THE STATE EDUCATION DEPARTMENT / THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY,NY 12230New York State ArchivesTel. 518-474-6926To:From:Subject:Date:State Agency Records Management OfficersGeoffrey A. Huth, Director, Government Records ServicesGeneral Retention and Disposition Schedule for New York State GovernmentRecordsJune 15, 2011General Retention and Disposition Schedule for New York State Government Records, last revisedin 2008, contains the following advice noted for some items regarding retaining records beyondtheir legal minimum retention periods for legal actions:Note: Before disposing of these records, agencies must ensure that no legal actionshave been initiated which might require access to them. If a case-by-case review offiles is impractical, the Office of the Attorney General advises retaining the recordsan additional 3 months beyond the minimum retention period.On April 1, 2007, Chapter 13 of the State Finance Law, known as the “False Claims Act,” went intoeffect. The law allows a state agency to bring a civil action to recover financial losses from afraudulent claim in triplicate, and in addition allows a private citizen with inside knowledge of suchfraud to receive up to 30% of the proceeds. The broad scope of this statute covers almost any falseclaim or statement that involves a demand for payment from the state agency or which deprives thegovernment of revenues. Section 192 of this statute permits any legal action to be commenced “nolater than ten years after the date on which the violation of this article is committed.” This legalrequirement may require that certain records covered by this schedule be retained for longer thantheir stated legal minimum retention periods, in some cases up to 10 years. This longer retentionmay not only involve specific records covered by items found in the Fiscal section, but also otherrecords found throughout the schedule needed for supplementary documentation. In instancesinvolving potential actions under the “False Claims Act,” agency officials may wish to consult withtheir attorney to verify whether any specific records warrant longer retention.The New York State Archives intends to include this additional language in future editions of theState General Schedule. I invite you to contact my office if you have any questions about how thisstatute affects the use of State General Schedule.THE STATE EDUCATION DEPARTMENT / THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY,NY 12230New York State ArchivesTel. 518-474-6926To:From:Subject:Date:State Agency Records Management OfficersGeoffrey A. Huth, Director, Government Records ServicesGeneral Retention and Disposition Schedule for New York State GovernmentRecordsMay 16, 2011The General Retention and Disposition Schedule for New York State Government Records issuedby the State Archives includes an item, 90375 Contractors’ Certified Payrolls, in the FacilitiesManagement section. This item, in the current version of the General Schedule (last revised in2008), authorizes records destruction three years after contract completion.The Laws of 2008 (Chapter 8) effectively revised Section 220 (3-a) of the Labor Law upon whichthe retention and disposition of this contractor records item was based. The revised law lengthensthe retention period of contractor records to five years after contract completion. To avoidpremature destruction of these records, state agencies should cease destroying records as authorizedby the relevant item and should instead follow the indicated retention period prescribed by law andby the proposed new item below. The New York State Archives intends to revise this item in futureeditions of the General Schedule.The proposed revision of the item is as follows:90375 Contractors’ Certified Payrolls – Records of certified payrolls filed with stateagencies by contractors and sub-contractors relating to public-work projects, includingcorrespondence and associated documents.Minimum Retention and Disposition: Destroy 5 years after contract completion.Justification: These records must be retained for the indicated period pursuant toSection 220 (3-a) of Labor Law.Please be aware that the proposed revisions are tentative until they are formally approved. I inviteyou to contact my office if you have any questions about the General Schedule or comments on theproposed revisions.NEW YORK STATE ARCHIVES GOVERNMENT RECORDS SERVICES GENERAL RETENTION AND DISPOSITION SCHEDULEFOR NEW YORK STATE GOVERNMENT RECORDSEffective January 2008The University of the State of New York ● The State Education Department9A47 Cultural Education Center, Albany, New York 12230THE UNIVERSITY OF THE STATE OF NEW YORKRegents of The UniversityROBERT M. BENNETT, Chancellor, B.A., M.S.MERRYL H. TISCH, Vice Chancellor, B.A., M.A., Ed.D.SAUL B. COHEN, B.A., M.A., Ph.D.JAMES C. DAWSON, A.A., B.A., M.S., Ph.D.ANTHONY S. BOTTAR, B.A., J.D.GERALDINE D. CHAPEY, B.A., M.A., Ed.D.ARNOLD B. GARDNER, B.A., LL.B.HARRY PHILLIPS, 3RD, B.A., M.S.F.S.JOSEPH E. BOWMAN, JR., B.A., M.L.S., M.A., M.Ed., Ed.DJAMES R. TALLON, JR., B.A., M.A.MILTON L. COFIELD, B.S., M.B.A., Ph.D.ROGER B. TILLES, B.A., J.D.KAREN BROOKS HOPKINS, B.A., M.F.A.NATALIE M. GOMEZ-VELEZ, B.A., J.D.CHARLES R. BENDIT, B.A.TonawandaNew YorkNew RochellePeruSyracuseBelle HarborBuffaloHartsdaleAlbanyBinghamtonRochesterGreat NeckBrooklynBronxManhattanPresident of The University and Commissioner of EducationRICHARD P. MILLSCounsel and Deputy Commissioner for Legal AffairsKATHY A. AHERNChief Operating OfficerDeputy Commissioner for Cultural EducationJEFFREY W. CANNELLAssistant Commissioner for New York State ArchivesCHRISTINE WARDDirector of OperationsKATHLEEN D. ROEDirector, Government Records ServicesGEOFFREY A. HUTHThe State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital status, veteran status,national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs, services andactivities. Portions of this publication can be made available in a variety of formats, including braille, large print or audio tape, uponrequest. Inquiries concerning this policy of nondiscrimination should be directed to the Department’s Office for Diversity, Ethics, andAccess, Room 530, Education Building, Albany, NY 12234. Requests for additional copies of this publication may be made bycontacting the State Archives, Publications Unit, Room 9A61, Cultural Education Center, Albany, NY 12230.ContentsCONTENTSIntroduction...............................................................................................................................................v Scope of the Schedule ..............................................................................................................................v Records Not Covered by This Schedule ...............................................................................................vii Policy and Procedures for Agency Use of the General Schedule .......................................................viii Sources of Additional Information and Assistance ...............................................................................ix SCHEDULE SECTIONSGeneral Administration............................................................................................................................1 Affirmative Action, Reasonable Accommodation, and Human Rights ................................................8 Budget Preparation.................................................................................................................................12 Employee Relations................................................................................................................................14 Equipment, Supplies, and Motor Vehicle Management.......................................................................17 Facilities Management ...........................................................................................................................22 Fiscal Operations ....................................................................................................................................28 Fiscal Administration ................................................................................................................29 Purchasing/Claims and Payments.............................................................................................31Revenue and Collections...........................................................................................................34 Accounting Reports (New York State Accounting System) ...................................................34 Bank Transactions .....................................................................................................................36 Forms Management................................................................................................................................38 Health, Safety, and Security...................................................................................................................39 Information Technology ........................................................................................................................49 General Administration .............................................................................................................49 Systems and Application Development....................................................................................50 Computer Operations and Technical Support ..........................................................................53 Data Administration ..................................................................................................................60 IT Support ..................................................................................................................................61 Network/Data Communication Services ..................................................................................62 Internal Controls.....................................................................................................................................65 Library Operations .................................................................................................................................67 Mail and Messenger Services ................................................................................................................70 Minority and Women-Owned Business Development.........................................................................72 Payroll .....................................................................................................................................................74 Personnel.................................................................................................................................................77 Personnel Administration..........................................................................................................77 Civil Service Administration.....................................................................................................84 Benefits and Health Insurance Administration ........................................................................86 iiiContentsPublic Information..................................................................................................................................89 Publication and Reproduction Services.................................................................................................93 Records Management ............................................................................................................................95 Telecommunications Management........................................................................................................97 Training.................................................................................................................................................100 Numerical Index ...................................................................................................................................103 General Index .......................................................................................................................................105 ivIntroductionINTRODUCTIONRecords are a basic tool of government administration. They provide information forplanning and decision making, and they are the foundation for government accountability. Recordsretention and disposition are subject to direct legal requirements. This General Retention andDisposition Schedule for New York State Government Records contains guidelines for complyingwith legal, fiscal, and administrative requirements for records retention and provides legalauthorization to dispose of common records on a regularly scheduled basis.1 It replaces earliergeneral schedules issued by the State Archives. These previous general schedules should no longerbe used to govern the disposition of records.The purposes of the schedule are to-provide agencies with uniform guidelines for the retention and disposition ofcommon administrative, fiscal, and personnel records-ensure that agencies retain these records as long as needed for internaladministration, and to meet legal, audit, and other state and federal requirements-promote the cost-effective management of records-provide agencies with legal authorization to dispose of obsolete records covered bythe schedule on a regularly scheduled basis after minimum retention periods havebeen met.The schedule was prepared by the State Archives. It has been reviewed and approved byrepresentatives of the Attorney General and the State Comptroller and authorized for use by theState Archives pursuant to the provisions of Section 57.05, Arts and Cultural Affairs Law.SCOPE OF THE SCHEDULEThis schedule provides retention and disposition authorizations for records commonlycreated and maintained by state agencies to support administrative, personnel, and fiscalactivities. For the purposes of this schedule, state agency means any department, division, board,bureau, office, council, commission, authority, public benefit corporation having statewideresponsibility, or a separate unit of the executive branch of state government created or1The retention and disposition of state records is governed by Subdivision 11, Section 57.05 Arts and CulturalAffairs Law and 8 NYCRR Part 188. State agencies may not destroy or otherwise dispose of any records unless suchdisposition is authorized by the State Archives, acting on behalf of the Commissioner of Education and in cooperationwith the State Comptroller and the Attorney General. Under 8 NYCRR 188.10, the State Archives may issue generalrecords retention and disposition schedules to authorize disposition of records common to some or all agencies.vIntroductionestablished by law or executive order, but shall not include the Executive Chamber.The schedule covers 216 records series. It is organized into 21 separate sections, each ofwhich covers the records created or used to carry out a specific function. Each section beginswith a short definition of the function and a listing of pertinent control agencies for the function.Please note that many of the items in this schedule are new or revised from previous editionsof the general schedule. New and revised items are indicated by a diamond symbol (♦)preceding the item number. Some items that appeared in previous editions of the generalschedule have been deleted or combined into current schedule items. The Numerical Index at theend of this schedule contains cross-references showing past items that have been deleted or thecurrent items into which they have been combined.The schedule applies to records regardless of the format or media in which they exist,including computer-generated electronic records. According to Section 57.05 of Arts and CulturalAffairs LawRecords means “all books, papers, maps, photographs, or other documentary materials,regardless of physical form or characteristics, made or received by any agency of thestate or by the legislature or the judiciary in pursuance of law or in connection with thetransaction of public business and preserved or appropriate for preservation by thatagency or its legitimate successor as evidence of the organization, functions, policies,decisions, procedures, operations, or other activities, or because of the informationcontained therein.”Under this definition, electronic records, microfilm, and sound and video recordings areincluded within the meaning of “records.”The Arts and Cultural Affairs Law and State Archives regulations (8 NYCRR Part 188)exclude the following materials from the definition of records:Library or museum material made or acquired and preserved solely for reference orexhibition purposes, extra copies of documents preserved only for convenience of reference,and stocks of publications and of blank forms do not constitute records under this definition.Agency staff, with assistance from the agency Records Management Officer, should usesound judgment and apply consistent criteria when deciding whether recorded informationconstitutes records. A consistent approach to defining records ensures that agencies create orcapture adequate documentation of their programs and operations for ongoing administrativepurposes and helps to meet legal and audit requirements. Some examples of information that maybe excluded from the definition of records include-temporary drafts or personal notes that were not circulated, reviewed, or used tomake decisions or complete transactions-extra copies of documents that were created or distributed solely for referenceviIntroductionpurposes-temporary files used solely to change the arrangement or format of electronicrecords-electronic versions of documents, transactions, or reports, when the record isretained on paper or microfilm to provide evidence or for legal or audit purposes-conversely, extra copies of correspondence, reports, and printouts when the record isretained in electronic form to provide evidence or for legal or audit purposes-copies of files or extracts of databases created solely to transfer data betweensystems.Decisions about which material constitutes a record should be documented in agencypolicies and procedures. The agency Records Management Officer and State Archives staff canprovide advice and assistance in distinguishing records from non-record material.RECORDS NOT COVERED BY THIS SCHEDULEThis schedule does not authorize disposition of the types of records listed below.-Records unique to an agency. This general schedule authorizes disposition ofrecords that are common to most or all agencies. Records created or maintained byagencies that concern specific or unique agency responsibilities, missions orfunctions are not included in this schedule. Instead, agencies should developagency-specific retention schedules for such records. State Archives staff can adviseand assist in preparing such records retention and disposition schedules.-Records that are included in this schedule but are also approved for dispositionby agency-specific schedules. When an agency-specific schedule covers recordsthat are also included in this general schedule, the agency-specific schedule takesprecedence in authorizing records disposition. However, an agency may choose tocancel such alternative schedules by notifying the State Archives, so that applicablegeneral schedule items can then be used to guide and authorize records disposition.-Records created or maintained by control and service agencies that are used tocarry out or document governmentwide approval, control, audit, or oversightresponsibilities, or to provide centralized services to other agencies. These controland service agencies are identified in the introductions to each major section of theschedule or in the Records Not Covered section of a schedule item.-Records being used for audits or legal actions. Records being used for audits orlegal actions must be kept until the audit is satisfied or the legal action ends, even iftheir minimum retention period has passed.viiIntroduction-Original records that are microfilmed, scanned for storage on a digital imagingsystem, or are otherwise migrated to other media before the minimumretention period has passed. If an agency wishes to retain records on microfilm, asdigital images, or on alternate media in lieu of the originals, the agency RecordsManagement Officer must submit a separate records disposition request to the StateArchives before destroying original records. Review and approval of the requestensures that the original records will not be needed for legal, audit, or historicalpurposes and that the newer media versions will meet all necessary retention needs.-Records that are subject to specific state or federal retention requirementslonger than the retention periods authorized in this schedule. Agencies mustmake certain that the retention periods in this schedule are sufficient to meetapplicable audit, reporting, or records retention requirements for any programs thatare subject to state or federal government audits or oversight. If longer retentionperiods are needed to meet state or federal requirements, then agencies must submitseparate records disposition requests for such records.POLICY AND PROCEDURES FOR AGENCY USE OF THE GENERAL SCHEDULEState agencies may not dispose of any records without disposition authorization from theState Archives consistent with provisions of Section 57.05 of Arts and Cultural Affairs Law. TheState Archives issues this general schedule to authorize the disposition of records common to someor all agencies after the indicated minimum retention period. An agency may use a generalschedule issued by the State Archives for any applicable records in its custody by notifying theState Archives of its intention to use the schedule and by retaining the records at least as longas the minimum retention periods established in this schedule. Use of the general scheduleeliminates the need for an agency to request separate authorizations to dispose of records covered bythe schedule.Agencies may use any or all of the authorizations in this schedule to dispose of records,provided that the agency Records Management Officer first notifies the State Archives in writing ofthe intent to use the schedule. Following this notification, records may be disposed on a continuingbasis, provided the minimum retention period has been met. No further notification is needed bythose agencies which have already notified the State Archives of their intent to use previous editionsof this general schedule. Agencies may discontinue use of the schedule at any time, but the RecordsManagement Officer should notify the State Archives of the discontinuance. Information onwhether an agency has adopted the general schedule can be obtained from the State Archives or theagency Records Management Officer.Specific or temporary situations in an agency may create the need for retention periods thatexceed the minimum retention periods in this schedule. Agencies are not required to destroyrecords at the end of the retention period, and they are not required to inform the State Archives ifthey intend to keep records longer. However, if agencies intend to retain records longer than theminimum retention periods as a regular business practice, they should document this intent inviiiIntroductionwritten internal procedures. This will provide documentation of normal practice for Freedom ofInformation Law requests, for legal actions such as discovery motions, or to justify continuedstorage of records in the State Records Center. Agencies may submit separate Records DispositionRequests (RDRs) to the State Archives for those series that they wish to retain longer than theretention periods in this schedule, but they are not required to do so unless those lengthier retentionperiods are required by specific state or federal retention requirements which are often found instatutes or regulations.Agencies have considerable flexibility in applying the schedule to their specific needs, aslong as records are kept at least as long as the minimum retention set forth in this schedule.Agencies should review the title, description of the records series, and justification to helpdetermine whether an item applies to a particular series of records. If you are not certain whetherthe schedule applies to a specific group of records or if you need assistance with records not coveredby this schedule, please contact your agency Records Management Officer or State Archives stafffor advice and assistance.Before using general schedule items to guide the disposition of records, program unit staffshould contact their agency Records Management Officer to make certain that the schedule has beenadopted and that applicable items are being used by the agency. In some cases, agencies haveprepared their own plans for records that are also covered by general schedule items. In such cases,agency plans approved by the State Archives take precedence over the general schedule items. Inother cases, it is possible that the agency has determined to retain records longer then the indicatedminimum retention periods. Thus, program unit staff should contact their agency RecordsManagement Officer to verify that records can be disposed after the indicated minimum retentionperiods.This schedule will remain in effect until replaced, withdrawn, or superseded by the AttorneyGeneral, the State Comptroller, or the State Archives. In the event of a change in the retention ordisposition of records listed in this general schedule, the State Archives will notify all agencyRecords Management Officers.SOURCES OF ADDITIONAL INFORMATION AND ASSISTANCEEach agency has a designated Records Management Officer, who coordinates the agency'srecords management program and serves as the primary contact for agency staff seekinginformation on adoption and use of general schedules. The Records Management Officer isresponsible for agency-wide records management planning, program development, training, andtechnical assistance, including records inventorying and scheduling. Agency staff should contacttheir Records Management Officer for advice on use of this schedule. Most agencies also have anInternal Controls Officer who may be able to review the adequacy of policies and procedures fordocumenting administrative operations. The agency Public Records Access Officer, who isresponsible for implementing agency programs to comply with the Freedom of Information andPersonal Privacy Protection Laws, can provide advice on public access questions.State Archives staff, working in conjunction with the agency Records Management Officer,ixIntroductionassist agencies with developing or improving records access, storage and retrieval systems,assessing the feasibility of microfilming or imaging records, managing electronic records, andimplementing retention and disposition schedules. The State Archives also provides training andpublications for state agency personnel on a variety of records management topics. State Archivesstaff can assist you in learning about these and other services and in coordinating their delivery toyour agency.For additional assistance, contact your agency Records Management Officer, or contact theState Archives’ Government Records Services at: Room 9A47 Cultural Education Center, Albany,New York 12230; telephone (518) 474-6926; or by e-mail at: recmgmt@mail.nysed.gov.xGeneral AdministrationGENERAL ADMINISTRATION Agencies carry out various administrative tasks to support overall agency and office managementand administration. These include the development of major and routine administrative policies andprocedures, general office administration and other activities. This section covers these activities aswell as select records series that may be found throughout an agency.♦ 90372 Minutes, Agendas, Meeting Files and Recordings of Governing and Advisory Bodies ­- Records of those governing and advisory bodies of state agencies that are subject to the OpenMeetings Law (Sections 100-111, Public Officers Law), including meeting minutes, agendas,meeting or background files developed for use at or in conjunction with the meetings, and audio,video, webcast and other recordings of those meetings.Minimum Retention and Disposition: Transfer minutes, agendas and meeting andbackground files to State Archives 5 years after creation or when no longer needed tosupport agency operations. Destroy audio, video, electronic (including webcast) andother recordings of those meetings 4 months after the meeting.Justification: Minutes, agendas and related background records of state boards have longterm research value to document the operations of those bodies and their role in developingagency policies and to document agency activities and accomplishments. Recordingsgenerally lack long-term value, although some may merit archival preservation if theyprovide additional documentation of significant matters discussed at these meetings.Agencies are invited to contact the State Archives if they believe that recordings of meetingsof particular boards, or of specific meetings of their boards, may merit archival preservation.♦ 90366 General Administrative Records -- Records created and maintained by program units asa part of routine administrative operations. Includes records concerning office organization, staffing,procedures and communications, along with activity schedules, calendars, phone logs, appointmentbooks, tickler files, daybooks, chronological files consisting of extra copies of outgoingcorrespondence, and other records used to manage office activities. Also includes routine activityand production reports such as occasional and periodic reports, work load reports, work progressreports, backlog and production reports, and cumulative and summary reports used to monitor anddocument recurring and routine activities or production.Minimum Retention and Disposition: Destroy when superseded or obsolete.Justification: These records have no legal or fiscal value.1General AdministrationRecords Not Covered: Records documenting the specific programmatic functions andresponsibilities of offices or which are covered elsewhere in this schedule. Also does notapply to general administrative records of agency executive offices; these records may havelong-term value. Consult with the State Archives about the disposition of administrativerecords not covered by this item or elsewhere in this schedule.♦ 90202 Reports of Major Administrative Studies -- Major administrative studies are initiated bythe agency head, or conducted in response to a legislative, federal, or Office of the State Comptrollerprogram audit, an executive order, or a court order. They generally address agencywide operationsor issues, affect the largest or most critical agency functions, or address issues of public visibilityand concern. Studies that recommend elimination, merger, or reorganization of an agency or amajor subdivision are considered major studies.Minimum Retention and Disposition: Transfer one copy of the final report and anyresponses to the State Archives either directly or as part of the executive-level files ofthe agency (files of the agency head, executive deputy, etc.). Retain one copy in office oforigination for 3 years after report recommendations are implemented or rejected,then destroy.Justification: Major administrative studies have long-term value for research on agencyprogram development and priorities. Administrative studies may also be used in programmanagement audits by the Office of the State Comptroller and other control agencies.Note: Agencies should send 30 paper copies and one electronic copy of all publishedreports to the NYS Library for inclusion in the State Document Depository System.♦ 90203 Major Administrative and Operational Plans -- Comprehensive plans for theadministration, reorganization or operation of an entire agency or major subdivision. Administrativeand operational plans do not include mission-related or program-specific plans (e.g., State EnergyMaster Plan, State University Construction Fund Campus Master Plans).Minimum Retention and Disposition: Transfer one copy of the final plan and anyresponses to the State Archives either directly or as part of the executive-level files ofthe agency (files of the agency head, executive deputy, etc.). Retain one copy in office oforigination for 3 years after superseded or obsolete, then destroy.Justification: Major administrative and operational plans have long-term value for researchon agency program development and priorities. Plans may also be used in program audits by2General Administrationthe Office of the State Comptroller and other control agencies. State Archives staff willevaluate executive-level files to determine their archival value and arrange for theirpreservation, if warranted.♦ 90204 Reports of Routine Administrative Studies -- Reports of studies, surveys, managementaudits, or similar efforts that analyze routine operations, procedures, or processes or that addressadministrative problems in a single program unit.Minimum Retention and Disposition: Designate one copy as the record copy and retainfor 3 years after the implementation or rejection of the study recommendations, thendestroy.Justification: Administrative studies may be used in program management audits by theOffice of the State Comptroller and other control agencies.90205 Administrative Study and Survey Work Papers -- Project design plans, survey forms,databases, charts and diagrams, statistics, analyses, research materials, and related records created orcollected for major or routine studies, surveys, management audits, or plans.Minimum Retention and Disposition: Destroy 1 year after implementation or rejectionof study recommendations.Justification: Records should be kept for 1 year to verify and justify conclusions andrecommendations.♦ 90206 Routine Administrative and Operational Plans -- Plans developed to guideadministrative and routine operations in program areas. These records typically include programunit weekly, monthly, and yearly work plans and plans for specific projects.Minimum Retention and Disposition: Destroy all plans after superseded or obsolete.Justification: Routine operational plans are not needed for reference once they aresuperseded or all activities are completed.90207 Administrative Analysis and Planning Subject Files -- Correspondence, memoranda,copies of reports, articles, and related background materials, arranged by subject and used to supportadministrative analysis, planning, and development of procedures.3General AdministrationMinimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.♦ 90208 Major Administrative Policies and Procedures -- Major administrative policies andprocedures generally are issued by the agency head, chief administrative officer, or an executivelevel office to address agencywide operations, critical agency functions, or issues of public visibilityor concern or to regulate activities outside the agency. Major policies and procedures are formallypromulgated and often take the form of formal directives, formal policy memoranda, printed orpublished procedures, bulletins, orders, rules, notices, or formal policy and procedural manuals.Minimum Retention and Disposition: Transfer one copy to the State Archives eitherdirectly or as part of the executive-level files of the agency (files of the agency head,executive deputy, etc.). Retain one copy in issuing office for 6 years after policy iswithdrawn, revised, or superseded, then destroy.Justification: Major administrative policies and procedures have long-term value forresearch on agency missions, program development, and accomplishments. Majoradministrative policies and procedures may be used in development of agency operationalplans, in program audits by the Office of the State Comptroller or other control agencies, andin litigation.♦ 90209 Routine Administrative Policies and Procedures -- Administrative policies andprocedures governing routine, day-to-day operation of an agency or program unit. These recordsmay include memoranda, orders, guidelines, bulletins, manuals or other instructions which aredirective in nature. Routine administrative policies and procedures usually explain operatingpolicies and procedures pertaining to the internal administration of an agency or program unit.Minimum Retention and Disposition: Retain one copy in issuing office for 3 years afterpolicy or procedure is withdrawn, revised, or superseded, then destroy.Justification: The issuing office should retain policies and procedures for a minimum of 3years after they are withdrawn, revised, or superseded for use in development of subsequentpolicies and procedures. Routine policies and procedures may be used in program audits bythe Office of the State Comptroller and other control agencies. These records may also be4General Administrationused in litigation.Records Not Covered: Policies or procedures that govern activities of individuals ororganizations outside the issuing agency, or that are established through promulgation ofregulations, adjudication, or contractual agreements.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90362 Agency Copies of Control Agency Policies and Procedures -- Agency copies ofmemoranda, rules, orders, procedural instructions, regulations, bulletins, notices and any otherinstructions issued by control agencies which are directive in nature or explain policies orprocedures which are to be followed by other state agencies.Minimum Retention and Disposition: Destroy when no longer needed.Justification: The control agencies maintain the record copies of these records.Records Not Covered: Record copies of policies and procedures maintained by controlagencies.Note: Before disposing of these records, agencies may wish to consider whether longerretention is needed to document procedures used or actions taken by the agency in the eventof possible future litigation or audit.90210 Administrative Policies and Procedures Background and Development Files -­Background materials created or collected during the development of internal administrative policiesand procedures, including correspondence, analyses, research materials, copies of model policiesand procedures, draft policies and procedures, comments, and related records.Minimum Retention and Disposition: Destroy 1 year after a policy or procedure isissued.Justification: Background materials may be needed for reference and analysis for at least 1year after a policy or procedure is issued.5General Administration♦ 90369 E-Mail Messages -- Incoming and outgoing e-mail communications, includingattachments, used to distribute information and documents, announce or schedule meetings, andconduct formal and informal communications.Minimum Retention and Disposition: Destroy after messages and attachments areopened and records have been saved in appropriate electronic or paper file.Justification: Many e-mail communications are not records and are therefore suitable forimmediate destruction. Those messages and attachments which are records should bemaintained in appropriate electronic or paper files and disposed consistent with applicableauthorizations for those records.90370 Agency-Assisted Voter Registration Records -- Agency records documenting assistanceprovided to prospective voters to aid them in registering to vote. Includes participating agency’srecords transmitting completed voter registration applications or change of address forms to countyboards of elections, signed declination forms when individuals decline to register to vote, and relatedrecords.Destroy after 1 year, except destroy signedMinimum Retention and Disposition:declination forms after 22 months.Justification: Sections 5-211 and 5-212 of Election Law authorize agencies to assistprospective voters. Retention periods meet administrative needs and state requirementsunder 9 NYCRR 6213.2(b)(2) and 9 NYCRR 6213.3(d).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90388 Non-Record Copies of Agency Records -- Duplicate or extra copies of records held byagency program units for administrative reference purposes, when the record copies are retained tomeet legal, fiscal, administrative and other retention requirements and needs and when the nonrecord copies are not subject to any legal, fiscal or other specific retention requirements. This itemalso covers non-record copies of records held by program units when other units maintain the record(i.e., official) copies.Minimum Retention and Disposition:administrative reference.6Destroy when no longer needed forGeneral AdministrationJustification: The agency’s record (i.e., official) copies of these records are retained to meetlegal, fiscal, administrative and other requirements.7Affirmative Action, Reasonable Accommodation, and Human RightsAFFIRMATIVE ACTION, REASONABLE ACCOMMODATION, AND HUMAN RIGHTSState agencies develop and administer affirmative action, reasonable accommodation and relatedhuman rights programs to comply with various state and federal requirements. The purpose of theseprograms is to ensure equal employment opportunities for and prevent discrimination againstmembers of protected classes, including racial and ethnic minorities, women, disabled persons, andVietnam-era veterans. Most agencies have an affirmative action and reasonable accommodationofficer or office to direct and support these agency programs.Control Agency: The Department of Civil Service issues guidelines that state agencies aremandated to follow in developing affirmative action and reasonable accommodation plansand procedures, and assists agencies in meeting these state requirements.Records Not Covered: Records of the Department of Civil Service that document its role asa control agency for governmentwide affirmative action and reasonable accommodationprograms and records required for lengthier retention periods by federal agencies todocument 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 federalrequirements.Minimum Retention and Disposition: Retain in issuing office for 3 years aftersuperseded by a new plan and procedures, then destroy.Justification: These records may provide evidence during arbitration or litigationconcerning complaints of human rights violations. They may also be used as evidence ofcompliance with federal and/or state affirmative action and reasonable accommodationstatutes and regulations during investigations and/or litigation of allegations of continuingpatterns of discrimination. The records can also be used to document workforce trends andfor analysis purposes.Note: Agencies may wish to retain these records for longer periods to meet administrativeanalysis needs. Before disposing of these records, agencies must ensure that no legalactions have been initiated which might require access to them. If a case-by-case review offiles is impractical, the Office of the Attorney General advises retaining the records an8Affirmative Action, Reasonable Accommodation, and Human Rightsadditional 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, andrelated 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 litigationconcerning complaints of human rights violations. They may also be used as evidence ofcompliance with federal and/or state affirmative action statutes and regulations duringinvestigations and/or litigation of allegations of continuing patterns of discrimination.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90213 Affirmative Action Program Report Files -- Copies of reports prepared by agencyaffirmative action and related human rights programs for oversight agencies (e.g., Department ofCivil 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 documentcompliance and for reference, analysis, and development of reports.Note: Employment inquiry records and job applications are covered by item #90006 in thePersonnel section of this schedule.♦ 90214 Affirmative Action and Reasonable Accommodation Subject Files -- Correspondence,memoranda, copies of reports, articles, policies and procedures, summary records regarding requestsfor reasonable accommodations, copies of regulations, and related materials arranged by subject andused to administer agency affirmative action, reasonable accommodation and related human rightsprograms on topics such as recruitment, career planning, community relations, discrimination,sexual harassment, and cultural diversity.Minimum Retention and Disposition:9Destroy 3 years after creation or whenAffirmative Action, Reasonable Accommodation, and Human Rightssuperseded, whichever occurs later.Justification: Some records in affirmative action subject files may be needed to documentcompliance with state or federal affirmative action requirements.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.♦ 90215 Affirmative Action and Reasonable Accommodation Case Files -- Agency copies ofaffirmative action, sexual harassment and other human rights grievances made by employees againstan agency, requests for reasonable accommodations, and the records of the resolution of grievancesand requests. Case files may also include correspondence, exhibits, tape recordings, depositions,notes, transcripts, agency decisions, appeals to the Division of Human Rights, appeals to theDepartment of Civil Service’s Compliance Review Board, arbitration decisions, and state or federalcourt litigation records.Minimum Retention and Disposition: Destroy 3 years after final resolution of grievanceor request, and after execution of any stipulations or termination of anyaccommodation provided.Justification: These records may provide evidence during arbitration or litigationconcerning complaints of human rights violations. They may also be used as evidence ofcompliance with federal and/or state affirmative action, reasonable accommodation andother statutes and regulations during investigations and/or litigation of allegations ofcontinuing patterns of discrimination.Note: Agencies may wish to retain these records beyond the minimum retention period foruse in establishing patterns of complaints and for investigating and resolving futurecomplaints. Before disposing of these records, agencies must ensure that no legal actionshave been initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90216 Outreach Program Records -- Records of affirmative action programs directed towardproviding 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 includeapplications, decisions and awards, program descriptions, publications, participant duty descriptions,and related correspondence and reports.10Affirmative Action, Reasonable Accommodation, and Human RightsMinimum Retention and Disposition: Destroy 3 years after action on application or, forrecords concerning overall program administration, discontinuance of program.Justification: These records may provide evidence during arbitration or litigationconcerning complaints of human rights violations. They may also be used as evidence ofcompliance with federal and/or state affirmative action statutes and regulations duringinvestigations and/or litigation of allegations of continuing patterns of discrimination.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90217 Human Rights Training Records -- Records of training provided to employees onaffirmative action, equal employment opportunity, sexual harassment, reasonable accommodationand related human rights policies. These records document administration and content of trainingcourses and participation of agency staff. They include memoranda, flyers, curricula, sample coursehandouts, applications, registration, evaluation forms, and related correspondence and reports.Minimum Retention and Disposition: Destroy 6 years following completion of trainingsession or discontinuance of specific course.Justification: These records may provide evidence during arbitration or litigationconcerning complaints of human rights violations. They may also be used as evidence ofcompliance with federal and/or state affirmative action statutes and regulations duringinvestigations and/or litigation of allegations of continuing patterns of discrimination.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period. Agencies may also wish to retain a record oftraining provided to specific employees as a part of Employee Training History records (seeitem #90022 in the Training section of this schedule).11Budget PreparationBUDGET PREPARATIONExecutive branch budget preparation includes development and submission of annual agency budgetrequests, and subsequent review and approval by the Division of the Budget (DOB).Control Agency: The Division of the Budget is the central control agency for this function.Records Not Covered: Records of DOB that document its role as a control agency for thedevelopment of the annual budget for New York State government.90107 Program Unit Budget Request Files -- Records created and used by program managers todevelop budget requests, including cost statements, estimates, justifications, narrative statements,spreadsheets, background materials, and originating offices' copies of submissions to agency budgetoffice.Minimum Retention and Disposition: Destroy 1 fiscal year after the fiscal year coveredby the budget request.Justification: Program units use previous years’ requests during budget preparation for thecurrent year. Generally, reference to past requests decreases after 1 year. However, someprogram units may want to retain these records longer.Note: The final copy of a program unit budget request and supporting documentation of theagency's internal budget modification and approval process should be filed in generaladministrative files or the program unit director's office files. These records will bescheduled separately.90108 Agency Budget Preparation Files -- Records created by budget analysts during the processof reviewing program unit budget requests and preparing the agency's budget request, including coststatements, estimates, justifications, narrative statements, various reports, and other pertinent datasubmitted to an agency budget unit. The records in this series are the source documents for anagency's final budget request submitted to DOB.Minimum Retention and Disposition: Destroy 3 fiscal years after the fiscal year coveredby the budget.Justification: Agency budget unit and others use previous years' requests to prepare andcompare with present year's requests. After 3 years records lose their administrative value.12Budget Preparation♦ 90109 Agency Copy of Agency Budget Request -- Copy of the final budget request created byan agency budget unit and submitted to DOB, and supporting materials that documentcommunication between the agency and DOB and the Legislature regarding budget negotiations andsubsequent review after agency submission of the budget request.Minimum Retention and Disposition: Transfer one copy of the final budget request andsupporting documentation to the State Archives either directly or as part of theexecutive-level files of the agency (files of the agency head, executive deputy, etc.).Justification: The agency budget request and supporting documentation have long-termvalue for research on agency program development and priorities.13Employee RelationsEMPLOYEE RELATIONSEmployee relations includes all programs and activities that establish and implement the terms andconditions 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 collectivenegotiations and related activities.Control Agencies: The Governor's Office of Employee Relations (GOER) carries out NewYork State's responsibilities as an employer in accordance with the Taylor Law throughcollective bargaining with public employee unions representing executive branch agencyemployees, and administration of the employee grievance, disciplinary action, and jointlabor-management committee programs. The Public Employment Relations Board (PERB)hears and rules on charges of improper practices by state employee unions against the stateor 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 EmployeeRelations (GOER) and the Public Employment Relations Board (PERB) in their roles ascontrol agencies.♦ 90357 Grievance Case Records -- Agency copies of contract and noncontract grievances madeby employees against an agency, including grievance statements, agency responses, appeals,decisions, and supporting materials such as correspondence, exhibits, depositions, notes, taperecordings, transcripts, referrals to GOER, appeals, and copies of arbitration decisions.Minimum Retention and Disposition: Retain for a minimum of 10 years after finalresolution 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 #90358Disciplinary Action Records.Note: Agencies may want to retain some grievance records longer than the minimumretention in specific cases for reference purposes.♦ 90358 Disciplinary Action Records -- Records of disciplinary actions, contractual or pursuant toSection 75 of the Civil Service Law, brought by agencies against their employees, and of14Employee Relationsdisciplinary grievances filed by employees in response to such actions. These records includenotices 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 theprocess.Minimum Retention and Disposition: Retain for a minimum of 10 years after finalresolution of the disciplinary action or for 6 years after an employee terminatesemployment with the agency, whichever is first, then destroy, unless otherwisestipulated through disciplinary settlement or negotiated agreement.Justification: Future disciplinary proceedings against individual employees may considerprevious discipline in assessing penalties. Disciplinary actions may also be considered in theperformance evaluation and processes. Additionally, control agencies may require historicaltrend 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 incase of litigation related to disciplinary actions.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90359 Labor-Management Process Records -- Agency records of labor-management meetingson specific topics and of labor-management committee activities, including minutes, agenda,background materials, and written agreements. Such meetings may be at various levels of theagency as appropriate to the subject(s).Minimum Retention and Disposition: Retain until labor-management agreementexpires or is superseded by new labor-management agreement, and when no longerneeded for reference, then transfer to State Archives.Justification: Agency-level agreements are effective until expired or superseded, andfrequently are effective through the term of several statewide negotiated agreements. GOERdoes not maintain records of agency-level labor management activities. State Archives staffhave 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 thePublic Employment Relations Board (PERB) for resolution, including charges and other records15Employee Relationsof issues presented to PERB, administrative law judge findings, PERB decisions, and relatedrecords.Minimum Retention and Disposition:administrative reference.Destroy when no longer needed forJustification: PERB maintains the official records documenting cases presented to it forresolution.Records Not Covered: Records created and retained by PERB.♦ 90360 Employee Relations Subject Files -- Records supporting agency employee relationsprograms, arranged by subject, and consisting of correspondence, memoranda, extra copies ofcontracts, agency employee relations policies and procedures, reports and background materialspertaining 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 loseadministrative value after they are no longer needed for reference.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.16Equipment, Supplies, and Motor Vehicle ManagementEQUIPMENT, SUPPLIES, AND MOTOR VEHICLE MANAGEMENTEquipment, supplies, and motor vehicle management ensures efficient and effective control, use, andmaintenance of state-owned property, equipment, and other resources, excluding real property orcapital assets.Control and Service Agencies: The Office of General Services (OGS), Bureau of SurplusPersonal Property Disposition, operates the state surplus property disposition program. TheOGS Division of Statewide Vehicle Management provides motor vehicle managementservices for agencies. The Office of State Comptroller, Bureau of Management Audit, auditsuse and disposition of equipment, supplies, and property.Records Not Covered:- Records maintained by OSC for control and audit purposes.- Records maintained by OGS for control, management, or centralized support functions.- Records for which federal regulations or audit requirements specify a longer retentionperiod.- Records of real property and capital assets.- Records of heavy equipment used for highway construction, maintenance, or relatedactivities.♦ 90265 Equipment and Furniture Inventories -- Running inventories of equipment such asaudiovisual equipment, tools, laboratory equipment, and furniture that describe each item ofproperty, indicate its location, and provide cumulative totals of each type of agency-owned or leasedequipment and furniture. These records are often maintained as manual card files or computerdatabases.Minimum Retention and Disposition: Destroy as inventories are superseded or becomeobsolete.Justification: Running inventory records are continually updated. Normally only mostcurrent version is needed for agency operations or audits.17Equipment, Supplies, and Motor Vehicle ManagementNote: For records related to equipment classed as Capital Assets under Article 2 of thePublic Lands Law, see the Facilities Management section of this schedule.90266 Supplies, Commodities, and Parts Inventories -- Running inventories used to managestocks of expendable materials such as office supplies, commodities, and parts, describing thematerials and indicating current stock balances.Minimum Retention and Disposition: Destroy as inventories are superseded or becomeobsolete.Justification: Running inventory records are continually updated. Normally only mostcurrent version is needed for agency operations or audits.♦ 90361 Supplies, Commodities, and Parts Disbursement Records -- Records documentingdisbursement of office supplies, commodities, parts, and other expendable materials.Minimum Retention and Disposition: Destroy 3 fiscal years after disbursement.Justification: These may be required for program audits by the Office of the StateComptroller or for investigations of fraud or theft.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90267 Equipment Control Records -- Records documenting equipment use, excluding motorvehicles, and charge-out of equipment to program units or individuals, used to prevent misuse, abuseor theft, or to determine internal agency chargebacks. Examples include portable computers, toolcontrol records, and audiovisual checkout logs.Minimum Retention and Disposition: Destroy 3 years after equipment is returned.Justification: These records may be required for use as evidence in personal injury suitsrelated to the use of associated equipment under Section 214 of the Civil Practice Law andRules, which establishes a time limitation of 3 years on initiating such actions. Also, theymay be required for program audits by the Office of the State Comptroller.18Equipment, Supplies, and Motor Vehicle ManagementNote: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90268 Equipment and Motor Vehicle Maintenance Records -- Records documenting serviceand repairs to agency equipment or to motor vehicles assigned to or owned by an agency. Theserecords normally include maintenance orders, logs, copies of fiscal documents such as requisitionsor purchase orders for parts or services, warranties, operation and repair manuals, and parts lists.Minimum Retention and Disposition: Destroy 3 years after equipment or vehicle is sold,transferred, or otherwise disposed.Justification: These records may be required for use as evidence in personal injury suitsrelated to the use of associated equipment or motor vehicle under Section 214 of the CivilPractice Law and Rules, which establishes a time limitation of 3 years on initiating suchactions. Also, the records may be required for program audits by the Office of the StateComptroller.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90270 Agency Copies of Centralized Motor Vehicle Assignment Records -- Recordsdocumenting the assignment of motor vehicles to an agency by OGS, Division of Statewide VehicleManagement. These records normally include requests for assignment of vehicle, assignments,reports to OGS containing information on vehicle use, gasoline consumption and lubricantconsumption, credit card charges, and copies of fiscal documents such as oil or gas purchasingreceipts.Minimum Retention and Disposition: Destroy 3 years after end of vehicle assignment.Justification: Records are used to track and monitor vehicle use and for administrativereview and analysis by the agency. They may be required for program audits by the Officeof the State Comptroller.90271Agency Copies of Decentralized Motor Vehicle Assignment Records --19RecordsEquipment, Supplies, and Motor Vehicle Managementdocumenting agency assignments of motor vehicles to employees. These records normally includerequests for assignments, assignment and use logs, and reports.Minimum Retention and Disposition: Destroy 3 years after end of vehicle assignment.Justification: Records are used to track and monitor vehicle use and for administrativereview and analysis by the agency. They may be required for program audits by the Officeof the State Comptroller.90272 Vehicle Incident Records -- Reports and supporting materials documenting accidents,thefts, and other incidents involving state-owned vehicles.Minimum Retention and Disposition: Destroy 5 years after filing of report.Justification: OGS retains official copy of reports and supporting materials. Agencies maybe asked by investigators or OSC auditors to supply copies for up to 5 years after a report isfiled.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90273 Surplus Property Disposition Records -- Agency copies of records that identify surplusproperty, expedite its transfer to the OGS, Bureau of Surplus Personal Property Disposition or otherdisposition, and track disposition of property. These records include requests for disposal of surplusproperty, receipts, and copies of OGS reporting forms and supporting documentation that describethe property being disposed and provide information on proposed method of disposition.Minimum Retention and Disposition: Destroy 3 years after property has been disposed.Justification: OGS retains official copy of reports and supporting materials for surplusproperty transferred to the OGS, Bureau of Surplus Personal Property Disposition.However, agencies may be asked to supply copies for use by OSC auditors. They may alsobe required for use in investigations of alleged theft or fraud.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 320Equipment, Supplies, and Motor Vehicle Managementmonths beyond the minimum retention period.90365 Agency Recycling Reports -- Agency copies of annual reports concerning the purchase ofrecycled paper and products and other waste reduction efforts. Agencies file these reports with OGSand send copies to the Department of Environmental Conservation and Department of EconomicDevelopment, as required by Executive Order 142 of 1991.Minimum Retention and Disposition: Destroy 1 year after filing of report.Justification: OGS maintains the record copies of these reports. Records Not Covered: Copies of annual reports held by OGS, the Department of Environmental Conservation and the Department of Economic Development.♦ 90374 Equipment, Supplies, and Motor Vehicle Management Subject Files -- Records usedto support agency equipment, supplies, and motor vehicle management programs, arranged bysubject, and consisting of correspondence, memoranda, reports, manuals, copies of policies andprocedures, and related records pertaining to the indicated functions.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.21Facilities ManagementFACILITIES MANAGEMENTFacilities management encompasses the operation and maintenance of buildings or other facilities,including residential facilities, owned or leased by New York State. Facilities management includesfixed (capital) assets management, building and grounds maintenance, space planning andallocation, and parking assignment and control.Records Not Covered: Records created by the Office of General Services (OGS) thatdocument its facility management or records created by the Office of the State Comptroller(OSC) in the performance of audits related to fixed assets management. Records thatdocument the construction and major rehabilitation of buildings and other structures arealso not covered by this schedule and must be scheduled separately.♦ 90274 Fixed Assets Inventory Files -- Agency copies of records documenting purchase andownership of property meeting criteria for fixed (capital) assets as defined by the Statewide Fixed(Capital) Assets Accounting System under Section 2.2 of Public Lands Law. Fixed assets includebut are not limited to- all land- land improvements costing over $100,000- all buildings- all building renovations costing over $100,000- equipment costing over $40,000- infrastructure costing over $1,000,000.This series typically includes all input forms supplied by agencies to OGS, or, when data is suppliedin electronic form, copies of data input documents, as well as copies of purchase orders, vouchers,surplus property forms, or other records related to the purchase and disposition of property.Minimum Retention and Disposition: Destroy 3 fiscal years after disposal of associatedproperty.Justification: The Statewide Fixed Assets Accounting Systems Procedures Manual requiresthat agencies retain these records until the disposition of the associated property plus anadditional 3 years to conform with normal accounting procedures. This retention periodsatisfies OSC audit requirements.90275 Agency Copies of Fixed Assets Update Reports -- Agency copies of computer-generatedreports sent by OGS to agencies documenting changes to assets under the Statewide Fixed Assets22Facilities ManagementAccounting System.Minimum Retention and Disposition: Destroy after receipt of updated Fixed AssetsReport from OGS.Justification: These records have no value to an agency once superseded by an updatedreport.90276 Agency Copies of Fixed Assets Reinventory Reports -- Reports issued by OGS toagencies every 2 years detailing all agency fixed assets currently documented in the Statewide FixedAssets Accounting System.Minimum Retention and Disposition: Destroy 3 years after report is superseded by newreport.Justification: These reports may be used by OSC during audits of agency fixed assetsmanagement programs.♦ 90277 Facility Maintenance Work Order Files and Logs -- Agency records documentingrequests from facility tenants (both within and outside of the agency) for facility and physical plantsystem (heating, ventilation, air conditioning) maintenance work and records of work completed.Minimum Retention and Disposition: Destroy 3 years after completion of work.Justification: This retention period ensures that these files will be available in the event ofpersonal injury actions.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90278 Applications for Use of Facilities and Schedules -- Agency records documenting requeststo use facilities (e.g., meeting rooms) and the schedules resulting from those requests.Minimum Retention and Disposition: Destroy at end of calendar year.Justification: Applications and schedules have no administrative value after facility has23Facilities Managementbeen used.♦ 90279 Physical Plant Maintenance/Operations Reference Drawings and Files -- Copies ofarchitectural and engineering drawings and fixed equipment manuals used for reference in buildingoperation and maintenance.Minimum Retention and Disposition: Destroy 3 years after superseded or after thereplacement or disposal of the equipment.Justification: This retention period ensures that these records will be available in the eventof personal injury actions.Records Not Covered: Original or unique copies of as-built and shop drawings thatdocument construction and major rehabilitation of structures should be separatelyscheduled by the responsible program unit. While OGS holds official plans and designs ofmost state facilities, individual agencies may hold some unique records warranting longterm retention or transfer to the State Archives.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90280 Tenant Records -- Agency records documenting negotiations for and completion ofleases for office space and other facilities, records of subsequent communications with landlords,and other records related to tenancy. These records typically include copies of leases,correspondence, lease approvals from control agencies, copies of fiscal documents, and requests formaintenance or repairs.Minimum Retention and Disposition: Destroy 6 years after expiration of lease or finalpayment, whichever is later.Justification: This retention period satisfies the statute of limitations on litigation involvingcontracts (Section 213 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.24Facilities Management♦ 90281 Lease Files -- Leases for agency-owned property leased to public or private organizationsand individuals and records of administration of the terms of the leases. These records typicallyinclude copies of leases, related correspondence, copies of fiscal documents, and requests formaintenance or repairs.Minimum Retention and Disposition: Destroy 6 years after expiration of lease or finalpayment, whichever is later.Justification: This retention period satisfies the statute of limitations on litigation involvingcontracts (Section 213 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90282 Space Allocation Planning Files -- Agency space allocation plans and relateddocumentation, including copies of requests, estimates of space, justification of needs,specifications, copies of building diagrams, floor layouts, and supporting documentation fromagencies to OGS for allocation of space in facilities operated by OGS.Minimum Retention and Disposition: Destroy when space plan is implemented, revised,or cancelled.Justification: Records are no longer needed after space allocation plans have beenimplemented, revised, or cancelled.♦ 90283 Space Assignment Files -- Agency copies of requests for space from program units,specifications, building diagrams, floor layouts, justifications, records of actual assignment of spaceto program unit, and master building directories.Minimum Retention and Disposition: Destroy when a space assignment is terminated.Justification: Records of space assignments are not needed after space has been reassigned.90284 Parking Permit Application Files -- Applications for agency-controlled parking spaces25Facilities Managementand waiting lists.Minimum Retention and Disposition: Destroy 6 months after parking space is assignedand the employee is registered.Justification: These records should be retained for the indicated period in case of employeegrievances.90285 Parking Permit Assignment Records -- Records of assignments of agency-controlledparking spaces, including name of authorized user, permit number, and location of assigned space.Minimum Retention and Disposition: Destroy 6 months after permit is cancelled orsuperseded by a new permit.Justification: These records should be retained for the indicated period in case of employeegrievances.♦ 90286 Physical Plant Systems Monitoring and Inspection Records -- Records documentingthe operation and inspection of facility heating, ventilation, energy consumption and monitoring, firesuppression, air conditioning, water, electrical, and mechanical systems, including but not limited tometer readings, steam pressure logs, fixed equipment (e.g., elevators and mechanical doors)inspection reports, and heating fuel consumption recordings.Minimum Retention and Disposition: Destroy 3 years after creation.Justification: These records may be required for program audits by the Office of the StateComptroller. Also, they may be required for use as evidence in personal injury suits relatedto system failure or malfunction (Section 214 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90287 Facility Management Subject Files -- Records used to support agency facility managementprograms, arranged by subject, and consisting of correspondence, memoranda, reports, manuals,copies of policies and procedures, and related records pertaining to maintenance and use of facilities.26Facilities ManagementMinimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.♦ 90375 Contractors’ Certified Payrolls -- Records of certified payrolls filed with state agenciesby contractors and sub-contractors relating to public-work projects, including correspondence andassociated documents.Minimum Retention and Disposition: Destroy 3 years after contract completion.Justification: These records must be retained for the indicated period pursuant to Section220 (3-a) of Labor Law.27Fiscal OperationsFISCAL OPERATIONSFiscal operations encompasses most activities undertaken by agencies to manage, account for,collect, and expend funds. Records Disposition Authorizations for this section are subdivided intofive functional areas as follows:- Fiscal Administration- Purchasing/Claims and Payments- Revenue and Collections- Accounting Reports (New York State Accounting System)- Bank Transactions.Records related to budget preparation or payroll are covered in other sections of this schedule.Control Agencies: The State Comptroller is the chief fiscal officer for New York Stategovernment and heads the Office of the State Comptroller (OSC). OSC audits agencies,oversees the State Finance Law, and prescribes methods of bookkeeping, filing, andrendering accounts. The Division of the Budget (DOB) oversees agency budget preparationand must preapprove the expenditure of allocated funds by agencies. The Office of GeneralServices (OGS) operates a centralized contracting service for purchases of common goodsand services by agencies.Records Not Covered:- Records created or maintained by control agencies (e.g., OSC, DOB, or OGS) that areused to carry out or document government-wide approval, control, audit, or oversightresponsibilities.- General ledgers, general journals, and “books of original entry.” The retention periodsfor these records will vary from agency to agency depending on the nature of the accountsdocumented in the records. In addition, some records may contain information of long-termvalue on accounts and expenditures. These records should be evaluated by the StateArchives prior to destruction.- Records related to capital construction. These records may have longer retention periodsthan other fiscal records. For example, contracts and related records which document thedesign and construction of a structure generally should be maintained for the life of thestructure plus 3 years to protect an agency against tort claims.- Records related to the acquisition or sale of real property. Contracts and related recordsinvolving the state's rights in or title to real property, the rents or profits therefrom, or a28Fiscal Operationscitizen's real property claims by virtue of Letter Patent or a grant from the state, have astatute of limitations on a claim against such a contract of twenty years after expiration(CPLR, sec. 211 (c) and (d)). This statute of limitation exceeds the "6 years after expirationof contract" statute of limitation applied to most other contracts. Moreover, some fiscalrecords related to the acquisition or sale of real property may contain information of longterm value for research purposes. These records must be scheduled separately and shouldbe evaluated by the State Archives before destruction.- Records that document the receipt, management, and/or expenditure of federal funds andwhich are subject to specific federal retention requirements longer than the retention periodsauthorized in this schedule. These records must be scheduled separately to meet federalretention requirements.FISCAL ADMINISTRATION -- Fiscal administration includes agency fiscal policy developmentand implementation, ensuring compliance with state fiscal policies and procedures, reportingfinancial status and activities, reconciling accounts, and responding to audits.90100 General Subject and Correspondence Files -- Records used to support general agencyfiscal management (usually arranged alphabetically by subject), including correspondence,memoranda, and reports pertaining to budget preparation, purchasing, general fiscal matters, andinternal fiscal policies and procedures.Minimum Retention and Disposition: Destroy 3 fiscal years after creation.Justification: This retention ensures that any supporting material for audits is retained andallows weeding of obsolete and superseded records on a 3-year cycle. Agencies may wish tokeep certain records in this series longer than the legal minimum.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.90101 State Fiscal Policies and Procedures Records -- Memoranda, rules, orders, proceduralinstructions, regulations, bulletins, notices, and any other instructions issued by OSC, DOB, OGS, orother control agencies which are directive in nature or explain policies or procedures relating to thefiscal and administrative responsibilities of an agency's fiscal office.Minimum Retention and Disposition: Destroy after superseded or obsolete.Justification: DOB, OSC, OGS, and other control agencies maintain the record copy of29Fiscal Operationsthese records for an extended retention period. Once a policy or procedure is superseded orobsolete it has no value to an agency.Records Not Covered: Record copies of policies and procedures maintained by DOB, OSC,OGS, or other control agency.90102 Budget Certificates of Approval -- Certificates issued by DOB authorizing the expenditureof allocated funds.Minimum Retention and Disposition: Destroy 2 fiscal years after lapse of funds.Justification: These records are actively referenced in the agency budget unit for up to 2years after the lapse of funds.90103 Routine Internal Status and Activity Reports -- Internal statistical and narrative reportscreated by an agency on the routine operations and functions of a fiscal office, including weekly,monthly, and quarterly reports used for operations, management analysis, and planning.Minimum Retention and Disposition: Destroy after report is updated, superseded, orobsolete.Justification: Most reports have limited value after they are superseded or updated.Agencies may choose to retain selected summary reports longer to track operational trendsor for planning.Records Not Covered: All audit reports, reports generated by the New York StateAccounting System, and reports created outside the agency.90104 Nonroutine Financial Reports and Studies -- Reports and studies created for fiscal,accounting, and administrative review or analysis by the agency, another state agency, a federalagency, or an external party, including equity and escrow reports, fringe benefit studies, facilityusage reports, cost comparison studies, sales reports, investment practice studies, and other specialreports or studies.Minimum Retention and Disposition: Destroy 3 fiscal years after creation.Justification: Records are maintained for audit purposes, as well as for budget and longrange financial planning. Some reports have reference value beyond the 3-year retention30Fiscal Operationsperiod and may be retained longer.Records Not Covered: This item does not cover audit reports or New York State AccountingSystem reports.♦ 90105 Audit Reports, Responses and Work Papers -- Agency copies of audit reports createdby OSC, agency internal auditors, and other state, federal, or private agencies that monitor, examineand verify the accounts and fiscal affairs of an agency, and agency responses. Also includes workpapers for agency internal audits.Minimum Retention and Disposition: Destroy reports and responses 3 fiscal years afterthe issuance of the report. Destroy work papers 1 year after completion of report.Justification: After 3 years, audit reports normally become obsolete for administrativepurposes. Agencies may want to keep audit reports for longer than the minimum retentionperiod for reference and administrative purposes. Work papers can be used for reference for1 year following completion of report.Records Not Covered: Official copies created by OSC or other control agencies inperforming their auditing function. Also does not cover audit reports and responses whichare subject to longer retention requirements of federal or other funding agencies. Agenciesshould submit separate disposition requests for any records subject to longer retentionrequirements.90106 Reconciliation Work Papers -- Intermediate fiscal records of receipts and disbursementsused to reconcile accounts, including spreadsheets, proof sheets or trial balance worksheets, abstractsof receipts, disbursements, or claims, and other supporting documents.Minimum Retention and Disposition: Destroy 3 fiscal years after creation.Justification: These records are retained for audit purposes.PURCHASING/CLAIMS AND PAYMENTS -- This section covers all contract and non-contractrecords related to purchases of goods and services or payment of claims, except for records ofcontracts related to capital construction or land purchases.♦ 90126 Purchase/Accounts Payable Records Related to Agency-Let Contracts -- Recordsrelated to the purchase of goods and services which require a contract, including purchase31Fiscal Operationsrequisitions and justifications, vendor solicitations, requests for proposal, price quotations, contracts,leases, bonds, bid proposals, specifications, procurement and procurement contact records, purchaseorders, receipts and other payment history records, invoice requests, merchandise receipts, vendorinvoices, agency vouchers, service reports, and other supporting documentation. Also includesrecords used by an agency accounts payable/claims office to track and monitor the claims andpayment process on a daily basis, including manual and automated logs, registers, listings, andrelated records.Minimum Retention and Disposition: Destroy 6 years after expiration of relatedcontract or final payment, whichever is later.Justification: An agency's record copy of an agency-let contract file, including supportingdocumentation, must be maintained for 6 years after expiration of the contract to satisfy thestatute of limitations on litigation involving a contract (Civil Practice Law and Rules, Article2-213) and to satisfy OSC's audit requirements. OSC also maintains copies of contracts for 6years and copies of contract-related invoices and vouchers for a minimum of 10 years.However, important supporting documentation is only maintained by agencies.Records Not Covered: Requisitions, receipts and related purchase and payment historyrecords for purchases which do not require agency-let contracts are covered by item#90127. Also, OSC copies of contracts, OGS-let term (centralized) contracts, real propertyacquisitions or sales contracts, and capital construction contracts are not included in thisitem and are not covered by this schedule. Agencies should schedule real propertyacquisitions and sales and capital construction records separately.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90127 Purchase/Accounts Payable Records Not Related to Agency-Let Contracts -- Recordsrelated to the purchase of goods and services which do not require a contract, including purchaserequisitions and justifications, vendor solicitations, requests for proposal, price quotations,procurement record checklists, purchase orders, receipts and other payment history records, invoicerequests, merchandise receipts, vendor invoices, agency vouchers, service reports, purchase orderlogs, requisition logs, reports showing encumbrance of funds, and other supporting documentation.Also includes records used by an agency accounts payable/claims office to track and monitor theclaims and payment process on a daily basis, including manual and automated logs, registers,listings, and related records.32Fiscal OperationsMinimum Retention and Disposition: Destroy 3 fiscal years after completion ofpurchase, including delivery of goods and services and payment.Justification: Purchase requisitions and orders are used for up to 3 fiscal years to developnew purchases, to track purchasing trends, for agency internal audits and to satisfy OSC'saudit requirements.Records Not Covered: Requisitions, orders, and related purchase and payment historyrecords for purchases which require agency-let contracts are covered by item #90126.♦ 90376 Vendor and State Contracts Reference Files -- Information on supplies, equipment,computer hardware and software, and other products and their vendors, including price lists, vendorevaluations and related records.Minimum Retention and Disposition: Destroy after records are no longer needed forreference.Justification: These records have no value once they are no longer needed for referencepurposes.Records Not Covered: Master copies of state contracts are retained by OGS.♦ 90367 Cancelled Bids File -- Agency records pertaining to bids for goods or services whichwere cancelled without an award being made. Records include purchase requisitions andjustifications, vendor solicitations, requests for proposals (RFPs), price quotations and relatedrecords.Minimum Retention and Disposition: Destroy 1 year after award of contract forsubsequent procurement of the same goods or services, or 1 year after agency decisionto not purchase such goods or services.Justification: Records have no administrative value after retention period.Records Not Covered: Records of bids (successful and unsuccessful) for which awards weremade should be disposed based on items #90126 and #90127.♦ 90119 Employee Travel Payment Files -- Records of employees' requests for reimbursement orpayment of expenses for state-related travel, including encumbrance records, requests for travel33Fiscal Operationsadvance, travel vouchers, justifications, and various supporting records.Minimum Retention and Disposition: Destroy 3 fiscal years after payment oroverpayments are returned by the employee, whichever is later.Justification: This series is kept 3 years after payment to meet OSC's audit requirementsand the statute of limitations for actions involving nonpayment of money collected onexecution (Civil Practice Law and Rules, Article 2-214). OSC maintains the record copy ofthe vouchers in this series for 6 years.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.REVENUE AND COLLECTIONS -- This section covers records related to billing, receipt offunds, and management/disposition of funds received by an agency.90120 Revenue Accounting (Billing and Accounts Receivable) Records -- Revenue accountingrecords of billing, receipt, and subsequent disposition of monies, including bills, invoices, cashreceipts records, cash disbursement records, cashier's reports, refunds of appropriations, reports ofmonies received, reports of revenue transfers, transmittals, master control records, journal vouchers,and other related records.Minimum Retention and Disposition: Destroy 3 fiscal years after receipt of funds.Justification: Revenue accounting records are retained by an agency 3 years to satisfyOSC's audit requirements. OSC maintains "reports of revenue" for 5 years.Records Not Covered: This records series is not applicable to agencies established ascollection agencies or engaged in revenue/collection activities as a significant part of theirfunction (e.g., Department of Taxation & Finance, Division of the Lottery, and certainoperations of Department of Motor Vehicles). Bank account records are covered by items#90124 and #90125.ACCOUNTING REPORTS (NEW YORK STATE ACCOUNTING SYSTEM) -- OSCoperates a centralized system to account for all receipts and expenditures of agency funds. Thissystem regularly generates reports to provide agencies with information about the status of theirfiscal accounts.34Fiscal Operations♦ 90121 Accounting/Fiscal Status Reports -- Accounting and fiscal reports generated from OSC'sNew York State Accounting System reflecting the status of appropriations/segregations,expenditures, disbursements, and receipts of an agency.Minimum Retention and Disposition: Destroy after report is superseded or becomesobsolete.Justification: Reports have minimal administrative value after they are updated orsuperseded by the latest report. The New York State Accounting System User ProcedureManual instructs agencies to “retain the most recent copy of all accounting reports receivedfrom the Central Accounting System” and to “retain all other reports at your discretion,ensuring that accounting data is available for budget preparation, financial analysis, andaudit of Federal and other grants.”Records Not Covered: End of fiscal year status reports and daily journal reports (see items#90122 and #90123). This item should not be used for records of public benefitcorporations and public authorities that are not part of OSC’s New York State AccountingSystem.♦ 90122 End of Fiscal Year Status Reports -- Includes five end-of-year status reports generatedfrom the New York State Accounting System as follows:BUD 049BUD 060CTL 470LED 010LED 040Appropriation/Segregation Accounts Including Lapse Cost Center Status by Segregation Expenditure Analysis Appropriation/Segregation Ledger Abstract Fund/Subfund Ledger. Minimum Retention and Disposition: Destroy 3 fiscal years after year covered byreport.Justification: The New York State Accounting System User Procedure Manual instructsagencies to "Retain the fiscal year-end copies of the following reports (BUD049, BUD060,CTL470, LED010, and LED040) for three years for post-audit purposes."Records Not Covered: Records of public benefit corporations and public authorities thatare not part of OSC’s New York State Accounting System.35Fiscal Operations♦ 90123 Daily Journal Reports -- Includes eight journal reports generated from the New YorkState Accounting System as follows:JRN 010JRN 020JRN 030JRN 040JRN 050JRN 060JRN 070JRN 080Revenue Journal Appropriation Journal Segregation Journal Refund of Appropriation Expenditure Journal Encumbrance Journal Expenditure Journal Expenditure Adjustment Journal Disbursement Journal. Minimum Retention and Disposition: Destroy 6 months after receipt of report.Justification: The New York State Accounting System User Procedure Manual instructsagencies to "Retain daily journals (JRN010 through JRN080) for six months to provide anaudit trail (with the LED010 and LED040) to accounting transactions and sourcedocuments."Records Not Covered: Records of public benefit corporations and public authorities thatare not part of OSC’s New York State Accounting System.BANK TRANSACTIONS -- Many agencies hold separate accounts with banks and other financialinstitutions to manage funds outside of the New York State Accounting System.90124 Revenue Bank Account Files -- Records of bank transactions for revenue or incomeaccounts, including bank statements, deposit slips, summaries of the status of accounts,uncollectable checks, balances of funds over a specified period, and other records related to theroutine revenue or collected monies of an agency.Minimum Retention and Disposition: Destroy 3 years after the end of the fiscal year.Justification: Records are retained for 3 years to satisfy OSC audit requirements.Note: Agencies should maintain documentation on uncollected obligations, including copiesof uncollected checks, as part of item #90120, Revenue Accounting (Billing and AccountsReceivable) Records.90125 Payment Bank Account Files -- Records of bank transactions for payments, including bank36Fiscal Operationsstatements, listings of deposits, cancelled checks, cancellations of payment, bank reconciliations,check stubs, bad check advices, schedules of outstanding checks, other back-up statements anddocuments, and other records reflecting the status of an agency's accounts relating to petty cash,travel expenses, and escrow payments.Minimum Retention and Disposition: Destroy 3 fiscal years after payment, exceptschedules of outstanding checks should not be destroyed until those checks are writtenoff to the general fund and relevant identifying information is submitted to the Officeof the State Comptroller.Justification: Records are maintained for 3 fiscal years after payment to satisfy OSC auditrequirements. Outstanding checks are written off to the general fund pursuant to Section 102of State Finance Law.37Forms ManagementFORMS MANAGEMENTForms management involves agency activities to control, standardize, design, create, and monitoruse of forms.90288 Forms History Files -- Records created and maintained to control the creation, design,printing, use, and revision of agency forms and documentation of the forms review and approvalprocess. These records typically include program unit requests for preparation of forms, memorandaand other records concerning forms design and use, draft forms, a record copy of each form createdby the agency, and related records.Minimum Retention and Disposition: Destroy 2 years after the form is discontinued.Justification: Agencies may refer to forms history files for up to 2 years after a form isdiscontinued to plan revisions of current forms or to reinstate a discontinued form.90289 Forms Inventory Records -- Inventories of agency forms used to control the creation, use,and proliferation of forms.Minimum Retention and Disposition:inventory.Destroy when superseded by an updatedJustification: Outdated forms inventories have no legal, fiscal, or administrative value.90290 Forms Management Program Subject Files -- Records used to support the administrationof an agency forms management program, arranged by subject, and consisting of correspondence,memoranda, reports, guidelines, articles, vendor literature, studies, copies of internal policies andprocedures, and related records on forms design, management, and control.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.Note: Agencies should not use this item for records which are covered by separateauthorizations in this schedule.38Health, Safety, and SecurityHEALTH, SAFETY, AND SECURITYHealth, safety, and security functions protect the well-being of state employees and members of thegeneral public who are engaged in official business or residing in or visiting state-owned or operatedfacilities. Health, safety, and security programs include monitoring compliance with health andsafety standards, regulating and monitoring the environment in state facilities, managing the storageand use of toxic and harmful substances, ensuring facility security, fire prevention and response, andplanning disaster preparedness and response.Records Not Covered: Records of the Department of Labor, the Department ofEnvironmental Conservation (DEC), the Office of General Services (OGS), the Departmentof State (DOS), the Department of Civil Service, and any other agency that documentgovernmentwide control or oversight of health, safety, and security functions, or theprovision of centralized services. See descriptions and recommendations below for morespecific information about records that are not covered by this schedule.♦ 90291 Annual Environmental Audit Report Records -- Agency copies of annualenvironmental audit reports submitted to DEC and related records providing an assessment ofagency compliance with environmental laws. The records include descriptions of environmentalproblems, 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 submittedto 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 agencyfor this function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.39Health, Safety, and Security♦ 90292 Toxic Substances in the Workplace Notifications and Information Files -- Recordsdocumenting notification by agencies to employees of the existence of toxic substances in theworkplace and the potential effects of exposure to these substances, including correspondence andmemoranda, material safety datasheets, and related records documenting the transmission ofinformation 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 Lawand 12 NYCRR 820.3. The retention period ensures the availability of information fromthese files for the same period of time during which lists of employees handling the toxicsubstances will be maintained (see item #90293).Records Not Covered: Records required to document compliance with federal and stateregulations related to specific substances. Agencies seeking information on specificsubstances and possible retention requirements should refer to 29 CFR 1910, et seq.Note: Item #90013 covers records relating to actual exposure of individual employees totoxic substances.♦ 90293 Lists of Employees Who Handle Toxic Substances -- Records of names, addresses, andsocial security numbers of employees who handle or use substances included in section 1910 of thefederal occupational safety and health regulations (29 CFR 1910, subpart z) and which substanceswere 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 beretained for this period of time.Note: Item #90013 covers records relating to actual exposure of individual employees totoxic substances.♦ 90013 Employee Hazardous Substance Exposure Records -- Records of exposure or possibleexposure to toxic or harmful substances, including information on the substance to which anemployee is exposed, employee exposure records, summary and detailed environmental andbiological monitoring records, and related records.Minimum Retention and Disposition:40Destroy 30 years after exposure, exceptHealth, Safety, and Securityenvironmental monitoring background data may be destroyed after 1 year providedthat sampling results, methodology, a description of analytical method used, and asummary of other relevant background data is retained for 30 years.Justification: The federal Occupational Safety and Health Administration (29 CFR1910.1020) requires that employee hazardous substance exposure records be maintained for30 years.Note: New York State Labor Law Section 879 requires that employers maintain lists ofhazardous or toxic substances which are handled or used by employees and whichsubstances were handled or used by which employees. Such lists must be maintained for 40years (see item #90293). Hazardous substance exposure records should not be filed in theemployee'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 properuse and handling of toxic substances, and compliance with federal Occupational Safety and HealthAdministration requirements.Minimum Retention and Disposition: Destroy 3 years after employee separation fromagency. Destroy summary records, including course material, 3 years after separationof all concerned employees from agency.Justification: 12 NYCRR 820.4 requires employers to maintain records of toxic substancetraining until employee separation. The additional 3 years will cover the need for theserecords 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 AbatementBoard, located in the NYS Department of Labor, that document its oversight of agency toxicsubstances training and education programs.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period. Agencies may also wish to retain a record oftraining provided to specific employees as a part of Employee Training History records (seeitem #90022 in the Training section of this schedule).♦ 90295 Employee Occupational Injury and Illness Incident Logs, Reports and Summaries --41Health, Safety, and SecurityRecords documenting recordable occupational injuries and illnesses of agency employees, includingincident logs, incident reports, annual summaries, and related correspondence, memoranda and otherrecords.Minimum Retention and Disposition: Destroy 5 years after the end of the calendar yearthat the records cover.Justification: 12 NYCRR 801.33 and 29 CFR 1904.33 require that employers maintainthese records for 5 years.Records Not Covered: Records related to employee hazardous substances exposure arecovered by item #90013. Records of employee occupational injuries and illnesses preparedpursuant to Section 110 of Workers’ Compensation Law are covered by item #90015 in thePersonnel section of this schedule. Also not covered are any records of the Department ofLabor maintained in relation to its role as a control agency for this function.♦ 90296 Annual Occupational Injury and Illness Surveys -- Agency copies of annualoccupational injury and illness surveys submitted to the NYS Department of Labor under 12NYCRR 801.41.Minimum Retention and Disposition:Department of Labor.Destroy 1 year after submission to theJustification: The NYS Department of Labor maintains the record copies of these annualsurveys.Records Not Covered: Records maintained by the Department of Labor in connection withits 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 documentingagency cooperation with the NYS Department of Labor in facility inspections mandated by 12NYCRR 802 and agency efforts to comply with Department of Labor findings and determinations.Minimum Retention and Disposition: Destroy 3 years after completion of inspection orafter any violations are remedied, whichever is longer.Justification: This retention period meets the statute of limitations involving personal injurysuits (Section 214 of the Civil Practice Law and Rules).42Health, Safety, and SecurityRecords Not Covered: Records maintained by the Department of Labor in connection withits role as a control agency for this activity.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90299 Health and Safety Code and Regulations Variance Files -- Agency requests for relieffrom health and safety standards and regulations and records of approved variances. This includespetitions, 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 afterthe 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 withits role as a control agency for this activity.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90300 Fire Code Compliance Records -- Agency copies of fire safety inspections, fireextinguisher inspections, complaints, violation corrective plans, code compliance certificates, firedrill records, and annual reports that document compliance with the NYS Uniform Fire Preventionand Building Code.Minimum Retention and Disposition: Retain records of inspections, drills and annualreports for 3 years or until all violations are corrected, whichever occurs later, thendestroy. Destroy code compliance certificates 3 years after they expire.43Health, Safety, and SecurityJustification: This retention period meets the statute of limitations requirements forpersonal injury litigation (Section 214 of the Civil Practice Law and Rules) and complieswith NYS Department of State inspections requirements (19 NYCRR 1204).Records Not Covered: Records maintained by the Department of State to control andprovide oversight for this function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90301 Fire Safety Program Records -- Records concerning the establishment and administrationof a network of fire wardens, marshals, and searchers, including lists of individuals serving in thesecapacities, building diagrams, assignments, evacuation procedures, meeting records, and lists ofequipment 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 injurylitigation (Section 214 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90302 Fire Safety Education and Training Records -- Records relating to agency fire safetyeducation and training programs, including course information records and course registrationrecords 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 injurylitigation (Section 214 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 344Health, Safety, and Securitymonths beyond the minimum retention period. Agencies may also wish to retain a record oftraining provided to specific employees as a part of Employee Training History records (seeitem #90022 in the Training section of this schedule).♦ 90303 Building Visitor Logs and Security Videotapes -- Logs of entry to and exit from agencyfacilities containing visitor name, organization or business, address, reason for visit or person/unitvisited, and dates and times of entry and exit. Also includes videotapes or other recordings preparedfor security purposes that document specific incidents and merit retention for administrative orpotential legal uses.Minimum Retention and Disposition: Destroy 3 years after the end of the year to whichthey relate.Justification: This retention period meets the statute of limitations involving personal injurylitigation (Section 214 of the Civil Practice Law and Rules). It also meets or exceeds thestatute of limitations for initiating criminal prosecutions for misdemeanors (Section 30.10 ofthe 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) andrecords maintained by the Office of General Services in its capacity as a service agency forbuilding security. Records of investigations into security-related incidents are covered byitem #90305.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90304 Building Pass Records -- Agency records documenting the issuance and cancellation ofbuilding passes include applications for temporary and permanent passes, copies of passes, lists ofindividuals with valid passes, records of revocations or cancellations, correspondence, andmemoranda.Minimum Retention and Disposition: Destroy records documenting issuance andcancellation of passes 3 years after passes are cancelled or become invalid, exceptactual passes that have been cancelled or have expired may be destroyed immediately.Justification: This retention period meets the statute of limitations involving personal injury45Health, Safety, and Securitylitigation (Section 214 of the Civil Practice Law and Rules). It also meets or exceeds thestatute of limitations for initiating criminal prosecutions for misdemeanors (Section 30.10 ofthe Criminal Procedure Law).Records Not Covered: Records of investigations into security-related incidents are coveredby item #90305.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90305 Incident and Investigation Records -- Agency copy of records documenting securityrelated incidents and investigations by agency staff and external investigators. These recordsinclude but are not limited to complaints, incident reports, accident reports, reports of stolenproperty, emergency response-related records, and correspondence and memoranda.Minimum Retention and Disposition: Destroy 5 years after any investigation is closedor dropped, except 3 years after 18th birthday for any accidents or personal injuryincidents involving minors.Justification: This retention period meets or exceeds the statutes of limitations for initiatingcriminal prosecutions for misdemeanors and most felonies (Section 30.10 of the CriminalProcedure Law). This retention period will also ensure the availability of these records ininstances concerning personal injury suits.Records Not Covered: Records maintained by any agency having a law enforcementfunction, and records of incidents and investigations in correctional, mental hygiene, andother residential facilities.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months 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 tosupport the administration of health, safety, and security programs, arranged by subject and coveringtopics such as health issues, building safety, facility access, and incident reporting, exclusive of46Health, Safety, and Securityrecords 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 buildingsecurity (e.g., State Police barracks, correctional facilities and secured mental healthfacilities) and records maintained by OGS in its capacity as a central provider of securityservices.♦ 90307 Facility Disaster Preparedness Files -- Agency copies of disaster preparedness andevacuation plans for agency-owned and occupied buildings. These records typically include, but arenot limited to, correspondence, memoranda, risk assessments and vulnerability studies,disaster/contingency and evacuation plans, supporting materials used to develop plans, and trainingand educational materials.Minimum Retention and Disposition: Destroy 3 years after a plan is superseded ormade obsolete because the agency vacates a facility.Justification: This retention period meets the statute of limitations involving personal injurysuits (Section 214 of the Civil Practice Law and Rules).Records Not Covered: Records of activities of the State Disaster Preparedness Commissionand the State Emergency Management Office.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90368 Disaster Response and Recovery Records -- Agency records documenting responses toa major disaster, including photographs, press clippings, property damage reports, records ofemergency response, summary reports of personal injuries, records relating to demolition and newconstruction, and correspondence.Minimum Retention and Disposition:needed for agency use.47Transfer to State Archives when no longerHealth, Safety, and SecurityJustification: Records have long-term value to document responses of state agencies tomajor disasters and to document the disasters.Records Not Covered: Records of activities of the State Disaster Preparedness Commissionand the State Emergency Management Office.48Information TechnologyINFORMATION TECHNOLOGY Information technology (IT) encompasses all activities undertaken by agencies to design, develop,and operate electronic information systems. This section covers records for which IT units areresponsible, including administrative records and those used to process data and monitor and controloperations. This section does not cover records created to support specific operations in programunits outside of the IT organization. Records retained to meet program-specific requirementsoutside of the IT unit must be scheduled separately by the unit with the responsibility and authorityto determine their retention requirements and final disposition.Records Disposition Authorizations (RDAs) for this section are subdivided into six functional areasas follows:- General Administration- Systems and Application Development- Computer Operations and Technical Support- Data Administration- IT Support- Network/Data Communication ServicesGENERAL ADMINISTRATION -- General Administration includes IT policy development,fiscal and personnel administration, planning, and the coordination of activities within IT units andbetween an IT unit and other parts of an agency.♦ 90218 Data Processing Unit Subject Files -- Correspondence, memoranda, reports,publications, and related records used to support the administration of agency data processingservices.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.Records Not Covered: Agency information technology plans are covered by item #90219.Agency IT policies are covered by item #90209 in the General Administration section of thisschedule. Records that document fiscal transactions are covered by various items in theFiscal Operations section of this schedule. This item also does not cover records covered byother items in this schedule.Note:Agencies should not use this item for records which are covered by separate49Information Technologyauthorizations in this schedule.♦ 90219 IT and Data Processing Services Plans -- Agency annual technology plans submitted toDOB and Office of the Chief Information Officer, data processing services plans, strategic plans,and related records used to plan for information systems development, technology acquisitions, dataprocessing services provision, or related areas.Minimum Retention and Disposition: Destroy plan and essential backgrounddocumentation 3 years after plan is completed, superseded, or revised. Destroy draftsand routine material when no longer needed by agency.Justification: Planning records often have value for budgetary and planning purposes forseveral years after they become inactive.♦ 90224 Records of Chargebacks to IT Services Users -- Electronic and manual records used todocument and calculate costs and to bill program units for computer usage and IT services. Theserecords are also used for cost recovery, budgeting, or administrative purposes.Minimum Retention and Disposition: Destroy 3 fiscal years after creation.Justification: Chargeback records are needed for 3 fiscal years for budgetary purposes and,if they are used for cost recovery or billing purposes, to meet audit requirements.Records Not Covered: Chargeback records subject to lengthier federal records retentionrequirements should be scheduled separately.SYSTEMS AND APPLICATION DEVELOPMENT -- Systems and application developmentcovers the IT unit functions related to the development, redesign, modification, procurement, andtesting of systems and applications, as well as to maintaining the documentation generated by theseprocesses.♦ 90225 Application Development Project Files -- Records created and used in the development,redesign, or modification of an automated system or application, including draft system orsubsystem specifications, draft user requirements and specifications, and memoranda andcorrespondence.Minimum Retention and Disposition: Destroy 3 years after completion of project andafter administrative needs for records have ended.50Information TechnologyJustification: Many application development records may be needed up to 3 years after theconclusion of a project for reference or for management audit purposes.Records Not Covered: System or application documentation (see items #90226 and #90227)and project management records.Note: In some circumstances, agencies may wish to maintain these files longer forreference. All relevant information and final documentation should be contained in systemand application documentation files (see items #90226 and #90227).♦ 90226 Information Systems Specifications -- Records that document system operations,including data entry, manipulation, output and retrieval (often called "system documentationrecords"), as well as records necessary for using the system, such as user guides, system or sub­system definitions, system flowcharts, program descriptions and documentation (or othermetadata), job control or work flow records, and input and output specifications.Minimum Retention and Disposition: Destroy 3 years after discontinuance of system,but not before system data is destroyed or transferred to new operating environment.Justification: Current and accurate information on how an application system operates isneeded throughout its life cycle. System documentation may be needed 3 years after thesystem is discontinued or modified for the admissibility of electronic records in legalproceedings, retrospective analysis, and remedying errors.Records Not Covered: Data documentation and other records used to explain the meaning,purpose, or origin of data (see item #90227).♦ 90227 Data Documentation (Metadata) -- Records (sometimes known as metadata) generallycreated during system or application development or modification and necessary to access, retrieve,manipulate and interpret data in an automated system (including systems where information is text,graphic, or multi-media based), including a data element dictionary, file layout, codebook or table,and other records that explain the meaning, purpose, structure, logical relationships, and origin of thedata elements.Minimum Retention and Disposition: Destroy 3 years after discontinuance of system orapplication, but not before system or application data is destroyed or transferred to anew structure or format.51Information TechnologyJustification: These records are needed to use and interpret electronic records and havevalue as long as the data/electronic records are retained.Note: In some cases, agencies will retain data for extended periods, sometimes off-line. It isessential that they retain related metadata in an accessible format. This is particularlycrucial if the metadata is stored in electronic form or the related records are judged to havelong term and secondary research value. When archival electronic records are transferredto the State Archives, it is essential that they be accompanied by relevant and accurate datadocumentation. Application design documentation and user's guides covered by item#90226 may also serve to explain how data was interpreted and used.♦ 90228 Program Listing/Source Code -- Program source code from which machine-languageinstructions are generated and used to operate an automated information system.Minimum Retention and Disposition: Destroy after code is superseded or replaced orafter automated system is no longer in use and has been deleted, but not before anyaudit or legal needs have been met.Justification: These records are the instructions used to operate a system application. Afterthe code is modified or replaced it has no administrative or legal value.♦ 90229 Technical Program Documentation -- Program flowcharts, program maintenance log,system change notices, and other records that document modifications to computer programs.Minimum Retention and Disposition: Destroy 1 year after replacement or modification,or after related programs cease to be used, but not before any audit or legal needs havebeen met.Justification: Records are used for reference, backup, IT audits, insuring adequacy ofchange documentation, or rectifying errors in program implementation up to a year afterrelated programs are replaced, modified, or cease to be used.Note: Agencies may consider retaining documentation for critical systems for a longerperiod.♦ 90231 Test Database/Files -- Routine or benchmark datasets, related documentation, and testresults constructed or used to test or develop a system.52Information TechnologyMinimum Retention and Disposition: Destroy when no longer needed.Justification: Agency practices vary in the management of test files, and some may wish toretain test results until the user has accepted the system based on the results. These materialscan be considered and are often managed as nonrecords. However, other agencies retain testdata for an extended time period for continued testing and training. This retention periodgives agencies the flexibility to retain test files based on their own needs.COMPUTER OPERATIONS AND TECHNICAL SUPPORT -- Covers the IT unit functionsrelated to operating systems, hardware and software maintenance, system security, data inputservices, system backup, off-line tape library operations, job and production control, monitoringsystem usage, and liaison with hardware and software vendors.90233 Hardware Documentation -- Records documenting the use, operation, and maintenance ofan agency's computer equipment, including operating manuals, hardware/operating systemrequirements, hardware configurations, and equipment control systems.Minimum Retention and Disposition: Destroy after the agency no longer uses relatedhardware and all data is transferred to and made useable in new hardwareenvironment.Justification: These records have no value after the agency ceases to use related hardwareand transfers the data to a new hardware environment.Note: Routine records that do not contain substantial information on the maintenancehistory or equipment should be destroyed on an annual basis.♦ 90235 Data Migration and System Upgrade Records -- Records relating to the operationalaspects of the replacement of equipment or the upgrading of computer operating systems, as well asthe migration of data between operating systems. Records include schedules and logs, tracking anddata migration tests, notes, correspondence, conversion and implementation plans, and relatedrecords generated by the operating system software, application server software, and web serversoftware.Minimum Retention and Disposition: Destroy 1 year after successful migration, updateor conversion.Justification: Records may be needed after migration for reference and to deal with53Information Technologyunforeseen issues and problems.Note: Agencies may want to keep the implementation plans for more than one year forsubsequent migrations or upgrades. Data migration and system upgrade records subject tolengthier federal funding or audit requirements should be scheduled separately.♦ 90236 Disaster Preparedness and Recovery Plans -- Records related to the protection andreestablishment of data processing services and equipment in case of a disaster. Includes disasterrecovery manuals, business continuity plans, inventories, procedure plans, contact lists, and otherrecords.Minimum Retention and Disposition: Destroy after superseded by revised plan.Justification: The Office of Cyber Security and Critical Infrastructure Coordination requiresthat agencies develop and maintain disaster recovery plans as part of their informationsecurity functions.Note: Agencies should store disaster preparedness and recovery plans in a secure area offsite from the computer installation to which they refer.♦ 90237 System Backup Files -- Copies of master files or databases, application software, logs,directories, and other records needed to restore a system in case of a disaster or inadvertentdestruction.Minimum Retention and Disposition: Destroy after 3 system backup cycles or when nolonger needed for system restoration, whichever is later.Justification: This item authorizes the disposal of backups in accordance with acceptedpractice that 3 generations of backups be retained.Records Not Covered: Backups used to document transactions or retained for purposesother than system security. For fiscal systems, monthly system backups are often retainedfor the entire fiscal year to provide an audit trail, and annual system backups are retained tomeet all legal and fiscal requirements in lieu of copies of the individual master files ordatabases. These records should be disposed using items from the Fiscal Operations sectionof this schedule (for example, item #90120) or, if they are covered by specific federal auditrequirements requiring longer records retention, scheduled separately by the appropriateprogram unit.54Information TechnologyNote: It is advisable that for many application systems 2 or 3 copies of backups beproduced during each cycle.♦ 90238 User Authorization Records -- Records created to control individual access to a system,system data, the Internet, and the agency e-mail system. Records include user account records, useracknowledgements of policies, authorization documentation, and related records.Minimum Retention and Disposition: Destroy after the individual no longer has accessto the system, but not before any audit or legal needs for the records created ormodified by that individual have been met.Justification: Some records, particularly user account records, are needed for security orfiscal audits for as long as the records are retained for audit purposes. Records may also beneeded to document conditions of user access to Internet and e-mail services.♦ 90377 Computer Security Records -- Records used to control and monitor the security of asystem and its data, including vulnerability scans, intrusion tests, malicious code detection tests,threat and risk assessments, technical security reviews, patch management logs, intrusiondetection logs, firewall logs, and related records.Minimum Retention and Disposition: Destroy after administrative use, but not beforeany audit and legal needs have been met.Justification: Control records may be used to track the effectiveness of security measures ordetect security flaws.♦ 90378 Computer Security Incident Records -- Records documenting incidents andinvestigations involving unauthorized attempted entry, probes and/or attacks on agency ITsystems and networks.Minimum Retention and Disposition: Destroy after operational, audit and legal needshave been met.Justification: Incident records may have value in initiating criminal prosecutions.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 355Information Technologymonths beyond the minimum retention period.#90239) may also serve some security purposes.Computer/Network Usage Files (item♦ 90379 Security Breach Notifications -- Records created pursuant to Section 208, StateTechnology Law, which requires state agencies to disclose to New York state residents when theircomputerized private information was or may have been acquired by a person without validauthorization, including notifications to affected persons and to designated state agencies, logs ofnotifications, and related records.Minimum Retention and Disposition: Destroy 6 years after notification.Justification: Copies of notifications and logs may be needed to document that appropriateactions were taken as required by law and in the event of any civil actions based on Section213, Civil Practice Law and Rules.Records Not Covered: Notification policies required by this law are covered by item#90209 in the General Administration section of this schedule.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90239 Computer/Network Usage Files -- Electronic files, automated logs, or other recordscreated to monitor and control use of the network, e-mail, the Internet and other computer resourcesby agency employees, including proxy server logs, login files, chargeback files, data entry logs,system usage files, and related records.Minimum Retention and Disposition: Destroy when no longer needed for administrativeuse, but not before any audit or legal needs have been met.Justification: Records may be needed for IT audits, system security, summary reports,planning, or other purposes.Records Not Covered: User account records (see item #90238).♦ 90240 Summary Computer/Network Usage Reports -- Summary reports and other recordscreated to document computer and network usage for reporting or cost recovery purposes.56Information TechnologyMinimum Retention and Disposition: Destroy 1 fiscal year after creation.Justification: Records may be needed for reporting, reference, charge-back billing, ITaudits, system security, or other purposes for 1 fiscal year after they were created.♦ 90241 Computer Run Scheduling Records -- Records used to schedule computer runs,including daily schedules, run reports, run requests, and other records documenting the successfulcompletion of a run.Minimum Retention and Disposition: Destroy after current fiscal year, but not beforeany audit or legal needs have been met.Justification: Scheduling records for the current fiscal year may be needed for audits.Information on runs is also retained in internal system logs, which should be retained withsystem backup covered by item #90237 and computer usage records covered by item#90239.♦ 90242 Input/Source Documents -- Records or forms designed and used solely for data input andcontrol and not needed for audit, legal or other purposes.Minimum Retention and Disposition: Destroy after all data has been entered into thesystem and, if required, verified.Justification: Records used solely for data input to an automated system have no value afterdata has been entered and verified.Records Not Covered: Input records retained for fiscal audit or legal purposes orcontaining information needed by a program unit should be scheduled by the responsibleprogram unit. Input records which serve a fiscal audit purpose may be covered by items inthe Fiscal Operations section of this schedule.♦ 90243 Work/Intermediate Files -- Records used to facilitate the processing of a specific job/runor to create, update, modify, transfer, export, import, manipulate, or sort data within an automatedsystem, including “macro” or “startup” file or other electronic record created to preserve acombination of data elements and/or method of displaying these data elements, when all transactionsare captured in a master file, central file, transaction file, or database, and the file is not retained toprovide an audit trail.57Information TechnologyMinimum Retention and Disposition: Destroy after the transaction is completed, exceptretain as long as reports, studies and other principal records for which the file iscreated are retained when the electronic file is needed to recreate or document atransaction.Justification: Agencies generally manage these types of files as nonrecords and do notretain them to document agency business or because of the information they contain.Records Not Covered: Intermediate files retained to document transactions are covered byitem #90244. Intermediate files retained to serve as an audit trail are covered by item#90246. Intermediate files needed for system recovery backup are covered by item #90237.♦ 90244 Processed Transaction Files -- Records used to update and/or document a transaction indatabase or master file and not retained to document a program unit action, including transactionfiles, DBMS log, update files, and similar records.Minimum Retention and Disposition:Destroy when no longer needed foradministrative use, but not before any audit or legal needs for records have been met.Justification: Transaction records are retained to create an audit trail for a masterfile/database and can be used to recreate a database/master file or document changes in amaster file/database for legal admissibility purposes.Records Not Covered: Records used to document a program unit's actions (e.g., receipt of avoucher, issuance of a check) as opposed to a strictly data processing transaction.90245 Print Files (Not Used to Document a Transaction) -- Source output data extracted fromthe system to produce hardcopy publications, printouts of tabulations, ledgers, registers, reports, orother documents when the files are not needed for audit purposes or to document program unittransactions.Minimum Retention and Disposition: Destroy after all print runs are completed, outputverified (if required), and agency has no need to reproduce the report.Justification: These records have limited value after all related print runs are completed andthe output verified. In many cases, agencies will not manage print files as records.Records Not Covered:Print files needed for fiscal audits or retained to document58Information Technologytransactions.♦ 90246 Audit Trail Files -- Data generated during the creation of a master file or database andused to validate a master file or database during a processing cycle, such as date stamp, time stamp,user’s ID and other data fields.Minimum Retention and Disposition: Destroy after records are no longer needed foraudit or legal purposes.Justification: Audit files are retained to create a management audit trail for and to ensurethe quality of data. They can aid in recreating or documenting changes in a master file ordatabase for legal admissibility or other purposes.Note: Agencies may wish to retain audit files for 3 backup cycles to conform to standarddata processing practices.90247 IT Unit's Copies of Output Reports -- Data processing unit's copy of output reportsproduced for client program units.Minimum Retention and Disposition: Destroy after output is distributed.Justification: After output is distributed to client, data processing unit's copy has limitedvalue.♦ 90248 Summary or Extracted Data Files -- Summary or aggregate data from a master file ordatabase, including “snapshots” of data, created solely to distribute data to individuals or programunits for reference and use, but not altered or augmented to support program-specific needs.Minimum Retention and Disposition: Destroy after data is distributed and, if necessary,receipt is acknowledged.Justification: These records are produced to distribute data to an IT unit's clients and haveno value once this is accomplished.Records Not Covered: Summary or extract files altered or augmented to support programspecific needs.59Information Technology♦ 90249 Electronic Indexes, Lists, Registers, and Other Tracking Systems -- Electronicindexes, lists, registers, and other systems used only to provide access to the hardcopy and electronicrecords in the custody of the IT unit.Minimum Retention and Disposition: Destroy after the related hardcopy or electronicrecords have been destroyed or reorganized, or the electronic indexes, lists, registers,and other tracking systems no longer provide utility for records access.Justification: Electronic indexes and tracking systems have no value after the relatedrecords are destroyed or reorganized. Additionally, such records can be expensive tomaintain and should not be retained when no longer of value.Records Not Covered: Electronic indexes and tracking systems of program units other thanIT units.♦ 90251 Reports on the Destruction of Files ("Scratch Reports") -- Records containinginformation on the destruction of files stored on electronic media in a tape library.Minimum Retention and Disposition:Destroy when no longer needed foradministrative purposes, but not before any audit or legal needs for recordsdocumenting the destruction of files have been met.Justification: Records may be needed for a brief period to document that files were properlydestroyed.♦ 90252 Tape Library Control Records -- Records used to control the location, maintenance, anddisposition of electronic media in an off-line tape storage library, including lists of holdings andcontrol logs.Minimum Retention and Disposition: Destroy after superseded or after concernedrecords or media are destroyed or withdrawn from the tape library.Justification: Retention insures that current information on media stored in tape library isavailable.DATA ADMINISTRATION -- Data administration covers IT unit functions related to dataadministration support, including the maintenance of data standards, corporate data models, and datadefinitions and dictionaries.60Information Technology♦ 90253 Data/Database Dictionary Records -- Records, usually in an automated system, used tomanage data, including information on data element definitions, data structures or file layout, codetables, and other data attribute information or records that explain the meaning, purpose, logicalrelationships, ownership, use, or origin of data.Minimum Retention and Disposition: Destroy after discontinuance or modification ofthe related application, but not before the application's data is destroyed or transferredto a new structure or format and any audit or legal needs have been met.Justification: These records are essential for managing electronic records in agencyautomated information systems and have value as long as the data/electronic records areretained. In some cases, agencies will retain data for extended periods of time, sometimesoff-line. In such cases, it is essential that related documentation be retained in an accessibleformat.♦ 90254 Data/Database Dictionary Reports -- Periodic printouts from a data/database dictionarysystem, including data element attribute reports, database schema, and related records used forreference purposes.Minimum Retention and Disposition: Destroy when superseded or no longer used byagency, but not before any audit or legal needs have been met.Justification: Records have no administrative value after need for reference ceases.Records Not Covered: The official copy of essential data documentation is covered byeither item #90227 or #90253.IT SUPPORT -- Refers to IT unit functions that provide support to users of mainframe or officecomputers, including assisting users to solve software and hardware problems, installing hardware orsoftware, providing training, and the review and recommendation of software for agency use.90255 Site/Equipment Support Files -- Records documenting support services provided tospecific computer equipment or installations, including site visit reports, program and equipmentservice reports, service histories, and correspondence and memoranda.Minimum Retention and Disposition: Destroy site visit reports, problem and equipmentservice reports, and routine correspondence and memoranda 3 years after creation.Destroy service histories and other summary records after the related equipment is no61Information Technologylonger in use.Justification: After the related equipment is no longer in operation the records have limitedvalue.♦ 90256 Help Desk Telephone Logs and Reports -- Records, including records generated fromautomated help desk ticketing systems, used to document requests for technical assistance andresponses to these requests as well as to collect information on the use of computer equipment forprogram delivery, security, or other purposes.Minimum Retention and Disposition: Destroy 1 year after creation.Justification: Records are needed for at least 1 year to monitor user problems andequipment use, to compile monthly and annual statistics, and for reference for planning,management analysis, and other administrative purposes.♦ 90258 Hardware and Software Review Files -- Records related to the review andrecommendations for hardware and software for agency use, including vendor information, manuals,software reviews, and related material.Minimum Retention and Disposition:administrative use.Destroy when no longer needed forJustification: Records have limited administrative value after completion of review,although agencies may wish to retain records until hardware or software is no longer in use.NETWORK/DATA COMMUNICATION SERVICES -- Network and Data CommunicationServices covers IT unit functions related to installing and maintaining networks, diagnosing andcoordinating problems on the network, monitoring circuit usage, and liaison with OFT and othernetwork providers. It also includes records related to providing and monitoring services deliveredand received via the Internet. For related records, see the Telecommunications Management sectionof this schedule.90259 Network Site/Equipment Support Files -- Records documenting support services providedto specific sites and computer-to-computer interfaces on a network, including site visit reports,trouble reports, service histories, and correspondence and memoranda.Minimum Retention and Disposition: Destroy site visit reports, trouble reports, and62Information Technologyroutine correspondence 3 years after creation. Destroy service histories and othersummary records after the related equipment or site is no longer in use.Justification: The records have limited value after the related site or equipment is no longerin operation.Note: Routine records that do not contain substantial information on the maintenancehistory or site can be weeded and destroyed on an annual basis.♦ 90260 Inventories of Network Circuits/Connections -- Electronic or paper records containinginformation on network circuits or connections used by the agency, including circuit number,vendor, cost per month, type of connection, terminal series, software, contact person, and otherrelevant information about the circuit.Minimum Retention and Disposition: Destroy after superseded by new inventory orafter the network circuit or connection is no longer used by agency, whichever issooner.Justification: The records have no value after the related circuit is no longer in operation.♦ 90261 Network or Circuit Installation and Service Files -- Copies of requests by agencies tothe OFT Division of Telecommunications or service provider for data communication service,installation, or repair and response to the request, including work orders, correspondence,memoranda, work schedules, copies of building or circuitry diagrams, and non-official copies offiscal documents.Minimum Retention and Disposition: Destroy 3 years after request is filled or repairsare made.Justification: Records should be retained 3 years for management analysis and planning.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90264 Network Implementation Project Files -- Agency records used to plan and implement anetwork, including reports, justifications, working diagrams of proposed network, wiring63Information Technologyschematics, and diagrams.Minimum Retention and Disposition: Destroy after superseded or obsolete.Justification: Records are essential for operating a network.♦ 90363 Agency Internet Services Logs -- Electronic files, logs or other records created tomonitor access and use of agency services provided via the Internet, including, but not limited to,services provided via FTP (file transfer protocol), website or agency Telnet services.Minimum Retention and Disposition:Destroy when no longer needed foradministrative use, but not before any audit or legal needs have been met.Justification: Records may be needed to document services provided by the agency andaccess/use of these services by its customers. Records may be used for summary reports, ITaudits, system security, or other purposes.64Internal ControlsINTERNAL CONTROLSThe 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 planof organization and all of the coordinate methods and measures adopted within an organization tosafeguard its assets, check the accuracy and reliability of its accounting data, promote operationalefficiency and encourage adherence to prescribed managerial policies." Through this function,agencies periodically audit their programs and operations to ensure that appropriate internal controlmeasures are in place and to promote sound management. The overall objective of agency internalcontrol audits is to identify areas of agency operations susceptible to abuse or misuse and to focusresources on control of the most vulnerable and important aspects of operations.Records Not Covered: Records created and maintained by the Office of the StateComptroller or Division of the Budget documenting oversight of agency internal controlprograms.♦ 90308 Internal Control Policies and Directives -- Final versions of agency policies anddirectives governing internal control requirements and procedures for agency program units andstaff. These records may also include associated memoranda, bulletins, and manuals which explainagency internal control policies.Minimum Retention and Disposition: Destroy 3 years after the policy or directive iswithdrawn, revised, or superseded.Justification: The issuing office should retain policies for a minimum of 3 years after theyare withdrawn, revised, or superseded for use in development of subsequent policies andprocedures. Copies of obsolete policies and procedures have no value to other offices.90309 Vulnerability Assessment Files -- Correspondence, memoranda, survey forms, riskassessments, and reports created and collected during the course of surveys and studies whichidentify 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 subsequentinternal control audits.65Internal Controls90310 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 auditreport.Justification: These records are used for reference for 1 year following the release of anaudit report.♦ 90311 Internal Control Audit Reports -- Reports documenting the findings of internal controlaudits of agency program areas and recommendations for improvements.Minimum Retention and Disposition: Destroy 3 years after completion of the nextinternal control audit report for the concerned program area.Justification: Internal control audit reports may be used during the next audit cycle tomonitor compliance with internal control program recommendations.90312 Corrective Action Files -- Reports, memoranda, and other records documenting responsesby 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 Comptrollerand other control agencies.90313 Internal Control Program Subject Files -- Reference files used to support thedevelopment and administration of agency internal control programs, including reports, plans,articles, policies and procedures, and related material, arranged by subject on topics such as riskmanagement, risk assessment, management practices, operational efficiency, and audit methods.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.66Library OperationsLIBRARY OPERATIONSMany agencies operate libraries that provide information, research materials, and services to agencystaff. Agency libraries maintain collections, perform research, loan materials, borrow materialsthrough interlibrary loan, and conduct database searches. Some agency libraries provide librarymaterials and services to clients, researchers, and patrons from the general public.Records Not Covered: Records maintained by the State Library that document libraryoperations or in connection with its missions of services to the public and of centralizedsupport for agency library programs.♦ 90314 Interlibrary Loan Files -- Requests from patrons and requests from an agency library toborrow 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), exceptdestroy records concerning duplication of materials protected under U. S. CopyrightLaw 5 years after order is completed.Justification: This retention period ensures that records of transactions will be available forreference, analysis, and planning. This period will also meet any legal need to demonstratecompliance with U. S. Copyright Law (17 USC 507) which establishes a 5-year limitation oncriminal actions for copyright violations.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months 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 materialis 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 beenremoved from the library collection or after the record has been superseded.67Library Operations♦ 90316 Circulation and Use Records -- Logs, charge-out cards, and related records documentingthe 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 returnsborrowed item or after efforts to retrieve are abandoned.Justification: Circulation and use records have no legal or fiscal value after patronscomplete use or return materials or agency abandons retrieval efforts.Note: Agencies may wish to retain certain records, especially those showing loan or use ofrare, valuable or restricted materials, for additional periods in the event of loss or damageto those materials which may not be detected until a later time.90317 Reference Requests Records -- Call slips, requests for database searches, requests forresearch services, and related records created by patrons to request services such as databasesearches 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, databaseservices, 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 purchaserecords are retained by fiscal offices of agencies.90319 Serials Subscription Records -- Logs, card files, databases, and other records used byagency 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.68Library Operations♦ 90320 Library Subject and Correspondence Files -- Correspondence, reports, studies, surveys,copies of internal policies and procedures, articles, vendor materials, and related materials used tosupport library operations, arranged by subject, covering such topics as library methods, informationservices, 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.Justification: These records have no legal or fiscal value.69Mail and Messenger ServicesMAIL AND MESSENGER SERVICESMail and messenger services include use of interagency mail, private vendors, or the U. S. PostalService for mail, message, and parcel pickup and delivery. Most agencies operate central mail andmessenger services.Records Not Covered: Records of the Office of General Services, mail, interagencymessenger and courier services are not covered by this general schedule.♦ 90321 Mail Pickup and Delivery Records -- Mail logs, copies of certified or registered mailreceipt forms, signed pickup and delivery receipts, delivery and pickup route logs and relatedrecords 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, CivilPractice Law and Rules suits alleging that an agency did not respond in a timely manner toinquiries or requests for service by the public.Records Not Covered: Any record specifically required as evidence of the execution of acontract or compliance with statute or regulation should be scheduled as part of theapplicable 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 mailand 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 aremodified 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 orto mail materials to subscribers or regular recipients.Minimum Retention and Disposition: Destroy after lists are updated or withdrawn.70Mail and Messenger ServicesJustification: Mailing lists have no value after they are updated.90324 Mail Services Subject Files -- Records used to support administration of agency mail andmessenger services, arranged by subject, including correspondence, memoranda, reports, vendormaterials, rate schedules, and copies of policies and procedures pertaining to mail and messengerservices.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.71Minority and Women-Owned Business DevelopmentMINORITY AND WOMEN-OWNED BUSINESS DEVELOPMENTMinority 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 140­144, 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 statefunded and state-supported economic activities, especially procurement.Control and Service Agency: The Division of Minority and Women’s BusinessDevelopment, Department of Economic Development provides centralized support andoversight for this program.Records Not Covered: All records of the Division of Minority and Women’s BusinessDevelopment. Records of federally funded projects where retention requirements exceed theretention 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 BusinessDevelopment indicating agency goals to promote business opportunities for minority and womenowned businesses.Minimum Retention and Disposition: Destroy 1 year after submission of plan or whensuperseded by a new plan, whichever occurs later.Justification: Record copies of these records are filed with the Department of EconomicDevelopment, Division of Minority and Women’s Business Development.♦ 90326 Minority and Women-Owned Business Development Quarterly Compliance andUtilization Reports -- Agency copies of quarterly reports filed with the Division of Minority andWomen’s Business Development reporting utilization of minority and women's businesses inprocurement and work force information as provided in work force employment utilization reportssubmitted 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 Economic72Minority and Women-Owned Business DevelopmentDevelopment’s Division of Minority and Women’s Business Development pursuant to 5NYCRR 141.4 and 142.4.90327 Contractor Compliance Monitoring Files -- Reports submitted by contractors and used byagencies to monitor contractor implementation of affirmative action and equal employmentopportunity programs for minority group members and women and utilization of minority andwomen-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 withminority and women-owned business development requirements in the award andadministration of contracts (Section 213 of the Civil Practice Law and Rules).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90328 Minority and Women-Owned Business Development Subject Files -- Records used tosupport the administration of an agency's minority and women-owned business developmentprogram, arranged by subject, including correspondence, memoranda, internal policies andprocedures, contractor complaints and resolutions, statistical reports, vendor materials, bidderinformation, articles and related records on business development, entrepreneurship, technicalassistance and related topics.Minimum Retention and Disposition:superseded, whichever occurs first.Destroy 3 years after creation or whenJustification: Some records in minority and women-owned business development subjectfiles may be needed to document compliance with state contracting requirements.73PayrollPAYROLLPayroll includes all activities associated with preparation, issuance, and accounting for stateemployee compensation.Control Agency: The Office of the State Comptroller (OSC) oversees the payroll systemand is responsible for production of state employee payroll checks.Records Not Covered: Records created and retained by OSC in its capacity as a controlagency for state employees.♦ 90016 Employee's Withholding Allowance Certificates -- Federal W-4 and New York StateIT-2104 forms completed by employee and filed with employing agency indicating the employee'sauthorized deductions for federal and state tax. These forms are used to generate Forms AC 230 andAC 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 towhich the certificate applied.Justification: Outdated W-4 or IT-2104 forms may be needed in cases where tax returns areaudited. IRS Publication 583 and Publication 15 Circular E include W-4 forms in the list ofrecords which must be retained 4 years after the due date of the return or after the taxes arepaid. Department of Taxation and Finance Publication NYS-50 indicates a similar retentionperiod for IT-2104 forms.90017 Payroll Preprocessing Reports -- Reports generated by payroll office to ascertain accuracyof 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:completed.These records have no administrative value after payroll transaction is♦ 90018 Biweekly Payroll Processing Records -- Agency copies of Payroll and PersonnelTransaction Form (PR75), Payroll Deduction Form and Transmittal Certification Form (PR76), andother records sent to OSC/DCS to update the biweekly payroll. These are the key documents for74Payrollpayroll processing for the state.Minimum Retention and Disposition: Destroy 3 fiscal years after accurate payrollupdate.Justification: Records have limited administrative value after 3 fiscal years. OSC is theoffice of record for payroll records and retains information on payroll transactions for at least6 years.Records Not Covered: Payroll/personnel records maintained by OSC and DCS inperforming 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 payrollupdate. OSC maintains the official payroll records on microfiche for an extended period oftime.Records Not Covered: Payroll records maintained by OSC in performing its controlfunction.90027 Paycheck Log -- Record of paycheck distribution which may include employee's name, linenumber, 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 authorizingdeductions for credit unions, savings bonds, union dues, insurance, individual retirement accounts,deferred compensation, parking, charitable contributions and other purposes, along with recordsauthorizing the direct deposit of paychecks at designated banks or other financial institutions.75PayrollMinimum Retention and Disposition: Destroy 3 years after deduction is no longer ineffect or last deposit is made under the authorization.Justification: Retention period ensures availability of authorizing forms to respond toinquiries concerning their validity.76PersonnelPERSONNELPersonnel encompasses recruitment and appointment of agency staff, monitoring and developmentof the agency work force, development and implementation of agency personnel policies andprocedures, 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 separatesections of the schedule.Control Agency: The Department of Civil Service is the primary control agency forpersonnel functions in New York State government.Records Not Covered: Records created and retained by the Department of Civil Service inits 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 anagency. Personal history files generally include applications, résumés, appointment letters,probation reports, performance program evaluations, disciplinary actions, veterans statuscertifications, employee information forms, memoranda and correspondence related to employee,health insurance enrollment and declination records, retirement system declination forms, andsurvivors benefit information. Item can also be used for personal history files of volunteers andinterns.Minimum Retention and Disposition: Destroy 6 years after employee separation fromagency, unless earlier disposition is permitted under terms of a labor-managementcontractual agreement.Justification: Inactive records in this series are often used to answer inquiries by formeremployees, their prospective employers, and others. Information in the series would notnecessarily be representative of the current attributes of a former employee after a 6-yearperiod. The Department of Civil Service maintains master summary employee historyrecords on all state employees.77PersonnelRecords Not Covered: Personal History Files of employees who left state service prior to1945. Please contact the State Archives regarding these records. Also does not coveremployment history records on the state work force maintained by the Department of CivilService.Note: Agencies which maintain as part of their Personal History Files records of workers’compensation claims, employee hazardous substance exposure or other records covered byseparate items in this schedule or by agency-specific authorizations should retain thoserecords 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 PersonalHistory Files.90002 Employee Summary Service Records -- Summary record of employee's service in anagency, including demographic information, positions held, and grade levels.Minimum Retention and Disposition: Destroy 10 years after separation from agencyservice.Justification: Agencies use this series to provide summary information to formeremployees. After retention period expires such information is available from Department ofCivil Service summary records.Records Not Covered: Employment history records on the state work force maintained bythe 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 MedicalLeave 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 foragency reference. Retention period also meets 3-year records retention requirement for thefederal 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 currentrequirements of the Department of Civil Service, Governor’s Office of Employee Relations78Personnelor other agencies regarding overtime eligibility issues. Consult with those agencies todetermine current requirements. In some agencies the last time card or timesheet that anemployee submits at separation is the only record of final time accruals. Employees mayneed this information to claim unused leave credits if they re-enter state service, whichpotentially can occur many years later. Agencies should retain a summary record of finalaccruals or the last time card/sheet showing those accruals for those departing employeeswho might later return to state service and seek re-crediting of unused leave credits. Theserecords can be retained in the employee Personal History Files or separately if the retentionperiod for the Personal History Files is insufficient to meet possible future needs for leaveaccrual records. Agencies should also be aware of potential needs to retain time records forextended periods for employees involved in workers’ compensation cases.♦ 90004 Summary Reports Regarding Personnel/Payroll Functions -- Statistical and narrativesummary reports produced by an agency, the Department of Civil Service, and OSC ofpersonnel/payroll used for operational, management analysis or planning purposes, including reportson vacant positions, nonpermanent positions, payroll additions and separations, health insurancetransactions, 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 orupdated. Agencies may choose to retain selected summary reports as long as needed torecap or reconstruct personnel or payroll trends or for planning purposes.♦ 90380 Personnel Transaction Forms -- Forms and related records used to process routinepersonnel transactions, including transfers, promotions, salary adjustments, leaves, and similarpersonnel 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 personneladministration (usually arranged alphabetically by subject), including reports, memoranda, andcorrespondence 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.79PersonnelJustification: These records have no legal or fiscal value.♦ 90006 Employment Inquiry Files -- Job inquiries, applications, résumés, and other recordsprospective employees submit to personnel and program offices for employment consideration.Minimum Retention and Disposition: For applicants who are hired, transfer records toPersonal 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 therecords relate. Destroy general employment inquiries and résumés which are notrelated to posted vacancies when no longer needed.Justification: Federal regulations (29 CFR 1602.31) require the retention of records for 2years from the date of the records or of the personnel action to which they relate, whicheveris 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 underfederal 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 havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90381 Recruitment, Hiring, Interview and Selection Records -- Records of agency actionsrelated to the hiring, promotion, demotion, transfer, layoff and termination of employees, includingjob announcements, correspondence, reports, selection criteria, interview notes, rating and rankingforms, evaluations and other records.Minimum Retention and Disposition: Destroy 4 years after completion of personnelaction.Justification: Federal regulations (29 CFR 1602.31) require the retention of records for atleast 2 years from the date of the personnel action to which they relate. Actions under NewYork State’s Human Rights Law (Executive Law Article 15) alleging unlawful employmentpractice must commence within 3 years, while actions under federal civil rights law (42 USC1981) must commence within 4 years (28 USC 1658).Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files is80Personnelimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90031 Employment Eligibility Verification Forms -- Immigration and Naturalization ServiceForm I-9 completed by employers for every employee hired after November 6, 1986, verifying thatthe 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 actionor 1 year after the individual's employment is terminated, whichever is later. Originalrecords which have been microfilmed or digitized may be destroyed immediately, withthe copies retained for the required retention period.Justification: Federal regulations (8 CFR 274a.2) require the retention of these records for 3years from the date of the hiring action to which they relate or 1 year after the termination ofthe associated employee, whichever is later.♦ 90371 Employee Suggestion Program Records -- Agency records of employee suggestionssubmitted 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 suggestions6 years after suggestion is approved and implemented and all awards have been madeby the Civil Service Commission. Destroy records concerning disapproved suggestions9 years after disapproval, including any subsequent appeal.Justification: Retention periods meet the need to document agency actions foradministrative purposes and in the event of possible future litigation.Records Not Covered: Records of the Department of Civil Service concerning itsadministration of the State Employee Suggestion Program.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90382 Employee Assistance Program Records -- Agency records of programs to assist81Personnelemployees with personal problems or concerns through information, assessments, referrals and otherservices, 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 ofservice. Destroy other records 3 years after end of calendar year.Justification: Retention periods meet the need to document agency actions foradministrative purposes.Records Not Covered: Records of the Governor’s Office of Employee Relations concerningits oversight of this program.♦ 90383 Employee Ethics Records -- Agency records documenting employee compliance withthe state ethics code (Section 74, Public Officers Law) and ethics requirements (Sections 73 and73-a, Public Officers Law), including memoranda to employees of ethics requirements,employee requests to receive honoraria or travel reimbursement, agency reports to the StateEthics Commission or other bodies of honoraria received, employee requests to engage inoutside activities, requests to exempt employees or positions from financial disclosurerequirements, 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 7years after records concerning or authorizing ongoing actions have no furthervalidity, whichever is longer.Justification: Retention period meets potential need for records created underrequirements of 19 NYCRR Parts 930, 932, 935, and 941 for use in prosecuting criminalviolations of state ethics requirements. Section 73 of Public Officers Law allows forviolations of ethics requirements to be treated as Class A misdemeanors, which can beprosecuted 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 PublicOfficers Law allows for termination of employment of an individual who violates thecode of ethics provided in that section.Note: Agencies may wish to retain records specific to individual employees for additionalperiods beyond the indicated minimum, such as for the duration of the individual’semployment, if such records may be needed to document employee compliance with ethicsrequirements throughout the duration of their employment. Before disposing of theserecords, agencies must ensure that no legal actions have been initiated which might require82Personnelaccess to them. If a case-by-case review of files is impractical, the Office of the AttorneyGeneral advises retaining the records an additional 3 months beyond the minimum retentionperiod.♦ 90384 Commercial Motor Vehicle Driver Alcohol and Controlled Substances Testing:Process Documentation Records -- Records related to the administration of programs to testemployees holding commercial motor vehicle driver’s licenses for compliance with alcohol andcontrolled 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 aftersuperseded or obsolete. Destroy all other records after 5 years.Justification: The federal Omnibus Transportation Employee Testing Act (49 CFR 382.401and 40.333) requires some of these records be kept for 5 years. Other related records shouldbe 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 resultsand alcohol test results indicating an alcohol concentration of 0.02 or greater, records of refusals totake required alcohol or controlled substances tests, Substance Abuse Professionals’ reports, followup tests and test schedules, driver evaluations and referrals, records of negative and cancelledcontrolled substances test results and alcohol test results indicating an alcohol concentration lessthan 0.02, and related records.Minimum Retention and Disposition: Destroy after 5 years, except destroy records ofnegative and cancelled tests after 1 year.Justification: The federal Omnibus Transportation Employee Testing Act (49 CFR 382.401and 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 additionalperiod or include them in the employee’s personal history file, especially when they affect anemployee’s job status.♦ 90386 Commercial Motor Vehicle Driver Alcohol and Controlled Substances Testing:Education and Training Records -- Records documenting the education and training of83Personneltechnicians who administer alcohol and controlled substances tests and of drivers who are requiredto take such tests.Minimum Retention and Disposition: Destroy 2 years after the employees who performthe functions which require the training cease to perform those functions.Justification: The federal Omnibus Transportation Employee Testing Act (49 CFR382.401) requires these records be kept for the indicated period.Note: Agencies may also wish to retain a record of training provided to specific employeesas a part of Employee Training History records (see item #90022 in the Training section ofthis schedule).CIVIL SERVICE ADMINISTRATION♦ 90007 Classification Files -- Records of position classifications and allocations for all CivilService classified titles in an agency. Classification files generally include requests to theDepartment of Civil Service for new positions, changes to existing positions and reallocations, dutystatements, title and salary plans, correspondence, and background material regarding theclassification of Civil Service and appointed positions.Minimum Retention and Disposition: Destroy 10 years after the position/title isreclassified, reallocated, or eliminated, whichever comes first.Justification: Agency copies of records pertaining to classifications and reallocationsbecome dated and are not needed for administrative purposes 10 years after the next actionon a title is completed. The Department of Civil Service maintains the official copy ofrecords of all classification/allocation actions.Records Not Covered: Position classification and allocation records maintained by theDepartment of Civil Service in performing its control function.♦ 90008 Centralized Eligible List Certification Files -- Copies of Department of Civil Servicecertified eligible lists, canvass letters, responses to canvass, and other records related to availabilitycanvasses for appointment from lists. These records are usually for job titles common to more thanone agency and for which the Department of Civil Service has administered the examination processand maintains the full eligible list.Minimum Retention and Disposition: Destroy 4 years after the personnel action to84Personnelwhich the records relate.Justification: Actions under New York State’s Human Rights Law (Executive Law Article15) alleging unlawful employment practice must commence within 3 years, while actionsunder 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 ofCivil Service in performing its control function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90009 Decentralized Eligible List Certification Files -- Agency certified eligible lists, canvassletters, responses to canvass letters, geographic preference information and other records pertainingto availability canvasses for appointment from lists. These records are usually for job titles uniqueto an agency which are filled by agency-administered promotional or open competitive examinationsunder the Department of Civil Service’s decentralized examination program.Minimum Retention and Disposition: Destroy 4 years after expiration of decentralizedeligible list (lists may be active up to 4 years).Justification: A 4-year retention period should be used for decentralized certificationrecords because the agency must prove compliance with Civil Service Law and becauseactions under New York State’s Human Rights Law (Executive Law Article 15) allegingunlawful employment practice must commence within 3 years, while actions under federalcivil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).Records Not Covered: Department of Civil Service records maintained in performing itscontrol function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.♦ 90010 Examination Development Files -- All records relating to the development andpreparation of a Civil Service examination, including proposed training and evaluation rating85Personnelschedules, examination scope records, proposed examination questions, and justificationdocumentation for examination.Minimum Retention and Disposition: Destroy 1 year after a subsequent examination isdeveloped 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 newexaminations.Records Not Covered: Examination development records maintained by the Department ofCivil Service in performing its control function.♦ 90011 Examination Administration Files -- All records relating to the administration ofdecentralized (agency-administered) examinations, including examination announcements,correspondence with candidates, examination applications, copies of examinations, lists ofcandidates, 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 Article15) alleging unlawful employment practice must commence within 3 years, while actionsunder federal civil rights law (42 USC 1981) must commence within 4 years (28 USC 1658).Records Not Covered: Examination administration records maintained by the Departmentof Civil Service in performing its control function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.BENEFITS AND HEALTH INSURANCE ADMINISTRATION♦ 90012 Health Insurance Files -- Records of employees' health insurance transactions, includingbut not limited to forms and related records concerning enrollment, deferred health coverage,statements of disability, and related matters.86PersonnelMinimum Retention and Disposition: Destroy 6 years after employee separation fromagency or after employee is no longer eligible for insurance.Justification: Records may be needed to verify benefits or as evidence in litigation initiatedunder Section 213 of the Civil Practice Law and Rules.Records Not Covered: Health insurance records maintained by the Department of CivilService in performing its control function.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period.90014 Retirement Benefits Files -- Records of an employee's retirement benefits from the NYSRetirement System, including copy of original application, statement of arrears, loan or arrearsdeduction notices, stop loan/arrears deduction notices and all supporting documentation.Minimum Retention and Disposition: Destroy 1 year following completion of retirementprocessing or upon separation from agency before retirement eligibility.Justification: The State Retirement System is the office of record for all records pertainingto retirement benefits and loan/arrears. Retention of agency copy for 1 year followingretirement or separation is sufficient to correct errors and respond to inquiries.Records Not Covered: Retirement benefits records retained by the New York StateRetirement System. Retirement system declination forms are not maintained by the NewYork State Retirement System and therefore should be retained as part of the employee'sPersonal History File (item #90001).Note: Agencies may wish to retain and dispose of this information together with thePersonal History File (item #90001).♦ 90015 Workers' Compensation Files -- Agency records concerning workplace injuries andillnesses and subsequent workers' compensation claims filed by employees. Records include arecord 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' CompensationBoard or State Insurance Fund concerning the injury/illness and any subsequent compensationclaim, and related correspondence and other records.87PersonnelMinimum Retention and Disposition:a.) Records of allowed claims: Destroy case files, including basic record of injuries andillnesses, 18 years after the injury or illness or 8 years after final payment on theaward, whichever occurs later.b.) Records of claims disallowed or otherwise disposed of without an award: Destroycase files, excluding basic record of injuries and illnesses, 7 years after the injury orillness. Destroy basic record of injuries or illnesses 18 years after the injury or illness.c.) Records of injuries or illnesses not resulting in claims: Destroy record of injuriesand illnesses 18 years after the injury or illness.Justification: Section 110 of Workers' Compensation Law requires that a record of allinjuries and occupational illnesses be retained for a minimum of 18 years. Case files forallowed and disallowed claims must be retained for an extended period pursuant to Section123 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 theAttorney General's Office.Note: Before disposing of these records, agencies must ensure that no legal actions havebeen initiated which might require access to them. If a case-by-case review of files isimpractical, the Office of the Attorney General advises retaining the records an additional 3months beyond the minimum retention period. For related records, also see item #90295,Employee Occupational Injury and Illness Incident Logs, Reports and Summaries in theHealth, Safety, and Security section of this schedule. Also note that the Workers'Compensation Board and State Insurance Fund do not maintain records of benefitenhancements provided to state employees. Agencies should therefore maintain records ofemployer-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 leavetransactions related to a case (e.g., recrediting or restoring leave credits). These recordsshould be maintained as part of the case file for the indicated retention period. The stateneeds the information in these records to ensure that an employee receives only the benefitsto which he or she is entitled if a case is reopened.88Public InformationPUBLIC INFORMATIONAgencies administer functions to provide information on agency programs and services, respond toinquiries from the public, disseminate information through publications and through the news media,and administer Freedom of Information and Personal Privacy Protection Laws (Sections 84-99,Public Officers Law).Records Not Covered: All records of the Committee on Open Government, Department ofState.♦ 90329 Information Inquiries and Requests Records -- Letters, memoranda, telephone logs,copies of responses, and related records that document requests for information from the public,organizations, and other agencies, excluding formal requests filed under the Freedom of InformationLaw.Minimum Retention and Disposition: Destroy 6 months after response is made.Justification: Records should be retained for 6 months to document responses and toanalyze the nature of requests and responses.♦ 90330 Freedom of Information Law (FOIL) Subject Matter and Employee Lists -­Agency copies of subject matter lists, lists of records systems, or file categories along with listsof the name, public office address, title and salary of every officer or employee of the agency,prepared pursuant to FOIL (Section 87, Public Officers Law).Minimum Retention and Disposition: Destroy 6 months after superseded by updatedlists.Justification: Obsolete lists may be needed for Article 78, Civil Practice Law and Rulesproceedings.90331 Freedom of Information Requests and Appeals -- Formal requests for access to agencyrecords filed by members of the public, the press, or other agencies under FOIL, agency responses torequests, and appeals in situations where access to records is denied.Minimum Retention and Disposition: Destroy 6 months after access is provided orappeal is resolved.89Public InformationJustification:proceedings.Records may be needed for Article 78, Civil Practice Law and Rules90332 Personal Privacy Impact Statements -- Copies of privacy impact statements and noticesfiled by agencies with the Committee on Open Government in compliance with the Personal PrivacyProtection Law listing records systems which contain personally identifiable information andindicating their impact on personal privacy.Minimum Retention and Disposition: Destroy 6 months after superseded by updatednotices or statements.Justification:proceedings.Records may be needed for Article 78, Civil Practice Law and Rules90333 Personal Privacy Records Access Requests and Appeals -- Requests by data subjectsfiled under provisions of the Personal Privacy Protection Law for access to records pertaining tothem, agency responses to requests, and appeals in situations where access is denied.Minimum Retention and Disposition: Destroy 6 months after access is provided orappeal is resolved, or after filing the next Personal Privacy Annual Report, whicheveris later.Justification: Records and responses may be needed for Article 78, Civil Practice Law andRules proceedings and to provide information needed to prepare the next Personal PrivacyAnnual Report.♦ 90387 Personal Information Disclosure Records -- Lists documenting the disclosure of agencyrecords containing personal information, including the date, nature and purpose of each disclosureand the name and address of the person or governmental unit to whom each disclosure is made.Minimum Retention and Disposition: Destroy 5 years after disclosure of information orafter life of the record disclosed, whichever is longer.Justification: Section 94.3 of Public Officers Law requires the indicated retention period toensure that individuals can track the disclosure of their personal information.90Public Information90334 Requests for Records Amendments or Corrections and Appeals -- Requests filed bydata subjects under provisions of the Personal Privacy Protection Law to amend or correct personalinformation contained in agency records, agency responses to those requests, and appeals insituations where the request is denied.Minimum Retention and Disposition: Destroy 6 months after corrections are made orappeal is resolved.Justification:proceedings.Records may be needed for Article 78, Civil Practice Law and Rules90335 Personal Privacy Annual Reports -- Agency copies of annual reports to the Committee onOpen Government indicating the number of requests for access to records and for corrections andamendments to records which were approved and denied each year under the Personal PrivacyProtection Law.Minimum Retention and Disposition: Destroy after filing of subsequent report.Justification: The report is needed for reference when preparing a new annual report.90336 Press Release/Publication Files -- Copies of news articles, press releases, newsletters,posters and other published materials issued by the agency to the media and others to inform thepublic about events, activities, and accomplishments.Minimum Retention and Disposition: Transfer to State Archives 3 years after creation.Justification: Agency press releases and similar materials warrant preservation in the StateArchives because they possess long-term research value and document agency activities andaccomplishments.♦ 90337 Annual Report Development Files -- Narrative reports on agency and program unitactivities, statistical data and summaries, drafts, charts, graphs, photographs, and related recordsused to prepare agency annual reports, but excluding the reports themselves.Minimum Retention and Disposition: Destroy 3 years after preparation of annualreport.Justification: Agencies should retain these records for reference and analysis in preparing91Public Informationsubsequent annual reports.Note: Agencies should send 30 paper copies and one electronic copy of published annualreports to the State Library for inclusion in the State Document Depository System.♦ 90338 Agency Annual Reports -- Annual reports prepared by agencies describing functions,activities, and events of the past year.Minimum Retention and Disposition: Transfer one copy of each report to the StateArchives.Justification: The copy transferred to the State Archives will satisfy archival requirements.Note: Agencies should send 30 paper copies and one electronic copy of published annualreports to the State Library for inclusion in the State Document Depository System.90339 Public Information Subject Files -- Records used to support an agency's program,arranged by subject, including correspondence, memoranda, studies, reports, plans, press clippings,and copies of internal policies and procedures pertaining to relations with the press and news media,public relations techniques, outreach, information dissemination and related topics.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.92Publication and Reproduction ServicesPUBLICATION AND REPRODUCTION SERVICESThis function includes centralized agency services for publication, printing, photoduplication, andother forms of document reproduction for large volume runs of publications and smaller quantitiesof documents for limited distribution.90340 Publication Job Files -- Requests, orders, job descriptions and specifications, publicationdesign records, sample job products, and related records documenting jobs completed by an agencypublication services unit.Minimum Retention and Disposition: Destroy 1 year after completion of job ordiscontinuation of the publication, whichever occurs later.Justification: Job records should be retained in the event of reprinting.Records Not Covered: Records documenting purchases of goods and services, chargebacks,contracts and any other fiscal records are covered by items in the Fiscal Operations sectionof this schedule.♦ 90341 Publication Production Records -- Hardcopy and electronic documents used to preparepublications, including camera-ready copies, printing masters, mechanicals, printer’s proofs, colorproofs, digital native and support files, fonts, images, color profiles and related records.Minimum Retention and Disposition: Destroy 1 year after completion of publicationjob, except retain records needed for reprinting until the discontinuation of thepublication.Justification: Select records are needed for use in reprinting publications.♦ 90342 Duplication Service Job Files -- Records of duplication services provided by outsidevendors or by the agency duplicating, photocopy, rapid copy, or self-service copy service, includingrequests, production activity reports, copy machine usage logs, and related records.Minimum Retention and Disposition: Destroy 1 year after creation or after order iscompleted, whichever occurs first, except destroy records concerning duplication ofmaterials protected under U. S. Copyright Law 5 years after order is completed.93Publication and Reproduction ServicesJustification: Activity reports, machine usage logs, and related records should be kept aminimum of 1 year to monitor activity and trends. Records concerning copying of materialssubject to copyright protection should be retained for 5 years for potential use in criminalproceedings or civil actions alleging copyright infringement, based on 17 USC 507.Records Not Covered: Records documenting purchases of goods and services, chargebacks,contracts and any other fiscal records are covered by items in the Fiscal Operations sectionof this schedule.90343 Publication and Duplication Subject Files -- Records used to support the administration ofagency publication and duplication services, arranged by subject, including correspondence,memoranda, studies, reports, plans, operator's manuals, vendor materials, supply catalogs and copiesof internal policies and procedures pertaining to publication and duplication equipment, supplies,and services.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.94Records ManagementRECORDS MANAGEMENTRecords management includes activities undertaken by agencies to improve the management ofrecords and to comply with provisions of Section 57.05 of the Arts and Cultural Affairs Law and 8NYCRR Part 188.Records Not Covered: Records maintained by the State Archives of the State EducationDepartment, the Office of the Attorney General, or the Office of the State Comptroller whichdocument their role as control or oversight agencies for state agency records management.♦ 90344 Records Inventory Files -- Descriptive inventories of agency records indicating the titles,contents, locations, volume, inclusive dates, and other attributes of those records.Minimum Retention and Disposition: Destroy when superseded by a new or updatedinventory.Justification: Agencies are required to maintain an up-to-date inventory of all records (8NYCRR 188.6).♦ 90345 Records Disposition Authorization Files -- Approved Records DispositionAuthorizations (RDAs), correspondence and memoranda, copies of laws, regulations, and relatedretention requirements used to establish legally approved retention schedules for agency records.Minimum Retention and Disposition: Destroy after the RDA is cancelled or superseded.Justification: Agencies must retain RDAs to document compliance with State recordsmanagement laws and regulations.Records Not Covered: Copies of RDAs maintained by the State Archives as the centraloversight agency for records management.90346 Records Storage Files -- Records used to transfer and retrieve records to and from inactivestorage, and to maintain control over them while in storage. These records may include StateRecords Center or commercial records center transfer lists, internal agency storage requests, recordsshelf lists, and charge-out slips or logs.Minimum Retention and Disposition: Destroy 3 years after records have been removed95Records Managementfrom storage or returned following retrieval.Justification: Agencies may need to use these records to track missing files, and to provideinformation or evidence of their unavailability during audits or litigation.90347 Records Disposal Files -- Records documenting authorized destruction of records ortransfer to State Archives for permanent retention. These include destruction request and approvalforms, State Archives memoranda of transfer, and related correspondence.Minimum Retention and Disposition: Destroy 3 years after final disposition of records.Justification: These records should be retained to document the legal disposition of recordsin case of discovery actions during litigation or when requested for use in audits.90348 Records Management Program Subject Files -- Records used to support administration ofan agency records management program, arranged by subject, including management plans, surveys,reports, correspondence with program units and the State Archives, articles, training materials,information booklets and brochures, program announcements, directions, internal policies andprocedures, and related records.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.96Telecommunications ManagementTELECOMMUNICATIONS MANAGEMENTTelecommunications management includes the planning, procurement of services, implementation,operation, and maintenance of telephone and other telecommunications facilities for voice and faxcommunications and audio and video teleconferencing. Telecommunications networks operated tosupport data communications are covered in the Information Technology section of this schedule.Records Not Covered: Records of the Office for Technology (OFT), Division ofTelecommunications, in connection with its responsibilities for oversight and centralizedtelecommunications services.♦ 90349 Telephone and Fax Machine Installation and Service Job Files -- Copies of requests byagencies to the OFT Division of Telecommunications or other service providers for telephoneservice, installation or repairs, and responses to the requests. These records typically include workorders, correspondence, memoranda, work schedules, copies of building diagrams, and duplicatecopies of fiscal documents.Minimum Retention and Disposition: Destroy 3 years after request is filled or repairsare made.Justification: Records should be retained for management analysis and planning.Records Not Covered: Agency fiscal and other supporting records of installation, serviceand repair jobs completed pursuant to contractual agreements are covered by item #90126in the Fiscal Operations section of this schedule.♦ 90350 Telecommunications Use Logs and Reports -- Records listing local and long-distancetelephone calls made, and indicating use of carriers, time, length and charge for calls. This seriesincludes logs, computer listings, internal reports, and copies of OFT telephone billing reports onvarious media used to monitor and control employee use of telephone and fax services.Minimum Retention and Disposition: Destroy after logs are reviewed and verified, butnot before any audit or legal needs have been met.Justification: Retention period meets administrative needs for records.Records Not Covered: Agency record copies of telephone bills from OFT or commercialservice providers maintained by fiscal offices as accounts payable records are covered by97Telecommunications Managementitems #90126 and #90127 in the Fiscal Operations section of this schedule. For telephonelogs used for office informational purposes, see item #90366 in the General Administrationsection of this schedule.♦ 90353 Telecommunications Planning Records -- Correspondence, reports, studies, plans, notes,working diagrams of proposed networks, and related records used by agencies to plan for andimplement telecommunications systems.Minimum Retention and Disposition: Destroy 1 year after completion of plannedactivities or projects, except destroy records associated with contracts fortelecommunications services 6 years after expiration of contract or final payment,whichever is later.Justification: Plans may be needed for reference during the first year of operation or for thelife of the contract.90354 Telephone Wiring Schematics and Diagrams -- Agency copies of trunk and feeder linediagrams, wiring schematics, specifications, and other records that document the location, capacityand routing of telephone networks used by agencies to support network operation, maintenance, andmodification.Minimum Retention and Disposition: Destroy when superseded by new networkdocumentation or when network installation is dismantled.Justification: These records are essential for network operation and maintenance.Note: Data communications may operate over an integrated telecommunications network.See the Information Technology section of this schedule.90355 Telephone and Fax Directories -- Logs, lists, and directories of telephone and faxnumbers.Minimum Retention and Disposition: Destroy when superseded by updated directoryor listing.Justification: These records have no value for operations once they are superseded.98Telecommunications Management90356 Telephone Services Subject Files -- Correspondence, memoranda, reports, internal agencypolicies and procedures, vendor materials, equipment manuals and related records, arranged bysubject and used to support administration of telephone and fax services.Minimum Retention and Disposition: Destroy when obsolete or superseded.Justification: These records have no legal or fiscal value.99TrainingTRAININGAgencies provide training to employees to help ensure a work force with the skills and knowledgesufficient to accomplish agency goals, and to offer employees opportunities for professionaldevelopment. Agencies also consent to, encourage, and/or subsidize employee attendance attraining conducted by other state agencies, educational institutions, private trainers, and otherorganizations.Records Not Covered: Records related to training provided to other state agencies, localgovernments, or private organizations and individuals as part of an agency's programmaticresponsibilities.♦ 90020 Course Information Records -- Memoranda, flyers, catalogues and other records relatedto specific training courses, including information on course content, program registration,instructor, credits, hours and roster of agency registrants.Minimum Retention and Disposition: Destroy when superseded or obsolete, but notbefore legal, audit or other needs for records have been met.Justification: Information in this series is used for curriculum development and forreference purposes.Note: In cases where an agency may need documentation of the content of a training courseto demonstrate that employees have been properly trained to comply with standards orguidelines or to meet legal or other needs, the agency may wish to retain selected courseinformation records for extended periods, such as for the length of all concerned employees’service with the agency, or to include such records as part of the concerned employees’training history (see item #90022).♦ 90021 Course Registration Processing Records -- Employees’ application and enrollmentrecords for courses, including employee data forms, course applications, and supervisors' andtraining officers' authorizations or denials.Minimum Retention and Disposition:administrative use.Destroy when no longer needed forJustification: Information has short-term administrative value.100Training♦ 90022 Employee Training History -- Records of an employee's training history, includingemployee identifying information (e.g., name, social security number), courses registered for andcompleted, and beginning and completion dates.Minimum Retention and Disposition: Destroy 6 years after course completion.Justification: Retention period typically meets agency needs to document specific coursestaken in recent years.Note: For records of specific types of training, see also the Affirmative Action, ReasonableAccommodation, and Human Rights section, the Health, Safety, and Security section, and thePersonnel section of this schedule. If documentation of employee training is needed forlengthier periods, agencies may wish to retain records for those periods, such as for theduration of the individual’s employment with the agency. In cases where an agency mayneed documentation of the content of a training course taken by an employee, such as todemonstrate that an employee was trained to comply with standards or guidelines or to meetlegal or other needs, the agency may wish to include documentation of the content of thetraining course as part of this series or to retain such records for needed periods using item#90020.90023 Tuition Reimbursement Program Records -- Tuition reimbursement records, includingapplication, determination of coursework relatedness, and reimbursement computation forms.Minimum Retention and Disposition: Destroy 1 year after reimbursement is paid toemployee or application is rejected.Justification: The Governor's Office of Employee Relations (GOER) maintains the recordcopies of the forms included in this series. Records have no administrative value afterreimbursements are made to employees.Records Not Covered: Tuition reimbursement records maintained by the Governor's Officeof Employee Relations (GOER) in performing its control function.101102NUMERICAL INDEX Note: Item numbers are bracketed, followed by page numbers. Items removed from previous editions are shown as“deleted” or as “See [item number]” when combined with other items in this edition.[90001] 77-78 [90002] 78 [90003] 78-79 [90004] 79 [90005] 79-80 [90006] 80 [90007] 84 [90008] 84-85 [90009] 85 [90010] 85-86 [90011] 86 [90012] 86-87 [90013] 40-41 [90014] 87 [90015] 87-88 [90016] 74 [90017] 74 [90018] 74-75 [90019] 75 [90020] 100 [90021] 100 [90022] 101 [90023] 101 [90024] see [9001][90025] see [90001] and [90018][90026] see [90004][90027] 75 [90028] see [90007][90029] see [90010][90030] see [90006][90031] 81 [90032] 75-76 [90100] 29 [90101] 29-30 [90102] 30 [90103] 30 [90104] 30-31 [90105] 31 [90106] 31 [90107] 12 [90108] 12 [90109] 13 [90110] see [90126][90111] see [90126][90112] see [90126][90113] see [90126][90114] see [90127][90115] see [90127][90116] see [90127][90117] see [90127][90118] see [90127][90119] 33-34 [90120] 34 [90121] 35 [90122] 35 [90123] 36 [90124] 36 [90125] 37 [90126] 31-32 [90127] 32-33 [90200] see [90366][90201] see [90366][90202] 2 [90203] 2-3 [90204] 3 [90205] 3 [90206] 3 [90207] 3-4 [90208] 4 [90209] 4-5 [90210] 5 [90211] 8-9 [90212] 9 [90213] 9 [90214] 9-10 [90215] 10 [90216] 10-11 [90217] 11 [90218] 49-50 [90219] 50 [90220] see [90209][90221] see [90376][90222] see [90126] and [90127][90223] see [90126] and [90127][90224] 50 [90225] 50-51 [90226] 51 [90227] 51-52 103 [90228] 52 [90229] 52 [90230] see [90126] and [90127][90231] 52-53 [90232] see [90209][90233] 53 [90234] see [90126][90235] 53-54 [90236] 54 [90237] 54-55 [90238] 55 [90239] 56 [90240] 56-57 [90241] 57 [90242] 57 [90243] 57-58 [90244] 58 [90245] 58-59 [90246] 59 [90247] 59 [90248] 59 [90249] 60 [90250] see [90252][90251] 60 [90252] 60 [90253] 61 [90254] 61 [90255] 61-62 [90256] 62 [90257] see [90020][90258] 62 [90259] 62-63 [90260] 63 [90261] 63 [90262] see [90239][90263] see [90240][90264] 63-64 [90265] 17-18 [90266] 18 [90267] 18-19 [90268] 19 [90269] see [90268][90270] 19 [90271] 19-20 [90272] 20 [90273] 20-21 [90274] 22 [90275] 22-23 [90276] 23 [90277] 23 [90278] 23-24 [90279] 24 [90280] 24 [90281] 25 [90282] 25 [90283] 25 [90284] 26 [90285] 26 [90286] 26 [90287] 26-27 [90288] 38 [90289] 38 [90290] 38 [90291] 39 [90292] 40 [90293] 40 [90294] 41 [90295] 41-42 [90296] 42 [90297] deleted[90298] 42-43 [90299] 43 [90300] 43-44 [90301] 44 [90302] 44-45 [90303] 45 [90304] 45-46 [90305] 46 [90306] 46-47 [90307] 47 [90308] 65 [90309] 65 [90310] 66 [90311] 66 [90312] 66 [90313] 66 [90314] 67 [90315] 67 [90316] 68 [90317] 68 [90318] 68 [90319] 68 [90320] 69 [90321] 70 [90322] 70 [90323] 70-71 [90324] 71 [90325] 72 [90326] 72-73 [90327] 73 [90328] 73 [90329] 89 [90330] 89 [90331] 89-90 [90332] 90 [90333] 90 [90334] 91 [90335] 91 [90336] 91 [90337] 91-92 [90338] 92 [90339] 92 [90340] 93 [90341] 93 [90342] 93-94 [90343] 94 [90344] 95 [90345] 95 [90346] 95-96 [90347] 96 [90348] 96 [90349] 97 [90350] 97-98 [90351] deleted[90352] deleted[90353] 98 [90354] 98 [90355] 98 [90356] 99 [90357] 14 [90358] 14-15 [90359] 15 [90360] 16 [90361] 18 [90362] 5 [90363] 64 [90364] see [90239][90365] 21 [90366] 1-2 [90367] 33 [90368] 47-48 [90369] 6 [90370] 6 [90371] 81 [90372] 1 [90373] 15-16 [90374] 21 [90375] 27 [90376] 33 [90377] 55 [90378] 55-56 104 [90379] 56 [90380] 79 [90381] 80-81 [90382] 81-82 [90383] 82-83 [90384] 83 [90385] 83 [90386] 83-84 [90387] 90 [90388] 6-7 GENERAL INDEX Note: Page numbers are in bold type, followed by item numbers in brackets.Accounting reports, 35-36 [90121-23]Accounts payable, 31-33 [90126-27]Accounts receivable, 34 [90120]Administration, 1-7 [90372, 90366, 90202-10, 90362,90369-70, 90388]Administrative analysis, 3-4 [90207]Affirmative action, 8-11 [90211-17]Agency annual report, 91-92 [90337-38]Agendagoverning and advisory body, 1 [90372]labor-management, 15 [90359]Alcohol and controlled substances motor vehicledriver testing, 83-84 [90384-86]Annual report, 91-92 [90337-38]Appointment book, 1-2 [90366]Attendance and leave, 78-79 [90003]Auditenvironmental, 39 [90291] fiscal, 31 [90105]internal control, 66 [90310-11] management, 3 [90204]E-mail, 6 [90369]Electronic data processing (EDP). See InformationtechnologyEligible list, 84-85 [90008-09]Employee assistance program, 81-82 [90382]Employee relations, 14-16 [90357-60, 90373]. Seealso PersonnelEmployee suggestion program, 81 [90371]Employee training history, 101 [90022]Employment eligibility verification forms, 81[90031]Employment inquiry, 80 [90006]Environmental audit, 39 [90291]Equipment, supplies, and motor vehicle management,17-21 [90265-68, 90270-73, 90361, 90365,90374]Ethics records, 82-83 [90383]Examination, civil service, 85-86 [90010-11]Facilities management, 22-27 [90274-87, 90375]disaster preparedness, 47 [90307]health and safety inspection, 42-43 [90298]Family and Medical Leave Act, 78-79 [90003]Financial report, 30-31 [90103-04]Fire safety, 43-45 [90300-02]Fiscal operations, 28-37 [90100-06, 90119-27,90367, 90376]Fixed assets, 22-23 [90274-76]Forms management, 38 [90288-90]Freedom of Information Law (FOIL), 89-90 [90330­31]Bank account, 36-37 [90124-25]Bid, 31-32 [90126], 33 [90367] Budget preparation, 12-13 [90107-09] Building pass, 45-46 [90304]Building visitor log, 45 [90303] Calendar, 1-2 [90366]Capital construction, 28Certificate of approval, 30 [90102] Check, cancelled, 37 [90125] Chronological file, 1-2 [90366] Civil service, 84-86 [90007-11]Contract, 31-33 [90126-27]reference files, 33 [90376]Contractor compliance, 73 [90327]Contractors’ certified payroll, 27 [90375]General ledger, 28General Retention and Disposition Schedulerecords not covered, vii-viiiuse of schedule, viii-ixGrievance, 10 [90215], 14 [90357]Data dictionary, 61 [90253-54]Data processing. See Information technologyDaybook, 1-2 [90366]Direct deposit, 75-76 [90032]Disaster preparedness and response, 47-48 [90307, 90368]information technology, 54 [90236]Disciplinary action, 14-15 [90358], 77-78 [90001]Duplication services, 93-94 [90342-43]Hazardous substance. See Toxic substanceHealth, safety, and security, 39-48 [90291-90296,90298-90307, 90013, 90368]Health and safety inspection, 42-43 [90298]Health insurance, 77-78 [90001], 79-80 [90004-05],86-87 [90012]Human rights, 8-11 [90211-17]I-9 form, 81 [90031]105 Illness, occupational, 41-42 [90295-96]Immigration and Naturalization Service, 81 [90031]Incident record, 46 [90305]Information technology, 49-64 [90218-19, 90224-29,90231, 90233, 90235-49, 90251-56, 90258­61, 90264, 90363, 90377-79]application development, 50-53 [90225-29,90231]audit trail file, 59 [90246]backup file, 54-55 [90237]chargebacks, 50 [90224]circuits, 63 [90260-61]data dictionary, 61 [90253-54]data migration, 53-54 [90235]disaster preparedness and recovery, 54 [90236]firewall log, 55 [90377]flowchart, 51 [90226], 52 [90229]hardware, 53 [90233], 62 [90258]help desk records, 62 [90256]index, 60 [90249]input document, 57 [90242]intermediate file, 57-58 [90243]Internet services, 64 [90363]metadata, 51-52 [90227]network services, 62-64 [90259-61, 90264,90363]plan, 50 [90219]print file, 58-59 [90245]scratch report, 60 [90251]security, 55-56 [90377-79]security breach notification, 56 [90379]source code, 52 [90228]source document, 57 [90242]systems development, 50-53 [90225-29, 90231]tape library, 60 [90251-52]work file, 57-58 [90243]Injury, occupational, 41-42 [90295-96]Inspectionfire, 43-44 [90300]health and safety, 42-43 [90298]physical plant, 26 [90286]Intern, 77-78 [90001]Internal control, 65-66 [90308-13]Internet services, 64 [90363]Interview records, 80-81 [90381]Inventorydisaster preparedness and recovery, informationtechnology, 54 [90236]equipment and furniture, 17-18 [90265]fixed assets, 22 [90274], 23 [90276]forms, 38 [90289]network circuits, 63 [90260]records, 95 [90344]supplies, commodities and parts, 18 [90266]Labor-management records, 15 [90359]Lease, 24-25 [90280-81], 31-32 [90126]Library, 67-69 [90314-20]catalog, 67 [90315]circulation, 68 [90316]interlibrary loan, 67 [90314]reference, 68 [90317]tape library, computer, 60 [90251-52]Mail and messenger services, 70-71 [90321-24]Mailing address list, 70-71 [90323]Minority and women-owned business development,72-73 [90325-28]compliance and utilization report, 72-73 [90326]contractor compliance, 73 [90327]Minutesgoverning and advisory body, 1 [90372]labor-management, 15 [90359]Motor vehicleassignment, 19-20 [90270-71]driver testing, alcohol and controlled substances,83-84 [90384-86]incident, 20 [90272]maintenance, 19 [90268]management. See Equipment, supplies, and motorvehicle managementNon-records, vi-vii, 6-7 [90388]Occupational injury and illness, 41-42 [90295-96]Outreach program, 10-11 [90216]Parking permit, 26 [90284-85], 75-76 [90032]Payroll, 74-76 [90016-19, 90027, 90032], 79 [90004]contractors’ certified, 27 [90375]direct deposit records, 75-76 [90032]salary register, 75 [90019]Personal history files, 77-78 [90001]Personal Privacy Protection Law, 90-91 [90332-35,90387]Personnel, 77-88 [90001-12, 90014-15, 90031,90371, 90380-86]. See also Employeerelationsattendance and leave, 78-79 [90003]civil service, 84-86 [90007-11]classification, 84 [90007]disciplinary action, 14-15 [90358], 77-78 [90001]eligible list, 84-85 [90008-09]employee assistance program, 81-82 [90382]employee suggestion program, 81 [90371]employment eligibility verification form, 81[90031]employment inquiry, 80 [90006]ethics records, 82-83 [90383]examination, 85-86 [90010-11]106 Family and Medical Leave Act, 78-79 [90003]grievance, 10 [90215], 14 [90357]health insurance, 77-78 [90001], 79-80 [90004­05], 86-87 [90012]I-9 form, 81 [90031]intern, 77-78 [90001}interview records, 80-81 [90381]motor vehicle driver testing, 83-84 [90384-86]personal history files, 77-78 [90001]recruitment, 80-81 [90381]résumé, 77-78 [90001], 80 [90006]retirement benefits, 77-78 [90001], 87 [90014]time record, 78-79 [90003]volunteer, 77-78 [90001]workers’ compensation, 87-88 [90015]Phone log, 1-2 [90366]Physical plant, 23 [90277], 24 [90279], 26 [90286]Plans, 2-3 [90203], 3 [90205-06]affirmative action, 8-9 [90211]data processing, 50 [90219]disaster preparedness and recovery, 54 [90236]environmental audit, 39 [90291]facility evacuation, 47 [90307]fire code violation corrective, 43-44 [90300]health and safety remedial action, 42-43 [90298]information technology, 50 [90219]internal control, 66 [90310, 90313]mail and messenger services, 70 [90322]minority and women-owned businessdevelopment, 72 [90325]reasonable accommodation, 8-9 [90211]records management, 96 [90348]recruitment, 9 [90212]space allocation, 25 [90282]telecommunications, 98 [90353]title and salary, 84 [90007]Policies and proceduresadministrative, 4-5 [90208-10, 90362]affirmative action, 8-9 [90211], 9-10 [90214]employee relations, 16 [90360]equipment, supplies, and motor vehicles, 21[90374]facility, 26-27 [90287]fiscal, 29-30 [90100-01]forms, 38 [90290]health, safety, and security, 46-47 [90306]internal control, 65 [90308], 66 [90313]library, 69 [90320]mail and messenger services, 71 [90324]minority and women-owned businessdevelopment, 73 [90328]motor vehicle driver alcohol and controlledsubstances testing, 83 [90384]personnel, 79-80 [90005]public information, 92 [90339]publication and reproduction services, 94 [90343]records management, 96 [90348]telephone services, 99 [90356]Press release, 91 [90336]Procurement contact record, 31-32 [90126]Public Employment Relations Board (PERB) case,15-16 [90373]Public information, 89-92 [90329-39, 90387]Publication and reproduction services, 93-94 [90340­43]Purchasing, 31-33 [90126-27]. See also FiscaloperationsReal property acquisition or sale, 28-29Reasonable accommodation, 8-11 [90211-17]Receipts, 31-33 [90126-27]accounting, 34-35 [90120-21]fiscal reconciliation, 31 [90106]library, 68 [90318]mail, 70 [90321]motor vehicle oil and gas, 19 [90270]surplus property disposal, 20-21 [90273]Recording, meeting of governing and advisory body,1 [90372]Records, definition of, viRecords disposition authorization (RDA), 95 [90345]Records management, 95-96 [90344-48]Recruitment, 80-81 [90381]plans, 9 [90212]Recycling, 21 [90365]Résumé, 77-78 [90001], 80 [90006]Retirement benefits, 77-78 [90001], 87 [90014]Revenue accounting, 34 [90120]Safety and health inspection, 42-43 [90298]Salary register, 75 [90019]Security breach notification, 56 [90379]Security videotape, 45 [90303]Space allocation, 25 [90282]Space assignment, 25 [90283]Studies. See also specific subjectsadministrative, 2 [90202], 3 [90204-05]financial, 30-31 [90104]Subject files. See specific subjectsSuggestion program, employee, 81 [90371]Supplies management. See Equipment, supplies, andmotor vehicle managementSurplus property, 20-21 [90273]Surveys, 3 [90204-05]. See also specific subjectsinternal control vulnerability assessment, 65[90309]occupational injury and illness, 42 [90296]Telecommunications management, 97-99 [90349-50,90353-56]107 Telephone directory, 98 [90355] Tenant, 24 [90280] Time record, 78-79 [90003] Toxic substance, 40-41 [90292-94, 90013] Training, 100-101 [90020-23] affirmative action, human rights, and reasonableaccommodation, 11 [90217] course information, 100 [90020] course registration, 100 [90021] employee training history, 101 [90022] fire safety, 44-45 [90302] motor vehicle driver alcohol and controlled substances, 83-84 [90386] toxic substance, 41 [90294]tuition reimbursement, 101 [90023] Travel payments, 33-34 [90119]Tuition reimbursement, 101 [90023]Variances, health and safety code and regulations, 43[90299]Visitor log, 45 [90303]Volunteer, 77-78 [90001]Voter registration, 6 [90370]Vulnerability assessment, 65 [90309]W-4 form, 74 [90016]Webcast, 1 [90372] Withholding allowance certificate, 74 [90016] Workers’ compensation, 87-88 [90015] 108