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Schedule Sections

Affirmative Action, Reasonable Accommodation, and Human Rights

State agencies develop and administer affirmative action, reasonable accommodation and related human rights programs to comply with various state and federal requirements.  The purpose of these programs is to ensure equal employment opportunities for and prevent discrimination against members of protected classes, including racial and ethnic minorities, women, disabled persons, and Vietnam-era veterans. Most agencies have an affirmative action and reasonable accommodation officer or office to direct and support these agency programs.

Control Agency:  The Department of Civil Service issues guidelines that state agencies are mandated to follow in developing affirmative action and reasonable accommodation plans and procedures, and assists agencies in meeting these state requirements.

Records Not Covered:  Records of the Department of Civil Service that document its role as a control agency for governmentwide affirmative action and reasonable accommodation programs and records required for lengthier retention periods by federal agencies to document their requirements.

*90211  Affirmative Action and Reasonable Accommodation Plans and Procedures 
Plans, policies and procedures developed by agencies to establish and support their affirmative action, reasonable accommodation and related human rights goals in compliance with state and federal requirements.

Minimum Retention and Disposition:  Retain in issuing office for 3 years after superseded by a new plan and procedures, then destroy.

Justification:  These records may provide evidence during arbitration or litigation concerning complaints of human rights violations.  They may also be used as evidence of compliance with federal and/or state affirmative action and reasonable accommodation statutes and regulations during investigations and/or litigation of allegations of continuing patterns of discrimination.  The records can also be used to document workforce trends and for analysis purposes.

Note:  Agencies may wish to retain these records for longer periods to meet administrative analysis needs.  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.

* 90212  Recruitment Plans and Reports 
Records documenting procedures, search committees, job advertising, recruitment and outreach plans, screening criteria, statistics on applicants, and related records created to document compliance with agency affirmative action policies and plans.

Minimum Retention and Disposition:  Destroy 4 years after each search is completed.

Justification:  These records may provide evidence during arbitration or litigation concerning complaints of human rights violations.  They may also be used as evidence of compliance with federal and/or state affirmative action statutes and regulations during investigations and/or litigation of allegations of continuing patterns of discrimination.

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.

*90213  Affirmative Action Program Report Files 
Copies of reports prepared by agency affirmative action and related human rights programs for oversight agencies (e.g., Department of Civil Service, U. S. Office of Civil Rights) regarding agency policies, programs, and activities.

Minimum Retention and Disposition:  Destroy 3 years after filing.

Justification:  This retention period will ensure that these records are available to document compliance and for reference, analysis, and development of reports.

Note:  Employment inquiry records and job applications are covered by item #90006 in the Personnel section of this schedule.

*90214  Affirmative Action and Reasonable Accommodation Subject Files
Correspondence, memoranda, copies of reports, articles, policies and procedures, summary records regarding requests for reasonable accommodations, copies of regulations, and related materials arranged by subject and used to administer agency affirmative action, reasonable accommodation and related human rights programs on topics such as recruitment, career planning, community relations, discrimination, sexual harassment, and cultural diversity.

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

Justification:  Some records in affirmative action subject files may be needed to document compliance with state or federal affirmative action requirements.

Note:  Agencies should not use this item for records which are covered by separate authorizations in this schedule.

*90215  Affirmative Action and Reasonable Accommodation Case Files 
Agency copies of affirmative action, sexual harassment and other human rights grievances made by employees against an agency, requests for reasonable accommodations, and the records of the resolution of grievances and requests.  Case files may also include correspondence, exhibits, tape recordings, depositions, notes, transcripts, agency decisions, appeals to the Division of Human Rights, appeals to the Department of Civil Service’s Compliance Review Board, arbitration decisions, and state or federal court litigation records.

Minimum Retention and Disposition:  Destroy 3 years after final resolution of grievance or request, and after execution of any stipulations or termination of any accommodation provided.

Justification:  These records may provide evidence during arbitration or litigation concerning complaints of human rights violations.  They may also be used as evidence of compliance with federal and/or state affirmative action, reasonable accommodation and other statutes and regulations during investigations and/or litigation of allegations of continuing patterns of discrimination.

Note:  Agencies may wish to retain these records beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.  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.

*90216  Outreach Program Records 
Records of affirmative action programs directed toward providing a greater degree of participation of protected class individuals in the agency work force.  Examples of such programs include fellowships and/or internships.  These records include applications, decisions and awards, program descriptions, publications, participant duty descriptions, and related correspondence and reports.

Minimum Retention and Disposition:  Destroy 3 years after action on application or, for records concerning overall program administration, discontinuance of program.

Justification:  These records may provide evidence during arbitration or litigation concerning complaints of human rights violations.  They may also be used as evidence of compliance with federal and/or state affirmative action statutes and regulations during investigations and/or litigation of allegations of continuing patterns of discrimination.

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.

*90217  Human Rights Training Records 
Records of training provided to employees on affirmative action, equal employment opportunity, sexual harassment, reasonable accommodation and related human rights policies.   These records document administration and content of training courses and participation of agency staff.  They include memoranda, flyers, curricula, sample course handouts, applications, registration, evaluation forms, and related correspondence and reports.

Minimum Retention and Disposition:  Destroy 6 years following completion of training session or discontinuance of specific course.

Justification:  These records may provide evidence during arbitration or litigation concerning complaints of human rights violations.  They may also be used as evidence of compliance with federal and/or state affirmative action statutes and regulations during investigations and/or litigation of allegations of continuing patterns of discrimination.

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.  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).

Last updated
Wed, 2015-10-07 14:33