Records Retention And Disposition Schedule October 31, 2019
|
RECORDS SERIES |
AUTHORIZATION NUMBER |
| ALL BUREAUS | |
| Open Case Files. Open case files includes all records pertaining to any case currently in an open state within any Office of the New York State Attorney General (OAG) Bureau. | 55,555 |
|
Non-OAG records. Non-OAG Records collected in the course of an investigation or litigation. Documents include: Documents collected from a client agency in defensive litigation, subpoenaed documents, documents received in response to an informal document request, and search warrant materials, but only if a court order has been obtained allowing disposition. Documents not included: Non-OAG records that become part of the investigative or litigation file, because the documents were: used as exhibits to a complaint, declaration, motion, or other court submission; produced in discovery; and/or introduced as evidence in a grand jury, hearing, trial, or other court proceeding. Non-OAG records that have been identified as potential Brady material in a criminal matter. |
22,929 |
| Physical Evidence. Physical Evidence is non-documentary, three-dimensional physical evidence which is impractical to store due to the size and nature of the item. | 22,931 |
| Non-Litigated Resolutions. Final non-litigated resolutions such as assurances of discontinuance, settlements, and plea agreements. Documents included are Assurances of Discontinuance, related forms and correspondence, court papers, transcripts, non-prosecution agreement and other types of resolution, such as settlements, plea agreements, and code of conduct proposals for legislative reform. | 22,932 |
| ADMINISTRATIVE In addition please see the General Retention and Disposition Schedule for New York State Government Records which covers records common to all state agencies at http://www.archives.nysed.gov/a/records/mr_pub_genschedule.pdf | |
|
Federal grant reporting's and supporting documentation. |
16,725 |
|
Notice of Benefit Reimbursement Charges Forms. |
21,958 |
|
Cy Pres approved grants. |
21,303 |
|
Cy Pres rejected grants. |
21,304 |
|
ANTITRUST |
|
|
Antitrust litigation records. Case files, briefs, settlement negotiations and records of Section 343 hearings. |
17,123 |
| Subpoenaed documents. | 20,687 |
| Certificates of incorporation. | 20,688 |
|
APPEALS & OPINIONS |
|
| Concurrent resolutions. Includes formal and informal Attorney General opinions. | 11,076 |
| Files from Solicitor General’s Office, generally includes miscellaneous court proceedings and appeals, office memoranda, files on attorneys and bureaus, etc. | 14,392 |
| Appealed Article 78 court cases. | 16,517 |
| Issuance of bonds in state fiscal matters. | 14,537 |
| CHARITIES | |
| Charities Bureau cases other than trusts and estates matters. Includes formal and informal investigations, litigation, and 3rd party litigation for charities cases not dealing with trust and estate matters. | 22,407 |
| Informal trust and estate accounting matters. Most questionable trust and estate accounting matters can be handled informally with the OAG rather than through the courts. The records in this series include trust documents, wills, and annual and final financial reports. Those cases that end up in court are covered in RDA #22,409 and are filed separately. | 22,408 |
| Surrogate Court proceedings and Supreme Court trust accountings. This series includes accountings, letters of administration, probate of wills, and other judicial matters. All Surrogate Court proceedings and trust accountings are handled by the Charities Bureau, which attempts to ensure that charity finances are handled appropriately. | 22,409 |
| RECORDS SERIES |
AUTHORIZATION NUMBER |
| Claims against the State, including all copies of legal papers, affidavits, briefs, depositions, and trial transcripts for claims filed against the State of New York in the Court of Claims. All claims are covered in this series except for medical malpractice infant claims (RDA #18050), breach of contract claims (RDA #22420), significant claims against the State (RDA #20700), and claims filed in the Supreme Court or other courts (RDA #22419). | 22,415 |
| Notices of Intention (NI) served on the OAG for Tort Actions, where no claim is filed within the retention period. If a claim is filed, these notices become part of the claim files covered under RDA #22415. | 22,416 |
| Motion to initiate a claim. These are motions by claimant to seek permission to late file a claim or proceed as a poor person. This series covers situations in which the motion to initiate is either abandoned or denied. If a motion is accepted, the records become part of the claim files covered by RDA #22415. | 22,417 |
| Claims not filed with Court of Claims. These are claims served on the OAG, but not filed with the court. If a claim is filed in court, then the records become a part of the claim files covered under RDA #22415. |
22,418 |
| Claims cases in Supreme Court and other courts. This series documents the initial summons and complaint filed in special claims cases, which are heard by the State Supreme Court or other courts, rather than the Court of Claims (whose cases are covered mostly under RDA #22415). | 22,419 |
| Breach of contract claims against the State. These are claims the OAG defends and prosecutes in the Court of Claims and Supreme Court. | 22,420 |
| CONSUMER FRAUDS | |
| Consumer frauds complaints and related material referred to other agencies. | 9,964 |
| Consumer frauds complaints and related correspondence. | 13,536 |
| Consumer frauds litigated cases, forms and correspondence. | 13,537 |
| Consumer frauds assurances of discontinuance and related forms and correspondence. | 13,538 |
| Class Action Fairness Act (CAFA) Notices. CAFA notices where no action is taken. Documents include: Notice, cover letter, (e.g. complaint, settlement agreement, etc.) Defendants are required to provide the OAG with notice of a proposed class action settlement. Notice is delivered via a cover letter accompanied by the necessary documents. (e.g. complaint, settlement agreement, etc.) in either hard copy or electronic format. Consumer Frauds and Protection Bureau reviews each of the notices and relevant materials to determine whether to object, or possibly intervene in the matter. If the Bureau decides that no action should be taken, we will retain a copy of the notice and accompanying materials for a period of two years. | 22,928 |
| CONTRACTS | |
| Transmittal letters for contracts reviewed and approved by OAG. | 14,598 |
| CRIMINAL PROSECUTIONS/INVESTIGATIONS | |
| Special investigations including grand jury minutes and court proceedings. These are investigations where the Governor orders the OAG to conduct an investigation, which supersedes one being conducted by local officials. | 11,185 |
| Files of investigations, which do not contain grand jury minutes. | 13,291 |
| Section 71’s. Where the OAG defends the constitutionality of a statue. | 21,548 |
| Section 71’s. Where the OAG chooses not to participate in defending constitutionality of a statute. | 21,549 |
| ENVIRONMENTAL PROTECTION | |
| Litigated case files, investigational material, records of proceedings, court papers, documents, etc., in connection with statutory and common-law responsibilities. | 14,369 |
| Scientific reference and research material. | 16,328 |
| Legal reference and research material. | 16,329 |
| Love Canal case records. | 19,145 |
| Love Canal microfilmed documents. | 19,146 |
| Legislative program bill files. | 21,146 |
| EXECUTIVE RECORDS | |
| Attorney General’s official records, consisting of subject and correspondence files, reports, proposed legislation, speeches, public schedules, and other records documenting the Attorney General’s tenure in office. | 21,883 |
| Attorney General’s Executive Office staff official records, consisting of subject and correspondence files, and other records documenting the responsibilities of the Executive Office staff. | 21,884 |
| RECORDS SERIES |
AUTHORIZATION NUMBER |
| Invitations to the AG sent for various political and social functions | 18,567 |
| HEALTH CARE | |
| Health care fraud complaints and related material referred to other agencies. | 21,131 |
| Health care fraud complaints and related correspondence. | 21,132 |
| Health care fraud litigated cases, forms and correspondence. | 21,133 |
| Health care fraud assurances of discontinuance and related forms and correspondence. | 21,134 |
| Health care fraud legislative program bill files. | 21,135 |
| INTERNET | |
| Litigated case files. | 20,524 |
| Non-litigated inquiries. | 20,525 |
| Complaints. | 20,526 |
| Non-litigated settlements. | 20,527 |
| Security breach notifications. Records created pursuant to Section 208, State Technology Law, which requires state agencies to disclose to New York state residents when their computerized private information was or may have been acquired by a person without valid authorization, including notifications to affected persons and to designated state agencies, logs of notifications, and related records. | 90,379 |
| INVESTOR PROTECTION | |
| Registration files re: company takeovers. | 13,949 |
| Mutual fund reports. | 13,950 |
| Ledgers, books, canceled checks, purchase and sales contracts, correspondence and other records left with the Attorney General during the course of investigations under Article 23A of the General Business Law. | 20,467 |
| Investigations and court proceedings concerning securities matters. May include Grand Jury material and/or significant cases. | 20,468 |
| Securities registration exemptions and receipts for applications by issuers of securities for an exemption from the necessity of filing a broker/dealer statement. | 20,469 |
| Securities registration folders/NASD. For firms and salespersons replaced or covered by the NASD system. Includes registrations, supplements, amendments and receipts. | 20,470 |
| Theatrical registration files. Documents related to registering a theatrical production so that the limited partnership/corporation can sell securities. Included are correspondence, agreements, financial records, sales offerings/circulars and other associated material and documents. |
20,476 |
| No action letters. Letters from issuers of securities requesting that “No Action” be taken on the sale of securities in New York State. Documents include letters, requests, receipts and associated material. | 20,477 |
| Commodities. Cancelled, un-renewed commodity salesperson statements, supplements and amendments, commodity registrations access files and receipts. | 20,478 |
| Transmittals. Listing of checks received; includes receipt number, name of investor, firm, franchise or advisor, freedom of information request, copy of cover sheet and copy of front and back of check. | 20,479 |
| Exchange records. Written request by broker/dealer to use the word “exchange” in their title. This request is either approved or disapproved by Investor Protection and Securities Bureau via letter. | 20,480 |
| Complaints on investment and investor frauds. These files contain complaints on investment and investor frauds, which do not lead to investigations or court proceedings. | 20,481 |
| Pending correspondence file. Correspondence sent from public to Investor Protections and Securities Bureau, and correspondence sent to public to complete their files. | 20,482 |
| Investment advisory documents Registrations, supplements, amendments and receipts for broker/dealer, broker/dealer excess, securities salesperson and investment advisory files. | 20,685 |
| Securities registration documents. Canceled or un-renewed securities salesperson statements, supplements and amendments, broker/dealer registrations, broker/dealer access files and receipts. | 20,686 |
| Investigations and court proceedings concerning theatrical matters. Contains investigation reports/supporting material, copy of court proceeding records, correspondence and other associated material. | 21,149 |
| RECORDS SERIES | AUTHORIZATION NUMBER |
| Franchise files. Franchise files include advertising literature, registrations, supplements, amendments and receipts submitted by individuals and organizations registering with the Attorney General for the sale or offer of a franchise in New York State. (as per Article 33 General Business Law) | 22,930 |
| LABOR | |
| Collection of compensation awards where employers are non-insurers. | 5,126 |
| Claimant cases prosecuted for fraudulent collection of benefits and employer cases prosecuted for failure to file reports. | 6,823 |
| Supplementary proceedings. Employer cases for collection of unpaid taxes. | 6,825 |
| Appellate court cases handled mainly in Appellate Division, Third Department and the New York Court of Appeals - contains case histories between the Attorney General’s Office and employers and employees claiming benefits. | 6,826 |
| Insolvency proceedings and miscellaneous labor related matters. | 6,827 |
| Compensation and collection matters concerning judgments, awards or money claims, which the records indicate, have been paid. | 13,540 |
| Criminal prosecution of workers’ compensation matters. | 13,541 |
| Criminal prosecution for violations of Labor Law. | 14,536 |
| Civil collection cases for Labor Department. | 14,554 |
| Affirmative litigation. Closed files of matters involving violations of Labor Law, Article 6, 8 and 28. | 15,268 |
| Workers’ compensation matters appealed to the third department. | 16,798 |
| Cases and points belonging to the Labor Bureau, consisting of original bound records of workers’ compensation cases. | 19,754 |
| Claimant cases for collection of overpaid unemployment insurance benefits. | 21,124 |
| LEGAL POLICY & PROGRAM DEVELOPMENT | |
| Crime victims matters. | 21,305 |
| Investigations. | 21,306 |
| Research materials. | 21,307 |
| Litigation case files. | 21,308 |
| Programmatic and outreach records. | 21,309 |
| LEGISLATIVE | |
| Copies of Memoranda to the Governor and any associated correspondence and other documentation. | 15,432 |
| Legislative program bill files. Records contains bills, memoranda, correspondence, drafts, notes and background materials. | 15,433 |
| LITIGATION (INCLUDING ARTICLE 78s, HABEAS CORPUS, MENTAL HYGIENE, MISC. LITIGATION, AND SIGNIFICANT CASE FILES) | |
| Tax claims in bankruptcy, dissolution, assignment for the benefit of creditors, etc. | 8,233 |
| State habeas corpus matters. | 13,543 |
| Medical records purged from case files of Section 1983 matters. | 16,023 |
| Article 78 cases: case that challenges a determination of a state agency or officer. Generally includes but not restricted to a review of determination of various state agencies or its officers. | 16,519 |
| Miscellaneous litigation correspondence, documents, in-house forms. | 17,160 |
| Litigated closed case files, or segments of a case, containing memos, correspondence and related legal documents. | 19,341 |
| Section 1983 matters. Alleged violations of civil rights by inmates incarcerated in state institutions and other alleged civil rights violations. | 19,342 |
| Federal habeas corpus matters. | 19,343 |
| Title VII/ADA/age discrimination. Lawsuits alleging discrimination against such factors as age, sex, national origin, religion, retaliation or disabilities. | 19,344 |
| CPL Section 330.20. Records of defendants found not guilty by reason of insanity, i.e., applications, exam orders, commitment orders, orders of retention, order for medication or rejection, etc. | 19,345 |
| Article 9 and 15 and Section 730. Civil committees, i.e., application for order of retention, order for medication or rejection, writs of habeas corpus, etc. | 19,346 |
| Miscellaneous Mental Hygiene. Patient and surrogate matters. | 19,347 |
| Guardianship applications and Surrogate Court Matters. Referrals, petition for order to show cause, applications, transcript of proceeding, order and notice. | 19,348 |
| RECORDS SERIES |
AUTHORIZATION NUMBER |
|
Significant archival case files. Must meet at least one of the following criteria:
|
19,352 |
| Claims under the Child Victims Act – provides that a civil action for conduct constituting a sexual offense against a child, shall be brought before the child reaches 55 years of age. Records include correspondence, memoranda, claim forms, agency review documentation, records indicating final actions, and other related records. Effective 08/14/2019. This legislation would also establish a one-year window in which adult survivors of a child sexual abuse would be permitted to file civil actions even if the statute of limitations had already expired or in the case of civil actions against public institutions, a notice of claim requirement had gone unmet. | 22,971 |
| MEDICAID FRAUD | |
| MFCU attorney case and court records documenting prosecution of misdemeanors. | 19,363 |
| MFCU attorney case and court records documenting prosecution of civil or felony cases. | 19,364 |
| MFCU central case files. Records kept in the NYC office that document investigation of Medicaid fraud. | 20,017 |
| MFCU Regional Office investigative records that document fraud or abuse. | 20,684 |
| Subpoenaed records or records obtained via search warrant. | 22,071 |
| ORGANIZED CRIME TASK FORCE | |
| Criminal case files. | 20,970 |
| Wiretap recorded tapes, original and first copy. | 20,971 |
| Administrative files and correspondence. | 20,972 |
| Concurrences, internal memos. | 20,974 |
| Team activity reports, confidential reports used to track team activities. | 90,200 |
| Message books and/or telephone logs. | 90,366 |
| PUBLIC INTEGRITY | |
| Criminal and civil litigated cases. | 22,072 |
| Non-litigated inquiries, investigations and complaints. | 22,073 |
| Non-litigated resolutions. | 22,074 |
| REAL ESTATE FINANCE | |
| Case files which include records and prints; architects’ drawings and specifications, intrastate records and files. | 13,552 |
| REAL PROPERTY | |
| Acquisition of land for conservation purposes, including copies of maps, agreements, reports, etc. | 9,188 |
| Acquisition of land for the Power Authority including copies of maps, agreements, reports, etc. | 9,963 |
| McCabe files. Original project maps and correspondence relating to Land Board Claims and appropriation of real property. | 10,077 |
| General files. Original project maps and data pertaining to all land acquisitions and real property proceedings. | 13,532 |
| Escheat Investigations. Petition and supporting papers by Public Administrators to Surrogates Court for leave to sell escheated real property pursuant to Section 33 (4) of Public Lands Law. | 13,661 |
| Housing loan files (Mitchell-Lama Act) and public housing loan files. | 14,636 |
| Acquisition project files for hostels. | 17,530 |
| Highway land appropriation files. Thruway Authority. | 17,531 |
| Highway land appropriation files. Department of Transportation. | 17,532 |
| Torrens title registrations. Review of petition for registration of title und Section 423 of the Real Property Law. | 17,533 |
| State-owned building/property files. Includes deeds, maps and documents showing how state purchased building and/or property. | 19,016 |
| Land disposition files. | 19,691 |
| RECORDS SERIES |
AUTHORIZATION NUMBER |
| Administrative records and correspondence. | 20,968 |
| Acquisition of land for state agencies. | 20,969 |
| Abstracts of title. | 21,300 |
| SEX OFFENDERS MANAGEMENT UNIT | |
| Confined, SIST (strict & intense supervision treatment), and dismissed records. | 22,137 |
| TELECOMMUNICATIONS & ENERGY | |
| Regulatory cases. | 21,417 |
| Litigated cases. | 21,418 |
| Assurances of discontinuance. | 21,419 |
| Legal reference/research material. | 21,420 |
| Legislative program bill files. | 21,421 |
| Complaints not to be pursued. | 21,422 |