THE UNIVERSITY OF THE STATE OF NEW YORK
Regents of The University
L
ESTER
W. Y
OUNG
, J
R
., Chancellor, B.S., M.S., Ed.D. ................................................... Beechhurst
R
OGER
T
ILLES
, B.A., J.D. ................................................................................................. Manhasset
C
HRISTINE
D. C
EA
, B.A., M.A., Ph.D. ............................................................................ Staten Island
W
ADE
S. N
ORWOOD
, B.A. .............................................................................................. Rochester
K
ATHLEEN
M. C
ASHIN
, B.S., M.S., Ed.D. ..................................................................... Brooklyn
J
AMES
E. C
OTTRELL
, B.S., M.D. ...................................................................................... New York
J
OSEPHINE
V
ICTORIA
F
INN
, B.A., J.D.............................................................................. Monticello
J
UDITH
C
HIN
, M.S. in Ed. .............................................................................................. Little Neck
B
EVERLY
L. O
UDERKIRK
, B.S. in Ed., M.S. in Ed. .......................................................... Morristown
C
ATHERINE
C
OLLINS
, R.N., N.P., B.S., M.S. in Ed., Ed.D. ........................................... Buffalo
N
AN
E
ILEEN
M
EAD
, B.A., M.A. ..................................................................................... Manhattan
E
LIZABETH
S. H
AKANSON
, A.S.,
M.S., C.A.S. ............................................................... Syracuse
L
UIS
O. R
EYES
, B.A., M.A., Ph.D. ................................................................................... New York
S
USAN
W. M
ITTLER
, B.S., M.S. ....................................................................................... Ithaca
F
RANCES
G. W
ILLS
, B.A., M.A., M.Ed., C.A.S., Ph.D. .................................................. Ossining
Commissioner of Education and President of The University
BETTY A.
ROSA, B.A., M.S. in Ed., M.S. in Ed., M.Ed., Ed.D.
The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital
status, veteran status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its
educational programs, services and activities. Portions of this publication can be made available in a variety of formats,
including braille, large print or audio tape, upon request. Inquiries concerning this policy of nondiscrimination should
be directed to the Department’s Office for Diversity and Access, Room 530, Education Building, Albany, NY 12234.
Table of Contents
Publication Concepts........................................................................................................................................1
Introduction to Retention Schedules.................................................................................................................1
Benefits of Retention Schedules ...................................................................................................................2
How the State Archives Creates Retention Schedules..................................................................................2
General Retention Schedules .......................................................................................................................3
Agency-Specific Schedules ..........................................................................................................................8
Exceptions to the Schedules.........................................................................................................................9
Using Office Retention Schedules ..............................................................................................................11
Records Disposition .......................................................................................................................................17
Documenting Disposition of Records ..........................................................................................................17
Selecting a Method of Destruction ..............................................................................................................17
Records Disposition Made Easy .................................................................................................................19
Appendices ....................................................................................................................................................21
Appendix A: Sample Office Retention Schedules........................................................................................21
Appendix B: Destruction of Cancelled Obligations ......................................................................................32
Publication Concepts
• In New York State, no government entity may legally dispose of or destroy
r
ecords without authorization. This authorization comes in the form of a recor
ds
r
etention and disposition schedule, issued by the State Archives
.
• R
ecords come in any format, including paper files, electronic databases an
d
electronic mail, audio-visual files, and microforms.
• R
ecords should be retained as long as they are needed by the organization t
o
s
upport the business for which the records were created, or their primary us
e.
Records should also be retained as long as they are needed for other purposes
in
cluding legal, fiscal, audit, and research purposes, or their secondary us
e.
• H
olding onto obsolete records greatly increases the difficulty of performing y
our
dut
ies and of disclosing records in response to subpoenas, discovery demands
,
audi
ts, and Freedom of Information Law (FOIL) requests
.
• S
toring records for longer than necessary, whether in paper, electronic or ot
her
f
ormats, increases both storage costs and the challenge of identifying
and
r
etrieving needed documents
.
• R
ecords retention and disposition schedules provide clear guidance on how l
ong
t
o keep records and whether they should be destroyed when no longer needed
.
Introduction to Retention Schedules
A records retention schedule (more formally called a "records retention and disposition
schedule") provides a routine, repeatable, and consistent process for applying the
minimum retention period and the final disposition for an organization’s records.
• Retention and disposition schedules are designed to ensure that records ar
e
retained as long as they are needed for administrative, fiscal, legal, or
r
esearch purposes. The State Archives works with local governments and Stat
e
A
gencies to analyze records requirements and determine the minimum retenti
on
period which satisfies these purposes.
• Gov
ernments may decide to keep some of their records longer than the peri
od
r
equired by the appropriate retention schedule
.
• Any such divergence from the schedule should be documented, clearly
ex
plained, and applied consistently, since random undocumented divergenc
e
m
ay expose your organization to legal risks
.
Retention schedules apply to the information contained in records regardless of the
recording medium: paper, microfilm, electronic, etc.
Whatever the medium, you must retain records for the length of time specified by the
appropriate retention schedule, and you must ensure that the records are accessible for
the full retention period.
Hardware and software obsolescence and degradation of storage media are not
acceptable excuses for losing access to records before the end of the required retention
period.
Retention schedules do not:
• indicate how long to retain non-records (such as blank forms or outsi
de
publ
ications
)
1
• tell you how to destroy records
• i
dentify confidential or restricted records (contact the
Committee on O
pen
G
overnment for guidance regarding confidentiality of records
)
• obl
igate your organization to create all listed record types – the general retenti
on
schedules produced by the State Archives list hundreds of records, but no local
gov
ernment or state agency will have every record listed in one of thes
e
s
chedul
es
Benefits of Retention Schedules
• allow you to promptly discard records that you no longer need (without a
s
chedule in place, you have no legal authority to dispose of records
)
• im
prove retrieval of records by reducing their bul
k
• reduce staff time needed to access records
• s
ave money by reducing storage cost
s
• s
ave space by freeing up filing cabinets and storage ar
eas
• ident
ify permanent records so that they may be preserv
ed
How the State Archives Creates Retention Schedules
When working with State agencies and local governments to develop schedules for
records, Archives staff first assemble information on
• applicable laws and regulations
,
• audit requirements,
• t
he need for legal evidenc
e,
• adm
inistrative needs, an
d
• hi
storical or research value
.
Thi
s information provides essential context to understand the requirements for creating
the records and their potential uses.
Local governments and state agencies provide different services; as a result, there is
limited overlap in the types of records created and maintained. Even if both levels of
government hold copies of the same records or of records that serve similar functions,
retention requirements may differ. Because of this, the State Archives issues separate
retention schedules to state agencies and local governments.
State Agency Schedules
Executive branch agencies may not destroy or otherwise dispose of any record unless
such disposition is authorized by the State Archives, acting on behalf of the
Commissioner of Education and in cooperation with the State Comptroller and the
Attorney General.
State agencies may use two types of schedules:
• General Retention and Disposition Schedule for New York State Governm
ent
R
ecords (State General Schedule): This is a pre-approved schedule creat
ed by
th
e State Archives that covers many common administrative, fiscal,
and
personnel records in state agencies. You may use the State General Schedule to
di
spose of records as long as your agency’s Records Management Office
r
(
RMO) first notifies the State Archives in writing of the agency’s
intent to use t
he
2
schedule. Agencies may discontinue using the schedule at any time, but the
RMO should notify the State Archives if this occurs.
• Agency-specific schedules: Often, the bulk of records in the custody of a stat
e
agenc
y are unique to that agency. To set retention periods for these records, y
ou
s
hould contact the State Archives at (518) 474-6926 or [email protected] t
o
begi
n the process of developing Records Disposition Authorizations (RDAs) f
or
eac
h records series. Archives staff work closely with agency employees to collec
t
information about the records you maintain in order to identify retention periods
t
hat meet agency administrative needs as well as any relevant legal, fiscal,
or
c
ontinuing research requirements
.
S
tate Archives staff distribute finalized General Schedule and agency-specific items for
review by the Offices of the State Comptroller and the Attorney General to ensure that
the proposed retention periods satisfy fiscal, audit, and legal requirements. The schedule
items are subjected to final review and approval by the State Archivist.
Local Government Schedules
Record types held by local governments (e.g., schools and BOCES, municipalities,
counties, towns, miscellaneous public entities) are described within the Retention and
Disposition Schedule for New York Local Government Records (LGS-1).
Proposed schedule items are reviewed by
• local government and state agency officials
,
• t
he Local Government Records Advisory Council
,
• l
ocal government associations,
and
• ar
chivists and records managers in other states
.
The proposed schedule then undergoes the rulemaking process, during which it’s made
available for public review via the New York State Register. The Board of Regents then
reviews the schedule and adopts it as regulation. Before using the schedule, local
governments’ governing bodies must first adopt the schedule by passing a resolution
. It
is not necessary to send copies of resolutions to the State Archives.
General Retention Schedules
As general retention schedules are used by all state agencies and hundreds of local
governments, the schedule items are written broadly so that they can be applied to a
variety of organizations. Because item titles and descriptions may not reflect how
records are categorized or named in your office, you might need practice to use them
efficiently.
Using the State Archives’ LGS-1 (for local governments) and State General Schedule
(for state agencies) is fairly easy if you follow the process below. You will rarely need to
follow all the steps to figure out a record’s retention, but the first few are necessary.
1. Adopt the schedule
The adopt
ion of a State Archives general retention schedule documents y
our
organization’s retention policy and is the necessary first step toward using one of
thes
e schedules
.
3
State agencies adopt the State General Schedule through submission of a
written notification to the State Archives by the agency’s Records Management
Officer (RMO). As all state agencies also hold unique, mission-specific records
not covered by the State General Schedule, they must also work with the State
Archives to develop their own agency-specific schedules.
Local governments adopt the LGS-1 by resolution of their governing body. It is
not necessary to send a copy of the passed resolution to the State Archives.
2. Identify the record series
B
efore you can determine the appropriate retention period for any record, y
ou
m
ust first identify the records series. Since you will usually be familiar with t
he
records, this step is often the easiest. First, make sure you are dealing with a true
s
eries, not merely a group of unrelated records. A records series is a grou
p of
r
ecords that is normally filed and managed as one unit: for example, meeti
ng
minutes, purchase orders, or correspondence files. Second, talk with someone
who us
es the records on a daily basis to determine the purpose of the recor
d.
K
nowing why the record is created and how it’s used will help you identify
a
pos
sible title for the records series
.
3.
D
etermine if you have the official
copy
W
hen using a schedule, you should determine whether you are dealing with t
he
of
ficial copy of a record or a secondary or duplicate copy. Your organizati
on
s
hould designate one copy of each record, in one file format, as the official copy
.
The s
chedule’s retention periods apply only to official copies of records. All othe
r
copies are mere duplicates, and you may dispose of those whenever they’re no
l
onger
needed.
4.
C
heck the i
ndex
B
oth the LGS-1 and State General Schedule contain an index. However, t
he
i
ndexes may not reference the schedule item you need or may describe i
t
differently than is done in your office. When using the index, first search for the
t
erm that most accurately summarizes the records series. For instance, if you ar
e
l
ooking up canceled checks, "checks" is the most obvious term to use. If t
hat
does
not provide you with the answer you need, try to think creatively o
f
synonymous or related terms that may also be appropriate. In the case of
c
anceled checks, you might have to search under "fiscal" to find the item you’r
e
l
ooking for
.
5.
C
heck the schedule’s functional headi
ngs
The S
tate Archives’ general schedules arrange records series in sections
under
headings that reflect their function (such as "Fiscal"). Before using a schedule,
t
ake time to read the introduction and become familiar with the functi
onal
headi
ngs. The schedules do not generally identify individual documents o
r
specific forms; instead, they describe the purpose or function of the series. If a
r
ecords series’ content and function are substantially the same as an ite
m
des
cribed in the schedule, you should consider the series covered by that item
.
4
6. Check the "General Administration" sec
tion
Both of
the State Archives’ general schedules have a "General A
dministration"
section that
covers those records common to many government
departments
(such as correspondence, general reports, and minutes), so be sure to check this
section if
you cannot find the records series under a more specific f
unctional
heading.
Always resorting to the "General Administration" section, how
ever,
would be a
mistake, since you must find the schedule item that most clo
sely
matches
your records. For example, the LGS-1 contains both a general item
for
“annual reports” in the "General Administration" section and more precise items,
listed under
functional headings, that provide retention requirements for s
pecific
types
of annual r
eports.
7. Search for keywords in an electronic version of the schedule
Sometimes,
the easiest way to find a particular item in a retention schedule is t
o
search t
he PDF or HTML copy for specific keywords. If you do this, r
emember
that
the retention schedule might not use the same words that you w
ould to
describe a
certain function, so search for likely s
ynonyms.
8. Contact the State Archives
State Archives staff are very familiar with the retention requirements in use by
local governments and state agencies and are available to help whenever you
cannot find the retention period for a particular record.
9. If
the State Archives doesn’t find a retention period for the records, t
he
Archi
ves must schedule that ser
ies
Sometimes,
the State Archives has not yet scheduled the record series y
ou are
considering; your call to the Archives could initiate that process. Until there is an
item
in the appropriate schedule covering this series, you must retain it. For s
tate
agencies,
if a series is not in either the State General Schedule or your agency-
specific schedule, you can work in concert with State Archives staff to add it t
o
your
schedule. If a series in not in the LGS-1, local governments, may
consult
with State Archives staff about requesting a special disposition authorization.
Local Government Records Not Covered by the State Archives’ LGS-1
Some records are not regulated by the Commissioner of Education or are considered
state government records and thus do not appear in the LGS-1. Contact the appropriate
government for more information about the following record types:
5
Government Records Contacts (Per Record Type)
Record type
Contact Entity
Contact Unit or
Person
Contact Info
Notes
Birth, Death
State Archives
recmgmt@nysed
Although these records are not
and Marriage .gov listed on the State Archives’
Records (1881– local government schedules,
present) the Department of Health
(DOH) has developed a
schedule (approved by the
Archives) for use by local
governments. Summary
information about the DOH
Schedule is available in the
introduction to the LGS-1.
Contact the State Archives for
more information.
Cancelled
Office of the
Division of Legal
(518) 474-5586
Section 63.10 of the Local
Obligations State
Comptroller
Services Finance Law and Part 55 of Title
2 of the Official Compilation of
Codes, Rules and Regulations of
the State of New York covers
the disposition of canceled
obligations (including bonds
and notes). Refer also to
Appendix B: Destruction of
Cancelled Obligations.
City of New
New York City
(212) 639-9675
York Records Department of
Records and
Information
Services
(DORIS)
https://www1.nyc.
gov/site/records/in
dex.page
County Boards
State Archives
County Boards of Election
of Elections and State Board
of Elections
Records Retention Schedule is
available at
http://www.archives.nysed.gov
/ common/archives/files/
mr_pub_electionschedule.pdf
County District
Appellate
Clerk of the
Section 89.2 of the Judiciary
Attorneys' Division of the appropriate Law governs the records of
Records State Supreme
Court
Judicial District
county district attorneys. It
states that application for
disposition of any records of a
county district attorney must be
made to the appropriate
judicial department of the
Appellate Division of State
Supreme Court.
6
Court Records
Office of Court
Administration
Records
Management
Office
(212) 428-2875
Motor Vehicle
Records
New York State
Department of
Motor Vehicles
Records
Management
Officer
(518) 474-2381
Municipal
New York State
Housing
(212) 480-7242
Section 59 of the Public Housing
Housing Division of Management Law exempts housing
Authorities' Housing and Bureau authorities from State Archives’
Records Community
Renewal
jurisdiction for records
disposition. The Division of
Housing and Community
Renewal must approve the
disposition of records relating
to the operation of state-
financed programs. For all other
records, housing authorities
may establish their own records
disposition policies, except for
minutes of the housing
authority (including appendices
and attachments) and copies of
annual reports submitted to the
Division of Housing and
Community Renewal. Housing
authorities must retain these
records permanently. All
records disposition decisions
must also meet any applicable
records retention requirements
of federal and state agencies,
including the Office of the State
Comptroller.
Utica
Transportation
Authority
Records
Section 68 of Transportation
Law exempts the Authority
from the State Archives'
jurisdiction for records
disposition. See that law for
special requirements for the
disposition of Authority records.
Other State
Agencies
Contact either
the appropriate
agency or the
State Archives
7
State Agency Records Not Covered by the State Archives’ State General Schedule
The State Archives’ State General Schedule is not intended to cover all the records that
a state agency has in its possession. Records not covered by the State General
Schedule include
• Records unique to a single agency
State agencies collaborate with the State Archives to produce detailed Recor
ds
D
isposition Authorizations (RDAs) for records unique to their agency
.
• R
ecords created or maintained by control and service agencies
The State General Schedule does not cover records used to carry out or
doc
ument the approval, control, audit, or oversight responsibilities of control
and
s
ervice agencies or records used to provide centralized services to ot
her
agencies. These records are retained under RDAs issued to the relevant control
or
service agency
.
• R
ecords subject to specific increased federal requirements
Agencies must make certain that the retention periods in the State Gener
al
Schedule meet applicable retention requirements for any programs subject to
f
ederal audits or oversight. If some records require longer retention periods t
o
m
eet federal requirements, you must submit separate scheduling requests f
or
those.
Agency-Specific Schedules
State agencies work with the State Archives to develop agency-specific schedules for
those records unique to their agencies, and for other records that are not included in the
State General Schedule. Agencies may also wish to create schedules for record types
where the retention periods in the State General Schedule are not sufficient to meet
agency needs.
In order to create a schedule,
• the state agency develops a Records Disposition Request (RDR) describing each
records series that suggests and justifies a retention period
• the State Archives, the Offic
e of the Attorney General, and the Office of the State
Comptroller review the RDR to ensure that the proposed dispositions meet legal,
fiscal, administrative, research, and other retention needs
• the State Archives then approves a completed Records Disposition
Authorization (RDA)
Staying Familiar with your Records Disposition Authorizations
Agencies should periodically review their RDAs because:
• As agency organization and business processes change, the common title of
a
s
eries may become outdated (be sure to look for any series under all possibl
e
titles).
• A
gency staff may forget about the RDAs and not realize which of their recor
ds
ar
e authorized for disposition
.
• Over long periods of time, agencies may neglect to use approved RDAs, causing
obs
olete records to accumulate even though they are authorized for disposition
.
• Changes t
o the nature, contents or use of a series may mean that the approv
ed
di
sposition plan is no longer appropriate
.
8
Exceptions to the Schedules
Although in general you can follow the guidelines of a State Archives retention schedule
without question, there are a few situations that will force you to suspend implementation
of the schedule.
Organization preference for longer retention period
Certain situations within your organization may create the need for retention periods that
exceed the minimums listed in a State Archives schedule.
Examples include
• routine audits,
• use of records to conduct research, or
• use of records for ongoing investigations.
You are not required to destroy records at the end of the retention period or to inform the
Archives if you intend to keep records longer. However, if you plan to retain records
longer than the minimum retention period as a regular business practice, you should
note this intent in written internal procedures. This will provide documentation of normal
practice for FOIL requests or for legal actions such as discovery motions. State agencies
may submit separate Records Disposition Requests (RDRs) for those series that they
wish to retain longer than the retention periods specified in the State General Schedule,
but are not required to do so.
Records created before 1910 (Local Governments)
Local governments need written approval from the State Archives, acting on behalf of
the Commissioner of Education, to dispose of records created before 1910, regardless
of the retention period listed in a State Archives retention schedule. Often these records
have continuing historical or research value because:
• no other documentation exists
• they contain more detailed and historically significant information than more
recent records
• they have intrinsic value, which means the records are important to keep in their
original form
To dispose of records created before 1910, local governments must submit a completed
disposition request form
to the State Archives for review.
Records with unique historical value
The State General Schedule, LGS-1, and organization-specific schedules take into
account the general historical value of records. Some record types are, because of the
information that they contain, scheduled for permanent retention (local governments) or
transfer to the State Archives (state agencies) regardless of which government entity
produces them. In series where records can typically be destroyed after a set event or
period of time, there may be records related to specific topics or that are unusually
detailed that warrant permanent retention. If you believe some of your organization’s
records have unique historical value, contact State Archives staff
for information on how
to appraise your records. For more information on archival appraisal, see Appraisal of
Local Government Records for Historical Value.
9
During legal proceedings
To comply with current or pending legal actions, you may need to retain some records
beyond their scheduled retention periods. You must keep any records related to a matter
under litigation hold or that is used in such actions for at least the duration of the action,
even if the records’ retention periods have passed. Legal actions may include
subpoenas and notices of claim (the first indication of a pending filing of a lawsuit). If the
retention period has not expired by the end of the legal action – and lifting of the litigation
hold – you must retain the records for the remainder of the retention period. If the
retention period has expired by the time the legal action ends, local governments must
keep the records for one additional year to resolve any need for the records in an
appeal. However, there is no such requirement for state agencies.
When there are outstanding FOIL requests
If records that are the subject of a FOIL request exist at the time of the request, you
must not destroy them until after you respond to the request. If you deny the request in
full or part, you should not destroy the records until after any potential appeal is
resolved.
If waiting for a pending audit or other review
If you know there is a pending state or federal audit, you must retain any pertinent
records. However, if there is no requirement that an audit be done of certain records and
if you have not been told of an impending audit, then you may discard any of the
applicable records once they have reached the end of their retention periods. Review by
another organization, such as accreditation review, may also require you to retain
records beyond their retention period.
If the records are microfilmed or digitized
Imaging paper documents, either as microfilm/fiche or as digitized copies, can reduce
the amount of physical storage space needed for your records and, in the case of
digitized copies, make it easier for staff to access content. If you applied the State
Archives’ Digital Imaging Guidelines
when microfilming or digitizing records and have
verified the accuracy of these new copies, you may be able designate them as the
record copies and discard the paper files. Consult your organization’s legal counsel prior
to destroying paper records, as original copies of certain record types – including those
with signatures – may need to be retained. Local governments will also need to
request
permission from the State Archives to dispose of any original records created before
1910.
If records are not yet listed in a retention schedule
Keep in mind that you cannot dispose of any records unless they are listed in a retention
schedule. If you believe you have records that are not scheduled, contact the State
Archives for help. Archives staff will first verify that the records are not covered by any
retention item before beginning the process of identifying the retention period. Local
governments must keep these records until either an item is added to the LGS-1 or
they request and receive a special disposition authorization from the State Archives.
State agencies can work with the Archives to add the necessary new items to their
agency-specific schedules.
10
Using Office Retention Schedules
Basic Concepts
• No state agency or local government unit creates or maintains all record series
listed in the general retention schedules!
• Creating office retention schedules describing only those records held by a single
unit reduces staff confusion and frustration.
• Office retention schedules can include clarification of how State Archives-issued
records series are applied within the unit.
Office Retention Schedule Features
Because most units within local governments and state agencies create or maintain only
a portion of the records types described within the State Archives’ general schedules,
organizations should consider developing office retention schedules. Office schedules:
List only the records maintained by the associated office
Every item on the schedule is pertinent to a specific office. Because the schedules are
shorter, they are easier to use.
Document longer retention periods
State Archives schedules show only the legal minimum retention period. Governments
may keep records beyond the time listed in a retention schedule when necessary to fulfill
administrative needs or organization-specific legal or audit requirements. Office
schedules can be used to document these extended retention periods. This may be
important if your organization is involved in legal actions where you need to prove that
you are following these modified retention periods in the normal course of business.
State agencies can submit separate Records Disposition Requests (RDRs) for those
series that they wish to retain longer than the retention periods specified in the State
General Schedule, but are not required to do so.
Identify records series by common names
An office retention schedule can identify your records series by the names used in your
office, instead of the sometimes unfamiliar titles used in State Archives schedules.
Indicate records storage locations and other useful unit-specific information
Office retention schedules can specify when staff should move records from an active
office space to inactive storage (such as a file room). These schedules can also
include notes on destruction methods, weeding, confidentiality of record series, and
transfer procedures.
May fulfill FOIL “subject matter list” requirement
New York’s Freedom of Information Law (FOIL) requires local and state governments to
maintain and make publicly available a "subject matter list" of all categories of records
held by the entity. Although local governments may use the LGS-1 as their subject
matter list, an office retention schedule would provide a much more exact catalog of the
records held by your organization.
Keep It Simple
Small organizations might have a single sheet for each work unit, listing only the office’s
11
active and total retention periods. Larger organizations, on the other hand, may need
more complicated schedules that add such information as retention in semi-active
storage (temporary vault or file room storage), comments on records appraisal and
weeding, or notes on the type of destruction for each records series.
Remember: to be effective, office schedules must be easy to understand and use!
Elements of Office Retention Schedules
The organization of your office, complexity of your records retention requirements, and
availability of storage space can all impact the design of your office schedules. They can
include records management guidance beyond the retention schedule – as little or as
much information as needed to inform unit staff’s decisions regarding their records and
promote appropriate retention and storage.
Consider including the following fields in your office schedule:
Department and unit
Most office retention schedules are arranged (or can be filtered) by governmental
department or unit. Providing each unit of the organization with only that part of the office
schedule it needs makes it easier for staff to correctly identify and apply schedules.
Records series title
For the office retention schedule to work, it must first identify the record series. Keep in
mind that you also have the option of using the common title used in your office as the
records series title.
Records series description
This may reference specific document types or the processes during which records are
created or referenced.
Format of records
It is often useful to include a brief description of the record format(s) and the retention
requirements for each. For example, you may decide that, as you’re maintaining the
paper copy of your minutes forever, the electronic version only needs to be kept for a
few years. Conversely, you may decide to destroy paper correspondence after scanning
and image quality verification and retain the digital copy for the duration of the retention
period.
Total retention period
While most office retention schedules include the total retention period for each records
series, some list only how long the records are retained during one or more of the three
following phases:
In-office retention period (active)
A true office schedule must identify the in-office retention period. This allows
staff to easily determine when they may move records out of the office.
Intermediate retention period (semi-active)
This level of detail will not be necessary in most offices. However, some units
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maintain a central filing room that serves as semi-active storage for those
records not quite active enough to keep in the office but not inactive enough
to move to inactive storage.
Offsite retention period (inactive)
You may wish to obtain records storage space specifically for records that are
rarely accessed but have not yet completed the required retention period.
Inactive storage space could include space leased or owned by your
organization, storage with a commercial vendor, a cooperative arrangement
with another government for storage space or – for state agencies – use of
the State Records Center
.
State Archives’ schedule item number
This is the unique number assigned by the State Archives to each general or agency-
specific schedule item. Identifying the item number from the appropriate State Archives
retention schedule gives you an easy way to look up and verify the minimum retention
period.
Location
Some office schedules indicate the filing or storage location of each series to make it
easier to find the records.
Comments
You might also want to add additional comments to the office retention schedule. As with
anything in the schedule, be sure to add only the information you need. Possible areas
of comment include:
Appraisal or retention notes
These notes indicate your reasons for deciding to keep records longer
than required by State Archives’ retention schedules.
Official or secondary copy
Some office schedules indicate whether a series is the official copy –
which is retained in accordance with the Archives-approved schedules –
or a duplicate copy. This can formalize the process of identifying the
official copies of records in your offices.
Confidentiality
Documenting records’ confidential nature and any necessary special
treatment within the office schedule reminds staff to protect the records
and the information contained within them from inappropriate disclosure.
Type of disposition
Different records require different types of disposition. While the vast
majority of records are scheduled for eventual destruction, some have
historical value and warrant permanent preservation in the local
government’s archives or the State Archives. For records that will be
destroyed, those containing confidential or personally identifiable
information usually need to be shredded or otherwise securely destroyed,
13
while it may be appropriate to simply recycle records that are publicly-
releasable.
Notes on weeding the files
If only part of a file is discarded at a certain time, it might make sense to
note this in the office schedule. For some complicated case files, offices
may wish to produce case file retention sheets indicating which records to
discard and which to keep.
Setting Office Retention Periods
The most important decision you need to make in any office retention schedule is when
to move records out of offices and into inactive storage. This is important because you
should maintain only truly active records in active office space. Doing otherwise
increases the chance of interfiling active and inactive records and accidentally disposing
of active records – or of holding onto inactive records for much longer than necessary.
Determining how long to keep records in your office is conceptually simple: Keep all
records in your office until they become inactive. The difficulty is in determining when the
records actually become inactive.
Some considerations:
• For paper records, the general rule of thumb is that if you refer to a drawer of
records less than once a month, they are inactive.
• For computer files, if you refer to them less than once every three months, then
they are probably inactive.
• Often, the easiest and fastest way to determine when access needs change is to
talk to staff who use the records.
• If you have the time or inclination, you could be more exact by setting up a
system for tracking use over time.
Determining Whether to Keep Records Longer Than Required
Retaining records beyond the required retention period increases storage space needs,
the likelihood of document loss or mistaken use, and the volume of records that must be
reviewed and – potentially – released in response to litigation, audits, and FOIL
requests.
That said, you can keep records for longer than the minimum retention periods listed in
State Archives retention schedules, but if you decide to do so, proceed carefully. Keep
records longer only for a compelling reason. Many people are too cautious and keep
records just in case someone might ask to see them again. When determining whether
to increase the retention period for a records series, discuss the issue with staff,
especially those who work with the records daily. Verify that there aren’t other records
that could also fulfill the identified need for information. Require strong evidence of
serious continuing use to justify keeping records beyond their minimum retention
periods.
Sometimes you may keep records longer because of their historical value.
Contact the
State Archives for assistance in determining whether records have long-term, archival
value. For more information on archival appraisal, see Appraisal of Local Government
14
Records for Historical Value. The State Archives also provides training in records
appraisal.
Types of Office Schedules
The size of your office, the number of units or retention schedules, and available
technology may influence the format in which you produce your office retention
schedules. Each format has specific purposes, advantages, and disadvantages. Follow
the links below or review Appendix A: Sample Office Retention Schedules
for examples
of each type of office schedule.
Schedule Format
Description
Advantages
Disadvantages
Manual or Semi-Manual
Typewritten or word-
processed schedules created
for each unit. May be printed
for distribution or shared
electronically.
Users are provided with a
single document specific to
their needs. Paper copies are
familiar to staff and remove
the need for staff training
and access to new software
programs.
Need to save individual files
for each unit. Producing and
updating lists for each unit is
inefficient. Staff are unable to
keyword search paper copies.
Database
Contains information about
records series and office
schedules in a flexible
electronic format. Content is
divided into "fields" by data
type (e.g. unit, series title,
description, retention period,
storage location)
Easy to search and efficient
to update. Ability to create
reports by unit or other
parameter on demand.
Simple interfaces can be
created (including pull-down
menus and fields for search
terms) and posted to your
organization’s intranet site
for ease of staff access.
Database software is often
included in office productivity
packages.
Staff may need to learn how
to create databases and user-
friendly interfaces. Requires
computer (and potentially
network) access to generate
unit-specific lists – though,
depending on the user
interface, it may be easy to
print reference copies of lists
for distribution.
Records Management
Software
Specialized database that
manages records. Functions
may include tracking changes
in box location and requests
for records, maintaining an
up-to-date records inventory,
and generating an automated
office retention schedule
These off-the-shelf products
provide a broad array of
functions related to the
retention and movement of
records and contain a variety
of programmed reports.
Records management
software can be very
expensive. Many options
require payment of annual
licensing and support fees.
Additional resources may be
needed to customize the
system. Your organization
will need to evaluate systems
prior to purchase; some
systems may emphasize
functions that you don't need
to the detriment of those
that are necessary to support
your program.
15
Case File Retention
Sheet
Subset of an office schedule.
Retention sheets are purging
guides that help office staff
identify which items in a case
file should be discarded at
the end of the file’s life cycle
and which should be
retained. Such a guide is
necessary because case files
usually have records with
differing retentions in the
same folder and because
procedures vary between
organizations.
These retention sheets
provide clear guidance to
staff on how long to retain
specific document types
within a case file. Staff are
more likely to weed files
accurately when they have
detailed instructions.
Case file retention sheets
have a limited utility as they
relate to a small subset of
organization records.
Tips for Encouraging Staff Use of Office Retention Schedules
Have staff help develop schedules
Working with the units that create and use the records included in the schedule ensures
that the records series listed are accurate and complete and that descriptions make
sense to those who will be applying the schedules. Staff who are part of the process will
have a stake in its success and be more likely to advocate for and abide by the
schedule.
Distribute copies of the schedule
Schedules can be provided in hard copy or electronically. Provide copies to everyone in
the relevant unit – even staff who are not assigned files management duties need to be
aware of the obligation to retain records in accordance with the schedule.
Make office retention schedules part of policy
Making office retention schedules part of official policy can be an effective form of gentle
persuasion for staff. It also demonstrates the importance that your organization ascribes
to records retention, which is especially beneficial when your organization is unable to
provide records upon request because they have already been destroyed in accordance
with the schedule.
Remind staff to clean their files
Remind staff to periodically clean out files or – better yet – work with management to set
aside time at least once a year for staff in each unit to appropriately dispose of or
relocate records.
Discuss the schedules during staff orientation
You can make the use of an office retention schedule a simple administrative habit by
including an introduction to the schedule in staff orientations. Ideally, staff should be
made aware of their records management obligations before they begin handling the
organization’s records.
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Records Disposition
In order to avoid both premature disposition and retention beyond the minimum retention
period, organizations should establish a formal disposition procedure. Depending on the
volume of records, frequency with which they become inactive, and variations in
workload throughout the year, it may be practical to schedule time for disposition
monthly, quarterly, or yearly.
Documenting Disposition of Records
The State Archives does not require state agencies or local governments to document
disposition, but it is in your best interest to develop a records destruction authorization
form to authorize and document records disposal. Documentation of regular disposition
in accordance with the applicable schedules can protect the organization when they are
unable to provide properly destroyed records in response to litigation, audits, or requests
under FOIL.
Organizations may use the State Archives’
sample records destruction authorization
form, amend it to fit their needs, or create their own unique document. Any such form
should contain the following information:
• series titles
• record date range
• retention schedule item number
• minimum retention period specified by schedule
• signatures of the Records Management Officer and the manager of the office that
“owns” the records authorizing the disposition
• destruction date with signature of person who performed or witnessed
destruction. If records are transferred to a third party for destruction, form may
note date of change of custody and names of parties between whom records
were transferred
Selecting a Method of Destruction
State law does not specify a destruction method for most records. Decisions regarding
the method of destruction are usually left up to the organization. One exception is
cancelled obligations
which have their own specific cancellation and destruction
requirements.
When selecting which method of destruction to use, consider the following:
• Are the records confidential? Confidential records should be destroyed in a way
that ensures their total illegibility.
• What is the quantity of records to be destroyed? Is doing so inhouse an effective
use of staff time and available equipment?
• How often will records destruction take place?
• What is the physical composition of the records?
• Do the records contain numerous fasteners, such as staples or paper clips?
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Must they be removed before destruction occurs?
• Are there any relevant local environmental restrictions? Are incineration or
disposal in a landfill permitted in your area?
• Do you have access to a vendor who provides bonded recycling?
• Do you have space and staff for an on-site destruction program?
• Can your equipment handle the bulk to be destroyed?
• Can your shredder handle non-paper records such as microfilm?
• Will you be able to contain the dust produced by a shredder?
• Is it more efficient and economical to use an outside vendor or facility?
Based upon this evaluation, consider which destruction options are most appropriate.
Destroying Paper Records
Consider the following methods to dispose of paper records:
• Recycling
This may be the best option for records without protected content and those that
have been shredded. If your office produces both protected and non-protected
content, or if shredding records in-house is impractical, you may wish to utilize a
bonded recycler, as these vendors can guarantee that information contained in
the records will remain confidential until the records are destroyed. If you have a
large quantity of records, a vendor may even provide pickup service. Consider
arranging recycling under the State’s wastepaper recycling contract.
• Shredding
Shredding destroys records and ensures confidentiality at the same time. In-
house shredding can be time-consuming, especially if you are using a small
shredder or have a large quantity of records to destroy. Both state agencies and
local governments may choose to make arrangements under the State’s
wastepaper recycling contract, or with another commercial shredding vendor. If
your office owns a large shredder, you may want to wear a mask while shredding
documents to help filter out dust particles.
• Incineration
Incineration used to be a very popular method of destruction, although
environmental restrictions now limit its use.
• Landfill
In some areas, burial in a landfill is still an option. You should shred any
confidential records before disposing of them in landfills, since burial is not an
assured method of destruction.
Destroying Microfilm and Microfiche
Pulverization transforms microfiche and microfilm and its reels into a cotton-like
substance. Some large, sophisticated shredders can shred microfilm or fiche as well as
paper. Silver microfilm should be recycled for its silver content. Contact your
microfilm/fiche vendor to discuss the recycling and destruction services they offer.
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Destroying Electronic Records
IT staff should be consulted regarding the best way to permanently delete electronic
records that have completed their required retention period. Even though deleting a file
seems to make it disappear, it still exists and is retrievable until the media on which it is
stored is overwritten, destroyed, or exposed to a magnet to scramble the data saved
upon it (a process called degaussing). Your organization may have a standard process
for either destroying storage media or preparing it for further use.
Records in a database system that have reached their maximum retention period should
be routinely purged or migrated, depending on their ultimate disposition.
Records management staff and those within the units that use electronic records with
long-term value should contact the State Archives for guidance on approaches for
preserving records in digital formats for long-term accessibility.
It’s likely that multiple copies exist of each electronic record. Documents may have been
saved by multiple people to individual computer hard drives or to different locations on
the organization’s network. Backup copies may exist of database records or records
saved to a network or cloud-based file system. Records management staff should
partner with their IT colleagues to identify the locations of each copy of electronic
records scheduled for destruction and determine the best way to eliminate access to all
copies.
Some organizations schedule regular destruction of emails beyond a certain age. For
example, your system administrator may have set a rule that causes nightly deletion of
all email over 90 days old from all staff accounts. Organizations that implement such
rules should ensure that procedures and guidelines are in place to preserve and protect
electronic mail messages that must be retained beyond the routine purge cycle used for
the electronic mail system.
Records Disposition Made Easy
The most difficult aspect of records retention and disposition isn’t determining how long
to keep certain records, but rather disposing of unneeded records regularly to avoid
developing a backlog. To make discarding records easier, try following these simple
suggestions.
Make sure you’re familiar with using your retention schedule
Knowing how to find a retention period will make staff more likely to follow it. Retention
schedules should be clear and approachable; if simply confirming how long a record
must be kept is difficult or confusing, they’re much less likely to discard records.
Set aside time for records disposition
You are busy; everyone you work with is busy. This is the main reason people don’t get
around to discarding obsolete records. A good way to encourage records disposition and
limit the volume of records that must be reviewed at once is to periodically block off time
to dispose of all obsolete records. Scheduling an organization- or unit-wide “disposition
party” during a time when work is slow can turn the chore into a pleasant communal
break from normal duties.
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Organize your files to facilitate disposition
Often when you create and file records (whether paper or electronic), you don’t think
about how or when you will discard the records. You consider only how badly you need
the records right now. For instance, many organizations sensibly remove personnel
folders from filing cabinets once these files become inactive. But the permanent record
card, which summarizes an employee’s entire work history, is usually the only
permanent record in each file. So you could pull out the permanent record cards, store
them separately from the other records, and discard the remaining records six years
after the employee leaves.
Likewise, consider how long records need to be kept when creating your electronic filing
structure. For example, records related to assignment of fleet vehicles can be disposed
of more frequently than those describing vehicle maintenance. Maintaining separate
folders for each record type will make it easy to routinely dispose of the assignment files.
Marking the dates of disposition (or at least the dates of the contents) directly on file
folders allows you to scan them quickly to determine retention periods. Taking time at
the outset to consider how to make disposition easier will ultimately reduce the amount
of time spent disposing of records later on.
Writing each box’s disposition date on the same side of the box as the label will make it
easy to identify obsolete records and determine which boxes can be disposed of. This
not only speeds the disposition process, but removes the need to periodically consult an
inventory or the box contents to determine whether records can be discarded.
Set up office retention schedules
Putting together such a schedule can be time-consuming, so many people avoid doing it.
Once everyone in your organization has a list of the retention periods for the records in
their specific office, though, records disposition will be as easy as looking up dates on a
sheet of paper or in a database.
Consider the consequences
Allowing obsolete records to pile up not only makes it more difficult to identify and locate
the documents that you need to do your job; it also dramatically impacts how you use
your office space. Rooms designated for storing excess records may be better used for
meeting space or staff offices. By disposing of no longer needed records promptly, you
may find that your office can reduce the amount of offsite storage used, reducing annual
costs.
Retaining records that are no longer needed can also significantly increase the difficulty
of meeting disclosure obligations. All records responsive to subpoenas, discovery
demands, and FOIL requests must be identified and reviewed for possible release, even
if they are past their disposition date. Making disposition routine is the most efficient way
to eliminate obsolete records.
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Manual or Semi-Manual Schedules
Example 1: Office for the Aging Retention and Disposition Schedule
Record Title
Retention
Item in LGS-1
Abstract of Claims
Program Expense Books
Voucher Books
PERMANENT
Department Decision
Accounting Register
6 years after last entry
[505]
Agenda
1 year
[48]
Agreements, Legal
6 years after expiration or last
payment
[32]
Applications, Job
Unsuccessful candidates
4 years
[693]
Audit
PERMANENT
[472a]
Budget, Final
PERMANENT
Department Decision
Budget, Preliminary
6 years
[489]
Budget Preparation Materials
3 years
[489]
Certificate of Insurance
6 years after expiration
[582]
Certification of Eligible List Sent to
Appointing Agency
6 years after expiration of eligible
list
[692b]
Claims, Payment
6 years
[495]
Claims, State Aid Reimbursement
6 years
[496]
Clients: Individual, EISEP
6 years after last entry
[85]
Clients: HEAP
(Duplicate copies)
3 years
Department Decision
Complaints/Requests for Service
(for routine services)
1 year after disposition
[77]
Contracts
6 years after expiration or last
payment
[32]
Correspondence: Cover Letters
and Transmittals
1 year
[53c]
Correspondence: General
6 years
[53b]
Correspondence: Policy Making
PERMANENT
[53a]
Daily Cash Record (includes
Donations, Lifeline Receipts)
6 years
[508]
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Example 2: School Transportation Office Retention Schedule
This list is a records retention schedule designed specifically for the records of the
district transportation office and should help the office manage its records more
efficiently. By using this schedule conscientiously and by discarding and transferring
records to the records center on an annual basis, the office should be able to control its
records better. Comments indicate more specific retention actions that the office must
make. The records are listed in order by series title. If you have any questions about this
schedule, contact Mike DiFrancisco at extension 899.
SERIES
OFFICE RETENTION
STORAGE RETENTION
SCHEDULE
& NUMBER
Bids, successful
2 years
+ 4 years
LGS-1: 547
Comments: Keep in office two years for reference, then transfer to the records center.
Bus driver handbook
documenting policies and
procedures
until separation
Permanent
LGS-1: 52
Comments: Send one copy of handbook to records center when it is superseded.
Bus driver qualification
file, including driver
training certificates and
character references
1 year after separation
6 years after separation
LGS-1: 1001
Bus route schedule or
diagram: GIS version
update annually
n/a
LGS-1: 996a
Comments: These records are updated annually; keep GIS version for current schedules and diagrams; maintain
paper records for extra six years.
Bus route schedule or
diagram: Paper printouts
from GIS
2 years
+ 6 years
LGS-1: 996a
Comments: Keep two years of paper versions in office for reference.
District-wide
consumption and
dispensing records for
vehicle fuel and oil
6 years
n/a
LGS-1: 820
Comments: Since records are not voluminous, dispose from office.
Driver's daily log report
2 years
+ 4 years
LGS-1: 1004
Employees' payroll report
slips detailing sick,
personal and other leave
1 year
+ 5 years
LGS-1: 529
Employees' time cards /
sheets
1 year
+ 5 years
LGS-1: 528
Field trip report
1 year
+ 5 years
LGS-1: 1007
Grant program files
2 years
+ 8 years
LGS-1: 55a&b
Comments: Keep records in office for two years; then records center will keep records for six additional years, to
ensure all files are kept at least "6 years after renewal or close of grant or denial of application" (as required in
LGS-1 schedule).
Legal agreements,
including contract, lease
and release involving
district vehicles
until expiration
+ 6 years
LGS-1: 32
Comments: Keep records in office until expiration or final payment, then transfer to records center.
23
Maintenance, testing,
service and repair records
for vehicles: Cumulative
summary for vehicle
6 years after vehicle is no
longer in use
n/a
LGS-1: 817a
Comments: Records kept in office because of reference needs; segregate service records into files by year once
they are superseded or become obsolete.
Maintenance, testing,
service and repair records
for vehicles: Individual
report when posted to
summary report
1 year
6 years
LGS-1: 817b
Maintenance, testing,
service and repair records
for vehicles
until log is filed
+ 6 years
LGS-1: 817d
Transportation records,
non-public schools,
including parental
requests and consents
3 years
n/a
LGS-1: 1005
Personnel case file,
master summary record
6 years after separation
Permanent
LGS-1: 636a
Comments: Personnel records should be segregated from the active personnel files once they become inactive
and filed by the year they became inactive. See special personnel case file retention sheet for specifics about
what records are considered part of the district's "master summary record."
Personnel case file, other
records
6 years after separation
n/a
LGS-1: 636b
Comments: These non-permanent records should be weeded from the personnel files before forwarding the
files to the records center. See special personnel case file retention sheet for specifics about which records
should be weeded from the file.
Purchase orders
(duplicates)
2 years
n/a
LGS-1: 58
Comments: Accounts payable maintains original for 6 years.
Report of theft,
vandalism, arson, or
property damage to bus
garage or vehicles
6 years after vandalism
n/a
LGS-1: 26
Comments: These records are uncommon, so maintain them in office until time to discard them.
Request for use of vehicle
(when a chargeback is
involved)
3 years
+ 3 years
LGS-1: 821a
Comments: Keep in office for three years, long enough to accumulate one full box of records.
Request for use of vehicle
(when no chargeback is
involved)
1 year
n/a
LGS-1: 821b
Seniority list ranking
employees by length of
service
4 years after superseded
or obsolete
n/a
LGS-1: 697
Comments: Office should segregate lists into files by year once they are superseded or become obsolete.
Discard from office.
Vendor listing printout
As updated
n/a
LGS-1: 548
Warehouse requisition
form for supplies
(duplicates)
1 year
n/a
LGS-1: 58
24
Comments: Warehouse maintains original for 6 years.
Example 3: Tax Assessor's Office Retention Schedule
Each department is required to adhere conscientiously to the retention policy of the town
under the guidance and with the assistance of the town clerk, as authorized in board
resolution 93-10. Town Clerk Mary Sanibel’s office has developed this office retention
schedule, with the help of Town Assessor Anne McGuire, to ensure that each
department can easily identify those records that should be disposed of or moved to
storage each January.
The "Active" column shows the total number of years, beyond the current year, to keep
the record in the office. The "Semi-Active" column shows the total number of years,
including active retention, to keep the records in the first-floor hall storage area. The
"Storage" column shows the total number of years (including active and semi-active
storage) to keep the records. Comments indicate when the Tax Assessor’s office is
responsible for records destruction, whether a record is an official or a secondary copy,
and other comments. In a few instances, the comments indicate when the Town
Assessor and Records Advisory Board agreed to keep a record longer than the retention
period required by the State Archives’ LGS-1 retention schedule. These increased
retention periods and this office schedule became part of the town’s official retention
policy upon its effective date.
The Tax Assessor’s office is responsible for making sure it adheres to this retention
schedule but should feel free to contact Town Clerk Mary Sanibel or Records Clerk Tom
Loquante if any questions arise.
Series
Item
No.
Format
Active
Semi-
Active
Storage
Comments
Annual
assessment
report
LGS-1,
1043
Paper
2 yrs.
n/a
10 yrs.
Official copy
Assessment rolls,
final
LGS-1,
58
Elec. (Dup.)
2 yrs.
n/a
n/a
Delete from
computer
Assessment rolls,
final,
unwarranted
LGS-1,
1045b
Paper
1 yr.
n/a
10 yrs.
Assessment
working
documents
LGS-1,
58
Elec. (Dup.)
0
n/a
n/a
Only part of
the series
Assessment
working
documents
LGS-1,
1044
Paper
0
1 yr.
2 yrs.
Official copy
Certificates of
mortgage tax
apportionments
LGS-1,
1056a
Paper
3 yrs.
n/a
n/a
Dispose from
office
Commercial
property record
cards
LGS-1,
1029
Elec.
Perm.
n/a
n/a
Keep
electronic
version of
record cards
25
on LAN
Commercial
property record
cards
LGS-1,
58
Paper
2 yrs.
n/a
n/a
Secondary
copy; keep
for need to
verify
information
Change of
assessment
notices
LGS-1,
1040
Paper
0
1 yr.
10 yrs.
Kept 4 yrs.
beyond LGS-1
Correspondence
LGS-1,
53b
Paper
2 yrs.
n/a
6 yrs.
Treat all
corresp. as
6 year
retention
Cross-reference
tax listing
LGS-1,
61
Paper
1 yr.
n/a
n/a
Dispose from
office
Deeds & building
permits
LGS-1,
58
Paper
3 yrs.
n/a
n/a
Duplicate
copies
Equalization rate
records
LGS-1,
1035b
Paper
3 yrs.
n/a
n/a
Dispose from
office
Equalization rate
records
LGS-1,
1035a
Paper
2 yrs.
6 yrs.
Perm.
Grievance forms
LGS-1,
1040
Paper
2 yrs.
6 yrs.
n/a
Dispose from
hall storage
Invoices
LGS-1,
495
Paper
2 yrs.
6 yrs.
n/a
Dispose from
hall storage
Minutes,
town board
LGS-1,
58
Paper
2 yrs.
n/a
n/a
Dispose from
office;
duplicate
Property record
cards
LGS-1,
1029
Elec.
Perm.
n/a
n/a
Keep
electronic
version on
LAN
permanently
Property records
cards
LGS-1,
58
Paper
2 yrs.
n/a
n/a
Secondary
copy; keep
for need to
verify
information
Property sales
book
LGS-1,
1024
Paper
2 yrs.
n/a
6 yrs.
Dispose from
office
Property sales
book report
LGS-1,
58
Paper
1 yr.
n/a
n/a
Dispose from
office
Property
valuation records
LGS-1,
1031
Elec.
4 yrs.
n/a
n/a
Delete from
LAN
Real property tax
lien sales
LGS-1,
1051
Paper
2 yrs.
4 yrs.
Perm.
Tax escrow files
LGS-1,
1049
Paper
4 yrs.
n/a
6 yrs. after
account
termination
Review and
weed each
year
Tax exemption
files
LGS-1,
1039
Paper
2 yrs.
6 yrs.
n/a
Dispose from
hall storage
Tax exemption
LGS-1,
Paper
2 yrs.
n/a
n/a
Dispose from
26
register
61
office
Tax exempt
LGS-1,
Elec.
4 yrs.
n/a
n/a
Delete from
market value 1031 LAN
estimates
Tax exempt
market value
estimates
LGS-1,
58
Paper
0
n/a
n/a
Secondary
copy
Tax maps
LGS-1,
1036
Paper
6 yrs.
n/a
Perm.
Tax map index
LGS-1,
61
Elec.
Perm.
n/a
n/a
Maintain on
LAN
Tentative
assessment roll
LGS-1,
1045
Paper
1 yr.
5 yrs.
n/a
Dispose from
hall storage
Unpaid tax files
LGS-1,
1048
Elec.
6 yrs.
n/a
n/a
Delete from
LAN
approved by Tax Assessor Anne McGuire, 27 February 2000
approved by Records Advisory Board, 14 March 2000
Updated to reflect issuance of LGS-1, 2 January 2021
27
Database- or Records Management Software-Produced Office Retention Schedules
Example 1: Office Retention Schedule for Purchasing
This retention schedule lists the retention periods the State Archives has identified for
records held by the Purchasing Department, how long we will retain those records in the
office, and for how many years we will keep the records in total. Those records marked
with an asterisk (*) we’ve decided to keep longer than the minimum indicated by the
State Archives retention schedule.
Records Series
Archives Schedule
Retention
Minimum
Office Retain
Storage Retain
Annual department
reports
LGS-1/58
0 (duplicate)
6 years*
n/a
Board meeting
minutes
LGS-1/53b
0 (duplicate)
2 years
n/a
Correspondence
and memos
LGS-1/403
6 years
6 years
n/a
Hazardous contact
LGS-1/654a
40 years after
contact
1 year
40 years after
contact
Insurance policies
LGS-1/579
6 years after
expiration
2 years after
expiration
8 years after
expiration
Invoices
LGS-1/495
6 years
2 years
6 years
Performance
guarantees
LGS-1/549
6 years after
expiration
2 years after
8 years after
expiration
Property acquisition
/ sale file
LGS-1/803
PERMANENT
2 years
PERMANENT
Purchasing files
LGS-1/547
6 years
4 years
8 years*
Purchasing
requisitions
LGS-1/546
6 years
2 years
6 years
Vendor files
LGS-1/548
0 after superseded
Replace every year
n/a
28
Example 2: County Clerk’s Department Office Retention Schedule
Title:
Administrative file (Records Management)
Schedule item:
LGS-1, General Administration, 53c: correspondence
Office retention:
1 year
Total retention:
1 year
Appraisal:
N/A
Title:
Adoptions
Schedule item:
OCA, Civil Court & County Adoptions, 20010
Office retention:
PERMANENT
Total retention:
PERMANENT
Appraisal:
Retain paper copy in office; microfilm use copy in Records
Center.
Title:
Affidavits and orders
Schedule item:
OCA, Civil Court Supreme & County: other case files, 20230
Office retention:
10 years
Total retention:
PERMANENT
Appraisal:
Maintained permanently in records center.
Title:
Annual report of the Board of Excise
Schedule item:
LGS-1, General Administration, 74
Office retention:
3 years
Total retention:
PERMANENT
Appraisal:
Keep only three years in office since reference drops off quickly.
Title:
Annual reports of corporations
Schedule item:
LGS-1, General Administration, 298
Office retention:
3 years
Total retention:
PERMANENT
Appraisal:
Keep only three years in office since reference drops off quickly.
Title:
Application to use records (Records Management)
Schedule item:
LGS-1, Archives/RM, 94a
Office retention:
6 years
Total retention:
6 years
Appraisal:
LGS-1 gives retention as "0 after no longer needed." Six years
allows enough time to discover any thefts or destruction and
allow us to find the perpetrator.
29
Case File Retention Sheets
Example 1: Personnel Case File Retention Sheet
Since our district does not have centralized personnel functions, each department must
maintain and weed their own department’s personnel records. This sheet lists all the
types of records found in personnel folders and whether they should be discarded six
years after the employee has left the district employ or whether the records are
permanent and should be retained and forwarded to the records center for microfilming.
In those few cases where an employee is disputing or otherwise having trouble with
retirement benefits or is in litigation against the district, you must retain the entire file for
at least six years after the matter has been brought to a conclusion.
Application form and letter
Discard
Appointment letter
Permanent
Benefits information
Discard
Contracts (for superintendent)
Permanent
Declination to join retirement system
Permanent
Job descriptions
Permanent
Insurance information
Discard
Letter of recommendation from district
Discard
Letter of resignation from employee
Discard
Memos (relating to discipline, etc.)
Discard
Oath of office
Permanent
Reference letters
Discard
Resume
Discard
Salary information
Permanent
Teaching certificate
Permanent
Transcript from college
Permanent
Note: Many records identified as permanent on this sheet are not scheduled as
permanent on the State Archives’ LGS-1. These are examples of local decisions to
increase retention periods. You should not assume this sheet represents the Archives’
recommendations.
30
Example 2: Developmental Disabilities Services Office Retention and Disposition
Schedule
Below is a retention and disposition schedule for managing inactive records. The
retention period refers to individuals who are beyond the age of majority. The Health
Information Management Office will provide you with a list of our younger population for
whom this schedule DOES NOT APPLY. DO NOT DESTROY FORMS THAT ARE NOT
LISTED.
IDENTIFYING DATA SECTION
Requirement Citation
Record Type
Retention Period
IPP 4 22.1A
Med.
Diagnostic Report
Destroy (Current kept in Active File
& originals in HIM Office)
AHR 116
Disposition Report
Destroy all - Obsolete
43, 43
Notice of Status and Rights
Destroy (Current kept in Active File
& originals in HIM Office)
41, 42, 43
Legal Papers
Destroy (Current kept in Active File
& originals in HIM Office)
WDC 139
Clinic Treatment Program Referral
Retain 7 years; destroy others
WDC 19
Community Services Plan
Destroy (Current kept in Active File)
STAT 31
Change in Statistical Data
Retain 1 year in Active File; Destroy
others
WDC 395
Addendum to Community Services
Plan
Destroy (Current kept in Active File)
WDC 394
Residential/Day Program Changes
Destroy (Current kept in Active File)
WDC 80
Respite Agreement
Destroy (Current kept in Active File)
WDC 99
Respite Consent
Destroy (Current kept in Active File)
WDC 101
Medication List and Consents
Destroy (Current kept in Active File)
WDC 112
Respite; Client Information
Summary
Destroy (Current kept in Active File)
WDC 58
Consent to Release Information
Destroy (Current kept in Active File)
WDC 44
Consent for Photograph
Destroy (Current kept in Active File)
WDC 403
Money Management Consent
Destroy (Current kept in Active File)
OMR 170
Personal Allowance Record Option
Destroy (Current kept in Active File)
DMH 5
Notification of Referral for Services,
Verification of 620 Eligibility
Retain 7 Years (Destroy others)
31
Appendix B: Destruction of Cancelled Obligations
Basic Concepts
• The Office of the State Comptroller has issued requirements for the destruction
of cancelled corporate stock, notes, and coupons, and most cancelled bonds
(“obligations”).
• The Retention and Disposition Schedule for New York Local Government
Records (LGS-1) does not include schedules for these records.
• Two types of bonds – surety and performance bonds – are included in the LGS-
1.
• Bonds or other obligations that predate 1910 may be historically significant and
deserving of permanent retention.
• Contact the Office of the State Comptroller for more information about destroying
cancelled obligations.
Relevant Law and Regulation
Section 63.10 of the Local Finance Law outlines the legal authority for destruction of
these records. This law states that "they shall be cancelled or destroyed in such a
manner as the State Comptroller shall prescribe."
Part 55 of 2 NYCRR outlines how to cancel obligations (by stamping and perforation)
and how the cancelled obligations may then be destroyed (by "burning, pulverizing or
shredding").
Pre-1910 Obligations
Certain local governments may have bonds or other obligations that predate 1910.
These were often issued in conjunction with railroad and turnpike construction in the
nineteenth century. Such bonds may possess archival value. If ornately engraved, they
may possess intrinsic value that necessitates preservation in their original format. Bonds
with intrinsic value should not be mutilated or otherwise destroyed without the approval
of the State Archives. Contact your State Archives Records Advisory Officer (RAO) for
advice on proper preservation of older bonds.
Contact Information
Questions concerning destruction of cancelled obligations should be directed to the
Office of the State Comptroller’s Division of Legal Services at (518) 474-5586.
32
