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Personnel

*1.[391]

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

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

PERMANENT

 

 

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

NOTE: Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 416, below.

6 years after termination of employment
*2.[392]

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

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

NOTE: Affirmative action and related complaints may be covered by item no. 398c, below.

3 years after final decision rendered
3.[393] 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: 6 years
*4.[394] 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: 7 years
**5.[395] Employee training history recordsdocumenting employee continuing education, training and development, including employee identification, training received, dates of training, and related records: 

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 records, see specific items in this Schedule.

6 years after termination of employment
*6.[396]

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

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

0 after superseded or obsolete
*7.[397] Identification card records, when card is issued to local public employee: 6 months after becoming invalid
*8.[398] Equal employment opportunity report and related records  
  a. Annual, long-term or special (narrative or statistical) reports, goals and achievements: PERMANENT
  b. Periodic reports, statistics and other records used in compiling annual, long-term or special (narrative or statistical) reports, goals and achievements: 1 year
 

c. Affirmative action and related complaint investigation records:

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

3 years after date of final determination
*9.[399] Health and life insurance records  
  a. For employee with or without dependent survivor: 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): 1 year
  c. Health and life insurance coverage reports: 6 years
  d. Declination statement filed by employee: 6 years after separation from service
10.[400] Unemployment insurance records  
  a. Claim filed by employee, when claim is approved: 6 years after final payment
  b. Claim filed by employee, when claim is disqualified: 3 years after filing
  c. Claim payment reports: 6 years
*11.[401] Labor-management meeting records, including minutes of meeting, agenda, reports, and correspondence  
  a. Minutes and reports: PERMANENT
  b. Meeting agenda, correspondence, and other records: 6 years
*12.[402] 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, exceptroutine correspondence, routine memoranda and drafts: PERMANENT
  b. Routine correspondence, routine memoranda and drafts: 1 year
*13.[403] 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, exceptdetailed listings of all employees present at various events and other records lacking substantive informational value: PERMANENT
  b. Detailed listings of all employees present at various events, and other records lacking substantive informational value: 6 years
*14.[404] 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: 3 years after grievance is resolved
*15.[405] On-site safety inspection records, including individual inspections and summary of findings: 3 years after last entry
*16.[406] 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:

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 in29CFR 1910.1020 (d-1) (ii-A).

30 years
  b. Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substances: 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, whennot used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR1910, Subpart Z) in the workplace or for substances not defined in 29CFR 1910, Subpart Z as being toxic:

NOTE: If material safety data sheets or fact sheets are used for parts "a" or "b", above, as the list of toxic substances (as defined in29CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts "a" or "b".

3 years after substance no longer present at workplace
 

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

3 years after separation from service
 

e. Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employees:

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

3 years after separation from service of all employees involved
  f. Policy statements and procedures issued by local government relative to dealing with toxic substances: PERMANENT
17.[407] Personal surety bond or undertaking of public official: 20 years after coverage expires
18.[408] Listing or roster of local government officials or employees, including names, addresses, titles and other pertinent information: PERMANENT
*19.[411]

Log and summary of occupational injuries and illnesses, created pursuant to12NYCRR, 801.7 and 29CFR, 1904.6:

NOTE: If these records are intended to also satisfy the legal requirements of Section 110, Workers' Compensation Law, and no separate records covered by item no. 868, below, are created, then these records must be retained for 18 years after date of injury or illness.

5 years
*20.[868] Employee injury record, covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law: 18 years after date of injury or illness
**21.[412]

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

NOTE: This item does not include health insurance records, which are covered by item no. 399, above, or non-medical toxic substance exposure records, which are covered by item no. 406, above.

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

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

3 years after termination of employment
**22.[1056] Employee medical records not related to exposure to toxic substances or harmful physical agents: 3 years after termination of employment
*23.[869] Drivers' license review records for local government officials, employees or volunteers  
  a. When no action is taken as result of review: 0
  b. When action is taken as result of review: 3 years
*24.[870] Employee attestation of knowledge of code of ethics, staff policy manual or other official policies or procedures: 3 years after superseded or upon termination of employment
*25.[871] 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: PERMANENT
 

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

5 years
 

c. Annual statistical and other reports:

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

6 years
  d. Other records, including periodic reports and statistics and collection logbooks: 2 years
**26.[872]

Drivers' test results and related records

NOTE: Local governments may want to maintain these records concerning employees for an additional period or include them in the employee’s personnel files, especially when they affect an employee’s job status.

 
  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 thatindividual employee's or job applicant’stest 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: 5 years
  b. Negative or canceled controlled substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02: 1 year
  c. Records relating to an individual employee's or job applicant's refusal to take alcohol or substance abuse test: 5 years
*27.[873] 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: 6 years after termination of employment
*28.[874] 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: 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: 6 years
29.[410] Lifeguard certification records  
  a. Log of certifications granted or test results: 6 years
 

b. Individual certification records:

1 year after application disapproved or certification expires
**30.[1057] 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: 3 years from date of hire or 1 year after employment is terminated, whichever is later
**31.[1058] Employee assistance program records  
  a. Reports and statistical compilations: 6 years after date of most recent entry
  b. Program (including course and seminar) and literature files: 1 year after program no longer offered or literature superseded or otherwise obsolete
  c. Employee consultation records: 3 years after date of most recent entry in record
 

Civil Service

*1.[413]

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

NOTE: Official copy of payroll must be retained for 55 years. See item no. 372 in the Fiscal section.

0 after superseded
2.[414] Official civil service employee roster card:

PERMANENT

 

*3.[415] Established position record showing a history of each position and names and other pertinent information about persons who occupied it  
  a. If record contains detailed information about the position and persons who occupied it: PERMANENT
 

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

NOTE: The official listing or roster of all local government officials or employees, covered by item no. 408, must be retained permanently.

1 year after final entry in record
*4.[416] Report of personnel change, (including employee transfer record), except copy retained in employee's personnel records  
 

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

0 after termination of employment, but not less than 6 years
  b. Copy retained by fiscal office, where official civil service copy is maintained by other local government having the official civil service function: 6 years
 

c. Employee transfer record:

NOTE: Reports of personnel changes may also be found in employee personnel records. When filed in an employee personnel record, such copies are subject to lengthier retention requirements. See item no. 391, above.

0 after termination of employment, but not less than 6 years
*5.[417]

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

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

1 year after subsequent classification action completed, but not less than 10 years
*6.[418] Official copy of job posting and position duties statement  
  a. When duties of position are described in detail: PERMANENT
  b. When duties of position are not described in detail: 6 years
*7.[419] Personnel requisition made to civil service or personnel office, requesting that vacancy be filled: 0 after obsolete
*8.[420] Civil service eligible list records  
 

a. Official eligible list and certification of eligible list:

20 years after expiration of eligible list
 

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

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

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

1 year after expiration of eligible list, but not less than 3 years
 

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

6 months after expiration of eligible list, but not less than 3 years
  f. Military record of applicant, when applicant was not hired: 3 years after expiration of eligible list
*9.[421]

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

NOTE: When the applicant is hired, the application is retained in or as long as the personnel file. See item no. 391 in the Personnel subsection, above.

3 years
*10.[875]

Recruitment, hiring, interview and selection records, including but not limited to correspondence, reports, selection criteria, interview notes, background check records, rating and ranking forms, evaluations and other records pertaining to the hiring, promotion, demotion, transfer, layoff and termination of employees:

NOTE: This item does not cover personnel records of individual employees. See item no. 391 in the Personnel subsection, above.

3 years after completion of personnel action
*11.[422] Application for examination  
 

a. When eligible list is established:

3 years after expiration of eligible list
  b. When no eligible list is established: 3 years after examination date
  c. Supplemental documentation filed in conjunction with application, including but not limited to student loan statement, credentials and copies of transcripts: 1 year
**12.[423] Civil service examination and appointment review records  
  a. Civil service examination and announcement (official copy held by office with official civil service function): PERMANENT
 

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

0 after no longer needed
 

c. Candidate identification or admission card:

3 years after date of examination
 

d. Examination preparation, administration, and rating records:

5 years after date of examination
  e. Veteran credit records: 50 years
 

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

30 years after termination of employment
 

g. Qualifying medical, physical fitness or agility examination report, when person is hired, and worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29 CFR 1910.1020 (d-1) (i-C):

3 years after termination of employment
 

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

3 years after date of examination
 

i. Summary listing of examination results:

1 year after date of examination
  j. Notification of examination results mailed to candidate: 3 years
 

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

3 years after expiration of eligible list
  l. Appointment review records, documenting review of applicant qualifications for non-competitive, temporary or other positions not requiring examinations: 5 years
13.[424] Seniority list ranking employees by length of service: 3 years after superseded or obsolete
*14.[876] Disclosures related to student loan status, received as part of civil service examination application, transmitted to New York State Higher Education Services Corporation, along with transmittal documents: 1 year
*15.[877] Local government requests to State Civil Service Commission for approval of changes in policies or jurisdictional classifications: 3 years after date of last entry in record
 
Last updated
Wed, 2015-10-07 15:10