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Executive branch budget preparation includes development and submission of annual agency budget requests, and subsequent review and approval by the Division of the Budget (DOB).

Control Agency:  The Division of the Budget is the central control agency for this function.

Records Not Covered:  Records of DOB that document its role as a control agency for the development of the annual budget for New York State government.

90107  Program Unit Budget Request Files 
Records created and used by program managers to develop budget requests, including cost statements, estimates, justifications, narrative statements, spreadsheets, background materials, and originating offices' copies of submissions to agency budget office.

Minimum Retention and Disposition:  Destroy 1 fiscal year after the fiscal year covered by the budget request.

Justification:  Program units use previous years’ requests during budget preparation for the current year.  Generally, reference to past requests decreases after 1 year.  However, some program units may want to retain these records longer. 

Note:  The final copy of a program unit budget request and supporting documentation of the agency's internal budget modification and approval process should be filed in general administrative files or the program unit director's office files.  These records will be scheduled separately.                

90108  Agency Budget Preparation Files 
Records created by budget analysts during the process of reviewing program unit budget requests and preparing the agency's budget request, including cost statements, estimates, justifications, narrative statements, various reports, and other pertinent data submitted to an agency budget unit.  The records in this series are the source documents for an agency's final budget request submitted to DOB.

Minimum Retention and Disposition:  Destroy 3 fiscal years after the fiscal year covered by the budget.

Justification: Agency budget unit and others use previous years' requests to prepare and compare with present year's requests.  After 3 years records lose their administrative value.

*90109  Agency Copy of Agency Budget Request 
Copy of the final budget request created by an agency budget unit and submitted to DOB, and supporting materials that document communication between the agency and DOB and the Legislature regarding budget negotiations and subsequent review after agency submission of the budget request.

Minimum Retention and Disposition:  Transfer one copy of the final budget request and supporting documentation to the State Archives either directly or as part of the executive-level files of the agency (files of the agency head, executive deputy, etc.).

Justification:  The agency budget request and supporting documentation have long-term value for research on agency program development and priorities.

Last updated
Wed, 2015-10-07 14:33