Managing Records: CO-2 Retention Schedule Main Page:
Records Retention and Disposition Schedule CO-2
NOTE: Records common to most offices are listed under this section of the Schedule. In using the Schedule, one 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 governing body or board, commission or committee thereof including all records accepted as part of minutes: | PERMANENT |
| **2.[2] | Recording of voice conversations, including audio tape, videotape, stenotype or stenographer's notebook and also including verbatim minutes used to produce official minutes and hearing proceedings, report, or other record | |
| a. Recording of public or other meeting of governing body or board, committee or commission thereof: NOTE: Videotapes of public hearings and meetings which have been broadcast on local government public access television are covered by item no. 719, below. 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 the State Archives for additional advice on the long-term maintenance of these records. |
4 months after transcription and/or approval of minutes or proceedings | |
| b. Other recordings: | 0 after no longer needed | |
| *3.[3] | Meeting files for meeting of governing body or board or agency, commission or committee thereof, including agendas, background materials and other records used at meetings: 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, above, for records which are accepted as part of the minutes. |
1 year |
| *4.[4] | Legal opinion or legal directive rendered by government agency: | PERMANENT |
| *5.[5] | Local law (including certification that law was properly enacted), rule, regulation, ordinance, resolution, proclamation or court order: | PERMANENT |
| *6.[6] | Legal agreement, including contract, lease, and release involving local government: NOTE: This item does not apply to contracts (collective bargaining agreements) between a local government and a public employee labor organization. These contracts are covered by item no. 402 in the Personnel/Civil Service section, and must be retained permanently. |
6 years after expiration or termination or 6 years after final payment under contract, whichever is later |
| *7.[7] | Signature card, or equivalent record, showing signature of individual legally authorized to sign specific transaction: | 6 years after authorization expires or is withdrawn |
| *8.[8] | Proof of publication or posting, legal notices, or certification thereof NOTE: This item does not apply to real property tax lien sales (see item no. 662 in the Taxation and Assessment section). |
|
| a. Relating to bond or note issue or tax limit increase: | 6 years after issue or increase disapproved or retired | |
| b. Not relating to bond or note issue or tax limit increase: | 6 years | |
| *9.[9] | Manual of procedures, or policies and standards | |
| a. Involving major procedures, policies and standards affecting local government operations, critical functions or issues of public visibility or concern: | PERMANENT | |
| b. Involving routine day-to-day procedures, policies and standards pertaining to internal administration of a local government: | 6 years after superseded | |
| *10.[10] | Correspondence, and supporting documentation maintained in a subject file (generated or received by a local government), except correspondence that is part of a case file or other record series listed elsewhere on this Schedule | |
| a. Documenting significant policy or decision making or significant events, or dealing with legal precedents or significant legal issues: NOTE: Significant correspondence is often maintained by the chief executive or administrative officer, and sometimes in subject file format. See item no. 217 in the County Executive, Manager, and/or Administrator section. |
PERMANENT | |
| b. Containing routine legal, fiscal or administrative information: | 6 years | |
| c. Of no fiscal, legal or administrative value (including letters of transmittal, invitations and cover letters): | 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 prepared by or for local government 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 which contain significant information or substantial evidence of plans and directions for government activities, or publications where critical information is not contained in other publications: | PERMANENT | |
| b. Publications where critical information is also contained in other publications or reports, publications which document routine activities, publications which contain only routine information, or publications (such as webpages) that facilitate access to government information on the Internet: NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Local governments should consider permanent retention of samples of publications covered by part "b" of the above item. Contact the State Archives for additional advice in this area. |
0 after no longer needed | |
| *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: 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. |
6 years after project or program ends |
| *13.[13] | Grant program file NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. |
|
| a. Application, proposal, narrative, evaluation, and annual report for grants that have been awarded: NOTE: Local governments may find that some of the records covered by part "a" have ongoing administrative value. These records may be useful beyond the minimum retention period for preparing future grant applications. |
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: | 6 years after renewal or close of grant or denial of application | |
| *14.[29] | Complaint, petition or request for service received by local government NOTE: Appraise these records for historical significance prior to disposition. Petitions by citizens involving very significant issues should be retained permanently. NOTE: For additional fiscal items, see Fiscal section of this Schedule. |
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| a. Summary record (such as log or register) of complaints, petitions or requests: | 6 years after disposition of all complaints, petitions or requests listed | |
| b. Complaints, petitions or requests relating to other than routine services or activities: | 6 years after final disposition of complaint, petition or request | |
| c. Complaints, petitions or requests relating to routine government services or activities: | 1 year after final disposition of complaint, petition or request | |
| *15.[15] | Opinion survey records | |
| a. Survey results, including official copy of survey form: NOTE: Appraise these records for historical significance prior to disposition. Survey results and sample forms involving very significant issues should be retained permanently. |
6 years | |
| b. Completed survey forms: | 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: NOTE: For maintenance, testing, service, operational and repair records for public equipment or vehicle, see item no. 524 in the Public Property and Equipment section. |
6 years |
| *17.[17] | Internal investigation or non-fiscal audit records NOTE: Fiscal audit records are covered
by item no. 293 in the Fiscal section, Audit subsection. Investigations
of personnel are covered by item no. 392 in the Personnel/Civil
Service section, Personnel subsection. |
|
| a. Report and recommendation resulting from investigation: | PERMANENT | |
| b. Background materials and supporting documentation: | 6 years | |
| *18.[18] | Internal information record, including but not limited to calendars of appointments, office and travel schedule, memoranda and routing slips, routine internal reports, reviews and plans, used solely to disseminate information or for similar administrative purposes: | 0 after no longer needed |
| 19.[19] | Duplicate copy of record, created for administrative convenience, except where retention is specified elsewhere in this Schedule: | 0 after no longer needed |
| *20.[20] | Log or schedule used for internal administrative purposes only: | 0 after no longer needed |
| *21.[21] | Mailing list used for billing or other administrative purposes: | 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: NOTE: For annual, special, or final report, summary, review or evaluation, see item no. 23, below. For routine internal reports and reviews, see item no. 18, above. |
6 years |
| *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. |
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| a. Reports which contain substantial evidence of government policy, procedures, plans and directions: | PERMANENT | |
| b. Reports where critical information is contained in other reports, reports which document internal management and housekeeping activities, or reports which contain only routine legal, fiscal and administrative information: NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. |
6 years | |
| *24.[24] | Program plan (annual, special or long-range): NOTE: Program plans of a routine nature covering internal activities are covered by item, no. 18, above. Program plans where significant information is duplicated in other records (which are retained permanently) are covered by item no. 19, above. |
PERMANENT |
| 25.[25] | List, index or summary used for internal administrative convenience or for informational purposes: | 0 after obsolete |
| 26.[26] | Working document, such as draft, worksheet or posting record except worksheets containing fiscal information: | 0 after no longer needed |
| *27.[27] | Communication log recording each communication between caller and receiving unit: NOTE: Item nos. 27 & 28 do not apply to records found in the public safety area. See the Public Safety section of this Schedule. |
1 year |
| 28.[28] | Telephone call log, statement or equivalent record: | 1 year |
| *29.[33] | Identification card (duplicate copy or record of issuance) issued to client, patron or resident: NOTE: This does not apply to identification cards issued by a law-enforcement agency as proof of age or residency or identification cards issued by local government to its employees. For these, see item no. 566 in the Public Safety section and item no. 397 in the Personnel/Civil Service section. |
0 after invalid |
| 30.[30] | Postal records, including returned registered or certified mail card or receipt and insurance receipt: NOTE: This does not apply to records documenting delivery of notification to interested parties relating to tax lien sales. See the Taxation and Assessment section of this Schedule. |
1 year |
| *31.[31] | Accident report and related records: | 3 years, or 0 after individual attains age 21, whichever is later |
| *32.[32] | Report of incident of theft, arson, vandalism, property damage or similar occurrence: NOTE: This item does not apply to records found in the public safety area. See the Public Safety section of this Schedule. |
6 years |
| *33.[719] | Local government public access television records | |
| a. Videotape (or other information storage device) recording local government public access television program, where program is produced by a local government Where program constitutes an important public meeting, significant event, important subject or documents local government policy making: NOTE: In order to ensure the continued preservation and availability of videotapes, local governments should consider using broadcast-quality tapes where possible. Those tapes should be periodically inspected and copied to newer tapes and formats. Consult the State Archives for additional advice. |
PERMANENT | |
| Where program constitutes a routine meeting, event or subject: | 1 year | |
| Where program is aired but not produced by a local government: | 0 after no longer needed | |
| b. Viewer guide or other periodic listing of programs: NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. The State Archives recommends that local governments retain a sampling of these records on a monthly, seasonal or other periodic basis. |
1 year | |
| c. Program files on local government cable television programs: | 6 years | |
| *34.[720] | 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: | 3 years | |
| b. For materials not subject to U.S. Copyright Law: | 0 after no longer needed | |
| *35.[721] | Copyright records, for materials copyrighted by local government, including but not limited to copy of application, notice of copyright and correspondence: | 6 years after copyright expires or application denied |
| *36.[722] | Training course information records, including but not limited to memoranda, flyers, catalogues and other records related to specific training courses including information on course content, program registration, instructor, credits, hours and roster of agency registrants: NOTE: This item does not cover training in the Public Safety area; see item nos. 535 and 541 in the Public Safety section. This item does not cover training in dealing with toxic substances; see item no. 406 in the Personnel/Civil Service section. |
0 after superseded or obsolete |
| *37.[723] | Training course registration processing records, including but not limited to employees' application and enrollment records for courses including employee data forms, course applications, and supervisors' and training officers' authorizations or denials: | 3 years after date of application to take course |
| 1.[34] | Annual and multi-year comprehensive plans, compliance reports and non-fiscal audits relating to aging services: | PERMANENT |
| *2.[35] | Log or index of seniors served by local aging services program: | 0 after no longer needed |
| *3.[36] | Individual client file, including but not limited to applications, evaluations, and follow-up report: | 6 years after last contact with client |
| 4.[37] | Senior volunteer file, including but not limited to registration, enrollment and service records: | 6 years |
| *1.[38] | 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: | 0 after superseded | |
| b. Documentation of final disposition of records, describing records disposed of and manner and date of disposition: NOTE: Local governments may wish to retain records covered by part "b" longer than the minimum retention period, to provide evidence that records have been legally disposed of, in response to requests for public access to records. In addition, documentation of the final disposition of archival records is covered by item no. 40, below. |
6 years after final disposition of records | |
| *2.[39] | Inventory of records: | 0 after superseded |
| 3.[40] | Records transfer list | |
| a. For archival records: | PERMANENT | |
| b. For inactive records: | 0 after disposition of records on list | |
| *4.[41] | Retrieval request for records in storage: | 0 after return of records, or 3 years after retrieval when records not returned |
| 5.[42] | Archival administration records | |
| a. Appraisal and accessioning documentation, including assessment of conservation needs: | PERMANENT | |
| b. Processing and management working papers, drafts, notes, and related records: | 0 after no longer needed | |
| *6.[43] | Guide, listing, index, or other finding aid to archival records: NOTE: Local governments should retain any superseded guides, lists, indices or other finding aids containing record numbering and identification information, or any other significant information not carried forward to newer versions. |
0 after superseded |
| *7.[44] | Records on use of archival materials | |
| a. Log or register of researchers, and patron's registration for use of archival records: | 6 years | |
| b. Researcher interviews, reference statistics, requests for records, or similar reference service records: | 0 after no longer needed |
BUILDING AND PROPERTY REGULATION
BUILDING/PROPERTY HISTORY SYSTEMS
NOTE: Some counties in the state use automated systems to keep track of various functions of their offices regarding building and property regulation. These systems, which we are referring to generically as "Building/Property History Systems," contain information in such areas as planning, zoning, building permits and inspections, fire safety, code enforcement, violations and complaints. In general, these systems do not replace existing hard copy-based systems, but do create some of the forms and other paper records in these files. In addition, these systems contain data files and other electronic records not found in manual systems. The items below are meant to cover not only electronic records contained in these automated systems, but also maps, reports and other system output maintained in both traditional hard copy and electronic format as well.
More importantly, these systems often contain summary information on various county and municipal activity regarding a specific building and/or parcel of real property. The building/property history data file, listed below, may contain retrospective information on building permit issuance, building inspection, certificate of occupancy issuance, site plan review or other planning actions, zoning variances, special use permits and fire inspections for a single parcel of property over a period of time.
| *1.[724] | Building/property history data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on such areas as building permit issuance, building inspection, certificate of occupancy issuance, site plan review or other planning actions, zoning variances, special use permits and fire inspections: NOTE: Counties should consider permanent retention of the basic data elements of these building/property history systems for all parcels of property in the county. This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed records maintained in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice. |
0 after no longer needed |
| *2.[725] | Street address/parcel number authority data file, used to supply building/property history system with accurate, up-to-date information on real property tax parcel numbers, property owners' names and addresses, parcel sizes, E-911 or other street addresses, and other essential data necessary for system to operate: NOTE: This data is often received from an assessor's or tax office. See items covering real property data systems in the Taxation and Assessment section. |
Retain until superseding or updated file received. |
| *3.[726] | Lists, reports, studies, queries, searches for information, special project records and analyses created from data contained in one or more data files in building/property history system | |
| a. Final reports and studies resulting from analysis of system data, including background materials and supporting documentation containing significant information on real property and structures located thereon, used for such purposes as long-range planning, change of zoning boundaries and regulations, or planning infrastructure improvements or new facility construction: NOTE: Appraise these records for historical significance prior to disposition. Records for important projects have historical value and should be retained permanently. Contact the State Archives for additional advice. |
6 years after project completed, or after date of final entry in record | |
| b. Reports and studies resulting from analysis of system data, including background materials and supporting documentation, queries, searches for information, lists, logs or other internal information records, containing routine information on real property and structures located thereon, or used to produce final reports and studies: NOTE: Queries conducted in automated systems are not considered "records" unless the query and/or its results are saved in electronic or manual format. See also related items in the Electronic Data Processing section. |
0 after no longer needed |
BUILDING AND CONSTRUCTION
(REGULATION AND INSPECTION)
NOTE: Applications for permits necessary for connection to public water supply system or municipal sewer, for individual water supply or sewage disposal system, for groundwater drainage, and for soil or stream disturbance or realty subdivision construction, are found in the Environmental Health section of this Schedule. For additional records dealing with historic preservation, see item no. 856 in the Miscellaneous section.
| 1.[52] | Master summary record, including index, log or journal, covering building code complaints, inspections, investigations, and violations: | PERMANENT |
| 2.[53] | Housing maintenance or building inspection records, including but not limited to complaints, inspection reports, notice of violation, cumulative building inspection record, appeal or review and final disposition of case | |
| a. For school, public building, multifamily dwelling, commercial or industrial structure, or hazardous structure: | 6 years after building no longer exists, but not less than 21 years | |
| b. For single family home: NOTE: Building inspection records relating to building permit issuance are covered by item no. 54, below. |
6 years after last entry in record | |
| *3.[727] | Fire safety inspection records | |
| a. Master summary record of inspections performed: | PERMANENT | |
| b. Report on inspection at school, public building, multifamily dwelling, or commercial or industrial facility and notice of violation: NOTE: If fire safety inspection records are combined or interfiled with building inspection records, use item no. 53a, immediately above. |
21 years | |
| c. Report on inspection of single family dwelling and notice of violation: | 6 years | |
| *4.[728] | Building inspection data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on building inspections not related to building permit issuance, certificate of occupancy issuance, fire inspections, and other relevant detailed information: NOTE: Counties should consider permanent retention of the basic data elements of this building inspection data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 724, above.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice. |
0 after no longer needed |
| *5.[54] | Building permit and certificate of occupancy issuance records NOTE: Building permit files often contain plans, sketches, photographs, and other records that provide valuable information on individual structures. These records may have continuing value for historical or other research, and the State Archives suggests they be retained permanently. |
|
| a. Master summary record of applications for building, plumbing, electrical, demolition or related permits, or for certificates of occupancy granted: | PERMANENT | |
| b. Log or other chronological list recording permits or certificates of occupancy issued: | 1 year after last entry in record, or 1 year after posting | |
| c. Building, plumbing, electrical, demolition or related permit file, including application and supporting materials; plans, maps and drawings; specifications; inspection reports; copies of all required permits and approvals; affidavit of compliance or completion of work; records of appeal when permit is denied; certificate of occupancy and correspondence | ||
| When permit is granted: | 6 years after building no longer exists | |
| When permit is denied: | 6 years after final decision | |
| When application is discontinued, has lapsed or is incomplete: | 90 days after date of most recent entry in record | |
| For non-structural modifications to shopping mall, office complex or similar structure (modifications not involving changes to fire suppression or alarm systems), when permit is granted: NOTE: Certain records covered by this item may be included under item no. 729, below, such as in instances where they are maintained in electronic format and not created as hard-copy output and included in the building permit file. In these cases, the electronic records covered by item no. 729 must be retained as long as specified by this item. |
10 years | |
| d. Certificate of occupancy and application when not related to building permit application: | 6 years after building no longer exists | |
| e. Detailed construction specifications submitted as part of building permit application: | 6 years after denial of permit or completion of work | |
| f. Plumbing system review or similar records held by county health department which assists municipality in building permit application review and issuance: NOTE: In cases where all documentation is not forwarded to the municipality, the county agency may wish to retain these records as long as the municipality retains the records covered by part "c," above. |
0 after no longer needed | |
| *6.[729] | Building permit issuance data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on applications for and issuance of building permits, including related inspections, certificate of occupancy issuance, and other relevant detailed information: NOTE: Counties should consider permanent retention of the basic data elements of this building permit issuance data for all parcels of property in the county, unless that data is preserved by the master summary record (see item no. 52, above.) This information may be useful for long-range planning purposes, and for community, urban planning and architectural history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice in this area. |
0 after no longer needed |
| 7.[55] | Building condemnation and demolition files, including application, copy of permit, correspondence, and notice of condemnation: | PERMANENT |
| 8.[56] | Contractors' liability insurance records | |
| a. Certificate of insurance or copy of insurance policy: | 6 years after denial or expiration of relevant permit | |
| b. Master summary record of contractors doing business in county and their insurance coverage: | 1 year after superseded or obsolete | |
| *9.[730] | Building complaints/violations records, including data file contained in building/property history system, and related records, containing information on complaint tracking and violation processing, and other relevant information: NOTE: For citizen complaints and requests for services, not covered by items in this section, see item no. 29 in the General section. For sanitary code violations, see item no. 245 in the Environmental Health section. NOTE: Counties should consider longer retention of the basic data elements of this complaints/violations data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 724, above.) This information may be useful for long-range planning purposes in conjunction with building permit issuance and building inspection data. Contact the State Archives for additional advice. |
6 years |
PLANNING
| 1.[425] | Comprehensive plan development file, including but not limited to official copy of comprehensive plan and all background surveys, studies, reports, and draft versions of plan: | PERMANENT |
| *2.[731] | Planning action data file contained in building/property history system, and related records, created for informational and reference purposes, containing information on mandatory or discretionary planning review, planning projects, and other relevant detailed information: NOTE: Counties should consider permanent retention of the basic data elements of this planning action data for all parcels of property in the county, unless that data is preserved by the building/property history system overall summary data file (see item no. 724, above.) This information may be useful for long-range planning purposes, and for community and land use history research. More importantly, this data provides for ease of access to summary building permit data on individual parcels of real property and the structures located on them. In addition, this data file may be used to access more detailed building permit records in electronic data output or maps, plans, permits and other paper records in inactive storage. Contact the State Archives for additional advice. |
0 after no longer needed |
| 3.[426] | Planning project or program file for project or program developed by or for planning agency | |
| a. Final report and essential supporting information used to develop report, including but not limited to maps, plans, technical memoranda and environmental impact studies: | PERMANENT | |
| b. Background material, including but not limited to notes, memos, worksheets and correspondence: | 6 years | |
| 4.[427] | Master summary record (log or register) maintained by planning agency to record receipt of planning or zoning reviews and projects, and to record subsequent action taken: | PERMANENT |
| 5.[428] | Geographic reference file maintained by planning agency for internal reference purposes, usually arranged by name of government agency or other service organization: | 0 after obsolete |
| *6.[429] | Mandatory planning review case file for required review of site plan, zoning variance, special permit, change of zoning, subdivision creation or enlargement, municipal planning action, or other required review, including but not limited to maps, plans, sketches, photographs, engineering reports, environmental impact statements and studies, copies of zoning records, project narrative, correspondence, and record of final determination | |
| a. Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is approved or denied (except records covered by part "d"): | PERMANENT | |
| b. Subdivision, historic structure, major commercial or industrial development, or capital construction, where application is withdrawn or abandoned (except records covered by part "d"): | 10 years after last entry | |
| c. Any other mandatory review: | 6 years after last entry | |
| d. Detailed construction specifications, receipts and transmittal documents, lists of abutting properties, superseded versions of plans and drawings, routine correspondence and internal notes and memoranda from all files: | 6 years after last entry | |
| e. Informal consultation records, created as a result of informal meeting with prospective applicant, prior to actual submission of application: NOTE: "Subdivision," as used in this item, means the division of one parcel of land into two or more lots, blocks, plots or sites. |
1 year after last entry | |
| 7.[430] | Discretionary planning review case file, including review of planning review cases, federal or other aid projects, review of mining permit application, environmental impact or similar studies, or other reviews, including but not limited to application, correspondence, copies of local planning or zoning records, maps, plans, sketches, and other supporting materials | |
| a. When review is carried out, and comments are forwarded by planning agency: | 3 years after last entry | |
| b. When no comments are forwarded by planning agency: | 1 year after receipt of request to review |
CIVIL DEFENSE/DISASTER PREPAREDNESS
| *1.[57] | Disaster preparedness or crisis relocation records | |
| a. Official copy of plans, including supporting maps, when prepared by local government under provisions of Section 23, Executive Law: | PERMANENT | |
| b. Copies of plans held by local government, including supporting maps, when official copies prepared under Section 23, Executive Law, are maintained by county or other local government which created them, along with other disaster preparedness plans, not prepared under Section 23, Executive Law, intended for specific buildings or for use by specific local government units: | 3 years after superseded | |
| c. Background materials and supporting documentation used in preparation of plans: | 3 years | |
| *2.[58] | Federal surplus property acquisition records: | 6 years after receipt of surplus property |
| *3.[59] | Emergency food storage records: | 3 years |
| *4.[60] | Emergency fuel allocation records, including monthly application/report and detailed fuel allocation records: | 3 years |
| *5.[61] | Disaster response and damage files compiling information on the response of all agencies to a major disaster, including such records as photographs, press clippings, property damage reports, records of emergency response, summary reports of personal injuries, records relating to demolition and new construction, and correspondence: | PERMANENT |
| *6.[62] | Emergency operating center records covering maintenance, and use:
NOTE: For property acquisition, facility construction and other records covering emergency operating centers and fallout shelters, see the Public Property and Equipment section. |
6 years after center no longer used for civil defense purposes |
| *7.[63] | Fallout shelter records | |
| a. Licenses, plans and surveys: | 6 years after building no longer in existence | |
| b. Listing of shelters: | 0 after superseded or obsolete |
**NOTE: The
Admissions subsection has been eliminated and the single item previously
found there is now in the Student Records subsection, formerly known as
the Registration subsection. The Affirmative Action subsection has been
eliminated; items previously found there are now covered by items in the
Personnel/Civil Service and Human Rights/Economic Opportunity sections.
The Health Services subsection has been eliminated; items previously found
there are now covered by items in the Public Health section.
Community colleges should also consult other sections of this Schedule,
especially the General, Electronic Data Processing, Fiscal, Library/Library
System, Public Property and Equipment, Public Safety, and Recreation sections,
for records that are held by all types of local governments.
Records of special programs not covered by specific items on this Schedule
are covered by item no. 12 in the General section. These include such
programs as orientation of students and staff; speakers' bureaus and other
community services; veterans, servicemembers, and ROTC programs; and incubator
programs, small business development services, and technical assistance/training
to business and industry.
ACADEMIC AFFAIRS
| **1.[64] | 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 the community college and accrediting bodies: | PERMANENT | |
| b. Routine correspondence and transmittal records, drafts of guides and reports, and fiscal records: | 6 years after accreditation approved or denied | |
| **2.[65] | 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: NOTE: Records prepared as part of curriculum planning may have long-term value meriting continued preservation. Community college officials should evaluate these records for continued, or permanent, preservation. Contact the State Archives for additional advice |
7 years | |
| b. Approved internal application for curriculum: | 7 years | |
| c. Denied internal application for curriculum: | 1 year | |
| d. Curriculum planning records: NOTE: Reports and studies prepared as part of curriculum planning may have long-term value meriting continued preservation. Community college officials should evaluate these records for continued, or permanent, preservation. Contact the State Archives for additional advice. |
0 after no longer needed | |
| **3.[66] | Academic program proposals including proposals for registration of new programs and requests for approval of changes in existing program title, HEGIS (Higher Education General Information Survey) content, credit hours, curricular content, format, and/or resource commitment | |
| a. For successful registration of program: | PERMANENT | |
| b. For failed proposal: | 0 after no longer needed | |
| 4.[67] | Curriculum/program registration records including approvals from the State University of New York and registration letters from the State Education Department: | PERMANENT |
| **5.[70] | Course information records | |
| a. Official copy of any literature or other material made available to the public, including college catalogs and student handbooks: | PERMANENT | |
| b. Detailed course descriptive information, including background materials and supporting documentation: | 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: | 1 year | |
| **6.[1022] | Faculty and faculty-student research records, maintained separate from faculty personnel records and student individual academic records | |
| a. Published books, papers, journal articles, and other materials made available to the public: | 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: NOTE: Depending on the nature of the research, some of these files may be valuable for other researchers as well as in documenting research sponsored by and conducted at the college, and should be appraised for potential permanent retention. Appraisals of research files should involve consultation with both members of the faculty and acknowledged professionals in the respective field. |
1 year after research concluded or otherwise terminated |
ALUMNI
| **1.[76] | Alumni contact records including but not limited to name, address, occupation, degree attained, marital status, and summary records of financial contributions of alumni: | 0 after superseded or obsolete |
| **2.[1023] | 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, and other information such as degrees granted and place of residence: | PERMANENT |
ATHLETICS
| 1.[77] | 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: | 3 years after graduation or date of last attendance | |
| b. For student athletes who do not enter college: | 0 after no longer needed | |
| 2.[78] | Athletic scholarship file including but not limited to applications, recommendations, authorization of awards, financial statements, accounting data, and correspondence: | 6 years |
| **3.[81] | 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: 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 Public Health section of this Schedule. Athletic training records are covered by item no. 1026, below. |
6 years | |
| b. Videotapes, reports and other records used for scouting and training purposes: | 0 after no longer needed | |
| **4.[1024] | Records of gender equity in athletics,
including audit and self-evaluation records for male and female
athletes and related records, including any records created pursuant
to Title IX of the Education Amendments of 1972, codified in Sections
1681-1688 of 20USC, and Section 106.41 of 34CFR:
NOTE: For related reports and records on athletic program activities, see item no. 1030 in the Miscellaneous subsection of this section. |
6 years |
| **5.[1025] | Substance or alcohol abuse testing records for individual athlete, not included in student health services case record | |
| a. Positive test results and related records: | 6 years after last entry | |
| b. Negative test results: | 3 years | |
| **6.[1026] | Athletic training records, including but not limited to records of training provided individual athletes and staff: | 6 years after last entry |
| 7.[112] | Athletic health information report determining student eligibility to participate in campus sports activities: | 6 years |
COUNSELING SERVICES
| **1.[83] | 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: | 6 years |
| 2. [84] | Academic termination record containing information about transfer to another college, reason for termination or future plans of student: | 0 after no longer needed |
| 3.[85] | List of student appointments including slips, return cards or counseling schedules: | 0 after obsolete |
| 4.[86] | Statistical compilation or reports of students served: | 0 after no longer needed |
| **5.[87] | Catalogs and related public relations information received from other academic, vocational or educational institutions: | 0 after no longer needed |
| **6.[1027] | 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: | 0 after no longer needed |
DEVELOPMENT
| **1.[89] | Donor (and prospective donor) information records containing information on individuals, organizations, foundations, or corporations: NOTE: Detailed records of specific gifts to a community college are now covered by item no. 368 in the Miscellaneous section of this Schedule. |
0 after no longer needed |
DISABLED STUDENTS
| **1.[90] | 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: | 6 years after graduation or date of last attendance |
| 2.[92] | Staff development materials relating to instructor orientation to disabled students and general disabilities: | 0 after obsolete |
FINANCIAL AID
| **1.[95] | Student financial aid records including but not limited to Free Application for Federal Student Aid (FAFSA) reports, applications for assistance, financial aid disbursement records, copies of income tax forms, financial aid transcripts from other schools, award and declination notices, verifications for non-taxable income and other tax-related records, instructor requests for work-study student, student work-study job descriptions, copies of work-study time records to verify hours with student schedule, and veteran's service information: | 6 years |
| **2.[1028] | Financial aid reports (state, federal,
and other) covering multiple students, including but not limited
to Tuition Assistance Program (TAP) reports: 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. |
6 years |
FISCAL
| 1.[96] | Admissions collection record, including but not limited to record of receipts and log of operations: | 6 years |
| **2.[97] | 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 also including tuition waivers:
NOTE: See item no. 288 in the Fiscal section, General Accounting and Miscellaneous subsection, for other billing records. |
6 years after last entry |
| **3.[98] | Fiscal reports submitted to or received from the State University of New York (SUNY) including operating report (budget) and annual report (year-end): | 6 years |
HOUSING
| **1.[113] | Residency occupancy records including but not limited to room and board contracts and room assignment, and records pertaining to damage of dormitory equipment and furnishings: | 6 years after expiration of contract or room assignment |
| 2.[115] | Off-campus rental records including lists of landlords and/or listings indicating apartments or rooms available: | 0 after superseded or obsolete |
INSTRUCTION
| 1.[116] | Course listing created for administrative convenience, containing department list of classes: | 0 after superseded |
| **2.[117] | Instructor's course syllabus or lesson plan: NOTE: The community college may wish to retain representative or outstanding course syllabi for future reference, as well as any useful class reading lists or bibliographies. |
0 after no longer needed by community
college |
| **3.[118] | 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: | 2 years |
| 4.[119] | List of students majoring in a field of study: | 0 after superseded |
| 5.[120] | Class schedule including class title, location, dates, and time of meeting: | 6 years |
| **6.[121] | Completed examination test papers and answer sheets: | 6 months after course completion |
| **7.[1029] | Course or laboratory attendance records necessary to provide documentation for student financial aid or other purposes: | 6 years |
| **8.[123] | Records relating to tax-free use of alcohol for educational purposes: | 6 years after expiration of permit or denial of application |
| 9.[124] | Evaluations of course instructor: | 3 years |
| **10.[126] | 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: | 6 years after certificate expires | |
| b. Other records, including records of purchase, inventory, destruction, loss or theft: | 6 years |
MISCELLANEOUS
| **1.[69] | Chartering documents and establishment plan concerning the community college's corporate status and degree-granting authority, including background materials: | PERMANENT |
| **2.[129] | Fire safety inspection reports
prepared pursuant to Section 807-b, Education Law: NOTE: Although Section 807-b of Education Law authorizes community college officials to destroy these reports after 3 years, the State Archives strongly urges that the “official” or “record” copies of these reports be retained for 21 years to meet possible legal needs, including personal injury litigation that may involve minors. |
3 years |
| 3.[80] | Special event file | |
| a. Official copy of any program or promotional literature or photograph of events or games: | PERMANENT | |
| b. Background materials and supporting documentation: | 6 years | |
| **4.[1030] | Institutional information/reports which must
be sent or made available to enrolled and prospective students
and the public, under Sections 668.41, et seq. of 34CFR,
including related records, exclusive of campus
security records required under Section 668.46 of 34CFR NOTE: For campus security records see item no. 1032, below, as well as items found in the Public Safety section of this Schedule. |
|
| a. Financial assistance information, institutional
information, completion or graduation rate information, completion
or graduation rates for student-athletes report, and athletic program
participation rates and financial support data report: NOTE: Institutional information and reports may have long-term value to document college policies and the status of various college programs, especially if that information is not readily available in catalogs or other sources. For that reason, officials may wish to retain these records permanently to document these policies and programs. |
6 years after issued, superseded or obsolete, whichever is later | |
| b. Notice of availability of information/reports as distributed or made available to enrolled and prospective students: | 3 years after issued, superseded or obsolete, whichever is later | |
| c. Designation of employee(s) authorized to assist enrolled and prospective students obtain the information/reports: | 3 years after superseded | |
| **5.[1031] | Commencement records | |
| a. Official copy of commencement program or other publication: | PERMANENT | |
| b. Other commencement records, including but not
limited to copies of speeches, press clippings and press releases,
and event planning and logistics records: NOTE: Appraise these records for historical significance prior to disposition. Records such as speeches and photographs may have continuing value for historical or other research and should be retained permanently. Contact the State Archives for additional advice. |
6 years | |
| **6.[1032] | Campus safety records NOTE: College
security units should use the Public Safety section of this Schedule
whether or not they have been recognized as accredited law enforcement
agencies. This item covers records that must be maintained under
Section 668.46 of 34CFR (Institutional Security Polices
and Crime Statistics). |
|
| a. Annual security report: | 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: | 3 years after issued, superseded or obsolete, whichever is later | |
| c. Designation of employee(s) authorized to assist enrolled and prospective students obtain the annual security report and related records: | 3 years after superseded | |
| d. Crime statistics, including lists of crimes by location and relevant maps, other than those statistics included in the annual security report: | 3 years | |
| e. Crime logs: | 3 years | |
| **7.[135] | College-related reports, studies or data queries, including their supporting documentation, covering subjects such as institutional research, graduation rates, enrollment projections, ethnicity and other student profiles, faculty-student class ratios, honors lists, and fiscal matters | |
| a. Annual or semester reports submitted to the U.S.
Department of Education, State University of New York (SUNY), or
local sponsor(s), including the institutional profile, other reports,
studies or queries having legal or fiscal value, and verifications
of data following submission by the college: NOTE: Appraise these records for historical significance prior to disposition. Some of these reports and studies, including their detailed documentation, may contain significant information valuable for long-term planning as well as historical and other research. Contact the State Archives for additional advice. |
6 years | |
| b. Reports, studies or queries having no legal or fiscal value, such as daily activity or other routine internal reports: | 0 after no longer needed | |
| **8.[1033] | Student activity or organization records | |
| a. Lists of members or participants, records of activities,
competitions and performances, and other records of officially supported
student activities and organizations except scouting
records and scouting and training videotapes: NOTE: Appraise these records for historical significance prior to disposition. Photographs and videotapes of programs for certain competitions and performances may have historical value in documenting student activities. Records with historical value should be retained permanently. NOTE: Parental consents are covered by item no. 82 in the Student Records subsection. Health related records are found in the Public Health section of this Schedule. |
6 years | |
| b. Scouting reports and videotapes used for scouting and training purposes, not associated with intercollegiate athletics: | 0 after no longer needed | |
| **9.[1034] | Food management records | |
| a. Program participation or other legal agreement or contract, including attachments and amendments: | 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: | 6 years | |
| **10.[1035] | 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: | 3 years after oldest person involved attains age 18 | |
| b. When no significant problem is encountered: | 3 years |
PRESIDENT
| **1.[130] | President's office files including but not limited to correspondence, memoranda, reports, studies, publicity items, contracts and other legal documents, and also including association or organization membership files covering affiliation with or membership in professional, education or civic groups, including the National Junior College Athletic Association (NJCAA), by the college as a whole or some department or unit thereof | |
| a. Where file documents a significant subject, or major policy-making or program-development process: | PERMANENT | |
| b. Where file documents routine activity: | 6 years or 6 years after expiration of contract, as appropriate |
STUDENT RECORDS
| **1.[71] | 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: NOTE: If admission records for students who enter are made part of student records, see item no. 132, below. Duplicate copies retained by a separate admissions office can be disposed of when no longer needed. |
6 years after graduation or date of last attendance | |
| b. For applicants who are accepted and do not attend,
and applicants who are not accepted: NOTE: Community colleges may wish to keep these records longer for international students, for convenience of access by both college personnel and the prospective or accepted students. |
2 years following date of exclusion or end of permitted enrollment period for accepted applicants | |
| **2.[132] | Student academic records | |
| a. Student permanent academic record (transcript): | PERMANENT | |
| b. Change of grade documents, withdrawal authorizations, graduation certification, Social Security certification, student roster and attendance verification records such as class roster, or final grade listing and student schedule: | 6 years | |
| c. Other student records including but not limited to academic action authorizations (dismissals and/or notification of problems); employment placement records; records of internships served; records of selection for and participation in remedial assistance, second language, academic honors, or other special academic programs; and assessment of life/work experience information for academic credits: | 6 years after graduation or date of last attendance of student(s) involved | |
| d. Change in Social Security number record, application for veteran's benefits and enrollment certification and related records: | 3 years | |
| e. Application for graduation, change of course (drop/add) records, credit/no credit (audit) approval, name and/or sex change authorization, pass/fail request, registration form, and request by student for transcript or other record: | 1 year | |
| f. Unclaimed diplomas: NOTE: Community colleges may wish to keep these records longer for convenience of both college personnel and graduates who may request their diploma at some later date. |