New York State Archives - General Retention and ...

1 General Retention and disposition schedule for New York State Government Records Effective September 2016. The University of the State of New York The State Education Department New York State Archives Albany, New York 12230 NEW YORK State Archives . GOVERNMENT RECORDS SERVICES. General Retention AND disposition schedule . FOR NEW YORK State GOVERNMENT RECORDS. Effective September 2016. The University of the State of New York The State Education Department 9A47 Cultural Education Center, Albany, New York 12230. THE UNIVERSITY OF THE State OF NEW YORK. Regents of The University Betty A. Rosa, Chancellor, , in Ed., in Ed., , Bronx T. Andrew Brown, Vice Chancellor, , Rochester James R. Tallon, JR., , Binghamton Roger Tilles, , Great Neck Lester W. Young, Jr., , , Beechhurst Christine D.

2 Cea, , , Staten Island Wade S. Norwood, Rochester Kathleen M. Cashin, , , Brooklyn James E. Cottrell, , New York Josephine Victoria Finn, , Monticello Judith Chin, in Ed. Little Neck Beverly L. Ouderkirk, in Ed., in Ed. Morristown Catherine Collins, , , , in Ed., Buffalo Judith Johnson, , , New Hempstead Nan Eileen Mead, Manhattan Elizabeth S. Hakanson, , , Syracuse Luis O. Reyes, , , New York Commissioner of Education and President of The University MaryEllen Elia Executive Deputy Commissioner Elizabeth R. Berlin Assistant Commissioner for New York State Archives Tom Ruller The 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 and activities.

3 Portions of this publication can be made available in a variety of formats, including braille, large print or audio tape, upon request. Inquiries concerning this policy of nondiscrimination should be directed to the Department's Office for Diversity and Access, Room 530, Education Building, Albany, NY 12234. Requests for additional copies of this publication may be made by contacting the State Archives , Publications Unit, Room 9A61, Cultural Education Center, Albany, NY 12230. Contents CONTENTS. 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 SECTIONS. General Administration .. 1. Affirmative Action, Reasonable Accommodation, and Human Rights.

4 8. Budget Preparation .. 12. Employee 14. Equipment, Supplies, and Motor Vehicle 17. Facilities Management .. 22. Fiscal Operations .. 28. Fiscal Administration .. 29. Purchasing/Claims and Payments .. 31. Revenue and Collections .. 34. Accounting Records .. 34. Bank Transactions .. 36. Forms 38. Health, Safety, and 39. Information Technology .. 49. General Administration .. 49. Systems and Application 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 72. Payroll .. 74. Personnel .. 77. Personnel Administration .. 77. Civil Service 84. Benefits and Health Insurance Administration.

5 86. iii Contents Public 89. Publication and Reproduction 93. Records Management .. 95. Telecommunications 97. Training .. 100. Numerical Index .. 103. General Index .. 105. iv Introduction INTRODUCTION. Records are a basic tool of government administration. They provide information for planning and decision making, and they are the foundation for government accountability. Records Retention and disposition are subject to direct legal requirements. This General Retention and disposition schedule for New York State Government Records contains guidelines for complying with legal, fiscal, and administrative requirements for records Retention and provides legal authorization to dispose of common records on a regularly scheduled It replaces earlier General schedules issued by the State Archives .

6 These previous General schedules should no longer be used to govern the disposition of records. The purposes of the schedule are to - provide agencies with uniform guidelines for the Retention and disposition of common administrative, fiscal, and personnel records - ensure that agencies retain these records as long as needed for internal administration, 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 by the schedule on a regularly scheduled basis after minimum Retention periods have been met. The schedule was prepared by the State Archives . It has been reviewed and approved by representatives of the Attorney General and the State Comptroller and authorized for use by the State Archives pursuant to the provisions of Section , Arts and Cultural Affairs Law.

7 SCOPE OF THE schedule . This schedule provides Retention and disposition authorizations for records commonly created and maintained by State agencies to support administrative, personnel, and fiscal activities. For the purposes of this schedule , State agency means any department, division, board, bureau, office, council, commission, authority, public benefit corporation having statewide responsibility, or a separate unit of the executive branch of State government created or 1. The Retention and disposition of State records is governed by Subdivision 11, Section Arts and Cultural Affairs Law and 8 NYCRR Part 188. State agencies may not destroy or otherwise dispose of any records unless such disposition is authorized by the State Archives , acting on behalf of the Commissioner of Education and in cooperation with the State Comptroller and the Attorney General .

8 Under 8 NYCRR , the State Archives may issue General records Retention and disposition schedules to authorize disposition of records common to some or all agencies. v Introduction established by law or executive order, but shall not include the Executive Chamber. The schedule covers over 200 records series. It is organized into 21 separate sections, each of which covers the records created or used to carry out a specific function. Each section begins with 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 editions of the General schedule . Items preceded by double diamond symbols are either new to this 2016 edition or have been revised from the previous edition effective in 2008.

9 Items preceded by a single diamond symbol were either new to the 2008 edition or were revised in the edition effective in 2002. Some items that appeared in previous editions of the General schedule have been deleted or combined into current schedule items. The Numerical Index at the end of this schedule contains cross-references showing past items that have been deleted or the current items into which they have been combined. The schedule applies to records regardless of the format or media in which they exist, including electronic records. According to Section of Arts and Cultural Affairs Law Records means all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by any agency of the State or by the legislature or the judiciary in pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities, or because of the information contained therein.

10 Under this definition, electronic records, microfilm, and sound and video recordings are included 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 or exhibition 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 use sound judgment and apply consistent criteria when deciding whether recorded information constitutes records. A consistent approach to defining records ensures that agencies create or capture adequate documentation of their programs and operations for ongoing administrative purposes and helps to meet legal and audit requirements.