Records Retention And Disposition Schedule October 31, 2019

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

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

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

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

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

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

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