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Employee relations includes all programs and activities that establish and implement the terms and conditions of executive branch employment subject to the Public Employees' Fair Employment Act, Article 14 of the Civil Service Law (Taylor Law), through other laws and regulations, or collective negotiations and related activities.

Control Agencies:  The Governor's Office of Employee Relations (GOER) carries out New York State's responsibilities as an employer in accordance with the Taylor Law through collective bargaining with public employee unions representing executive branch agency employees, and administration of the employee grievance, disciplinary action, and joint labor-management committee programs.  The Public Employment Relations Board (PERB) hears and rules on charges of improper practices by state employee unions against the state or by the state against the unions and also hears cases on other public employment issues.

Records Not Covered:  Records created and retained by the Governor's Office of Employee Relations (GOER) and the Public Employment Relations Board (PERB) in their roles as control agencies.

*90357  Grievance Case Records 
Agency copies of contract and noncontract grievances made by employees against an agency, including grievance statements, agency responses, appeals, decisions, and supporting materials such as correspondence, exhibits, depositions, notes, tape recordings, transcripts, referrals to GOER, appeals, and copies of arbitration decisions. 

Minimum Retention and Disposition:  Retain for a minimum of 10 years after final resolution of grievance, then destroy.

Justification:  Grievance records may provide precedents for other similar grievances.  GOER does not maintain records of grievances that have been resolved at the agency level.

Records Not Covered:  Records of disciplinary grievances are covered by item #90358 Disciplinary Action Records.

Note:  Agencies may want to retain some grievance records longer than the minimum retention in specific cases for reference purposes.

*90358  Disciplinary Action Records 
Records of disciplinary actions, contractual or pursuant to Section 75 of the Civil Service Law, brought by agencies against their employees, and of disciplinary grievances filed by employees in response to such actions.  These records include notices of charges, responses, appeals, decisions, and supporting materials such as correspondence, notes, tape recordings, hearing transcripts, exhibits and other related documents from all levels of the process.

Minimum Retention and Disposition:  Retain for a minimum of 10 years after final resolution of the disciplinary action or for 6 years after an employee terminates employment with the agency, whichever is first, then destroy, unless otherwise stipulated through disciplinary settlement or negotiated agreement.

Justification:  Future disciplinary proceedings against individual employees may consider previous discipline in assessing penalties.  Disciplinary actions may also be considered in the performance evaluation and processes.  Additionally, control agencies may require historical trend reports of discipline cases which would require agencies to reference these records.  GOER does not maintain records of agency discipline cases.  Records may also be needed in case of litigation related to disciplinary actions.

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.

*90359  Labor-Management Process Records 
Agency records of labor-management meetings on specific topics and of labor-management committee activities, including minutes, agenda, background materials, and written agreements.  Such meetings may be at various levels of the agency as appropriate to the subject(s).

Minimum Retention and Disposition:  Retain until labor-management agreement expires or is superseded by new labor-management agreement, and when no longer needed for reference, then transfer to State Archives.

Justification:  Agency-level agreements are effective until expired or superseded, and frequently are effective through the term of several statewide negotiated agreements.  GOER does not maintain records of agency-level labor management activities.  State Archives staff have consistently appraised agency labor management committee records as archival.

*90373  Public Employment Relations Board Cases 
Agency records of representation, improper practice, declaratory ruling, conciliation and other cases or issues presented to the Public Employment Relations Board (PERB) for resolution, including charges and other records of issues presented to PERB, administrative law judge findings, PERB decisions, and related records.

Minimum Retention and Disposition:  Destroy when no longer needed for administrative reference.

Justification:  PERB maintains the official records documenting cases presented to it for resolution.

Records Not Covered:  Records created and retained by PERB.

*90360  Employee Relations Subject Files 
Records supporting agency employee relations programs, arranged by subject, and consisting of correspondence, memoranda, extra copies of contracts, agency employee relations policies and procedures, reports and background materials pertaining to contract administration issues, and related employee relations matters.

Minimum Retention and Disposition:  Destroy when obsolete or superseded.

Justification:  These records generally have no legal or fiscal value, and they lose administrative value after they are no longer needed for reference.

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

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