Part 3: Library / Library System through Personnel / Civil Service

 

LIBRARY/LIBRARY SYSTEM

NOTE:  This section not only applies to school and BOCES libraries and school library systems, but also to the Chatham Public Library and Newburgh Free Library.  Pursuant to the Local Government Records Law these two libraries are not considered autonomous public school district libraries, but are in fact, in regards to records management, part of the school district which operates them.

1.[165] Incorporation, chartering and registration records:
RETENTION:        PERMANENT
*2.[158]

Accession records:
RETENTION:        1 year after accessioning procedure becomes obsolete

NOTE:  Some libraries accession manuscripts, rare books and special collections, but not their general library holdings.  In these cases, the accession records need to be retained only for the kinds of materials still accessioned.

*3.[166]

Informational copies of records prepared by and received from public library system, including but not limited to directories, minutes, budgets and reports:
RETENTION:        0 after superseded or obsolete

4.[159]

Borrowing or loaning records, including interlibrary loan:
RETENTION:        0 after no longer needed

5.[160] Catalog of holdings
 

a.       Manuscript or published catalog:
RETENTION:        PERMANENT

 

b.       Continuously updated catalog:
RETENTION:        0 after superseded or obsolete

6.[161]

Individual title purchase requisition which has been filled or found to be unfillable:
RETENTION:        1 year

*7.[162]

Records documenting selection of books and other library materials:
RETENTION:        0 after no longer needed

8.[163]

Library material censorship and complaint records, including evaluations by staff, patrons' complaints and record of final decision:
RETENTION:        6 years after last entry

NOTE:  Appraise these records for historical significance prior to disposition. Some library censorship records deal with serious constitutional issues and may have value for future research. 
*9.[164]

Patron's registration for use of rare, valuable or restricted non-circulating materials:
RETENTION:        6 years

 

MAGNET SCHOOLS

1.[336] Documentation of process used for application, selection and placement of students in magnet school program, including explanation and justification of acceptance criteria:
RETENTION:        PERMANENT
2.[337] Lists of students applying for placement and/or placed in magnet schools
 

a.       Annual list of students placed in magnet schools:
RETENTION:        20 years

 

b.       List of students who applied for and/or were denied placement:
RETENTION:        3 years

 

c.       Other lists of students, created for internal administrative purposes:
RETENTION:        0 after no longer needed

*3.[338] Individual student application for placement in magnet school
 

a.       When application is approved:
RETENTION:        6 years or student participation in program terminates, whichever is later

 

b.       When application is not approved or student does not enroll in program:
RETENTION:        3 years

4.[339] Application to New York State Education Department to operate magnet school(s), including district plan and related records
 

a.       Original application, including district plan for operating magnet school(s):
RETENTION:        PERMANENT

 

b.       Renewal application and all other related records:
RETENTION:        6 years

5.[340]

Records of magnet school program monitoring by New York State Education Department, including but not limited to monitoring report, response and records of any resulting action taken:
RETENTION:        6 years after date of most recent entry in record

MISCELLANEOUS

1.[170] Non-public school student text book loan records, including request for text books and record of loan and return:
RETENTION:        5 years
*2.[341]

Pre-K and/or "Head Start" records covering children enrolled in program operated by school district

NOTE:  Schools may prefer to maintain these records as part of a student cumulative education record file.  See item no. 275 in the Student Records section of this Schedule.

 

a.       Individual child's folder, including but not limited to application from parent/guardian, individual service plan, conference notes, year-end or other reports, health records, family profile and social information:
RETENTION:        0 after child attains age 21

 

b.       Applications from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program:
RETENTION:        3 years

 

c.       Annual or other master listing of students enrolled in program:
RETENTION:        20 years

3.[394]

Records of auxiliary organizations or activities, including but not limited to parent support organizations, such as PTA, employee unions, parent sponsored clubs, after‑school activities which are not officially sanctioned by the school, and other miscellaneous records in the custody or possession of the school district or BOCES:
RETENTION:        0 after no longer needed

NOTE:  Appraise these records for historical significance prior to disposition. Records which document the history of the community and its citizens may have continuing value for historical or other research and should be retained permanently.  Contact the State Archives for additional advice.

*4.[459]

Noise level monitoring records, including but not limited to summary records, showing long-term trends and developments and original entry and intermediary records, including charts, graphs and statistics:
RETENTION:        6 years

NOTE:  Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.  Local governments should consider permanent retention of summary records, showing long-term trends and developments, in cases where noise levels are a matter of public concern.  Contact the State Archives for additional advice in this area.

*5.[172] Minority- and women-owned business files, covering minority- and women-owned businesses doing business with or in the jurisdiction of a local government
 

a.       Summary record listing businesses, eligibility criteria and official government policy statement:
RETENTION:        PERMANENT

 

b.       Detailed application/questionnaire/response completed by business:
RETENTION:        5 years after date of most recent entry in record

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

 

c.       Directory of state-approved minority- and women-owned businesses, supplied by State Department of Economic Development:
RETENTION:        0 after superseded

 

d.       Other records, including job quotes, bid lists, referrals, credit and character references and affidavits, but not including summary record, detailed application/questionnaire/response, eligibility criteria and official government policy statement, and state-supplied directory of businesses:
RETENTION:        6 years after contract expiration

6.[173]

Record of gifts and bequests to a local government, including copy of will, copies of deeds, maps and surveys (if applicable) and records of establishment of and use of monies generated by trust fund or endowment

NOTE:  This does not apply to donations of monies, prizes and scholarships awarded students, which are covered by item no. 282 in the Student Records section, Miscellaneous subsection.  This does not apply to donations of real property, which are covered by item no. 238 in the Public Property and Equipment section.

 

a.       When trust fund or endowment is involved:
RETENTION:        PERMANENT

 

b.       For gift of work of art, historical or other artifact or historical manuscript:
RETENTION:        PERMANENT

 

c.       For gift or bequest not covered under parts "a" or "b," or by note above:
RETENTION:        6 years

7.[397]

Community service records, showing time worked and type of tasks performed by person sentenced by court to community service:
RETENTION:        6 years, or 3 years after individual attains age 18, whichever is longer

*8.[460]

Miscellaneous records, received by local government agency in the course of official business:
RETENTION:        0 after no longer needed

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

NOTE:  Upon the receipt of these non-public manuscript records by a local government agency in the course of official business, these records all become "local government records" subject to this Schedule.  Published materials received by a local government are not considered to be public records.

*9.[393] Photographs or other visual media records, created by a local government, which are not part of a record series listed elsewhere in this Schedule:
RETENTION:
        0 after no longer needed

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

*10.[461]

Lobbying activity records, including but not limited to registration records, individual reporter designation records, and periodic reports of lobbying activity filed with New York Temporary State Commission on Lobbying:
RETENTION:        3 years

*11.[462]

Residency determination records for student, other than information contained in cumulative education record file, and including hearing record
RETENTION:        1 year after date of final determination or 1 year after student no longer enrolled in district, whichever is longer

*12.[463]

Financial or political interest disclosure records, filed by vendor or contractor doing business with the local government:
RETENTION:        6 years

*13.[464] Annual financial disclosure statements, filed by local political party official or candidate for local elected office, pursuant to Section 812.1 (a), General Municipal Law:
RETENTION:
        7 years
*14.[465] Parolee and sex offender records, including lists of parolees or sex offenders living within a jurisdiction:
RETENTION:
        0 after superseded or obsolete
*15.[466] Non-public school discontinuance records, including but not limited to notification of transfer of discontinued non-public school student records to other school or agency, and non-public school student records transferred from discontinued non-public school to public school district:
RETENTION:        PERMANENT
*16.[467]

Copies of custody orders and other miscellaneous social services records relating to individual students, maintained by school districts and BOCES:
RETENTION:        0 after student attains age 18

*17.[468] Youth court case files, documenting the operation of youth courts, including but not limited to records of cases heard by the courts; forms signed by defendants, their guardians, and youth court staff; records concerning completion of sentence requirements, such as community service; and case notes of contacts made in reference to a defendant's case:
RETENTION:
        6 years after case closed or 3 years after individual attains age 18, whichever is longer
*18.[469]

Appeal or petition to the Commissioner of Education, filed pursuant to Section 310, Education Law, along with related records, when not related to a specific series of records listed on this Schedule:
RETENTION:
        3 years after resolution of appeal or petition

NOTE:  Appeals or petitions relating to specific series of records listed on this Schedule should be retained as part of or as long as that respective series.

*19.[470] Child day care program records
  a.       Participant records, including applications to attend day care program; children's immunization and health records, including parent's consents for emergency medical treatment; and related records:
RETENTION:
        3 years after child attains age 18
  b.       Program records not covered by other items on this Schedule, including those required to be maintained by 18 NYCRR Sections 414.15, 418-1.15 and 418-2.15, including program registration records; video surveillance tapes; daily attendance records; staff health statements; Statewide Central Register clearance forms and related records; documentation of facility compliance with Uniform Fire Prevention and Building Code and other state requirements; description of program activities; and related records:
RETENTION:        6 years or 6 years after superseded or obsolete, whichever is longer
 

c.       Applications from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program:
RETENTION:        3 years

*20.[471] Family literacy program records
 

a.       Family folder, including but not limited to application from parent/guardian, testing records, service plan, records of home visits, conference notes, year-end progress or other reports, health records, family profile and social information:
RETENTION:        0 after youngest child attains age 21

 

b.       Applications (including related testing records) from parent/guardian for enrollment of child in program, where child is not accepted or is not enrolled in program:
RETENTION:        3 years

 

c.       Annual or other master listing of students and families enrolled in program:
RETENTION:        20 years

 

d.       Performance indicators used to monitor, evaluate and improve program:
RETENTION:        6 years after superseded or obsolete

MUSEUM

*1.[472] Exhibit file documenting planning, construction, and use of exhibit, including but not limited to installation photographs and slides, sketches, worksheets, publicity, brochures, exhibit catalogs, inventory lists, loan agreements and visitor surveys
  a.       Brochures, exhibit catalogs, installation photographs and slides, and inventory lists:
RETENTION:        PERMANENT
 

b.       All other records:
RETENTION:        6 years after exhibit closed

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

*2.[473] Collections records documenting acquisition, accession, deaccession, loan, conservation, and use of materials, including but not limited to accession register, loan agreement, inventory of collection and conservation treatment record
  a.       Routine records, including but not limited to notes and internal memoranda:
RETENTION:        1 year
  b.       All other collections records:
RETENTION:        PERMANENT

NURSING EDUCATION

*1.[175] Program operation authorization records, including but not limited to application, inspection reports, authorization, and registration:
RETENTION:        PERMANENT
2.[176]

Program catalog, including but not limited to course of instruction, course content, and rules and regulations:
RETENTION:        PERMANENT

*3.[178]

State Education Department licensing examination eligible list:
RETENTION:        3 years after the end of the school year

     

PERSONNEL/CIVIL SERVICE

PERSONNEL

*1.[199] Personnel records of local government employees (includes volunteers and interns)
 

a.       Master summary record from personnel case file, including but not limited to personal information, dates of employment, job titles, and civil service status:
RETENTION:        PERMANENT

 

b.       Personnel case file materials, except summary information record, and including but not limited to application for employment, resume, report of personnel change, evaluation, certification, civil service examination results, notice of resignation or termination, and correspondence:
RETENTION:        6 years after termination of employment

NOTE:  Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period.  Other copies of these reports are maintained by other offices and are covered by item no. 223, below.

NOTE:  Employers may wish to retain records for lengthier periods (i.e., the duration of preferred eligible lists) when employees are placed on preferred eligible lists at the time of termination.  These lists have a duration of seven years under Sections 2510 and 3013 of Education Law.  For New York City, preferred eligible lists are established under Section 2588 of Education Law without specified durations.

 

c.       Personnel-related records of reports of allegations of child abuse against school employees and volunteers in an "educational setting" (as defined in Section 1125, Education Law), for those reports which do not result in criminal convictions:
RETENTION:
        5 years after the date of the report, or after such earlier time as may be determined by the school or district

NOTE:  Personnel-related records which do result in criminal convictions are covered by part "b".  For related records of child abuse and maltreatment, see item no. 140 in the School Safety section.

 

d. Earnings (in-service) credit records, covering teachers, teacher assistants and other personnel:
RETENTION:        75 years after date of birth of employee, 55 years after earliest document in file if date of birth is not known, or 6 years after termination of employment, whichever is later
2.[200]

Investigative records and disciplinary proceedings, including but not limited to statement of charge, transcript of hearing, notice of decision, letter of termination or resignation, letter of reinstatement, record of appeal procedure, and correspondence:
RETENTION:        3 years after final decision rendered

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

NOTE:  Affirmative action and related complaints may be covered by item no. 206c, below.

*3.[201]

Employee's time records covering leave, absences, hours worked and scheduling, and including but not limited to employee's time cards or sheets, request for change of work schedule, vacation schedule, report of absence and request for leave without pay:
RETENTION:        6 years

NOTE:  Local governments may wish to retain these records longer, perhaps up to 6 years after employee termination, if they are used for that extended period to document time accumulation or usage, disciplinary actions, or for workers' compensation claim purposes.  Local governments should note, however, that other records might serve the same purposes, including item no. 199 from the Personnel/Civil Service section, item nos. 179a, 179b and 189 from the Fiscal section, Payroll subsection, and item no. 151 from the Insurance section.

*4.[202]

Annual or other financial disclosure statements, filed by local government employees or officials, pursuant to Section 812.1 (a), General Municipal Law, or local law:
RETENTION:        7 years

*5.[203]

Employee training history records documenting employee continuing education, training and development, including employee identification, training received, dates of training, and related records: 
RETENTION:        6 years after termination of employment, but no less than 7 years for records documenting professional development programs completed by employees in positions requiring teaching certification

NOTE:  Additional records providing detailed information on training history can be destroyed when no longer needed, provided that summary records are retained for the indicated retention period.  For retention requirements for specific types of employee training history, see the following items: for public safety training, see item no. 149 in the Instruction section; for commercial pesticide applicator training, see item no. 357 in the Public Property and Equipment section; for emergency medical training, see item no. 35 in the School Safety section; for school bus driver training, see item no. 303 in the Transportation section.  Records of earnings (in-service) credits are covered by item no. 199, above.

*6.[204]

Administrative organization chart and related records showing administrative and supervisory organization:
RETENTION:        0 after superseded or obsolete

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

*7.[205]

Identification card records, when card is issued to local public employee:
RETENTION:        6 months after becoming invalid

*8.[206] Equal employment opportunity report and related records
 

a.       Annual, long-term or special (narrative or statistical) reports, goals and achievements:
RETENTION:        PERMANENT

 

b.       Periodic reports, statistics and other records used in compiling annual, long-term or special (narrative or statistical) reports, goals and achievements:
RETENTION:        1 year

 

c.       Affirmative action and related complaint investigation records:
RETENTION:        3 years after date of final determination

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

*9.[207] Health and life insurance records
 

a.       For employee with or without dependent survivor:
RETENTION:        3 years after termination of employee's or dependent survivor's coverage, whichever is later

 

b.       Claim for benefits (copy, where original is submitted directly by employee):
RETENTION:        1 year

 

c.       Health and life insurance coverage reports:
RETENTION:        6 years

 

d.       Declination statement filed by employee:
RETENTION:        6 years after separation from service

10.[208] Unemployment insurance records
 

a.       Claim filed by employee, when claim is approved:
RETENTION:        6 years after final payment

 

b.       Claim filed by employee, when claim is disqualified:
RETENTION:        3 years after filing

 

c.       Claim payment reports:
RETENTION:        6 years

11.[209] Labor-management meeting records, including minutes of meeting, agenda, reports, and correspondence
 

a.       Minutes and reports:
RETENTION:        PERMANENT

 

b.       Meeting agenda, correspondence, and other records:
RETENTION:        6 years

12.[210] Public employee contract negotiations records, including but not limited to proposals, summary of proceedings, copies of salary schedules and contracts, P.E.R.B. fact-finding report, and correspondence
 

a.       All documentation in record, except routine correspondence, routine memoranda and drafts:
RETENTION:        PERMANENT

 

b.       Routine correspondence, routine memoranda and drafts:
RETENTION:        1 year

*13.[211] Job action records documenting strikes, work stoppages, informational picketing and other job actions conducted by local government employees, including but not limited to correspondence and memoranda, press clippings, copies of notices of violation, detailed and summary records of employees' participation, and penalties levied upon participants
 

a.       All documentation in record, except detailed listings of all employees present at various events and other records lacking substantive informational value:
RETENTION:        PERMANENT

 

b.       Detailed listings of all employees present at various events, and other records lacking substantive informational value:
RETENTION:        6 years

*14.[212]

Public employee grievance records, including but not limited to grievance, investigative records, hearing proceedings, decision rendered by employer, employee appeal, records of arbitration procedure, final decision, and correspondence:
RETENTION:        3 years after grievance is resolved

*15.[213]

On-site safety inspection records, including individual inspections and summary of findings:
RETENTION:        3 years after last entry

*16.[214]

Toxic substance exposure records

 

a.       Records of exposure or possible exposure of an employee to a toxic substance or other harmful physical agent, including background data to environmental monitoring or measuring, biological monitoring records which are designated as exposure records, material safety data sheets or chemical inventory records indicating use and identity of a toxic substance or harmful physical agent, and related records:
RETENTION:        30 years

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

 

b.       Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substances:
RETENTION:        40 years after superseded or obsolete

 

c.       Material safety data sheet or fact sheet, providing detailed information on specific toxic or other substance at workplace, when not used for parts "a" or "b," above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace or for substances not defined in 29CFR 1910, Subpart Z as being toxic:
RETENTION:        3 years after substance no longer present at workplace

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

 

d.       Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employees:
RETENTION:        3 years after separation from service of all employees involved

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

NOTE:  For training history records of individual employees in handling toxic substances, see item no. 203, above.

 

e.       Policy statements and procedures issued by local government relative to dealing with toxic substances:
RETENTION:        PERMANENT

17.[215]

Personal surety bond or undertaking of public official:
RETENTION:        20 years after coverage expires

18.[216]

Listing or roster of local government officials or employees, including names, addresses, titles and other pertinent information:
RETENTION:        PERMANENT

19.[217]

Oath of office or record of official signature of public employee

 

a.       Official copy:
RETENTION:        PERMANENT

 

b.       Oath of any election official:
RETENTION:        1 year after election

*20.[218] Substitute teacher registry records, including records of centralized substitute teacher registries
 

a.       Registration application and qualification and availability records:
RETENTION:        6 years after individual's registration is discontinued

 

b.       Work assignment record:
RETENTION:        55 years

21.[219] Subversive activity report submitted to Commissioner of Education, along with employee statements and related records
 

a.       Summary report submitted to Commissioner of Education:
RETENTION:        PERMANENT

 

 b.       Records relating to person charged with subversive activity, or membership in a subversive organization, including hearing records and record of final disposition of case:
RETENTION:        PERMANENT

 

c.       Declarations by persons claiming no involvement in subversive activities or membership in subversive organizations:
RETENTION:        3 years

*22.[220]

Log and summary of occupational injuries and illnesses, created pursuant to 12NYCRR, 801.7 and 29CFR, 1904.6:
RETENTION:        5 years

NOTE:  If these records are intended to also satisfy the legal requirements of Section 110, Workers' Compensation Law, and no separate records covered by item no. 474, below, are created, then these records must be retained for 18 years after date of injury or illness.

*23.[474]

Employee injury record, covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law:
RETENTION:        18 years after date of injury or illness

*24.[221]

Employee medical records

NOTE:  This item does not include health insurance records, which are covered by item no. 207, above, or toxic substance exposure records, which are covered by item no. 214, above.

 

a.       First aid records of one-time treatment and subsequent observation of minor illnesses and injuries, as defined in 29CFR 1910.1020 (d-1) (i-B), if made on-site by a non-physician and maintained separately from the employee medical records:
RETENTION:        3 years after completion of treatment and subsequent observation

 

b.       Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked one year or longer:
RETENTION:        30 years after termination of employment

 

c.       Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29CFR 1910.1020 (d-1) (i-C):
RETENTION:        3 years after termination of employment

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

*25.[169]

Notification of vacancy in office, or filling of vacant position:
RETENTION:        0 after position filled or abolished

26.[345] Drivers' license review records for local government officials, employees or volunteers
 

a.       When no action is taken as result of review:
RETENTION:        0 after no longer needed

 

b.       When action is taken as result of review:
RETENTION:        3 years

27.[344]

Employee attestation of knowledge of code of ethics, staff policy manual or other official policies or procedures:
RETENTION:        3 years after superseded or upon termination of employment

28.[346] Records documenting the specimen collection and testing process, for commercial motor vehicle driver alcohol and drug testing
 

a.       Official copy of all policies and procedures, including documentation of the random selection process:
RETENTION:        PERMANENT

 

b.       Quality control records, including calibration records for testing equipment, assuring that testing equipment is operating correctly:
RETENTION:        5 years

 

c.       Annual statistical and other reports:
RETENTION:        6 years

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

 

d.       Other records, including periodic reports and statistics and collection logbooks:
RETENTION:        2 years

*29.[347] Drivers' test results and related records
 

a.       Verified positive controlled substance test results or alcohol test results indicating a breath or blood alcohol concentration equal to or greater than 0.02, documentation that individual employee's test was conducted and specimen handled properly, records of dispute of test results by driver, justification for conducting other than random test, records of compliance with Substance Abuse Professional's (SAP's) recommendations, correspondence and related records:
RETENTION:        6 years after termination of employment

 

b.       Verified positive controlled substance test results or alcohol test results indicating a breath or blood alcohol concentration equal to or greater than 0.02, documentation that individual job applicant's test was conducted and specimen handled properly, records of dispute of test results by individual, justification for conducting other than random test, records of compliance with Substance Abuse Professional's (SAP's) recommendations, correspondence and related records:
RETENTION:        3 years

 

c.       Negative or canceled control substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02:
RETENTION:        1 year

 

d.       Records relating to a driver's refusal to take alcohol or substance abuse test:
RETENTION:        6 years after termination of employment

 

e.       Records relating to a job applicant's refusal to take alcohol or substance abuse test:
RETENTION:        3 years

30.[348]

Documentation of other violations of alcohol or substance abuse rules, including results of alcohol or substance abuse tests administered by law enforcement personnel, copies of police reports and medical records:
RETENTION:        6 years after termination of employment

*31.[349] Staff training and evaluation records for commercial motor vehicle driver alcohol and drug testing
 

a.       Official copy of course syllabus or any local government produced training or advisory publication or videotape:
RETENTION:        6 years after superseded

 

b.       Other training records including lists of attendees, copies of instructors' course or class notes, documentation of instructors' training and proof that employees have received required reading materials:
RETENTION:        6 years

NOTE:  For training history records of individual employees, see item no. 203, above.

*32.[174]

Teacher certification records, including copies of applications, transcripts and other records submitted to New York State Education Department:
RETENTION:        5 years

NOTE:  This item covers copies of teacher certification records maintained separate from individual teachers' personnel files.  Certification records for individual teachers should be retained based on item no. 199b, above.

33.[350]

List of teachers whose teaching certificates have been revoked:
RETENTION:        1 year

*34.[475]

Employment Eligibility Verification Form I-9, completed by employee and employer for all employees hired after November 6, 1986 verifying that the individual is eligible to work in the United States, including verification documents attached to the form:
RETENTION:        3 years from date of hire or 1 year after employment is terminated, whichever is later

*35.[476] Employee assistance program records
  a.       Reports and statistical compilations:
RETENTION:        6 years after date of most recent entry
  b.       Program (including course and seminar) and literature files:
RETENTION:
        1 year after program no longer offered or literature superseded or otherwise obsolete
  c.       Employee consultation records:
RETENTION:
        3 years after date of most recent entry in record
*36.[477]

Professional development plan records, describing how teachers will be provided with substantial professional development opportunities

NOTE:  If the professional development plan is part of the comprehensive district education (or equivalent) plan, it is covered by item no. 402a in the Administration section.

 

a.       Professional development plan, including all amendments and updates:
RETENTION:        PERMANENT

 

b.       Plan development and adoption records, including records of plan development team, and related records:
RETENTION:        6 years

*37.[478] Professional performance review plan records
 

a.       Professional performance review plan, including all amendments and updates:
RETENTION:        PERMANENT

 

b.       Plan development, adoption, variance and related records:
RETENTION:        6 years

*38.[479] Mentor teacher internship plan records
 

a.       District internship or equivalent plan, including all amendments and updates:
RETENTION:        PERMANENT

 

b.       Plan development, adoption, variance and related records, including records of plan submission to and approval by the State Education Department:
RETENTION:        6 years

 

CIVIL SERVICE

1.[222] Established position record showing a history of each position and names and other pertinent information about persons who occupied it

NOTE:  The official listing or roster of all local government officials or employees, covered by item no. 216, must be retained permanently.
 

a.       If record contains detailed information about the position and persons who occupied it:
RETENTION:        PERMANENT

 

b.       If record only provides lists of names of employees:
RETENTION:        1 year after final entry in record

*2.[223]

Report of personnel change, (including employee transfer record), except copy retained in employee's personnel records

NOTE:  Reports of personnel changes may also be found in employee personnel records.  When filed in an employee personnel record, such copies are subject to lengthier retention requirements.  See item no. 199, above.

  a.       Copy retained by school or district:
RETENTION:        6 years
  b. Employee transfer record:
RETENTION:        0 after termination of employment, but not less than 6 years
3.[224]

Job classification records, including job classification questionnaire, analysis of job duties and request for reclassification:
RETENTION:        1 year after subsequent classification action completed, but not less than 10 years

*4.[225] Official copy of job posting and position duties statement
 

a.       When duties of position are described in detail:
RETENTION:        PERMANENT

 

b.       When duties of position are not described in detail:
RETENTION:        6 years

*5.[226]

Personnel requisition made to civil service or personnel office, requesting that vacancy be filled:
RETENTION:        0 after obsolete

*6.[227] Civil service eligible list records
 

a.       Certification of eligible list sent to and retained by appointing authority:
RETENTION:        3 years after expiration of eligible list

 

b.       Request for certification of eligible list:
RETENTION:        1 year after expiration of eligible list, but not less than 3 years

 

c.       Eligible list canvass records, including but not limited to precanvass questionnaire and letter of canvass and reply:
RETENTION:        6 months after expiration of eligible list, but not less than 3 years

7.[228]

Application for employment, including resume, when applicant not hired:
RETENTION:        3 years

NOTE:  When the applicant is hired, the application is retained in or as long as the personnel file.  See item no. 199 in the Personnel subsection, above.

*8.[480]

Recruitment, hiring, interview and selection records, including but not limited to correspondence, reports, selection criteria, interview notes, background check records, fingerprint check records including consent forms and clearance checks, rating and ranking forms, evaluations and other records pertaining to the hiring, promotion, demotion, transfer, layoff and termination of employees:
RETENTION:        3 years after completion of personnel action

NOTE:  This item does not cover personnel records of individual employees.  See item no. 199 in the Personnel subsection, above.  Local governments may wish to include fingerprint check records and other materials concerning job applicants who are hired in those individuals' personnel records.

*9.[229] Civil service examination records
 

a.       Civil service examination and announcement (other than official copy held by office with official civil service function):
RETENTION:        0 after no longer needed

 

b.       Summary listing of examination results:
RETENTION:        1 year after date of examination

10.[230]

Seniority list ranking employees by length of service:
RETENTION:        3 years after superseded or obsolete

*11.[351]

Copy of payroll, or payroll report, submitted to civil service office for certification or approval:
RETENTION:        0 after superseded

NOTE:  Official copy of payroll must be retained for 55 years.  See item no. 179 in the Fiscal section.