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

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

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

a. Maps, brochures, photographs and background research files:

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

b. All other records:

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 the State Archives for additional advice.

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

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

Individual complaint or problem case file of human rights, economic opportunity, equal employment, community relations or similar function, including individual case summary record

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 significant cases handled at the local level. Contact the State Archives for additional advice in this area.

a. For case handled at local level (includes cases referred to New York State Division of Human Rights but returned to local agency for adjudication):

b. For case referred to New York State Division of Human Rights:

NOTE: Agencies may wish to retain records covered by parts "a" and "b" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints. For records of affirmative action cases involving local government employees, see item no. 317c in the Personnel/Civil Service section, Personnel subsection.

Periodic statistical or narrative activity or progress reports on human rights or economic opportunity office activities:

NOTE: Appraise these records for historical significance prior to disposition. Periodic reports containing summary information not found in annual reports may have continuing value for historical or other research and should be retained permanently.

Insurance (including self-insurance) case records, except workers' compensation case record, including but not limited to 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:

NOTE: The local government may wish to retain the release longer for convenience of reference. Proof of liability insurance coverage must be retained longer to cover claims relating to exposure to asbestos and other toxic substances. Consult your counsel or attorney to ensure that insurance policies and other appropriate documentation are retained as long as needed.

b. If claim disallowed after trial, or case otherwise disposed of without an award after the parties have been given due notice:

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. 741 in the Personnel/Civil Service section.

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:

NOTE: For the exceptions mentioned above, see item no. 326 in the Personnel/Civil Service section, item no. 596 in the Building and Property Regulation section, item no. 220 in the Fiscal section, item no. 192 in the Environmental Health section and item no. 415 in the Public Property and Equipment section.

Incorporation, chartering and registration records:

Accession records:

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.

Library material censorship and complaint records, including evaluations by staff, patrons' complaints and record of final decision:

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.

Business/industry loan case file, including but not limited to loan application and evaluation, status reports, records of loan payments, tax abatement and exemption records, feasibility studies and correspondence:

b. Ballots, nominations, tabulations and other election records:

c. Other membership records, including applications for membership, lists of prospective members and membership notices:

b. Registration as a charity filed with New York State Office of Attorney General:

Ombudsman/referral service records covering citizen complaint services, landlord/tenant advisory services, job placement consultation, handicapped person's assistance, and related services, including but not limited to log or master index, copies of complaints, intakes and referrals, and individual case file materials

Noise level monitoring records, including but not limited to summary records, showing long-term trends and developments and original entry and intermediary records, including charts, graphs and statistics:

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 summary records, showing long-term trends and developments, in cases where noise levels are a matter of public concern. Contact the State Archives for additional advice in this area.

b. Detailed application/questionnaire/response completed by business:

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

Record of gifts and bequests to a local government, 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

NOTE: This does not apply to donations of real property, which are covered by item no. 412 in the Public Property and Equipment section.

Miscellaneous non-government records, received by local government:

NOTE: Appraise these records for historical significance prior to disposition. Records which document the history of the community and its citizens may have continuing value for historical or other research and should be retained permanently. These records may contain valuable information which supplements records created by the local government itself. Records not retained permanently may be offered to a local historical records repository. Contact the State Archives for additional advice.

NOTE: Upon the receipt of these non-public records by a local government, these records become "local government records." Published materials received by a local government are not considered to be public records.

Photographs or other visual media records, created by a local government, which are not part of a record series listed elsewhere in this Schedule:

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 the State Archives for additional advice.

Child abuse or maltreatment reports and related records, reporting agency copy:

NOTE: This item covers copies of child abuse and maltreatment reports and related records retained by agencies reporting suspected abuse and maltreatment to the State Central Register or to child protective services units of county social services departments. Reporting agencies may be in such areas as education, youth services and recreation. Reporting copies maintained by law enforcement agencies are covered by item no. 473 in the Public Safety section.

b. When no permit or approval by local government is needed, and records are received for comment or informational purposes only:

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

b. All other records:

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 the State Archives for additional advice.

Daily activity folders

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

a. Reports and statements relating to telephone betting:

a. Monthly, annual or other summary records of ticket sales:

c. Cashed winning tickets:

NOTE: The Division of the Lottery requests that cashed winning tickets be destroyed immediately upon validation, so that they no longer could be considered negotiable.

Personnel records of local government employees (includes volunteers and interns)

PERMANENT

b. Personnel case 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, and correspondence:

NOTE: Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 332, below.

Investigative records and disciplinary proceedings, 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:

NOTE: Records covered by this item may be destroyed before this retention period has been reached, if specified either in a union contract or settlement between the employer and employee.

NOTE: Affirmative action and related complaints may be covered by item no. 317c, below.

Administrative organization chart and related records showing administrative and supervisory organization:

NOTE: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Contact the State Archives for additional advice.

c. Affirmative action and related complaint investigation records:

NOTE: Agencies may wish to retain records covered by part "c" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.

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 which are designated as exposure records, material safety data sheets or chemical inventory records indicating use and identity of a toxic substance or harmful physical agent, and related records:

NOTE: Environmental monitoring background data may be destroyed after 1 year provided that sampling results, methodology, a description of the analytical method used, and a summary of other background data relevant to the interpretation of results are retained for at least 30 years, as provided in 29CFR 1910.1020 (d-1) (ii-A).

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 29CFR 1910, Subpart Z) in the workplace or for substances not defined in 29CFR 1910, Subpart Z as being toxic:

NOTE: If material safety data sheets or fact sheets are used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts "a" or "b".

d. Training records covering training of individual employee in handling toxic substances:

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:

NOTE: This retention may be difficult to calculate in instances where a number of employees have attended the same training. Local officials may wish to retain these summary training records for 60 years or another period sufficient to ensure that all concerned employees have separated from service.

Log and summary of occupational injuries and illnesses, created pursuant to 12NYCRR, 801.7 and 29CFR, 1904.6:

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. 741, below, are created, then these records must be retained for 18 years after date of injury or illness.

Employee medical records concerning exposure to toxic substances or harmful physical agents

NOTE: This item does not include health insurance records, which are covered by item no. 318, above, or non-medical toxic substance exposure records, which are covered by item no. 325, above.

c. Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29CFR 1910.1020 (d-1) (i-C):

NOTE: If copies are not given to the employee upon termination of employment, the retention specified in part "b," above, must be followed.

b. Quality control records, including calibration records for testing equipment, assuring that testing equipment is operating correctly:

c. Annual statistical and other reports:

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

Drivers' test results and related records

NOTE: Local governments 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.

Copy of payroll, or payroll report, submitted to civil service office for certification or approval:

NOTE: Official copy of payroll must be retained for 55 years. See item no. 291 in the Fiscal section.

PERMANENT

b. If record only provides lists of names of employees:

NOTE: The official listing or roster of all local government officials or employees, covered by item no. 327, must be retained permanently.

a. Copy held by office with official civil service function:

c. Employee transfer record:

NOTE: Reports of personnel changes may also be found in employee personnel records. When filed in an employee personnel record, such copies are subject to lengthier retention requirements. See item no. 310, above.

Job classification records, including job classification questionnaire, analysis of job duties and request for reclassification:

NOTE: Appraise these records for historical significance prior to disposition. Local governments with official civil service functions should consider permanent retention of these records. Contact the State Archives for additional advice.

a. Official eligible list and certification of eligible list:

b. Certification of eligible list sent to and retained by appointing authority:

d. Individual's request for reinstatement to eligible list and reply:

e. Eligible list canvass records, including but not limited to precanvass questionnaire and letter of canvass and reply:

Application for employment, including resume, when applicant not hired:

NOTE: When the applicant is hired, the application is retained in or as long as the personnel file. See item no. 310 in the Personnel subsection, above.

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:

NOTE: This item does not cover personnel records of individual employees. See item no. 310 in the Personnel subsection, above.

a. When eligible list is established:

b. Civil service examination and announcement (other than official copy held by office with official civil service function):

c. Candidate identification or admission card:

d. Examination preparation, administration, and rating records:

f. Qualifying medical, physical fitness or agility examination report, when person is hired, and worked one year or longer:

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):

h. Qualifying medical, physical fitness or agility examination report, when person is not hired:

i. Summary listing of examination results:

k. Examination review records including but not limited to employee request, correspondence, and objection:

Maps, plans, specifications, drawings and photographs of port facility:

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

Master plan, and all supporting documentation for port facility:

PERMANENT

Tenant legal and reference files

a. Contract negotiations, contracts, leases and significant correspondence:

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

Subject matter list of records held by local government, required under Freedom of Information Law:

6 months after superseded

Employment and training program file for Job Training Partnership Act, Comprehensive Employment and Training Act (C.E.T.A.), Manpower Development and Training Act, youth employment training, Work Force Investment Act, and other job training programs

a. Project application, proposal, narrative, evaluation, and annual report:

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

6 years

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:

PERMANENT

Appointment records, including slips, return cards, sign-in sheets, and clinic schedules kept by facility or public health program:

NOTE: Appointment records for certain patients may have legal value to supplement patient medical records in documenting services provided to these patients.

a. When person involved is or becomes a patient:

Annual expenditure report or budget submitted to state or federal agency or professional review organization:

Medicare, Medicaid or 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:

Establishment, major alteration, or change of occupancy or use records

PERMANENT