Due to space considerations, only four of themost commonly citedlaws have been listed. Agencies should refer to the General Retention and Disposition Schedule for New York State Government Records as published by the New York State Archives and Your records may be in paper or electronic format, or (4) Medical records shall be retained in their original or legally reproduced form for a period of at least six years from the date of discharge or three years after the patient's age of majority (18 years), whichever is longer, or at least six years after death. width: 85%; height: 35px; Actions under New York States Human Rights Law (Executive Law Article 15)alleging unlawful employment practice must commence within 3 years, while actions under federal civil rights law (42 USC1981)must commence within 4 years (28 USC1658). All entries shall be legible and complete and shall be authenticated by the person entering, ordering or completing such action. color: white; Records being used for audits or legal actions must be kept until the audit is satisfied or the legal action ends, even if their minimum retention period has passed. Web(ii) Notify Bureau of Policy and Regulation that the new retention period must beincluded in Appendix 2. Google Translate cannot translate all types of documents, and it may not give you an exact translation all the time. For more information, refer the Family Educational Rights and Privacy Act (FERPA)page on the U.S. Department of Education website. border: 1px solid #E7E4DD; .form-item-search-block-form button { You can learn more in our publication, The Records Lifecycle. Facts: (1) Medical records shall be legibly and accurately written, complete, properly filed, retained and accessible in a manner that does not compromise the security and confidentiality of the records. WebThis Retention and Disposition Schedule for New York Local Government Records (LGS-1) is a single, comprehensive retention schedule covering records of all types of local .form-item-search-block { The New York State Archives is part of the Office of Cultural Education, an office of the New York State Education Department. Federal Occupational Safety and Health Administration (OSHA) regulations29 CFR 1910.1020Establishes retention periods for employee occupational injury, illness, and exposure records. Organizations may use the State Archives sample records destruction authorization form; state agencies may save a copy of the records disposition notice received from the State Records Center. Any other information that may be deemed relevant in an audit. Various methods of destruction for paper and electronic records may be found in the publication, Retention and Disposition of Records: How Long to Keep Records and How to Destroy Themand on the Electronic Recordswebpage. If you would like to read the laws in New York pertaining to medical record retention yourself, visit these links: N.Y. EDUC. Establishes that prosecution for misdemeanors must be commenced within 2 years of commission of the crime. float: left; Freedom of Information Law (Article 6, Sections 84 - 90)Outlines the rights of the public to access public records. State Government Records Law and Regulations. Special Disposition Requests Under 8 NYCRR 185.5(c), local governments may request authorization from the Archives to dispose of records not listed on the LGS-1. The statute (1) Upon completion of ordering or providing or evaluating patient care services, each such action shall be recorded and promptly entered in the patient medical record. Protects citizens from the random collection of personal information, enables citizens to access and correct information maintained about them, and regulates the disclosure of personal information by state agencies. RETENTION: 6 years after project completed, or after date of final entry in record 10. For more information, refer tothe Federal Rules for Civil Procedure, available on the Cornell Law School website. Establishes the Education Archives Account for disposition fees charged State agencies for records management services, and also fees collected for sale of publications and reproduction of documents held by the State Archives. height: 35px; .form-item-search-block-form button { You must have JavaScript enabled to use this form. Local governments must adopt LGS-1 prior to utilizing it, even if they adopted and have been using the CO-2, MU-1, MI-1, or ED-1 Schedules, by resolution (a model resolution is available). It appears that your web browser does not support JavaScript, or you have temporarily disabled scripting. endstream
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Section 214-CEstablishes statute of limitations of 3 years from the point of discovery within which certain legal actions must be commenced. 405.10; Preparing Medical Records for Custodianship in New York 20723 Six years from end of width: 15%; padding-right: 20px; To assist you, we offer detailed recordkeeping guides for several taxes and credits. padding-bottom: 10px; Three, Five, Ten and Fifteen Year Regulation Review, SubChapter A - Medical Facilities--Minimum Standards, Part 300 - Statewide Health Information Network for New York (SHIN-NY), Section 300.3 - Statewide collaboration process and SHIN-NY policy guidance, Section 300.5 - Sharing of Patient Information, Section 300.6 - Participation of health care facilities, Part 360 - Surge and Flex Health Coordination System Activation During a State Disaster Emergency Declaration, Section 360.1 - Administrative Purpose, Application and Scope, Section 360.2 - Surge and Flex Health Care Coordination System Requirements, Section 360.3 - Hospital emergency Surge and Flex Response Plans, Section 360.4 - Clinical laboratory testing, Part 400 - All Facilities--General Requirements, Section 400.2 - Other laws, codes, rules and regulations, Section 400.3 - Inspection, reproduction and reports, Section 400.5 - Statements or bills for health services, Section 400.6 - Identification of personnel delivering health care services, Section 400.7 - Facility participation in title XVIII program, Section 400.8 - Exception, construction standards, Section 400.9 - Transfer and affiliation agreements, Section 400.10 - Health Provider Network Access and Reporting Requirements, Section 400.11 - Assessment of long-term care patients, Section 400.13 - Forms (Hospital/Community Patient Review Instrument), Section 400.14 - Request for patient review instrument (PRI) data, Section 400.15 - The role of the licensed practical nurse in intravenous therapy procedures, Section 400.17 - Compliance with application conditions, Section 400.18 - Statewide Planning and Research Cooperative System (SPARCS), Section 400.19 - Withdrawal of equity or assets, Section 400.22 - Statewide perinatal data system, Section 400.24 - Charges in connection with certain health care facility financings, Section 400.25 - Disclosure of nursing quality indicators, Part 401 - All Facilities--Operating Certificates, Section 401.1 - Issuance of operating certificates, Section 401.2 - Limitations of operating certificates, Section 401.3 - Changes in existing medical facilities, Section 401.4 - Review of operating certificate determinations, Part 402 - Criminal History Record Check, Section 402.5 - Requirements Before Submitting a Request for a Criminal History Record Check, Section 402.6 - Criminal History Record Check Process, Section 402.7 - Department Criminal History Review, Section 402.8 - Notifications of Criminal Charges or Convictions Incurred Subsequent to Hiring, Section 402.9 - Responsibilities of Providers; Required Notifications, Section 403.4 - Responsibilities of State Approved Education or Training Programs, Section 403.5 - Responsibilities of Home Care Services Entities, Section 403.6 - Responsibilities of Home Care Services Workers, Part 404 - Integrated Outpatient Services, Section 404.6 - Organization and Administration, Section 404.9 - Integrated Care Services, Section 404.11 - Quality Assurance, Utilization Review and Incident Reporting, Section 404.14 - Application and Approval, Section 405.6 - Quality assurance program, Section 405.14 - Respiratory care services, Section 405.15 - Radiologic and nuclear medicine services, Section 405.17 - Pharmaceutical services, Section 405.18 - Rehabilitation services, Section 405.22 - Critical care and special care services, Section 405.23 - Food and dietetic services, Section 405.25 - Organ and tissue donation (anatomical gifts), Section 405.27 - Information, policy and other reporting requirements, Section 405.30 - Organ and Vascularized Composite Allograft Transplant Services/Programs, Section 405.31 - Living donor transplantation services, Section 405.33 Screening mammography services, Part 406 - Rural Hospital Swing Bed Demonstration, Section 406.3 - Admission, patient assessment, planning and services, Section 406.4 - Transfer and affiliation agreements, Part 407 - Primary Care Hospitals - Minimum Standards, Section 407.2 - Designation of PCHs and CAHs, Section 407.5 - Administrative requirements, Section 407.6 - Quality assurance and utilization review, Section 407.8 - Medical/professional staff, Section 407.10 - Primary care related inpatient and outpatient services, Section 407.11 - Clinical and ancillary support services, Section 407.13 - Environmental health and infection control, Part 408 - Central services facility rural health networks (CSFRHN), Section 408.2 - Network Operational Plans (NOP), Section 408.4 - Supervision by the commissioner, Part 410 - Scheduled Short Term Care In A Nursing Home, Section 410.3 - Service approval and physical space, Part 411 - Ombudsmen Access To Residential Health Care Facilities, Part 412 - Reporting Information For Inspections, Section 412.1 - Facility-supplied information required, Section 412.2 - Certification by operator or administrator, Part 414 - Nursing Homes - Continuous Violation Penalties, Section 414.2 - Criteria for continuous violation penalties, Part 415 - Nursing Homes - Minimum Standards, Section 415.4 - Resident behavior and facility practices, Section 415.11 - Resident assessment and care planning, Section 415.13 - Nursing services and Minimum Nursing Staff Requirements, Section 415.16 - Rehabilitative services, Section 415.20 - Laboratory and blood bank, Section 415.21 - Radiology and other diagnostic services, Section 415.26 - Organization and administration, Section 415.27 - Quality assessment & assurance, Section 415.28 - Disclosure of ownership, Section 415.31 - New York State RHCF nurse aide registry, Section 415.32 Weekly bed census data survey, Section 415.34 Minimum Direct Resident Care Spending, Section 415.36 - Long-term inpatient rehabilitation program for head-injured residents, Section 415.37 - Services for residents with Acquired Immune Deficiency Syndrome(AIDS), Section 415.38 - Long-term ventilator dependent residents, Section 415.39 - Specialized programs for residents requiring behavioral interventions, Section 415.40 - Extended care of residents with traumatic brain injury, Section 415.41 Specialized Programs for Residents with Neurodegenerative Diseases, Part 420 - Comprehensive Ambulatory HIV Programs, Section 420.2 - Approval to provide services, Article 6 - Skilled Nursing And Health Related Services, Non-Occupants General, Section 425.3 - Changes in existing program, Section 425.4 - General requirements for operation, Section 425.5 - Adult day health care services, Section 425.6 - Admission, continued stay and registrant assessment, Section 425.8 - Registrant continued-stay evaluation, Section 425.11 - Food and nutrition services, Section 425.13 - Rehabilitation therapy services, Section 425.15 - Religious services and counseling, Section 425.17 - Pharmaceutical services, Section 425.18 - Services for registrants with Acquired Immune Deficiency Syndrome (AIDS) and other high-need populations, Section 425.21 - Confidentiality of records, Article 7 - Home Health Agencies; Treatment Centers And Diagnostic Centers, Part 430 - Licensed Home Care Services Agencies And Certified Home Health Agencies, Part 431 - Treatment Centers and Diagnostic Centers, Article 8 - New York State Annual Hospital Report, Section 441.15 - Accumulated depreciation, Section 441.20 - Additional (paid-in) capital, Section 441.36 - Average daily inpatient census, Section 441.43 - Bed complement (beds available), Section 441.45 - Blood bank transfusions, Section 441.46 - Board-designated assets, Section 441.61 - Certified bed days available, Section 441.66 - Comprehensive inpatient rehabilitation service, Section 441.76 - Critical care units (type I), Section 441.77 - Critical care units (type II), Section 441.80 - Daily hospital services, Section 441.83 - Date of change in certified bed capacity--decrease, Section 441.84 - Date of change in certified bed capacity--increase, Section 441.86 - Deductions from revenue, Section 441.87 - Deferral (or deferment), Section 441.94 - Direct assignment of cost, Section 441.105 - Emergency service category 4--basic emergency services, Section 441.106 - Emergency services category 3--general emergency services, Section 441.107 - Emergency services category 2--major emergency hospital, Section 441.108 - Emergency services category 1--comprehensive emergency medical services, Section 441.129 - Financial Accounting Standards Board (FASB), Section 441.131 - Financially indigent patient, Section 441.134 - Fixed cost (or expense), Section 441.136 - Full-time equivalent employees (FTE), Section 441.148 - Funds held in trust by others, Section 441.159 - Gross charges (gross revenue), Section 441.168 - Hospital-based physician, Section 441.186 - Investor-owned (proprietary) hospital, Section 441.202 - Medical staff classification--associate, Section 441.203 - Medical staff classification--attending, Section 441.204 - Medical staff classification--consulting, Section 441.205 - Medical staff classification--courtesy, Section 441.206 - Medical staff classification--house staff (paid staff), Section 441.208 - Mentally disordered patient, Section 441.210 - Neonatal intensive care unit, Section 441.215 - Nine-C (IX-C) corporation, Section 441.219 - Non-revenue-producing cost centers, Section 441.220 - Nonroutine maintenance and repairs, Section 441.228 - Operating income (or profit), Section 441.231 - Organization cost (or expense), Section 441.233 - Other operating revenue, Section 441.239 - Oxygen therapy minutes, Section 441.243 - Part A and Part B services, Section 441.244 - Patient care services revenue, Section 441.251 - Periodic interim payment (PIP), Section 441.260 - Plant replacement and expansion funds, Section 441.267 - Prior-period adjustment, Section 441.269 - Professional component, Section 441.273 - Psychiatric inpatient service, Section 441.274 - Psychiatric night care, Section 441.275 - Radiology diagnostic films, Section 441.276 - Real estate (or property), Section 441.296 - Responsibility accounting, Section 441.298 - Retained earnings (or income), Section 441.300 - Retirement of indebtedness funds, Section 441.303 - Revenue-producing cost centers, Section 441.306 - Self-responsible (self-pay) patient, Section 441.308 - Share of pooled investments, Section 441.311 - Specific purpose funds, Section 441.313 - Standard unit of measure, Section 441.316 - Straight-line method of depreciation. border: 1px solid #E7E4DD; Labor LawSection 876Establishes a 40-year retention period for lists of employees handling toxic substances. Records that pertain to elections not conducted under New York State Election Law, including elections not conducted as part of a general election, and elections administered by municipalities or school districts, are covered under the Election section of the LGS-1. Todays regulations and guidelines for document retention across many different industries has become much more stringent in the past few years. Chapter 13 of the State Finance Law, known as the False Claims Act, allows local governments and state agencies to bring a civil action to recover financial losses from a fraudulent claim. Contractors certified payrolls must be retained for 5 years pursuant to Section 220 (3-a) of Labor Law. In addition, non-government entities can consult and adopt (as appropriate) State Archives retention requirements, because the legal basis for retaining records for a certain period of time is frequently the same for government and non-government records.. Through theappraisal process, the Archives has identified some records as having long-term historical or research value. } Upon request, you must make your records available to the Tax Department. Title VII and ADA Under Title VII of the Civil Rights Act of 1964, 42 U.S.C. Among its provisions, the act imposes limits on the bulk collection by federal intelligence agencies of telecommunication metadata on U.S. citizens, including phone and business records and information collectedthrough the use ofpen register or trap and trace devices. height: 50px; } WebEEOC Regulations require that employers keep all personnel or employment records for one year. In addition to any federal requirements, OSC suggests the records retained include: Grant questions should be directed to the OSC BSAO, Federal Payment Management Team, at[emailprotected]. Historical Records Theft Prevention and Response, Local Government Records Management Improvement Fund, New York Code, Rules and Regulations (NYCRR), Exceptions to Applying Retention Periods Indicated in Schedule, State Government Records Law (Section 57.05), Family Educational Rights and Privacy Act (FERPA). This use of copies is permitted whether the originals exist or not. Per 2 CFR 200.334, financial records, supporting documents, statistical records, and all other non-Federal entity records pertinent to a Federal award must be retained for a period of three years from the date of submission of the final expenditure report. The State of New York, its officers, employees, and/or agents are not liable to you, or to third parties, for damages or losses of any kind arising out of, or in connection with, the use or performance of such information. Records Retention and Disposition Schedule ED-1 Sections Relevant To Attendance Record Keeping [44] Student's attendance record (register), including but not limited to each student's name, date of birth, names of parents or guardian, address, and daily attendance, absence and tardiness The MS Access and Excel versions do not contain the introduction, index, nor any section or sub-section notes; however, they provide all series and subseries information, including notes. 11, 243.0-243.3 (1996) (Regulation 152), entitled "Standards of Records Retention by Insurance Companies", establishes the minimum .form-item-search-block { padding-bottom: 10px; If you actively collect the historical records of another organization, individual, or group, develop a collecting policy to determine what to accept and retain permanently as part of your repository. Suggested Retention Duration for Select Personnel Records Other Documents width: 85%; Amendments enacted in 2008 clarify issues that govern access to electronic records. However, the "Google Translate" option may help you to read it in other languages. (e.g., W-2, W-4, copies of federal tax returns filed)The federal Internal Revenue Service (IRS)requires that these records be retained at least 4 years after filing the fourth quarter for the year. Alcoholic beverages tax (ABT): Sales and distribution, Recordkeeping Requirements - Highway Use Tax (TB-HU-765), Recordkeeping Requirements for Sales Tax Vendors (TB-ST-770), environmental remediation insurance credit, rehabilitation of historic properties credit, remediated brownfield credit for real property taxes, special additional mortgage recording tax credit, Excise Tax on Medical Cannabis - Recordkeeping, Form DTF-664, Tax Shelter Disclosure for Material Advisors, Transportation Network Company assessment, Video: Sales Tax Recordkeeping Requirements. The IRS may also request specific information regarding employees if they are being audited. 2. Rule 4539Also called the best evidence rule. Records retention and disposition schedules for State government agencies are published on the State Education Department's website at:Retention and Disposition Schedules | New York State Archives (nysed.gov). border: 1px solid #E7E4DD; This Google translation feature is provided for informational purposes only. height: 50px; In addition, for guidance on developing retention and disposition schedules in non-government organizations, contactARMA International. } Internet Security and Privacy Act (Article II, Section 208)Requires state entities, persons, and businesses in New York who own or license computerized data which includes private information to disclose any data breach to the affected New York residents (state entities must also notify non-residents) and notify the state Attorney General, Office of Information Technology Services, and the Department of State. (1) The medical record shall contain information to justify admission and continued hospitalization, support the diagnosis, and describe the patient's progress and response to medications and services. Both the original policy that is issued and any subsequent renewals of the policy must be retained in the policy record for the retention period specified in Regulation 152. To report technical problems with this web site, please contact the New York State Archives at archinfo@nysed.gov, Local Government Records Law andRegulations, Laws relating to Local Government Records Management Improvement Fund (LGRMIF). To report technical problems with this web site, please contact the New York State Archives at archinfo@nysed.gov, Historical Records Theft Prevention and Response, Local Government Records Management Improvement Fund. All New York State local governments including cities, towns, villages, fire districts, counties, school districts,Boards of Cooperative Educational Services (BOCES), teacher resource and computer training centers, county vocational education and extension boards, and miscellaneous local governments. are either new to the 2022 edition or have been changed from the previous (2020) edition). Rule 4540Establishesthe means by whichpublic officials can authenticate copies of public records. %%EOF
Web General Retention and Disposition Schedule for New York State Government Records (State General Schedule): This is a pre-approved schedule created by the State Archives border: 1px solid #E7E4DD; There are certain types of records, types of entities, or situations where it is inappropriate to use the LGS-1. background-color: #F79D3E; This system shall identify those categories of practitioners and personnel who are authorized to utilize electronic or computer authentication systems. WebRecord Retention Guidelines by State. (iii) Specify that such orders must be authenticated by the prescribing practitioner, or by another practitioner responsible for the care of the patient and authorized to write such orders and the time frame for such authentication. Section 441.317 - Sub-acute care services. Get the facts about the COVID-19 vaccine. height: 35px; Under ADEA recordkeeping requirements, employers must also keep all payroll records for three years. cursor: pointer; N.M. Code R. 16.10.17.10 (C) (2008). height: 35px; Codes R. and Regs. Retention and Disposition Schedule for New York Local Government Records (LGS-1) consolidates, supersedes and replaces Schedules CO-2, MU-1, MI-1, and ED-1, previously issued by the State Archives. Establishes that prosecution for other felonies must be commenced within 5 years of commission of the crime. Federal regulations (29 CFR 1602.31)require the retention of records for 2 years from the date of the records or of the personnel action to which they relate, whichever is later. } The State Archives provides access to this schedule in a number of formats. For more information on developing a collecting policy, see theArchives Management webpage. You must also keep documents, such as canceled checks, receipts, cash register tapes, purchase orders, and other sales records to support your business records. padding-right: 20px; Agencies are responsible for retaining backup documentation outside SFS, even though backup is included in SFS as an attachment to the Direct Deposit or Adjustment Voucher transaction. Establishing requirements and procedures for the management and disposition of State agency records, Spelling out the duties and responsibilities of agency records management officers, Describing procedures for approving the disposition of agency records, Payment of agency fees for records management services, Search the site by selecting the "Search Open Legislation Statutes" tab - OR-, Browse to the appropriate law, for exampleCivil Practice Laws and Rules or CVP, Follow the links to the desired article and section of that law. New York State and Local Retirement System (NYSLRS), New York State Budget Analysis and Financial Reporting, New York City Economic and Fiscal Monitoring, IX.3 Establish & Maintain Federal Grants in SFS for Non-Onboarding Agencies, IX.3 Overview - Establish & Maintain Federal Grants in SFS for Non-Onboarding Agencies, IX.3.A Establish & Maintain Federal Grants in SFS for Non-Onboarding Agencies - Pre-Award Spending Projects, IX.4 Establish & Maintain Federal Grants in SFS for Onboarding Agencies, IX.5 Federal Billing & Invoicing Overview, IX.5.A Billing for Non-Onboarding Agencies, IX.6.C Automated Standard Application for Payments (ASAP), IX.7 State Accounting and Reporting Overview, IX.7.C Fringe Benefits and Indirect Costs, IX.7.H Federal Funding Accountability and Transparency Act (FFATA), IX.8.B Interest on Advance Payments to Vendors, IX.8.D Electronic Refund Payments to the U.S. HHS, IX.9 Administrative Recoveries - Transfers to Other Funds, IX.10.A Federal Treasury Offset Program (TOP) Purpose and Scope, IX.10.B Federal Treasury Offset Program (TOP) Background, IX.10.C Federal Treasury Offset Program (TOP) Agency Responsibilities, IX.11.A Single Audit Act Accounting and Reporting Requirements, IX.11.B Federal Program Information Act of 1977 (As Amended), IX.12 Cash Management Improvement Act (CMIA), IX.12.E Specific Programs Subject to CMIA, IX.12.I Updated and Expanded CMIA Regulations, IX.4.J State Requirements in Support of CMIA Implementation, IX.12.N Fund Availability and Interest Liability, IX.12.P Annual Schedule of Expenditures of Federal and Non-Cash Awards, IX.12.Q Annual CFDA Confirmation for Schedule of Expenditures of Federal and Non-Cash Awards, IX.12.R Major Federal Programs Subject to CMIA Agreement: SFY 2019-20, Minority- and Women-Owned Business Enterprises (MWBEs), damages or losses caused by reliance upon the accuracy of any such information, damages incurred from the viewing, distributing, or copying of such materials. by Practical Law Labor & Employment Law stated as of 01 Jun 2022 New York A Chart of the record retention requirements associated with major New York state WebFederal Record Retention Requirements The following chart includes federal requirements for record-keeping and retention of employee files and other employment-related records. Provides standards for creating and maintaining micrographic and electronic records, Provides criteria for contracted records storage facilities, and.
Agencies should refer to the General Retention and Disposition Schedule for New York State Government Records as published by the New York State Archives and Records for guidance on minimum retention periods for other fiscal records, purchasing/claims and payments, revenue and collections, accounting reports and bank transactions. (6) Written notice from the author shall be required should the author/user wish to terminate participating in the electronic or computer authentication system. Exceptions to Applying Retention Periods Indicated in ScheduleThis section of the Retention and Disposition Schedule for New York Local Government Records (LGS-1) details situations where records can or must be retained beyond their retention period. border: 1px solid #E7E4DD; float: left; Section 80Requires that outgoing public officials deliver their official records to their successors in office and outlines appropriate legal action if this transfer is not completed. background-color: #F79D3E; The CO-2, MU-1, MI-1, and ED-1 Schedules, were superseded by the LGS-1 on January 1, 2021 and are no longer legally valid for disposition of records. 50Px ; in addition, for guidance on developing retention and disposition schedules in non-government,. In Appendix 2 process, the records Lifecycle date of final entry in record 10 you can more! That employers keep all payroll records for one year of limitations of 3 years the... 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