Laws and Regulations Related to Records
The resources on this page include information on New York State laws and regulations that local governments and state agencies must follow when managing government records. These laws and regulations will provide guidance on how to develop policies and procedures to ensure the effectiveness and continuity of your records management program.
Laws and regulations relevant to:
Specific New York State laws and regulations:
Archives Partnership Trust Act (chapter
758, Laws of 1992)
Establishes the Archives
Partnership Trust, a public benefit corporation, which secures private
funding for special projects and enhances awareness of the New York State
Archives.
Arts and Cultural Affairs Law
Local Government Records Law (Article 57-A)
Consolidates former sections of the Arts and Cultural Affairs Law, Public Officers Law, Town Law, County Law, and Village Law into a single statute promoting improved management of local government records. This law is the single most important statute dealing with local government records.State Government Records Law (Section 57.05)
Establishes the State Archives' responsibility for the archival records of State government. Also establishes requirements for the disposition of State government records, including requiring that approval of the State Archives, acting on behalf of the Commissioner of Education, and of the Offices of the Attorney General and State Comptroller be obtained prior to the destruction or other disposition of such records. State records found in local offices are also subject to this law.Local Government Historian Law (Section 57.07, subdivision one)
Clarifies the records-related responsibilities of local government historians.
Civil Practice Laws and Rules (CPLR)
Section 208
Provides persons who have arrived at "majority" (age 18) an additional three-year period to bring legal action as adults relative to an event which occurred when they were still minors. This statute has broad implications and requires retention of many records series long enough to protect the legal rights of minors.Rule 4518
Allows admissibility of original records in court, including electronic records, when made in the regular course of business.Rule 4521
Establishes the means by which public officials can indicate the lack or non-existence of a particular record.Rule 4539
Also called the best evidence rule. Permits the use of copies in court when those copies were prepared in the regular course of business by a process which accurately reproduces the original records and when those copies are satisfactorily identified. This use of copies is permitted whether the originals exist or not.Rule 4540
Establishes the means by which public officials can authenticate copies of public records.Sections 8018 and 8021
Outline fees chargeable for county clerks for filing, recording and assignment of index numbers. These fees include additional fees collected for the purpose of deposit in the New York State Local Government Records Management Improvement Fund and the Cultural Education Account.
Education Law
Section 140, New York Documentary Heritage Act
Creates the Documentary Heritage Program (DHP) which is administered by the New York State Archives.
Judiciary Law
Section 89.1
Governs the disposition and microfilming of all court records, including jury records. These records are not disposable under the authority of the Commissioner of Education, but rather according to retention schedules promulgated by the Office of Court Administration.Section 89.2
Governs records of county district attorneys. Application for disposition of any records of a county district attorney must be made to the appropriate judicial department of the Appellate Division of State Supreme Court.
Legislative Law
Section 22, 22-a and 22-b
Governs custody, reproduction and disposition of records of the State Legislature.
Local Finance Law
Section 63.10
Regulates the disposition and destruction of canceled obligations (bonds, corporate stock, notes or coupons). Their disposition is not subject to the Local Government Records Law. See also Part 55, 2NYCRR.
Local Government Records Management Improvement Fund Law
Chapter 78, Laws of 1989
Establishes a dedicated fund to improve records management and archival administration in New York's local governments. The Local Government Records Management Improvement Fund (LGRMIF) is comprised of the fees collected by county clerks and the New York City Register for the recording of selected documents, including deeds and mortgages, and for the assignment by county clerks of index numbers for certain court cases. The law authorizes the Commissioner of Education to provide training and technical assistance, administer a grant program for New York's local governments, and appoint a Local Government Records Advisory Council to advise on the operation of the LGRMIF program.
Penal Law
Sections 175.20 and 175.25
Deals with tampering with public records in the second and first degrees. Because such tampering constitutes either a class A misdemeanor or a class D felony, persons can be prosecuted and, if convicted, sentenced accordingly for these offenses.
Public Housing Law
Sections 59 and 60
Regulates the disposal of records and creation of retention periods for records of housing authorities. Disposition and reproduction of these records is not subject to the authority of the Commissioner of Education.
Public Officers Law
Section 80
Requires that outgoing public officials deliver official records to their successors in office and outlines legal action to take if this transfer is not completed.Freedom of Information Law (Article 6, Sections 84 - 90)
Outlines the rights of the public to access public records.Personal Privacy Protection Law (Article 6-A, Sections 91 - 99)
Applies to state agencies and that 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.Open Meetings Law (Article 7, Sections 100 - 111)
Covers accessibility by the public to meetings of public bodies and outlines requirements for the production and availability of minutes or other proceedings.
Regulations of Audit and Control (Office of the State Comptroller)
Part 55, 2NYCRR
Regulates the disposition and destruction of canceled obligations (bonds, corporate stock, notes or coupons). Their disposition is not subject to the Local Government Records Law. See also Local Finance Law, Part 63.10.
Regulations of the Commissioner of Education
Part 185, 8NYCRR
Details the responsibilities of records management officers (RMOs) and the Local Government Records Advisory Council (LGRAC), covers the issuance of records retention and disposition schedules, sets procedures for the disposition of records not listed on schedules and for records rendered unusable by disasters, provides standards for microfilm and electronic records media, provides criteria for contracted records storage facilities, and establishes eligibility criteria for local governments applying for Local Government Records Management Improvement Fund (LGRMIF) grants.Part 188, 8NYCRR
Establishes requirements and procedures for the management and disposition of State agency records, including duties and responsibilities of agency records management officers, procedures for approving the disposition of agency records, use of the State Records Center, the use of microfilm and electronic records, and agency fees for records management services.Part 189, 8NYCRR
Provides additional information on grant eligibility and the distribution of aid relative to the New York Documentary Heritage Act.
Regulations of the Judiciary
Section 104, 22NYCRR
Sets the guidelines for the disposition of court records in New York State. Records of all courts, including jury records, are not disposable under the authority of the Commissioner of Education, but rather according to retention schedules promulgated by the Office of Court Administration.
State Finance Law
Section 97-i
Covers the management of the New York State Local Government Records Management Improvement Fund by the State Comptroller and the Commissioner of Taxation and Finance.Section 97-ddd
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.
State Technology Law
Electronic Signatures and Records Act (Article I, Sections 101 - 109)
Ensures that electronic signatures are legally binding in government and clarifies the authority of government agencies to create records created by computers in electronic form. The Office for Technology is the facilitator for this act.
Transportation Law
Sections 68 and 69
Regulates the disposal of records and creation of retention periods for records of the Utica Transit Authority. Disposition of these records is not subject to the authority of the Commissioner of Education.
Specific federal laws and regulations:
Please note that there are many other laws and regulations
that may be applicable. Due to space considerations, only two of the most
commonly cited laws have been listed.
Health Insurance Portability and Accountability Act (HIPAA) (Public
Law 104-191)
Protects the privacy of patients' medical records and other health
information provided to health plans, doctors, hospitals and other health
care providers. This act also provides patients with access to their medical
records and more control over how their personal health information is
used and disclosed. For more information, refer to http://www.hhs.gov/ocr/hipaa/
The Family Educational Rights
and Privacy Act (FERPA) (20 U.S.C. § 1232g; 34 CFR
Part 99)
Protects the privacy of student education records. The law requires a
school district to provide a parent with access to their child's educational
records, provide a parent the opportunity to request correction of records
that are believed to be inaccurate or misleading, and obtain the written
permission of the parent before disclosing information contained in the
student's educational record. For more information, refer to http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html
Uniting and Strengthening
America by Providing Appropriate Tools Required to Intercept and Obstruct
Terrorism (USA PATRIOT Act) (Public Law 107-56)
Expands the powers of federal law enforcement agencies investigating cases
involving foreign intelligence and international terrorism. This law amends
the laws governing the Federal Bureau of Investigation's access to business
records. For more information, refer to http://www.ala.org/ala/pio/mediarelations/patriotactmedia.htm