HomeMy WebLinkAboutRetention & Disposition Schedule for Highway Dept
Schedule MU-1
Transportation and Engineering
b.Substance testing records:
RETENTION: 3 years
c.Approvals from the New York State Department of Environmental
Conservation (or other agency) for storage and dispensing of fuel and other
substances:
RETENTION: 7 years after expiration or termination of approval or
denial of application
d.Records relating to non-significant leakage, spillage and runoff:
RETENTION: 6 years
e.Records relating to significant leakage, spillage and runoff, or any leakage
from underground storage tanks:
RETENTION: PERMANENT
NOTE: For other petroleum bulk storage records, see item no. 493 in the
Public Property and Equipment section.
f.Plans to control leakage, spillage, or runoff, or to deal with accidents and
emergencies:
RETENTION: PERMANENT
HIGHWAY, ENGINEERING, AND PUBLIC WORKS
NOTE: Records relating to water, wastewater, and landfill projects may be found in the
Environmental Health section. Records relating to publicly owned property and equipment
may be found in the Public Property and Equipment section.
NOTE: Certain records found in this section may be needed for litigation involving
personal injury incurred by minors. Where appropriate, these records should be retained
for 3 years after the individual involved attains age 18, even if the specified retention
period has expired.
1.\[613\]Highway or other transportation structure maintenance and repair records
covering routine maintenance and repair activities and pavement marking:
RETENTION: 6 years
2.\[614\]Snow and ice removal records, including log or report of weather conditions:
RETENTION: 6 years
3.\[615\] Highway or transportation structure history file containing summary
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information on highways, roads, streets, bridges, elevated railways, overpasses,
underpasses, culverts, and other structures, except records covering routine
maintenance and repair activities
a.All records in file, except draft or intermediary records documenting other
than significant changes and those closely duplicating other records in file:
RETENTION: PERMANENT
b.Draft or intermediary records documenting other than significant changes,
or closely duplicating other records in file:
RETENTION: 0 after no longer needed
4.\[616\]Project file for capital transportation improvement covering highways, roads,
streets, bridges, other structures, parking lots and garages, and public
transportation system improvements
a.Feasibility studies; successful bids; plans, specifications and designs; project
description; in-progress and completion photographs; inspection reports;
environmental impact statement; annual project statement; fiscal and other
final reports, and significant correspondence:
RETENTION: 6 years after highway or structure no longer exists or
is abandoned
b.Supplementary documentation, including application for assistance, project
budget, interim fiscal reports, claims, contracts, vouchers, work orders,
memoranda, worksheets, routine correspondence and detailed construction
specifications:
RETENTION: 6 years after last entry in project file
c.Unsuccessful bids:
RETENTION: 6 years after bid rejected
d.All records, when project is proposed but not undertaken:
RETENTION: 6 years after last entry
NOTE: For additional plans, maps, designs, sketches, designs,
architectural drawings and photographs of buildings and facilities, see item
nos. 618 and 904, below.
5.\[617\]Master summary record (index, log or register) of transportation improvement
projects:
RETENTION: PERMANENT
6.\[618\]Official maps, plans, diagrams, drawings, photographs, surveys, engineering
and survey notes, detailed specifications, profiles or cross-sections of highways,
roads, streets, bridges, or other structures including indices or finding aids,
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when not relating to specific project design files, covered by item no. 904,
immediately below
a.Final or "as built" plans, maps, designs, sketches, architectural drawings
and photographs, for significant highway or structure:
RETENTION: PERMANENT
b.Final or "as built" plans, maps, designs, sketches, architectural drawings
and photographs, for other than significant highway or structure:
RETENTION: 6 years after structure no longer exists
c.Other related non-graphic design file documents, including correspondence,
cost estimates, reports, planning studies and other records:
RETENTION: 6 years after completion of project
NOTE: Some of these non-graphic documents may need to be retained for
6 years after the highway or structure no longer exists, if they document
significant changes with long-term fiscal and other implications. Local
governments should review these records for these possible uses prior to
disposition.
d.Template or other similar automated framework or reference files used in
conjunction with more specific automated design files:
RETENTION: Retain as long as the related specific automated
design files are retained.
e.Index or similar record used to locate, identify and access plans, maps,
designs, sketches, architectural drawings, photographs and other existing
records:
RETENTION: Maintain as perpetual data file or other record,
deleting information only relating to records that have been disposed of.
7.\[904\]Design file for capital transportation improvement project, including plans,
maps, designs, sketches, designs, architectural drawings, and photographs for
highways and other transportation structures maintained by local government
a.Final or "as built" plans, maps, designs, sketches, architectural drawings
and photographs, for significant highway or structure:
RETENTION: PERMANENT
b.Final or "as built" plans, maps, designs, sketches, architectural drawings
and photographs, for other than significant highway or structure:
RETENTION: 6 years after highway or structure no longer exists
c.Detailed schematic drawings, not covered by parts "a" or "b," including
detailed specifications not appearing on plans, maps, designs, sketches,
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architectural drawings:
RETENTION: 6 years after highway or structure no longer exists
d.Other related non-graphic design file documents, including correspondence,
cost estimates, reports, planning studies and other records:
RETENTION: 6 years after completion of project
NOTE: Some of these non-graphic documents may need to be retained for
6 years after the highway or structure no longer exists, if they document
significant changes with long-term fiscal and other implications. Local
governments should review these records for these possible uses prior to
disposition.
e.Template or other similar automated framework or reference files used in
conjunction with more specific automated design files:
RETENTION: Retain as long as the related specific automated
design files are retained.
f.Index or similar record used to locate, identify and access plans, maps,
designs, sketches, architectural drawings, photographs and other existing
records:
RETENTION: Maintain as perpetual data file or other record,
deleting information only relating to records that have been disposed of.
8.\[905\]Highway, road, street or transportation structure management automated
maintenance, repair and inspection system records, also containing information
such as on motor vehicle accidents, highway safety, highway-related permits,
complaints and requests for service
NOTE: This does not apply to automated systems used by public transportation
systems, see item no. 908 in the Public Transportation subsection, below.
a.Detailed data file containing information such as on maintenance and
repairs:
RETENTION: 0 after no longer needed
NOTE: Because of the amount of detailed data collected by such systems,
such data may only be maintained online for a limited period of time. Some
of this data may need to be retained longer to meet both administrative
needs and legal requirements, unless official copies are maintained outside
the system and are disposed consistent with item nos. 613, 614, 623, 625,
627, 628, and 630 in this section. It is recommended that local officials
store this data offline long enough to meet audit or any other requirements.
Also, maintenance of a history file (see below) containing the most
significant data elements may satisfy these administrative and legal needs.
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b.Automated system operation history file, containing significant data and/or
periodic data snapshots, generated from detailed system data:
RETENTION: 6 years
NOTE: Appraise these records for archival value. History files may
contain valuable information to document highway, road, street or
transportation structure management over a period of time. Contact the
State Archives for additional advice in this area.
c.Logs, schedule, reports, and queries (including macros, queries and
necessary documentation used in report and query generation), which
contain information of legal or fiscal value:
RETENTION: 6 years
d.Logs, schedules, reports, and queries (including macros, queries and
necessary documentation used in report and query generation), which do
not contain information of legal or fiscal value, such as when no work is
performed and no funds expended:
RETENTION: 0 after no longer needed
e.Geographic Information System (G.I.S.) street/road data file used as base
maps for system operation, derived from official G.I.S. data maintained by
other unit of local government:
RETENTION: 0 after no longer needed
NOTE: Appraise these records for archival value. If G.I.S. data layers
contain "value added" information on highways, roads, streets and
transportation structures not found in the source files from which they were
created, they may have secondary uses. Contact the State Archives for
additional advice in this area.
f.Copies of maps, plans, diagrams, drawings, photographs, surveys,
engineering and survey notes, detailed specifications, profiles or cross-
sections, where official copies are maintained elsewhere, and are covered
by item no. 618, above:
RETENTION: 0 after no longer needed
9.\[619\]Right-of-way records, including legal description of right-of-way, copies of deeds,
maps and photographs:
RETENTION: PERMANENT
10.\[620\]Property acquisition records, documenting acquisition of real property obtained
through eminent domain proceedings for transportation-related project, including
record of public hearing, findings and determination, appraisal information, copy
of court proceedings and correspondence:
RETENTION: PERMANENT
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11.\[621\]Recommendation of Highway Superintendent or Commissioner of Public Works
for expenditure of highway or road fund money:
RETENTION: 6 years
12.\[622\]Report or "inventory" received from and submitted to New York State
Department of Transportation on status, mileage, improvements, or other
characteristics of highways and bridges:
RETENTION: 5 years
NOTE: Appraise these records for historical significance prior to disposition.
These records may constitute a valuable summary listing of highways and
structures. Contact the State Archives for additional advice.
13.\[623\]Complaint or request for service, including notification (including communication
log and telephone call log) of unsafe, dangerous or defective condition of highway,
street, road, bridge, sidewalk, or other capital improvement, including but not
limited to inspection report and record of abatement of condition
a.Summary record (such as log or register) of complaints or requests:
RETENTION: 6 years after disposition of all complaints, petitions
or requests listed
b.Complaint or request for service, including follow-up records, where
remedial action is taken:
RETENTION: 6 years after remedial action taken or condition
otherwise abated, whichever occurs first
c.Complaint or request for service, including follow-up records, where no
remedial action is taken:
RETENTION: 1 year
14.\[624\]Transportation- or engineering-related reports, studies or data queries,
including their supporting documentation, covering subjects such as traffic
congestion studies, traffic safety studies, traffic sign or signal survey, speed limit
change request, including but not limited to information gathering forms; copies of
accident reports and court records; copies of maps, plans and surveys; and
correspondence
a.Reports, studies or queries having legal or fiscal value:
RETENTION: 6 years
NOTE: Appraise these records for historical significance prior to
disposition. Some of these reports and studies, including their detailed
documentation, may contain significant information on such subjects as
traffic congestion and traffic safety, and may reveal long-term trends and
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accident-prone areas and vehicles. Contact the State Archives for additional
advice.
b.Reports, studies or queries having no legal or fiscal value, such as daily
activity, individual "crew" or "shift" reports," daily communications or
other routine internal reports:
RETENTION: 0 after no longer needed
15.\[625\] Traffic sign or signal erection, relocation, or removal records
a.Records relating to individual or group of interconnected signs or signals,
such as authorization for actions taken, photographs, copies of accident
reports, copies of maps and surveys, sketches and diagrams, traffic surveys
and correspondence:
RETENTION: 6 years after sign or signal replaced or no longer
exists, whichever is shorter
b.Road sign or signal listing:
RETENTION: 0 after superseded or obsolete
c.Reports and other records of malfunctioning or missing sign or signal:
RETENTION: 1 year after sign or signal repaired, removed or
replaced
16.\[627\]Copies of motor vehicle accident reports received from law-enforcement or other
government agency
a.Accident reports where design or maintenance of highway or structure is
relevant to accident:
RETENTION: 6 years
b.Routine accident reports:
RETENTION: 1 year
17.\[628\]Highway related permit file covering handling of oversized vehicles or
equipment, or temporary barricading, obstruction, closing, excavation, construction
or encroachment:
RETENTION: 6 years after expiration or denial of permit
18.\[629\]Public improvement permit file covering construction work which improves
facilities benefiting the public:
RETENTION: 6 years after expiration or denial of permit
NOTE: This does not apply to building permits or environmental health related
permits. See the Building and Property Regulation and Environmental Health
sections of this Schedule.
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19.\[630\]Inspection records for bridges, elevated railways and similar structures:
RETENTION: 6 years after structure no longer in use or inspected features
have been replaced
20.\[631\]Intergovernmental agreements, contracts or orders relative to highway
maintenance, and sharing of equipment, materials or services:
RETENTION: 6 years after expiration
21.\[632\]Engineer's reference files, usually arranged by topic, name or number of road, or
name of municipality or other government agency:
RETENTION: 0 after no longer needed
NOTE: Appraise these records for historical significance prior to disposition.
These records may contain valuable information on a variety of highway- and
transportation- related subjects. Contact the State Archives for additional advice.
22.\[633\] Parking lot or garage usage records
a.Summary record of usage:
RETENTION: 6 years
b.Traffic counts, permit applications, or other records of original entry:
RETENTION: 6 years
c.Tickets, copies or stubs of tickets:
RETENTION: 1 year
23.\[634\] Handicapped parking permit records
a.Copies of permits, applications and related records:
RETENTION: 3 years after expiration
b.Master listing of permits or designated parking spaces:
RETENTION: 0 after obsolete or superseded
24.\[906\]Copies of highway, street, road or bridge records received from other
governmental jurisdiction:
a.Where construction or maintenance of highway, street, road or bridge in
question is responsibility of local government which receives the records,
including instances where highways, streets or roads under separate
jurisdictions abut:
RETENTION: 6 years after highway or structure no longer exists
b. Copies of records received for information purposes only:
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RETENTION: 1 year
25.\[907\]Child safety seat inspection records, including but not limited to requests for
inspection, inspection reports and log or schedule of inspections performed:
RETENTION: 3 years
NOTE: Some of these records may need to be retained longer for potential legal
needs, in case inspected vehicles are involved in personal injury accidents. Consult
counsel to determine which records, if any, may need to be retained longer to meet
these needs.
PUBLIC TRANSPORTATION SYSTEM
1.\[635\]Map, plan, schedule, diagram or sketch of entire system or specific branch or
route providing information on stations, stops, dates of operation and times of
arrival and departure
a.Final or "as built" copies of official maps, plans and designs showing
system route and details of structures, along with draft or intermediary
copies that document significant changes:
RETENTION: PERMANENT
b.Draft or intermediary copies of official maps, plans and designs showing
system route and details of structures, that do not document significant
changes:
RETENTION: 0 after no longer needed
c.Schedules and diagrams showing individual routes and route and time
changes:
RETENTION: 1 year after superseded or obsolete
NOTE: Appraise these records for historical significance prior to
disposition. Records with historical value should be retained permanently.
Local governments should consider permanent retention of samples only of
schedules and diagrams covered by part "c" of the above item. Contact the
State Archives for additional advice in this area.
2.\[908\]Automated operational system used to monitor and schedule operation of public
transportation passenger vehicles (busses and subway vehicles), including Supply
Control and Data Acquisition (SCADA) or equivalent system, used to monitor
environmental conditions (temperature, humidity, air quality) in vehicles or various
areas accessible to the public
NOTE: For reports and queries from system data, see item no. 909, below. For
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alarm, problem and emergency records created from system data, see item no. 910,
below.
a.Detailed data file containing information such as on vehicle stops, usage,
locations at specific times or intervals:
RETENTION: 0 after no longer needed
NOTE: Because of the amount of detailed data collected by such systems,
such data may only be maintained online for a limited period of time. Some
of this data may need to be retained longer to meet both administrative
needs and legal requirements. It is recommended that public transportation
systems store this data offline long enough to meet such requirements.
Also, maintenance of a history file (see below) containing the most
significant data elements may satisfy these administrative and legal needs.
b.System operation history file, containing significant data and/or periodic
data snapshots, generated from detailed system data:
RETENTION: 6 years
NOTE: Appraise these records for archival value. History files may
contain valuable information to document system operation over a period of
time. Contact the State Archives for additional advice in this area.
c.Voice data maintained in or by automated system, including conversations
between central operational unit and individual vehicle operators, and voice
data used for annunciation on vehicles:
RETENTION: 0 after no longer needed
NOTE: Records custodians may wish to consult their attorney, counsel or
law enforcement agency before these records are disposed of regarding any
potential legal value. Recordings documenting serious incidents may
warrant longer retention for legal reasons. These tapes should be retained
until legal action is resolved, or the relevant specific communications
should be transferred onto a separate tape. Contact the State Archives for
additional advice.
3.\[636\]System operational records of original entry created in non-automated system or
used for data entry or verification, where significant information is data entered or
posted to reports and other summary records (including but not limited to passenger
counts, tickets, and stubs):
RETENTION: 0 after posted to summary record
4.\[909\]Operational reports and queries for public transportation system, including
macros, queries and necessary documentation used in report and query generation
a. Reports and queries dealing with serious incidents or problems, or major
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issues with long-term implications:
RETENTION: PERMANENT
b.Reports on routine activities, which contain information of legal or fiscal
value:
RETENTION: 6 years
c.Reports on routine activities, which do not contain information of legal or
fiscal value:
RETENTION: 0 after no longer needed
5.\[910\] Public transportation system alarm, problem and emergency records
a.Narrative records documenting serious problems or emergencies, including
data necessary to support such records:
RETENTION: PERMANENT
b.Records documenting minor or routine alarms or problems, including
detailed data generated by automated systems when certain parameters are
exceeded:
RETENTION: 3 years
c.Contingency or similar plans to deal with emergency situations:
RETENTION: PERMANENT
6.\[856\]Bus driver's daily work or tour of duty report, reporting road failures and any
defects noted, created pursuant to 06MXBQQ Section 721.21 (b)
a.If report indicates no maintenance problems, or when no significant work is
performed and no funds expended:
RETENTION: 6 months
b.If significant work is performed and funds are expended:
RETENTION: 6 years after vehicle no longer in use
7.\[911\]Public transportation safety plan files, covering plans submitted to New York
State Department of Transportation pursuant to Part 975, 06MXBQQ
a.Copy of plan, including all amendments:
RETENTION: PERMANENT
b.Background materials and supporting documentation:
RETENTION: 6 years
8.\[637\]Operational certification and review records relating to approval and inspection
by New York State Department of Transportation
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a.Operations review records:
RETENTION: PERMANENT
b.Certificate of inspection and approval to operate:
RETENTION: 6 years after invalid
c.Copies of operational records received from private transportation
companies serving local government under contract:
RETENTION: 0 after no longer needed
d.Data collected in preparation of annual fiscal and service data reports,
including statistical sampling records:
RETENTION: 6 years after submission of related report
9.\[912\]Special federal- or state-funded public transportation program records,
covering Special Transportation Services for the Transportation Disabled, special
mobility improvement projects related to transportation enhancements within the
Metropolitan Commuter Transportation District, and Rural Public Transportation
Assistance Program
a.Service plans (including all amendments), final or annual reports, results of
audits and reviews, and related policies and procedures, including eligibility
requirements and documentation of provider or services coordinator
selection:
RETENTION: PERMANENT
b.Background materials and supporting documentation:
RETENTION: 6 years
10.\[857\]Commuter traffic reduction program records, covering Employee Commute
Option (ECO), Transportation Demand Management (TDM), or similar program
records
a.Compliance plan (initial or consolidated), including but not limited to such
records as worksite profile, survey results, average passenger occupancy
(APO) calculations, forecasted participation, summary of trip reduction
strategies, list of worksites and implementation schedule, and also covering
revisions and updates, including records relating to agency review,
approval, disapproval and appeal (copies maintained by local government
acting as Local Administrative Agency):
RETENTION: 6 years after superseded or obsolete
NOTE: Appraise these records for archival value. These records may be
useful in providing information on relieving traffic congestion problems in
certain urban areas. Contact the State Archives for additional advice.
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b.Compliance plan (initial or consolidated), including but not limited to such
records as worksite profile, survey results, average passenger occupancy
(APO) calculations, forecasted participation, summary of trip reduction
strategies, list of worksites and implementation schedule, and also covering
revisions and updates (copy maintained by local government employer):
RETENTION: 3 years after superseded or obsolete
c.Bi-annual maintenance report (copy maintained by local government
employer or local government acting as Local Administrative Agency):
RETENTION: 6 years
d.Information on potential participants, including list of applicants and
individual employee surveys:
RETENTION: 3 years
11.\[913\]Special public transportation related studies, covering subjects such as
commuter parking, car pooling, bicycle paths, bicycle lanes, and bus route changes
a.Final reports, including all attachments:
RETENTION: PERMANENT
b.Background materials and supporting documentation:
RETENTION: 6 years after completion of report or date of most
recent entry in record
12.\[914\]Special bus trip records covering trips conducted outside normal public
transportation schedule, such as "curb-to-curb" handicapped vehicle use;
transportation provided by aging, youth, veterans' and other specialized services;
and trips to special events; and including applications for service, lists of attendees,
trip reports, and records of fees collected:
RETENTION: 6 years
13.\[915\]Predecessor public transportation company records, covering private bus
companies, trolley, horse-car railroad, or turnpike companies, held by successor
local government agency:
RETENTION: 0 after no longer needed
NOTE: Appraise these records for historical significance prior to disposition.
Some of these records will likely possess significant 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, and
may constitute some of very few existing records documenting these functions
before the 1970s. Contact the State Archives for additional advice.
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