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 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 |
|
Not-for-profit transactions. This series
includes documentation on sales, mergers, dissolutions, and certificate amendments for non-profit organizations throughout NYS. Corporations that hold and administer property for charitable purposes in NY are required to register and report to the Charities Bureau pursuant to Estates, Powers and Trusts Law, Section 8-1.4. The Charities Bureau must make review and approval of these transactions. |
22,410 |
|
Annual
financial reports. Includes annual financial reports and supporting documentation (e.g. IRS990, NY Form
CHAR500, etc.) submitted by charitable organizations
required to register with the Charities Bureau. These reports
are required by Article 7-A, Section 172 of
the Executive Law. |
22,642 |
|
Registration statements. Includes registration applications and organizing documents for non-profit entities required to register with the Charities Bureau.
However, some organizations, like religious organizations, are exempt from registering with the Charities Bureau. Those entities
may submit a Request for Registration Exemption form, which
is also included in this series. |
22,643 |
|
Annual registration statements
and bonds of professional fundraisers and fundraising counsels. |
19,459 |
|
Annual registration statements
of professional solicitors. |
19,460 |
|
Charities Bureau general correspondence. |
19,462 |
|
Professional fundraiser contracts
and financial statements. All fundraisers held in NYS need
to be registered with the Charities Bureau, and must file all related
service contracts
and financial reports. The records
in this series include these contracts
and financial statements. |
19,463 |
|
Complaints and inquiries.
Includes letter
Charities Bureau received and its response to complaint or inquiry where matter
does not lead into an investigation. If the complaint or inquiry
leads to an investigation and litigation, these records
would fall under RDA
#22,407. |
22,411 |
|
CIVIL RECOVERIES |
||
Litigation accounts closed prior to judgment. This records series includes any debt
referred to the OAG's Civil
Recoveries Bureau for collection where
legal action has commenced and the accounts are closed prior
to judgment. Includes
legal papers, general correspondence, copies of payment
instruments, etc. |
22,449 |
|
Non-satisfied judgment accounts. Judgments are collectible on personal property for 20 years from the date judgment
is filed. If judgment is satisfied, these records fall under RDA 22,452. This
series includes legal papers, correspondence, copies of payment instruments, etc. |
22,450 |
|
Accounts closed prior to litigation. These include
any accounts that were resolved without going to litigation. Records series includes general correspondence, copies of payment instruments, etc. |
22,451 |
|
Satisfied judgment accounts. These are accounts where
judgment has been made and the debt
has been satisfied. The
records series includes general correspondence and other legal documents associated with satisfied judgments. |
22,452 |
|
Fiscal
reporting and revenue. This records series
monitors all payments received by the OAG's Civil
Recoveries Bureau or by client agencies. Includes copies of checks and reports generated. |
22,453 |
|
Significant Mental
Hygiene Unit
cases. Includes legal documentation and correspondence, client correspondence, and other associated materials,
which may include judgments and information from the Office
of Mental Health. |
20,748 |
|
Investigational material created by the Oil Spill
Unit. |
20,749 |
|
CIVIL RIGHTS |
||
Closed
case files of investigations and proceedings of civil rights matters. |
10,219 |
|
CLAIMS |
||
Medical malpractice infant claims. These are claims
brought on behalf of infants where
malpractice allegedly has occurred by state employees. |
18,050 |
|
Notices of Intention (NI)
for infants or incompetents where no claim
is filed within the retention period. If a
claim is filed, the NI becomes part of claim files
covered by RDA #22415. |
20,462 |
|
Significant claims against the State.
This series contains potential claims against the State that may be
brought due to the delayed accrual
of statute of limitations. This would cover cases where there is a potential long-term liability for the State
because of the nature
of the claim. The trial attorney will determine what
claims fall into this category. |
20,700 |
|
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: 1. The
files pertain to a case that
resulted in a landmark decision, ruling, or order, and therefore provide evidence of precedent. 2. The
files deal with notorious figures or
organizations that are likely to be the subject of on-going research. 3. The
files pertain to cases involving prominent individuals likely to be the subject
of future research. 4. The
files define a shift
or are illustrative of a major
Office of the Attorney General policy or initiative. |
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. |
22971 |
|
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 |
|
Foreclosure
actions (mortgage, tax warrants, liens). Includes notice of mortgage
foreclosure, summons and complaint, judgment of foreclosure and sale, notice
of sale, etc. |
22,339 |
|
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 |
|