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Health, safety, and security functions protect the well-being of state employees and members of the general public who are engaged in official business or residing in or visiting state-owned or operated facilities.  Health, safety, and security programs include monitoring compliance with health and safety standards, regulating and monitoring the environment in state facilities, managing the storage and use of toxic and harmful substances, ensuring facility security, fire prevention and response, and planning disaster preparedness and response.

Records Not Covered:  Records of the Department of Labor, the Department of Environmental Conservation (DEC), the Office of General Services (OGS), the Department of State (DOS), the Department of Civil Service, and any other agency that document governmentwide control or oversight of health, safety, and security functions, or the provision of centralized services.  See descriptions and recommendations below for more specific information about records that are not covered by this schedule.

*90291  Annual Environmental Audit Report Records 
Agency copies of annual environmental audit reports submitted to DEC and related records providing an assessment of agency compliance with environmental laws.  The records include descriptions of environmental problems, records of remedial investigations, plans, and actions; estimates of capital, contractual, personnel, and other resources needed to remedy violations; projected remedial time schedules; internal assessments of remedial plans; lists of violations and rankings; and related correspondence, memoranda, and printed materials used to compile reports.

Minimum Retention and Disposition:  Retain copy for 3 years after report is submitted to DEC, then destroy.

Justification:  These records are needed for 3 years in the event of personal injury litigation (Section 214 of the Civil Practice Law and Rules) and for use in compiling new reports.

Records Not Covered:  Records maintained by DEC related to its role as a control agency for this 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.

*90292  Toxic Substances in the Workplace Notifications and Information Files
Records documenting notification by agencies to employees of the existence of toxic substances in the workplace and the potential effects of exposure to these substances, including correspondence and memoranda, material safety datasheets, and related records documenting the transmission of information to employee.

Minimum Retention and Disposition: Destroy 40 years after superseded or obsolete.

Justification:  Records created pursuant to Section 876 of the New York State Labor Law and 12 NYCRR 820.3.  The retention period ensures the availability of information from these files for the same period of time during which lists of employees handling the toxic substances will be maintained (see item #90293).

Records Not Covered:  Records required to document compliance with federal and state regulations related to specific substances.  Agencies seeking information on specific substances and possible retention requirements should refer to 29 CFR 1910, et seq.

Note:  Item #90013 covers records relating to actual exposure of individual employees to toxic substances.

*90293  Lists of Employees Who Handle Toxic Substances 
Records of names, addresses, and social security numbers of employees who handle or use substances included in section 1910 of the federal occupational safety and health regulations (29 CFR 1910, subpart z) and which substances were handled or used by which employees.

Minimum Retention and Disposition:  Destroy 40 years after superseded or obsolete.

Justification:  Section 879 of the New York State Labor Law requires that these records be retained for this period of time.

Note:  Item #90013 covers records relating to actual exposure of individual employees to toxic substances.

*90013  Employee Hazardous Substance Exposure Records 
Records of exposure or possible exposure to toxic or harmful substances, including information on the substance to which an employee is exposed, employee exposure records, summary and detailed environmental and biological monitoring records, and related records.

Minimum Retention and Disposition:  Destroy 30 years after exposure, except environmental monitoring background data may be destroyed after 1 year provided that sampling results, methodology, a description of analytical method used, and a summary of other relevant background data is retained for 30 years.

Justification:  The federal Occupational Safety and Health Administration (29 CFR 1910.1020) requires that employee hazardous substance exposure records be maintained for 30 years.

Note:  New York State Labor Law Section 879 requires that employers maintain lists of hazardous or toxic substances which are handled or used by employees and which substances were handled or used by which employees.  Such lists must be maintained for 40 years (see item #90293).  Hazardous substance exposure records should not be filed in the employee's personal history file.

90294  Toxic Substances Training and Education Files
Course material, attendance records, correspondence, and memoranda documenting the training and education of employees in the proper use and handling of toxic substances, and compliance with federal Occupational Safety and Health Administration requirements.

Minimum Retention and Disposition:  Destroy 3 years after employee separation from agency.  Destroy summary records, including course material, 3 years after separation of all concerned employees from agency.

Justification:  12 NYCRR 820.4 requires employers to maintain records of toxic substance training until employee separation.  The additional 3 years will cover the need for these records in personal injury litigation under Section 214 of the Civil Practice Law and Rules.

Records Not Covered:  Records of the Occupational Safety and Health - Hazard Abatement Board, located in the NYS Department of Labor, that document its oversight of agency toxic substances training and education programs.

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).

*90295  Employee Occupational Injury and Illness Incident Logs, Reports and Summaries
Records documenting recordable occupational injuries and illnesses of agency employees, including incident logs, incident reports, annual summaries, and related correspondence, memoranda and other records.

Minimum Retention and Disposition:  Destroy 5 years after the end of the calendar year that the records cover.

Justification:  12 NYCRR 801.33 and 29 CFR 1904.33 require that employers maintain these records for 5 years.

Records Not Covered:  Records related to employee hazardous substances exposure are covered by item #90013.  Records of employee occupational injuries and illnesses prepared pursuant to Section 110 of Workers’ Compensation Law are covered by item #90015 in the Personnel section of this schedule.  Also not covered are any records of the Department of Labor maintained in relation to its role as a control agency for this function.

*90296  Annual Occupational Injury and Illness Surveys 
Agency copies of annual occupational injury and illness surveys submitted to the NYS Department of Labor under 12 NYCRR 801.41.

Minimum Retention and Disposition:  Destroy 1 year after submission to the Department of Labor.

Justification:  The NYS Department of Labor maintains the record copies of these annual surveys.

Records Not Covered:  Records maintained by the Department of Labor in connection with its role as a control agency for this function.

90298  Facility Health and Safety Inspection Records
Notices of inspection, inspection reports, descriptions of violations, remedial action plans, correspondence, and memoranda documenting agency cooperation with the NYS Department of Labor in facility inspections mandated by 12 NYCRR 802 and agency efforts to comply with Department of Labor findings and determinations.

Minimum Retention and Disposition:  Destroy 3 years after completion of inspection or after any violations are remedied, whichever is longer.

Justification:  This retention period meets the statute of limitations involving personal injury suits (Section 214 of the Civil Practice Law and Rules).

Records Not Covered:  Records maintained by the Department of Labor in connection with its role as a control agency for this activity.

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.

90299  Health and Safety Code and Regulations Variance Files 
Agency requests for relief from health and safety standards and regulations and records of approved variances.  This includes petitions, applications for temporary or permanent variances, interim orders, requests for hearings, notices of hearings, transcripts of variance hearings and conferences, depositions, affidavits, variances, amendments issued by the NYS Department of Labor, consistent findings and orders, decisions, and appeals.

Minimum Retention and Disposition:  Destroy 3 years after request is denied or after the variance is no longer in effect.

Justification:  This retention period meets the statute of limitations for personal injury suits (Section 214 of the Civil Practice Law and Rules).

Records Not Covered:  Records maintained by the Department of Labor in connection with its role as a control agency for this activity.

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.

*90300  Fire Code Compliance Records 
Agency copies of fire safety inspections, fire extinguisher inspections, complaints, violation corrective plans, code compliance certificates, fire drill records, and annual reports that document compliance with the NYS Uniform Fire Prevention and Building Code.

Minimum Retention and Disposition:  Retain records of inspections, drills and annual reports for 3 years or until all violations are corrected, whichever occurs later, then destroy.  Destroy code compliance certificates 3 years after they expire.

Justification:  This retention period meets the statute of limitations requirements for personal injury litigation (Section 214 of the Civil Practice Law and Rules) and complies with NYS Department of State inspections requirements (19 NYCRR 1204).

Records Not Covered:  Records maintained by the Department of State to control and provide oversight for this 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.

90301  Fire Safety Program Records
Records concerning the establishment and administration of a network of fire wardens, marshals, and searchers, including lists of individuals serving in these capacities, building diagrams, assignments, evacuation procedures, meeting records, and lists of equipment disbursed to wardens, marshals, and searchers.

Minimum Retention and Disposition:  Destroy 3 years after superseded or obsolete.

Justification:  This retention period meets the statute of limitations for personal injury litigation (Section 214 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.

90302  Fire Safety Education and Training Records 
Records relating to agency fire safety education and training programs, including course information records and course registration records for wardens, marshals, and searchers and for building tenants.

Minimum Retention and Disposition:  Destroy 3 years after creation.

Justification:  This retention period meets the statute of limitations involving personal injury litigation (Section 214 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.  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).

*90303  Building Visitor Logs and Security Videotapes 
Logs of entry to and exit from agency facilities containing visitor name, organization or business, address, reason for visit or person/unit visited, and dates and times of entry and exit.  Also includes videotapes or other recordings prepared for security purposes that document specific incidents and merit retention for administrative or potential legal uses.

Minimum Retention and Disposition:  Destroy 3 years after the end of the year to which they relate.

Justification:  This retention period meets the statute of limitations involving personal injury litigation (Section 214 of the Civil Practice Law and Rules).  It also meets or exceeds the statute of limitations for initiating criminal prosecutions for misdemeanors (Section 30.10 of the Criminal Procedure Law).

Records Not Covered:  Records maintained by facilities that require extraordinary security (e.g., State Police barracks, correctional facilities, and secured mental health facilities) and records maintained by the Office of General Services in its capacity as a service agency for building security.  Records of investigations into security-related incidents are covered by item #90305.

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.

*90304  Building Pass Records 
Agency records documenting the issuance and cancellation of building passes include applications for temporary and permanent passes, copies of passes, lists of individuals with valid passes, records of revocations or cancellations, correspondence, and memoranda.

Minimum Retention and Disposition:  Destroy records documenting issuance and cancellation of passes 3 years after passes are cancelled or become invalid, except actual passes that have been cancelled or have expired may be destroyed immediately.

Justification:  This retention period meets the statute of limitations involving personal injury litigation (Section 214 of the Civil Practice Law and Rules).  It also meets or exceeds the statute of limitations for initiating criminal prosecutions for misdemeanors (Section 30.10 of the Criminal Procedure Law).

Records Not Covered:  Records of investigations into security-related incidents are covered by item #90305.

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.

*90305  Incident and Investigation Records 
Agency copy of records documenting security-related incidents and investigations by agency staff and external investigators.  These records include but are not limited to complaints, incident reports, accident reports, reports of stolen property, emergency response-related records, and correspondence and memoranda.

Minimum Retention and Disposition:  Destroy 5 years after any investigation is closed or dropped, except 3 years after 18th birthday for any accidents or personal injury incidents involving minors.

Justification:  This retention period meets or exceeds the statutes of limitations for initiating criminal prosecutions for misdemeanors and most felonies (Section 30.10 of the Criminal Procedure Law).  This retention period will also ensure the availability of these records in instances concerning personal injury suits.

Records Not Covered:  Records maintained by any agency having a law enforcement function, and records of incidents and investigations in correctional, mental hygiene, and other residential facilities.

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.

*90306  Health, Safety, and Security Subject Files
Reports, memoranda, correspondence, copies of policies and procedures, background materials, and related records used by agencies to support the administration of health, safety, and security programs, arranged by subject and covering topics such as health issues, building safety, facility access, and incident reporting, exclusive of records subject to specific legal requirements or which are covered by other schedule items.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records have no legal or fiscal value.

Records Not Covered:  Records maintained by facilities that require extraordinary building security (e.g., State Police barracks, correctional facilities and secured mental health facilities) and records maintained by OGS in its capacity as a central provider of security services.

*90307  Facility Disaster Preparedness Files 
Agency copies of disaster preparedness and evacuation plans for agency-owned and occupied buildings.  These records typically include, but are not limited to, correspondence, memoranda, risk assessments and vulnerability studies, disaster/contingency and evacuation plans, supporting materials used to develop plans, and training and educational materials.

Minimum Retention and Disposition:  Destroy 3 years after a plan is superseded or made obsolete because the agency vacates a facility.

Justification:  This retention period meets the statute of limitations involving personal injury suits (Section 214 of the Civil Practice Law and Rules).

Records Not Covered:  Records of activities of the State Disaster Preparedness Commission and the State Emergency Management 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.

*90368  Disaster Response and Recovery Records
Agency records documenting responses to a major disaster, including photographs, press clippings, property damage reports, records of emergency response, summary reports of personal injuries, records relating to demolition and new construction, and correspondence.

Minimum Retention and Disposition:  Transfer to State Archives when no longer needed for agency use.

Justification:  Records have long-term value to document responses of state agencies to major disasters and to document the disasters.

Records Not Covered:  Records of activities of the State Disaster Preparedness Commission and the State Emergency Management Office.

Last updated
Wed, 2015-10-07 14:44