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Personnel

Personnel/Civil Service

Personnel
Title Major Revision Previous Schedules Schedule Item
Personnel records of local government employees

(includes volunteers, interns, trustees, and board members)
NOTES: The State Archives does not prescribe the amount of detail and nature of information necessary to be maintained for service time verification for retirement purposes. Contact the Office of the State Comptroller or other retirement system to verify that you are maintaining the necessary information.

 2020 (♦)
2022 (♦♦) 		CO2 391; MU1 364; ED1 199; MI1 310 636

a: Master summary record from personnel case file, including but not limited to age, dates of employment, job titles and civil service status:
RETENTION: PERMANENT

b: Personnel case file materials, except summary information record and teachers' records, and including but not limited to application for employment, resume, results of criminal background check, report of personnel change, evaluation, civil service examination results, notice of resignation or termination, and correspondence:
RETENTION: 6 years after termination of employment or appointment
NOTES: Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 688.
Records relating to the employee's declaration of intention to decline membership in the retirement system are covered by item no. 645 in the Personnel section.

c: Personnel case file materials for teachers, except summary information record, and including but not limited to application for employment, resume, results of criminal background check, report of personnel change, evaluation, civil service examination results, notice of resignation or termination, observation and site visit records (as part of the annual professional performance review (APPR)), and correspondence:
RETENTION: 7 years after termination of employment
NOTES: Reports of personnel changes may be included in personnel case files, in which case they are subject to the indicated minimum retention period. Other copies of these reports are maintained by other offices and are covered by item no. 688.
Employers may wish to retain records for lengthier periods (i.e., the duration of preferred eligible lists) when employees are placed on preferred eligible lists at the time of termination. These lists have a duration of seven years under Sections 2510 and 3013 of Education Law. For New York City, preferred eligible lists are established under Section 2588 of Education Law without specified durations.

d: Contract worker background check records for those working in local government facilities, including checks of criminal history backgrounds, driver’s licenses, employment, and references:
RETENTION: 6 years after contract or worker is terminated, whichever is sooner

e: Employment eligibility verification records (I-9 form):
RETENTION: 3 years from the date of the hire or 1 year after termination of employment, whichever is later

f: Security guard application records pursuant to Section 89-g(7) of General Business Law, including copy of application for a registration card, proof of due diligence to verify the information therein contained, photograph, and training records:
RETENTION: 1 year after termination of employment
NOTES: All other security guard personnel records are covered by other subitems.

g: Personnel-related records of reports of allegations of child abuse against school employees and volunteers in an "educational setting" (as defined in Section 1125, Education Law), for those reports which do not result in criminal convictions:
RETENTION: 5 years after the date of the report, or after such earlier time as may be determined by the school or district
NOTES: Personnel-related records which do result in criminal convictions are covered by part “b." For related records of child abuse and maltreatment, see item no. 27 in the General Administration section, Incidents subsection.

h: Earnings (in-service) credit records, covering teachers, teacher assistants and other personnel:
RETENTION: 75 years after date of birth of employee, 55 years after earliest document in file if date of birth is not known, or 6 years after termination of employment, whichever is later

i: Reasonable assurance letters, created pursuant to Section 590(10) and (11) of Labor Law, covering both professional and non-professional employees of educational institutions:
RETENTION: 6 years
Investigative records and disciplinary proceedings,

including but not limited to statement of charge, transcript of hearing, notice of decision, letter of termination or resignation, letter of reinstatement, record of appeal procedure, and correspondence:
RETENTION: 3 years after final decision rendered
NOTES: Records covered by this item may be destroyed before this retention period has been reached, if specified either in a union contract or settlement between the employer and employee.
Affirmative action and related complaints may be covered by item no. 643c.

 CO2 392; MU1 365; ED1 200; MI1 311 637
Employee's time records

covering leave, absences, hours worked and scheduling, and including but not limited to employee's time cards or sheets, request for change of work schedule, vacation schedule, report of absence and request for leave without pay:
RETENTION: 6 years
NOTES: Local governments may wish to retain these records longer, perhaps up to 6 years after employee termination, if they are used for that extended period to document time accumulation or usage, disciplinary actions, or for workers’ compensation claim purposes. Local governments should note, however, that other records might serve the same purposes, including item no. 636 from the Personnel/Civil Service section, item nos. 524a, 524b and 534. from the Fiscal section, Payroll subsection, and item no. 577 from the Insurance section.

 CO2 393; MU1 366; ED1 201; MI1 312 638
Annual or other periodic financial or ethics disclosure statements,

filed by local government employees or officials, pursuant to Section 812.1 (a), General Municipal Law, or local law:
RETENTION: 7 years

 2020 (♦)
 CO2 394; MU1 367; ED1 202; MI1 313 639
Employee training history records

documenting employee continuing education, training and development, including employee identification, training received, dates of training, and related records:
RETENTION: 6 years after termination of employment, but no less than 7 years for records documenting professional development programs completed by employees in positions requiring teaching certification
NOTES: Additional records providing detailed information on training history can be destroyed when no longer needed, provided that summary records are retained for the indicated retention period. For retention requirements for specific types of employee training history records, see specific items in this Schedule.
Detailed fiscal records, such as those covering payment or reimbursement for tuition or other training expenses, are covered by items in the Fiscal section.
May include training records for evaluators of teachers and principals as part of the annual professional performance review (APPR).

 2020 (♦)
 CO2 395; MU1 368; ED1 203; MI1 314 640
Administrative organization chart and related records

showing administrative and supervisory organization:
RETENTION: 0 after superseded or obsolete
NOTES: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently. Contact the State Archives for additional advice.

 CO2 396; MU1 369; ED1 204; MI1 315 641
Identification card records,

when card is issued to local public employee:
RETENTION: 6 months after becoming invalid

 CO2 397; MU1 370; ED1 205; MI1 316 642
Equal employment opportunity report and related records


2020 (♦)
 CO2 398; MU1 371; ED1 206; MI1 317 643

a: Annual, long-term or special (narrative or statistical) reports, goals and achievements:
RETENTION: PERMANENT

b: Periodic reports, statistics and other records used in compiling annual, long-term or special (narrative or statistical) reports, goals and achievements:
RETENTION: 3 years

c: Affirmative action and related complaint investigation records:
RETENTION: 4 years after date of final determination
NOTES: Agencies may wish to retain records covered by part "c" of this item beyond the minimum retention period for use in establishing patterns of complaints and for investigating and resolving future complaints.
Employee benefit records

including health, life, and disability insurance and retirement for employee with or without dependent survivor (including retiree, volunteer, or intern)

 2020 (♦)
2022 (♦♦) 		CO2 399, 851; MU1 372, 725; ED1 207, 343; MI1 318, 723 645

a: Initial application and any subsequent updates and related records:
RETENTION: 6 years after termination of employee's, dependent survivor's, or beneficiary’s coverage, whichever is later

b: Beneficiary designation or dependent enrollment records:
RETENTION: 6 years after superseded

c: Claim for benefits (copy, where original is submitted directly by employee):
RETENTION: 1 year

d: Insurance coverage reports, investment statements, and account balances:
RETENTION: 6 years

e: Declination statement filed by employee, including copy of written notification of options provided employee by local government:
RETENTION: 6 years after separation from service
NOTES: Local governments may wish to retain these records that relate to retirement for the life of the employee. State legislation in effect between 1993 and 1996 allowed for retroactive retirement system membership, for employees who were not previously offered membership, and the possibility exists that similar legislation may be passed into law in the future. If this occurs, these declarations of non-membership may be valuable for local governments to document intentions of present or former employees.

f: Health insurance buy-out program records, including approval documentation, annual proof of alternate health insurance coverage, and annual waiver forms:
RETENTION: 1 year
NOTES: Excludes original opt-out or declination application which is covered by subitem b. above and incentive payment records which are covered by item no. 647.

g: Consolidated Omnibus Budget Reconciliation Act (COBRA) compliance records, including but not limited to correspondence, employee notice of qualifying event, records documenting continuation or termination of coverage, and copy of employer notices:
RETENTION: 6 years
Unemployment insurance records


CO2 400; MU1 373; ED1 208; MI1 319 646

a: Claim filed by employee, when claim is approved:
RETENTION: 6 years after final payment

b: Claim filed by employee, when claim is disqualified:
RETENTION: 3 years after filing

c: Claim payment reports:
RETENTION: 6 years
Labor-management meeting records,

including minutes of meeting, agenda, reports, and correspondence

 CO2 401; MU1 374; ED1 209; MI1 320 648

a: Minutes and reports:
RETENTION: PERMANENT

b: Meeting agenda, correspondence, and other records:
RETENTION: 6 years
Public employee contract negotiations records,

including but not limited to proposals, summary of proceedings, copies of salary schedules and contracts, PERB fact-finding report, and correspondence

 CO2 402; MU1 375; ED1 210; MI1 321 649

a: All documentation in record, except routine correspondence, routine memoranda and drafts:
RETENTION: PERMANENT

b: Routine correspondence, routine memoranda and drafts:
RETENTION: 1 year
Job action records

documenting strikes, work stoppages, informational picketing and other job actions conducted by local government employees, including but not limited to correspondence and memoranda, press clippings, copies of notices of violation, detailed and summary records of employees' participation, and penalties levied upon participants

 CO2 403; MU1 376; ED1 211; MI1 322 650

a: All documentation in record, except detailed listings of all employees present at various events and other records lacking substantive informational value:
RETENTION: PERMANENT

b: Detailed listings of all employees present at various events, and other records lacking substantive informational value:
RETENTION: 6 years
Public employee grievance records,

including but not limited to grievance, investigative records, hearing proceedings, decision rendered by employer, employee appeal, records of arbitration procedure, final decision, and correspondence:
RETENTION: 3 years after grievance is resolved

 CO2 404; MU1 377; ED1 212; MI1 323 651
Toxic substance exposure records (non-medical)


CO2 406; MU1 379; ED1 214; MI1 325 654

a: Records of exposure or possible exposure of an employee to a toxic substance or other harmful physical agent, including background data to environmental monitoring or measuring, biological monitoring records which are designated as exposure records, material safety data sheets or chemical inventory records indicating use and identity of a toxic substance or harmful physical agent, and related records:
RETENTION: 30 years
NOTES: Environmental monitoring background data may be destroyed after 1 year provided that sampling results, methodology, a description of the analytical method used, and a summary of other background data relevant to the interpretation of results are retained for at least 30 years, as provided in 29CFR 1910.1020 (d-1) (ii-A).

b: Lists, or material safety data sheets, of toxic substances present in the workplace and of employees who handle those substances:
RETENTION: 40 years after superseded or obsolete

c: Material safety data sheet or fact sheet, providing detailed information on specific toxic or other substance at workplace, when not used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace or for substances not defined in 29CFR 1910, Subpart Z as being toxic:
RETENTION: 3 years after substance no longer present at workplace
NOTES: If material safety data sheets or fact sheets are used for parts "a" or "b", above, as the list of toxic substances (as defined in 29CFR 1910, Subpart Z) in the workplace, then those sheets should be maintained for the time periods indicated by parts "a" or "b".

d: Training records covering training of individual employee in handling toxic substances:
RETENTION: 3 years after separation from service

e: Summary records of toxic substance training, including but not limited to minutes of meetings and training sessions and summary descriptions of training given employees:
RETENTION: 3 years after separation from service of all employees involved
NOTES: This retention may be difficult to calculate in instances where a number of employees have attended the same training. Local officials may wish to retain these summary training records for 60 years or another period sufficient to ensure that all concerned employees have separated from service.

f: Policy statements and procedures issued by local government relative to dealing with toxic substances:
RETENTION: PERMANENT
Personal surety bond

or undertaking of public official:
RETENTION: 20 years after coverage expires

 CO2 407; MU1 380; ED1 215; MI1 326 655
Listing or roster of local government officials or employees,

including names, addresses, titles and other pertinent information:
RETENTION: PERMANENT

 CO2 408; MU1 381; ED1 216; MI1 327 656
Log and summary of occupational injuries and illnesses,

created pursuant to 12NYCRR, 801.33 and 29CFR, 1904.33:
RETENTION: 5 years from the end of the calendar year.
NOTES: If these records are intended to also satisfy the legal requirements of Section 110, Workers' Compensation Law, and no separate records covered by item no. 660, below, are created, then these records must be retained for 18 years after date of injury or illness.

 CO2 411; MU1 383; ED1 220; MI1 329 659
Employee injury record,

covering work-related accident or occupational disease, created pursuant to Section 110, Workers' Compensation Law:
RETENTION: 18 years after date of injury or illness

 CO2 868; MU1 744; ED1 474; MI1 741 660
Employee medical records concerning exposure to toxic substances or harmful physical agents


NOTES: This item does not include health insurance records, which are covered by item no. 645 or non-medical toxic substance exposure records, which are covered by item no. 654.

 CO2 412; MU1 384; ED1 221; MI1 330 661

a: First aid records of one-time treatment and subsequent observation of minor illnesses and injuries, as defined in 29 CFR 1910.1020 (d-1) (i-B), if made onsite by a non-physician and maintained separately from the employee medical records:
RETENTION: 3 years after completion of treatment and subsequent observation

b: Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked one year or longer:
RETENTION: 30 years after termination of employment

c: Medical records, other than those covered by part "a", including medical questionnaires and histories, the results of medical examinations and laboratory tests, medical opinions, diagnoses and recommendations, first aid records, descriptions of treatments and prescriptions, employee medical complaints, and related records, for employee who worked less than one year, provided copies were given to the employee upon termination of employment, pursuant to 29 CFR 1910.1020 (d-1) (i-C):
RETENTION: 3 years after termination of employment
NOTES: If copies are not given to the employee upon termination of employment, the retention specified in part "b," above, must be followed.
Employee medical records not related to exposure to toxic substances or harmful physical agents


2020 (♦)
 CO2 1056; MU1 384; ED1 221; MI1 910 662

a: Medical records:
RETENTION: 3 years after termination of employment

b: Records and documents relating to medical certifications, re-certifications or medical histories of employees or employees’ family members, created for purposes of Family and Medical Leave Act (FMLA):
RETENTION: 3 years
Drivers' license review records for local government officials, employees or volunteers:


RETENTION: 5 years

 2020 (♦)
 CO2 869; MU1 745; ED1 345; MI1 742 665
Employee attestation of knowledge of code of ethics, staff policy manual or other official policies or procedures:


RETENTION: 3 years after superseded or upon termination of employment

 CO2 870; MU1 746; ED1 344; MI1 743 666
Records documenting the specimen collection and testing process,

for commercial motor vehicle driver alcohol and drug testing

 CO2 871; MU1 747; ED1 346; MI1 744 668

a: Official copy of all policies and procedures, including documentation of the random selection process:
RETENTION: PERMANENT

b: Quality control records, including calibration records for testing equipment, assuring that testing equipment is operating correctly:
RETENTION: 5 years

c: Annual statistical and other reports:
RETENTION: 6 years
NOTES: Appraise these records for historical significance prior to disposition. Records with historical value should be retained permanently.

d: Other records, including periodic reports and statistics and collection logbooks:
RETENTION: 2 years
Drivers' test results and related records


NOTES: Local governments may want to maintain these records concerning employees for an additional period or include them in the employee’s personnel files, especially when they affect an employee’s job status.

 CO2 872; MU1 748; ED1 347; MI1 745 669

a: Verified positive controlled substance test results or alcohol test results indicating a breath or blood alcohol concentration equal to or greater than 0.02, documentation that individual employee's or job applicant’s test was conducted and specimen handled properly, records of dispute of test results by driver, justification for conducting other than random test, records of compliance with Substance Abuse Professional's (SAP's) recommendations, correspondence and related records:
RETENTION: 5 years

b: Negative or canceled controlled substance test result or alcohol test result indicating a breath or blood alcohol concentration less than 0.02:
RETENTION: 1 year

c: Records relating to an individual employee's or job applicant's refusal to take alcohol or substance abuse test:
RETENTION: 5 years
Documentation of other violations of alcohol or substance abuse rules,

including results of alcohol or substance abuse tests administered by law enforcement personnel, copies of police reports and medical records:
RETENTION: 6 years after termination of employment

 CO2 873; MU1 749; ED1 348; MI1 746 670
Staff training and evaluation records

for commercial motor vehicle driver alcohol and drug testing

 CO2 874; MU1 750; ED1 349; MI1 747 671

a: Official copy of course syllabus or any local government produced training or advisory publication or videotape:
RETENTION: 6 years after superseded

b: Other training records including lists of attendees, copies of instructors' course or class notes, documentation of instructors' training and proof that employees have received required reading materials:
RETENTION: 6 years
Lifeguard certification records


CO2 410 672

a: Log of certifications granted or test results:
RETENTION: 6 years

b: Individual certification records:
RETENTION: 1 year after application disapproved or certification expires
Employment Eligibility Verification Form I-9,

completed by employee and employer for all employees hired after November 6, 1986, verifying that the individual is eligible to work in the United States, including verification documents attached to the form:
RETENTION: 3 years from date of hire or 1 year after employment is terminated, whichever is later

 CO2 1057; ED1 475; MI1 911 673
Employee assistance program records


CO2 1058; ED1 476; MI1 912 674

a: Reports and statistical compilations:
RETENTION: 6 years after date of most recent entry

b: Program (including course and seminar) and literature files:
RETENTION: 1 year after program no longer offered or literature superseded or otherwise obsolete

c: Employee consultation records:
RETENTION: 3 years after date of most recent entry in record
Oath of office or record of official signature

of public employees and officers

 2020 (♦)
 MU1 382; ED1 217; MI1 328 657

a: Official copy:
RETENTION: PERMANENT

b: Oath of any election official:
RETENTION: 1 year after election
Family and Medical Leave Act (FMLA) compliance records,

including but not limited to employee notice of leave, dates and hours of FMLA leave, copy of employer notices, documents describing employee benefits and premium payments, and records of disputes:
RETENTION: 3 years
NOTES: Additional records required under FMLA, including basic payroll and data identifying the employee’s compensation, are covered under items in the Fiscal section, Payroll subsection. Records relating to medical certifications, re-certifications or medical histories of employees or employees’ family members, created for purposes of FMLA, are required to be maintained as medical records separate from personnel files and are covered under item no. 662b.

 2020 (♦)
2022 (♦♦) 		644
Retirement incentive records documenting employees who elect for early retirement under government-offered incentive programs,

including agreements with employees for lump sum, monthly, or annual payments; records of actual payments; and related correspondence:
RETENTION: 6 years

 2020 (♦)
 647
Documentation of teacher mentoring program,

including but not limited to names and teacher certificate numbers of mentors and teachers served, type of mentoring activities, and the number of hours devoted to mentoring each new teacher

 2020 (♦)
 682

a: Records relating to individual teachers mentored:
RETENTION: 7 years from date of completion of the mentoring activity for records documenting professional development programs completed by employees in positions requiring teaching certification

b: Records of overall activities not relating to individual teachers mentored:
RETENTION: 6 years
Annual occupational injuries and illness surveys,

submitted to the New York State Department of Labor under 12 NYCRR, 801.41:
RETENTION: 1 year after submission to the Department of Labor

 2020 (♦)
 658
Mini-PERB application and petition records filed with Public Employment Relations Board (PERB)

for approval and of local government provisions and procedures pursuant to Section 212, Civil Service Law, including but not limited to application for approval of procedures, petition to review implementation of procedures, correspondence, memoranda, copies of local laws and public notices, and final determination by PERB:
RETENTION: PERMANENT

 2020 (♦)
 652
Mini-PERB case files,

including but not limited to charges, notice of conference and hearing, correspondence, briefs, transcripts, exhibits, withdrawal or stipulation of settlement requests, and final decision

 2020 (♦)
 653

a: General representation case files:
RETENTION: PERMANENT

b: Declaratory ruling case files:
RETENTION: PERMANENT

c: Interest arbitration case files:
RETENTION: PERMANENT

d: Grievance arbitration case files:
RETENTION: PERMANENT

e: Unit clarification and Management/Confidential (M/C) case files:
RETENTION: 8 years after close of case and any appeals completed

f: Conciliation case files:
RETENTION: 9 years after settlement of case

g: Labor-Management Committee case files:
RETENTION: 6 years after discontinuance of involvement with the parties
Requests for employment or salary verification,

for former or current employees or individuals who are not employees, received internally and externally, including copies of requests, release of information authorization records, and related documentation and correspondence:
RETENTION: 3 years

 2020 (♦)
 675
Employee ethics records,

including memoranda to employees of ethics requirements, employee requests to receive honoraria or travel reimbursement, employee request to engage in outside activities or secondary employment, requests to exempt employees or positions from financial disclosure requirements, and related correspondence, reports and other records:
RETENTION: 7 years after end of calendar year or 7 years after records concerning or authorizing ongoing actions have no further validity, whichever is longer

 2020 (♦)
 667
Substitute teacher registry records,

including records of centralized substitute teacher registries

 ED1 218 683

a: Registration application and qualification and availability records:
RETENTION: 6 years after individual's registration is discontinued

b: Work assignment record:
RETENTION: 55 years
Subversive activity report

submitted to Commissioner of Education, along with statements from public school system employees and related records

 ED1 219 684

a: Summary report submitted to Commissioner of Education:
RETENTION: PERMANENT

b: Records relating to person charged with subversive activity, or membership in a subversive organization, including hearing records and record of final disposition of case:
RETENTION: PERMANENT

c: Declarations by persons claiming no involvement in subversive activities or membership in subversive organizations:
RETENTION: 3 years
Teacher certification records,

including copies of applications, transcripts and other records submitted to New York State Education Department:
RETENTION: 5 years
NOTES: This item covers copies of teacher certification records maintained separate from individual teachers’ personnel files. Certification records for individual teachers should be retained based on item no. 636b.

 ED1 174 676
List of teachers whose teaching certificates have been revoked:


RETENTION: 1 year

 ED1 350 677
Professional development plan records,

describing how teachers will be provided with substantial professional development opportunities (may relate to annual professional performance review (APPR))
NOTES: If the professional development plan is part of the comprehensive district education (or equivalent) plan, it is covered by item no. 882a in the School District and BOCES section, Administration subsection.

 ED1 477 678

a: Professional development plan, including all amendments and updates:
RETENTION: PERMANENT

b: Plan development and adoption records, including records of plan development team, and related records:
RETENTION: 6 years
Annual professional performance review plan records


2020 (♦)
 ED1 478 679

a: Professional performance review plan, including all amendments and updates:
RETENTION: PERMANENT

b: Plan development, adoption, variance and related records:
RETENTION: 6 years

c: Application and related records pertaining to hardship waiver from second observation or school visit by evaluator:
RETENTION: 6 years
Teacher mentoring plan records


ED1 479 681

a: District internship or equivalent plan, including all amendments and updates:
RETENTION: PERMANENT

b: Plan development, adoption, variance and related records, including records of plan submission to and approval by the State Education Department:
RETENTION: 6 years
Notification of vacancy in office,

or filling of vacant position:
RETENTION: 0 after position filled or abolished

 CO2 180; MU1 329; ED1 169 664
Staff evaluation rating verification report and related statement of confirmation

as required as part of the annual professional performance review (APPR) for teachers and principals:
RETENTION: 6 years

 2020 (♦)
 680
Workplace violence prevention program records,

documenting compliance with Section 27-b of Labor Law, including employee complaints, incident reports, inspection reports, and remedial action plans:
RETENTION: 5 years
NOTES: This item excludes school districts and BOCES. Policy and procedure and training records are covered in the General Administration section.

 2020 (♦)
 663