Managing Records: General Retention and Disposition Schedule

General Schedule: Part 4

New and revised items are indicated by an asterisk (*) preceding the item number

Internal Controls

Library Operations

Mail and Messenger Services

Minority and Women-Owned Business Development

Payroll

Personnel

 

INTERNAL CONTROLS

The Governmental Accountability, Audit and Internal Control Act (Chapter 814, Laws of 1987) directs state agencies to develop internal control programs.  Internal controls are defined as "the plan of organization and all of the coordinate methods and measures adopted within an organization to safeguard its assets, check the accuracy and reliability of its accounting data, promote operational efficiency and encourage adherence to prescribed managerial policies."  Through this function, agencies periodically audit their programs and operations to ensure that appropriate internal control measures are in place and to promote sound management.  The overall objective of agency internal control audits is to identify areas of agency operations susceptible to abuse or misuse and to focus resources on control of the most vulnerable and important aspects of operations.

Records Not Covered:  Records created and maintained by the Office of the State Comptroller or Division of the Budget documenting oversight of agency internal control programs.

*90308  Internal Control Policies and Directives
Final versions of agency policies and directives governing internal control requirements and procedures for agency program units and staff.  These records may also include associated memoranda, bulletins, and manuals which explain agency internal control policies.

Minimum Retention and Disposition:  Destroy 3 years after the policy or directive is withdrawn, revised, or superseded.

Justification:  The issuing office should retain policies for a minimum of 3 years after they are withdrawn, revised, or superseded for use in development of subsequent policies and procedures.  Copies of obsolete policies and procedures have no value to other offices.

90309  Vulnerability Assessment Files
Correspondence, memoranda, survey forms, risk assessments, and reports created and collected during the course of surveys and studies which identify areas of agency operations susceptible to abuse or misuse.

Minimum Retention and Disposition:  Destroy 3 years after completion of assessment.

Justification:  Background materials are used for reference and to plan for subsequent internal control audits.

90310  Internal Control Audit Work Papers
Plans, analyses, research materials, draft reports, background materials and related records used to plan and prepare internal control audit reports.

Minimum Retention and Disposition:  Destroy 1 year after completion of an audit report.

Justification:  These records are used for reference for 1 year following the release of an audit report.

*90311 Internal Control Audit Reports
Reports documenting the findings of internal control audits of agency program areas and recommendations for improvements.

Minimum Retention and Disposition:  Destroy 3 years after completion of the next internal control audit report for the concerned program area.

Justification:  Internal control audit reports may be used during the next audit cycle to monitor compliance with internal control program recommendations.

90312  Corrective Action Files
Reports, memoranda, and other records documenting responses by program units to vulnerability assessment reports and to internal audit reports.

Minimum Retention and Disposition:  Destroy 3 years after issue has been settled.

Justification:  Records may be useful in program audits by Office of the State Comptroller and other control agencies.

90313  Internal Control Program Subject Files
Reference files used to support the development and administration of agency internal control programs, including reports, plans, articles, policies and procedures, and related material, arranged by subject on topics such as risk management, risk assessment, management practices, operational efficiency, and audit methods.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

JustificationThese records have no legal or fiscal value.

 

LIBRARY OPERATIONS

Many agencies operate libraries that provide information, research materials, and services to agency staff.  Agency libraries maintain collections, perform research, loan materials, borrow materials through interlibrary loan, and conduct database searches.  Some agency libraries provide library materials and services to clients, researchers, and patrons from the general public. 

Records Not Covered:  Records maintained by the State Library that document library operations or in connection with its missions of services to the public and of centralized support for agency library programs.

*90314  Interlibrary Loan Files
Requests from patrons and requests from an agency library to borrow or photocopy materials from other libraries, receipts for materials, photocopy logs, accounting records, and circulation records.

Minimum Retention and Disposition:  Destroy 3 years after completion of transaction (i.e., receipt or issuance of photocopies or return of borrowed materials), except destroy records concerning duplication of materials protected under U. S. Copyright Law 5 years after order is completed.

Justification:  This retention period ensures that records of transactions will be available for reference, analysis, and planning.  This period will also meet any legal need to demonstrate compliance with U. S. Copyright Law (17 USC 507) which establishes a 5-year limitation on criminal actions for copyright violations.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

90315  Catalogs of Holdings
Manual and automated catalogs and lists of books, journals, reports, serials, and other published materials held in an agency library.

Minimum Retention and Disposition:  Destroy catalog record when associated material is permanently removed from the collection or after record is revised or superseded.

Justification:  Catalog records for specific items are not needed after the items have been removed from the library collection or after the record has been superseded.

*90316  Circulation and Use Records
Logs, charge-out cards, and related records documenting the loan of library materials to patrons or use of materials by patrons in the library.

Minimum Retention and Disposition:  Destroy after patron completes use or returns borrowed item or after efforts to retrieve are abandoned.

Justification:  Circulation and use records have no legal or fiscal value after patrons complete use or return materials or agency abandons retrieval efforts. 

Note:  Agencies may wish to retain certain records, especially those showing loan or use of rare, valuable or restricted materials, for additional periods in the event of loss or damage to those materials which may not be detected until a later time.

90317  Reference Requests Records
Call slips, requests for database searches, requests for research services, and related records created by patrons to request services such as database searches or retrieval of material from library stacks.

Minimum Retention and Disposition:  Destroy after completion of request.

Justification:  Reference request records are not needed after requests have been filled.

90318  Collection Acquisition Records
Copies of purchase requests, orders, vouchers, receipts, invoices, and related correspondence documenting the acquisition of books, serials, database services, brochures, and other publications for a library collection.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value because record copies of purchase records are retained by fiscal offices of agencies. 

90319  Serials Subscription Records
Logs, card files, databases, and other records used by agency libraries to check in serials and to prompt or plan subscription renewals.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value.

*90320  Library Subject and Correspondence Files
Correspondence, reports, studies, surveys, copies of internal policies and procedures, articles, vendor materials, and related materials used to support library operations, arranged by subject, covering such topics as library methods, information services, library automation, relations with the New York State Library and other agency libraries, the American Library Association, and similar subjects.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

JustificationThese records have no legal or fiscal value.

 

MAIL AND MESSENGER SERVICES

Mail and messenger services include use of interagency mail, private vendors, or the U. S. Postal Service for mail, message, and parcel pickup and delivery.  Most agencies operate central mail and messenger services.

Records Not Covered:  Records of the Office of General Services, mail, interagency messenger and courier services are not covered by this general schedule.

*90321  Mail Pickup and Delivery Records
Mail logs, copies of certified or registered mail receipt forms, signed pickup and delivery receipts, delivery and pickup route logs and related records that document that mail and messages were picked up and delivered.

Minimum Retention and Disposition:  Destroy 1 year after creation.

Justification:  These records may be required as evidence in case of Article 78, Civil Practice Law and Rules suits alleging that an agency did not respond in a timely manner to inquiries or requests for service by the public.

Records Not Covered:  Any record specifically required as evidence of the execution of a contract or compliance with statute or regulation should be scheduled as part of the applicable record series.

90322  Mail and Messenger Service Distribution and Routing Plans, Schedules, and Lists
Service delivery and pickup routes, schedules, and distribution lists used to administer agency mail and messenger services, including route diagrams, mail and messenger service staff assignments, route schedules, and copies of distribution lists.

Minimum Retention and Disposition:  Destroy when routes, assignments or services are modified or discontinued.

Justification:  Records have no value once they are superseded.

90323  Mailing Address Lists
Printed and automated mailing lists used to send bulk mailings or to mail materials to subscribers or regular recipients.

Minimum Retention and Disposition:  Destroy after lists are updated or withdrawn.

Justification:  Mailing lists have no value after they are updated.

90324  Mail Services Subject Files
Records used to support administration of agency mail and messenger services, arranged by subject, including correspondence, memoranda, reports, vendor materials, rate schedules, and copies of policies and procedures pertaining to mail and messenger services.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value.

 

MINORITY AND WOMEN-OWNED BUSINESS DEVELOPMENT

Minority and women's business development activities, defined by Article 15-A of Executive Law, Article 4-A of the Economic Development Law and various regulations, especially 5 NYCRR 140-144, assist minorities and women to enter and remain in the mainstream of economic activities.  Agencies are required to promote involvement of minority and women-owned businesses in state-funded and state-supported economic activities, especially procurement.

Control and Service Agency:  The Division of Minority and Women’s Business Development, Department of Economic Development provides centralized support and oversight for this program.

Records Not Covered:  All records of the Division of Minority and Women’s Business Development.  Records of federally funded projects where retention requirements exceed the retention periods in this schedule.

90325  Minority and Women-Owned Business Development Annual Agency Goal Plans
Agency copies of yearly plans filed with the Division of Minority and Women’s Business Development indicating agency goals to promote business opportunities for minority and women-owned businesses.

Minimum Retention and Disposition:  Destroy 1 year after submission of plan or when superseded by a new plan, whichever occurs later.

Justification:  Record copies of these records are filed with the Department of Economic Development, Division of Minority and Women’s Business Development.

*90326  Minority and Women-Owned Business Development Quarterly Compliance and Utilization Reports
Agency copies of quarterly reports filed with the Division of Minority and Women’s Business Development reporting utilization of minority and women's businesses in procurement and work force information as provided in work force employment utilization reports submitted to agencies by contractors.

Minimum Retention and Disposition:  Destroy 1 year after submission of report.

Justification:  Record copies of these records are filed with the Department of Economic Development’s Division of Minority and Women’s Business Development pursuant to 5 NYCRR 141.4 and 142.4.

90327  Contractor Compliance Monitoring Files
Reports submitted by contractors and used by agencies to monitor contractor implementation of affirmative action and equal employment opportunity programs for minority group members and women and utilization of minority and women-owned businesses for subcontracts and for the purchase of goods and services.

Minimum Retention and Disposition:  Destroy 6 years after contract expiration.

Justification:  These records may provide evidence in litigation related to compliance with minority and women-owned business development requirements in the award and administration of contracts (Section 213 of the Civil Practice Law and Rules).

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

90328  Minority and Women-Owned Business Development Subject Files
Records used to support the administration of an agency's minority and women-owned business development program, arranged by subject, including correspondence, memoranda, internal policies and procedures, contractor complaints and resolutions, statistical reports, vendor materials, bidder information, articles and related records on business development, entrepreneurship, technical assistance and related topics.

Minimum Retention and Disposition:  Destroy 3 years after creation or when superseded, whichever occurs first.

JustificationSome records in minority and women-owned business development subject files may be needed to document compliance with state contracting requirements.

 

PAYROLL

Payroll includes all activities associated with preparation, issuance, and accounting for state employee compensation.

Control Agency:  The Office of the State Comptroller (OSC) oversees the payroll system and is responsible for production of state employee payroll checks.

Records Not Covered:  Records created and retained by OSC in its capacity as a control agency for state employees.

*90016  Employee's Withholding Allowance Certificates
Federal W-4 and New York State IT-2104 forms completed by employee and filed with employing agency indicating the employee's authorized deductions for federal and state tax.  These forms are used to generate Forms AC 230 and AC 1040 which are sent to OSC and used to determine the amount of taxes withheld from wages. 

Minimum Retention and Disposition:  Destroy 4 years after due date of last tax return to which the certificate applied.

Justification:  Outdated W-4 or IT-2104 forms may be needed in cases where tax returns are audited.  IRS Publication 583 and Publication 15 Circular E include W-4 forms in the list of records which must be retained 4 years after the due date of the return or after the taxes are paid.  Department of Taxation and Finance Publication NYS-50 indicates a similar retention period for IT-2104 forms.

90017  Payroll Preprocessing Reports
Reports generated by payroll office to ascertain accuracy of payroll information before the payroll is sent to OSC and Department of Civil Service (DCS), such as listings of incomplete or inaccurate Payroll and Personnel Transaction Forms (PR75s).

Minimum Retention and Disposition:  Destroy after biweekly payroll is generated.

Justification:  These records have no administrative value after payroll transaction is completed.

*90018  Biweekly Payroll Processing Records
Agency copies of Payroll and Personnel Transaction Form (PR75), Payroll Deduction Form and Transmittal Certification Form (PR76), and other records sent to OSC/DCS to update the biweekly payroll.  These are the key documents for payroll processing for the state.

Minimum Retention and Disposition:  Destroy 3 fiscal years after accurate payroll update.

Justification:  Records have limited administrative value after 3 fiscal years.  OSC is the office of record for payroll records and retains information on payroll transactions for at least 6 years.

Records Not Covered:  Payroll/personnel records maintained by OSC and DCS in performing their control functions.

90019  Biweekly Payroll Listings (Salary Registers)
OSC salary registers sent to the agency, listing the biweekly payroll.

Minimum Retention and Disposition:  Destroy 1 fiscal year after end of payroll period.

Justification:  Administrative use of these records ceases 1 year following accurate payroll update.  OSC maintains the official payroll records on microfiche for an extended period of time.

Records Not Covered:  Payroll records maintained by OSC in performing its control function.

90027  Paycheck Log
Record of paycheck distribution which may include employee's name, line number, and indication that employee received a paycheck.

Minimum Retention and Disposition:  Destroy 6 months following last entry date.

Justification:  OSC maintains the official check register.

Records Not Covered:  Check disbursement records for the state payroll maintained by the Office of the State Comptroller.

*90032  Payroll Deduction and Direct Deposit Records
Forms and related records authorizing deductions for credit unions, savings bonds, union dues, insurance, individual retirement accounts, deferred compensation, parking, charitable contributions and other purposes, along with records authorizing the direct deposit of paychecks at designated banks or other financial institutions.

Minimum Retention and Disposition:  Destroy 3 years after deduction is no longer in effect or last deposit is made under the authorization.

Justification:  Retention period ensures availability of authorizing forms to respond to inquiries concerning their validity.

 

PERSONNEL

Personnel encompasses recruitment and appointment of agency staff, monitoring and development of the agency work force, development and implementation of agency personnel policies and procedures, and administration of employee benefits programs.  Records Disposition Authorizations (RDAs) for this section are subdivided into three functional areas as follows:

  • Personnel Administration
  • Civil Service Administration
  • Benefits and Health Insurance Administration.

Records for payroll, training, affirmative action, and employee relations are covered in separate sections of the schedule.

Control Agency:  The Department of Civil Service is the primary control agency for     personnel functions in New York State government.

Records Not Covered:  Records created and retained by the Department of Civil Service in its capacity as a control agency for state government personnel matters.

PERSONNEL ADMINISTRATION

*90001  Personal History Files
Records related to an individual's employment history with an agency.  Personal history files generally include applications, résumés, appointment letters, probation reports, performance program evaluations, disciplinary actions, veterans status certifications, employee information forms, memoranda and correspondence related to employee, health insurance enrollment and declination records, retirement system declination forms, and survivors benefit information.  Item can also be used for personal history files of volunteers and interns.

Minimum Retention and Disposition:  Destroy 6 years after employee separation from agency, unless earlier disposition is permitted under terms of a labor-management contractual agreement.

Justification: Inactive records in this series are often used to answer inquiries by former employees, their prospective employers, and others.  Information in the series would not necessarily be representative of the current attributes of a former employee after a 6-year period.  The Department of Civil Service maintains master summary employee history records on all state employees.

Records Not Covered:  Personal History Files of employees who left state service prior to 1945.  Please contact the State Archives regarding these records.  Also does not cover employment history records on the state work force maintained by the Department of Civil Service.

Note: Agencies which maintain as part of their Personal History Files records of workers’ compensation claims, employee hazardous substance exposure or other records covered by separate items in this schedule or by agency-specific authorizations should retain those records for the retention periods indicated by those items or authorizations.  In some cases, this may require retention of those records for longer periods than indicated for Personal History Files.

90002  Employee Summary Service Records
Summary record of employee's service in an agency, including demographic information, positions held, and grade levels. 

Minimum Retention and Disposition:  Destroy 10 years after separation from agency service.

Justification:  Agencies use this series to provide summary information to former employees.  After retention period expires such information is available from Department of Civil Service summary records.

Records Not Covered:  Employment history records on the state work force maintained by the Department of Civil Service.

*90003  Employee Attendance and Leave Records
Time and attendance cards/sheets, overtime certification sheets, vacation exchange information, leave records, Family and Medical Leave Act leave requests, requests for military leave, and other records used to account for time, attendance, time accruals and leave.

Minimum Retention and Disposition:  Destroy after 3 fiscal years.

Justification:  Records are needed for 3 years to meet OSC auditing requirements and for agency reference.  Retention period also meets 3-year records retention requirement for the federal Family and Medical Leave Act of 1993 (29 CFR 825.500).

Note:  Agencies may need to retain certain time records for added periods to meet current requirements of the Department of Civil Service, Governor’s Office of Employee Relations or other agencies regarding overtime eligibility issues.  Consult with those agencies to determine current requirements.  In some agencies the last time card or timesheet that an employee submits at separation is the only record of final time accruals.  Employees may need this information to claim unused leave credits if they re-enter state service, which potentially can occur many years later.  Agencies should retain a summary record of final accruals or the last time card/sheet showing those accruals for those departing employees who might later return to state service and seek re-crediting of unused leave credits.  These records can be retained in the employee Personal History Files or separately if the retention period for the Personal History Files is insufficient to meet possible future needs for leave accrual records.  Agencies should also be aware of potential needs to retain time records for extended periods for employees involved in workers’ compensation cases.

*90004  Summary Reports Regarding Personnel/Payroll Functions
Statistical and narrative summary reports produced by an agency, the Department of Civil Service, and OSC of personnel/payroll used for operational, management analysis or planning purposes, including reports on vacant positions, nonpermanent positions, payroll additions and separations, health insurance transactions, employees on probation, and performance evaluations due. 

Minimum Retention and Disposition:  Destroy after report is updated or superseded.

Justification:  Reports have minimal administrative value after they are superseded or updated.  Agencies may choose to retain selected summary reports as long as needed to recap or reconstruct personnel or payroll trends or for planning purposes.

*90380  Personnel Transaction Forms
Forms and related records used to process routine personnel transactions, including transfers, promotions, salary adjustments, leaves, and similar personnel actions.

Minimum Retention and Disposition:  Destroy 3 years after completion of transaction.

Justification:  Administrative needs for these records are met within a three year period.

90005  Subject and Correspondence Files
Records used to support general agency personnel administration (usually arranged alphabetically by subject), including reports, memoranda, and correspondence pertaining to employee benefits, health insurance, retirement, Personnel Council, Civil Service administration, and personnel policies and procedures.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value.

*90006  Employment Inquiry Files
Job inquiries, applications, résumés, and other records prospective employees submit to personnel and program offices for employment consideration.

Minimum Retention and Disposition:  For applicants who are hired, transfer records to Personal History Files for continued retention.  For applicants who are not hired, destroy 4 years from the date of the personnel action on the vacancy to which the records relate.  Destroy general employment inquiries and résumés which are not related to posted vacancies when no longer needed.

Justification:  Federal regulations (29 CFR 1602.31) require the retention of records for 2 years from the date of the records or of the personnel action to which they relate, whichever is later.  Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90381  Recruitment, Hiring, Interview and Selection Records 
Records of agency actions related to the hiring, promotion, demotion, transfer, layoff and termination of employees, including job announcements, correspondence, reports, selection criteria, interview notes, rating and ranking forms, evaluations and other records.

Minimum Retention and Disposition:  Destroy 4 years after completion of personnel action.

Justification:  Federal regulations (29 CFR 1602.31) require the retention of records for at least 2 years from the date of the personnel action to which they relate.  Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90031  Employment Eligibility Verification Forms
Immigration and Naturalization Service Form I-9 completed by employers for every employee hired after November 6, 1986, verifying that the employee is a U.S. citizen or is otherwise legally authorized to work in the United States, including paper, electronic, digital or microfilm version or copy of the form and related records. 

Minimum Retention and Disposition:  Destroy 3 years from the date of the hiring action or 1 year after the individual's employment is terminated, whichever is later.  Original records which have been microfilmed or digitized may be destroyed immediately, with the copies retained for the required retention period.

Justification:  Federal regulations (8 CFR 274a.2) require the retention of these records for 3 years from the date of the hiring action to which they relate or 1 year after the termination of the associated employee, whichever is later.

*90371  Employee Suggestion Program Records
Agency records of employee suggestions submitted as part of the Department of Civil Service’s State Employee Suggestion Program.  Includes records of agency evaluations of suggestions to determine if they should be implemented.

Minimum Retention and Disposition:  Destroy records concerning approved suggestions 6 years after suggestion is approved and implemented and all awards have been made by the Civil Service Commission.  Destroy records concerning disapproved suggestions 9 years after disapproval, including any subsequent appeal.

Justification:  Retention periods meet the need to document agency actions for administrative purposes and in the event of possible future litigation.

Records Not Covered:  Records of the Department of Civil Service concerning its administration of the State Employee Suggestion Program.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90382  Employee Assistance Program Records
Agency records of programs to assist employees with personal problems or concerns through information, assessments, referrals and other services, including case files of services provided to employees, reports and statistical compilations, and related records.

Minimum Retention and Disposition:  Destroy case files 3 years after completion of service.  Destroy other records 3 years after end of calendar year.

Justification:  Retention periods meet the need to document agency actions for administrative purposes.

Records Not Covered:  Records of the Governor’s Office of Employee Relations concerning its oversight of this program.

*90383  Employee Ethics Records
Agency records documenting employee compliance with the state ethics code (Section 74, Public Officers Law) and ethics requirements (Sections 73 and 73-a, Public Officers Law), including memoranda to employees of ethics requirements, employee requests to receive honoraria or travel reimbursement, agency reports to the State Ethics Commission or other bodies of honoraria received, employee requests to engage in outside activities, requests to exempt employees or positions from financial disclosure requirements, notices of adjudicatory actions of the State Ethics Commission or other bodies, and related correspondence, reports and other records.

Minimum Retention and Disposition:  Destroy 7 years after end of calendar year or 7 years after records concerning or authorizing ongoing actions have no further validity, whichever is longer.

Justification: Retention period meets potential need for records created under requirements of 19 NYCRR Parts 930, 932, 935, and 941 for use in prosecuting criminal violations of state ethics requirements.  Section 73 of Public Officers Law allows for violations of ethics requirements to be treated as Class A misdemeanors, which can be prosecuted up to 7 years after the violation or up to 5 years after employee termination, whichever is sooner [Section 30.10(3-b), Criminal Procedure Law].  Section 74 of Public Officers Law allows for termination of employment of an individual who violates the code of ethics provided in that section.

Note:  Agencies may wish to retain records specific to individual employees for additional periods beyond the indicated minimum, such as for the duration of the individual’s employment, if such records may be needed to document employee compliance with ethics requirements throughout the duration of their employment.  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90384  Commercial Motor Vehicle Driver Alcohol and Controlled Substances Testing: Process Documentation Records
Records related to the administration of programs to test employees holding commercial motor vehicle driver’s licenses for compliance with alcohol and controlled substances requirements, including policies and procedures, quality control records (including calibration documentation for testing equipment), collection logbooks, reports, statistics, and related records.

Minimum Retention and Disposition:  Destroy policies and procedures 5 years after superseded or obsolete.  Destroy all other records after 5 years.

Justification:  The federal Omnibus Transportation Employee Testing Act (49 CFR 382.401 and 40.333) requires some of these records be kept for 5 years.  Other related records should be kept for 5 years for consistency.

*90385  Commercial Motor Vehicle Driver Alcohol and Controlled Substances Testing: Driver Test Results and Related Records
Verified positive controlled substances test results and alcohol test results indicating an alcohol concentration of 0.02 or greater, records of refusals to take required alcohol or controlled substances tests, Substance Abuse Professionals’ reports, follow-up tests and test schedules, driver evaluations and referrals, records of negative and cancelled controlled substances test results and alcohol test results indicating an alcohol concentration less than 0.02, and related records.

Minimum Retention and Disposition:  Destroy after 5 years, except destroy records of negative and cancelled tests after 1 year.

Justification:  The federal Omnibus Transportation Employee Testing Act (49 CFR 382.401 and 40.333) requires these records be kept for 1 year or 5 years as indicated.

Note:  Agencies may wish to maintain records concerning employees for an additional period or include them in the employee’s personal history file, especially when they affect an employee’s job status.

*90386  Commercial Motor Vehicle Driver Alcohol and Controlled Substances Testing: Education and Training Records
Records documenting the education and training of technicians who administer alcohol and controlled substances tests and of drivers who are required to take such tests.

Minimum Retention and Disposition:  Destroy 2 years after the employees who perform the functions which require the training cease to perform those functions.

Justification:  The federal Omnibus Transportation Employee Testing Act (49 CFR 382.401) requires these records be kept for the indicated period.

Note:  Agencies may also wish to retain a record of training provided to specific employees as a part of Employee Training History records (see item #90022 in the Training section of this schedule).

 

CIVIL SERVICE ADMINISTRATION

*90007  Classification Files
Records of position classifications and allocations for all Civil Service classified titles in an agency.  Classification files generally include requests to the Department of Civil Service for new positions, changes to existing positions and reallocations, duty statements, title and salary plans, correspondence, and background material regarding the classification of Civil Service and appointed positions.  

Minimum Retention and Disposition:  Destroy 10 years after the position/title is reclassified, reallocated, or eliminated, whichever comes first.

Justification:  Agency copies of records pertaining to classifications and reallocations become dated and are not needed for administrative purposes 10 years after the next action on a title is completed.  The Department of Civil Service maintains the official copy of records of all classification/allocation actions.  

Records Not Covered:  Position classification and allocation records maintained by the Department of Civil Service in performing its control function.

*90008  Centralized Eligible List Certification Files
Copies of Department of Civil Service certified eligible lists, canvass letters, responses to canvass, and other records related to availability canvasses for appointment from lists.  These records are usually for job titles common to more than one agency and for which the Department of Civil Service has administered the examination process and maintains the full eligible list. 

Minimum Retention and Disposition:  Destroy 4 years after the personnel action to which the records relate. 

Justification:  Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).

Records Not Covered:  Eligible lists and related records maintained by the Department of Civil Service in performing its control function.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90009  Decentralized Eligible List Certification Files
Agency certified eligible lists, canvass letters, responses to canvass letters, geographic preference information and other records pertaining to availability canvasses for appointment from lists.  These records are usually for job titles unique to an agency which are filled by agency-administered promotional or open competitive examinations under the Department of Civil Service’s decentralized examination program. 

Minimum Retention and Disposition:  Destroy 4 years after expiration of decentralized eligible list (lists may be active up to 4 years).

Justification:  A 4-year retention period should be used for decentralized certification records because the agency must prove compliance with Civil Service Law and because actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).

Records Not Covered:  Department of Civil Service records maintained in performing its control function.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

*90010  Examination Development Files
All records relating to the development and preparation of a Civil Service examination, including proposed training and evaluation rating schedules, examination scope records, proposed examination questions, and justification documentation for examination.

Minimum Retention and Disposi­tion:  Destroy 1 year after a subsequent examina­tion is developed for the title or 1 year after elimina­tion of this title from the agency, whichever comes first.

Justification:  Previous examination development records may be needed to develop new examinations.

Records Not Covered:  Examination development records maintained by the Department of Civil Service in performing its control function.

*90011  Examination Administration Files
All records relating to the administration of decentralized (agency-administered) examinations, including examination announcements, correspondence with candidates, examination applications, copies of examinations, lists of candidates, examination rating sheets, examiners' comments, records documenting rating criteria, examination results, and related documentation.

Minimum Retention and Disposition:  Destroy 4 years after expiration of eligible list.

Justification:  Actions under New York State’s Human Rights Law (Executive Law Article 15) alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).

Records Not Covered:  Examination administration records maintained by the Department of Civil Service in performing its control function.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

 

BENEFITS AND HEALTH INSURANCE ADMINISTRATION

*90012  Health Insurance Files
Records of employees' health insurance transactions, including but not limited to forms and related records concerning enrollment, deferred health coverage, statements of disability, and related matters.

Minimum Retention and Disposition:  Destroy 6 years after employee separation from agency or after employee is no longer eligible for insurance.

Justification:  Records may be needed to verify benefits or as evidence in litigation initiated under Section 213 of the Civil Practice Law and Rules.

Records Not Covered:  Health insurance records maintained by the Department of Civil Service in performing its control function.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.

90014  Retirement Benefits Files
Records of an employee's retirement benefits from the NYS Retirement System, including copy of original application, statement of arrears, loan or arrears deduction notices, stop loan/arrears deduction notices and all supporting documentation.

Minimum Retention and Disposition:  Destroy 1 year following completion of retirement processing or upon separation from agency before retirement eligibility.

Justification:  The State Retirement System is the office of record for all records pertaining to retirement benefits and loan/arrears.  Retention of agency copy for 1 year following retirement or separation is sufficient to correct errors and respond to inquiries.

Records Not Covered:  Retirement benefits records retained by the New York State Retirement System.  Retirement system declination forms are not maintained by the New York State Retirement System and therefore should be retained as part of the employee's Personal History File (item #90001).

Note:  Agencies may wish to retain and dispose of this information together with the Personal History File (item #90001).

*90015  Workers' Compensation Files
Agency records concerning workplace injuries and illnesses and subsequent workers' compensation claims filed by employees.  Records include a record of all injuries or occupational illnesses prepared pursuant to Section 110 of Workers' Compensation Law, copies of documents filed with or received from the Workers' Compensation Board or State Insurance Fund concerning the injury/illness and any subsequent compensation claim, and related correspondence and other records.

Minimum Retention and Disposition:

  1. Records of allowed claims:  Destroy case files, including basic record of injuries and illnesses, 18 years after the injury or illness or 8 years after final payment on the award, whichever occurs later.

  2. Records of claims disallowed or otherwise disposed of without an award:  Destroy case files, excluding basic record of injuries and illnesses, 7 years after the injury or illness.  Destroy basic record of injuries or illnesses 18 years after the injury or illness.
  3. Records of injuries or illnesses not resulting in claims:  Destroy record of injuries and illnesses 18 years after the injury or illness.

Justification:  Section 110 of Workers' Compensation Law requires that a record of all injuries and occupational illnesses be retained for a minimum of 18 years.  Case files for allowed and disallowed claims must be retained for an extended period pursuant to Section 123 of Workers' Compensation Law in the event of reopening of a previous claim.

Records Not Covered:  Workers' compensation records maintained by the Workers' Compensation Board, State Insurance Fund, or workers' compensation litigation files in the Attorney General's Office.

Note:  Before disposing of these records, agencies must ensure that no legal actions have been initiated which might require access to them.  If a case-by-case review of files is impractical, the Office of the Attorney General advises retaining the records an additional 3 months beyond the minimum retention period.  For related records, also see item #90295, Employee Occupational Injury and Illness Incident Logs, Reports and Summaries in the Health, Safety, and Security section of this schedule.  Also note that the Workers' Compensation Board and State Insurance Fund do not maintain records of benefit enhancements provided to state employees.  Agencies should therefore maintain records of employer-provided benefits for absences related to each workers' compensation case (e.g., leave with pay without charge to credits, award and supplement payments), and other leave transactions related to a case (e.g., recrediting or restoring leave credits).  These records should be maintained as part of the case file for the indicated retention period.  The state needs the information in these records to ensure that an employee receives only the benefits to which he or she is entitled if a case is reopened.

 

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