New York State Department of State

New York State Department of State

This subject list of Department of State records is alphabetical, by division.

CURRENCY: June 1, 2009

All correspondence to the Department in Albany must be addressed as follows,

New York State Department of State
(director, division name)
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

Other inquiries about Department of State records under the Personal Privacy Protection and /or Freedom of Information Laws should be sent to the attention of the Director of Administration at the above address.

Certain records contain personal or confidential information and may not be released; other information is a matter of public record and may be obtained either free of charge or for a nominal copying fee. Various statutes, rules and regulations govern records access and may define specific fees.

PROGRAMS

Administrative Rules
Administrative Support Services
Affirmative Action
Athletic Commission
Cemeteries
Coastal Resources
Codes
Community Services
Corporations/UCC/State Records/ Miscellaneous Records
Executive
Fire Prevention
Fiscal Management
Human Resources
Information Technology Services
Licensing Services
Local Government
Open Government

DIVISION/RECORD TITLE/DESCRIPTION

DIVISION OF ADMINISTRATIVE RULES

Record Location:
6rd Floor, Suite 650
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
General Administration, including: requisitions.
Forms Control Program Administration, including: master copy of agency forms; inventory database (number, title, description, quantity, type, revision date, etc.); list of program liaisons.
Publications, including: draft and original manuscripts with photographs and camera-ready copy; request for publications; back copies for Department of State publications, including:

- New York State Register (weekly, available through subscription and also available online beginning June 25, 2003 at no cost)

To request a complete Publication List, write to:

N.Y.S. DEPARTMENT OF STATE
Division of Administrative Rules
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

Printing, including: copies of state printing contracts; program voucher copies; original, camera-ready copy of Department of State forms and publications.

State Register and Compilation Unit

New York State Register Filings, for current year, including: notices submitted for publication that propose to adopt or amend existing or new state agency rules and regulations.
Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR) Filings, including current year's plus two previous: official agency filings containing amendments to the (NYCRR); outdated (NYCRR) pages; publication incorporated by reference. (Monthly supplements to individual volumes are available; write to the publication address shown above for more detailed information.)

ADMINISTRATIVE SUPPORT SERVICES, BUREAU OF

Record Location:
6th Floor, Suite 620
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
General Administration, including; copies of employee probation and evaluation reports; requisitions.
Health and Safety, including: correspondence and technical data related to the enforcement of standards and responses to oversight agency directives; Material Safety Data Sheets; correspondence on Joint Labor/ Management Health and Safety Committee, Health and Safety subject files.
Maintenance Agreements, including: DOS equipment maintenance agreements for Facsimile machines, copiers and mailroom machines; and other miscellaneous equipment covered under both the REMI Program and individual vendors. Correspondence for Services performed on Contractor Service Report Forms, Partial Payments, Denials, JV's and Equipment History Reports.
Parking, including: parking agreements with each Union; usage reports for each lot, waiting lists; staff parking assignments per parking lot; parking data sheets.
Postage, including: postage requests from various DOS locations (meter and stamp requests); monthly/yearly usage reports from all locations, Permit Renewals and charges associated with each permit; PO Box rentals, Postage-By-Phone Accounts - Pitney Bowes and Hasler.
Property Management, including: program requests for equipment and furniture; an inventory of department property; OGS bid and contract award information; standard Office of General Services forms requesting surplus property; disposition reports.
Records Management Program Administration, including: record series inventory forms; index of existing records disposition authorizations; State Records Center and Archives transfer lists.
Space Planning, including building plans showing existing or proposed office layouts, electrical and telephone hookups; copies of existing and proposed leases to buildings; payments for building leases (computer disc).
Telecommunications, including AT&T Calling Card information; summary information from OGS phone bills (paper and microfiche: purchasing and summary information of usage by employees from various cellular phone companies and usage by office location from various telephone service providers (paper and database), purchasing information and lists of paper assignments; requests for new services or change orders, order forms, completed orders and related floor plans for telephone service, statewide (paper and database); telephone directory forms and requests; general correspondence, directives, manuals, rate guides.
Office Services Management, including: purchase orders; stockroom inventory reports; program supply requests.

AFFIRMATIVE ACTION

Director's Resource Files, including: copies of applicable laws, rules and regulations, training materials, annual and other reports, and ethnicity printouts.

Minority and Women-Owned Business Enterprise Bid Activity Reports completed by Department of State, subgrantees and grantees, including internal worksheets and Annual report to the Division of Minority and Women's Business Development.
Employee Affirmative Action Complaints
Requests for Reasonable Accommodation

ATHLETIC COMMISSION, STATE

Record Location:
20th Floor
123 William Street
New York, New York 10038

General Correspondence
Boxing Events, including: judge's score cards, inspectors' reports, admissions tax records.
Wrestling Shows, including physicians reports, inspectors reports.
Contracts (Boxer/Manager; Event)
License Applications/ Renewals for all disciplines, including:

-Announcers
-Box Office Employees
-Boxers
-Clubs
-Corporations Treasurers
-Doormen
-Judges
-Managers
-Matchmakers
-Referees
-Seconds
-Special Policemen
-Ticket Takers
-Timekeepers
-Ushers
Medical Advisory Board Administration, including: list of board members; panel physicians; meeting schedules and minutes; training documents for medical symposiums and seminars.
Medical History Files, including: physical examination data covering boxers, judges, referees.

CEMETERIES, DIVISION OF

Record location:
20th Floor
123 William Street
New York, New York 10038

5th Floor, Suite 510
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

(Downstate Cemetery Records maintained in New York City)
(Upstate Cemetery Records maintained in Albany)

General Correspondence, including staff activity reports.
Cemetery Advisory Committee Correspondence and Minutes
Cemetery Board Correspondence, Minutes and Orders, topics covering: service charges, certificates of indebtedness, etc. for cemeteries under Board jurisdiction.
Cemetery File (Separate for each), including Annual Financial Reports; staff accountant audits; petitions, motions and orders of the Supreme court, if any, regarding approvals of land purchases/ sales; complaints; vandalism reports; current rates/ charges; rules, regulations; staff inspection reports; lists of officers and trustees.
Legislation, including bills under consideration.
Master Cemetery Index Card File (name and address of every known cemetery. Including those exempt from Department Jurisdiction); Lot Transfer Orders for Third Party Transfer. (Albany only)
Computer Printouts, of Monthly/ Quarterly Cemetery Activity (for field inspectors' use including: delinquent/inspection/audit and annual financial report receipt lists; and names /addresses of cemetery officers) Personal addresses are not available under Freedom of Information Law (FOIL).

Record inquiries should be addressed to the Albany Office. Complaints or other specific cemetery matters should be directed based on the location of the cemetery (downstate/upstate) correspondence will be re-routed, if misdirected.

N.Y.S. Department of State
Division of Cemeteries
123 William Street
New York, New York 10038

N.Y.S. Department of State
Division of Cemeteries One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

COASTAL RESOURCES AND WATERFRONT REVITALIZATION, DIVISION OF

Record Location:
10th Floor, Suite 1010
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Administration: Records consist of administrative and operational records concerning division operation; including administrative records, fiscal and budget information, personnel information, correspondence, reports, proposed legislation, advisory committee records, and related records.

Coastal Zone Management Program (CZMA): Records consist of coastal program history, CZMA appropriations, laws, rules and regulations, including the Coastal Zone Management Act and Inland Waterways, federal legislation, program evaluation information and funding guidelines. Records related to correspondence, grant applications submitted and awards made, along with reports on progress.

Federal Consistency Project Review: Records consist of project summary record, project description, application, consistency certification, consistency determination and supporting reports, maps, drawings, project correspondence including acknowledgment, status, information requests, comments, objections received, public notices, evaluations, and consistency decision letters. Also includes records of appeals of consistency review decision.

State Consistency Project Review: Records consist of State Environmental Quality Review (SEQR) notices, draft and final environmental impact statements, related correspondence and memoranda including technical comments on projects and activities involving state agencies. Also includes applications, project descriptions, comments, objections received, evaluations and consistency decision letters.

Local Waterfront Revitalization and Regional Coastal Program: Records consist of draft and final environmental impact statements, program descriptions, correspondence and memoranda, reports, publications, maps, and related records deriving from work of unit staff with communities in the State's coastal areas to assist them in developing waterfront revitalization programs, to review and approve those programs, and to assist in and monitor their implementation.

Scenic Areas Program: Records derive from and document activities to identify significant scenic areas and incorporate planning for their protection and enhancement into New York's Coastal Zone Program and include survey records, reports, correspondence, memoranda, maps, publications, public meeting notices, and related records.

Coastal Erosion Program: Records documenting actions to identify coastal areas threatened by erosion and to assist local communities plan efforts to prevent such erosion. Records include maps, correspondence, reports, publications, and related records.

Significant Coastal Fish and Wildlife Habitat Program: Records concerning data, analysis, mapping, and assembly of significant fish and wildlife habitat documentation in NYS coastal areas. Records include data received from DEC habitat inventory unit concerning coastal habitats, publications, memoranda, reference materials, and records related to the requirements and procedures undertaken as part of the formal designation process.

Environmental Protection Fund (EPF):

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Clean Water Clean Air Act (CWCA):

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, Office of the State Comptroller (OSC) procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Brownfield Opportunity Areas (BOA) Program:

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Special Area Management Plans (SAMPs): Records derived from activities covered under our federal grant awards and state assistance grants. Records consist of draft and final SAMPs routine program change information to the federal government, contract related information, correspondence, memoranda, and reports.

Task Force Information - Records derived from activities when the Division is involved in a Task Force set up by the Governor. Record includes correspondence/memoranda and reports.

Oceans and Great Lakes Initiative – Records consist of council meeting agendas and meeting materials, reports, supporting documents, and scientific publications regarding ecosystem-based management.

CODE ENFORCEMENT AND ADMINISTRATION, DIVISION OF

Record Location:
11th Floor, Suite 1160
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

ADMINISTRATIVE UNIT:

General Correspondence - Day Book File.
Administrative Resource Records, including copies of applicable laws, rules and regulations - Title 19 (NYCRR) Part 434 through Part 1264 on file.
Approved Portable Kerosene Heater List - on file.
Local Government Financial Assistance, including: original applications, vouchers and related documents required for the Financial Assistance Grants Program for local government enforcement activities - on file.

CODE DEVELOPMENT UNIT:

State Fire Prevention and Building code Council files, including:

List of opted-out local governments for which the division performs enforcement activities -- on file
Building Permit Applications and Certificates of Occupancy for buildings under Department of State jurisdiction - on file
Variance Applications, including minutes of hearings and written decisions for buildings under Department of State jurisdiction - on file
Written complaints relating to local level code enforcement or non- compliance with DOS regulation 19 NYCRR - on file (now Part 1203)
Review of Code Enforcement Programs at local level. Each visit typically results in issuance of written report with findings, suggestions or orders to correct noted deficiencies - on file.

Code Development Unit:

More Restrictive Local Standards - on file
Acceptance Letters for Local Governments - on file
Meeting minutes of State Fire Prevention and Building Code Council

Technical Services Unit:

Written complaints submitted to Manufacturer Housing Complaint Program - on file
Factory-Manufactured Home Approvals, including applications, correspondence, plans, specifications and quality assurance manuals - on file
Written complaints submitted to Factory-Manufactured Home Complaint Program - on file
Certificates of Acceptability, including applications, technical reports and correspondence - outdated - 2003 - Refer ICC-ES (Evaluation Services)
Laboratory Accreditations, including qualifications submittals - outdated 2003

Code Interpretation Unit:

Code Interpretations, including applications - on file.

Educational Services:

Training Course Presentation Files, including: student applications, course attendance records and related materials used to certify completion of required training - on file
Training Workbooks and Lesson Plans - on file.

COMMUNITY SERVICES, DIVISION OF

Record Location:
6th Floor, Suite 640
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
Administration, Federal Funds, including: source correspondence; interagency agreements; applications for financial assistance; management plans; public hearing transcripts; program instructions and contract boilerplates.
Administrative Resources, including: federal and state guidelines and regulations; instructions / guidelines to local service agencies; poverty, census and other data; lists of local service agency boards of directors; travel policies; mailing lists.
Community Services Block Grant (CSBG) Advisory Council, including: meeting agenda and minutes; record of resolutions and decisions; committee and membership lists; reports; travel records.
CSBG Discretionary Grants, including: copies of proposals requesting funds; legal, contractual and fiscal documents pertaining to funded grants; reporting and monitoring data; budget amendments, payment history, work programs and audits.
CSBG Discretionary Grants Denials, including: copy of proposals denied funding.
CSBG Entitlement Agencies Contract, including: legal contracts and financial statements; program monitoring reports; budgets, amendments, work programs; progress and statistical reports.
CSBG Management Planning and Reporting, including: documents pertaining to annual program application to federal government (management plan); related documentation such as testimony, notice of grant award, backup and support information; Annual Report and background research materials, copies of reports.
CSBG Transition Records (1981-1983), including: applications for federal transition year monies, work programs, reporting forms, financial audits and other files created and used to document and track progress of community action agency grantees before New York State implemented the program (when grantees received funds directly from the federal government).

CORPORATIONS, DIVISION OF
Uniform Commercial Code
Miscellaneous Records
State Records

Record Location:
6th floor, Suite 600
99 Washington Avenue
Albany, New York 12231

General Correspondence
Administrative files, including; probationary reports and evaluations; production reports; requisitions; work load and filing statistics.
Daily Report of Corporate Filings (available through subscription) Only available through e-mail.
Copies of Corporate filing and Miscellaneous Receipts and cash reports
- Corporate Certificates Presented for Filing pursuant to the Business, Not-for-Profit, General Business, General Associations and Tax Laws; or any other certificate required by statute to be filed with the Department of State, Division of Corporation and State Records including L.L.C.'s, L.L.P.'s and L.P.'s pursuant to the appropriate law.
- Statement of Addresses and Directors for Corporations and L.L.C.'s, filed on a Biennial Basis.
- Dissolution of Proclamation Lists: quarterly lists of domestic stock corporations dissolved by proclamation of the Secretary of State and foreign stock corporations whose authority has been annulled of the Secretary of State pursuant to the Tax Law.
- Notices of Annulment of Dissolution and Cancellation of Annulment of Authority: lists of domestic stock corporations dissolved by proclamation and foreign stock corporations whose authority has been annulled that have filed certificates to annul the dissolution or cancel the annulment of authority, with copies of published notices from the New York State Register.
- Summons and Complaints, served on the Secretary of State, acting as agent for foreign and domestic corporations, L.L.C.'s, L.L.P.'s and L.P.'s (under the Business, Not-for-Profit, Limited Partnership and General Associations Law); includes: duplicate transmittal letters; list of daily services; certified mail return receipts; cash sheet; annual report.
- Summons and Complaints/Motor Vehicles, served on the Secretary of State as agent for non-resident owners and operators of motor vehicles, motor boats and aircraft; copies of filing receipt.
- Summons and Complaints/ Triplicate Fee Receipts

(Miscellaneous Records)

General Administrative records, including: evaluation reports; production reports; requisitions.
Adirondack Park Agency Orders, * including: copies of orders and certified descriptions of map amendments to the official Adirondack Park and use and development plan map.
Apostilles: copy of original document certifying to the Seals and Signatures of County Clerks or State Officials prepared by the Department under federal mandate.
Cash Sheets and duplicate cash receipts for filings.
Civil Service Rules, Regulations and Resolutions filed by Department of Civil Service and City of New York.
Clemency Good Conduct, * Pardons (duplicates) created by the Governor's office; index.
Code of Ethics Filing; original signed statements from state employees disclosing a financial interest in excess of $10,000 in any state regulated enterprise.
Commissioner of Deeds Appointments, * including application, impression of seal, oath of office card, bound volume index.
County Officers, Notices of Election * and Certifications from County Boards of Elections, as to persons elected to county office and certifications filed annually for all county officers and deputies.
County Clerks and Surrogates, * Seal and Signatures used to authenticate signed documents.
Department of Transportation Appropriation Maps, generally related to construction and repair of roads.
Department of Transportation Official Orders, pertaining to abandoning or transferring interest in land.
Designations for Securities Filings, designating the Secretary of State as agent for service of process arising out of any transaction relating to management or sale of securities.
Games of Chance, in connection with the sale of commodities, including: registration forms; surety bonds; sweepstake rules and regulations; winners lists and correspondence; index cards.
Hotel / Motel Names, and Names, Marks and Devices, including: business applications to register a hotel/ motel name, mark and device; index.
Land Recordings * between the State of New York and individuals or
business (Letters of Patent and Miscellaneous Deeds and Title Papers).
Land Records Microfilm (original documents on file with the New York State Archives, 1765-1958).
Miscellaneous Appointments, * including: designations of authority and facsimile signatures for authentication of documents; index.
Municipal Agencies and Authorities Memberships, * including: certificates of appointment covering membership to various entities including Municipal Housing Authorities, Urban Renewal Agencies, Industrial Development Agencies.
Municipal Agencies and Authorities Filings, including: original certificates covering creation of various entities including Municipal Housing Authorities, Urban Renewal Agencies, Industrial Development Agencies.
Municipal Filings * (miscellaneous) by cities, counties, towns and villages pursuant to various statutes, including:

-Orders of Removal from Office of Town Assessors (elected)
-Town/Village Classification
-State of Emergency Orders
-County Participants in Regional Off-Track Betting Corporation
-Continuity of Local Governments
-Report of Federal Census
-Suburban Town
-Local Sales and Use Tax
-Utility Tax
-Registrars Bonds
-Economic Development Designation
Oath of Office Cards (microfilm), signed by every state employee as a condition of employment, acknowledges receipt of copy of the Public Officers Law.
Railroad Police Commissions
State and Further State Notices and Stock Exchange Lists filed by the Secretary of State and Published in the New York State Register; index.
Trademarks and Service Marks, including: original applications and facsimiles for registered marks; index.
Trading Stamp Registrations, including: registration statements; bond and trading stamp booklet.
Waivers of Extradition and Extradition "D" Cases; Waivers filed by Sheriffs, County Courts and others, signed by persons permitting extradition to other states without formal proceedings; "D" cases are numbered requests to other states for the return of a fugitive, received from the Governor's Office; indexes.

(*Older records transfered to New York State Archives)

(State Records)

Electoral College, * including: oaths of office and a notice from the State Board of Canvassers as to members.
Governor's Official Executive Office Filings, * including: signed letters appointing individuals to head various state agencies and to membership in agencies, authorities, boards, commissions and confirmation sheets from the N.Y.S. Senate when appropriated; oath of office cards; official docket registration book; notices of death, resignation and removal from office; Executive orders; Proclamations.
Inter Local Agreements, filed pursuant to Section 469, General Municipal Law.
Interstate Compacts and Agreements, * between New York State and other states, and interstate filings pursuant to Section 107, Executive Law.
Local Laws Presented for Filing,* adopted by various municipalities and filed pursuant to Section 27, Municipal Home Rule Law, covering original, second copy for publishing purposes; index, bound volumes.
Resolutions (Joint) of the Senate/ Assembly, * amendments to Constitution.
Session Laws of New York: * originals, bearing the Governor's signature; recording journals.
Shopping Cart Filings
Resolutions (concurrent) * including: copy of resolutions; county newspaper designations; printing requisitions.

(*Older records transfered to New York State Archives)

(Uniform Commercial Code)

UCC Filings (filed with the Department of State Pursuant to Article 9 of the Uniform Commercial Code, Article 10-A of the Lien Law, and the Omnibus Tax Equity and Enforcement Act of 1985 and including:

- UCC-1. Financing Statements
- UCC-3. Financing Statements
- Federal Tax Liens
- Miscellaneous Forms

(These filings contain the names and addresses of debtors and secured parties, and may contain collateral and inventory descriptions, and monetary amounts of the tax liens owed to ensure legal claim to certain assets and to establish the order of priority for such claims. See the following regarding search and copy requests).

Uniform Commercial Code Search and Copy Requests, :UCC-11 request form contains the names and addresses of persons or business entities to be searched and of those requesting the search.
Program Fiscal Records, including: Federal Tax Lien billing sheets; refund vouchers; currency receipts and uncollectible fees.

EXECUTIVE OFFICES

Record Location:
11th Floor, Suite 1100
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
Administrative Projects, including: files for program areas and Secretary of State's participation; profiles of elected official and municipalities; event briefings; monthly staff reports; copies of Executive Directives; Liaison with Executive Chamber and Boards/ Committees the Secretary serves.
Administration and Management, Director of
Privacy Law Requests: original request and response.

Counsel, General

Correspondence and Legal Research
Administrative Counsel Operations, including: instructions, policies and procedures for the conduct of unit activities including fiscal and personnel matters; and statistical and other data needed for expenditure and personnel decisions.
Declaratory Rulings, including: copy of text issued by the Department, pursuant to the State Administrative Procedures Act (SAPA), with correspondence and legal research.
Litigation, including: status forms, pleadings, correspondence, reports and supporting documents relevant to all cases in which the Secretary of State or the Department is a plaintiff or defendant.
Program Subject Files, including: correspondence and research materials relating to specific Department programs and issues.
Administrative Adjudicatory Determinations often involving discipline of licensees, decisions to grant or deny applications, and some contract disputes.

Public Information Officer

Freedom of Information Law (FOIL) Requests: original request and response.
News Releases including: certain background materials, manuscript and copy of printed releases; and regional media mailing lists.

FIRE PREVENTION AND CONTROL, OFFICE OF

Record Location:
5th Floor, Suite 500
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
Fire investigation technical assistance reports for use in criminal and civil court cases one to three years old.
Arson laboratory improvement program records, including state grants, laboratory activity reports and expense reimbursement requests
Arson control plans promulgated by each county and the City of New York.
Burn injury reports submitted by health care facilities and physicians; tabular and statistical information on reported incidents compiled for analysis and lists of municipal authorities notified of reported burn injuries.
Records of certifications of firefighters and code enforcement personnel meeting the training standards established by the New York State Firefighting and Code Enforcement Personnel Standards and Education Commission.
Records of firefighting and code enforcement training programs meeting the standards established by the New York State Firefighting and Code Enforcement Personnel Standards and Education Commission.
Fire gas toxicity information for certain building materials, reported by manufacturers prior to 1999 including program development records, list of approved laboratories, and fire gas toxicity test data sheets.
Legislative Community Service Project guidelines, project descriptions and fiscal documents.
Emergency services loan applications, approved loan agreements and disapproved applications.
Fire inspection reports, including notices of violations of the Uniform Fire Prevention and Building Code, orders to comply and enforcement actions for colleges and universities, state office buildings and other State facilities and facilities regulated by state agencies.
New York State Fire Mobilization and Mutual Aid Plan, including fire service resource information, communications information and county fire mutual aid plans and county hazardous materials plans that are incorporated into the state plan.
Fire and other emergency incident information reported by fire departments and tabular and statistical information on reported incidents compiled for analysis.
Printing and publication records including: original print masters, photos and artwork created for firefighter training, fire safety education and public service programs.
Fire training course records including: proposed schedules, instructor records and student enrollment cards.
Training records of firefighters, code enforcement officials and related personnel who have completed state fire training courses and code enforcement training courses.

Record Location:
New York State Academy of Fire Science
600 College Avenue
Montour Falls, New York 14865

General Correspondence

Facility engineering information including maintenance and repair records and capital improvement plans and project reports.

Utilization records of state vehicles and (mobile) special purpose equipment utilized for Academy of Fire Science training programs and for facility maintenance.

Printing masters for lesson plans and student manuals for training courses conducted at the Academy.

Records of training courses conducted at the Academy of Fire Science including student applications, examinations, instructor records and payment records for course, lodging and meals fees.

Records of Certifications of Firefighters meeting national fire service professional qualifications standards.
Fire investigation technical assistance reports for use in criminal and civil court cases that are three years old and older.

FISCAL MANAGEMENT, BUREAU OF

Record Location:
11th Floor, Suite 1110
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
General Administration
Agency Budget, including: budget submission, fiscal plan, target reports, program allocations and segregations.
Assigned Vehicle Accident Reports
Comptroller's Warrants (all voucher payments), including: date check was issued in payment of a voucher, to whom it was paid, check number, amount.
Contract Files, including: approval forms; contract; invoice; voucher.
Duplicate Employee Travel Vouchers (originals to Office of the State Comptroller)
Duplicate Vendor Vouchers (originals to Office of the State Comptroller)
Journal Voucher and Refunds, including: log books containing document number, transmittal number, description and date processed.
Monthly Vehicle Cost Report, including: mileage, destination and expense record for each vehicle owned by or assigned to the Department and pool cars (originals of passenger vehicle reports to the Office of General Services).
Petty Cash and Travel Advance Accounts: check registers including payee, amount and date.
Vehicle File: original registration, credit card assignment, titles (originals), E-Z pass assignment.
Quick Pay Vouchers, originals.
Purchase Order Record Cards, including: copy of all purchase orders issued.
Bank Records, including: bank statements, cancelled checks.
Computer Refund Check Registers (p-warrant).
Daily, Weekly or Monthly Revenue Transmittals, including currency slips.
Federal Time Sheets
Internal Monthly Reports by program (reports available on computer)
Purchase Order and Voucher Registers: list of all purchase orders and voucher payments issued (available on computer).

(Contract Administration)

State Contracts, may include: contracts, payment and financial report forms, state accounting system reports, field reports and /or audits, and correspondence; state funded programs include:

-New York City Watershed -Environmental Protection Fund
-Legislative Member Items
-Miscellaneous State Purpose Projects
-Uniform Fire and Building Code Program
-Clean Air, Clean Water Bond Act
-Brownsfields
-Local Government Efficiency
Federal Contracts, may include: grant awards, federal reports, contracts, payment and financial report forms, state accounting system reports, computer status reports, field reports and /or audits, and correspondence; federally funded programs include:

-Appalachian Regional Grants Program
-Coastal Management Program
-Community Services Block Grant Program
Work Activity Reports, including: monthly and weekly activity reports.

HUMAN RESOURCES MANAGEMENT, BUREAU OF

Record Location:
11th Floor, Suite1150
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Correspondence
General Administration, including: resource/research documents covering agency divisions/ programs.
Classification, including: lists of Civil Service job titles, descriptions, classification and compensation forms, postings, examinations.
Examination, including: Civil Service announcements (open-competitive, promotional, transitional); roster eligible lists
Labor Relations, including: grievances, disciplinary actions, time and attendance activities, union activities.
Personnel History, including: employee appointment letters, probationary reports, correspondence from employee to Personnel, performance evaluation reports, status letters.
Resume File, from individuals seeking employment.
Training, including: announcements, tuition and training application, conference sites, intern files, program overviews.

(Personnel/Payroll Records)

Attendance Records Timesheets; all employees.
Payroll Printouts; duplicate bi-weekly payroll sheets created by the State Comptroller's Office.
Personnel Cards; employee vital statistics, earnings, position data.
Health Insurance Records; all employees.
Personnel Roster; data on employment activity.

INFORMATION TECHNOLOGY SERVICES, BUREAU OF

Record Location:
11h Floor, Suite 1130
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

GENERAL ADMINISTRATION, including: Data Processing Unit Subject Files, Information Resources Management & DP Services Plans, Data Processing Policies, Data Processing Product/Vendor and State Contracts Reference Files, OFT Data Center Time Billing Records, Copies of PR, PO, Billing Records for DP Services.
SYSTEMS AND APPLICATION DEVELOPMENT, including: Application Development Project Files, Data Systems Specifications, Data Dictionaries, Automated Program Listing/Source Code, Technical Program Documentation, Data Processing Procurement Files, Test Databases/Files.
COMPUTER OPERATIONS AND TECHNICAL SUPPORT, including: DP Operating Procedures, DP Hardware Documentation, Maintenance Contracts Files, Operating System & Hardware Conversion Plans, Disaster Preparedness & Recovery Plans, System Backup Files, System User Access Records.
DATA ADMINISTRATION, including: Data/Database Dictionary Records, Data/Database Dictionary Reports.
USER/OFFICE AUTOMATION, including: Help Desk Telephone Logs & Reports, Training Course Information.
NETWORK/DATA COMMUNICATIONS, including: Network Usage Files, Network Implementation Project files.
INTERNET SERVICES, including: Agency Internet Services Logs.
Non-DP Category, including: Routine Scheduling Records, Personal History Files, Employment Inquiry Files, Routine Internal Status & Activity Reports, Equipment and Furniture Inventories, Audit Reports & Responses.

LICENSING SERVICES, DIVISION OF

Record Location:
Alfred E. Smith State Office Building
80 South Swan Street
Albany, NY 12210

General Correspondence
General Administration, including: copies of employee evaluations and probation reports; program unit workload and statistical reports; requisitions.
Examination Papers; for all disciplines tested.
Hearing Files and Determinations, including; copies of hearing notices, transcripts, determinations.
Licensee Investigations, including: original request for applicant investigation or complaint registered against a licensee; investigation report.
Licensee Files, may include: copies of original and renewal application forms, investigation reports and determinations.

The following disciplines are among those licensed through the Division of Licensing Services:

Apartment Information Vendor/Sharing Agent- Real Property Law Article 12C effective 1980
Appearance Enhancement- General Business Law Article 27 effective 1947 (amended 1994 nail specialty, Natural Hair styling, esthetics -amended 1999 waxing)
Armored Car Carrier/Armored Car Guard- General Business Law Article 8B effective 1998
Athlete Agent- General Business Law Article 39B effective 2003
Bail Enforcement Agent- General Business Law Article 7 effective 2001
Barbering- General Business Law Article 28 effective 1946
Bedding- General Business Law Article 25A effective 1999
Coin Processor- General Business Law Article 27A effective 1999
Hearing Aid Dispenser- General Business Law Article 37A effective 2000
Home Inspector- Real Property Law Article 12B effective 2005
Notary Public- Executive Law Article 6 effective 1951
Pet Cemeteries- General Business Law Article 35C effective 1994
Private Investigator- General Business Law Article 7 effective 1909
Real Estate Salesperson/Real Estate Broker- Real Property Law Article 12A effective 1922
Real Estate Appraiser- Executive Law Article 6E effective 1991
Security and Fire Alarm Installer- General Business Law Article 6D effective 1992
Security Guard- General Business Law Article 7A effective 1994
Telemarketer Business- General Business Law Article 26 effective 2001
Ticket Reseller- Arts and Cultural Affairs Law Article 25 effective 2008
Watch, Guard and Patrol Agencies- General Business Law Article 7 effective 1941

LOCAL GOVERNMENT AND COMMUNITY SERVICES, OFFICE OF

Record Location:
10th Floor, Suite 1015
One Commerce Plaza
99 Washington Avenue
Albany, New York 12231

General Administration, including: duplicate copies of employee timesheets, evaluations and probation reports; policy and program files; requisitions.

Appalachian Regional Commission Program (ARC):

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, New York State, Office of the State Comptroller (OSC ) procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Shared Services Program:

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

New York City Watershed Program:

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Quality Communities Program:

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Smart Growth Program:

Records consist of blank applications, application guidance information, mailing lists, workshop information, applications received and supporting documentation, application logs, documentation of application review, support letters, OSC procurement information, copies of award and non-award letters to applicants, and press releases.

Contracts - Records deriving from activities in managing a contract with contractors, including, copy of the contract, correspondence/memoranda, products, payment information.

Land Use Training and Technical Assistance Program: Records consist of training publications, training topics A-Z, sample laws, correspondence, planning topics, comprehensive plans, local zoning regulation (according to municipality) and other land use law and regulations, technical assistance reference files.

Mailing List Management: Records consist of contact information for elected officials.

OPEN GOVERNMENT, COMMITTEE ON

Record Location:
6th Floor, Suite 650
One Commerce Plaza
99 Washington Avenue
Albany, New York 11231

General correspondence
General Administration, including: monthly reports, briefing materials, newspaper clippings.
Advisory Opinions, including: initial request and responses to applicants (representatives of state and local governments, the public and news media) requesting advisory opinions on Freedom of Information, Open Meeting and Personal Privacy Protection activities.
Appeal and Determinations; involving denials of requests for records and agencies' final determinations.
Committee Meetings Materials, including: agenda, minutes, background.
Legislative Memoranda; recommendations concerning legislation.
Master State Agency Index , including: name, address, number of notices of systems or records received, date received, date regulations promulgated, yearly responses relating to requests and determinations made under the law for each agency subject to Personal Privacy Protection Law.
Personal Privacy Protection Law (PPPL) Reports, including: notices of systems of records that pertain to one or more persons from which personal information may be retrieved by use of the name or other identifying particulars; privacy impact statements (required by state agencies creating a system); Directory of Systems of Records, name of each system, agency (sub) division maintaining it, title and business address of person responsible for it, approximate number of persons and categories of information collected, information on rules that authorize maintenance of the information; yearly responses by state agencies regarding the number of requests for PPPL records and whether requests were granted or denied.
Regulations, including: submissions to the Committee by state agencies, authorities and public corporations; and, local municipalities.