Records Retention and Disposition Schedule
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; and
- 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; and
- 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.
1[1] Official minutes and hearing proceedings of Board of Trustees or committee thereof, and minutes of official faculty or department committee meeting, including all records accepted as part of minutes
RETENTION: PERMANENT
2[2] Recording of voice conversations, including audio tape, videotape, stenotype, stenographer's notebook, and verbatim minutes used to produce official minutes and hearing proceedings, report, or other record
a. Recording of public or other meeting of Board of Trustees or committee thereof, or official faculty or department committee meeting
RETENTION: 4 months after transcription and/or approval of minutes or proceedings
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 recordings
RETENTION: 0 after no longer needed
3[3] Meeting files for meeting of Board of Trustees or committee thereof, or official faculty or department committee meeting, including agendas, background materials, and other records used at meetings
RETENTION: 1 year
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.
4[4] Legal opinion rendered by counsel of a college or the University
RETENTION: PERMANENT
5[5] Rule, regulation, resolution, or proclamation issued by a college or the University
RETENTION: PERMANENT
6[6] Legal agreement, including contract, lease, and release involving a college or the University
RETENTION: 6 years after expiration or termination, or 6 years after final payment under contract, whichever is longer
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.
7[7] Signature card, or equivalent record, showing signature of individual legally authorized to sign specific transaction
RETENTION: 6 years after authorization expires or is withdrawn
8[8] Proof of publication or posting, legal notices, or certification thereof
a. Relating to bond or note issue or tax limit increase
RETENTION: 6 years after issue or increase disapproved or retired
b. Not relating to bond or note issue or tax limit increase
RETENTION: 6 years
9[9] Manual of procedures, policies, or standards
a. Involving major procedures, policies, or standards affecting college or University operations, critical functions, or issues of public visibility or concern
RETENTION: PERMANENT
b. Involving routine day-to-day procedures, policies, or standards pertaining to internal administration of a college or the University
RETENTION: 6 years after superseded or obsolete
10[10] Correspondence and supporting documentation maintained in a subject file (generated or received by a college or the University), except correspondence that is part of a case file or other record listed elsewhere in this Schedule
a. Documenting significant policy or decision-making or significant events, or dealing with legal precedents or significant legal issues
RETENTION: PERMANENT
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 information
RETENTION: 6 years
c. Of no fiscal, legal, or administrative value (including letters of transmittal, invitations, and cover letters)
RETENTION: 0 after no longer needed
11[11] Official copy of publication, including newsletter, press release, published report, bulletin, homepage or other website file, educational or informational program material, or catalog prepared by or for a college or the University
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 reports
RETENTION: PERMANENT
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 Internet
RETENTION: 0 after no longer needed
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.
12[12] Special project or program files, including official copy of publications, videotapes, or informational literature prepared for public distribution, background materials, and supporting documentation
RETENTION: 6 years after project or program ends
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.
13[13] Grant program file
a. Application, proposal, narrative, evaluation, and annual report for grants that have been awarded
RETENTION: 6 years after renewal or close of grant
b. Background material, fiscal records, and supporting documentation for grants that have been awarded, and all records relating to grant applications that have been rejected
RETENTION: 6 years after renewal or close of grant or denial of application
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.
14[33] Complaint, petition, or request for service received by a college or the University
a. Summary record (such as log or register) of complaints, petitions, or requests
RETENTION: 6 years after disposition of all complaints, petitions, or requests listed
b. Complaints, petitions, or requests relating to other than routine college or University services or activities
RETENTION: 6 years after final disposition of complaint, petition, or request
c. Complaints, petitions, or requests relating to routine college or University services or activities
RETENTION: 1 year after final disposition of complaint, petition, or request
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.
15[15] Opinion survey records
a. Survey results, including official copy of survey form
RETENTION: 6 years
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 forms
RETENTION: 0 after survey results prepared
16[16] Repair, installation, maintenance, or similar record, including but not limited to request for service, work order, record of work done, and summary or log of service performed
RETENTION: 6 years
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.
17[17] Internal investigation or non-fiscal audit records
a. Report and recommendation resulting from investigation
RETENTION: PERMANENT
b. Background materials and supporting documentation
RETENTION: 6 years
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.
18[18] Internal information record, including but not limited to calendars of appointments, office and travel schedules, memoranda, routing slips, routine internal reports, reviews, and plans, used solely to disseminate information or for similar administrative purposes
RETENTION: 0 after no longer needed
19[19] Duplicate copy of record created for administrative convenience, except where retention is specified elsewhere in this Schedule
RETENTION: 0 after no longer needed
20[20] Log or schedule used for internal administrative purposes only
RETENTION: 0 after no longer needed
21[21] Mailing list used for billing or other administrative purposes
RETENTION: 0 after superseded or obsolete
22[22] Daily, weekly, monthly, quarterly, or other periodic internal or external report, summary, review, evaluation, log, list, statement, or statistics
RETENTION: 6 years
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.
23[23] Annual, special, or final report, summary, review, or evaluation
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 directions
RETENTION: PERMANENT
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 information
RETENTION: 6 years
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.
24[24] Program plan (annual, special, or long-range)
RETENTION: PERMANENT
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.
25[25] List, index, or summary used for internal administrative convenience or for informational purposes
RETENTION: 0 after superseded or obsolete
26[26] Working document, such as draft, worksheet, or posting record, except worksheets containing fiscal information
RETENTION: 0 after no longer needed
27[27] Communication log recording each communication between caller and receiving unit
RETENTION: 1 year
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).
28[28] Telephone call log, statement, or equivalent record
RETENTION: 1 year
29[29] Identification card (duplicate copy or record of issuance) issued to student or visitor
RETENTION: 0 after no longer valid
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.
30[30] Postal records, including returned registered or certified mail card or receipt and insurance receipt
a. Relating to legal notice or official notice to personnel
RETENTION: 3 years
b. Not relating to legal notice or official notice to personnel
RETENTION: 1 year
31[31] Accident report and related records
RETENTION: 3 years, or 0 after youngest person involved attains age 21, whichever is longer
32[32] Report of incident of theft, arson, vandalism, property damage, or similar occurrence
RETENTION: 6 years
NOTE: This item does not apply to records found in the public safety area (see item no. 11 [891] in the Public Safety section).
33[581] College or University public access television records
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 University
i. Where program constitutes an important public meeting, significant event, or important subject, or documents college or University policy-making
RETENTION: PERMANENT
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 subject
RETENTION: 1 year
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 University
RETENTION: 0 after no longer needed
c. Viewer guide or other periodic listing of programs
RETENTION: 1 year
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 programs
RETENTION: 6 years
34[582] Records covering photocopying and other reproduction of records, books, or other materials, including usage logs and individual copying requests
a. For materials subject to U.S. Copyright Law
RETENTION: 3 years
b. For materials not subject to U.S. Copyright Law
RETENTION: 0 after no longer needed
35[583] Copyright and trademark records for materials copyrighted and marks trademarked by a college or the University, including but not limited to copy of application, registration or renewal of copyright or trademark, and correspondence
RETENTION: PERMANENT
36[584] Employee training course information records, including but not limited to memoranda, flyers, catalogs, and other records related to specific training courses, such as information on course content, program registration, instructor, credits, hours, and roster of registrants
RETENTION: 0 after superseded or obsolete
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).
37[585] Employee training course registration processing records, including but not limited to employees' application and enrollment records for courses, employee data forms, course applications, and supervisors' and training officers' authorizations or denials
a. Registration processing records for courses involving health and safety programs
RETENTION: 5 years after date of application to take course
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 programs
RETENTION: 3 years after date of application to take course
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).
38[69] Special event file
a. Official copy of any program or promotional literature
RETENTION: PERMANENT
b. Background materials and supporting documentation
RETENTION: 6 years
39[736] Photographs or other visual media records created by a college or the University that are not part of an item listed elsewhere in this Schedule
RETENTION: 0 after no longer needed
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.
40[735] Miscellaneous non-government records received by a college or the University
RETENTION: 0 after no longer needed
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
1[53] Accreditation records for institutional or program accreditation by the Middle States Association of Colleges and Secondary Schools, the National League for Nursing, and other organizations responsible for accrediting institutions of higher learning, including but not limited to institutional self-study documents, reports, and determinations resulting from onsite visits for evaluation, and the college's response to deficiencies noted
a. Significant correspondence, reports, questionnaires, self-study records and reports, guides, and related documents transmitted between a college or the University and accrediting bodies
RETENTION: PERMANENT
b. Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records
RETENTION: 6 years after accreditation approved or denied
2[54] Curriculum development records, covering internal development and approval for credit, non-credit, and continuing education programs and courses
a. Curriculum and related records describing course of instruction and course content, including transfer status information and course history records
RETENTION: 7 years
b. Approved internal application for curriculum
RETENTION: 7 years
c. Denied internal application for curriculum
RETENTION: 1 year
d. Curriculum planning records
RETENTION: 0 after no longer needed
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.
3[55] Academic program proposals, including proposals for registration of new programs and requests for approval of changes in existing program title, credit hours, curricular content, format, and/or resource commitment
a. For successful registration of program
RETENTION: PERMANENT
b. For failed proposal
RETENTION: 0 after no longer needed
4[56] Curriculum/program registration records, including approvals from a college or the University and registration letters from the State Education Department
RETENTION: PERMANENT
5[58] Master plan, and documents and establishment plan concerning the degree-granting authority of a college or the University, including background materials
RETENTION: PERMANENT
6[59] Course information records
a. Official copy of any literature or other material made available to the public, including college catalogs and student handbooks
RETENTION: PERMANENT
b. Detailed course descriptive information, including background materials and supporting documentation
RETENTION: 7 years after course or program discontinued
c. Routine internal information records relating to courses, including but not limited to draft descriptions and tentative course schedules
RETENTION: 1 year
7[881] Faculty and faculty-student research records maintained separately from faculty personnel records and individual student academic records
a. Published books, papers, journal articles, and other materials made available to the public
RETENTION: PERMANENT
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 unfunded
RETENTION: 3 years after research concluded or otherwise terminated
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.
8[CU1] Records of Institutional Review Boards
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 activities
RETENTION: 3 years after research concluded or otherwise terminated
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 IRB
RETENTION: 3 years
Admissions
1[60] Admissions records, including but not limited to application, entrance examinations and reports, letters of recommendation, transcripts from secondary schools and other colleges and universities, acceptance letters, advanced placement records, evaluations, and supporting documentation
a. For applicants who are accepted and attend
RETENTION: 6 years after graduation or date of last attendance
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 accepted
RETENTION: 2 years after date of exclusion or end of permitted enrollment period for accepted applicants
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.
1[244] Individual complaint or problem case file of human rights, economic opportunity, equal employment, community relations, or similar function, including individual case summary record, filed in or referred to New York City Commission on Human Rights, New York State Division of Human Rights, Equal Employment Opportunity Commission, or other administrative agency
RETENTION: 6 years after termination of individual's employment, or 6 years after last entry, whichever is longer
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.
2[245] Summary record for individual case and/or master summary record of all cases
RETENTION: PERMANENT
3[317] Equal employment opportunity report and related records for college and University employees
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 workforce
RETENTION: PERMANENT
b. Periodic reports, statistics, and other records used in compiling annual, long-term, or special (narrative or statistical) reports, goals, and achievements
RETENTION: 1 year
c. Affirmative action and related complaint investigation records
RETENTION: 6 years after termination of individual's employment, or 6 years after final determination, whichever is longer
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.
1[65] Alumni contact records, including but not limited to name, address, occupation, degree attained, marital status, and summary records of financial contributions of alumni
RETENTION: 0 after superseded or obsolete
2[882] Alumni directory or other master summary record of alumni and all other degree recipients, such as published alumni catalog, providing names of alumni, years of graduation, degrees granted, place of residence, and other information
RETENTION: PERMANENT
Archives/Records Management
1[34] Records disposition documentation
a. Consent of the Commissioner of Education to the use of records retention and disposition schedules and the legal disposition of records
RETENTION: 0 after superseded or obsolete
b. Documentation of final disposition of records, describing records disposed of and manner and date of disposition
RETENTION: 6 years after final disposition of records
NOTE: Documentation of the final disposition of archival records is covered by item no. 3 [36] in this section.
2[35] Inventory of records
RETENTION: 0 after superseded or obsolete
3[36] Records transfer list
a. For archival records
RETENTION: PERMANENT
b. For inactive records
RETENTION: 0 after disposition of records on list
4[37] Retrieval request for records in storage
RETENTION: 0 after return of records, or 3 years after retrieval when records not returned
5[38] Archival administration records
a. Appraisal and accessioning documentation, including assessment of conservation needs
RETENTION: PERMANENT
b. Processing and management working papers, drafts, notes, and related records
RETENTION: 0 after no longer needed
6[39] Guide, listing, index, or other finding aid to archival records
RETENTION: 0 after superseded or obsolete
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.
7[40] Records on use of archival materials
a. Log or register of researchers, and patron's registration for use of archival records
RETENTION: 6 years
b. Researcher interviews, reference statistics, requests for records, or similar reference service records
RETENTION: 0 after no longer needed
Athletics
1[66] Player recruitment/scouting file concerning recruitment of student athletes for college sports programs, including but not limited to scouting reports, lists of prospects, recruitment proposals, and correspondence
a. For student athletes entering college
RETENTION: 3 years after graduation or date of last attendance
b. For student athletes who do not enter college
RETENTION: 0 after no longer needed
2[67] Athletic scholarship file, including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, and correspondence
RETENTION: 6 years
3[70] Athletic program records
a. Lists of athletes or participants, records of intercollegiate competitions and intramural athletics, and other records, except scouting and training videotapes and other records
RETENTION: 6 years
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 purposes
RETENTION: 0 after no longer needed
4[883] Records of gender equity in athletics, including audit and self-evaluation records for male and female athletes and related records, such as records created pursuant to Title IX of the Education Amendments of 1972, codified in Sections 1681-1688 of 20 USC and Section 106.41 of 34 CFR
RETENTION: 6 years
NOTE: For related reports and records on athletic program activities, see item no. 17 [889] in the Students section.
5[884] Substance or alcohol abuse testing records for individual athlete not included in student health services case record
a. Positive test results and related records
RETENTION: 6 years after last entry
b. Negative test results
RETENTION: 3 years
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.
6[885] Athletic training records, including but not limited to records of training provided individual athletes and staff
RETENTION: 6 years after last entry
7[101] Athletic health information report determining student eligibility to participate in campus sports activities
RETENTION: 6 years after graduation or date of last attendance
Attorney or Counsel
1[41] Legal case file, including but not limited to notice of claim, attorney and investigator activity logs, complaints, answers, copies of filed court documents, incident reports, court orders or decisions, motions, notes, briefs, releases, and closing sheets
RETENTION: 6 years after case closed, or 0 after youngest person involved attains age 21, whichever is longer
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.
2[42] Legal brief file ("brief bank") containing duplicate copies of legal briefs from case files, retained separately for future reference
RETENTION: 0 after no longer needed
3[43] Legal case log giving chronological listing of cases
RETENTION: 0 after no longer needed
4[44] Legal case index, including notations on activities related to case
RETENTION: PERMANENT
5[45] Subject file assembled and kept for reference purposes
RETENTION: 0 after no longer needed
6[880] Subpoena, along with documentation of response, issued to a college or University officer, when not part of legal case file or any other records listed in this Schedule
RETENTION: 1 year after date of response
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
1[46] Budget preparation file for budget request or estimate submitted by department head, including but not limited to the preliminary or tentative budget, budget appropriation and staffing requests, estimates of revenues or expenditures, narrative of services, budget message, budget hearing and review files, and related records
RETENTION: 6 years
2[49] Annual budget
a. Official copy, when not included in minutes
RETENTION: PERMANENT
b. When budget is included in minutes
RETENTION: 0 after officially recorded in minutes
c. Reporting office copy
RETENTION: 0 after no longer needed
3[50] Special budget filed with city, state, or federal agency
RETENTION: PERMANENT
4[51] Budget status report on allocation, receipts, expenditures, encumbrances, and unencumbered funds
a. Cumulative report
RETENTION: 6 years
b. Monthly or quarterly report
RETENTION: 1 year
5[52] Budgetary change request and approval or denial for change in approved budget, including but not limited to transfer of funds from one budget item to another, overtime authorization, or request for supplemental funds
RETENTION: 6 years
6[718] Copies of other budgets received and maintained for informational purposes
RETENTION: 0 after no longer needed
Camps
NOTE: See also the Athletics section in this Schedule.
1[506] Participation, attendance, or enrollment records
a. Summary record or report
RETENTION: 6 years
b. Underlying attendance or enrollment records involving financial transactions, such as tickets or vouchers
RETENTION: 6 years after attendance or participation ends
c. Underlying attendance or enrollment records not involving financial transactions
RETENTION: 3 years after attendance or participation ends
2[508] Parental consent records allowing child's participation in camp activities, including authorization for medical treatment
RETENTION: 6 years, or 0 after child attains age 21, whichever is longer
3[843] Field trip records, including but not limited to trip request data, bus driver and staff assignments, list of attendees, and trip reports
RETENTION: 6 years after last entry
4[844] Bus or other vehicle use file, covering school bus or other vehicle used for transporting persons involved in camp activities, including but not limited to copies of contracts, certificates of insurance, driver information, daily logs or other reports, and copies of applicable rules and regulations
RETENTION: 6 years
5[845] Applications for individual acceptance to camp, or participation in specific camp programs and activities
a. If applicant is accepted or allowed to participate, and a fee is charged
RETENTION: 6 years after attendance or participation ends
b. If applicant is accepted or allowed to participate, and no fee is charged
RETENTION: 3 years after attendance or participation ends
c. If applicant is not accepted
RETENTION: 3 years
6[846] Facility information data record containing basic data on camp facilities
RETENTION: 6 years after facility no longer exists
7[847] Permits and approvals to operate camp, covering pool, beach, food service and all related permits, including applications and related materials
RETENTION: 3 years after approval, denial, withdrawal, or expiration
8[848] Reports of camp operation and inspection, including facility safety, health, and food service reports
RETENTION: 21 years
9[849] Routine reports, including analysis of pool or beach water samples
RETENTION: 1 year
10[850] Health records for individual camper
RETENTION: 6 years, or 0 after camper attains age 21, whichever is longer
11[851] Log or list of illnesses, accidents, injuries, or other health- and safety-related incidents
a. When information is also contained in individual health records files
RETENTION: 1 year
b. When information is not contained in individual health records files
RETENTION: 6 years, or 0 after youngest person listed in record attains age 21, whichever is longer
12[854] Scholarship records, including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, list of scholarships awarded campers, and correspondence
RETENTION: 6 years
Counseling Services
NOTE: See also the Students section in this Schedule.
1[72] Student counseling records, including but not limited to request for assistance relating to emotional, psychological, personal, social, academic, or placement and career planning concerns, and also covering tutoring and mentoring services provided for and received by students
RETENTION: 6 years after graduation or date of last attendance
2[74] List of student appointments, including slips, return cards, counseling schedules, or appointment books
RETENTION: 0 after superseded or obsolete
3[75] Statistical compilation or reports of students served
RETENTION: 0 after no longer needed
4[76] Catalogs and related public relations information received from other academic, vocational, or educational institutions
RETENTION: 0 after no longer needed
5[886] Career placement records, including but not limited to records of on-campus visits and interviews, job fairs, employer information sessions, and job searches, but not including individual student counseling records
RETENTION: 0 after no longer needed
Development
NOTE: See also the Alumni section in this Schedule.
1[78] Donor (and prospective donor) information records containing information on individuals, organizations, foundations, or corporations
RETENTION: 0 after no longer needed
NOTE: Detailed records of specific gifts to a college or the University are covered by item no. 2 [283] in this section.
2[283] Record of gifts and bequests to a college or the University, including copy of will, copies of deeds, maps and surveys (if applicable), and records of establishment of and use of monies generated by trust fund or endowment
a. When trust fund or endowment is involved
RETENTION: PERMANENT
b. For gift of work of art, historical or other artifact, or historical manuscript
RETENTION: PERMANENT
c. For gift or bequest not covered under parts "a" or "b", or by note above
RETENTION: 6 years
NOTE: This item does not apply to donations of real property (see item no. 1 [412] in the Public Property and Equipment section).
3[64] Alumni association or foundation file containing records concerning the association's or foundation's relation with a college or the University
a. Agreement or memorandum of understanding between the college or the University and a separately incorporated alumni association or foundation
RETENTION: 6 years after expiration or termination
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 policy
RETENTION: PERMANENT
c. Routine correspondence and related materials
RETENTION: 0 after no longer needed
Disabled Students
1[79] Student file, including but not limited to information on disability, correspondence with student's sponsoring agency, orders for special equipment, and notes of contacts with counselors
RETENTION: 6 years after graduation or date of last attendance
2[80] Disabled student emergency evacuation plan
RETENTION: 3 years after superseded or obsolete
3[81] Staff development materials relating to instructor orientation to disabled students and general disabilities
RETENTION: 0 after superseded or obsolete
Disaster Preparedness
1[135] Disaster preparedness or crisis relocation records
a. Official copy of plans, including supporting maps, when prepared by a college or the University under provisions of Section 23, Executive Law
RETENTION: PERMANENT
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 University
RETENTION: 3 years after superseded or obsolete
c. Background materials and supporting documentation used in preparation of plans
RETENTION: 3 years
NOTE: See the related provisions for disaster preparedness and recovery plans in item no. 14 [655] in the Electronic Data Processing section.
2[136] Disaster response and damage files compiling information on the response of all agencies to a major disaster, including records such as photographs, press clippings, property damage reports, records of emergency response, summary reports of personal injuries, records relating to demolition and new construction, and correspondence
RETENTION: PERMANENT
Educational Opportunity Center
1[618] Program approvals for center and/or program operation, including approvals from State University of New York (SUNY) and New York State Education Department (SED)
RETENTION: PERMANENT
2[619] Establishment records for educational opportunity center or former urban center
RETENTION: PERMANENT
3[620] Annual or other summary statistical report relating to enrollment, graduations, terminations, student finances, ethnicity, and grades
RETENTION: PERMANENT
4[621] Director's office files, including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts, and other legal documents
a. Where file documents a significant subject or major policy-making or program-development process
RETENTION: PERMANENT
b. Where file documents routine activity
RETENTION: 6 years
5[622] Course informational program file
a. Official copy of any literature or other material made available to the public
RETENTION: PERMANENT
b. File on each instructional course or program
RETENTION: 1 year after course or program discontinued
6[623] Curriculum development records, including but not limited to course worksheets, evaluations, and recommendations
RETENTION: 7 years
7[624] Official copy of course listing
RETENTION: PERMANENT
8[625] Course outline
RETENTION: 6 years
9[626] Class record, including class number and title, location, date and time class meets, and student attendance
RETENTION: PERMANENT
10[627] Admissions data, including but not limited to acceptance letter, application, income eligibility records, placement testing records, letters of recommendation, and transcripts from schools
a. For applicants who enter (when not included in student folder)
RETENTION: 6 years after graduation or date of last attendance
b. For applicants who do not enter, whether accepted or not
RETENTION: 2 years after date of admission or exclusion
11[628] Student folder
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 records
RETENTION: 6 years after graduation or date of last attendance
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 correspondence
RETENTION: 1 year
12[629] Student's attendance record (register), including but not limited to each student's name, address, and daily attendance, absence, and tardiness
RETENTION: 6 years
13[630] Student request for counseling or assistance relating to emotional, psychological, personal, social, academic, or vocational concerns
RETENTION: 6 years
14[631] Termination record containing academic, attendance-related, or disciplinary termination information not contained in student folder
RETENTION: 3 years
15[632] Student complaint records, including but not limited to complaint, investigative records, hearing proceedings, decision rendered, student appeal, final decision, and correspondence
RETENTION: 6 years after complaint resolved
16[633] Student disciplinary records (other than those contained in student folder), including but not limited to suspension or disciplinary notice, hearing record, and correspondence
RETENTION: 6 years
17[634] List of students enrolled in specific course or program
RETENTION: 0 after superseded or obsolete
18[635] Class schedule, including class title, location, dates, and time of meeting
RETENTION: 6 years
19[636] College preparation or other examination records (examination results being posted to student folder), including examination questions, test papers, and answer sheets
RETENTION: 1 year
20[637] Statistical compilation or reports of students provided counseling services
RETENTION: 0 after no longer needed
21[638] Request for academic, attendance, or other information on disabled student from Vocational and Educational Services for Individuals with Disabilities (VESID) of State Education Department or other agency
RETENTION: 6 years
22[639] Periodic (other than annual) fiscal reports submitted to the State University of New York (SUNY)
RETENTION: 6 years
23[640] Radiation use log, including user name, date, film size, quantity, screen, and length of time in facility where radiation is in use
RETENTION: 4 years after graduation or date of last attendance
Electronic Data Processing
General Administration
1[642] Data processing unit subject files, correspondence, memoranda, reports, publications, and related records used to support the administration of data processing services.
RETENTION: 0 after superseded or obsolete
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.
2[643] Information resource management (IRM) and data processing services plans, strategic plans, and related records used to plan for information systems development, technology acquisitions, data processing services provision, or related areas
a. Master copy of plan and essential background documentation
RETENTION: 3 planning cycles after plan completed, superseded, or revised
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 material
RETENTION: 0 after no longer needed
3[644] Data processing policies, including those covering access and security, systems development, data retention and disposition, and data ownership
RETENTION: 3 years after policy withdrawn, revised, updated, or superseded
4[645] Data processing product/vendor and state contracts reference files, including information on data processing equipment, software, and other products, and their vendors
RETENTION: 0 after no longer needed for reference
Systems and Application Development
5[646] Application development project files and records created and used in the development, redesign, or modification of an automated system or application, including project management records, status reports, draft system or subsystem specifications, draft user requirements and specifications, and memoranda and correspondence.
RETENTION: 3 years after completion of project
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.
6[647] Data systems specifications, user and operational documentation describing how an application system operates from a functional user and data processing point of view, including records documenting data entry, manipulation, output, and retrieval (often called "system documentation records"), and records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation (or other metadata), job control or workflow records, system specifications, and input and output specifications.
RETENTION: 3 years after system discontinued, or 0 after system data destroyed or transferred to new operating environment, whichever is longer
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).
7[648] Data documentation and records generally created during development or modification and necessary to access, retrieve, manipulate, and interpret data in an automated system, including data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements (sometimes known as "metadata")
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 longer
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.
8[649] Automated program listing/source code, including automated program code that generates the machine-language instructions used to operate an automated information system
RETENTION: 3 system update cycles after code superseded or replaced
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.
9[650] Technical program documentation, including paper copy of program code, program flowcharts, program maintenance log, system change notices, and other records that document modifications to computer programs
RETENTION: 3 years after replaced or modified, or related programs no longer used
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.
10[651] Test database/files, including routine or benchmark data sets, related documentation, and test results constructed or used to test or develop a system
RETENTION: 0 after no longer needed, but not before user accepts and management reviews and approves test results
Computer Operations and Technical Support
11[652] Data processing operating procedures, including records of procedures for data entry, operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation
RETENTION: 3 years after procedure withdrawn, revised, updated, or superseded
12[653] Data processing hardware documentation and records documenting the use, operation, and maintenance of a college's or the University's data processing equipment, including operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems
RETENTION: 0 after related hardware no longer used and all needed data transferred to and made usable in new hardware environment
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.
13[654] Operating system and hardware conversion plans, including records relating to the replacement of equipment or computer operating systems
RETENTION: 1 year after successful conversion
14[655] Disaster preparedness and recovery plans, including records related to the protection and reestablishment of data processing services and equipment in case of a disaster
RETENTION: 0 after superseded or obsolete
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.
15[656] System backup files, including copies of master files or databases, application software, logs, directories, and other records needed to restore a system in case of a disaster or inadvertent destruction
a. Monthly system back-up files for fiscal systems
RETENTION: 0 after 3 system backup cycles, or 1 complete fiscal year after creation, whichever is longer
b. Other than monthly system back-up files for fiscal systems
RETENTION: 0 after 3 system backup cycles
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.
16[657] System users access records created to control or monitor individual access to a system and its data, including but not limited to user account records and password files
RETENTION: 0 after individual no longer has access to system, but not before audit requirements for records modified by that individual have been met
NOTE: System users access records and computer usage records may also serve some security purposes.
17[879] Computer system security records, including records used to control or monitor the security of a system and its data, such as intrusion detection logs, firewall logs, logs of unauthorized access, and other security logs
RETENTION: 10 years after last entry
18[658] Computer usage files, including electronic files or automated logs created to monitor computer system usage, such as login files, system usage files, chargeback files, data entry logs, and records of individual computer program usage
RETENTION: 0 after 3 system backup cycles
19[659] Summary computer usage reports, including summary reports and other paper records created to document computer usage for reporting or cost recovery purposes
RETENTION: 3 complete fiscal years after creation
20[660] Computer run scheduling records, including daily schedules, run reports, run requests, and other records documenting the successful completion of a run
RETENTION: 0 after end of current fiscal year, or 1 month after run completed, whichever is longer
21[661] Input documents and copies of records or forms designed and used solely for data input and control, when the data processing unit provides centralized data input services and original records are retained by the program unit
RETENTION: 0 after all data entered into system and, if required, verified
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.
22[662] Work/intermediate files, including records used to facilitate the processing of a specific job/run or to create, update, modify, transfer, export, import, manipulate, or sort data within an automated system, and "macro" or "startup" files or other electronic records created to preserve a combination of data elements and/or method of displaying these data elements
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 system
RETENTION: 0 after no longer needed
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 backup
RETENTION: 0 after transaction completed
c. When electronic file is needed to recreate or document a valid transaction, such as creation of a specific report or study
RETENTION: As long as reports, studies, and other principal records for which file is created are retained
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.
23[663] Valid transaction files, including records used to update and/or document a transaction in database or master file, such as database management system (DBMS) log, update files, and similar records
RETENTION: 0 after 3 database/master file backup cycles
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.
24[664] Print files, including source output data extracted from the system to produce hard copy publications, printouts of tabulations, ledgers, registers, reports, or other documents, when the files are not needed for fiscal audit purposes or to document program unit transactions
RETENTION: 0 after all print runs completed, output verified (if required), and reproduction of report no longer needed
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.
25[665] Audit trail files, including data generated during the creation of a master file or database used to validate a master file or database during a processing cycle
RETENTION: 0 after 3 database/master file backup cycles
26[666] Data processing unit's copies of output reports produced for client program units
RETENTION: 0 after output distributed
27[667] Summary or extracted data files, including summary or aggregate data from a master file or database and "snapshots" of data created solely to distribute data to individuals or program units for reference and use, but not altered or augmented to support program-specific needs
RETENTION: 0 after data distributed
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.
28[668] Finding aids (indexes) or tracking systems, including electronic indexes, lists, registers, and other finding aids used only to provide access to the hard copy and electronic records in the custody of the data processing unit
RETENTION: 0 after related hard copy or electronic records destroyed
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.
29[669] Automated tape library system files, including automated records used to control the location, maintenance, and disposition of magnetic media in a tape library
RETENTION: 0 after related records or media destroyed or withdrawn from tape library
30[670] Reports on the destruction of files ("scratch reports"), including records containing information on the destruction of files stored on electronic media in a tape library
RETENTION: 0 after superseded or (if required) management review and approval
31[671] Tape library control records used to control the location, maintenance, and disposition of magnetic media in a tape library, including lists of holdings and control logs
RETENTION: 0 after superseded or obsolete
Data Administration
32[672] Data/database dictionary records used to manage data in a college's or the University's information systems, including information on data element definitions, data structures or file layout, code tables, and other data attribute information or records that explain the meaning, purpose, logical relationships, ownership, use, or origin of data
RETENTION: 0 after related application discontinued or modified, or 0 after application's data destroyed or transferred to new structure or format, whichever is longer
33[673] Data/database dictionary reports and periodic printouts from a data/database dictionary system, including data element attribute reports, database schema, and related records used for reference purposes
RETENTION: 0 after superseded or obsolete
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
34[674] Site/equipment support files and records documenting support services provided to specific data processing equipment or installations, including site visit reports, program and equipment service reports, service histories, and correspondence and memoranda
a. Site visit reports, problem and equipment service reports, and routine correspondence and memoranda
RETENTION: 3 years after creation
b. Service histories and other summary records
RETENTION: 0 after related equipment no longer in use
35[675] Help desk telephone logs and reports, including records used to document requests for technical assistance and responses to these requests as well as to collect information on the use of computer equipment for program delivery, security, or other purposes
RETENTION: 1 year after creation
36[676] Software review files and records related to the review and recommendations for software for college or University use, including vendor information, manuals, software reviews, and related material
RETENTION: 0 after superseded or obsolete
Network/Data Communication Services
37[677] Network site/equipment support files and records documenting support services provided to specific sites and computer-to-computer interfaces on a network, including site visit reports, trouble reports, service histories, and correspondence and memoranda
a. Site visit reports, trouble reports, and related correspondence
RETENTION: 3 years after creation
b. Service histories and other summary records
RETENTION: 0 after related equipment or site no longer in use
c. Routine records that do not contain substantial information on the maintenance history or site
RETENTION: 1 year
38[678] Inventories of circuits, including automated or paper records containing information on network circuits used by a college or the University, such as circuit number, vendor, cost per month, type of connection, terminal series, software, contact person, and other relevant information about the circuit
RETENTION: 0 after circuit no longer used
39[679] Network or circuit installation and service files, including copies of requests by a college or the University to service provider for data communication service, installation, or repair, responses to requests, work orders, correspondence, memoranda, work schedules, and copies of building or circuitry diagrams
RETENTION: 1 year after request filled or repairs made
40[680] Network usage files and electronic files or automated logs created to monitor network usage, including but not limited to login files and system usage files
RETENTION: 0 after 3 system backup cycles after creation
41[681] Network usage reports, including summary reports and other records created to document computer usage for reporting or other purposes
RETENTION: 1 complete fiscal year after creation
42[682] Network implementation project files, including records used to plan and implement a network, such as reports, justifications, working diagrams of proposed network, wiring schematics, and diagrams
RETENTION: 0 after superseded or obsolete
Internet Services
43[683] Internet services logs and electronic files or automated logs created to monitor access and use of college or University services provided via the Internet, including but not limited to services provided via FTP (file transfer protocol), or website, or Telnet services
RETENTION: 0 after 3 backup cycles, but not before relevant audit and documentation requirements met
44[684] Employee Internet use logs and electronic files or automated logs created to monitor and control use of the Internet by employees, including but not limited to proxy server logs
RETENTION: 0 after 3 backup cycles, but not before any appropriate review and verification
Environmental
NOTE: See item no. 12 [755] in the Health Services section for records dealing with medical waste disposal.
1[913] Hazardous waste generation records
a. Individual load delivery and other detailed records, including manifest form
RETENTION: 3 years after waste accepted by transporter
b. Annual and exception reports
RETENTION: 3 years after due date of report
c. Test results and waste analyses
RETENTION: 3 years after waste removed
2[773] Building rehabilitation and reconstruction project files, when asbestos is installed, removed, encapsulated, applied, distributed, or otherwise involved
RETENTION: 30 years
3[774] Lead or copper content testing and remediation files, covering lead or copper content in drinking water of public facilities
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 Code
RETENTION: 50 years
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 Code
RETENTION: 10 years
c. Records of remediation by replacement of lead or copper plumbing
RETENTION: 6 years after building no longer exists
d. Records of remediation by elimination or replacement of water cooler not connected to plumbing
RETENTION: 6 years after cooler eliminated or replaced
4[775] Pesticide (including herbicide, rodenticide, and disinfectant) application record, showing kind and quantity used, dosage rate, method of application, target organism, and area and time of application
RETENTION: 3 years
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.
5[776] Inventory of pesticides (including herbicides, rodenticides, and disinfectants) maintained by a college or the University
RETENTION: 40 years after superseded or obsolete
6[777] Annual report of pesticides (including herbicides, rodenticides, and disinfectants) used, submitted to New York State Department of Environmental Conservation
RETENTION: 40 years
7[778] Application for business/agency pesticide registration, including all related records
RETENTION: 1 year after superseded or no longer valid
8[780] Permits and approvals from state, city, or county health department to operate pool or beach
RETENTION: 3 years after denial or expiration
9[781] Reports of pool or beach operation and inspection
RETENTION: 21 years
10[805] Hazardous materials records
a. Hazardous materials location report or exemption filed with fire department or district, or equivalent record
RETENTION: 3 years after hazardous materials no longer stored at 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.
b. Textual reference information containing medical, chemical, or other information used to assist dispatchers and responding personnel, and maps of agency/service coverages
RETENTION: 3 years after superseded or obsolete
c. Reports on hazardous materials found in the service area in its entirety, or at specific locations
RETENTION: 3 years after hazardous materials listed in report no longer present at listed sites
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.
11[177] Approvals and registrations relating to radiological equipment and materials
a. Approval to possess or use radioactive materials received from New York City Department of Health, and related records
RETENTION: 3 years after college or University no longer possesses or uses the radiological materials
b. Registration of radiation-producing equipment with New York City Department of Health, and related records
RETENTION: 2 years after expiration or renewal
12[762] Records of occupational doses for an individual using radiation-producing equipment or radiological materials
a. Annual or other summary occupational dose records
RETENTION: 90 years
b. Detailed occupational dose records
RETENTION: 0 after annual or other summary record containing this information is produced
c. Records of prior occupational dose
RETENTION: 90 years
d. Records of planned special exposures
RETENTION: 90 years
13[179] Radiation equipment testing and inspection records
a. Regulatory inspection and audit records, including master summary record and "index card"
RETENTION: 90 years
b. Equipment accuracy testing records, including surveys, calibrations, measurements, and quality control tests
RETENTION: 3 years
14[180] Records of disposal, theft, loss, or excessive release of radiation
a. Records concerning theft or loss of radiation source, excessive release of radiation, or excessive exposure of individual to radiation, including documentation of notification
RETENTION: PERMANENT
b. Record of disposal by burial in soil
RETENTION: PERMANENT
c. Records of disposal by incineration or release into sanitary sewer system
RETENTION: 6 years
d. Records of authorized transfer or receipt, or issue and return of radiation source or radioactive materials
RETENTION: PERMANENT
15[763] Radiation program safety records
a. Records documenting provisions of program
RETENTION: 3 years after program ceases to exist
b. Audits and other reviews of program content and implementation
RETENTION: 3 years
c. Records documenting specific instructions given to workers
RETENTION: 90 years
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).
16[324] On-site safety inspection records, including individual inspections and summary of findings
RETENTION: 3 years after last entry
17[325] Toxic substance exposure records
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 records
RETENTION: 90 years
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 substances
RETENTION: 90 years
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 toxic
RETENTION: 3 years after substance no longer present at workplace
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 substances
RETENTION: 90 years
e. Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employees
RETENTION: 90 years
f. Policy statements and procedures issued by a college or the University relative to dealing with toxic substances
RETENTION: PERMANENT
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).
18[195] Natural resource inventory and listing of open areas and wetlands, including official copy of final inventory or report, final maps, surveys, photographs, background materials, and supporting documentation
RETENTION: PERMANENT
19[196] Environmental quality review records
a. Environmental impact statements and related reports
RETENTION: PERMANENT
b. Background materials and supporting documentation used in preparing statements and reports
RETENTION: 6 years
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.
20[716] Flood control and beach erosion records
a. Flood insurance maps, including all updates
RETENTION: PERMANENT
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 maps
RETENTION: 0 after superseded or obsolete
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
1[119] Chancellor's or President's office files, including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents, and association or organization membership files covering affiliation with or membership in professional, education, or civic groups by either the University or the college as a whole or some department or unit thereof
a. Where file documents a significant subject or major policy-making or program-development process
RETENTION: PERMANENT
b. Where file documents routine activity
RETENTION: 6 years, or 6 years after expiration of contract, as appropriate
2[198] Executive, manager, or administrator's office files, including but not limited to correspondence, memoranda, reports, studies, publicity items, non-record copies of contracts, and other legal documents
a. Where file documents a significant subject or major policy-making or program-development process
RETENTION: PERMANENT
b. Where file documents routine activity
RETENTION: 6 years
Financial Aid
1[84] Student financial aid records, including but not limited to Free Application for Federal Student Aid (FAFSA) reports, applications for assistance and related eligibility determination records, financial aid disbursement records, copies of income tax forms, financial aid transcripts from other schools, award and declination notices, verifications for non-taxable income and other tax-related records, instructor requests for work-study student, student work-study job descriptions, copies of work-study time records to verify hours with student schedule, and veteran's service information
RETENTION: 6 years after graduation, date of last attendance, or financial accounting, whichever is longer
2[887] Financial aid reports (state, federal, and other) covering multiple students, including but not limited to Tuition Assistance Program (TAP) reports
RETENTION: 6 years
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.
3[CU2] Student bankruptcy records, including but not limited to pleadings and correspondence with court, receiver, student, or creditors' committee
RETENTION: 6 years after case closed
4[CU3] Student loan repayment records
RETENTION: 6 academic years after loan is repaid, fully canceled, or assigned to U.S. Department of Education
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.
1[199] General ledger showing summary receipts and disbursements from all funds and accounts
RETENTION: 6 years after last entry
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.
2[200] Subsidiary ledger providing details of the general ledger accounts
RETENTION: 6 years after last entry
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.
3[201] Journal recording chronological entries of all fiscal transactions
RETENTION: 6 years after last entry
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.
4[202] Accounting register, including but not limited to check register, transfer of funds register, encumbrance register, and register of claims presented for payment and paid claims
RETENTION: 6 years after last entry
5[203] Cash transaction record showing cash received from collection of various fees and petty cash disbursed
RETENTION: 6 years
6[85] Admissions collection record, including but not limited to record of receipts and log of operations
RETENTION: 6 years
7[205] Daily cash record, including adding machine tapes, cashier's slips showing daily cash receipts, and analysis of cash receipts
RETENTION: 6 years
8[206] Notice of encumbrance indicating funds encumbered and amount remaining unencumbered
RETENTION: 6 years
9[207] Past due account fiscal records and summaries
RETENTION: 6 years after account satisfied or otherwise closed
10[208] Intermediary fiscal record of receipts and disbursements, including but not limited to detail record, analysis, proof sheet or trial balance worksheet, and adding machine tapes
RETENTION: 6 years
11[209] Abstract of receipts, disbursements, or claims
RETENTION: 6 years
12[210] Billing records covering services provided by a college or the University, other than student's individual account records
a. Customer's individual account
RETENTION: 6 years after last entry
b. Records used to determine billing and charges, including copies of bills and charge slips
RETENTION: 6 years
c. Billing address records
RETENTION: 0 after superseded or obsolete
NOTE: See item no. 20 [86] in this section for student's individual account records.
13[211] Bill of sale of property owned by a college or the University other than real property
RETENTION: 6 years
14[212] Sales tax records, covering sales tax collected by a college or the University and transmitted to State Department of Taxation and Finance
RETENTION: 6 years
15[213] Tax exemption records, showing that a college or the University is exempt from paying sales, use, or other taxes
RETENTION: 1 year after superseded or obsolete
16[719] Payment recoupment records, documenting the process of recovering monies paid erroneously by a college or the University to employee, vendor, or other payee
RETENTION: 6 years after last entry
17[237] Receipt (received) or copy of receipt (issued), other than for payment of taxes
RETENTION: 6 years
18[720] Grant, award, or gift files, covering grants, awards, and gifts given by a college or the University to students, faculty, staff, or other individuals or entities
a. Master summary record of grants, awards, or gifts
RETENTION: PERMANENT
b. Detailed records of grants, awards, and gifts to students or other individuals or entities other than faculty or staff, excluding master summary record
RETENTION: 6 years
c. Detailed records of grants, awards, and gifts to faculty or staff, excluding master summary record
RETENTION: 6 years, or termination of employment, whichever is longer
19[721] Credit card records, documenting payments received by credit cards or electronic transactions, including credit card payment receipts and statements showing amounts of payments received and fees deducted
RETENTION: 6 years
20[86] Student's individual account records, covering credit, non-credit, or continuing education courses, housing, food, laboratory and equipment use, and other fees, charges, and expenses, and tuition waivers
RETENTION: 6 years after last entry
NOTE: See item no. 12 [210] in this section for other billing records.
21[CU4] Income tax filing and related records, including but not limited to 990-T information returns regarding unrelated business income, work papers, supporting documentation, and correspondence
a. Tax returns
RETENTION: PERMANENT
b. Related records
RETENTION: 7 years
Audit
22[214] Report of audit of financial affairs
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 firm
RETENTION: PERMANENT
b. Other external audits
RETENTION: 7 years
c. Internal audits, conducted by college or University officials
RETENTION: 7 years
23[215] Audit background documentation, including summaries, posting records, and related records created by an auditing office as part of the auditing procedure
RETENTION: 6 years
24[216] Audit hearing or review file
RETENTION: 6 years after audit accepted
Banking and Investment
25[217] Banking communications, including but not limited to bank statement, reconciliation, notification of voiding or return of check, cancellation of payment, or other notice for checking or savings account
RETENTION: 6 years
26[218] Canceled check (including payroll check), or other instrument of payment, such as bank check, warrant check, order check, or order to fiscal officer to pay, when used as a negotiable instrument, including voided check
RETENTION: 6 years
NOTE: It is recommended that a list of destroyed unused checks be created and maintained for legal or audit purposes.
27[219] Copy of check or check stub
RETENTION: 6 years
28[220] Depository agreement, including designation of depository, bond or surety, or other record relating to deposit of college or University funds
RETENTION: 6 years after agreement, designation, bond, or surety has expired or been superseded or rescinded
29[221] Deposit book for checking account
RETENTION: 6 years after last entry
30[222] Deposit book for savings account
RETENTION: 6 years after cancellation
31[223] Deposit slip
RETENTION: 6 years
Claims and Warrants
32[229] Claim for payment (approved or disallowed), including claim, vendor's voucher, and bill
RETENTION: 6 years
33[231] State or federal-state reimbursement claim file, including but not limited to summary and detail of claim, worksheets, and other supporting documents
RETENTION: 6 years
34[232] Summary record of outstanding or paid warrants or claims
RETENTION: 6 years
35[233] Notice of claim record and index as required by Section 50-f of the General Municipal Law
RETENTION: 6 years after final disposition of claim
36[234] Order or warrant to pay monies
a. For any funds held in a savings bank
RETENTION: 20 years
b. For any funds not held in a savings bank
RETENTION: 6 years
37[235] Outstanding warrants listing, including adding machine tapes
RETENTION: 6 years
38[236] Assignment of claim
RETENTION: 6 years after satisfaction, or 10 years, whichever is shorter
Reports
39[238] Daily, weekly, monthly, quarterly, or other periodic fiscal reports, including but not limited to daily funds report, daily cash report, statement of monthly balances, recapitulation of disbursements, and departmental reports
RETENTION: 6 years
40[239] Annual or final fiscal reports
a. When report is not included in minutes
RETENTION: PERMANENT
b. When report is included in minutes
RETENTION: 0 after officially recorded
41[242] Certificate, demand, or direction to fiscal officer to pay monies
RETENTION: 6 years
42[243] Verification of travel expenses, including but not limited to certificate of accuracy and receipts
RETENTION: 6 years
43[87] Fiscal reports submitted to or received from the University, including operating report (budget) and annual report (year-end)
RETENTION: 6 years
Food Services
1[893] Food management records
a. Program participation or other legal agreement, including attachments and amendments
RETENTION: 6 years after termination of agreement
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 vouchers
RETENTION: 6 years
2[894] Food inspection and investigation records, including inspection report for preparation or serving area and food sanitation complaint investigation records
a. When any significant problem is encountered
RETENTION: 0 after youngest person involved attains age 21
b. When no significant problem is encountered
RETENTION: 3 years
Health Services
General
1[356] Certification, licensing, and accreditation records covering review and approval by state or federal agency or professional review organization to operate facility or program, to conduct tests, or to perform specified work, including lists of permissible procedures or tests
RETENTION: 7 years after superseded, revoked, or no longer valid
2[357] Survey, evaluation, and inspection records covering review of facilities and programs by state or federal agency or professional review organization, including but not limited to medical care evaluation and similar studies
RETENTION: PERMANENT
3[359] Appointment records, including slips, return cards, sign-in sheets, and clinic schedules kept by facility or health services program
RETENTION: 0 after superseded or obsolete
4[360] Screening and assessment records and referrals for persons evaluated but not treated by facility or program
RETENTION: 3 years
5[754] Advice and referral records, covering medical, mental health, or other information provided to individuals in person or over the telephone, including but not limited to telephone logs and individual call records
a. When person involved is or becomes a patient
RETENTION: As long as patient case record is retained
b. When person involved is not or does not become a patient
RETENTION: 6 months
Fiscal
NOTE: Other fiscal records are covered in the Fiscal section in this Schedule.
6[361] Annual expenditure report or budget submitted to state or federal agency or professional review organization
RETENTION: PERMANENT
7[362] Patient's individual financial case record and account
a. Individual case record, account card, or ledger card
RETENTION: 7 years after account closed, or 0 after 9 years, whichever is longer
b. Individual charge records, posted to case record or card
RETENTION: 7 years
8[363] Insurance carrier claim records, including but not limited to schedule of payments, copy of claim, listing of invalid or rejected claims, vendor payment list, list of claims submitted for payment, and list of checks received
RETENTION: 7 years
9[364] Insurance and reimbursement-related reports, including cost report, certified uniform financial or statistical report, and all necessary supporting documentation
RETENTION: 9 years
Facility and Patient Services
10[371] Census record of patients
RETENTION: 6 years
11[372] Nursing services report, including shift report
RETENTION: 1 year
12[755] Medical waste disposal records relating to generation, transportation, and disposal of regulated medical waste
a. Medical waste tracking records, including exception reports
RETENTION: 3 years after waste accepted for transport
b. Records created by generators who destroy regulated medical waste on site
RETENTION: 3 years after waste destroyed
c. Annual reports prepared by waste generator or transporter
RETENTION: 3 years
Patient Case Records and Related Materials
13[358] Master summary record, master index file, or principal register giving basic data on individual patients
RETENTION: PERMANENT
14[383] Film or tracing, including X-ray, EKG tracing, EEG tracing, sonogram, echo cardiogram and holter monitor printout, when report of film or tracing is retained as long as medical case record
RETENTION: 6 years
NOTE: Holter monitor tapes need only be retained for one month after printouts ("disclosures") are produced from them.
NOTE: Older X-rays on nitrate-base films that have deteriorated to the point where they are no longer usable should not be retained. Retention of older nitrate-base X-rays may pose a serious fire hazard.
NOTE: Certain mammograms (covered by this item or by item no. 4 [360] in this section) must be retained for 10 years pursuant to requirements found in 21 CFR, Section 900.12 (c-4-i). Contact your Records Management Coordinator to determine what action is necessary to meet this requirement.
15[385] Communicable disease individual case records
a. Communicable disease case report or equivalent record, including copy of laboratory report
RETENTION: 6 years after discharge or last contact, or 0 after individual attains age 21, whichever is longer
b. Supplementary reports on communicable diseases
RETENTION: 2 years
c. Typhoid carrier records
RETENTION: 2 years after death or release of carrier
d. Syphilis treatment case record
RETENTION: 40 years
e. Sexually transmitted disease case record, except syphilis
RETENTION: 6 years, or 0 after individual attains age 21, whichever is longer
16[407] Individual immunization record, including authorization and/or parental consent
RETENTION: 6 years, or 0 after individual attains age 21, whichever is longer
17[408] Vaccine distribution and usage records
a. Official record of distribution and usage
RETENTION: 25 years
b. Statistical or similar record of vaccines administered
RETENTION: 5 years
18[98] Student health service case record
RETENTION: 6 years after last entry
Laboratory
19[388] Master summary record, including accession sheet or register
a. Register of laboratory tests performed
RETENTION: 7 years
NOTE: 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 your Records Management Coordinator for additional advice.
b. Record of collection of specimens
RETENTION: 7 years
20[759] Laboratory test data file, providing summary and/or detailed information on clinical laboratory tests performed and results
RETENTION: 7 years
NOTE: Data in these files 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 that replaces or supplements the master summary record (see item no. 19 [388] in this section). Contact your Records Management Coordinator for additional advice.
21[391] Preventive maintenance, service, or repair record for laboratory equipment or instrument
RETENTION: As long as equipment or instrument remains in use and test results using equipment or instrument are retained
22[392] Quality control records covering laboratory equipment and procedures
RETENTION: As long as test results using equipment are retained, but not less than 2 years
Housing
1[102] Residency occupancy records, including but not limited to room and board agreements, room assignments, and records pertaining to damage of dormitory equipment and furnishings
RETENTION: 6 years after expiration of agreement or room assignment
2[104] Off-campus rental records, including lists of landlords and/or listings indicating apartments or rooms available
RETENTION: 0 after superseded or obsolete
Instruction
1[105] Course listing created for administrative convenience, containing department list of classes
RETENTION: 0 after superseded or obsolete
2[106] Instructor's course syllabus or lesson plan
RETENTION: 0 after no longer needed by college or University
NOTE: Colleges and the University may want to retain representative or outstanding course syllabi for future reference, as well as any useful class reading lists or bibliographies.
3[107] Instructor's grade records, test scores, and marking sheets, including records documenting the evaluation of scientific models, biological specimens, chemical compounds, or other objects or materials produced in lab or shop settings
RETENTION: 2 years
4[108] List of students majoring in a field of study
RETENTION: 0 after superseded or obsolete
5[109] Class schedule, including class title, location, dates, and time of meeting
RETENTION: 6 years
6[110] Examination questions, completed examination papers and answer sheets, and term papers
RETENTION: 1 year after course completed
NOTE: For test papers and answer sheets for non-credit and continuing education courses, see item no. 2 [895] in the Students section.
7[888] Course or laboratory attendance records necessary to provide documentation for student financial aid or other purposes
RETENTION: 6 years
8[112] Records relating to tax-free use of alcohol for educational purposes
RETENTION: 6 years after expiration of permit or denial of application
9[113] Evaluations of course instructor, including but not limited to teaching observation reports and annual evaluations
a. Evaluations by students
RETENTION: 3 years
b. Evaluations by individuals other than students
RETENTION: 6 years after termination of instructor's employment
10[114] Radiation use log, including student name, date, film size, quantity, screen, and length of time in laboratory
RETENTION: 4 years after graduation or date of last attendance
11[115] Records of hypodermic syringes and needles acquired for educational use or for administration of vaccines and other controlled substances to students and/or employees
a. Certificate of need for educational use
RETENTION: 6 years after certificate expires
b. Other records, including records of purchase, inventory, destruction, loss, or theft
RETENTION: 6 years
Insurance
1[246] Insurance (including self-insurance) case records, including but not limited to proof of liability insurance coverage, notice of claim, copies of filed court documents, accident reports, medical reports, motor vehicle reports, appraisal report, copy of check, correspondence, and other supporting documentation
a. Records for claims relating to exposure to asbestos or other toxic substances
RETENTION: 90 years
b. Records for claims not relating to exposure to asbestos or other toxic substances
RETENTION: 6 years after claim closed, or 0 after youngest person involved attains age 21, whichever is longer
NOTE: This item does not include worker's compensation case records (see item no. 2 [247] in this section).
2[247] Workers' compensation case records
a. If claim allowed
RETENTION: 18 years after injury or illness, or 8 years after last payment, whichever is longer
b. If claim disallowed after trial, or case otherwise disposed of without an award after the parties have been given due notice
RETENTION: 7 years after injury or illness
NOTE: 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. 18 [741] in the Personnel/Civil Service section).
3[248] Master summary record (log or register) of all claims (including workers' compensation)
RETENTION: 0 after all claims and/or cases listed in master summary record have been disposed of
4[249] Insurance policy covering fire, theft, property damage, personal injury liability, or general liability, or life insurance policy, when no outstanding claims are involved
RETENTION: 6 years after expiration, or until report on examination is filed, whichever is longer
5[250] Workers' compensation and employer's liability insurance policy, when no outstanding claims are involved
RETENTION: 18 years after expiration
6[251] Title insurance policy, when no outstanding claims are involved
RETENTION: 20 years after expiration
7[252] Certificate of insurance certifying as to name of insured, type of insurance, limits of liability, date of expiration, and policy number, when no outstanding claim is involved, except a certificate of insurance certifying as to a security bond or undertaking
RETENTION: 6 years after expiration
NOTE: For a certificate of insurance relating to a security bond or undertaking, see item no. 14 [326] in the Personnel/Civil Service section, item no. 28 [220] in the Fiscal section, and item no. 4 [415] in the Public Property and Equipment section.
8[253] Insurance appraisal and/or survey
RETENTION: 0 after superseded or obsolete
Library/Library System
1[255] Accession records
RETENTION: 1 year after accessioning procedure is superseded or becomes obsolete
NOTE: Some libraries accession manuscripts, rare books, and special collections, but not their general library holdings. In these cases, the accession records need to be retained only for the kinds of materials still accessioned.
2[256] Informational copies of records prepared by and received from public library system, including but not limited to directories, minutes, budgets, and reports
RETENTION: 0 after superseded or obsolete
3[257] Borrowing or loaning records, including interlibrary loan
RETENTION: 0 after no longer needed
4[258] Catalog of holdings
a. Manuscript or published catalog
RETENTION: PERMANENT
b. Continuously updated catalog
RETENTION: 0 after superseded or obsolete
5[259] Individual title purchase requisition that has been filled or found to be unfillable
RETENTION: 1 year
6[260] Records documenting selection of books and other library materials
RETENTION: 0 after no longer needed
7[261] Library material censorship and complaint records, including evaluations by staff, patrons' complaints, and record of final decision
RETENTION: 6 years after last entry
NOTE: Appraise these records for historical significance prior to disposition. Some library censorship records deal with serious constitutional issues and may have value for future research.
8[262] Patron's registration for use of rare, valuable, or restricted non-circulating materials
RETENTION: 6 years
Lobbying
1[738] Lobbying activity records, including but not limited to registration records, individual reporter designation records, and periodic reports of lobbying activity filed with New York Temporary State Commission on Lobbying
RETENTION: 3 years
Museum
1[284] Exhibit file 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
a. Brochures, exhibit catalogs, installation photographs and slides, and inventory lists
RETENTION: PERMANENT
b. All other records
RETENTION: 6 years after exhibit closed
NOTE: 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 your Records Management Coordinator for additional advice.
2[285] Collections records documenting acquisition, accession, deaccession, loan, conservation, and use of materials, including but not limited to accession register, loan agreement, inventory of collection, and conservation treatment record
a. Routine records, including but not limited to notes and internal memoranda
RETENTION: 1 year
b. All other collections records
RETENTION: PERMANENT
Payroll
NOTE: The copy of payroll, or payroll report, submitted to civil service office for certification or approval is covered by item no. 29 [748] in the Personnel/Civil Service section.
NOTE: This Schedule does not prescribe the amount of detail and nature of information necessary to be maintained for salary verification for retirement and Social Security purposes. Contact the Office of the State Comptroller or other retirement system to verify that you are maintaining the necessary payroll information.
1[291] Payroll, including information on gross and net pay, base pay, taxes, and other deductions
a. Year-end payroll, including detailed information necessary for salary verification for retirement and Social Security purposes
RETENTION: 55 years
b. 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
RETENTION: 55 years
c. Periodic payroll, not including detailed information necessary for salary verification for retirement and Social Security purposes
RETENTION: 6 years
d. Warrant authorizing payment of salaries based on a specific payroll, if maintained separate from payroll itself
RETENTION: 6 years
e. Preliminary draft of payroll
RETENTION: 0 after warrant authorizing payment of salaries signed
2[292] Payroll or related report covering all employees or an individual employee, and not covered by specific item in this section
a. When needed for audit or other fiscal purposes
RETENTION: 6 years
b. When not needed for audit or other fiscal purposes
RETENTION: 0 after no longer needed
3[293] Payroll distribution breakdown record used to distribute or classify labor costs
RETENTION: 6 years
4[294] Summary record of employee's payroll changes
RETENTION: 6 years after termination of employment
5[295] Employee's time cards, sheets, or books
RETENTION: 6 years
6[296] Record of employee absences or accruals
a. When not posted to periodic cumulative time summary record
RETENTION: 6 years
b. When posted to periodic cumulative time summary record
RETENTION: 1 year
NOTE: This item does not apply to an employee's time cards or sheets (see item no. 5 [295] in this section.
7[297] Employee request for and/or authorization given to employee to use or donate sick, vacation, personal, or other leave, or to work overtime
RETENTION: 6 years
8[298] Record of assignments, attachments, and garnishments of employee's salary
a. When employment was terminated prior to satisfaction
RETENTION: 6 years after termination of employment
b. When satisfied
RETENTION: 5 years after satisfaction
9[299] Employee's voluntary payroll deduction request form
RETENTION: 5 years after authorization expires
10[300] Schedule or other notification from issuing bank showing savings bond purchased for employee
RETENTION: 5 years after latest bond issue
11[301] Employee's personal earnings record used to prove end-of-year total earnings, retirement or other deductions, and taxes withheld
RETENTION: 55 years
12[302] Employee's declaration of intention to accept or reject Social Security
RETENTION: 10 years after employee dies or attains age 75, whichever is shorter
13[303] Quarterly or other periodic report of wages paid prepared for Social Security, and report of any adjustments or corrections
RETENTION: 6 years after year in which wages reported
14[304] Copy of federal determination of error in wage reports (Form OAR-S30 or equivalent record)
RETENTION: 6 years after determination received
15[305] Payroll report submitted to New York City Employee's Retirement System, Teacher's Retirement System of the City of New York, Board of Education Retirement System, Teachers Insurance and Annuity Association-College Retirement Equities Fund, or any other official pension system
RETENTION: 6 years
16[306] Employer's copy of Annual Federal Tax Return (Form 940), Quarterly Federal Tax Return (Form 941E) and Continuation Sheets (Form 941a), Notice of Tax Return Due (Form TY 14), or equivalent forms
RETENTION: 4 years after tax paid
17[307] Employer's copy of U.S. Information Return for Calendar Year (Form 1099), Withholding Tax Statement (Form W-2), Transmittal of Wages and Tax Statements (Form W-3), or equivalent forms
RETENTION: 4 years
18[308] Employee's Withholding Exemption Certificate (Form W-4), or equivalent form
RETENTION: 4 years after superseding certificate filed or employment terminated
19[309] Employer's copy of New York State income tax records relating to employees
RETENTION: 4 years after tax paid
20[722] Direct deposit records, covering direct deposit of employee's salary, including but not limited to application to begin or terminate direct deposit, and transaction log or similar reports
RETENTION: 6 years after authorization expires
21[723] Employee's declaration of intention to decline membership or participation in retirement system or benefit plan, including copy of written notification of options provided employee by a college or the University
a. For retirement system
RETENTION: 55 years
b. For benefit plan
RETENTION: 6 years after termination of employment
Personnel/Civil Service
Personnel
1[310] Personnel records of college or University employees, including volunteers and interns
a. Master summary record from personnel file, including but not limited to age, dates of employment, job titles, and civil service status
RETENTION: PERMANENT
b. Personnel file materials, except summary information record, and including but not limited to application for employment, resume, report of personnel change, evaluation, civil service examination results, notice of resignation or termination, COBRA notices, and correspondence
RETENTION: 6 years after termination of employment
2[311] Records of disciplinary investigations and proceedings regarding employees, including but not limited to statement of charge, transcript of hearing, notice of decision, letter of termination or resignation, letter of reinstatement, record of appeal procedure, and correspondence
RETENTION: 6 years after termination of individual's employment, or 6 years after final decision rendered, whichever is longer
NOTE: Records covered by this item may be destroyed before this retention period has been reached if specified in a settlement agreement between the employer and employee.
NOTE: Affirmative action and related complaints are covered by item no. 3 [317] in the Affirmative Action section.
3[312] Employee's time records covering leave, absences, hours worked, and scheduling, including but not limited to employee's time cards or sheets, request for change of work schedule, vacation schedule, report of absence, and request for leave without pay
RETENTION: 6 years
4[313] Annual or other financial disclosure statements, including but not limited to faculty multiple position reports filed by college or University employees or officials
RETENTION: 7 years
5[314] Employee training history records documenting employee continuing education, training, and development, including employee identification, training received, dates of training, and related records
RETENTION: 6 years after termination of employment
NOTE: This item does not cover records that do not need to be retained in an employee's personnel file (see item no. 37 [585] in the General section).
NOTE: Additional records providing detailed information on training history can be destroyed when no longer needed, provided that summary records are retained for the indicated retention period. For retention requirements for specific types of employee training history records, see specific items in this Schedule.
6[315] Administrative organization chart and related records showing administrative and supervisory organization
RETENTION: 0 after superseded or obsolete
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Contact your Records Management Coordinator for additional advice.
7[316] Identification card records, when card is issued to college or University employee
RETENTION: 6 months after no longer valid
8[318] Health and life insurance records
a. For employee with or without dependent survivor
RETENTION: 3 years after termination of employee's or dependent survivor's coverage, whichever is longer
b. Claim for benefits (copy, where original is submitted directly by employee)
RETENTION: 1 year
c. Health and life insurance coverage reports
RETENTION: 6 years
d. Declination statement filed by employee
RETENTION: 6 years after separation from service
9[319] Unemployment insurance records
a. Claim filed by employee, when claim is approved
RETENTION: 6 years after final payment
b. Claim filed by employee, when claim is disqualified
RETENTION: 3 years after filing
c. Claim payment reports
RETENTION: 6 years
10[320] Labor-management meeting records, including minutes of meeting, agenda, reports, and correspondence
a. Minutes and reports
RETENTION: PERMANENT
b. Meeting agenda, correspondence, and other records
RETENTION: 6 years
11[321] Public employee contract negotiations records, including but not limited to proposals, summary of proceedings, copies of salary schedules and contracts, PERB fact-finding report, and correspondence
a. All documentation in record, except routine correspondence, routine memoranda, and drafts
RETENTION: PERMANENT
b. Routine correspondence, routine memoranda, and drafts
RETENTION: 1 year
12[322] Job action records documenting strikes, work stoppages, informational picketing, and other job actions conducted by college or University employees, including but not limited to correspondence and memoranda, press clippings, copies of notices of violation, detailed and summary records of employees' participation, and penalties levied upon participants
a. All documentation in record, except detailed listings of all employees present at various events and other records lacking substantive informational value
RETENTION: PERMANENT
b. Detailed listings of all employees present at various events and other records lacking substantive informational value
RETENTION: 6 years
13[323] Public employee grievance records, including but not limited to grievance, investigative records, hearing proceedings, decision rendered by employer, employee appeal, records of arbitration procedure, final decision, and correspondence
RETENTION: 10 years after grievance resolved
14[326] Personal surety bond or undertaking of public official
RETENTION: 20 years after coverage expires
15[327] Listing or roster of college or University officials or employees, including names, addresses, titles, and other pertinent information
RETENTION: PERMANENT
16[328] Official copy of oath of office or record of official signature of public employee
RETENTION: PERMANENT
17[329] Log and summary of occupational injuries and illnesses created pursuant to 12 NYCRR, 801.7, and 29 CFR, 1904.6
RETENTION: 5 years
NOTE: If these records are intended to also satisfy the legal requirements of Section 110, Workers' Compensation Law, and no separate records covered by item no. 18 [741] in this section are created, then these records must be retained for 18 years after date of injury or illness.
18[741] Employee injury record, covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law
RETENTION: 18 years after date of injury or illness
NOTE: See item no. 2 [247] in the Insurance section for other workers' compensation case records.
19[330] Employee medical records concerning exposure to toxic substances or harmful physical agents
a. 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
RETENTION: 3 years after completion of treatment and subsequent observation
b. Medical records, other than those covered by part "a", including medical questionnaires and histories, 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
RETENTION: 90 years
c. Medical records, other than those covered by part "a", including medical questionnaires and histories, 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)
RETENTION: 3 years after termination of employment
NOTE: If copies are not given to the employee upon termination of employment, the retention specified in part "b" must be followed.
NOTE: This item does not include health insurance records (see item no. 8 [318] in this section) or non-medical toxic substance exposure records (see item no. 17 [325] in the Environmental section).
20[910] Employee medical records not related to exposure to toxic substances or harmful physical agents
RETENTION: 3 years after termination of employment
21[779] Records relating to certification of an employee as a certified commercial applicator in the use of pesticides, including copy of application, records of training in use of pesticides, examination results, copy of certificate, and recertification records
RETENTION: 6 years after termination of employment
22[278] Notification of vacancy in office or filling of vacant position
RETENTION: 0 after position filled or abolished
23[742] Drivers' license review records for college or University officials, employees, or volunteers
a. When no action is taken as result of review
RETENTION: 0
b. When action is taken as result of review
RETENTION: 3 years
24[743] Employee attestation of knowledge of code of ethics, staff policy manual, or other official policies or procedures
RETENTION: 3 years after attestation superseded, or upon termination of employment
25[745] Drivers' test results and related records
a. 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
RETENTION: 5 years
b. Negative or canceled controlled substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02
RETENTION: 1 year
c. Records relating to an individual employee's or job applicant's refusal to take alcohol or substance abuse test
RETENTION: 5 years
NOTE: Colleges and the University may want to maintain these records concerning employees for an additional period or include them in the employee's personnel files, especially when they affect an employee's job status.
26[746] Documentation of other violations of alcohol or substance abuse rules, including results of alcohol or substance abuse tests administered by law enforcement personnel, copies of police reports, and medical records
RETENTION: 6 years after termination of employment
27[911] Employment Eligibility Verification Form I-9 completed by employee and employer for all employees hired after November 6, 1986, verifying that the individual is eligible to work in the United States, including verification documents attached to the form
RETENTION: 3 years from date of hire, or 1 year after employment terminated, whichever is longer
28[912] Employee assistance program records
a. Reports and statistical compilations
RETENTION: 6 years after last entry
b. Program (including course and seminar) and literature files
RETENTION: 1 year after program no longer offered or literature superseded or obsolete
c. Employee consultation records
RETENTION: 3 years after last entry
Civil Service
29[748] Copy of payroll, or payroll report, submitted to civil service office for certification or approval
RETENTION: 0 after superseded or obsolete
NOTE: Official copy of payroll must be retained for 55 years (see item no. 1 [291] in the Payroll section).
30[749] Official civil service employee roster card
RETENTION: PERMANENT
31[331] Established position record showing a history of each position and names and other pertinent information about persons who occupied it
a. If record contains detailed information about the position and persons who occupied it
RETENTION: PERMANENT
b. If record only provides lists of names of employees
RETENTION: 1 year after last entry
NOTE: The official listing or roster of all college and University officials or employees, covered by item no. 15 [327] in this section, must be retained permanently.
32[333] Job classification records, including job classification questionnaire, analysis of job duties, and request for reclassification, except copy retained in employee's personnel records
a. Records referring to individual employees
RETENTION: 10 years
NOTE: Job classification records referring to individual employees may also be found in employee personnel records. When filed in an employee personnel record, such copies are subject to different retention requirements (see item no. 1 [310] in this section).
b. Records not referring to individual employees
RETENTION: PERMANENT
c. Background material and supporting documentation
RETENTION: 3 years
NOTE: Appraise these records for historical significance prior to disposition. Contact your Records Management Coordinator for additional advice.
33[334] Official copy of job posting and position duties statement
a. When duties of position are described in detail
RETENTION: PERMANENT
b. When duties of position are not described in detail
RETENTION: 6 years
34[335] Personnel requisition made to civil service or personnel office, requesting that vacancy be filled
RETENTION: 0 after superseded or obsolete
35[336] Civil service eligible list records
a. Official eligible list and certification of eligible list
RETENTION: 20 years after expiration of eligible list
b. Certification of eligible list sent to and retained by appointing authority
RETENTION: 3 years after expiration of eligible list
c. Request for certification of eligible list
RETENTION: 1 year after expiration of eligible list, or 3 years, whichever is longer
d. Individual's request for reinstatement to eligible list and reply
RETENTION: 1 year after expiration of eligible list, or 3 years, whichever is longer
e. Eligible list canvass records, including but not limited to precanvass questionnaire and letter of canvass and reply
RETENTION: 6 months after expiration of eligible list, or 3 years, whichever is longer
f. Military record of applicant, when applicant was not hired
RETENTION: 3 years after expiration of eligible list
36[337] Application for employment, including resume, when applicant not hired
RETENTION: 3 years
NOTE: When the applicant is hired, the application is retained in or as long as the personnel file (see item no. 1 [310] in this section).
37[750] Recruitment, hiring, interview, and selection records, including but not limited to correspondence, reports, selection criteria, interview notes, background check records, rating and ranking forms, evaluations, and other records pertaining to the hiring, promotion, demotion, transfer, layoff, and termination of employees
RETENTION: 3 years after completion of personnel action
NOTE: This item does not cover personnel records of individual employees (see item no. 1 [310] in this section).
38[751] Application for examination
a. When eligible list is established
RETENTION: 3 years after expiration of eligible list
b. When no eligible list is established
RETENTION: 3 years after examination date
c. Supplemental documentation filed in conjunction with application, including but not limited to student loan statement, credentials, and copies of transcripts
RETENTION: 1 year
39[339] Civil service examination records and appointment review records
a. Civil service examination and announcement (official copy held by office with official civil service function)
RETENTION: PERMANENT
b. Civil service examination and announcement (other than official copy held by office with official civil service function)
RETENTION: 0 after no longer needed
c. Candidate identification or admission card
RETENTION: 3 years after date of examination
d. Examination preparation, administration, and rating records
RETENTION: 5 years after date of examination
e. Veteran credit records
RETENTION: 50 years
f. Qualifying medical, physical fitness, or agility examination report, when person is hired and worked one year or longer
RETENTION: 30 years after termination of employment
g. 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)
RETENTION: 3 years after termination of employment
h. Qualifying medical, physical fitness, or agility examination report, when person is not hired
RETENTION: 3 years after date of examination
i. Summary listing of examination results
RETENTION: 1 year after date of examination
j. Notification of examination results mailed to candidate
RETENTION: 3 years
k. Examination review records, including but not limited to employee request, correspondence, and objection
RETENTION: 3 years after expiration of eligible list
l. Appointment review records, documenting review of applicant qualifications for non-competitive, temporary, or other positions not requiring examinations
RETENTION: 5 years
40[338] Seniority list ranking employees by length of service
RETENTION: 3 years after superseded or obsolete
41[752] Disclosures related to student loan status, received as part of civil service examination application, transmitted to New York State Higher Education Services Corporation, along with transmittal documents
RETENTION: 1 year
42[753] College or University requests to the CUNY Civil Service Commission for approval of changes in policies or jurisdictional classifications
RETENTION: 3 years after last entry
Public Access to Records
1[349] Subject matter list of records held by a college or the University, required under Freedom of Information Law
RETENTION: 6 months after superseded or obsolete
2[350] Listing of officers or employees of a college or the University, required by Freedom of Information Law
RETENTION: 6 months after superseded or obsolete
3[352] Freedom of Information records request file
a. Request for access to public records and response, when request is granted
RETENTION: 1 year
b. Request for access to public records, when request is denied, including statement of denial, appeal records, documentation of review and decision
RETENTION: 1 year after final determination
NOTE: Where the requests relate to a litigation, grievance, or proceeding before an administrative agency, they should be retained for as long as the records of the underlying matter.
Public Employment and Training
1[353] Employment and training program file for youth employment training, Work Force Investment Act, and other job training programs
a. Project application, proposal, narrative, evaluation, and annual report
RETENTION: 6 years
NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.
b. Background material and supporting documentation
RETENTION: 6 years
2[354] Employment and training program individual participant file, including but not limited to application, work schedule, evaluations, and notice of transition to non-grant employment
RETENTION: 6 years after last entry
3[355] Denied employment and training enrollment application
RETENTION: 3 years
Public Property and Equipment
1[412] Real property acquisition or sale file for property owned by a college, the University, or the Dormitory Authority of the State of New York (DASNY), including but not limited to copy of deed, copy of appraisal or valuation, copy of site or plot plan, photographs, recommendation or justification for acquisition or sale, environmental audit, approval for acquisition or sale, closing statement, memoranda, and correspondence
a. Copy of site or plot plan, photographs, recommendation or justification for acquisition or sale, and environmental audit
RETENTION: PERMANENT
b. Other records in file, including but not limited to copy of deed, copy of appraisal or valuation, closing statement, approval for acquisition or sale, memoranda, and correspondence
RETENTION: 6 years after property no longer owned by college, University, or DASNY
2[413] Master summary record (book, log, or register) recording acquisition or sale of property by a college or the University
RETENTION: PERMANENT
3[414] Official copy of sale or auction list, and notice or advertisement of sale of real property
RETENTION: PERMANENT
4[415] Capital construction or public improvement project file, including but not limited to bids, specifications, contracts, performance guarantees, inspection reports, and environmental impact statements
a. Feasibility studies; successful bids; plans, specifications, and designs; project description; in-progress and completion photographs; inspection reports; environmental impact statement; annual project statement; fiscal and other financial reports; significant change orders; and significant correspondence
RETENTION: 6 years after building or facility no longer exists or is no longer owned by college, University, or DASNY
NOTE: Appraise these records for historical significance prior to disposition. Records for important projects or historic structures have historical value and should be retained permanently. Contact your Records Management Coordinator for additional advice.
b. Supplementary documentation, including application for assistance, project budget, interim fiscal reports, claims, contracts, vouchers, work orders, memoranda, worksheet, non-significant change orders, routine correspondence, and detailed construction specifications
RETENTION: 6 years after last entry in project file
c. Unsuccessful bids to which contract is not awarded
RETENTION: 6 years
d. All records, when project is proposed but not undertaken
RETENTION: 6 years after last entry
NOTE: For plans, maps, designs, sketches, architectural drawings, and photographs of buildings and facilities, see item no. 5 [416] in this section.
5[416] Official plans, maps, designs, sketches, architectural drawings, and photographs for buildings or other facilities owned by a college, the University, or DASNY, including index, and also including design file for capital construction or renovation project
a. Final or "as built" plans, maps, designs, sketches, architectural drawings, and photographs for significant building or other facility
RETENTION: PERMANENT
b. Final or "as built" plans, maps, designs, sketches, architectural drawings, and photographs for other than significant building or other facility
RETENTION: 6 years after building or facility no longer exists or is no longer owned by college, University, or DASNY
c. Mechanical, electric, and other detailed schematic drawings not covered by parts "a" or "b", including detailed specifications not appearing on plans, maps, designs, sketches, or architectural drawings
RETENTION: 6 years after building or facility no longer exists or is no longer owned by college, University, or DASNY
d. Other related non-graphic design file documents, including correspondence, cost estimates, reports, planning studies, and other records
RETENTION: 6 years after completion of project
NOTE: Some of these non-graphic documents may need to be retained for six years after the building or other facility no longer exists, if they document significant changes with long-term fiscal and other implications. Colleges and the University should review these records for these possible uses prior to disposition.
e. Template or other similar automated framework or reference files used in conjunction with more specific automated design files
RETENTION: As long as related specific automated design files are retained
f. Index or similar record used to locate, identify, and access plans, maps, designs, sketches, architectural drawings, photographs, and other existing records
RETENTION: Maintain as perpetual data file or other record, deleting information only relating to records that have been disposed of
6[417] Draft or intermediary plans, maps, designs, sketches, or architectural drawings, including explanatory textual files, tracings, and other than final or "as built" automated design files
RETENTION: 0 after no longer needed
NOTE: Some of these design documents may need to be retained for six years or longer, possibly as long as the building or other facility exists, if they document significant changes with long-term fiscal and other implications. Colleges and the University should review these records for these possible uses prior to disposition.
7[769] Maintenance, testing, service, operational, and repair records for buildings and other facilities or their mechanical, electrical systems, or other infrastructure
a. Cumulative summary records
RETENTION: 6 years after building or other facility no longer in use
b. Individual detailed report or related record, such as work request, work order, personnel deployment record, preventive maintenance schedules, and records of work completed, when posted to cumulative summary record
RETENTION: 6 years
c. Individual report or related record, such as work request, work order, personnel deployment record, preventive maintenance schedules, and records of work completed, when not posted to cumulative summary record
RETENTION: 6 years after building or other facility no longer in use
d. Log, maintenance schedule, or similar record of ongoing activity
RETENTION: 6 years after last entry
e. Descriptive information on specific equipment or component parts
RETENTION: 6 years after equipment or part no longer in use
f. Descriptive information on maintenance personnel, vendors, or contractors
RETENTION: 1 year after superseded or obsolete
g. Inventories of parts, materials, and supplies needed for maintenance and repairs
RETENTION: 6 years
h. Requests for inspection, repair, or service, when no work is performed and no funds expended
RETENTION: 1 year
NOTE: For plans, designs, and schematic drawings of buildings and facilities, including their systems and component parts, see item no. 5 [416] in this section.
8[770] Reports and studies relating to maintenance, testing, service, operation, and repairs for buildings and other facilities or their mechanical, electrical systems, or other infrastructure
RETENTION: 6 years
NOTE: Some of these reports may need to be retained longer for long-term facility management purposes, such as for six years after building or other facility is no longer in use. Some may even have permanent historical or other research value. Contact your Records Management Coordinator for additional information.
9[418] Building or facility security records, including but not limited to visitor's register, watchman's or automated security system or false alarm reports, and records of building/room keys or passes issued
RETENTION: 3 years, or 3 years after cancellation or return of key or pass
10[419] Public facility use file, including but not limited to requests, correspondence, fiscal records, and authorizations
RETENTION: 6 years
NOTE: Appraise these records for historical significance prior to disposition. In some cases, facility use files may document significant attempts by a college or the University to broaden its support base by reaching out to community groups.
11[421] Property inventory records, covering buildings, facilities, vehicles, machinery, and equipment, including "fixed assets" records
RETENTION: 0 after superseded by updated inventory, or 6 years after replacement, sale, or discontinuance of use of all property listed, whichever is shorter
12[422] Inventory of supplies
RETENTION: 6 years
13[423] Public property sale or discard records, except real property, including but not limited to description of property, bids or offers, and receipt of deed of gift
RETENTION: 6 years
14[424] Maintenance, testing, service, operational, and repair records for equipment or vehicle, but not covering buildings and other facilities or their mechanical, electrical systems, or other infrastructure
a. Cumulative summary record for vehicle or equipment
RETENTION: 6 years after vehicle or equipment no longer in use
b. Individual report, when posted to cumulative summary record
RETENTION: 6 years
c. Individual report, when not posted to cumulative summary record
RETENTION: 6 years after vehicle or equipment no longer in use
d. Maintenance or repair log or similar record
RETENTION: 6 years after last entry
e. Reports and studies relating to maintenance, testing, service, operation, and repairs for equipment or vehicles
RETENTION: 6 years
f. Requests for inspection, repair, or service, when no work is performed and no funds expended
RETENTION: 1 year
15[425] Specifications, warranty, and descriptive information received from vendor for vehicle or equipment
RETENTION: 6 years after vehicle or equipment no longer in use
16[426] Vehicle routing, scheduling, and usage records, including automated system used to schedule and assign routes of service and maintenance vehicles
a. Detailed data file containing information such as vehicle stops, usage, and locations at specific times or intervals
RETENTION: 0 after no longer needed
NOTE: Because of the amount of detailed data collected by such systems, such data may only be maintained online for a limited period of time. Some of these data may need to be retained longer to meet both administrative needs and legal requirements. College and University officials should store these data offline long enough to meet such requirements. Also, maintenance of a history file (see part "b") containing the most significant data elements may satisfy these administrative and legal needs.
b. Automated system operation history file, containing significant data and/or periodic data snapshots, generated from detailed system data
RETENTION: 6 years
c. Logs, schedules, reports, and queries (including macros, queries, and necessary documentation used in report and query generation) that contain information of legal or fiscal value
RETENTION: 6 years
d. Logs, schedules, reports, and queries (including macros, queries, and necessary documentation used in report and query generation) that do not contain information of legal or fiscal value
RETENTION: 0 after no longer needed
NOTE: This item does not apply to emergency use of law-enforcement, fire, or other emergency vehicles, which are covered by item no. 2[800] and other items in the Public Safety section.
17[427] Consumption and dispensing records for fuel, oil, or similar products used by publicly owned vehicles or equipment
RETENTION: 6 years
18[428] Request for services or supplies, including stockroom supplies, forms and publications, duplication, or use of any vehicle or equipment
a. When a chargeback or fee is involved
RETENTION: 6 years
b. When no chargeback or fee is involved
RETENTION: 0 after no longer needed
19[429] Federal Communications Commission (FCC) radio licensing records
a. Original application and other related records not created for renewal applications
RETENTION: 5 years after termination of license or final denial of application
b. Renewal application and related records, including copy of license
RETENTION: 5 years after renewal or termination of license or final denial of application
c. Request for frequency data research
RETENTION: 1 year
d. Listing of locations of radios using a college or University radio frequency
RETENTION: 0 after superseded or obsolete
20[430] Petroleum bulk storage records
a. Registration, including application and related records
RETENTION: 7 years after expiration or termination of registration or denial of application, or 7 years after tank removed from service or property sold, whichever is longer
b. Monthly and ten-year mandatory inspection reports
RETENTION: 10 years
c. Daily and other periodic inspection reports
RETENTION: 3 years
d. Test certification for underground storage tank
RETENTION: 7 years
e. Site assessment and related records required when an underground storage tank is abandoned
RETENTION: PERMANENT
f. Records relating to leakage and spillage
RETENTION: PERMANENT
g. Inventory monitoring records
RETENTION: 5 years
21[783] Self-evaluation records required under Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations, or requirements
a. Voluntary compliance plan for facility, including list of persons consulted, description of areas examined, transition plan, list of problems identified, and description of modifications anticipated and made
RETENTION: PERMANENT
b. Copies of work orders, progress notes, and other supporting documentation
RETENTION: 1 year after modifications completed
22[784] Inspection reports, reviews, and audits (internal and external) created relative to the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations, or requirements
RETENTION: 6 years after building or facility involved no longer in use
23[785] Individual complaint records filed under the provisions of the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations, or requirements, including but not limited to complaint, charge or request for reasonable accommodation, medical reports, responses, records of appeals, correspondence and internal memoranda, records documenting work done in response to complaint or request, and documentation of final resolution
a. When complaint or request is filed by a student, officer, or employee of the college involved or the University
RETENTION: 3 years after resolution of complaint or request and termination of any reasonable accommodation provided
b. When complaint or request is filed by person other than a student, officer, or employee of the college involved or the University
RETENTION: 3 years after final entry in record, or 0 after person involved attains age 21, whichever is longer
NOTE: Where a litigation or grievance has been filed, such individual complaint records should be retained for as long as the records of the proceeding are retained.
NOTE: For student complaint records not dealing with the provisions of the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations, or requirements, see item no. 11 [117] in the Students section.
24[786] Master summary record of all complaints under the Americans with Disabilities Act (ADA), Rehabilitation Act of 1973 as amended, or similar state/federal laws, regulations, or requirements
RETENTION: PERMANENT
25[787] Videotape or other recording maintained for security purposes
a. Videotape or other recording containing incidents warranting retention for administrative or potential legal uses
RETENTION: 3 years, or 0 after youngest person involved attains age 21, whichever is longer
b. Videotape or other recording not containing incidents warranting retention for administrative or potential legal uses
RETENTION: 0 after no longer needed
NOTE: Where a litigation or grievance has been filed, such videotapes or other recordings should be retained for as long as the records of the proceeding are retained.
26[788] Records relating to protection of underground facilities, including notice of or request for excavation received by a college or the University from excavator pursuant to 16 NYCRR, Section 753-5.2, notice of postponement or cancellation, and notice of discovery of unknown facility
RETENTION: 4 years
27[789] Records filed by contractor or subcontractor with a college or the University related to public works project, pursuant to Section 220 (3-a), Labor Law, including but not limited to copy or abstract of payroll, classification of workers employed on a project, and statement of work to be performed by each classification
RETENTION: 3 years after contract completion
28[878] Energy consumption monitoring records showing use of electricity or fuel, operation of heating and/or cooling equipment, or environmental conditions (temperature, humidity, air quality) in various parts of publicly owned or operated building or other facility
a. Detailed data collected from sensors or monitors, and detailed reports generated from such data
RETENTION: 0 after no longer needed
NOTE: Some of these data and detailed reports may need to be retained for six years for energy consumption trending analysis or energy consumption audit purposes. Colleges and the University should contact the Office of the State Comptroller or their own auditors to determine which data may have long-term value.
b. Equipment maintenance, testing, and service records, except detailed records of routine activities
RETENTION: 6 years after equipment no longer in use
c. Detailed records of routine maintenance, testing, and service
RETENTION: 6 years
d. Reports relating to energy consumption and environmental conditions, including reports of problems and corrective actions taken, summary reports of environmental conditions, and reports showing long-term energy consumption trends, along with accompanying charts, graphs, and data tables
RETENTION: 6 years
NOTE: Appraise these records for historical or other long-term significance prior to disposition. Records showing long-term trends in energy use may need to be retained permanently, or at least six years after the building or other facility is no longer in use. Contact your Records Management Coordinator for additional advice.
Public Safety
General
NOTE: Software and software manuals and documentation are not considered "records" under the Local Government Records Law. Colleges and the University should, however, retain older versions of software, as well as relevant manuals and documentation, to document the operation of systems related to public safety for legal purposes, such as defending the integrity of systems in court actions. Contact your Records Management Coordinator for advice in this area prior to destroying outdated software and related documentation.
1[471] Accreditation records for law enforcement, fire prevention, or emergency medical services agency or unit
RETENTION: PERMANENT
2[800] Emergency vehicle, apparatus, and equipment records
a. Vehicle upkeep and use records, including records of incidents where vehicle responded and equipment was used
RETENTION: 3 years
b. Vehicle readiness checklist or equivalent record for any emergency vehicle, needed to ensure that necessary equipment and material is in place and in proper order
RETENTION: 3 years
c. Record of equipment (other than firearms or other weapons) issued to public safety personnel
RETENTION: 1 year after equipment returned or otherwise disposed of
NOTE: See item no. 24 [494] in this section for records of issuance of firearms or other weapons to public safety personnel
NOTE: Items covering purchase, warranty, repair, fuel use, and replacement are found in the Public Property and Equipment section in this Schedule.
3[435] Training records for campus peace officers, but excluding emergency medical personnel
a. Individual's record of courses attended and/or completed, including basic information on course content
RETENTION: 6 years after individual leaves service
b. Official copy of training manual or bulletin
RETENTION: 50 years
c. Course instruction records, including attendance lists and lesson plans
RETENTION: 1 year
NOTE: For emergency medical training records of college and University employees, see item no. 14 [441] in this section. This item also does not cover employee training course information records described in item no. 36 [584] in the General section, or training in radiation program safety or dealing with toxic substances (see item nos. 15 [763] and 17 [325] in the Environmental section).
4[802] Public safety personnel service data file or equivalent record, including incident and activity attendance information showing names of personnel present at fire or other emergency, drills, meetings, and other official activities
a. Summary data on an individual
RETENTION: 3 years
b. Detailed data on an individual, when posted to or listed on summary data file or other record
RETENTION: 1 year
c. Detailed data on an individual, when not posted to or listed on summary data file or other record
RETENTION: 3 years
NOTE: This item does not cover the personnel records of officer, employee, or volunteer. See the Personnel/Civil Service section in this Schedule.
5[803] Public safety real property data file, containing basic and detailed information on land and structures, including hazards, property inspections, and individuals associated with properties
a. Basic or " history file" data
RETENTION: Maintain as updated perpetual data file for as long as system remains in use and property covered comes under service area
NOTE: Colleges and the University should consider permanent retention of the basic data elements of these property "history" files for all parcels of property, or the creation and permanent retention of "snapshots" of these data. This information may be useful for long-range planning purposes, for community, urban planning, and public safety issues, and for other research. Contact your Records Management Coordinator for additional advice.
b. Detailed data, including plans and computer-assisted design records
RETENTION: 0 after superseded or obsolete
c. Records of updates and corrections to property data
RETENTION: 3 years after update or correction made
6[804] Documentation of macros, queries, and reports
a. Relating to specific case investigation or subject file
RETENTION: As long as case investigation or subject file for which documentation is created is retained
b. Not relating to specific case investigation or subject file
RETENTION: 0 after no longer needed
NOTE: Depending on the results obtained from generating these macros, queries, and reports, college and University officials may need to retain these records for potential legal and other uses. Contact the University's Public Safety Office for additional advice.
7[806] Standard Operating Procedures for call receipt and dispatch, including codes, abbreviations, and authority file data
RETENTION: PERMANENT
NOTE: Detailed routine procedures are covered by item no. 9 [9] in the General section.
8[432] Communications log (radio, telephone, alarm, or other) recording each communication between caller and receiving unit or between dispatch unit and mobile unit or field personnel, for law enforcement agency or emergency medical or central emergency dispatch unit
RETENTION: 3 years after last entry
NOTE: Records custodians should contact the University's Public Safety Office before these records are disposed of regarding any potential legal value.
9[433] Tape recording of communications kept by dispatch unit of law enforcement agency or emergency medical service or central emergency dispatch unit
RETENTION: 30 days after information posted to emergency call receipt and/or equipment dispatch record
NOTE: Records custodians should contact the University's Public Safety Office before these records are disposed of regarding any potential legal value. Recordings of serious incidents may warrant longer retention for legal reasons. These tapes should be retained until legal action is resolved, or the relevant specific communications should be transferred onto a separate tape. Contact your Records Management Coordinator for additional advice.
10[799] Call receipt and dispatch-related reports, other than individual incident reports
a. Summary data reports and detailed reports containing information of potential legal or fiscal value
RETENTION: 6 years
b. Internal information reports of no legal or fiscal value, such as daily activity reports
RETENTION: 0 after no longer needed
11[891] Campus safety records
a. Annual security report
RETENTION: PERMANENT
b. 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
RETENTION: 3 years after superseded or obsolete
c. Designation of employee(s) authorized to assist enrolled and prospective students obtain the annual security report and related records
RETENTION: 3 years after superseded or obsolete
d. Crime statistics, including lists of crimes by location and relevant maps, other than those statistics included in the annual security report
RETENTION: 3 years
e. Crime logs
RETENTION: 3 years
NOTE: College and University security units should use the Public Safety section in this Schedule whether or not they have been recognized as accredited law enforcement agencies. This item covers records that must be maintained under the Clery Act regulations - Section 668.46 of 34 CFR (Institutional Security Polices and Crime Statistics).
NOTE: Sexual offense or alcohol or drug abuse investigation records are covered by item no. 21 [460] in this section. Lists and other records of parolees and sex offenders are covered by item nos. 35 [468] and 36 [830] in this section. Accident or incident reports that are not crime-related are covered by item nos. 31 [31] and 32 [32] in the General section.
Emergency Medical Services
12[808] Patient care records
a. Ambulance run or prehospital care record created each time a patient is transported by emergency vehicle and/or administered medical treatment
RETENTION: 6 years, or 0 after individual treated and/or transported attains age 21, whichever is longer
b. Patient care data file, containing medical treatment and/or billing information on individual treated by emergency medical personnel
RETENTION: 6 years, or 0 after individual treated and/or transported attains age 21, whichever is longer
c. Summary record of all patients treated and/or transported
RETENTION: 3 years
13[440] Ambulance run or emergency medical treatment chronological log, or equivalent record
RETENTION: 6 years after last entry
14[441] Emergency medical training records, covering college and University employees who receive training
a. Application for training or certification filed by individual
RETENTION: 6 months
b. Original entry training records, when posted to summary record
RETENTION: 1 year
c. Original entry training records, when not posted to summary record
RETENTION: 7 years
d. Summary record of training
RETENTION: 7 years
NOTE: College and University officials may want to keep these records longer, possibly for the career of the individual, if the records are consulted throughout that period.
e. Course materials, except final or annual reports
RETENTION: 7 years after course completed
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 or dealing with toxic substances (see item nos. 15 [763] and 17 [325] in the Environmental section), or training records for campus peace officers (see item no. 3 [435] in this section).
NOTE: This item also does not cover emergency medical training records covering a college or the University as a course sponsor (see item no. 15 [809] in this section).
15[809] Emergency medical training records, covering a college or the University as a course sponsor, including but not limited to information on individuals, course files, and information on instructors, as required by Section 800.20, 10 NYCRR
a. Information on individuals and course files
RETENTION: 5 years
b. Information on instructors
RETENTION: 5 years after working association of each instructor ceases
NOTE: This item does not cover emergency medical training records covering college and University employees who receive training (see item no. 14 [441] in this section).
16[810] Rescue and disaster response reports and related records covering specific incidents
RETENTION: 3 years, or 0 after youngest person involved attains age 21, whichever is longer
NOTE: Specific rescue and disaster response records should be appraised for historical value and may warrant permanent retention, based on the serious nature of the incident involved, particularly if these records are not duplicated in disaster response files covered by item no. 2 [136] in the Disaster Preparedness section. Contact your Records Management Coordinator for additional advice.
Fire Prevention
17[118] Fire safety inspection reports prepared pursuant to Section 807-b, Education Law
RETENTION: 21 years
18[449] Fire evacuation plan, disaster response plan, fire drill report, fire safety survey, but not including mutual aid plan
RETENTION: 3 years after superseded or obsolete
NOTE: See item no. 2 [80] in the Disabled Students section for disabled student emergency evacuation plan.
Law Enforcement: General
19[458] Incident data summary record, including blotter, "desk record book," or equivalent record containing summary record of department or station activities
RETENTION: PERMANENT
20[466] Law enforcement reports, studies, or data queries, including their documentation
a. Reports, studies, or queries having legal or fiscal value, such as reports covering use of equipment and personnel resources, reports on crime in specific areas or on specific kinds of criminal activity, daily activity reports, and individual officer "diaries"
RETENTION: 6 years
NOTE: Appraise records covered by part "a" for archival value. Reports and studies analyzing law enforcement activity for a specific kind of criminal activity or a given area may be valuable for long-term planning, analysis of trends in law enforcement, and historical and other research. Contact your Records Management Coordinator for additional advice.
b. Reports, studies, or queries having no legal or fiscal value, such as daily communications or other routine internal reports
RETENTION: 0 after no longer needed
21[460] Case investigation record for adult, juvenile offender, youthful offender, or juvenile delinquent, including but not limited to complaint, investigation report, arrest report, property record, and disposition of the case
a. For homicides, suicides, arson (first, second or third degree), missing persons (until located), active warrants, and stolen or missing firearms (until recovered or destroyed)
RETENTION: PERMANENT
b. For all felonies except those covered by parts "a" and "c", and fatalities other than homicides
RETENTION: 25 years after case closed
NOTE: Appraise case investigation files for these felonies for historical and other research value, as well as for analysis of long-term trends. Contact your Records Management Coordinator for additional advice.
c. For fourth degree arson and non-fatal accidents
RETENTION: 10 years after case closed
d. For misdemeanor
RETENTION: 5 years after case closed
e. When offense involved was a violation or traffic infraction
RETENTION: 1 year after case closed
f. When the individual involved was an adult and the investigation reveals no offense has been committed
RETENTION: 5 years
g. When the individual involved was a juvenile and no arrest was made or no offense was committed
RETENTION: 0 after individual attains age 19
h. Domestic incident report created pursuant to Section 140.10(5), Criminal Procedure Law, when case investigation record is created
RETENTION: 4 years, or as long as rest of case investigation report is retained, whichever is longer
NOTE: For such domestic incident reports when a case investigation report is not created, see item no. 32 [829] in this section.
Law Enforcement: Firearms
22[490] Firearm licensing file, including application for license to sell, carry, possess, repair, and dispose of firearms, and supporting records, such as affidavit of character reference and verification of reason for license
a. When application is approved
RETENTION: 6 years after license renewed, canceled, revoked, or expired, or after individual is known to have deceased or attained age 90
b. When application is disapproved
RETENTION: 6 months (if no litigation is brought), or 6 months after any litigation has been completed, whichever is applicable
23[491] Individual firearm purchase record
RETENTION: 6 years
24[494] Records of issuance of firearms or other weapons to law enforcement personnel
RETENTION: 3 years after return or other disposition of weapon
25[495] Repair and maintenance records for firearms or other weapons used by law enforcement personnel
RETENTION: 3 years after weapon no longer in use
26[817] Record of stolen or missing firearms
RETENTION: 0 after all firearms located or destroyed
Law Enforcement: Motor Vehicles
27[481] Traffic and parking violation records, including parking, speeding, or other appearance ticket; officer's supporting deposition; parking violation hearing records; "boot and tow" records; and related records
RETENTION: 2 years after payment of fine, or 2 years after any litigation has been completed, whichever is applicable
28[482] Vehicle accident case record, including vehicle accident report and related records
RETENTION: 6 years (if no litigation is brought), or 6 years after any litigation has been completed, whichever is applicable, but not before youngest individual involved attains age 21
NOTE: This item does not cover the case investigation record (see item no. 21 [460] in this section).
29[483] Vehicle history files containing information on specific vehicles or vehicle models, including vehicles that have been involved in accidents or used in the commission of crimes
RETENTION: 0 after no longer needed
30[484] Individual's driving and accident records
a. Order, report, or notice concerning vehicle operator's license or registration, including but not limited to order of suspension or revocation of license, notice of compliance with order of suspension or revocation, notice of noncompliance, notice of restoration of license, and report of lost or stolen plates
RETENTION: 3 years
b. Driver's summary record of accidents, violations, and other activities
RETENTION: 0 after death of individual, or 90 years after date of birth, if death not verified
Law Enforcement: Miscellaneous
31[459] Warrant execution and subpoena or summons service records
a. Original signature copies of arrest and other warrants executed by law enforcement agency
RETENTION: 5 years after warrant executed or recalled
b. Other warrant-related records, including copies without original signatures and warrant control records
RETENTION: 5 years after last entry
c. Copies of subpoenas and summonses, and records of their service
RETENTION: 2 years
d. Warrant information file
RETENTION: Maintain data on each warrant as long as warrant is valid
32[829] Domestic violence records, covering single or multiple incidents, not relating to specific case investigation records, including domestic incident report created pursuant to Section 140.10(5), Criminal Procedure Law, when no case investigation record is created
RETENTION: 4 years
NOTE: For domestic incident reports created pursuant to Section 140.10(5), Criminal Procedure Law, when a case investigation record is created, see item no. 21 [460] in this section.
33[463] Escort service record, including activities such as accompanying employees or students to a parking lot
RETENTION: 3 years
34[464] Vacant place check record, including vacant houses and other places to be checked during patrols
RETENTION: 0 after superseded or obsolete
35[468] Parolee and sex offender records
a. Lists of parolees or sex offenders living within a jurisdiction
RETENTION: 0 after superseded or obsolete
b. Detailed records on individual parolee or sex offender
RETENTION: 0 after person's parole terminated
NOTE: This item does not include records created pursuant to the Sex Offender Registration Act (see item nos. 36 [830] and 37 [831] in this section).
36[830] Subdirectory of high-risk (level 3) sex offenders
RETENTION: 0 after superseded or obsolete
NOTE: The Division of Criminal Justice Services (DCJS) strongly recommends the destruction of superseded information as soon as superseding information is received.
37[831] Sex offender registration records, including but not limited to official notification upon registration, change of address information, determination of final risk level, notification of error or change in jurisdiction, notification that offender is no longer registerable, annual address verification, 90-day personal verification (for level 3 offenders), and community notification information
a. For level 1 or 2 offender, when offender remains in local law enforcement agency's jurisdiction
RETENTION: 0 after death of individual, or 5 years after completion of registration period, whichever is shorter
NOTE: If these records are included in case investigation records, see item no. 21 [460] in this section.
b. For level 1 or 2 offender, when offender has left local law enforcement agency's jurisdiction
RETENTION: 0 after death of individual, or 5 years after offender leaves jurisdiction, whichever is shorter
c. For level 3 offender, when offender remains in local law enforcement agency's jurisdiction
RETENTION: 0 after death of individual, or individual attains age 100, whichever is shorter
d. For level 3 offender, when offender has left local law enforcement agency's jurisdiction
RETENTION: 0 after death of individual, or 5 years after offender leaves jurisdiction, whichever is shorter
38[470] Missing person records
a. Missing person files, covering any records not included in case investigation records
RETENTION: 10 years, or 0 after individual attains age 90, whichever is longer
NOTE: If these records are included in case investigation records, see item no. 21 [460] in this section.
b. Validation records received from and submitted to Division of Criminal Justice Services (DCJS)
RETENTION: 6 months
39[473] Child abuse or maltreatment reports and related records, reporting law enforcement agency copy, when not included in case investigation record
RETENTION: 3 years
NOTE: This item covers copies of child abuse and maltreatment reports and related records retained by law enforcement agencies reporting suspected abuse and maltreatment to the State Central Register or to child protective services units of county social services departments. If these records are included in case investigation records, see item no. 21 [460] in this section.
Law Enforce