerFinalJustification:
Possesses long-term administrative and research value in documenting the development of academic programs.


subSerDescription:
Official copy of any literature or other material made available to the public, including college catalogs and student handbooks:

subSerFinalJustification:
Possesses long-term administrative and research value in documenting information related to community college courses


subSerDescription:
Detailed course descriptive information, including background materials and supporting documentation:

subSerRetention:
7 years after course or program discontinued


subSerDescription:
Routine internal information records relating to courses, including but not limited to draft descriptions and tentative course schedules:


subSerDescription:
Published books, papers, journal articles, and other materials made available to the public:

subSerFinalJustification:
Possesses long-term research value by documenting the results of faculty and student research.


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

subSerNotes1:
Depending on the nature of the research, some of these files may be valuable for other researchers as well as in documenting research sponsored by and conducted at the college, and should be appraised for potential permanent retention. Appraisals of research files should involve consultation with both members of the faculty and acknowledged professionals in the respective field.

subSerRetention:
1 year after research concluded or otherwise terminated


subSerRetention:
3 years after graduation or date of last attendance

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


subSerDescription:
For student athletes who do not enter college:


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

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 intercollegiate competitions may have historical value in documenting intercollegiate student athletics. Records with historical value should be retained permanently.

subSerNotes2:
Health-related records are found in the Public Health section of this Schedule. Athletic training records are covered by item no. 164.


subSerDescription:
Videotapes, reports and other records used for scouting and training purposes:


subSerDescription:
Positive test results and related records:

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


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


subSerDescription:
Certificate of need for educational use:

subSerFinalJustification:
Satisfies 2 year records retention requirement in 8 NYCRR §137.3

subSerLegalCitation:
Education Law §811 (creation); 8 NYCRR §137.3 (retention)


subSerDescription:
Other records, including records of purchase, inventory, destruction, loss or theft:


subSerDescription:
Official copy of any program or promotional literature or photograph of events or games:

subSerFinalJustification:
Possesses long-term research value in documenting the history of special events held by the local government.


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

subSerNotes1:
Institutional information and reports may have long-term value to document college policies and the status of various college programs, especially if that information is not readily available in catalogs or other sources. For that reason, officials may wish to retain these records permanently to document these policies and programs.

subSerRetention:
6 years after issued, superseded or obsolete, whichever is later


subSerDescription:
Notice of availability of information/reports as distributed or made available to enrolled and prospective students:

subSerRetention:
3 years after issued, superseded or obsolete, whichever is later


subSerDescription:
Designation of employee(s) authorized to assist enrolled and prospective students obtain the information/reports:


subSerDescription:
Official copy of commencement program or other publication:

subSerFinalJustification:
Possesses long-term research value in documenting the history of the college.


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

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


subSerFinalJustification:
Possesses long-term research value in documenting all matters related to campus crime and security, as well as the handling of security issues.


subSerDescription:
Notice of availability of the annual security report and related records as distributed or made available to enrolled and prospective students and current and prospective employees:


subSerDescription:
Designation of employee(s) authorized to assist enrolled and prospective students obtain the annual security report and related records:


subSerDescription:
Crime statistics, including lists of crimes by location and relevant maps, other than those statistics included in the annual security report:

subSerFinalJustification:
Satisfies 3 year records retention requirement in 34 CFR §668.46(c)


subSerDescription:
Crime logs, crime reports, records of arrests and referrals for disciplinary action, timely warnings of threats to campus safety, and other records used to compile annual security report:

subSerFinalJustification:
Satisfies 6 year records retention requirement in 20 USC 1092(f) and the U.S. Department of Education Office of Postsecondary Education's The Handbook for Campus Safety and Security Reporting.

subSerLegalCitation:
20 USC 1092(f) (retention); 34 CFR §668.46(f) (creation)


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Some of these reports and studies, including their detailed documentation, may contain significant information valuable for long-term planning as well as historical and other research. Contact the State Archives for additional advice.


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


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

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

subSerNotes2:
Parental consents are covered by item no. 219 in the Student Records subsection. Health related records are found in the Public Health section.


subSerDescription:
Scouting reports and videotapes used for scouting and training purposes, not associated with intercollegiate athletics:


subSerDescription:
Program participation or other legal agreement or contract, including attachments and amendments:

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


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


subSerDescription:
When any significant problem is encountered:

subSerRetention:
3 years after oldest person involved attains age 18

subSerFinalJustification:
Satisfies statute of limitations for litigation involving personal injury to minors (CPLR §§ 213 and 214).


subSerDescription:
When no significant problem is encountered:


subSerFinalJustification:
Possesses long-term administrative and research value in documenting major policies and activities of colleges.


subSerRetention:
6 years or 6 years after expiration of contract, as appropriate


subSerDescription:
For applicants who are accepted and attend:

subSerNotes1:
If admission records for students who enter are made part of student records, see item no. 206. Duplicate copies retained by a separate admissions office can be disposed of when no longer needed.

subSerRetention:
6 years after graduation or date of last attendance

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


subSerDescription:
For applicants who are accepted and do not attend, and applicants who are not accepted:

subSerNotes1:
Community colleges may wish to keep these records longer for international students, for convenience of access by both college personnel and the prospective or accepted students.

subSerRetention:
3 years following date of exclusion or end of permitted enrollment period for accepted applicants

subSerFinalJustification:
Satisfies 3 year records retention requirement in 8 NYCRR §605.3(b)(2).

subSerLegalCitation:
8 NYCRR §605.3(b)(2) (creation, retention)


subSerDescription:
Student permanent academic record (transcript):

subSerFinalJustification:
Satisfies permanent records retention requirement in 8 NYCRR §605.3(b)(1).

subSerLegalCitation:
8 NYCRR §605.3(b)(1) (creation, retention)


subSerDescription:
Change of grade documents, withdrawal authorizations, graduation certification, Social Security certification, student roster and attendance verification records such as class roster, or final grade listing and student schedule:


subSerDescription:
Other student records including but not limited to academic action authorizations (dismissals and/or notification of problems); employment placement records; records of internships served; records of selection for and participation in remedial assistance, second language, academic honors, or other special academic programs; and assessment of life/work experience information for academic credits:

subSerRetention:
6 years after graduation or date of last attendance of student(s) involved


subSerDescription:
Change in Social Security number record, application for veteran's benefits and enrollment certification and related records:


subSerDescription:
Application for graduation, change of course (drop/add) records, credit/no credit (audit) approval, name and/or sex change authorization, pass/fail request, registration form, and request by student for transcript or other record:


subSerNotes1:
Community colleges may wish to keep these records longer for convenience of both college personnel and graduates who may request their diploma at some later date.


subSerDescription:
Individual attendee records, including but not limited to residence verification, program participation application, summary of participant achievements and attendance, record of courses taken including grades and test results, but excluding test papers and answer sheets:

subSerNotes1:
If participation in a non-credit or continuing education course is pertinent to an enrolled student’s academic requirements, attendee records should be maintained as part of the student’s academic records as indicated by item no. 206.


subSerDescription:
Basic data on any student contained in or produced by an automated student information system, including name, age, sex, personal identification (social security number or other number used to identify student), address, grade and/or class, courses taken, and grades:

subSerNotes1:
This information may be valuable for long-term planning and evaluation purposes by college administrators, and for instances where students reenter the college later in life. In addition, it may be useful in historical or other research. Creation of a "history file" in the information system may be a useful way to maintain this more important information. Contact the State Archives for additional advice.

subSerNotes2:
If the official record of the student permanent academic record (transcript) is maintained in this system, it must be retained permanently; see item no. 206.


subSerDescription:
Detailed data on any student contained in or produced by an automated student information system, other than financial aid data:


subSerDescription:
Request for hearing on content of student education records, decision of hearing, and student statement on content of disputed record:

subSerRetention:
Retain for the same period the disputed records are maintained

subSerLegalCitation:
20 USC §1232g and 34 CFR 99, Subpart C (creation)


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

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. 206e, above.

subSerRetention:
Retain for the same period the requested records are maintained

subSerLegalCitation:
20 USC §1232g and 34 CFR 99.32 (creation)


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

subSerRetention:
1 year after request is terminated or is no longer valid or 1 year after the concerned records are no longer maintained


subSerRetention:
1 year after consent is terminated or 1 year after the concerned records are no longer maintained


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:
20 USC §1232g and 34 CFR 99.12 (creation)


subSerFinalJustification:
Possesses long-term research value in documenting policies, and is consistent with the retention of other official publications

subSerLegalCitation:
20 USC §1232g and 34 CFR 99.37 (creation)


subSerDescription:
Annual or other notice of rights under FERPA or related legislation concerning access to student records or participation in surveys on or activities in designated areas:

subSerRetention:
3 years after issued or superseded or obsolete, whichever is later

subSerLegalCitation:
20 USC §1232g and 34 CFR 99.7 (creation)


subSerDescription:
Community college copy of certificate of residence:

subSerLegalCitation:
Education Law §6305 (creation); CPLR §213 (retention)


subSerDescription:
Lists of students residing in different political jurisdictions:


subSerDescription:
Individual scholarship file including but not limited to applications, list of eligible candidates, list of competition winners and alternates, recommendations, authorization of awards, financial statements, accounting data, reports, and correspondence:


subSerFinalJustification:
Possesses long-term administrative and research value by documenting the history of scholarships awarded by the college.


subSerDescription:
Reports, studies or queries having legal or fiscal value, including annual reports created from Integrated Disbursement and Information System (IDIS) or other automated system:

subSerNotes1:
Appraise records covered by part "a" for archival value. Reports and studies containing data needed to supplement or explain narrative reports (which are maintained permanently and are covered by item no. 74 in the General Administration section) may be valuable as well as the narrative reports themselves. Contact the State Archives for additional advice.


subSerDescription:
Economic development case file, including but not limited to application, copy of loan approved, financial statements, progress reports, copies of plans and specifications, and correspondence:

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract (CPLR § 213) and OSC's audit requirements.

subSerLegalCitation:
GMU § 503 (creation), CPLR § 213 (retention)


subSerDescription:
Business or resident relocation case file, including but not limited to vacation notice, income and need determination records, field reports, estimates of expenditures, copies of property acquisition records, rent collection records and correspondence:

subSerRetention:
6 years after last entry in record, final payment on loan or discharge of mortgage, whichever is later


subSerDescription:
Housing rehabilitation case file, including but not limited to application, notice of approval, contract, grant or loan agreement, copies of real property records, building department records, rental assistance records, specifications, property description, certificate of completion and correspondence:

subSerRetention:
6 years after completion of project, final payment on loan or discharge of mortgage, whichever is later


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

subSerNotes1:
Rent collection records and copies of tenant relocation records need only be retained for 6 years.

subSerRetention:
6 years after sale of property by local government

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract (CPLR § 213), OSC's audit requirements, and federal regulations related to federal grants and awards (2 CFR 200.333).

subSerLegalCitation:
GMU § 503 (creation), CPLR § 213 (retention), 2 CFR 200.333(c) (retention)


subSerDescription:
Property purchase and resale case file, such as F.H.A. or real property tax foreclosure, including but not limited to copies of real property records, foreclosure records, copies of building department records, property description, records of property improvements, advertisement of sale, bids and records of bid acceptance or refusal, copy of sale agreement and correspondence:

subSerRetention:
6 years after sale of property by local government, final payment on loan or discharge of mortgage, whichever is later


subSerDescription:
Public/community service project case file, such as involving community housing development organizations, including but not limited to project applications, interim financial and progress reports, inspection reports, notes and correspondence, but excluding final reports:


subSerDescription:
Final reports on public/community service projects:

subSerFinalJustification:
Possesses long-term research value in documenting local government's development projects.


subSerDescription:
Home acquisition program case files, financed by federal HOME program or other funding source, including but not limited to application, review records and copies of mortgage documents:

subSerRetention:
6 years after date of most recent entry in record, final payment on loan or discharge of mortgage, whichever is later


subSerDescription:
Housing investigation case record for lead poisoning, when investigation is not part of case files covered by other parts of this item:

subSerLegalCitation:
GMU § 503 (creation), PBH Art. 13, Title 10 (creation), 10 NYCRR 67-2 (creation), CPR § 30.10 (retention)


subSerDescription:
Vouchers and financial claims for payment or reimbursement related to community development cases:

subSerRetention:
Retain as long as related case file is retained


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

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

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


subSerDescription:
Violent (e.g., homicide, suicide, casualty) or suspicious or undetermined circumstances death (including death report and related records):

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a Class A felony (CPL §30.10).

subSerLegalCitation:
CPL §30.10 (retention); CNT §677.3 (creation)

subSerRevisionSummary:
Make language for item 150 consistent with DOH Certificate of Death and County Law §673.


subSerNotes1:
Records of coroners' inquests, filed before Sept. 1, 1965 with county clerks, are in fact records of the County Court and are not covered by item nos. 260 and 261. For information on retention of these records, contact the Office of Court Administration. Other death investigation records of coroners, records of coroners' inquests created after Sept. 1, 1965 and all records created by medical examiners are covered by this Schedule.


subSerDescription:
For legal case file of attorney or counsel:

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

subSerNotes2:
Evidence, including video and audio recordings, should be returned to law enforcement or owner as appropriate. Local law enforcement should retain evidence as long as the corresponding case investigative file, item no. 1222.

subSerRetention:
6 years after case closed, or 0 after any minor involved attains age 21, whichever is later

subSerFinalJustification:
Satisfies short-term legal and administrative needs, as well as, the statute of limitations for litigation involving contracts and minors. Some cases may possess long-term research, administrative, and legal value as they document the interpretation or application of law and thereby may establish precedent.


subSerNotes1:
This retention period provides for lengthy retention of case files in the absence of instructions from the client on the disposition of the records, such as to transfer the file to the client or to destroy the file. This lengthy period will meet potential future needs of the client for the records or information they contain. These may include use in future civil or criminal matters, such as immigration, capital cases or other legal actions, in which records of previous criminal events and proceedings would be relevant.

subSerNotes2:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently in the absence of any instructions from the client to the contrary. Local governments should consider permanent retention of significant cases which have importance or which set major legal precedents. For instance, local governments may wish to permanently retain files for cases concerning major local controversies, issues, individuals and organizations which are likely to be the subject of ongoing research or which result in decisions or rulings of major significance to the local government or community or to the entire state. Contact the State Archives for additional advice in this area.

subSerRetention:
Retain until 6 years after case closed, or 0 after any minor client attains age 21, whichever is later. Subsequent to this period, the file must continue to be maintained until death of the client concerned, 80 years after date of birth of the client concerned, or the client concerned provides instructions on disposition of the file, whichever is earlier.

subSerFinalJustification:
Satisfies long-term legal and administrative needs, as well as, the statute of limitations for litigation involving contracts and minors. Some cases may possess long-term research, administrative, and legal value as they document the interpretation or application of law and thereby may establish precedent.


subSerDescription:
Financing statement, continuation statement or release relating to either, and indexes thereto:

subSerFinalJustification:
Satisfies 1 year records retention requirement in UCC §9-519(g)


subSerDescription:
Notice and discharge of mechanic's lien placing lien against real property for labor or materials furnished for construction or maintenance:

subSerRetention:
6 years after expiration or release of lien

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

subSerLegalCitation:
LIE Art. 2 (creation); CPLR §213 (retention)


subSerDescription:
Docket showing owner of lien property, lienor, location of property, amount, filing date, date and manner of satisfaction and remarks:


subSerDescription:
Notice of hospital lien (original or renewal) stating lien against real property for services provided by a hospital:

subSerRetention:
12 years after filing of original or renewal notice

subSerFinalJustification:
Satisfies 12 year records retention requiement in LIE §189.11.


subSerFinalJustification:
Satisfies 25 year records retention requirements for LIE §189.11


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

subSerNotes1:
For plans, designs and schematic drawings of buildings and facilities, including their systems and component parts, see item no. 807.


subSerRetention:
3 years, or until all violations noted on report are corrected, whichever is later

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

subSerLegalCitation:
19 NYCRR 1204 (creation); CVP §214 (retention)


subSerDescription:
Records other than fire safety inspection reports:


subSerDescription:
Cumulative summary record for vehicle or equipment:

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

subSerFinalJustification:
Satisfies short term administrative needs. Satisfies the statute of limitations for initiation of prosecution of felony or misdemeanor.


subSerDescription:
Individual report when posted to cumulative summary record:

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


subSerDescription:
Individual report when not posted to cumulative summary record:


subSerDescription:
Maintenance or repair log or similar record:


subSerDescription:
Reports and studies relating to maintenance, testing, service, operation and repairs for equipment or vehicles:


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

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 local officials store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.


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


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

subSerFinalJustification:
Satisfies short term legal and fiscal needs.


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:


subSerDescription:
Geographic Information System (G.I.S.) street/road data file used for vehicle routing scheduling, derived from official G.I.S. data maintained by other unit of local government:


subSerFinalJustification:
Satisfies the statute of limitations for litigation involving a contract.


subSerDescription:
Original application and other related records not created for renewal applications:

subSerRetention:
5 years after final termination of license or denial of application


subSerDescription:
Renewal application and related records, including copy of license:

subSerRetention:
5 years after renewal or termination of license or denial of application


subSerDescription:
Listing of locations of radios using local government private radio frequency:


subSerDescription:
Registration, including approved application and related records:

subSerRetention:
7 years after expiration or termination of registration or 3 years after removal of storage tanks and piping, whichever is later

subSerFinalJustification:
Adding "3 years after removal of storage tanks, whichever is later" to part "a" will meet requirements of CPLR 214-c in case of possible litigation over exposure to toxic substances.

subSerRevisionSummary:
Increased retention period by adding "or 3 years after

removal of storage tanks and piping, whichever is later." CUNY plans to retain part a registration records longer as they may include documentation on underground piping that may be needed long after the registration has expired and the storage tank itself has been removed. The piping may remain beyond those times, and the registration records will provide important information.

subSerRevisionRecdFrom:
From Warren's file: Richard Malina, CUNY


subSerDescription:
Monthly and ten-year mandatory inspection reports:

subSerFinalJustification:
Satisfies the 5 and 10 year records retention of 6 NYCRR 598.


subSerDescription:
Daily and other periodic inspection reports:

subSerFinalJustification:
Meets EPA standards outlined in 40 CFR, Part 280 (new in 2015).

subSerRevisionSummary:
Increased retention period from 1 year to 3 years. Reports may be needed to meet federal EPA concerns rather than just to meet DEC requirements. CUNY plans to retain these records longer also. Because of risk of exposure, these records should be kept a bit longer than the current authorization.


subSerDescription:
Test certification for underground storage tank:

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


subSerDescription:
When not needed for audit or other fiscal purposes:

subSerNotes1:
Social services case management and related systems generate numerous daily, weekly, monthly, quarterly and other reports. Some of these reports are needed for six years for fiscal audit and related purposes. Other reports can be destroyed after shorter periods of time, such as after they are superseded by subsequent reports, after the preparation of related reports, after passage of specific time periods, or after they are no longer needed for administrative purposes. For further information on determining appropriate retention periods for specific reports, contact the New York State Office of Temporary and Disability Assistance and the New York State Office of Children and Family Services.


subSerDescription:
Resident/participant records, including personal, financial and dietary planning records, and related records:


subSerDescription:
Facility/program records, including records documenting the operation and maintenance of the facility; daily census reports; incident reports; business records; records relating to the application or renewal of the operating certificate; admission and discharge registers; program records including service procedures, activities schedules, agreements with external service providers, disaster and emergency plans, and records of evacuation drills; food service records including menus and food procedure records; records of the maintenance of the physical plant and environmental standards; staff records including personnel procedures, job descriptions, staffing schedules and payment records; certificates or reports issued by local and state jurisdictions related to facility operation; and related records:

subSerRetention:
7 years after end of calendar year or 7 years after superseded or obsolete, whichever is longer


subSerDescription:
Screening forms completed by applicants/recipients of public assistance indicating presence of domestic violence and subsequent records assessing credibility of individual's assertion of domestic violence, records of services referrals, assessments for waivers of public assistance program requirements, and related records:

subSerRetention:
6 years after completion of liaison's services to an individual


subSerDescription:
Screening forms indicating no presence of domestic violence:


subSerDescription:
Case records, including names of persons requesting services, reasons for requests, names of minor children and/or other family/household members receiving services, types of services provided, and related records:


subSerDescription:
Daily logs showing number of telephone hotline calls and other telephone calls requesting information and/or referral:


subSerDescription:
Individual client consultation case record of rape crisis intervention program:

subSerRetention:
6 years after last entry, or 3 years after any minor involved attains age 18, whichever is later


subSerDescription:
Master summary record (log or index) to client consultations or other activities:


subSerDescription:
Record copy of report concerning the death of a child whose care and custody or guardianship have been transferred to an authorized agency or whose death has been reported to the State Central Register, received from the NYS Office of Children and Family Services or prepared by a local or regional fatality review team pursuant to Sections 20(5) and 422-b, Social Services Law:


subSerDescription:
Non-record copies of child fatality investigative reports, which are provided to the county legislature and county executive:

subSerFinalJustification:
County social services office maintains official reports per subitem a.

subSerRevisionSummary:
Revise item 1063, Child Fatality Investigative Reports and Records, to indicate that part b., non-record copies of reports on child deaths, is intended to cover copies of fatality reports which are provided to the county legislature and county executive. This revision will clarify uncertainty about what records the part is meant to cover. The official copies of the reports, provided by the Office of Children and Family Services to the county social services department, are covered by part a. of the item.


subSerDescription:
Investigative records, when investigation into child’s death is conducted by a local or regional fatality review team:

subSerRetention:
10 years after completion of investigation and preparation of final report


subSerDescription:
When no comments are forwarded to lead agency:


subSerDescription:
When comments are forwarded to lead agency:


subSerDescription:
Comments on E.I.S. furnished lead agency by district:


subSerDescription:
Final reports and studies resulting from analysis of system data, containing significant information on real property and structures located thereon, used for such purposes as long-range planning, reappraisal, or historical preservation:

subSerFinalJustification:
Possesses long-term research value by documenting information on real property and associated structures and can be used for long-range planning and historical preservation


subSerDescription:
Preliminary reports and studies resulting from analysis of system data, containing routine information on real property and structures located thereon, or used to produce final reports and studies, as well as lists, logs or other internal information records:


subSerDescription:
Final or justification reports or studies, created or received as part of mass appraisal process:

subSerFinalJustification:
Possesses long-term research value by providing summary information on all properties and assessments that could be used in conducting local research, documenting structures that no longer exist, and maintaining a record of long-term changes to the real property market


subSerDescription:
Detailed data, cost tables, preliminary reports and computations created or received as part of mass appraisal process:

subSerFinalJustification:
Satisfies four year retention requirement in RPT §1573(1)(c)


subSerDescription:
Annual certificate of state-determined ceiling or assessment:

subSerFinalJustification:
Satisfies long-term administrative need. Records should be retained at least as long as the railroad is in operation, and may provide long-term research value in documenting railroad lines that no longer exist.


subSerDescription:
Railroad ceiling and special franchise assessment records, other than annual certificate, including but not limited to notice of tentative ceiling or assessment, and record of apportionment to districts:

subSerLegalCitation:
RPT §489-L,N,P (creation); 20 NYCRR §8197-4.1 (creation)


subSerDescription:
Certificate of final equalization rate, as determined by New York State Office of Real Property Tax Services:

subSerLegalCitation:
RPT §818 (creation); RPT §842 (creation); RPT §1212 (creation); 20 NYCRR §8186-6.7 (creation)

subSerRevisionSummary:
Update references to ORPS within Taxation and Assessment section to reflect the Office of Real Property Tax Services' current integration with the Dept. of Taxation and Finance, specifically description for CO-2 item 649a & b.


subSerDescription:
Equalization rate determination records other than certificate of final rate,

including but not limited to notice of tentative rate, data submitted and

reports submitted to New York State Office of Real Property Tax Services:

subSerFinalJustification:
Satisfies three-year retention requirement in RPT §1200.1

subSerLegalCitation:
RPT §1204 (creation); RPT §1314.1 (creation); RPT §804 and 806 (creation); RPT §511.1 (creation); 20 NYCRR 8186-2.7, 2.8, and 2.12 (creation); RPT §1200.1 (retention); 20 NYCRR §8186-3.3 to 3.5 (creation); 20 NYCRR §8186-4.3 (creation)


subSerDescription:
Official copy of map created by or for county:

subSerFinalJustification:
Possesses long-term research value by documenting historical trends in property valuation as well as locations of structures and property boundaries

subSerLegalCitation:
RPT §503.1 and RPT §1532.1(a) (creation)


subSerDescription:
Assignment of personal property, including but not limited to wage assignment and assignment of proceeds from personal contracts or estates:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving a contract

subSerLegalCitation:
RPA §1921.3 (creation); CPLR §213 (retention)


subSerDescription:
Assignment of rent or lease of real property:

subSerNotes1:
Assignments of mortgages of real property are subject to the permanent retention requirements of item no. 320.


subSerDescription:
Liens where a sale of personal property for recovery of proceeds may be involved, such as mold liens; liens on monuments, gravestones, and cemetery structures; and self-service storage facilities liens:

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

subSerLegalCitation:
LIE Arts. 5, 6-A and §182 (creation); CPLR §213 (retention)


subSerDescription:
Liens where no possible sale of property is involved, such as liens for services of stallions or bulls, liens for labor on stone, artisan's liens, liens of bailee of animals or motor vehicles, liens of truckmen and draymen, and liens on motion picture film laboratories:

subSerRetention:
6 years after expiration or discharge of lien

subSerFinalJustification:
Satisfies statute of limitations for littigation involving a contract.

subSerLegalCitation:
LIE Arts. 6, 7 and §180, 183, 184, 187, 188 (creation); CPLR §213 (retention)


subSerDescription:
Agreement describing a loan to finance construction:

subSerRetention:
6 years after satisfaction of the associated building loan mortgage

subSerLegalCitation:
LIE §22 (creation); CPLR §213 (retention)


subSerRetention:
0 years after all contracts indexed therein have been destroyed


subSerFinalJustification:
Possesses long-term research and legal value in documenting evidence of government activity, biographical information for those taking the oath and for those administering it, as well as documenting information about the position or office being filled.


subSerFinalJustification:
Satisfies short-term administrative needs. Election officials only serve for a short period of time and new officials must be sworn in for each subsequent election.


subSerRetention:
Retain as part of or as long as personnel records

subSerFinalJustification:
Satisfies long term administrative needs and legal value.


subSerDescription:
For other than county employee or officer:


subSerDescription:
Annual and monthly reports of licenses sold, monthly summary sheet showing licenses sold, detail allotment sheet and similar records necessary to document fiscal transactions:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving fraud and satisfies OSC's audit requirements.

subSerLegalCitation:
ENV §11-0713 (creation); CPLR §213 (retention)


subSerDescription:
Stub, copy or abstract of license retained by local government:

subSerFinalJustification:
Satisfies short-term fiscal and administrative needs. Records are duplicated at the State level.


subSerDescription:
Other records created or maintained for administrative convenience, such as lists of license holders and routine correspondence, not necessary to document fiscal transactions:


subSerDescription:
Copy of Combined Real Estate Transfer Tax Return and Credit Line Mortgage Certificate:


subSerFinalJustification:
Satisfies short term administrative need.


subSerFinalJustification:
Possesses long-term research value in documenting decision-making and major activities.


subSerDescription:
Master summary record, such as index registry, of dog, purebred, or kennel licenses granted or license applications:


subSerDescription:
Renewal list, non-renewal list, population list, or other listing:


subSerDescription:
Enumerator's list of owners or harborers of dogs, prepared by local government offices, including billing for enumerator's services and related records:


subSerDescription:
Report on the animal population and control program, dog or purebred licensing, license sales, or surcharge fees:


subSerDescription:
Municipal compliance report, sent to New York State Department of Agriculture and Markets on dog identification and control:


subSerDescription:
Notification sent to New York State Department of Agriculture and Markets of dog or purebred license fee established by local government:

subSerRetention:
0 after superseding notice is filed, but not less than 6 years


subSerDescription:
Master summary record (index, log or intake record) covering all animals held by shelter:


subSerDescription:
Individual animal disposition record, covering redemption, adoption or euthanasia of seized animal:


subSerFinalJustification:
Possesses long-term research value by providing significant information on the center's programs, and reflect decisions at the policy-making level


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


subSerDescription:
Official copy of any literature or other material made available to the public:

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


subSerDescription:
File on each instructional course or program:


subSerDescription:
For applicants who enter (when not included in student folder):

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


subSerDescription:
For applicants who do not enter whether accepted or not:

subSerRetention:
2 years following date of admission or exclusion

subSerFinalJustification:
Satisfies three-year records retention requirement in 8 NYCRR Sect. 605.3(b)(2)

subSerLegalCitation:
8 NYCRR Sect. 605.3(b)(2) (creation and retention)


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Educational opportunity center student records covered by part "a" may be valuable in documenting EOC services to economically and educationally disadvantaged persons in the center's service area. Contact the State Archives for additional advice.

subSerLegalCitation:
CPLR §213 (retention); 8 NYCRR Sect. 605.3(b)(2) (creation)


subSerDescription:
Supplemental documentation, including but not limited to test papers and answer sheets, copy of high school equivalency diploma, copies of and requests for transcripts and routine correspondence:


subSerDescription:
Master copy of plan and essential background documentation:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Some of these records may document the development and advancement of technology used by the local government. Contact the State Archives for additional advice in this area.

subSerRetention:
Retain for 3 planning cycles after the plan is completed, superseded, or revised


subSerDescription:
Site visit reports, problem and equipment service reports, and routine correspondence and memoranda:


subSerDescription:
Service histories and other summary records:

subSerRetention:
0 after the related equipment is no longer in use


subSerDescription:
Site visit reports, trouble reports, and related correspondence:


subSerRetention:
0 after the related equipment or site is no longer in use


subSerDescription:
Routine records that do not contain substantial information on the maintenance history or site:


subSerDescription:
Laboratory protocol and testing procedures:

subSerFinalJustification:
Possess long-term legal and research value in documenting the scientific process and animal welfare.

subSerLegalCitation:
PBH § 504 and § 505 (creation); 10 NYCRR 55-1 (creation); 9 CFR § 2.35 (creation)


subSerDescription:
Laboratory and testing inspection reports, including description of actual tests:

subSerFinalJustification:
Satisfies the 3 year records retention requirement in 9 CFR § 2.35(f)


subSerDescription:
Approval granted individual in charge of laboratory:

subSerRetention:
3 years after individual's association with laboratory terminated


subSerDescription:
Domestic livestock antirabies protection certificate:

subSerLegalCitation:
PBH § 2141 (creation); AGM § 109 (creation)


subSerDescription:
Records concerning certification of area for rabies, including but not limited to correspondence, notices, and copy of resolution:

subSerFinalJustification:
Satisfies long-term administrative and legal needs.


subSerDescription:
Investigation records for bite or other potentially dangerous contact with an animal, including potentially rabid animal:

subSerFinalJustification:
Satisfies short-term administrative and legal needs. 	Satisfies the statute of limitations r actions for which no limitation is specifically prescribed by law (CVP § 21.

  law (CVP § 213)

subSerLegalCitation:
PBH § 2145 (creation); AGM § 123 (creation); CVP § 213 (retention)


subSerLegalCitation:
AGM Art.5 (creation); 1 NYCRR Chap.II SubChap.A (creation);1 NYCRR 61.6 (retention)


subSerDescription:
Records of investigation of spill or release of hazardous substance exceeding minimum reportable quantity (as defined in Section 597.3, 6NYCRR, Table 1):

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

subSerLegalCitation:
ENV § 17-1743 (creation), 6 NYCRR 597.4 (creation), 6 NYCRR 598.14 (creation)


subSerDescription:
Records of investigation of spill or release of hazardous or toxic substance not exceeding minimum reportable quantity (as defined in Section 597.3, 6NYCRR, Table 1):


subSerDescription:
Records of investigation of spill or release of petroleum (as defined in Section 597.1(b)(12), 6NYCRR) exceeding 25 gallons:


subSerDescription:
Records of investigation of spill or release of petroleum (as defined in Section 597.1(b)(12), 6NYCRR) not exceeding 25 gallons:


subSerDescription:
All file documentation when county health agency approval is required and subdivision is undertaken, including final plans and certificate of approval, except routine memoranda, worksheets, non-significant change orders, routine correspondence, detailed construction specifications and draft or intermediary plans, maps, designs, sketches that do not document significant changes:

subSerFinalJustification:
Possesses long-term research value in documenting land use changes and the human impact on the environment.

subSerLegalCitation:
PBH § 1116 (creation); 10 NYCRR 40-2.53 (creation), 10 NYCRR 74.3 (creation), 6 NYCRR 653.3 (creation)


subSerDescription:
Routine memoranda, worksheets, non-significant change orders, routine correspondence, performance bonds, detailed construction specifications and draft or intermediary plans, maps, designs, sketches that do not document significant changes, when county health agency approval is required and subdivision is undertaken:


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. These records may document major proposed land use changes and provide detailed information on the land involved, thus possessing historical or other value warranting permanent retention. Contact the State Archives for additional advice.

subSerRetention:
20 years after date of most recent entry in record


subSerDescription:
All file documentation when county health agency receives records for informational purposes, but their approval is not required, such as for subdivisions not meeting the legal definition found in Section 1115.1, Public Health Law:


subSerDescription:
Final determination approval criteria and precedents:


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


subSerDescription:
Master summary record (log or register) of complaints, violations and inspections:

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


subSerFinalJustification:
Possesses long-term research value in documenting the human impact on the environment and efforts to protect public health.


subSerLegalCitation:
PBH Art.15 Title 2 County Insect Control (creation)


subSerDescription:
Records of discovery and analysis of insects or animals found not to be disease carriers:


subSerLegalCitation:
ENV § 33-1205 (creation, retention), PBH § 1530 (creation)


subSerDescription:
Copies of Department of Environmental Conservation (DEC) pesticide applicator certification or business/agency registration records:


subSerDescription:
Pesticide use inspection or investigation records:

subSerNotes1:
This item does not cover application of pesticides (including herbicides, rodenticides and disinfectants) on municipal or school property or by municipal or school personnel. See item no. 832 in the Public Property and Equipment section.

subSerFinalJustification:
Satisfies the records retention requirement in ENV § 33-1205.


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


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


subSerDescription:
Restricted or controlled burning permit file:


subSerDescription:
Permit file for construction of incinerator, stationary combustion installation, resource recovery facility or process exhaust and ventilation system:


subSerDescription:
Permit file ("source file") for operation of incinerator, stationary combustion installation, resource recovery facility or process exhaust and ventilation system, including but not limited to certificate to operate, inspection and monitoring records:

subSerRetention:
0 after source no longer exists, but not less than 6 years after denial, expiration or renewal


subSerDescription:
Information copies of construction or operation permit records, where official copies are held by New York State Department of Environmental Conservation, which issues permit directly:


subSerLegalCitation:
6 NYCRR 219-2.6 (creation), 6 NYCRR 219-2.7 (creation, retention)


subSerDescription:
Summary reports and records of original entry:

subSerFinalJustification:
Satisfies the record retention requirements in 6 NYCRR 219-2.7.


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

subSerNotes1:
Appraise these records for historical significance and other long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful if public water supply or public wastewater treatment systems serve these areas in the future. Contact the State Archives for additional advice.

subSerRetention:
20 years after completion of work or 6 years after denial of application

subSerLegalCitation:
ENV § 15-1503 (creation), ENV § 17-0701 (creation)


subSerDescription:
Permit for septic tank cleaner or industrial waste collectors, issued by local agency:

subSerLegalCitation:
ENV § 27-0305 (creation), 6 NYCRR 364-4 (creation)


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


subSerDescription:
Permit files for distribution of bottled or bulk water, where local government agency issues permit:

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


subSerDescription:
Permit files for fluoridation plans, backflow prevention devices, fire pump chlorinators, or for interconnecting water systems, where local government agency issues permit:

subSerRetention:
6 years after distribution of bottled or bulk water, cessation of operation or denial of application

subSerLegalCitation:
PBH § 1100-a (creation), PBH § 225.9 (creation), GMU § 120-u (creation)


subSerDescription:
Informational copies of permit records for fluoridation plans, backflow prevention devices, fire pump chlorinators, distribution of bottled or bulk water, or for interconnecting water systems, where State Department of Health issues permit:

subSerLegalCitation:
PBH § 1100-a (creation), PBH § 225.9 (creation), 10 NYCRR 5-6.2 (creation)


subSerDescription:
Application for state assistance; feasibility studies; successful bids; plans, specifications and designs; project description; in-progress and completion photographs; inspection reports; final plans, maps, designs, sketches, architectural drawings and photographs; structure demolition records; environmental impact statement; annual project statement; copies of project review records; fiscal and other final reports; significant change orders; property disposition records; and significant correspondence:

subSerFinalJustification:
Possesses long-term research value in documenting the human impact on the environment and use of real property.


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

subSerRetention:
6 years after completion of project or date of most recent entry, whichever is longer

subSerFinalJustification:
Satisfies short-term administrative, fiscal, and legal needs. Satisfies the statute of limitations for litigation involving a contract (CVP § 23)


subSerDescription:
Unsuccessful bids, to which contracts are not awarded:


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Certain records for environmental restoration projects that are proposed but not undertaken may have research value in documenting property where hazardous substances are located or which is otherwise adversely affected, and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Approvals of extensions of areas covered by public water supply or public wastewater treatment systems:

subSerFinalJustification:
Possesses long-term research value in documenting the human impact on the environment.

subSerLegalCitation:
ENV § 15-0605 and § 15-1503 (creation), 6 NYCRR 650 (creation), 10 NYCRR 5-1.72 (creation)


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

subSerNotes1:
Appraise these records for long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful in the future in documenting the location of pipes and other underground devices. Contact the State Archives for additional advice.

subSerRetention:
6 years after connection no longer in use, or 6 years after denial of application


subSerDescription:
Records relating to surveillance of public water supply system, conducted by local health department, including inspection and sampling records, and waiver from mandatory disinfection requirements:

subSerRetention:
3 years after superseded, invalid or obsolete


subSerDescription:
State Pollutant Discharge Elimination System (SPDES) permit issued by county health agency pursuant to Section 17-0701.7, Environmental Conservation Law:

subSerRetention:
6 years after permittee ceases pollution discharge and the permit coverage is terminated

subSerLegalCitation:
ENV 6 § 17-0701 (creation), NYCRR 750 (creation)


subSerDescription:
Copies of reports and studies, received from public water supply systems, including copies of reports created pursuant to Section 5-1.72 of 10NYCRR, where these facilities are under surveillance of county health department:

subSerFinalJustification:
Satisfies records retention requirements in 10 NYCRR 5-1.72(g)(3)

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 10 NYCRR 5-1.72(g)(3) (retention)


subSerDescription:
Informational copies of reports and studies, received from environmental facilities, including copies of reports created pursuant to Section 5-1.72 of 10NYCRR, where county does not have surveillance responsibility:


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

subSerNotes1:
Appraise these records for long-term uses prior to disposition, warranting longer, if not permanent, retention. These records may be useful in the future in documenting cases of serious drinking water contamination. Contact the State Archives for additional advice.

subSerLegalCitation:
10 NYCRR 5-1.72 (c10 NYCRR 5-1.72 (creation)reation)


subSerDescription:
Informational copies of records relating to unsatisfactory water samples, watershed rules violations, and water quality monitoring violations, including testing records and records of action taken by supplier of water to correct violations, where county is not involved in testing samples, monitoring violations and correcting problems:


subSerDescription:
Public health hazard notification, received by county or municipality from public water supply system, pursuant to Section 5-1.77(b), 10NYCRR:


subSerDescription:
Copies of monthly discharge monitoring and operation reports, submitted to county health department acting as agent for New York State Department of Environmental Conservation in conjunction with SPDES permit requirements:

subSerFinalJustification:
Satisfies records retention requirements in 6 NYCRR 750-2.5

subSerLegalCitation:
6 NYCRR 750-2.5 (creation & retention)


subSerDescription:
Report or list of SPDES permits ranked in respect to need for review, received from New York State Department of Environmental Conservation:


subSerLegalCitation:
PBH § 229 and § 347 (creation); PBH § 1303 and § 1304 (creation), PBH Art. 13 (creation), 10 NYCRR Chapter I (State Sanitary Code)(creation)


subSerRetention:
6 years after date of most recent entry, but not until 3 years after any minor involved attains age 18

subSerFinalJustification:
Satisfies short-term administrative and legal needs. Satisfies statute of limitations for litigation involving minors (CVP § 208)

subSerLegalCitation:
PBH § 229 and § 347 (creation); PBH § 1303 and § 1304 (creation), PBH Art. 13 (creation), 10 NYCRR Chapter I (State Sanitary Code)(creation), CVP § 208 (rentention)


subSerDescription:
Service food establishment construction, alteration or remodeling records, except records documenting minor facility modifications:

subSerRetention:
3 years after establishment no longer in operation

subSerLegalCitation:
10 NYCRR 14-1.191 (creation), 10 NYCRR 14-1.170 through 14-1.177 (creation)


subSerDescription:
Records documenting minor facility modifications for service food establishment:

subSerLegalCitation:
10 NYCRR 14-1.170 through 14-1.177 (creation)


subSerDescription:
Operational permit file for service food establishment, including records of suspension or closure:


subSerDescription:
Temporary operation permit file for service food establishment:

subSerRetention:
2 years after denial, renewal or expiration


subSerDescription:
Frozen dessert or oleomargarine sale permit records:

subSerLegalCitation:
1 NYCRR 319.700 (creation), 1 NYCRR 17 (creation)


subSerDescription:
Inspection report for preparation or serving area:

subSerLegalCitation:
PBH § 1351 (creation), AGM § 251-z-8 (creation), 10 NYCRR 14-1.190(f) (creation)


subSerDescription:
Food sanitation complaint investigation or food embargo records, for investigations other than food- or water-borne disease investigations:


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 item 429c 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 long-term administrative and legal needs. Statifies statute of limitations for ligitgation involving minors (CVP § 208).

subSerLegalCitation:
PBH § 1351 (creation), AGM § 251-z-8 (creation), 10 NYCRR 14-1.190(f) (creation). CVP § (retention)


subSerDescription:
Food labelling and advertising investigation or complaint records:

subSerLegalCitation:
AGM Art. 17 (creation); 1 NYCRR 259.1 (retention), 21 CFR 1.360 (retention)


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

subSerNotes1:
Some draft or intermediary plans, maps, designs, sketches or architectural drawings, or detailed construction specifications may need to be retained permanently under part "a," above, if they document significant changes with long-term fiscal and other implications. Local governments should review these records for these possible uses prior to disposition under part "b," below. Contact the State Archives for additional advice.

subSerFinalJustification:
Possesses long-term research value in documenting the human imoact on the environment and public health, as well as the provision of essential services to the local community.

subSerLegalCitation:
6 NYCRR 360 and 650 (creation), 10 NYCRR Chap. III (creation)


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

subSerFinalJustification:
Satisfies the statute of limitations for litigation involving contracts (CVP § 213).

subSerLegalCitation:
6 NYCRR 360 and 650 (creation), 10 NYCRR Chap. III (creation), CVP § 213 (retention)


subSerDescription:
Unsuccessful bids, to which contract is not awarded:


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Certain records for important environmental facility projects that are proposed but not undertaken may have historical and other research value and should be retained permanently. Contact the State Archives for additional advice.


subSerDescription:
Permit, application, approval or disapproval; related plans, maps, specifications and engineering drawings; variance from New York state regulations, approval of use of emergency source of water, approval to supply water to or take water from other system, approval of fluoridation process, progress and inspection reports, final and annual reports, summaries of data collected relating to permit issuance, and significant correspondence:


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


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

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, such as those contained in Section 756.2(c), 6NYCRR. It is recommended that local government environmental facilities store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.

subSerLegalCitation:
6 NYCRR 360.19(k) and 650 (creation), 10 NYCRR Chap. III (creation)


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

subSerNotes1:
Appraise these records for archival value. History files may contain valuable information to document system operation over a period of time. Contact the State Archives for additional advice in this area.


subSerDescription:
Containing summary information collected at periodic intervals and information on significant readings, events or observations:


subSerDescription:
Containing all or routine information collected at frequent intervals:

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

subSerNotes2:
Certain inspection logs of solid waste management facilities must be retained for 7 years after date of inspection. See item no. 463.

subSerLegalCitation:
6 NYCRR 360.19(k) and 650 (creation), 10 NYCRR Chap. III (creation), 6 NYCRR 650.7 (retention)


subSerDescription:
Summary records showing long-term trends and developments:


subSerDescription:
Records of original entry, containing significant information:


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

subSerNotes1:
Some of these records may need to be retained longer to meet both administrative needs and legal requirements, such as those contained in Section 756.2(c), 6NYCRR. Consult your attorney or counsel and the State Department of Environmental Conservation to determine which records, if any, must be retained longer than 1 year.


subSerDescription:
Intermediary records, compiled from records of original entry, but not showing long-term trends and developments:


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

subSerFinalJustification:
Possesses long-term research value in documenting environmental and public health emergencies.


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


subSerDescription:
Contingency or similar plans to deal with emergency situations:


subSerDescription:
Approval necessary for connection to public water supply system:

subSerRetention:
6 years after connection no longer in use, or after denial of application

subSerLegalCitation:
ENV § 15-1503 (creation), 6 NYCRR 601.6 (creation)


subSerDescription:
Waiver or variance from mandatory disinfection or other requirements:

subSerFinalJustification:
Satisfies the records retention requirements of 40 CFR § 141.33(d).


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

subSerRetention:
6 years after cessation of operation or denial of application

subSerLegalCitation:
PBH § 1100-a (creation), PBH § 225.9 (creation), GMU § 120-u (creation), 10 NYCRR 5-6.2 & 5-6.16 (creation), 10 NYCRR 5-1.24 (creation)


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

subSerFinalJustification:
Possesses long-term research value in documenting operation and safety of public water supplies.

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 40 CFR 141.31 (creation), 40 CFR 141.155 (creation)


subSerDescription:
Reports and studies covering routine information only, not covered by other item in this Schedule:


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

subSerNotes1:
Appraise the records for archival value. Reports and studies documenting various aspects of system operation may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies the records retention requirements of 40 CFR 141.33(a)

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 40 CFR 141.33(a) (retention)


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

subSerFinalJustification:
Satisfies the records retention requirements of 40 CFR 141.33(b) and 10 NYCRR 5-1.78(a)(3).

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 4 CFR 141,33(b) (retention)

subSerRevisionSummary:
Review item to see whether retention period needs to be adjusted per 10 NYCRR 5-1.77 & 5-1.78(3). Retention period was adjusted from 5 to 3 years and retention event ("after issuance of notice") matches language in regulations.


subSerDescription:
Report of microbiological sample results (copy retained by supplier of water):

subSerFinalJustification:
Satisfies the records retention requirements in 40 CFR 141.33(a) and 10 NYCRR 5-1.72(d)(1)

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 40 CFR 141.33(a) (retention), 10 NYCRR 5-1.72(d)(1) (retention)


subSerDescription:
Report of surface water systems, showing chemical and turbidity analyses, (copy retained by supplier of water):


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


subSerDescription:
Informational copies of operational and testing records for fire pump chlorinator, backflow prevention device, where State Department of Health or other local agency issues permit:


subSerDescription:
Report of bottled or bulk water distribution:


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

subSerFinalJustification:
Satisfies the records retention requirements of 10 NYCRR 5-1.72, 16 NYCRR 503.11, and 40 CFR 141.33(c) and 10 NYCRR 5-1.72(d)(5).

subSerLegalCitation:
10 NYCRR 5-1.72 (creation & retention), 16 NYCRR 503.11 (creation & retention), 40 CFR 141.33(c) (retention), 10 NYCRR 5-1.72(d)(5) (retention)


subSerDescription:
Interstate water carrier reports and other records:

subSerFinalJustification:
Satisfies the records retention requirements of 10 NYCRR 5-1.72 and 16 NYCRR 503.11.

subSerLegalCitation:
10 NYCRR 5-6.13(e)(3) (creation), 10 NYCRR 5-1.72 (creation & retention), 16 NYCRR 503.11 (creation & retention)


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

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. In some cases it may be necessary to maintain this detailed data as long as reports or studies based on the data are retained. It is recommended that local government environmental facilities store this data offline long enough to meet such requirements. Also, maintenance of a history file (see below) containing the most significant data elements may satisfy these administrative and legal needs.

subSerLegalCitation:
10 NYCRR 5-1.72 (creation), 6 NYCRR 700.2 (creation), 6 NYCRR 750-2.5 (creation), 40 CFR 130.4 (creation), 40 CFR 258.51 (creation)


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

subSerNotes1:
Appraise these records for archival value. History files may contain valuable information to document system operation over a period of time. In some cases it may be necessary to maintain this detailed data as long as reports or studies based on the data are retained. Contact the State Archives for additional advice in this area.


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

subSerFinalJustification:
Possess long-term research value in documenting human impact on the environment


subSerDescription:
Report and studies of short-term or transitory value, containing incomplete or otherwise invalid data, or drafts generated in the process of creating reports and studies covered by part "a," above:


subSerDescription:
Copy maintained by public water supplier:

subSerFinalJustification:
Possesses long-term research value in documenting local govenement emergency preparedness and response.


subSerDescription:
Approval necessary for connection to wastewater disposal system:


subSerDescription:
Permit for septic tank cleaner or industrial waste collectors to deliver waste to treatment facility:

subSerLegalCitation:
ENV § 27-0305 (creation), 6 NYCRR 364-4.1 (creation)


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

subSerRetention:
6 years after denial, renewal or expiration of permit

subSerFinalJustification:
Satisfies the records retention requirements in 6 NYCRR 750-2.5(c).

subSerLegalCitation:
ENV § 17-0803 (creation), 6 NYCRR 750-1 (creation); 6 NYCRR 750-2.5(c) (retention)


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

subSerNotes1:
Certain records covered by this subitem relating to significant industrial or other high-discharge waste generation and disposal may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.

subSerLegalCitation:
6 NYCRR 750-2.5 (creation), 6 NYCRR 750-2.8(a) (creation), 6 NYCRR 750-2.9 (creation)


subSerDescription:
Survey or similar records of significant industrial or other high-discharge waste generators in an area served by a specific wastewater treatment facility:


subSerDescription:
Annual and final reports (except annual report submitted to federal Environmental Protection Agency [EPA]), comprehensive wastewater study and report, special studies and detailed reports, including facility inspection reports, sanitary surveys, environmental facility monitoring, overall operational reports and reports of emergencies, containing summary or detailed information of long-term value:

subSerFinalJustification:
Possesses long-term research value in documenting documneting the environmental impact and public health significance of wastewater treatment facilities.


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

subSerNotes1:
As a rule this report does not contain as useful information as do the monthly discharge and operation reports, covered by part "d," below. However, facilities which include more information in this report may wish to retain these reports longer, even permanently, for administrative or research reasons. Contact the State Archives for additional information.

subSerFinalJustification:
Satisfies the record retention requirements in 40 CFR 503.17, 40 CFR 503.27, and 40 CFR 503.47.

subSerLegalCitation:
40 CFR 503.18 (creation), 40 CFR 503.28 (creation), 40 CFR 503.48 (creation), 40 CFR 503.17 (retention), 40 CFR 503.27 (retention), 40 CFR 503.47 (retention)


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


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

subSerNotes1:
Appraise the records for archival value. Data contained in these reports may be valuable for long-term planning and for historical and other research, warranting permanent retention of these records. Contact the State Archives for additional advice.


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


subSerDescription:
Annual summary reports, final reports, special studies and detailed reports, including facility inspection reports, environmental facility monitoring, overall operational reports and reports of emergencies, water quality records, containing summary or detailed information of long-term value:

subSerFinalJustification:
Possesses long-term research value in documenting documneting the environmental impact and public health significance of solid waste facilties.


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

subSerNotes1:
Appraise the records for archival value. Reports documenting various aspects of system operation may be valuable for long-term planning and for historical and other research. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies the records retention requirements in 6 NYCRR 360.19(k).

subSerLegalCitation:
6 NYCRR 360.19(k) (creation and retention)


subSerDescription:
Detailed tonnage or similar reports (including summary reports or other records generated from individual load delivery records) which contain significant information, for solid waste management facility:


subSerDescription:
Monthly discharge monitoring and operation reports, submitted to New York State Department of Environmental Conservation in conjunction with SPDES permit requirements, for use of water as coolant, including thermal water temperature data:

subSerFinalJustification:
Satisfies the records retention requirements in 6 NYCRR 750-2.5(c)(1).

subSerLegalCitation:
6 NYCRR 750-1.13 (creation), 6 NYCRR 750-2.5 (creation), 6 NYCRR 750-2.5(c)(1) (retention)


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

subSerFinalJustification:
Do we need to increase this retention period?

subSerLegalCitation:
6 NYCRR 360.19(c)(4) (creation), 6 NYCRR 360.19(k)(2) (retention)


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

subSerFinalJustification:
Possesses long-term research value in documenting the environmental impact and disposal of hazardous waste.


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

subSerNotes1:
Certain records covered by part "b" may warrant longer retention for legal and administrative reasons, because of the toxic nature of materials collected and transported for disposition at another site. Contact your attorney or counsel to determine if longer retention of these records is necessary.

subSerFinalJustification:
Satisfies the records retention requirements in 6 NYCRR 373-2.5(b).

subSerLegalCitation:
6 NYCRR 373-2.5(b) (creation and retention)


subSerDescription:
Contract for removal of materials collected, along with related bids (successful or unsuccessful) and performance bond or certificate of insurance:

subSerLegalCitation:
6 NYCRR 373-2.8 (creation), 6 NYCRR 373-2.8 (creation), CVP § 213 (retention)


subSerDescription:
Individual load delivery records for residential waste:

subSerNotes1:
The individual load delivery records may be disposed of after 1 year, providing the summary records created from them contain sufficient information on the date of disposal, name of the generator, transporter and disposer of the waste, types and quantity of waste disposed. To ascertain if the summary records suffice to meet requirements of the State Department of Environmental Conservation, contact DEC's Division of Materials Management at (518) 402-8678.


subSerDescription:
Individual load delivery records for other than residential waste:


subSerDescription:
Summary reports and other records created from individual load delivery records:


subSerDescription:
Automated "scalehouse" data file, containing information on type, weight and source of waste collected and disposed of, as well as billing information:

subSerRetention:
10 years after information is superseded or invalid


subSerDescription:
For solid waste management facility other than landfill:


subSerDescription:
Detailed records of waste byproducts generated, including laboratory test results, leaching potential test report and individual load transfer records:


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

subSerNotes1:
Certain records covered by parts "a" and "b" relating to ash, leachate other waste byproduct generated and/or disposed of by solid waste management facility may warrant longer, if not permanent, retention, for administrative or research reasons. Contact the State Archives for additional information.


subSerDescription:
All records, except periodic routine inspection reports, routine notes, memoranda, correspondence and detailed data collected as part of project:

subSerFinalJustification:
Possesses long-term research value in documenting major capital projects, as well as the environmental impact of land use.


subSerDescription:
Routine notes, memoranda, correspondence and detailed data collected as part of project:


subSerFinalJustification:
Satisfies records retention requirements in 6 NYCRR 360.19(k).

subSerLegalCitation:
6 NYCRR 363-9 (creation), 6 NYCRR 360.19(k) (retention)


subSerDescription:
Environmental impact statements and related reports:

subSerFinalJustification:
Possesses long-term research value in documenting the environmental impact of proposed projects and activities.

subSerLegalCitation:
ENV § 8-0109 (creation), 6 NYCRR 617.9 (creation)


subSerDescription:
Background materials and supporting documentation used in preparing statements and reports:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. In the case of environmental impact statements prepared for major projects, supporting documentation may be very valuable, and the State Archives suggests local governments consider retaining these records permanently. Contact the State Archives for additional advice in this area.


subSerFinalJustification:
Possesses long-term research value in documenting local environmental conserviation efforts.


subSerDescription:
Routine analysis of water at pool or beach (non-potable water testing):

subSerRetention:
0 after posted to summary record, or 5 years if not posted

subSerLegalCitation:
10 NYCRR §55-2.4(a) (creation and retention)

subSerRevisionSummary:
Increased retention period from 3 to 5 years to satisfy requirements under 10 NYCRR 55-2.4(a) and added "non-potable water testing to description.


subSerDescription:
All other environmental health test results:

subSerRevisionSummary:
Increased retention period from 3 to 5 years to satisfy requirements under 10 NYCRR 55-2.4(a).


subSerDescription:
Sampling data and other test results maintained by laboratory of public water supply facility, created pursuant to Section 5-1.49, 10NYCRR:

subSerFinalJustification:
Satisfies 12-year retention requirement in 10 NYCRR §5-1.48(j)


subSerDescription:
Local health agency copy of any environmental analysis received from laboratory:


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

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

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

subSerLegalCitation:
10 NYCRR §16.102 (creation), CPLR §214 (retention)


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

subSerFinalJustification:
Satisfies two-year retention requirement in 10 NYCRR §16.50

subSerLegalCitation:
10 NYCRR §16.50 (creation and retention)


subSerFinalJustification:
Satisfies three-year retention requirement in 10 NYCRR §16.25(b)(1)

subSerLegalCitation:
10 NYCRR §16.25(a) (creation), 10 NYCRR §16.25(b)(1) (retention)


subSerFinalJustification:
Satisfies six-year retention requirement in 10 NYCRR §16.25(b)(2)

subSerLegalCitation:
10 NYCRR §16.25(a) (creation), 10 NYCRR §16.25(b)(2) (retention)


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

subSerRetention:
90 years after individual's date of birth

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. Changed retention event to date of birth.


subSerDescription:
Annual or other summary occupational dose records:

subSerFinalJustification:
Satisfies long-term administrative needs by documenting the exposure of employees to doses of radiation, and to have records available in case related medical issues arise later in life


subSerRetention:
0 after annual or other summary record containing this information is produced


subSerLegalCitation:
12 NYCRR §38.18(e)(4) (creation), 10 NYCRR §16.6(e) (creation)


subSerLegalCitation:
12 NYCRR §38.28(e) (creation), 12 NYCRR §38.29(d) (creation), 10 NYCRR §16.6(f) (creation)


subSerDescription:
Regulatory inspection and audit records, including master summary record and "index card":

subSerRetention:
6 years after equipment no longer in use

subSerLegalCitation:
10 NYCRR §16.10(a)(1) (creation), 10 NYCRR §16.13(e) (creation)


subSerDescription:
Equipment accuracy testing records, including surveys, calibrations, measurements, and quality control tests:

subSerFinalJustification:
Satisfies three-year retention requirement in 10 NYCRR §16.10(a)(1)(i)


subSerDescription:
Records concerning theft or loss of radiation source, excessive release of radiation, or excessive exposure of individual to radiation, including documentation of notification:

subSerFinalJustification:
Possesses long-term research value in documenting the location of radiation releases, which may have significant impacts on human health and the environment. Records also valuable for maintaining a permanent record of possible stolen or lost radioactive materials.


subSerFinalJustification:
Possesses long-term research value in documenting the location of radiation burial sites, which may have significant impacts on human health and the environment.

subSerLegalCitation:
6 NYCRR §380-9.1 (creation), 6 NYCRR §380-8.5 (creation)


subSerDescription:
Records of authorized transfer or receipt, or issue and return of radiation source or radioactive materials, or disposition by incineration or release into sanitary sewer system:

subSerFinalJustification:
Satisfies five-year retention requirement for litigation involving criminal negligence (CPL §30.10)

subSerLegalCitation:
CPL §30.10 (retention), 6 NYCRR §380-4.1 (creation), 6 NYCRR §380-9.1 (creation), 10 NYCRR §16.16 (creation), 10 NYCRR §16.111 (creation)


subSerDescription:
Records documenting provisions of program:

subSerFinalJustification:
Satisfies retention requirement in 10 NYCRR §16.14(b)(2) that stipulates records are to be kept until termination of license or registration


subSerDescription:
Audits and other reviews of program content and implementation:

subSerFinalJustification:
Satisfies three-year retention requirement in 10 NYCRR §16.14(b)(2)


subSerDescription:
Records documenting specific instructions given to workers:

subSerFinalJustification:
Satisfies three-year retention requirement in 10 NYCRR §16.13(c)(7)


subSerRetention:
0 after youngest person on record attains age 21

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


subSerDescription:
Dental referral card, notifying clinic of work done by private dentist:


subSerDescription:
Individual dental treatment summary record:

subSerRetention:
6 years after dental work completed, or 3 years after individual attains age 18, whichever is longer

subSerFinalJustification:
Satisfies six-year retention requirement in EDN §6530.32 and 10 NYCRR 405.10(a)(4) & 405.20, as well as statute of limitations for litigation involving a minor (CPLR §208)

subSerLegalCitation:
EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation)


subSerDescription:
Clinic service report, including but not limited to school health service report, and report of poisoning case, except lead poisoning:


subSerDescription:
Individual newborn infant metabolic defects screening report:


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

subSerLegalCitation:
10 NYCRR §67-1.2 and 1.3 (creation), EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation)


subSerDescription:
Positive results of screening, when duplicated in case record:


subSerDescription:
Negative results of screening, when posted to summary record:


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

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

subSerFinalJustification:
Satisfies records retention requirement in 10 NYCRR 405.10(a)(4).

subSerLegalCitation:
10 NYCRR, Section 405.10(a)(4) (retention)

subSerRevisionSummary:
Examine retention period rationale for lead poisoning reports and screening results and master summary record (index, log, register or similar record) of lead poisoning 

cases and investigations. There is no appraisal report that covers these records. Warren's form suggests that these records would have historical or research value i nproperly document[ing] treatment of individuals for this condition. Lead poisoning has become a serious health concern in urban America, especially in poor neighborhoods." I assume with a negative result (501d), the risk of later litigation is lowered. But what if a former tenant, who was a minor, later litigates at the age of 22 and claims that he was exposed to lead at a particular apartment? The landlord will not have access to those records to prove that the child tenant was not poisoned while residing at his apartment building. It seems that these records should be kept per 10 NYCRR, Section 405.10(a)(4) which allows for CPLR 208 [legal actions can be brought 3 years after age 18]. Of course 10 NYCRR also states that the retention can be 6 years from date of discharge too. Neither of these two retention periods appear to be adequately covered by this item. The master summary record should absolutely be left as permanent, because lead poisining from a mother can pass to a fetus, even if the mother was exposed to lead decades before. So even aside from research value, there may be real medical value in having a long-term record of lead exposure.


subSerFinalJustification:
Possesses long-term research value by providing the basis for research or any other long-term needs for information on lead poisoning, as well as on screening and treatment programs.

subSerLegalCitation:
PBH §1370-e (creation); 10 NYCRR Part 67-3 (creation)

subSerRevisionSummary:
Proposed no changes to retention period, but appraised records to ensure permanent retention was approprirate. Appraisal report determined that it was.


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

subSerLegalCitation:
PBH §2401.1 (creation), EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation)


subSerRetention:
2 years after individual dies or 90 years after individual's date of birth

subSerFinalJustification:
Satisfies long-term administrative needs by providing information that can help track cancer cases locally.


subSerFinalJustification:
Satisfies long-term administrative needs by ensuring that a record of tuberculosis cases exist during the lifetime of infected individuals

subSerLegalCitation:
PBH §2225 (creation), PBH §2202.1(a) (creation), 10 NYCRR §43-1.2 (creation)


subSerDescription:
When individual's diagnosis has been changed to nontubercular:

subSerLegalCitation:
PBH §2225 (creation), PBH §2202.1(a) (creation),10 NYCRR §43-1.2 (creation)


subSerFinalJustification:
Satisfies long-term administrative needs by ensuring a record exists in case the disease reoccurs after a period of dormancy


subSerLegalCitation:
EDN §6530.32 (retention); CPLR §208 (retention); 10 NYCRR 405.10(a)(4) & 405.20 (retention, creation), PBH §2225 (creation), PBH §2202.1(a) (creation),10 NYCRR §43-1.2 (creation)


subSerDescription:
Source or intermediary documents used in reporting, tracking or posting information on tubercular cases:

subSerLegalCitation:
PBH §2202.1(a) (creation),10 NYCRR §43-1.2 (creation)


subSerDescription:
Official record of distribution and usage:

subSerFinalJustification:
Satisfies long-term administrative needs by ensuring that vaccines are available in proper quantity and to document their usage so that vaccinations can be planned for the future.


subSerDescription:
Statistical or similar record of vaccines administered:


subSerDescription:
Data created or modified specifically for creation of comprehensive district education (or equivalent) plan or copy of data submitted to the State Education Department (SED):

subSerNotes1:
This data may come from a student information system (see item no. 953 in the Student Records section) and may also relate to data collected relative to Local Education Agency Programs (see item no. 979 in the Supplemental Education Services section). If identical data serves more than one function, the longest applicable minimum retention period must be followed.


subSerDescription:
Background materials and supporting documentation:

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Supporting documentation may be very valuable, and the State Archives suggests local governments consider retaining these records permanently. Contact the State Archives for additional advice in this area.


subSerDescription:
Fishery surveys, including detailed collection records:

subSerFinalJustification:
Possesses long-term research value in documenting the planning and operating of fish stocking programs, as well as the status of fish in New York State's waterways.


subSerLegalCitation:
ENV § 13-0105 (creation), ENV § 11-0507 (creation)


subSerDescription:
Other fishery records, including notes and routine correspondence:


subSerDescription:
Final and interim reports and studies, maps, photographs, significant correspondence and essential data collected as part of study:

subSerFinalJustification:
Possesses long-term research value in documenting status of local waterways, the protection of natural resources, and the human impact on the environment.

subSerLegalCitation:
ENV § 15-2303 (creation), CNT § 299-n (creation)


subSerDescription:
Notes, drafts, routine correspondence and non-essential data:


subSerDescription:
Flood insurance maps, including all updates:

subSerFinalJustification:
Possess long-term research value in documenting local flood hazard information.

subSerLegalCitation:
CNT § 223(2) (creation), CNT § 280-c (creation), CNT § 280-d (creation), 6 NYCRR 505.16 (creation), SWC § 5 (creation)


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

subSerNotes1:
Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. These records may be valuable for areas in the state where beach erosion and flood control have a major impact. Contact the State Archives for additional advice in this area.


subSerDescription:
Audit filed pursuant to Section 35, General Municipal Law, conducted by New York State Comptroller's Office or by New York City Comptroller or by an outside auditing firm:

subSerFinalJustification:
Possesses long term research, fiscal and legal value.


subSerFinalJustification:
Satisfies short term administrative and fiscal needs.


subSerDescription:
Internal audits, conducted by local government officials:


subSerFinalJustification:
Possesses long term research and legal value in documenting individual investments and research into long term management of funds and documenting local government financing.


subSerDescription:
Other records, including those relating to bond attorneys, preparation of the prospectus, prospectus distribution to bond buyers, bond printing, list of prospective or actual buyers, bond printing bids, bond ratings, and proof of publication of notice of estoppel:

subSerFinalJustification:
Satisfies statute of limitations for litigation involving a bond.


subSerDescription:
Official copy when not included in minutes:

subSerFinalJustification:
Possesses long term reference value documenting annual budget of local governments.


subSerDescription:
Copy of town, city or other budget used in determining tax levy:


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


subSerDescription:
Customer's individual account, including automatic payment authorization and other ACH records:


subSerDescription:
Records used to determine billing and charges including "flat rate" computation record and copies of bills and charge slips:


subSerFinalJustification:
Satsifies short term administrative needs.


subSerDescription:
Master summary record or index of grants, awards or gifts used to track awarding, progress, or payments:

subSerFinalJustification:
Possesses long term research value in documenting gifts and grants awarded by government.


subSerDescription:
Detailed records of grants, awards and gifts (awarded or not), excluding master summary record:


subSerDescription:
Copy of receipt issued for payment of estate or transfer tax, providing receipt of tax payment is recorded in accounting of estate:


subSerDescription:
All other estate settlement fiscal records:

subSerFinalJustification:
Satisfies long term administrative and fiscal value


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

subSerFinalJustification:
Satsifies long term administrative and fiscal needs.


subSerDescription:
Periodic payroll, including detailed information necessary for salary verification for retirement and social security purposes, when no year-end payroll is maintained or year-end payroll does not contain this required detailed information:

subSerFinalJustification:
Satisfies long term administrative and fiscal needs.


subSerDescription:
Periodic payroll, not including detailed information necessary for salary verification for retirement and social security purposes:

subSerFinalJustification:
Satisfies 6 year records retention requirement in Labor Law §195


subSerDescription:
Warrant authorizing payment of salaries based on a specific payroll, if maintained separate from payroll itself:


subSerRetention:
0 after warrant authorizing payment of salaries is signed


subSerDescription:
County's information copy of municipal, school, fire or special district payroll:

subSerFinalJustification:
Satisifes short term administrative needs.


subSerDescription:
When needed for audit or other fiscal purposes:


subSerDescription:
When not posted to periodic cumulative time summary record:


subSerDescription:
When posted to periodic cumulative time summary record:


subSerDescription:
When employment was terminated prior to satisfaction:


subSerDescription:
When satisfied, cancelled, or withdrawn:

subSerRetention:
5 years after satisfaction or withdrawal

subSerFinalJustification:
Satisfies statute of limitations for litigation involving collection of non-payment of money and meets 2 year records retention requirement in PEP §3-A.

subSerLegalCitation:
PEP §3-A (retention), CPLR §214 (retention)


subSerFinalJustification:
Possesses long term research value in documenting purposes of overall fiscal function in local government or of grant or special projects.


subSerDescription:
Cash bail records, including copy of court order fixing bail, form recording information on principal involved and person posting bail, voucher, receipt and court order directing refunding or forfeiting bail or transferring bail to superior court:


subSerDescription:
Log or listing of cash bail monies received, held and/or paid out by county fiscal officer or sheriff:


subSerDescription:
Records that document significant aspects of the history of the community and its citizens:

subSerFinalJustification:
Possesses long-term research value by documenting the history of the community and its citizens. These records include primary source documents not found elsewhere.


subSerDescription:
Records that are collected and maintained for reference purposes or which do not document significant aspects of the history of the community and its citizens:

subSerNotes1:
This item includes non-government manuscript records collected by the official local government historian. Local government records collected by the historian are covered by other items on this Schedule. Published materials collected by the historian are not considered to be public records.


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

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.


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

subSerNotes1:
Agencies may wish to retain records covered by parts "a" and "b" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints. For records of affirmative action cases involving local government employees, see item no. 398c in the Personnel/Civil Service section, Personnel subsection.


subSerRetention:
18 years after injury or illness, but not less than 8 years after last payment

subSerFinalJustification:
Satisfies 18 year records retention requirement in WKC §110.


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

subSerNotes1:
The employee injury record must be retained for 18 years after date of accident or injury, as required by Section 110, Workers' Compensation Law, even for disallowed claims. See item no. 660 in the Personnel/Civil Service section.

subSerRetention:
7 years after injury or illness except the employee injury record must be retained for 18 years after date of accident or injury

subSerFinalJustification:
Satisfies 7 year records retention requirement in WKC §123.


subSerFinalJustification:
Possesses long-term research value in documenting the certification of juvenile detention facilities. Also possesses long-term legal and administrative value as records are consulted for each renewal application throughout the facility's existence.

subSerLegalCitation:
EXC §503 (creation); 9 NYCRR 180-1.4 (creation)
9 NYCRR 180-1.4 (creation)


subSerLegalCitation:
EXC §503 (creation); 9 NYCRR 180-1.4 (creation)


subSerDescription:
Operating certificate revocation or suspension records, including but not limited to hearing proceedings and operating certificate determinations:

subSerLegalCitation:
EXC §503 (creation); 9 NYCRR 180-1.18 (creation)


subSerDescription:
Dietary services studies, meal counts and related records:


subSerFinalJustification:
Satisfies 1 year records retention requirement in 9 NYCRR 180-1.9(c)(17).

subSerLegalCitation:
9 NYCRR 180-1.9(c)(17) (creation, retention)


subSerFinalJustification:
Satisfies long term administrative needs


subSerFinalJustification:
Satisfies short term administrative needs


subSerDescription:
Relating to other than routine services or activities:

subSerRetention:
6 years after final disposition of matter


subSerDescription:
Relating to routine services or activities:

subSerRetention:
1 year after final disposition of matter


subSerDescription:
Records documenting the establishment, extension, alteration, consolidation or dissolution of district, including but not limited to petition, records of public hearing, correspondence with New York state agencies, maps, surveys, special reports and studies, and photographs:


subSerDescription:
Background materials and supporting documentation, including but not limited to periodic reports, routine correspondence, memoranda and copies of district budgets:


subSerDescription:
Basic records, including but not limited to school district trustees' minutes; school commissioners' reports; school district "record books"; records of district formation, alteration or consolidation; teacher hiring and salary records; school fund and other accounting ledgers; attendance records; school censuses; district tax rolls or lists; school library reports and book lists; certificates of apportionment; and annual and special reports:


subSerDescription:
Summary record listing businesses, eligibility criteria and official government policy statement:


subSerDescription:
Detailed application/questionnaire/response completed by business:

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-, women-, or disadvantaged-owned businesses operating in the community.

subSerRetention:
5 years after date of most recent entry in record


subSerDescription:
Directory of state-approved minority-, women-, and disadvantaged-owned businesses, maintained by State Department of Economic Development or New York State Unified Certification Program:

subSerRevisionSummary:
The federal disadvantaged business enterprise (DBE) program (49 CFR Part 26) is similar to the state’s Minority and Women-Owned Business Enterprises (MWBEs) program. Under both, contractors apply for certification to designated agency(ies) who determine their eligibility and publish directories of applicable businesses. In this case, the state DOT is the state point of contact and the state certifying member of the DBE program. Thus, it looks like if we modify the MWBE item (item 282) in the Miscellaneous section to include DBE, it should effectively cover any DBE program related records that a LG may maintain. The NYSUCP is responsible for DBE certification in the state of New York and provides firms with "one-stop" shopping.


subSerDescription:
Other records, including job quotes, bid lists, referrals, credit and character references and affidavits, but not including summary record, detailed application/questionnaire/response, eligibility criteria and official government policy statement, and state-supplied directory of businesses:


subSerDescription:
When trust fund or endowment is involved:

subSerLegalCitation:
8 NYCRR §602.6 (community college, creation)


subSerDescription:
For gift of work of art, historical or other artifact or historical manuscript:


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


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

subSerFinalJustification:
Satisfies 22 month retention requirement in 9 NYCRR 6213.2


subSerDescription:
Participating agency's copies of transmittal forms, used to accompany copies of completed voter registration applications or change of address forms, submitted to county board of elections:

subSerNotes1:
This item only covers records maintained by participating agencies, not by county boards of elections.


subSerDescription:
When permit or other approval must be granted by local government involved:

subSerRetention:
Retain as long as related building, land use, planning, zoning, or environmental permit or approval


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


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 18NYCRR 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:

subSerRetention:
6 years or 6 years after superseded or obsolete, whichever is longer


subSerDescription:
Applications from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program:


subSerDescription:
Brochures, exhibit catalogs, installation photographs and slides, and inventory lists:

subSerFinalJustification:
Possesses long-term research value in documenting how exhibits were created and executed, and for planning future exhibits.


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.

subSerFinalJustification:
Satisfies statute of limitations for litigation involving a contract (CPLR §213). Also satisfies short-term administrative needs for reference in developing future exhibits.


subSerDescription:
Routine records, including but not limited to notes and internal memoranda:


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


subSerDescription:
Personnel case file materials, except summary information record and teachers' records, 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, and correspondence:

subSerNotes1:
Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 688.

subSerNotes2:
Records relating to the employee's declaration of intention to decline membership in the retirement system are covered by item no. 645 in the Personnel section.

subSerRetention:
6 years after termination of employment or appointment

subSerFinalJustification:
Satisfies the statute of limitations for fraud.

subSerRevisionSummary:
To part b. add "or appointment" to end of retention period. Consider adding an advisory note to personnel file item to ensure that sufficient information is retained long enough for employees to reclaim service time for retirement purposes, especially if payroll records don't specify the specific positions held by the individual. If note is added, use language already used in payroll section. Add "retirement application" and "results of criminal background checks" to description of personnel records part b. Also add note that cross references declination of retirement system membership records in Fiscal section. Exclude teachers.


subSerDescription:
Annual, long-term or special (narrative or statistical) reports, goals and achievements:

subSerLegalCitation:
Executive Law, Article 15-A, § 315.3 (creation)


subSerDescription:
Periodic reports, statistics and other records used in compiling annual, long-term or special (narrative or statistical) reports, goals and achievements:

subSerFinalJustification:
Satisfies 3-year records retention 29 CFR 1602.39

subSerLegalCitation:
Executive Law, Article 15-A, § 315.3 (creation), 29 CFR 1602.39 (retention)

subSerRevisionSummary:
Verify that existing retention periods for personnel records in the ED-1 comply with those indicated in the National School Board Association document and add any additional items as necessary (see analysis document 2011.08.01). Item 206b will need to be increased to 3 years.


subSerDescription:
Affirmative action and related complaint investigation records:

subSerNotes1:
Agencies may wish to retain records covered by part "c" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.

subSerRetention:
4 years after date of final determination

subSerFinalJustification:
Satisfies 4-year records retention requirement in 28 USC 1658. Federal regulations (29 CFR 1602.31) require the retention of records for at least 2 years from the date of the personnel action to which they relate. Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years

subSerLegalCitation:
Executive Law, Article 15-A, § 316 (creation), 28 USC 1658 (retention)

subSerRevisionSummary:
Extend retention period for employment applications and affirmative action records to 4 years. A 2004 Supreme Court decision (Jones v. Donnelley) suggests that a 4 year period applies if litigation is based on allegations of racial discrimination under U.S. Civil Rights Law. Basically, that law and many other federal laws do not have statutes of limitation. Past Supreme Court rulings held that in such situations, actions must be commenced within the most applicable period of limitation found in the laws of the state where the legal action occurred. This resulted in some unfairness, because different states have different statutes of limitations, which would then apply to the same types of cases based on similar violations of U.S. laws. To partially remedy this, Congress passed a law in 1990 (28 USC 1658) stating that a 4 year period of limitation would apply to any future laws enacted by Congress that failed to state a specific period of limitation for commencing civil actions. For laws enacted prior to 1990, the old rule of using the various states' statutes of limitations would continue to apply. In the 2004 case regarding racial discrimination by an Illinois company, one party claimed that Illinois' 2 year statute of limitation should apply, because U.S. Civil Rights law (42 USC 1981) predates 1990. However, the Court ruled that the 4 year period applies, because even though the law predates 1990, it had been amended by Congress since 1990. (see also Barclay v. American Home Products?)


subSerDescription:
Initial application and any subsequent updates and related records:

subSerRetention:
6 years after termination of employee's, dependent survivor's, or beneficiary’s coverage, whichever is later

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

subSerRevisionSummary:
Consider increasing retention period for part a of "health and life insurance records" to 6 years from 3 years to be consistent with State General Schedule item 90012. Clarify part a of item 372 to cover everything not specified in the other sub-sections, including the application. We should clarify and make part a consistent with the sub-items. Looking at our own HR resources page should give an idea of what types of documents to expect: http://atwork.nysed.gov/hr/EmpRes/HealthInsurance/healthhome.htm

subSerRevisionRecdFrom:
From Warren's files: according to Bob McDonnell, "when we developed the item for health insurance records in the late 80s, we had a short term (2 year) retention. In the mid-1990s, we revised the item after consultation with the Employee Benefits unit of DCS on the basis that Civil Service no longer retained copies of agency health benefit records for active employees and that such agency records might be needed for litigation purposes, based on CPLR 213 with its 6-year limitation for bringing actions. DCS has also scheduled its equivalent records for health insurance benefits provided to retirees for 6 year retention based on CPLR 213." Warren contacted Jeff Braude, DCS RMO, to inquire about the applicability of this retention period on LG records. Jeff personnally agreed, but suggested that LGs be surveyed to learn more about their current practices and the insurance carriers they utilize. He has found that LGs use a variety of insurance carriers, some of which do not participate in the NYS Health Insurance Plan and LGs and their insurance carriers may have different retention policies than DCS.


subSerDescription:
Claim for benefits (copy, where original is submitted directly by employee):


subSerDescription:
Insurance coverage reports, investment statements, and account balances:


subSerDescription:
Declination statement filed by employee, including copy of written notification of options provided employee by local government:

subSerNotes1:
Local governments may wish to retain these records that relate to retirement for the life of the employee. State legislation in effect between 1993 and 1996 allowed for retroactive retirement system membership, for employees who were not previously offered membership, and the possibility exists that similar legislation may be passed into law in the future. If this occurs, these declarations of non-membership may be valuable for local governments to document intentions of present or former employees.

subSerRevisionSummary:
Determine best version of note for declination of retirement membership item. Note is similar for CO-2, MI-1, and MU-1, but different for ED-1. 20 years recommendation (ED-1) may be too short a period for individuals who need documentation from 30 or 40 years earlier. But "life of employee" may be impractical for LGs that cannot track such events. Suggest using date of execution as possible event to start the clock, also suggest 55 years given general retirement age and if youngest employee is 18 at time of declining participation. See also items re employee declaration rejecting social security. Retention is age/death related which might also be unrealistic.


subSerDescription:
Claim filed by employee, when claim is approved:


subSerDescription:
Claim filed by employee, when claim is disqualified:


subSerFinalJustification:
Possesses long-term research value in documenting labor-management relations


subSerDescription:
Meeting agenda, correspondence, and other records:


subSerDescription:
All documentation in record, except routine correspondence, routine memoranda and drafts:

subSerFinalJustification:
Possesses long-term research value in documenting salaray demands, benefits, working conditions, etc.


subSerDescription:
Routine correspondence, routine memoranda and drafts:


subSerDescription:
All documentation in record, except detailed listings of all employees present at various events and other records lacking substantive informational value:

subSerFinalJustification:
Possesses long-term research value in documenting white collar and clerical workers and working conditions at government offices


subSerDescription:
Detailed listings of all employees present at various events, and other records lacking substantive informational value:


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

subSerNotes1:
Environmental monitoring background data may be destroyed after 1 year provided that sampling results, methodology, a description of the analytical method used, and a summary of other background data relevant to the interpretation of results are retained for at least 30 years, as provided in 29CFR 1910.1020 (d-1) (ii-A).

subSerFinalJustification:
Satisfies 30 year records retention requirement in 9 CFR, § 1910.1020(d)(1)(ii)


subSerDescription:
Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substances:

subSerFinalJustification:
Satisfies 40 year records retention requirement in Labor Law, Article 28 § 879


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

subSerNotes1:
If material safety data sheets or fact sheets are used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts "a" or "b".

subSerRetention:
3 years after substance no longer present at workplace


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

subSerFinalJustification:
Satisfies records retention requirement in 12 NYCRR, Part 820.4(g); satisfies short-term administrative needs


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

subSerNotes1:
This retention may be difficult to calculate in instances where a number of employees have attended the same training. Local officials may wish to retain these summary training records for 60 years or another period sufficient to ensure that all concerned employees have separated from service.

subSerRetention:
3 years after separation from service of all employees involved


subSerDescription:
Policy statements and procedures issued by local government relative to dealing with toxic substances:

subSerFinalJustification:
Possesses long-term research value in documenting policies and procedures


subSerDescription:
First aid records of one-time treatment and subsequent observation of minor illnesses and injuries, as defined in 29 CFR 1910.1020 (d-1) (i-B), if made onsite by a non-physician and maintained separately from the employee medical records:

subSerRetention:
3 years after completion of treatment and subsequent observation


subSerDescription:
Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked one year or longer:

subSerRetention:
30 years after termination of employment

subSerFinalJustification:
Satisfies 30 year records retention requirement in 29 CFR 1910.1020(d)(1)(i)


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

subSerNotes1:
If copies are not given to the employee upon termination of employment, the retention specified in part "b," above, must be followed.


subSerDescription:
Official copy of all policies and procedures, including documentation of the random selection process:

subSerFinalJustification:
Possesses long-term research value in documenting policies and procedures for specimen collection and testing


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

subSerFinalJustification:
Satisfies 5 year records retention requirement in 49 CFR § 382.401(b)(1)


subSerDescription:
Other records, including periodic reports and statistics and collection logbooks:

subSerFinalJustification:
Satisfies 2 year records retention requirement in 49 CFR § 382.401(b)(2)


subSerDescription:
Verified positive controlled substance test results or alcohol test results indicating a breath or blood alcohol concentration equal to or greater than 0.02, documentation that individual employee's or job applicant’s test was conducted and specimen handled properly, records of dispute of test results by driver, justification for conducting other than random test, records of compliance with Substance Abuse Professional's (SAP's) recommendations, correspondence and related records:


subSerDescription:
Negative or canceled controlled substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02:

subSerFinalJustification:
Satisfies 1 year records retention requirement in 49 CFR § 382.401(b)(3)


subSerDescription:
Records relating to an individual employee's or job applicant's refusal to take alcohol or substance abuse test:


subSerDescription:
Official copy of course syllabus or any local government produced training or advisory publication or videotape:


subSerDescription:
Other training records including lists of attendees, copies of instructors' course or class notes, documentation of instructors' training and proof that employees have received required reading materials:


subSerDescription:
Log of certifications granted or test results:

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


subSerRetention:
1 year after application disapproved or certification expires


subSerDescription:
Program (including course and seminar) and literature files:

subSerRetention:
1 year after program no longer offered or literature superseded or otherwise obsolete


subSerRetention:
3 years after date of most recent entry in record


subSerDescription:
If record contains detailed information about the position and persons who occupied it:

subSerFinalJustification:
Contains summary personnel information valuable for future research.


subSerDescription:
If record only provides lists of names of employees:

subSerNotes1:
The official listing or roster of all local government officials or employees, covered by item no. 656, must be retained permanently.

subSerFinalJustification:
Records have short-term administrative value as records do not include detailed information.


subSerDescription:
Copy held by office with official civil service function:

subSerRetention:
0 after termination of employment, but not less than 6 years

subSerFinalJustification:
Records have short-term administrative and legal value.


subSerDescription:
Copy retained by school or district or fiscal office, where official civil service copy is maintained by other local government having the official civil service function:

subSerFinalJustification:
Records are required for audit purposes.


subSerNotes1:
Reports of personnel changes may also be found in employee personnel records. When filed in an employee personnel record, such copies are subject to lengthier retention requirements. See item no. 636.


subSerDescription:
When duties of position are described in detail:

subSerFinalJustification:
Records with detailed information are valuable for future research and are retained permanently to document local government staffing.


subSerDescription:
When duties of position are not described in detail:

subSerFinalJustification:
Records have short-term administrative and legal needs.


subSerDescription:
Official eligible list and certification of eligible list:

subSerRetention:
20 years after expiration of eligible list

subSerFinalJustification:
Records have long-term administrative value.


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

subSerRetention:
4 years after expiration of eligible list

subSerFinalJustification:
Satisfies four year records retention requirement in 28 USC 1658. Federal regulations (29 CFR 1602.31) require the retention of records for at least 2 years from the date of the personnel action to which they relate. Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years


subSerDescription:
Request for certification of eligible list:

subSerRetention:
1 year after expiration of eligible list, but not less than 4 years


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


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

subSerRetention:
6 months after expiration of eligible list, but not less than 4 years


subSerDescription:
Military record of applicant, when applicant was not hired:


subSerDescription:
Supplemental documentation filed in conjunction with application, including but not limited to student loan statement, credentials and copies of transcripts:

subSerFinalJustification:
Records have limited administrative value. Records are not required by law and can be disposed of at any time. Satisfies long-term administrative needs.


subSerDescription:
Civil service examination and announcement (official copy held by office with official civil service function):

subSerFinalJustification:
Records have historical value and permanent retention is required to document the examination proces.


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

subSerFinalJustification:
Records have limited administrative value.


subSerDescription:
Candidate identification or admission card:


subSerDescription:
Examination preparation, administration, and rating records:

subSerFinalJustification:
Records have limited administratve value and after 5 years most of the material has lost value.


subSerNotes1:
Veteran credit records of individuals not hired are covered under item no. 692f.

subSerFinalJustification:
Records are needed for an extended period to document use of veterans credit.

subSerRevisionSummary:
Cross reference veteran applicants records who are not hired or aren't eligible (e.g., MI-1 item 336f) with civil service examination records (e.g., MI-1 item 339e). Add note to latter item.


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

subSerFinalJustification:
Records have long-term adminstrative and legal value.


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


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


subSerDescription:
Notification of examination results mailed to candidate:


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


subSerDescription:
Appointment review records, documenting review of applicant qualifications for non-competitive, temporary or other positions not requiring examinations:


subSerDescription:
Presentence or predisposition investigation reports; quarterly supervision reports, including initial supervision plan; and termination reports, except for adults and juveniles whose cases were adjusted or diverted by the courts in lieu of adjudication:


subSerDescription:
All case record material, other than presentence investigation reports or predisposition reports, quarterly supervisory reports, and termination reports:


subSerDescription:
All case record material pertaining to adults and juveniles whose cases were adjusted or diverted by the courts in lieu of adjudication or adjudicated outside of court:

subSerRevisionSummary:
Consider adding additional wording to part c. of item 431 (case files) to cover cases adjudicated outside of court.

subSerRevisionRecdFrom:
From Warren't file: Ed Brown, director of the Jefferson Co Probation Dept.


subSerDescription:
Request for access to public records, when request is granted:


subSerDescription:
Request for access to public records, when request is denied, including statement of denial, appeal records, documentation of review and decision:

subSerFinalJustification:
Satisfies short-term administrative and legal needs. Satisfies the 4 month statute of limitations for proceeding against body or officer (CPLR §217)

subSerLegalCitation:
PBO §87 (creation); CPLR Art. 78 (retention)


subSerDescription:
Certificate that record does not exist or cannot be found:


subSerDescription:
Project application, proposal, narrative, evaluation, and annual report:

subSerLegalCitation:
LAB § 42 (creation), COM § 202 (creation), and 29 USC §3101 (creation)


subSerDescription:
Background material and supporting documentation:


subSerDescription:
When person involved is or becomes a patient:

subSerLegalCitation:
EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention)


subSerDescription:
When person involved is not or does not become a patient:


subSerDescription:
Individual case record, account card, or ledger card:

subSerRetention:
7 years after account closed, but not less than 9 years

subSerFinalJustification:
Satisfies 10-year retention requirement in STF §192.1

subSerLegalCitation:
18 NYCRR 517.3 and 14 NYCRR 635-4.5 (creation), STF §192.1 (retention)


subSerDescription:
Individual charge records, posted to case record or card:


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

subSerFinalJustification:
Possesses long-term research value by documenting major changes to the facility, its operation, and use, as well as documenting why the changes were proposed and what their long-term effects might be.


subSerDescription:
Memoranda, routine correspondence, and supplemental fiscal documentation:


subSerDescription:
Minutes of medical staff committees, including but not limited to utilization review committee, joint conference committee or patient care conference:

subSerFinalJustification:
Possesses long-term research value by documenting the operations of these bodies and their role in developing policy, as well as documenting activities and accomplishments.


subSerDescription:
Records of medical staff committees, excluding minutes, including but not limited to agenda, worksheets and notes:


subSerDescription:
Minutes and all other records of facility committee other than medical staff committees, such as dietary services committee or activities committee:


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


subSerFinalJustification:
Satisfies one-year retention requirement in 10 NYCRR 415.14(c)

subSerLegalCitation:
10 NYCRR 415.14(c) (creation and retention), 18 NYCRR §487.8(d) (creation)


subSerRetention:
0 after no longer needed for administrative purposes


subSerDescription:
Quality assurance plan, including staff privileges review procedures:

subSerFinalJustification:
Possesses long-term research value by documenting policies and professional standards in patient care

subSerLegalCitation:
PBH §2805-j (creation), 10 NYCRR §405.6(a)(1) (creation), 10 NYCRR §405.22(f)(2)(vii) (creation)


subSerDescription:
Relating to quality of care provided by individual hospital staff members:

subSerRetention:
10 years after termination of employment

subSerFinalJustification:
Satisfies five-year retention requirement in 10 NYCRR §405.6(b)(7)(iii)(a)

subSerLegalCitation:
10 NYCRR §405.6(b)(7)(iii)(a) (creation and retention)


subSerDescription:
Relating to quality of care provided individual patient, when not duplicated in medical case record:

subSerLegalCitation:
10 NYCRR §405.6(b)(7)(iii)(a) (creation), EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention)


subSerRetention:
Retain as long as all relevant medical case records are retained


subSerDescription:
Medical waste tracking records, including exception reports:

subSerRetention:
3 years after waste accepted for transport

subSerFinalJustification:
Satisfies three-year retention requirement in 6 NYCRR §364-5.2

subSerLegalCitation:
6 NYCRR §364-5.2 (creation and retention)


subSerDescription:
Records created by generators who destroy regulated medical waste on site:

subSerFinalJustification:
Satisfies three-year retention requirement in 6 NYCRR §365-1.2(e)

subSerLegalCitation:
6 NYCRR §365-1.2(e) (retention), 6 NYCRR §365-1.2(a) and (c) (creation)


subSerDescription:
Annual reports prepared by waste generator or transporter:


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


subSerDescription:
When significant information is posted to medical case record:


subSerDescription:
When significant information is not posted to medical case record:

subSerLegalCitation:
EDN §6530.32 and 10 NYCRR 405.10(a)(4) & 405.20 (retention), CPLR§208 (retention)


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

subSerRetention:
6 years after discharge or last contact, or 3 years after individual attains age 18, whichever is longer

subSerFinalJustification:
Satisfies six-year retention requirement in EDN §6530.32 and 10 NYCRR 405.10(a)(4), as well as statute of limitations for litigation involving a minor (CPLR §208)

subSerLegalCitation:
10 NYCRR §2.10 (creation), PBH §2101 (creation), EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention)


subSerDescription:
Supplementary reports on communicable diseases:


subSerRetention:
2 years after death or release of carrier

subSerFinalJustification:
Satisfies control agency (Department of Health) requirements


subSerFinalJustification:
Satisfies long-term administrative needs by providing information to track patients due to possible long-term recurrence of the disease


subSerDescription:
Sexually transmitted disease case record, except syphilis:

subSerLegalCitation:
EDN §6530.32 and 10 NYCRR 405.10(a)(4) (retention), CPLR §208 (retention), PBH §2304.2 (creation)


subSerFinalJustification:
Satifies long-term administrative and clinical needs


subSerDescription:
Case record materials, except clinical discharge summary:

subSerNotes1:
Appraise these records for historical significance. Records covered by item nos. 752 and 753 may have continuing value for historical or other research. Contact the State Archives for additional advice in this area.

subSerRetention:
6 years after discharge or last contact with patient, or after individual attains age 21, whichever is longer

subSerFinalJustification:
Satisfies records retention requirements in 14 NYCRR 599.11 & 8 NYCRR 29.2

subSerLegalCitation:
14 NYCRR 599.11 (creation, retention); 8 NYCRR 29.2 (retention)

subSerRevisionSummary:
Reduce retention period for mental health case files. Suzanne brought to our attention a few months ago an update of 14 NYCRR Part 599.11 Case Records (for Clinical Treatment Programs). 14 NYCRR relates to OMH. The updated regulation reduces the retention period of case records from 10 years after discharge or last contact with patient, or 3 years after individual attains age 18, whichever is longer to 6 years from the date of the last service in an episode of service. OMH deliberately omitted discussion of age of majority. In their response to a public comment, they provide the following reasoning: "The record retention requirement contained in this regulation pertains to what is necessary to meet the Office’s licensing and monitoring requirements. There are other considerations that a provider may wish to consider in determining what time period is appropriate." In the introduction to the CO-2, it cites Section 29.2 of 8 NYCRR as a rationale for retaining all patient records for at least six years and "records of minor patients must be retained for at least six years, and until one year after the patient reaches the age of 21 years...unless otherwise provided by law." Thus, our current 10 year retention that provides for patients attaining age 21, though longer than prescribed by the updated regulation is sound. In our next revision of the local government schedules, we can consider shortening the retention to 6 years with the 21 year age addendum. Warren has suggested that the retention period for "clinical discharge summaries" (item 478a) remain the same (25 years).


subSerDescription:
Reports, studies or queries relating to individual patient:

subSerRetention:
Retain as long as or as part of medical or other patient case record


subSerDescription:
Reports, studies or queries not relating to individual patient:

subSerNotes1:
Appraise records covered by part "b" for archival value. Reports and studies analyzing specific medical conditions and their treatments may be valuable for long-term planning and for medical, historical and other research. Contact the State Archives for additional advice.


subSerRetention:
7 years after discharge or last contact, but not until 3 years after person attains age 18

subSerFinalJustification:
Satisfies records retention requirement in 10 NYCRR 69-4.26(e)(2)(i).

subSerLegalCitation:
10 NYCRR 69-4.26(e)(2)(i) (creation, retention), 10 NYCRR §69-4.26(a) (creation)


subSerDescription:
Screening, assessment and referral records, not found in individual case record:

subSerFinalJustification:
Satisfies 7 year records retention requirement in 10 NYCRR 69-4.26(e)(2)(ii).

subSerLegalCitation:
10 NYCRR 69-4.26(e)(2)(ii) (creation, retention)


subSerNotes1:
Appraise these records for archival value. These records may contain detailed information on the subject, nature and results of laboratory tests and may have long-term or permanent scientific or historical research value. Contact the State Archives for additional advice.

subSerFinalJustification:
Satisfies seven-year retention requirement in 10 NYCRR §58-1.11(c)(1)


subSerFinalJustification:
Satisfies seven-year retention requirement in 10 NYCRR §58-1.11(c)(2)


subSerRetention:
Maintain as long as related laboratory tests results


subSerNotes1:
Laboratories should consider permanent or long-term retention of the basic data elements of these systems for both administrative convenience and for potential research purposes. This data may provide for ease of access to other electronic and paper-based files (such as accession records and laboratory test results) and may create a record which replaces or supplements the master summary record (see item no. 757). Contact the State Archives for additional advice.


subSerDescription:
For environmental health, or toxicology or forensic test:


subSerDescription:
For clinical laboratory tests, worksheets:

subSerLegalCitation:
10 NYCRR §58-1.11(c)(6) (creation and retention)

subSerRevisionSummary:
Increased retention period from 1 to 2 years per input from DOH Wadsworth Center staff and limited to worksheets.


subSerDescription:
Forensic and other related investigation reports:

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


subSerNotes1:
Appraise these records for archival value. Reports and studies analyzing specific types of tests, test results and the population being tested may be valuable for long-term planning and for medical, historical and other research. Because these records will vary greatly as to content, subject and detail, they should be appraised for archival value. Contact the State Archives for additional advice.


subSerDescription:
Summary record of receipt and distribution:

subSerFinalJustification:
Satisfies five-year retention requirement in 10 NYCRR §52-2.9(b)

subSerLegalCitation:
10 NYCRR §52-2.9(b) (retention), 10 NYCRR §52-2.9(e, f, h) (creation)


subSerDescription:
Notification of establishment or discontinuance of station or of appointment or termination of its caretaker:

subSerFinalJustification:
Satisfies long-term administrative needs by documenting the ongoing status of these stations, as well as maintaining an official record of its establishment


subSerDescription:
Certificate of approval of station maintenance:


subSerFinalJustification:
Satisfies seven-year retention requirement in 10 NYCRR §58-1.11(c)(5)(iv)

subSerLegalCitation:
10 NYCRR §58-1.11(c)(5)(iv) (creation and retention)


subSerFinalJustification:
Satisfies two-year retention requirement in 10 NYCRR §58-1.11(c)(5)(ii)

subSerLegalCitation:
10 NYCRR §58-1.11(c)(5)(ii) (creation and retention)


subSerDescription:
Tissue pathology (including exfoliate cytology) report:

subSerFinalJustification:
Satisfies 20-year retention requirement in 10 NYCRR §58-1.11(c)(5)(i)

subSerLegalCitation:
10 NYCRR §58-1.11(c)(5)(i) (creation and retention)


subSerFinalJustification:
Satisfies 25-year retention requirement in 10 NYCRR §58-1.11(c)(5)(iii)

subSerLegalCitation:
10 NYCRR §58-1.11(c)(5)(iii) (creation and retention)


subSerDescription:
Chemical analysis of potable water supply and testing for critical agents:

subSerFinalJustification:
Satisfies 10-year retention requirement in 10 NYCRR, Section 55-2.4(a)


subSerFinalJustification:
Possesses long-term research value by documenting long-term trends in public health - i.e. increases or decreases in cases of a particular disease. The records also provide the rationale for updating both public health education programs and treatment in local clinics.


subSerDescription:
Master index or listing of participants:

subSerFinalJustification:
Satisfies long-term administrative needs by documenting the names of individuals screened, and may have some value in in planning other screening, public health education, and treatment programs.


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


subSerDescription:
Negative report of individual screened, including statement of consent or participation and authorization for release of information:


subSerDescription:
Log or other working record of screening and testing, used to compile statistics and other data:


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

subSerNotes1:
Identifiable H.I.V. related records are covered by item nos. 743 and 745, and related laboratory records are covered by items in the Laboratory subsection.


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

subSerLegalCitation:
PBH §3370 (retention); 10 NYCRR 80.48(a)(iii)(2) (creation), 10 NYCRR §80.46(e)


subSerDescription:
Order or prescription form used for administering to patients:

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

subSerLegalCitation:
21 CFR §1304.04(h)(2) and (4) (creation),10 NYCRR 80.48 (creation), CPLR §213 (retention)


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


subSerFinalJustification:
Satisfies five-year statute of limitations for litigation pertaining to a felony (CPL §30.10)

subSerLegalCitation:
PBH §3372 (creation), CPL §30.10 (retention)


subSerDescription:
Master summary record (index or log) of all tissue donations and transfers:


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

subSerFinalJustification:
Satisfies 25-year retention requirement in 10 NYCRR §52-2.9

subSerLegalCitation:
10 NYCRR §52-2.9 (creation), 10 NYCRR §52-2.9(b) (retention)


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

subSerRetention:
7 years after release or discard of tissue

subSerFinalJustification:
Satisfies seven-year retention requirement in 10 NYCRR §52-2.9(b)


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

subSerRetention:
7 years after transplantation or 6 months after expiration date of the tissue, whichever is longer

subSerRevisionSummary:
Revised retention period and event to conform with 10 NYCRR 52-2.9(b).


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


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


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

subSerFinalJustification:
Satisfies seven-year retention requirement in 42 CFR §486.330

subSerLegalCitation:
PBH §4365.5 (creation), 42 CFR §486.330 (creation and retention)


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

subSerRetention:
7 years after date of most recent entry in record


subSerDescription:
Permit issued by county to sell or distribute tobacco products, including application and related records:

subSerRetention:
6 years after renewal, denial or expiration


subSerDescription:
Tobacco product distribution, sale or use violation records, including but not limited to notice of violation or hearing, appointment of hearing officer, records of fine levy and collection, appeal records, and correspondence, but excluding summary record and resulting order or agreement:

subSerLegalCitation:
PBH §1399-s and 1399-t.2 (creation), PBH §1399-ee.1 to .3 (creation)


subSerDescription:
Summary record of violations, and resulting order or agreement:

subSerRetention:
0 after business no longer exists, but not less than 6 years after date of last entry

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


subSerDescription:
Waiver granted from application of specific provisions of state or local law or ordinance:

subSerRetention:
3 years after expiration of waiver or after business no longer exists


subSerDescription:
Tobacco distribution or sales inspection report or equivalent record, when no violation is identified:


subSerDescription:
Tobacco distribution, sales or use complaints, received by enforcement officer, when no violation is identified:


subSerDescription:
Periodic report submitted to State Department of Health:


subSerDescription:
Records relating to individual persons, including but not limited to reports received from physicians and other mandated reporters, records documenting efforts to identify contacts, summary records that identify individual persons, and other contact notification activity records:

subSerNotes1:
Records identifying contacts collected in the course of notification activities by authorized public health officials shall not be maintained for more than one year following completion of such activity, pursuant to Sect. 63.8(j) of 10NYCRR.

subSerNotes2:
For records of HIV screening programs, see item no. 792f in the Public Health section, Miscellaneous subsection. For patient treatment records, see item nos. 743 and 745 in the Public Health section, Patient Case Records and Related Materials subsection.

subSerFinalJustification:
Satisfies 0 after no longer needed retention requirement in 10 NYCRR §63.8(j)

subSerLegalCitation:
10 NYCRR §63.8 (creation), 10 NYCRR §63.8(j) (retention)


