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.

2 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. 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.

3 , 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.

4 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 .

5 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 .. 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.

6 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.

7 Benefits and Health Insurance Administration .. 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 .

8 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.

9 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. 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.

10 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 . 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.