INTRODUCTION
1. Purpose
This new CUNY Records Retention and Disposition Schedule indicates the minimum length of time that college and University officials must retain their records before the records may be disposed of legally. This new Schedule is a revised edition of the Records Retention and Disposition Schedule originally issued by CUNY in 1993, and it replaces and supersedes the 1993 schedule. It also replaces and supersedes any other retention guidance that college and University officials may have adopted for their records
All CUNY records must be retained in accordance with the retention periods and guidelines specified in this new Schedule and in any related policies, procedures, guidelines, or directives that CUNY has issued or may issue in the future. See Section 5 of this Introduction for suggestions regarding the disposition of records that no longer need to be retained
This new Schedule has been adapted from the Records Retention and Disposition Schedule MI-1 issued in 2006 by the State Archives program of the New York State Education Department pursuant to Section 57.25 of the Arts and Cultural Affairs Law and Part 185, Title 8 of the Official Compilation of Codes, Rules and Regulations of the State of New York. In the adaptation process, a great many items in Schedule MI-1 were deleted because of their inapplicability to CUNY, and most of the remaining items in Schedule MI-1 have been edited so that they are more accessible to the CUNY community. The State Archives requires that the retention periods for items prescribed in Schedule MI-1 may not be shortened. In a number of cases, however, CUNY has decided that it is appropriate to lengthen the retention periods in Schedule MI-1 for particular items on this Schedule
Dozens of individuals within CUNY with knowledge of an extensive range of college and University functions provided valuable input in the preparation of this new Schedule. The new Schedule was approved by the State Archives’ Government Records Services pursuant to 8 NYCCR 185.5(c) in July, 2006
The purposes of this new Schedule are to
► Ensure that records are retained as long as needed for administrative, legal, and fiscal purposes
► Ensure that state and federal records retention requirements are met
► Ensure that records with enduring historical and other research value are identified and retained permanently; an
► Encourage and facilitate the systematic disposal of unneeded records
2. Records Management Coordinators at CUNY
Pursuant to Section 57.19 of the Arts and Cultural Affairs Law, CUNY has designated a University Records Management Coordinator to coordinate the proper retention and disposition of records throughout CUNY colleges and at the Central Office. In addition, each CUNY college is responsible for designating a Records Management Coordinator to coordinate the proper retention and disposition of records at the college and to report annually on the disposition of records at the college to the University Records Management Coordinator. The functions of the Records Management Coordinator are separate from those of the Records Access Officer at the college, but all of these functions may be performed by the same individual
All inquiries about records management at the college should be referred to the Records Management Coordinator, and the Records Management Coordinator at each college will refer questions to the University Records Management Coordinator and the Office of the General Counsel for resolution whenever necessary. The University Records Management Coordinator and the Office of the General Counsel will also be responsible for referring, whenever necessary or appropriate, any questions on records management issues to the State Archives
3. How to Use This Schedule
3.1 Interpreting Schedule Items
Many of the items on this Schedule are broad and describe the purpose or function of records rather than identify individual documents and forms. Records common to most college and University offices are listed under the General section of this Schedule. More specific items are listed in 35 sections with functional headings (e.g., Academic Affairs, Affirmative Action), which are arranged alphabetically after the General section. Using the Subject Index at the end of this Schedule, college and University officials should match the records in their offices with the descriptions on this Schedule to determine the appropriate retention periods. Records whose content and function are substantially the same as an item described on this Schedule should be considered to be covered by that item. College and University officials should check with their Records Management Coordinator when they are uncertain regarding coverage of a function
In situations where college and University officials have combined related types of records covered by different items on this Schedule into a single file, it may be impractical to separately apply the retention periods of the various applicable Schedule items to the individual records in the file. In such situations, officials may find it more convenient to dispose of the entire set of records by using the applicable retention item with the longest retention period
Retention periods on this Schedule apply to one “official” copy designated by the college or the University, regardless of physical form or characteristic (paper, microfilm, computer disk or tape, or other medium), unless otherwise stated. No matter what the medium, college and University officials must ensure that the information will be retained for the specified retention period
Duplicate copies of records created for administrative convenience, including copies maintained on different media (paper, electronic, etc.), should be disposed of when no longer needed, except where retention is specified elsewhere on this Schedule.
3.2 Unique Item Numbering System
In addition to the consecutive numbering of items within each section of this Schedule, each item is also assigned the unique identifying number provided by the State Archives for the comparable item in Schedule MI-1 from which the CUNY item has been adapted. That number, which appears in brackets [ ], does not change as items are revised or relocated in new editions of Schedule MI-1. In a few instances, CUNY has introduced items that do not have a comparable item in Schedule MI-1, and these items have bracketed numbers such as [CU1], [CU2], etc., in addition to the consecutive numbering of the item within the section. The Subject Index provided at the end of this Schedule refers to items by their unique bracketed numbers
4. Special Situations
4.1 Legal Actions
Some records may be needed to defend a college and/or the University in legal actions. Records that are identified in such actions must be retained for the entire period of the action even if their retention period has expired. If the retention period has expired by the time the legal action ends, the record must be retained for at least one additional year to resolve any need for the record in an appeal. If the retention period has not expired, the record must be retained for the remainder of the retention period, but not less than one year after the legal action ends. Prior to disposing of records related to or retained for a legal action, college and University officials should consult with their Records Management Coordinator, who will work with the Office of the General Counsel to verify that no legal actions have been initiated that would require longer retention of the records
4.2 Records That Have Been Microfilmed or Electronically Duplicated
The retention and disposition of the originals of records that have been microfilmed or electronically duplicated is governed by Section 57.29 of the Arts and Cultural Affairs Law and the State Archives’ procedures. Please contact the Records Management Coordinator at your college for further information prior to beginning a program of microfilming or any other form of records duplication
4.3 Electronic Records
While items on this Schedule for the most part cover records regardless of the physical form in which they are maintained, electronic records in some subject areas are treated differently. Some electronic records are listed specifically in the Environmental, Health Services, and Public Safety sections. In addition, the Electronic Data Processing section has been greatly expanded to cover a number of record items not covered by the previous edition of this Schedule. The State Archives has established regulations related to electronic records (Section 185.8, 8NYCRR), and you should contact the Records Management Coordinator at your college if you have any questions or problems related to the requirements of these regulations or if you need additional information on electronic records specifically listed in the subject areas mentioned above
Generally, records transmitted through e-mail systems have the same retention periods as records in other formats that are related to the same function or activity. E-mail records should be scheduled for disposition in conjunction with any other records related to that function or activity. College and University officials may delete, purge, or destroy e-mail records provided that the records have been retained for the minimum retention period established in this Schedule and are not being retained for a legal action or audit. Transitory messages may be destroyed in a timely manner, using item no. 18 [18] in the General section of this Schedule. Contact the Records Management Coordinator at your college for additional information
Electronic records created specifically for distribution via the Internet are considered publications, and are covered by item no. 11 [11] in the General section
4.4 Drafts and Working Papers
Item no. 26 [26] in the General section of this Schedule covers working documents. When drafts are created in the preparation of CUNY records, the final version is considered the official copy for retention purposes. Drafts must be discarded when no longer needed for the purposes for which they were created. This should be done at the earliest opportunity following approval of the final version. This policy applies to drafts in all formats, including word processing files, spreadsheet files, and other computer files
Working papers, including notes, may be developed during the transaction of CUNY business or during the preparation of CUNY records. Most working papers, such as notes taken at a meeting or annotations on a draft record that is ultimately superseded by a final version, have no legal, operational, or research value that warrants retaining them beyond their moment of immediate usefulness. These records should be discarded at the earliest opportunity, generally within one (1) year after the purpose for which they were created has been fulfilled. This policy applies to working papers in all formats, including word processing files, spreadsheet files, and other computer files
4.5 Additional Retention Requirement for Licensed Health Professionals Other Than Physicians
The State Education Department’s Office of the Professions oversees the professional conduct of licensed health professionals other than physicians. Paragraph 3 of subdivision a of Section 29.2 of 8NYCRR (Regulations of the Commissioner of Education) states that “unprofessional conduct” includes “failing to maintain records for each patient which accurately reflects the evaluation and treatment of the patient” and that, unless otherwise provided by law, 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
A number of health-related items on this Schedule contain minimum legal retention periods that permit disposition of records after a minor attains age 21. These items are mostly found in the Personnel/Civil Service and Health Services sections. In these instances, certain records pertaining to minors must also be retained for an additional year if the records are subject to the Section 29.2 requirements for health professionals other than physicians, if these professionals are employed by or associated with a college or the University. For additional information on this situation, contact the Records Management Coordinator at your college
4.6 Audits
Program and fiscal audits and other needs of state and federal agencies are taken into account when retention periods are established in this Schedule. However, in some instances agencies with audit responsibility and authority may formally request that certain records be kept beyond the retention periods. If such a request is made, these records must be retained beyond the retention periods until the college or the University receives the audit report or until the need is satisfied
4.7 Archival Records
Archival records are records that colleges and the University must keep permanently to meet their fiscal, legal, or administrative needs or that colleges and the University retain because they contain historically significant information. Records do not have to be old to be archival; college and University officials create and use archival records daily in their offices. What makes a record worthy of permanent retention and special management is the continuing importance of the information it contains
When the University has determined that a record item has enduring historical or other research significance, the item has been given a permanent designation on this Schedule. However, the University cannot identify all record items with historical or research significance. Knowledge of people, places, or events in each college community and the unique circumstances of each college will determine which records are significant. College and University officials will need to appraise records with nonpermanent retention periods for potential research or historical value before destroying them.
The usefulness of archival records depends on the ability of the colleges and the University to preserve them, retrieve the information they contain, and make that information available to researchers
4.8 Appraising Records for Historical or Research Significance
A college or University record has historical or other research importance if it provides significant evidence of how the college or University functions and/or if it provides significant information about people, places, or events that involve the college or the University. Since each college community has its own unique history, the importance or value of a record item may vary from college to college
College and University records may contain a tremendous amount of information about the people, buildings, and sites in the college or University community, as well as important time periods or significant events that affected the people associated with the college or the University. This information can be very valuable to staff, researchers, and the public, but only if the information itself is significant. The significance of the records will depend on
► When the records were created. Records created during a time of momentous change, which are scarce, or which cover a long period of time tend to be more significant
► What kind of information the records contain. Records that contain more in-depth information are more likely to have enduring value
► Who created the records. Records that reflect an employee’s perspective or individual point of view may be more significant
► What other records exist. If the information in the records exists in other records within a college or the University or elsewhere, then the records are less likely to be significant
► The unique history of the college or the University. Records created during important time periods or events can provide clues to how the events affected the development of the college or the University and the community it serves
4.9 Records Created before 1910
Disposition of records created before 1910 requires specific written approval from the State Archives, as required by Section 185.6 (c) of 8NYCRR, the Regulations of the Commissioner of Education. Certain records that would normally be disposable under this Schedule may need to be kept if created before 1910. Often these records have continuing historical or research value because
► Other documentation no longer exists. Many earlier records were destroyed through natural disaster or through destruction by college or University officials prior to the passage of the first state statute in 1911 requiring the consent of the Commissioner of Education to the disposition of local public records
► The volume and type of information contained in records have changed since the beginning of the 20th century. Older records often have more detailed and historically significant information than those produced today
► Early records sometimes have intrinsic value beyond the information they contain. “Intrinsic value” refers to qualities, such as value for exhibits, association with significant events, and aesthetic value, which records may possess beyond merely the information they contain
College or University officials desiring to dispose of any records created before 1910 should contact their Records Management Coordinator to obtain disposition request forms. This requirement also applies to the disposition of original records predating 1910 that have been microfilmed. The University Records Management Coordinator, working with the Office of the General Counsel and the State Archives, will review each request and advise the college or University officials on retention or disposition of the records
4.10 Records Not Listed on This Schedule and Non-Existent Records
This Schedule covers the vast majority of all records of the colleges and the University. For any record not listed, the custodian of the records should contact the Records Management Coordinator at his or her college, who will then contact the University Records Management Coordinator or the Office of the General Counsel for assistance. If the record is not covered by an item on this Schedule, it must be retained until a revised edition of or addendum to this Schedule is issued containing an item covering the record in question and providing a minimum legal retention period for it
Conversely, the State Archives has no legal authority to require a college or the University to create records where no records exist, even if the records in question are listed on this Schedule. Although there may be laws, regulations, or other requirements that certain records must be created, those requirements do not originate from the State Archives. The mere fact that a record is identified on this Schedule should not be interpreted as a requirement that the record must be created
4.11 Public Access to Records/Confidentiality
This Schedule does not address the issue of public access to records. Access issues are not covered by the Local Government Records Law but are covered by the Freedom of Information Law (Public Officers Law, Sections 84 through 90). College and University officials should consult with their Records Access Officer on questions related to public access to records
Records on this Schedule may or may not be confidential, depending on what information they contain and on the possible effect of disclosure of that information. In approaching issues of confidentiality and access, it may be helpful to consider the following
► What was the purpose for which the records were created
► What information do they contain? What subjects are covered
► How are the records used
► How do they relate to other records that may have similar information
► What would be the likely effect of disclosure of the information in the records
College and University officials should consult their Records Access Officer with questions related to public access to records that may contain confidential information
5. Suggestions for Records Disposition
Records without historical value must be disposed of continually as they meet their stated minimum retention periods. The advantages of a program for systematic, legal disposal of obsolete records are that it
► Ensures that records are retained as long as they are actually needed for administrative, fiscal, legal, or research purposes
► Ensures that records are promptly disposed of after they are no longer needed
► Frees storage space and equipment for important records and for new records as they are created
► Eliminates time and effort required to service and sort through superfluous records to find needed information
► Eliminates the potential fire hazard from storage of large quantities of valueless records; an
► Facilitates the identification and preservation of archival records
Suggestions for systematically approaching the disposition process include the following
► Disposition should be carried out regularly, at least once a year. It should not be deferred until records become a pressing storage problem. Duplicate copies of records, including copies maintained on different media (paper, electronic, etc.), may be disposed of at any time in accordance with item no. 19 [19] of the General section of this Schedule. This should be done at the earliest opportunity after a determination that the duplicate copies are no longer needed. In no case should duplicate records be retained longer than official copies that contain the same information
► Since State law does not prescribe the physical means of destruction of most records, records may be destroyed in any way prescribed by the University Records Management Coordinator. Disposition through consignment to a paper recycling plant is often the best choice as it helps conserve natural resources and may also yield revenue for the college or the University. For records containing confidential information (e.g., Social Security numbers, credit card numbers, personnel evaluations, salary levels), disposition should be carried out in a way that ensures that the confidentiality of individuals named in the records is protected
► A record should be kept of the identity, inclusive dates, and approximate quantity of records that are disposed. Sample disposition forms designed by the State Archives are available from the Records Management Coordinator at your college
The Records Management Coordinator or other official who carries out disposition at your college will describe what has been done to dispose of records during the year in an annual report to the University Records Management Coordinator
6. Reminders
► Records created before 1910 (even those that have been microfilmed) are not eligible for disposition without written permission from the State Archives. Consult the Records Management Coordinator at your college if you have any questions about the possible disposition of such records
► No records may be disposed of unless they are listed on this Schedule, or their disposition is covered by other state laws
► Records common to most college and University offices are listed under the General section of this Schedule; more specific items are listed in sections with a functional heading. You should use the Subject Index at the end of this Schedule to match the records in your office with the description on this Schedule to determine the appropriate retention period. You should check with your Records Management Coordinator if you are uncertain regarding coverage of a function
► Records being used in legal actions must be retained for one year after the legal action ends, or until their scheduled retention period has expired, whichever is longer. Consult the Legal Affairs Designee at your college before disposing of any such records
► Any record listed on this Schedule for which a Freedom of Information (FOIL) request has been received should not be destroyed until that request has been answered and until any potential appeal is made and resolved, even if the scheduled retention period of the record has expired
► Records being kept beyond the established retention periods for audit and other purposes at the request of state or federal agencies must be retained until the college or the University receives the audit report, or the need is satisfied
► Retention periods on this Schedule apply to one “official” copy designated by the college or the University, unless otherwise stated
► The retention periods listed on this Schedule pertain to the information contained in records, regardless of physical form or characteristic (paper, microfilm, computer disk or tape, or other medium)
► Duplicate copies of records created for administrative convenience, including copies maintained in different media (paper, electronic, etc.), should be disposed of when no longer needed, except where retention is specified elsewhere in this Schedule
► There is no requirement for colleges or the University to create records where no records exist, even if the records in question are listed on this Schedule
► This Schedule cannot identify all record items with historical significance for individual colleges or the University. College and University officials will need to appraise records with nonpermanent retention periods for potential research or historical value before destroying them
► Certain records may need to be retained for one year longer than this Schedule dictates if those records are subject to the requirements stated in Section 29.2 of 8NYCRR for health professionals other than physicians, if these professionals are employed by or associated with a college or the University
► The Local Government Records Law and this Schedule do not address confidentiality of records. Confidentiality of records is often dependent upon what information they contain. College officials should address such questions to the Legal Affairs Designee at their college, and University officials should consult with the Office of the General Counsel
GENERAL
NOTE: Records common to most offices are listed under the General section in this Schedule. In using this Schedule, you should first attempt to locate a specific item under a functional heading. If the record you are locating cannot be found under a functional heading, then proceed to this General section to search for a less specific item covering the record
RETENTION: PERMANEN
a. Recording of public or other meeting of Board of Trustees or committee thereof, or official faculty or department committee meetin
RETENTION: 4 months after transcription and/or approval of minutes or proceeding
NOTE: Videotapes of public hearings and meetings that have been broadcast on public access television are covered by item no. 33 [581] in this section
NOTE: 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 your Records Management Coordinator for additional advice on the long-term maintenance of these records
b. Other recording
RETENTION: 0 after no longer neede
RETENTION: 1 yea
NOTE: Appraise these records for continuing administrative or historical value prior to disposition. Agendas may have continuing administrative value and may be useful for accessing information in unindexed minutes and for indexing those minutes. Other records prepared for or used at meetings may have administrative or historical value for documenting issues discussed at the meetings and referenced in the minutes. See item no. 1 [1] in this section for records that are accepted as part of the minutes
RETENTION: PERMANEN
RETENTION: PERMANEN
RETENTION: 6 years after expiration or termination, or 6 years after final payment under contract, whichever is longe
NOTE: This item does not apply to contracts (collective bargaining agreements) between a college or the University and a public employee labor organization. These contracts are covered by item no. 11 [321] in the Personnel/Civil Service section and must be retained permanently
RETENTION: 6 years after authorization expires or is withdraw
a. Relating to bond or note issue or tax limit increas
RETENTION: 6 years after issue or increase disapproved or retire
b. Not relating to bond or note issue or tax limit increas
RETENTION: 6 year
a. Involving major procedures, policies, or standards affecting college or University operations, critical functions, or issues of public visibility or concer
RETENTION: PERMANEN
b. Involving routine day-to-day procedures, policies, or standards pertaining to internal administration of a college or the Universit
RETENTION: 6 years after superseded or obsolet
a. Documenting significant policy or decision-making or significant events, or dealing with legal precedents or significant legal issue
RETENTION: PERMANEN
NOTE: Significant correspondence is often maintained by the chief executive or administrative officer, and sometimes in subject file format (see item nos. 1 [119] and 2 [198] in the Executive, Manager, and/or Administrator section)
b. Containing routine legal, fiscal, or administrative informatio
RETENTION: 6 year
c. Of no fiscal, legal, or administrative value (including letters of transmittal, invitations, and cover letters
RETENTION: 0 after no longer neede
NOTE: Specific publications are listed in other places in this Schedule. Before using this item to determine the minimum legal retention for a publication, determine if that publication is covered by a more specific item
a. Publications that contain significant information or substantial evidence of plans and directions for college or University activities, or publications where critical information is not contained in other publications or report
RETENTION: PERMANEN
b. Publications where critical information is also contained in other publications or reports, publications that document routine activities, publications that contain only routine information, or publications (such as web pages) that facilitate access to college or University information on the Interne
RETENTION: 0 after no longer neede
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Colleges and the University should consider permanent retention of samples of publications covered by part “b”. Contact your Records Management Coordinator for additional advice in this area
RETENTION: 6 years after project or program end
NOTE: Examples of such projects or programs include orientation of students and staff; speakers’ bureaus and other community services; veterans, service members, and ROTC programs; and incubator programs, small business development services, and technical assistance/training to business and industry
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. If special projects or programs deal with significant subjects, then certain documentation from these files, such as summary reports and resulting publications, should be retained permanently
a. Application, proposal, narrative, evaluation, and annual report for grants that have been awarde
RETENTION: 6 years after renewal or close of gran
b. Background material, fiscal records, and supporting documentation for grants that have been awarded, and all records relating to grant applications that have been rejecte
RETENTION: 6 years after renewal or close of grant or denial of applicatio
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently
a. Summary record (such as log or register) of complaints, petitions, or request
RETENTION: 6 years after disposition of all complaints, petitions, or requests liste
b. Complaints, petitions, or requests relating to other than routine college or University services or activitie
RETENTION: 6 years after final disposition of complaint, petition, or reques
c. Complaints, petitions, or requests relating to routine college or University services or activitie
RETENTION: 1 year after final disposition of complaint, petition, or reques
NOTE: Appraise these records for historical significance prior to disposition. Petitions by students or other members of the University community involving significant issues should be retained permanently
NOTE: For additional fiscal items, see the Fiscal section in this Schedule
a. Survey results, including official copy of survey for
RETENTION: 6 year
NOTE: Appraise these records for historical significance prior to disposition. Survey results and sample forms involving significant issues should be retained permanently
b. Completed survey form
RETENTION: 0 after survey results prepare
RETENTION: 6 year
NOTE: For maintenance, testing, service, operational, and repair records for public equipment or vehicle, see item no. 14 [424] in the Public Property and Equipment section.
a. Report and recommendation resulting from investigatio
RETENTION: PERMANEN
b. Background materials and supporting documentatio
RETENTION: 6 year
NOTE: Upon notification from the Office of the General Counsel, background materials and supporting documentation must be retained for a longer period of time
NOTE: Fiscal audit records are covered by item nos. 22 [214], 23 [215], and 24 [216] in the Fiscal section. Investigations of personnel are covered by item no. 2 [311] in the Personnel/Civil Service section
RETENTION: 0 after no longer neede
RETENTION: 0 after no longer neede
RETENTION: 0 after no longer neede
RETENTION: 0 after superseded or obsolet
RETENTION: 6 year
NOTE: For annual, special, or final report, summary, review, or evaluation, see item no. 23 [23] in this section. For routine internal reports and reviews, see item no. 18 [18] in this section
NOTE: Specific annual reports are listed in many places in this Schedule. Before using this item to determine the minimum legal retention for an annual report, determine that a report is not covered by a more specific item
a. Reports containing substantial evidence of college or University policy, procedures, plans, or direction
RETENTION: PERMANEN
b. Reports where critical information is contained in other reports, reports that document internal management and housekeeping activities, or reports that contain only routine legal, fiscal, or administrative informatio
RETENTION: 6 year
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently
RETENTION: PERMANEN
NOTE: Program plans of a routine nature covering internal activities are covered by item no. 18 [18] in this section. Program plans where significant information is duplicated in other records that are retained permanently are covered by item no. 19 [19] in this section
RETENTION: 0 after superseded or obsolet
RETENTION: 0 after no longer neede
RETENTION: 1 yea
NOTE: Item nos. 27 [27] and 28 [28] in this section do not apply to records found in the public safety area (see item no. 8 [432] in the Public Safety section)
RETENTION: 1 yea
RETENTION: 0 after no longer vali
NOTE: This item does not apply to identification cards issued by a college or the University to its employees. For these, see item no. 7 [316] in the Personnel/Civil Service section
a. Relating to legal notice or official notice to personne
RETENTION: 3 year
b. Not relating to legal notice or official notice to personne
RETENTION: 1 yea
RETENTION: 3 years, or 0 after youngest person involved attains age 21, whichever is longe
RETENTION: 6 year
NOTE: This item does not apply to records found in the public safety area (see item no. 11 [891] in the Public Safety section)
a. Videotape (or other information storage device) recording a college or University public access television program, where program is produced by the college or the Universit
i. Where program constitutes an important public meeting, significant event, or important subject, or documents college or University policy-makin
RETENTION: PERMANEN
NOTE: In order to ensure the continued preservation and availability of videotapes, colleges and the University should consider using broadcast-quality tapes where possible. Those tapes should be periodically inspected and copied to newer tapes and formats. Contact your Records Management Coordinator for additional advice
ii. Where program constitutes a routine meeting, event, or subjec
RETENTION: 1 yea
b. Videotape (or other information storage device) recording a college or University public access television program, where program is aired but not produced by the college or the Universit
RETENTION: 0 after no longer neede
c. Viewer guide or other periodic listing of program
RETENTION: 1 yea
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Colleges and the University may want to retain a sampling of these records on a monthly, seasonal, or other periodic basis
d. Program files on college or University cable television program
RETENTION: 6 year
a. For materials subject to U.S. Copyright La
RETENTION: 3 year
b. For materials not subject to U.S. Copyright La
RETENTION: 0 after no longer neede
RETENTION: PERMANEN
RETENTION: 0 after superseded or obsolet
NOTE: This item does not cover training in the Public Safety area (see item nos. 3 [435] and 14 [441] in the Public Safety section), or training in radiation program safety or dealing with toxic substances (see item nos. 15 [763] and 17 [325] in the Environmental section)
a. Registration processing records for courses involving health and safety program
RETENTION: 5 years after date of application to take cours
NOTE: Colleges and the University must retain these records for a longer retention period if required by federal or state statute or regulations. Contact the University’s Environmental Health and Safety Office for additional advice
b. Registration processing records for courses not involving health and safety program
RETENTION: 3 years after date of application to take cours
NOTE: This item does not cover records that need to be retained in an employee’s personnel file (see item no. 5 [314] in the Personnel/Civil Service section)
a. Official copy of any program or promotional literatur
RETENTION: PERMANEN
b. Background materials and supporting documentatio
RETENTION: 6 year
RETENTION: 0 after no longer neede
NOTE: Appraise these records for historical significance prior to disposition. Some photographs and other visual media records may have continuing value for historical or other research and should be retained permanently. Contact your Records Management Coordinator for additional advice
RETENTION: 0 after no longer neede
NOTE: Appraise these records for historical significance prior to disposition. Records that document the history of the college or University community may have continuing value for historical or other research and should be retained permanently. These records may contain valuable information that supplements records created by the college or the University itself. Records not retained permanently may be offered to a local historical records repository. Contact your Records Management Coordinator for additional advice
NOTE: Upon the receipt of these non-public records by a college or the University, the records become “College or University records”. Published materials received by a college or the University are not considered to be public records
ACADEMIC AFFAIRS
a. Significant correspondence, reports, questionnaires, self-study records and reports, guides, and related documents transmitted between a college or the University and accrediting bodie
RETENTION: PERMANEN
b. Routine correspondence and transmittal records, drafts of guides and reports, and fiscal record
RETENTION: 6 years after accreditation approved or denie
a. Curriculum and related records describing course of instruction and course content, including transfer status information and course history record
RETENTION: 7 year
b. Approved internal application for curriculu
RETENTION: 7 year
c. Denied internal application for curriculu
RETENTION: 1 yea
d. Curriculum planning record
RETENTION: 0 after no longer neede
NOTE: Records prepared as part of curriculum planning may have long-term value meriting continued preservation. College and University officials should evaluate these records for continued or permanent preservation. Contact your Records Management Coordinator for additional advice
a. For successful registration of progra
RETENTION: PERMANEN
b. For failed proposa
RETENTION: 0 after no longer neede
RETENTION: PERMANEN
RETENTION: PERMANEN
a. Official copy of any literature or other material made available to the public, including college catalogs and student handbook
RETENTION: PERMANEN
b. Detailed course descriptive information, including background materials and supporting documentatio
RETENTION: 7 years after course or program discontinue
c. Routine internal information records relating to courses, including but not limited to draft descriptions and tentative course schedule
RETENTION: 1 yea
a. Published books, papers, journal articles, and other materials made available to the publi
RETENTION: PERMANEN
b. Other records, including but not limited to records summarizing and publicizing research, and research files which are not the personal property of the researchers, regardless of whether the research is sponsored by government agencies or other sponsors or is unfunde
RETENTION: 3 years after research concluded or otherwise terminate
NOTE: Depending on the nature of the research, some of these files may be valuable for other researchers, as well as in documenting research conducted at a college or the University, 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
a. Records relating to individual research protocols, including but not limited to copies of research proposals reviewed and accompanying scientific evaluations and funding proposals; approved sample consent documents; progress reports submitted by investigators; reports of injuries to subjects; statements of significant new findings provided to subjects; written summaries of discussion of controverted issues and their resolution; records showing the basis for requiring changes in or disapproving research; correspondence between the IRB and investigators; and records of continuing review activitie
RETENTION: 3 years after research concluded or otherwise terminate
b. Records relating to IRB actions and activities other than protocol-specific matters, including but not limited to minutes of IRB meetings and related attendance records and agendas; records of actions taken by the IRB that are not included in the minutes, including the number of members voting for or against or abstaining from such actions; lists of IRB members; and written procedures for the IR
RETENTION: 3 year
ADMISSIONS
a. For applicants who are accepted and atten
RETENTION: 6 years after graduation or date of last attendanc
NOTE: If admission records for students who are accepted and attend are made part of student records, these records are covered by item no. 1 [121] in the Students section. Duplicate copies retained by a separate admissions office can be disposed of when no longer needed
b. For applicants who are accepted and do not attend, and applicants who are not accepte
RETENTION: 2 years after date of exclusion or end of permitted enrollment period for accepted applicant
NOTE: Colleges or the University may wish to keep these records longer for international students, for convenience of access by both college personnel and the prospective or accepted students
AFFIRMATIVE ACTION
NOTE: See also item no. 11 [282] in the Purchasing section and item no. 6 [124] in the Students section
RETENTION: 6 years after termination of individual’s employment, or 6 years after last entry, whichever is longe
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Colleges and the University should also consider permanent retention of records in significant cases. Contact your Records Management Coordinator for additional advice in this area
NOTE: Colleges and the University may want to retain records covered by 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 college or University employees, see item no. 3 [317] in this section
NOTE: Where a complaint or action has been filed, records relating to it should be retained until the Office of the General Counsel advises that the records may be destroyed, which will not be earlier than six years after the case is closed
RETENTION: PERMANEN
a. Annual, long-term, or special (narrative or statistical) reports, goals, and achievements, including but not limited to the Integrated Postsecondary Education Data System (IPEDS) report relating to ethnic, racial, gender, position, and salary composition of the workforc
RETENTION: PERMANEN
b. Periodic reports, statistics, and other records used in compiling annual, long-term, or special (narrative or statistical) reports, goals, and achievement
RETENTION: 1 yea
c. Affirmative action and related complaint investigation record
RETENTION: 6 years after termination of individual’s employment, or 6 years after final determination, whichever is longe
NOTE: Colleges and the University may want to retain records covered by part “c” beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints
ALUMNI
NOTE: See also the Development section in this Schedule
RETENTION: 0 after superseded or obsolet
RETENTION: PERMANEN
ARCHIVES/RECORDS MANAGEMENT
a. Consent of the Commissioner of Education to the use of records retention and disposition schedules and the legal disposition of record
RETENTION: 0 after superseded or obsolet
b. Documentation of final disposition of records, describing records disposed of and manner and date of dispositio
RETENTION: 6 years after final disposition of record
NOTE: Documentation of the final disposition of archival records is covered by item no. 3 [36] in this section
RETENTION: 0 after superseded or obsolet
a. For archival record
RETENTION: PERMANEN
b. For inactive record
RETENTION: 0 after disposition of records on lis
RETENTION: 0 after return of records, or 3 years after retrieval when records not returne
a. Appraisal and accessioning documentation, including assessment of conservation need
RETENTION: PERMANEN
b. Processing and management working papers, drafts, notes, and related record
RETENTION: 0 after no longer neede
RETENTION: 0 after superseded or obsolet
NOTE: Colleges and the University should retain any superseded guides, lists, indices, or other finding aids containing record numbering and identification information or any other significant information not carried forward to newer versions
a. Log or register of researchers, and patron’s registration for use of archival record
RETENTION: 6 year
b. Researcher interviews, reference statistics, requests for records, or similar reference service record
RETENTION: 0 after no longer neede
ATHLETICS
a. For student athletes entering colleg
RETENTION: 3 years after graduation or date of last attendanc
b. For student athletes who do not enter colleg
RETENTION: 0 after no longer neede
RETENTION: 6 year
a. Lists of athletes or participants, records of intercollegiate competitions and intramural athletics, and other records, except scouting and training videotapes and other record
RETENTION: 6 year
NOTE: 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
NOTE: Health-related records are found in the Health Services section in this Schedule. Athletic training records are covered by item no. 6 [885] in this section
b. Videotapes, reports and other records used for scouting and training purpose
RETENTION: 0 after no longer neede
RETENTION: 6 year
NOTE: For related reports and records on athletic program activities, see item no. 17 [889] in the Students section
a. Positive test results and related record
RETENTION: 6 years after last entr
b. Negative test result
RETENTION: 3 year
NOTE: For substance or alcohol abuse testing records for individual athlete included in student heath services case record, see item no. 18 [98] in the Health Services section
RETENTION: 6 years after last entr
RETENTION: 6 years after graduation or date of last attendanc
ATTORNEY OR COUNSEL
RETENTION: 6 years after case closed, or 0 after youngest person involved attains age 21, whichever is longe
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Colleges and the University should consider permanent retention of significant cases that have importance or that set major legal precedents. For instance, colleges or the University may want to permanently retain files for cases concerning major local controversies, issues, individuals, and organizations that are likely to be the subject of ongoing research or that result in decisions or rulings of major significance to the college, the University, the City of New York, or the entire state. Contact your Records Management Coordinator for advice in this area
RETENTION: 0 after no longer neede
RETENTION: 0 after no longer neede
RETENTION: PERMANEN
RETENTION: 0 after no longer neede
RETENTION: 1 year after date of respons
NOTE: Subpoenas relating to legal case files or other records listed in this Schedule should be retained as part of or as long as such files or other records
BUDGET
RETENTION: 6 year
a. Official copy, when not included in minute
RETENTION: PERMANEN
b. When budget is included in minute
RETENTION: 0 after officially recorded in minute
c. Reporting office cop
RETENTION: 0 after no longer neede
RETENTION: PERMANEN
a. Cumulative repor
RETENTION: 6 year
b. Monthly or quarterly repor
RETENTION: 1 yea
RETENTION: 6 year
RETENTION: 0 after no longer neede
CAMPS
NOTE: See also the Athletics section in this Schedule
a. Summary record or repor
RETENTION: 6 year
b. Underlying attendance or enrollment records involving financial transactions, such as tickets or voucher
RETENTION: 6 years after attendance or participation end
c. Underlying attendance or enrollment records not involving financial transaction
RETENTION: 3 years after attendance or participation end
RETENTION: 6 years, or 0 after child attains age 21, whichever is longe
RETENTION: 6 years after last entr
RETENTION: 6 year
a. If applicant is accepted or allowed to participate, and a fee is charge
RETENTION: 6 years after attendance or participation end
b. If applicant is accepted or allowed to participate, and no fee is charge
RETENTION: 3 years after attendance or participation end
c. If applicant is not accepte
RETENTION: 3 year
RETENTION: 6 years after facility no longer exist
RETENTION: 3 years after approval, denial, withdrawal, or expiratio
RETENTION: 21 year
RETENTION: 1 yea
RETENTION: 6 years, or 0 after camper attains age 21, whichever is longe
a. When information is also contained in individual health records file
RETENTION: 1 yea
b. When information is not contained in individual health records file
RETENTION: 6 years, or 0 after youngest person listed in record attains age 21, whichever is longe
RETENTION: 6 year
COUNSELING SERVICES
NOTE: See also the Students section in this Schedule
RETENTION: 6 years after graduation or date of last attendanc
RETENTION: 0 after superseded or obsolet
RETENTION: 0 after no longer neede
RETENTION: 0 after no longer neede
RETENTION: 0 after no longer neede
DEVELOPMENT
NOTE: See also the Alumni section in this Schedule
RETENTION: 0 after no longer neede
NOTE: Detailed records of specific gifts to a college or the University are covered by item no. 2 [283] in this section
a. When trust fund or endowment is involve
RETENTION: PERMANEN
b. For gift of work of art, historical or other artifact, or historical manuscrip
RETENTION: PERMANEN
c. For gift or bequest not covered under parts “a” or “b”, or by note abov
RETENTION: 6 year
NOTE: This item does not apply to donations of real property (see item no. 1 [412] in the Public Property and Equipment section)
a. Agreement or memorandum of understanding between the college or the University and a separately incorporated alumni association or foundatio
RETENTION: 6 years after expiration or terminatio
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently
b. Significant correspondence or records relating to decision-making or polic
RETENTION: PERMANEN
c. Routine correspondence and related material
RETENTION: 0 after no longer neede
DISABLED STUDENTS
RETENTION: 6 years after graduation or date of last attendanc
RETENTION: 3 years after superseded or obsolet
RETENTION: 0 after superseded or obsolet
DISASTER PREPAREDNESS
a. Official copy of plans, including supporting maps, when prepared by a college or the University under provisions of Section 23, Executive La
RETENTION: PERMANEN
b. Copies of plans held by a college or the University, including supporting maps, when official copies prepared under Section 23, Executive Law, are maintained by another entity that created them, and other disaster preparedness plans not prepared under Section 23, Executive Law, intended for specific buildings or for use specifically by a college or the Universit
RETENTION: 3 years after superseded or obsolet
c. Background materials and supporting documentation used in preparation of plan
RETENTION: 3 year
NOTE: See the related provisions for disaster preparedness and recovery plans in item no. 14 [655] in the Electronic Data Processing section
RETENTION: PERMANEN
EDUCATIONAL OPPORTUNITY CENTER
RETENTION: PERMANEN
RETENTION: PERMANEN
RETENTION: PERMANEN
a. Where file documents a significant subject or major policy-making or program-development proces
RETENTION: PERMANEN
b. Where file documents routine activit
RETENTION: 6 year
a. Official copy of any literature or other material made available to the publi
RETENTION: PERMANEN
b. File on each instructional course or progra
RETENTION: 1 year after course or program discontinue
RETENTION: 7 year
RETENTION: PERMANEN
RETENTION: 6 year
RETENTION: PERMANEN
a. For applicants who enter (when not included in student folder
RETENTION: 6 years after graduation or date of last attendanc
b. For applicants who do not enter, whether accepted or no
RETENTION: 2 years after date of admission or exclusio
a. 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 record
RETENTION: 6 years after graduation or date of last attendanc
NOTE: 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 your Records Management Coordinator for additional advice
b. 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 correspondenc
RETENTION: 1 yea
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 3 year
RETENTION: 6 years after complaint resolve
RETENTION: 6 year
RETENTION: 0 after superseded or obsolet
RETENTION: 6 year
RETENTION: 1 yea
RETENTION: 0 after no longer neede
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 4 years after graduation or date of last attendanc
ELECTRONIC DATA PROCESSING
General Administration
RETENTION: 0 after superseded or obsolet
NOTE: This item does not include college or University information resource management (IRM) plans, long-range or strategic plans, EDP and IRM policies, records that document fiscal transactions, and any records covered by other items in this Schedule
a. Master copy of plan and essential background documentatio
RETENTION: 3 planning cycles after plan completed, superseded, or revise
NOTE: 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 a college or the University. Contact your Records Management Coordinator for additional advice in this area
b. Copies, drafts, and routine materia
RETENTION: 0 after no longer neede
RETENTION: 3 years after policy withdrawn, revised, updated, or supersede
RETENTION: 0 after no longer needed for referenc
Systems and Application Development
RETENTION: 3 years after completion of projec
NOTE: This item does not cover system or application documentation (see item nos. 6 [647] and 7 [648] in this section). All relevant information and final documentation should be contained in system and application documentation files covered by these items
RETENTION: 3 years after system discontinued, or 0 after system data destroyed or transferred to new operating environment, whichever is longe
NOTE: This item does not cover data documentation or other records used to explain the meaning, purpose, or origin of data (see item no. 7 [648] in this section)
RETENTION: 3 years after system or application discontinued, or 0 after system’s or application’s data destroyed or transferred to new structure or format, whichever is longe
NOTE: It is essential that colleges and the University retain related documentation in an accessible format. This is particularly crucial if the documentation is stored in electronic form or the related records are appraised as archival. Application design documentation and user guides covered by item no. 6 [647] in this section may also serve to explain how data were interpreted and used. Contact your Records Management Coordinator for additional advice in this area
RETENTION: 3 system update cycles after code superseded or replace
NOTE: This item assumes that system backup files are maintained and disposed in accordance with accepted data processing practice (i.e., that 3 generations of backups are retained). See item no. 15 [656] in this section
RETENTION: 3 years after replaced or modified, or related programs no longer use
NOTE: Colleges and the University should consider retaining documentation for critical systems for a longer period. Contact your Records Management Coordinator for additional advice in this area
RETENTION: 0 after no longer needed, but not before user accepts and management reviews and approves test result
Computer Operations and Technical Support
RETENTION: 3 years after procedure withdrawn, revised, updated, or supersede
RETENTION: 0 after related hardware no longer used and all needed data transferred to and made usable in new hardware environmen
NOTE: Routine records that do not contain substantial information on the maintenance history or equipment should be destroyed on an annual basis, using item no. 18 [18] in the General section
RETENTION: 1 year after successful conversio
RETENTION: 0 after superseded or obsolet
NOTE: Colleges and the University should store disaster preparedness and recovery plans in a secure area off-site from the computer installation to which they refer
NOTE: See the related provisions for disaster preparedness and recovery plans in item no. 1 [135] in the Disaster Preparedness section
a. Monthly system back-up files for fiscal system
RETENTION: 0 after 3 system backup cycles, or 1 complete fiscal year after creation, whichever is longe
b. Other than monthly system back-up files for fiscal system
RETENTION: 0 after 3 system backup cycle
NOTE: This item does not cover system backup procedures (see item no. 11 [652] in this section) or computer system security records (see item no. 17 [879] in this section). Backups used to document transactions or retained for purposes other than system security are covered by other relevant sections in this Schedule. It is advisable that for many application systems two or three copies of backups be produced during each cycle
NOTE: Annual system backups may be retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases
RETENTION: 0 after individual no longer has access to system, but not before audit requirements for records modified by that individual have been me
NOTE: System users access records and computer usage records may also serve some security purposes
RETENTION: 10 years after last entr
RETENTION: 0 after 3 system backup cycle
RETENTION: 3 complete fiscal years after creatio
RETENTION: 0 after end of current fiscal year, or 1 month after run completed, whichever is longe
RETENTION: 0 after all data entered into system and, if required, verifie
NOTE: Input records retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Input records that document valid transactions are covered by item no. 23 [663] in this section. Input records containing information otherwise used by a college or the University are covered by other relevant sections in this Schedule
a. When export, import or relational data file is used to supply data to or receive data from other system, or to exchange data between files in this syste
RETENTION: 0 after no longer neede
NOTE: These data may have secondary value beyond the purpose for which they are created. Consider additional uses for these data in determining when they are no longer needed
b. When all transactions are captured in a master file, central file, valid transaction file, or database, and the file is not retained to provide an audit trail or recreate or document valid transactions, or needed for system recovery backu
RETENTION: 0 after transaction complete
c. When electronic file is needed to recreate or document a valid transaction, such as creation of a specific report or stud
RETENTION: As long as reports, studies, and other principal records for which file is created are retaine
NOTE: The ability of a college or the University to recreate or properly document the output may be tied to long-term retention of these records. Contact your Records Management Coordinator for additional advice regarding the long-term retention of electronic records
RETENTION: 0 after 3 database/master file backup cycle
NOTE: This item does not include records retained to document a program unit action or for fiscal audit purposes. Records retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Records used to document a program unit action (e.g., receipt of a voucher, issuance of a check), as opposed to a strictly data processing transaction, are covered by other relevant sections in this Schedule
RETENTION: 0 after all print runs completed, output verified (if required), and reproduction of report no longer neede
NOTE: Print files retained for fiscal audit purposes are covered in the Fiscal section in this Schedule. Print files used to document program unit transactions are covered by other relevant sections in this Schedule
RETENTION: 0 after 3 database/master file backup cycle
RETENTION: 0 after output distribute
RETENTION: 0 after data distribute
NOTE: Appraise these records for historical significance prior to disposition. Some snapshots of data created and maintained as either electronic files saved to disk, tape or diskette, or as hard-copy output such as printed maps, may warrant longer retention. Contact your Records Management Coordinator for additional advice on the creation and maintenance of these records
RETENTION: 0 after related hard copy or electronic records destroye
NOTE: Finding aids and tracking systems of program units other than data processing units are covered by the items covering the related program records in the relevant sections in this Schedule
RETENTION: 0 after related records or media destroyed or withdrawn from tape librar
RETENTION: 0 after superseded or (if required) management review and approva
RETENTION: 0 after superseded or obsolet
Data Administration
RETENTION: 0 after related application discontinued or modified, or 0 after application’s data destroyed or transferred to new structure or format, whichever is longe
RETENTION: 0 after superseded or obsolet
NOTE: The official copy of essential data documentation is covered by either item no. 7 [648] or item no. 32 [672] in this section
User/Office Automation Support
a. Site visit reports, problem and equipment service reports, and routine correspondence and memorand
RETENTION: 3 years after creatio
b. Service histories and other summary record
RETENTION: 0 after related equipment no longer in us
RETENTION: 1 year after creatio
RETENTION: 0 after superseded or obsolet
Network/Data Communication Services
a. Site visit reports, trouble reports, and related correspondenc
RETENTION: 3 years after creatio
b. Service histories and other summary record
RETENTION: 0 after related equipment or site no longer in us
c. Routine records that do not contain substantial information on the maintenance history or sit
RETENTION: 1 yea
RETENTION: 0 after circuit no longer use
RETENTION: 1 year after request filled or repairs mad
RETENTION: 0 after 3 system backup cycles after creatio
RETENTION: 1 complete fiscal year after creatio
RETENTION: 0 after superseded or obsolet
Internet Services
RETENTION: 0 after 3 backup cycles, but not before relevant audit and documentation requirements me
RETENTION: 0 after 3 backup cycles, but not before any appropriate review and verificatio
ENVIRONMENTAL
NOTE: See item no. 12 [755] in the Health Services section for records dealing with medical waste disposal
a. Individual load delivery and other detailed records, including manifest for
RETENTION: 3 years after waste accepted by transporte
b. Annual and exception report
RETENTION: 3 years after due date of repor
c. Test results and waste analyse
RETENTION: 3 years after waste remove
RETENTION: 30 year
a. Water sample test results and related records, when lead or copper level exceeds the action level as defined in Section 5-1.41, State Sanitary Cod
RETENTION: 50 year
b. Water sample test results and related records, when lead or copper level does not exceed the action level as defined in Section 5-1.41, State Sanitary Cod
RETENTION: 10 year
c. Records of remediation by replacement of lead or copper plumbin
RETENTION: 6 years after building no longer exist
d. Records of remediation by elimination or replacement of water cooler not connected to plumbin
RETENTION: 6 years after cooler eliminated or replace
RETENTION: 3 year
NOTE: Records of incidents of possible exposure to pesticides (including herbicides, rodenticides, and disinfectants) and other records created because pesticides are considered “toxic substances” are covered by item no. 17 [325] in this section
RETENTION: 40 years after superseded or obsolet
RETENTION: 40 year
RETENTION: 1 year after superseded or no longer vali
RETENTION: 3 years after denial or expiratio
RETENTION: 21 year
a. Hazardous materials location report or exemption filed with fire department or district, or equivalent recor
RETENTION: 3 years after hazardous materials no longer stored at sit
NOTE: Colleges and the University should retain these records longer, possibly as long as 40 years, if the hazardous materials listed on the record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. regulations). Contact the University’s Environmental Health and Safety Office for additional advice
b. Textual reference information containing medical, chemical, or other information used to assist dispatchers and responding personnel, and maps of agency/service coverage
RETENTION: 3 years after superseded or obsolet
c. Reports on hazardous materials found in the service area in its entirety, or at specific location
RETENTION: 3 years after hazardous materials listed in report no longer present at listed site
NOTE: Colleges and the University should retain these records longer, possibly as long as 40 years, if the hazardous materials listed on the record include substances listed in Subpart Z, 29 CFR (federal O.S.H.A. regulations). Contact the University’s Environmental Health and Safety Office for additional advice
NOTE: If the reports in part “c” document the presence of hazardous materials in a community at a given time, they should be appraised for historical significance. These records may have immediate significance for fire fighting and disaster prevention and long-term research value in situations where the hazardous materials found in the area had a significant impact on the community. Contact your Records Management Coordinator for additional advice
a. Approval to possess or use radioactive materials received from New York City Department of Health, and related record
RETENTION: 3 years after college or University no longer possesses or uses the radiological material
b. Registration of radiation-producing equipment with New York City Department of Health, and related record
RETENTION: 2 years after expiration or renewa
a. Annual or other summary occupational dose record
RETENTION: 90 year
b. Detailed occupational dose record
RETENTION: 0 after annual or other summary record containing this information is produce
c. Records of prior occupational dos
RETENTION: 90 year
d. Records of planned special exposure
RETENTION: 90 year
a. Regulatory inspection and audit records, including master summary record and “index card
RETENTION: 90 year
b. Equipment accuracy testing records, including surveys, calibrations, measurements, and quality control test
RETENTION: 3 year
a. Records concerning theft or loss of radiation source, excessive release of radiation, or excessive exposure of individual to radiation, including documentation of notificatio
RETENTION: PERMANEN
b. Record of disposal by burial in soi
RETENTION: PERMANEN
c. Records of disposal by incineration or release into sanitary sewer syste
RETENTION: 6 year
d. Records of authorized transfer or receipt, or issue and return of radiation source or radioactive material
RETENTION: PERMANEN
a. Records documenting provisions of progra
RETENTION: 3 years after program ceases to exis
b. Audits and other reviews of program content and implementatio
RETENTION: 3 year
c. Records documenting specific instructions given to worker
RETENTION: 90 year
NOTE: This item does not cover employee training course information records described in item no. 36 [584] in the General section, training in dealing with toxic substances (see item no. 17 [325] in this section), or training in the Public Safety area (see item nos. 3 [435] and 14 [441] in the Public Safety section)
RETENTION: 3 years after last entr
a. Records of exposure or possible exposure of an employee to a toxic substance or other harmful physical agent, including background data to environmental monitoring or measuring, biological monitoring records that are designated as exposure records, material safety data sheets, chemical inventory records indicating use and identity of a toxic substance or harmful physical agent, and related record
RETENTION: 90 year
NOTE: Environmental monitoring background data may be destroyed after one 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 29 CFR 1910.1020 (d-1) (ii-A)
b. Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substance
RETENTION: 90 year
c. Material safety data sheet or fact sheet providing detailed information on specific toxic or other substance at workplace, when not used for parts “a” or “b” above as the list of toxic substances (as defined in 29 CFR 1910, Subpart Z) in the workplace, or for substances not defined in 29 CFR 1910, Subpart Z as being toxi
RETENTION: 3 years after substance no longer present at workplac
NOTE: If material safety data sheets or fact sheets are used for parts “a” or “b” as the list of toxic substances (as defined in 29 CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts “a” or “b”
d. Training records covering training of individual employee in handling toxic substance
RETENTION: 90 year
e. Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employee
RETENTION: 90 year
f. Policy statements and procedures issued by a college or the University relative to dealing with toxic substance
RETENTION: PERMANEN
NOTE: This item does not include employee medical records concerning exposure to toxic substances or harmful physical agents (see item no. 19 [330] in the Personnel/Civil Service section)
NOTE: This item does not cover employee training course information records described in item no. 36 [584] in the General section, training in radiation program safety (see item no. 15 [763] in this section, or training in the Public Safety area (see item nos. 3 [435] and 14 [441] in the Public Safety section)
RETENTION: PERMANEN
a. Environmental impact statements and related report
RETENTION: PERMANEN
b. Background materials and supporting documentation used in preparing statements and report
RETENTION: 6 year
NOTE: 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 colleges and the University may want to consider retaining these records permanently. Contact your Records Management Coordinator for additional advice in this area
a. Flood insurance maps, including all update
RETENTION: PERMANEN
b. Other records, including shoreline and flood hazard boundary maps, flood insurance surveys, storm damage reports, and records provided college or University officials by the State Department of Environmental Conservation, but excluding flood insurance map
RETENTION: 0 after superseded or obsolet
NOTE: 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 your Records Management Coordinator for additional advice in this area
EXECUTIVE, MANAGER, AND/OR ADMINISTRATOR
a. Where file documents a significant subject or major policy-making or program-development proces
RETENTION: PERMANEN
b. Where file documents routine activit
RETENTION: 6 years, or 6 years after expiration of contract, as appropriat
a. Where file documents a significant subject or major policy-making or program-development proces
RETENTION: PERMANEN
b. Where file documents routine activit
RETENTION: 6 year
FINANCIAL AID
RETENTION: 6 years after graduation, date of last attendance, or financial accounting, whichever is longe
RETENTION: 6 year
NOTE: Appraise these records for continuing administrative or historical value prior to disposition. Records with historical value should be retained permanently. Reports containing information showing trends in student financial aid over time may be valuable for planning and other decision-making as well as research purposes
RETENTION: 6 years after case close
RETENTION: 6 academic years after loan is repaid, fully canceled, or assigned to U.S. Department of Educatio
FISCAL
General Accounting and Miscellaneous
NOTE: See item no. 15 [656] in the Electronic Data Processing section for system backup files for fiscal systems and related electronic records
RETENTION: 6 years after last entr
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. General ledgers containing detailed entries that include information on the nature of transaction and parties involved may be valuable in documenting financial transactions involving a college or the University
RETENTION: 6 years after last entr
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Subsidiary ledgers containing detailed entries that include information on the nature of transaction and parties involved may be valuable in documenting financial transactions involving a college or the University if this detailed information is not contained in general ledgers
RETENTION: 6 years after last entr
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Journals containing detailed entries that include information on payor, payee, and purpose may be valuable in documenting financial transactions involving a college or the University
RETENTION: 6 years after last entr
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 years after account satisfied or otherwise close
RETENTION: 6 year
RETENTION: 6 year
a. Customer’s individual accoun
RETENTION: 6 years after last entr
b. Records used to determine billing and charges, including copies of bills and charge slip
RETENTION: 6 year
c. Billing address record
RETENTION: 0 after superseded or obsolet
NOTE: See item no. 20 [86] in this section for student’s individual account records
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 1 year after superseded or obsolet
RETENTION: 6 years after last entr
RETENTION: 6 year
a. Master summary record of grants, awards, or gift
RETENTION: PERMANEN
b. Detailed records of grants, awards, and gifts to students or other individuals or entities other than faculty or staff, excluding master summary recor
RETENTION: 6 year
c. Detailed records of grants, awards, and gifts to faculty or staff, excluding master summary recor
RETENTION: 6 years, or termination of employment, whichever is longe
RETENTION: 6 year
RETENTION: 6 years after last entr
NOTE: See item no. 12 [210] in this section for other billing records
a. Tax return
RETENTION: PERMANEN
b. Related record
RETENTION: 7 year
Audit
a. Audit filed pursuant to Section 35, General Municipal Law, conducted by the Office of the State Comptroller, the New York City Comptroller, or an outside auditing fir
RETENTION: PERMANEN
b. Other external audit
RETENTION: 7 year
c. Internal audits, conducted by college or University official
RETENTION: 7 year
RETENTION: 6 year
RETENTION: 6 years after audit accepte
Banking and Investment
RETENTION: 6 year
RETENTION: 6 year
NOTE: It is recommended that a list of destroyed unused checks be created and maintained for legal or audit purposes
RETENTION: 6 year
RETENTION: 6 years after agreement, designation, bond, or surety has expired or been superseded or rescinde
RETENTION: 6 years after last entr
RETENTION: 6 years after cancellatio
RETENTION: 6 year
Claims and Warrants
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 years after final disposition of clai
a. For any funds held in a savings ban
RETENTION: 20 year
b. For any funds not held in a savings ban
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 years after satisfaction, or 10 years, whichever is shorte
Reports
RETENTION: 6 year
a. When report is not included in minute
RETENTION: PERMANEN
b. When report is included in minute
RETENTION: 0 after officially recorde
RETENTION: 6 year
RETENTION: 6 year
RETENTION: 6 year
FOOD SERVICES
a. Program participation or other legal agreement, including attachments and amendment
RETENTION: 6 years after termination of agreemen
b. 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 voucher
RETENTION: 6 year
a. When any significant problem is encountere
RETENTION: 0 after youngest person involved attains age 2
b. When no significant problem is encountere
RETENTION: 3 year
HEALTH SERVICES
General
RETENTION: 7 years after superseded, revoked, or no longer vali
RETENTION: PERMANEN
RETENTION: 0 after superseded or obsolet