RECORDS RETENTION AND DISPOSITION . - Governor Of New York
Revised 2020RECORDS RETENTION AND DISPOSITION SCHEDULEThis Records Retention and Disposition Schedule (“Schedule”) governs the retention of the records of the Office of the Governor. Many ofthese records are available on websites, including the Governor’s website (http://www.governor.ny.gov/) and the New York StateLegislative Retrieval System. Records covered by this Schedule must be retained for the minimum retention period as specified in thisSchedule, regardless of format. For more information about the Freedom of Information Law and the public’s right to gain access togovernment records, please see the website for the Committee on Open Government (http://www.dos.ny.gov/coog/index.html).
1.AGENCY MATTERSThis section covers records relating to the agencies, commissions, and rulemaking.2
Record Series Title and DescriptionRetention PeriodFinal DispositionGeneral AgencyRetain in office until fileinactiveDo not retainRetain in office until end ofthe administrationDo not retainRetain in office until end ofthe administrationRetainRetain in office until end ofadministrationRetainRetain in office until ruleadoptedDo not retainRetain in office until end ofthe administrationRetainGeneral files maintained for records and information on Stateagency activities, projects, and issues. Files may include briefings,research, analyses, resource material, opinions,recommendations, reports, and correspondence.General Agency – ConcurrencesOriginal copy of concurrence form requesting theGovernor’s signature with a copy of the original document.Cabinet PresentationsCopies of electronic presentations made at open Cabinet meetings.Commission ReportsCopies of reports and other information issued by commissions,task forces, councils, and other entities established by ExecutiveOrder.Notices of Proposed RulemakingNotices of proposed rulemaking submitted by an agency orauthority to the Regulatory Review Unit (“RRU”) andrecommended to the Executive Chamber by RRU for publicationin the State Register. Files include background materials andmeeting notes.State Land ClassificationGovernor’s approval of State land classification, pursuant toExecutive Law § 816, proposed by the Adirondack Park Agency.File includes Board resolution and attachments, background3
materials, notes, and draft and final copies of Governor’sapproval letter.4
Civil Service ResolutionsGovernor’s approval of resolutions adopted by the State CivilService Commission, pursuant to the State AdministrativeProcedure Act, making changes to the Appendices of the Rules forthe Classified Service. File includes background and requests andcomments from State agencies and public employee unions, ifany.NYPA Power Allocation ContractsContracts recommended for Governor’s approval by the New YorkPower Authority allocating hydropower to recipients, andGovernor’s approval letter.State Operations DirectivesMemoranda and guidance to Chamber staff and heads of agenciesand authorities from the Director of State Operations.New York City WatershedNotices required to be filed with the Governor pursuant tothe 1997 New York City Watershed Memorandum ofAgreement.Findings of Suitability for Early Transfer of Property UnderCERCLA § 120(h)(3)(c)Retain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until fileinactiveRetainRetain in office until end ofthe administrationRetainGovernor’s concurrence on findings statement by Federalofficials that Federal land is suitable for early transfer eventhough all remedial action is not complete under theComprehensive Environmental Response, Compensation andLiability Act . File includes background materials from the Federalgovernment and recommendations from NYS Department ofEnvironmental Conservation.5
EthicsFiles containing opinions provided by Chamber Ethics Officerand requests for opinions from the Joint Commission on PublicEthics and opinions provided therefrom.Retain in office until end ofthe administrationRetain6
2.APPOINTMENTSThis section covers records relating to the appointment by the Governor of people to agencies, boards, and commissions.7
Record Series Title and DescriptionRetention PeriodFinal DispositionConfidential FilesRetain securely in officeuntil end of theadministrationDo not retainRetain in office until boardor commission eliminatedor until relevant boardmember resignsRetain in office. Donot retain selectedcontents with personalinformationRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainFiles contain appointments questionnaire and highly sensitivepersonal information, including criminal history check andfinancial and tax information relating to individuals appointedto positions and applicants for positions.Board/Commission FilesFiles contain information relating to status of membership onboards or commissions appointed by the Governor directly orwith Senate confirmation. Includes appointment processingforms, members’ resumes, appointment and take-off letters,resignations, and recommendations from legislators. Alsoincludes Orange Card containing chronological listing ofmembers.Nomination CertificatesFinal text of nomination certificates, date stamped, and filedwith the Senate for confirmation of an appointment made by theGovernor.Confirmation CertificatesCertificate recording Senate confirmation of individualnominated for appointment by the Governor.Appointment LettersCopies of letters sent to State Comptroller and individualnotifying them of Senate confirmation of individual’s nominationby Governor for appointment.8
Budget Director Approvals (BDA)File contains BDA form, agency justification, duties description,agency head certification, minimum qualifications, resume,appointments processing form, copy of Appointments Officeapproval, and DOB approval.Judicial Screening CandidatesFiles contain judicial appointment questionnaire submittedby candidates seeking judicial appointment and othermaterials.Retain in office until endof the administrationDo not retainRetain in office until end ofthe administration. Files ofapplicants who withdraw orbecome ineligible forselection are not retained.Do not retain9
Judicial Screening CommitteesFiles contain contact and other information relating toeach Judicial Screening Committee.Judicial Screening Committee ReportsFiles contain the Judicial Screening Committees’ confidentialreports on candidates finding them highly qualified.Designation CertificatesFiles contain copies of Governor’s certificate designating a NYSSupreme Court Justice to the Appellate Division and to PresidingJustice of a Department of the Appellate Division.Daybook and Nomination CertificatesFiles contain letters informing public officials of Governor’snominations and designations of individuals to judicial office andcopies of Governor’s certificate filed with NYS Senate nominatingan individual for confirmation to a judicial appointment.Retain in office untilcommittee members’Do not retaindeparture from committeeRetain in office until end ofthe administrationDo not retainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetain10
3.CORRESPONDENCE AND INFORMATIONThis section covers records relating to the activities and communications between the Governor’s Office and constituents and localofficials.Record Series Title and DescriptionRetention PeriodFinal DispositionGovernor’s CorrespondenceRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end oftheRetainDatabase of and original letters to and from the Governormanaged by the Governor’s Correspondence Office.Lieutenant Governor’s CorrespondenceDatabase of and original letters to and from the LieutenantGovernor managed by the Office of the LieutenantGovernor.Press ReleasesElectronic file of press releases issued by the Governor.administration11
4.EXECUTIVE ACTIONSThis section covers records relating to the Governor’s executive actions.Record Series Title and DescriptionRetention PeriodFinal DispositionProclamations, Citations, Certificates and MessagesRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainRetain in office until end ofthe administrationRetainCopies of proclamations, citations, certificates, and messagesissued by the Governor, including the State of the State andannual budget presentation.InvestigationsFiles contain Governor’s requests for investigation pursuantto Executive Law § 63.Executive OrdersCopies of original Executive Orders filed with Department ofState.Extraordinary Session ProclamationsFile contains copies of original Proclamations filed withDepartment of State.Special Election ProclamationsFile contains each Proclamation issued by the Governor, andtransmittal letters to the Secretary of State and Board ofElections.12
Messages of NecessityFile contains requests from Legislature for a Message of Necessitypursuant to NY Constitution Art III, § 14 and Constitution Art VII,Retain in office until end ofadministrationRetainRetain in office until end ofthe administrationRetain§ 5 and copy of the Message filed with the Legislature.Reprieves, Commutations and PardonsFile contains each Proclamation issued by the Governorfor reprieves, commutations, and pardons.13
5.GOVERNOR’S ACTIVITIESThis section covers records relating to the Governor’s public affairs and communications, including events and activities.Record Series Title and DescriptionRetention PeriodFinal DispositionPhotographsRetain in office until end oftheRetainPhotographs of Governor’s public events.VideosVideos of Governor’s public events.SpeechesAudio recordings of Governor’s public speeches.Governor’s ScheduleGovernor’s schedule as posted.Governor’s InvitationsOriginal invitations to Governor to attend events anddatabase containing invitations to Governor to attendevents.Lieutenant Governor’s ScheduleLieutenant Governor’s schedule.administrationRetain in office until end oftheRetainadministrationRetain in office until end oftheRetainadministrationRetain in office until end oftheRetainadministrationRetain in office until end ofthe administrationDo not retainRetain in office until end oftheRetainadministration14
Lieutenant Governor’s InvitationsOriginal invitations to Lieutenant Governor to attend events anddatabase containing invitations to Lieutenant Governor toattend events.Retain in office until end ofthe administrationDo not retain15
6.LEGISLATIONThis section covers records relating to proposed and enacted legislation.16
Record Series Title and DescriptionRetention PeriodFinal DispositionLegislationRetain in office until fileinactiveDo not retainRetain in office until end ofthe administrationDo not retainRetain in office untiltransferred to StateArchivesRetainRetain in officeRetainProgram BillsRetain in office or StateFile contains internal signoff sheet and copy of Program Bill andMemorandum submitted to the Legislature for introduction.Records Center until end ofthe administrationRetain Do notretain sign-off sheetBudget BillsRetain in office or StateRecords Center until end ofthe administrationGeneral files maintained for tracking legislation andnegotiating amendments, including to the Budget, with theLegislature, and including agency and Chamber staffrecommendations.Ten Day MemorandaMemoranda providing legal and policy advice on legislationthat has been delivered to the Governor for approval or veto.Session Law Bill JacketsFiles containing bill, sponsors’ memoranda, vote tally, comments,Counsel letters to sponsors and sponsors responses, and Approvaland Veto Messages.Ledger BooksHard cover Ledger Book documenting: (a) chapter numbersassigned to each bill that becomes law, (b) veto numbersassigned to each bill that is disapproved by the Governor, and (c)the delivery of vetoes to Legislature.File contains internal signoff sheet and copy of Budget Bill andMemorandum submitted to the Legislature for introduction.Do not retain17
Departmental BillsFile contains internal signoff sheet and copy of bill andmemorandum submitted to the Legislature for introduction, aswell as the Fact Sheet submitted by agency to Executive Chamberfor consideration.Veto MessagesFile contains copy of Veto Messages sent to Legislature with billthat is vetoed by Governor.Retain in office or StateRecords Center until end ofthe administrationDo not retainRetain in office until end ofthe administrationRetain18
Approval MessagesFile contains copy of Approval Message typically but not alwaysincluded in Bill Jacket transferred to State Archives.Pen Signature AuthorizationsFile contains memoranda from Governor’s Counsel authorizinguse of pen signature machine for signature of Governor andSecretary to the Governor.Retain in office until theend of the administrationRetainRetain in office until end ofthe administrationDo not retain19
7.LITIGATION AND FOIL REQUESTSThis section covers records relating to litigation and FOIL requests.Record Series Title and DescriptionRetention PeriodFinal DispositionLitigationRetain in office until appealtime concludes, and thenforward them to the NewYork State Archives, forretention for 10 yearsDo not retainRetain in office until end ofthe administrationRetainIf requestor does not file anadministrative appeal, retainfor 1 month after expirationof time to appeal; ifrequestor files anadministrative appeal, retainfor 5 months afterconclusion of appeal; and ifrequestor files an Article 78proceeding, retain until 1month after expiration oftime to appealDo not retainFile contains a copy of papers received commencing litigationinvolving the Governor or other Executive Chamber staff and finalpapers submitted to court. File includes copy of referral letter tothe Attorney General.Litigation LogElectronic log of papers received commencing litigation againstthe Governor or other Executive Chamber staff.FOIL RequestsRequests for records under Freedom of Information Lawand Executive Chamber responses.20
or resolution of appealby court of last resort21
8.TRIBAL AFFAIRSThis section covers records relating to tribal relations and issues.Record Series Title and DescriptionRetention PeriodFinal DispositionNative-American AffairsRetain in office until fileinactiveRetainGeneral files maintained related to NativeAmerican affairs.22
Notes1.2.3.4.5.6.7.8.9.Active files are maintained in Executive Chamber unless specified otherwise.This Schedule supersedes and replaces any other records retention and disposition schedules of the Executive Chamber.Form acknowledgement letters from and mass mailings to the Governor will not be retained.Where retention period is until end of the administration, but file is needed for transition, retain in office for transition.Where retention period is until end of the administration, and file is not needed for transition, disposition may commence priorto end of administration.Governor may elect to designate any record of historical significance for Governor’s Papers collection.Executive Chamber administration files are maintained pursuant to the Records Management Procedures of the Division ofthe Budget.The websites are to be archived at the end of administration.According to the NYS Archives, “[m]any e-mail communications are not records and are therefore suitable for immediatedestruction. Those messages and attachments which are records should be maintained in appropriate electronic or paper filesand disposed consistent with applicable authorizations for those records.” For this reason, the NYS Archives’ standardinstruction is that e-mails should be deleted “after messages and attachments are opened and records have been saved inappropriate electronic or paper file.” See the General Retention and Disposition Schedule for New York State GovernmentRecords at http://www.archives.nysed.gov/a/records/mr pub genschedule accessible.html. The Executive Chamber adoptsthe NYS Archives’ policy with respect to e-mails but goes further to state that all electronic communications, whether by email, text, or Blackberry pin, will fall under this policy and will be retained consistent with this records retention and dispositionschedule if they constitute records. It is the content and not the form or method of the communication that governs retention.23
State Land Classification Governor’s approval of State land classification, pursuant to . Contracts recommended for Governor’s approval by the New York Power Authority allocating hydropower to recipients, and . selection are not retained. Do not retain . 10 .
Standards for managing e-records, microfilm, inventory “We need more training on records retention and basic records management” “How to interpret your records retention schedule” “Process by which retention periods are determined” “Records retention is very
Records Retention Policy 3 as permanent records they should be destroyed according to the time period shown on the Records Retention Schedule. Inactive records should be securely stored until the end of the retention period. However, at the end of the retention period the custodian of the records is responsible for destroying the records.
Public Records Administration Connecticut State Library 231 Capitol Ave., Hartford, CT 06106 Revised 2/2005 Municipal Records Retention Schedule M10 LAND USE AND DEVELOPMENT PART 1: BUILDING RECORDS Item Number Record Series Title Minimum Retention Required Disposition
4.9 Records Custodian – is a designated individual from each Center / Office held responsible for the collection, maintenance, filing and safekeeping of records. 4.10 Records Disposition Schedule – is a listing of records with its retention period and corresponding disposition method.
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