Managing Records: Laws & Regulations
New York State Laws and Regulations Relevant to State Agency Records
Art and Cultural Affairs Law
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.
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.
Legislative Law
Section 22, 22-a and 22-b
Governs custody, retention and reproduction of records of the State Legislature.
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 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 the Commissioner of Education
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.
State Finance Law
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.
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