Relates to record keeping procedures and policies relating to records of the governor, the executive chamber, the legislature and civil departments.
TITLE OF BILL: An act to amend the executive law, in relation to the records of the governor and executive chamber and the arts and cultural affairs law in relation to establishing record keeping policies and procedures relating to certain records of the legislature and civil departments; and to repeal section 5 of the executive law relating thereto
PURPOSE: To reform the law regarding Governor and Executive Chamber records, and to insure the availability of public documents to the citizens of New York, and to clarify the laws relating to the records of the legislature.
SUMMARY OF PROVISIONS: Section 1 states the legislative findings that the records of the Governor and Executive Chamber are of special importance to the people of New York, and warrant archival preservation.
Section 2 defines the terms "governor's records," "personal records," "former governor," and "archivist."
Section 3 clarifies the law to state that governor's records are owned by the state of New York and administered by the terms of this section.
Section 4 states that the governor and his executive staff shall establish record keeping procedures to assure that they provide a complete documentary evidence of the activities that affect the people of New York, and that the governor classify and file separately public and personal records.
Section 5 states that upon completion of a term of office the state archives shall assume control over the governor's records, with an affirmative duty to make them available to the public as soon as possible.
Section 6 allows the archivist to deposit the records in a place other than the state archives, as long as the state retains ownership of the records.
Section 7 allows the state archivist the right to dispose of records that are deemed to be of no research value.
Section 8 specifies that records transferred to the state archives be administered pursuant to 5490 of the Public Officers Law. An exception shall be when the Governor specifies that for a duration of time not to exceed fifteen years, access to certain documents shall be restricted with respect to documents in one of the following two categories: appointments to state offices; exemption from disclosure pursuant to the Public Officers law.
Section 9 states that during this period of restricted access, the archivist shall establish procedures to notify persons requesting restricted information from the archives of the status of their request.
Section 10 states the individuals who shall be exempted from restriction on access. Those individuals are employees of the state archives in the performance of their normal duties; former governors or their designees; Section 10 further states that governor's records shall be made available; pursuant to a subpoena or other judicial process; to an incumbent governor, as such records are necessary to conduct state business; to either house of the state legislature as such records are necessary to conduct state business;
Section 11 states that upon the death of a governor or former governor, all authority that such person may have had under this section shall be exercised by the archivist.
Section 12 states that lieutenant governors shall be subject to the provisions of this record in the same manner as governor's records.
Section 2, Subdivision 4 of section 57.05 of the arts and cultural affairs law is amended to allow for the state archives to assist the legislature and civil departments of state govt. to establish record keeping policies and to ensure the records systems remain accessible as needed for research purposes and to identify certain records that have enduring research value that warrant preservation in the state archives.
JUSTIFICATION: The State Archives is an appropriate repository for Executive Chamber records of enduring value, as it is mandated to preserve and provide access to the archival "records of state government. The Governor and Lieutenant Governor are government officials, elected by and accountable to the citizens of the State. Records created by public officials in the course of governing belong to the government and to the citizens of the State. Governor's and Lieutenant Governor's records are an important part of the State's institutional and cultural memory. The State Archives already holds many records of former governors and lieutenant governors and marshals State's resources to support their administration and maintenance, along with related records that document the rest of State government.
The records of New York State governors and their top level staff and advisors are critical to complete the collection of source material on gubernatorial policy initiatives, decision making, and program leadership. The Archives is already working with the Executive Chamber to preserve the Executive Chamber correspondence through microfilming the files of the Central Correspondence Unit and to transfer the Bill and Veto Jacket files to the Archives where they are microfiched and made widely available for research.
Finally, from a nationwide perspective, a 1989 report by the National Governors Association urged the governor of each state to work with his or her state's archival agency on the management and preservation of
Executive Chamber records. The current Governor can establish a standard for future New York governors and other states to follow.
This bill also allows for the state archives to assist the legislature in the establishment of recordkeeping policies and to identify those records that have enduring research value for preservation in the state archives.
Specifically, those records that relate to governing each State or to any State operations and that save continuing value for research or other purposes, need to be retained together in the legal custody of the state archives after the governor leaves office. This will ensure that, nationally, the record of every gubernatorial administration will be available now and in the future to the citizens who want to know about the past actions of their state government. This bill is modeled after the federal legislation, that governs the disposition of Presidential papers in the National Archives.
LEGISLATIVE HISTORY: New bill
FISCAL IMPLICATIONS: None
EFFECTIVE DATE: This act shall take effect immediately.
STATE OF NEW YORK ________________________________________________________________________ S. 6846 A. 9928 S E N A T E - A S S E M B L Y February 12, 2010 ___________IN SENATE -- Introduced by Sen. BRESLIN -- read twice and ordered print- ed, and when printed to be committed to the Committee on Finance IN ASSEMBLY -- Introduced by M. of A. HOYT, McENENY, MAGEE, SCHIMMINGER, KAVANAGH -- Multi-Sponsored by -- M. of A. GALEF -- read once and referred to the Committee on Governmental Operations AN ACT to amend the executive law, in relation to the records of the governor and executive chamber and the arts and cultural affairs law in relation to establishing record keeping policies and procedures relating to certain records of the legislature and civil departments; and to repeal section 5 of the executive law relating thereto THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM- BLY, DO ENACT AS FOLLOWS: Section 1. Section 5 of the executive law is REPEALED and a new section 5 is added to read as follows: S 5. GOVERNOR AND EXECUTIVE CHAMBER RECORDS. 1. RECORDS OF THE GOVER- NOR AND THE EXECUTIVE CHAMBER STAFF ARE OF SPECIAL IMPORTANCE TO THE GOVERNMENT AND CITIZENS OF NEW YORK STATE, BECAUSE THE RECORDS DOCUMENT THE ACTIVITIES AND DECISIONS OF STATE GOVERNMENT'S CHIEF EXECUTIVE OFFI- CER. MANY RECORDS OF THE GOVERNOR AND THE EXECUTIVE CHAMBER STAFF ARE OF ENDURING VALUE AND WARRANT ARCHIVAL PRESERVATION BECAUSE SUCH RECORDS CONTAIN DOCUMENTARY EVIDENCE ABOUT SIGNIFICANT POLICIES, PROGRAMS, AND DECISIONS MADE OR INSTITUTED BY THE GOVERNOR. 2. AS USED IN THIS SECTION: A. THE TERM "GOVERNOR'S RECORDS" MEANS ALL CORRESPONDENCE, MEMORANDA, REPORTS, PROPOSALS, OR OTHER DOCUMENTARY MATERIALS OR REASONABLY SEGREG- ABLE PORTIONS THEREOF, REGARDLESS OF PHYSICAL FORM OR CHARACTERISTICS, CREATED OR RECEIVED BY THE GOVERNOR, HIS OR HER IMMEDIATE STAFF, OR A UNIT OR INDIVIDUAL IN THE EXECUTIVE CHAMBER WHOSE FUNCTION IS TO ADVISE AND ASSIST THE GOVERNOR, IN THE COURSE OF TRANSACTING BUSINESS OR CONDUCTING ACTIVITIES WHICH RELATE TO OR HAVE AN EFFECT UPON THE CARRY- ING OUT OF THE CONSTITUTIONAL, STATUTORY, ADMINISTRATIVE, OR OTHER OFFI- CIAL OR CEREMONIAL DUTIES OF THE GOVERNOR. SUCH RECORDS INCLUDE DOCU- MENTARY MATERIALS RELATING TO POLITICAL ACTIVITIES OF THE GOVERNOR OR AEXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets [ ] is old law to be omitted. LBD15412-01-0 S. 6846 2 A. 9928
MEMBER OF THE STAFF, BUT ONLY IF SUCH ACTIVITIES RELATE TO OR HAVE A DIRECT IMPACT UPON THE CONSTITUTIONAL, STATUTORY OR OTHER OFFICIAL OR CEREMONIAL DUTIES OF THE GOVERNOR AND DOES NOT INCLUDE DOCUMENTARY MATE- RIALS THAT ARE (I) OFFICIAL RECORDS OF AN AGENCY; (II) PERSONAL RECORDS; (III) STOCKS OF PUBLICATIONS, FORMS, AND STATIONERY; (IV) EXTRA COPIES OF DOCUMENTS PRODUCED ONLY FOR CONVENIENCE OF REFERENCE; AND (V) LIBRARY OR MUSEUM MATERIAL MADE OR ACQUIRED SOLELY FOR REFERENCE AND EXHIBITION PURPOSES. B. THE TERM "PERSONAL RECORDS" MEANS ALL DOCUMENTARY MATERIALS OR REASONABLY SEGREGABLE PORTIONS THEREOF, OF A PURELY PRIVATE OR NONPUBLIC CHARACTER WHICH DO NOT RELATE TO OR HAVE AN EFFECT UPON THE CARRYING OUT OF THE CONSTITUTIONAL, STATUTORY, OR OTHER OFFICIAL OR CEREMONIAL DUTIES OF THE GOVERNOR INCLUDING PERSONAL DIARIES, JOURNALS AND NOTES; MATERI- ALS RELATING TO PRIVATE POLITICAL ASSOCIATIONS; AND MATERIALS RELATING EXCLUSIVELY TO THE GOVERNOR'S OWN ELECTION TO THE OFFICE OF GOVERNOR AND MATERIALS RELATING DIRECTLY TO THE ELECTION OF INDIVIDUALS TO FEDERAL, STATE OR LOCAL OFFICE. C. THE TERM "FORMER GOVERNOR", WHEN USED WITH RESPECT TO GOVERNOR'S RECORDS, MEANS THE FORMER GOVERNOR DURING WHOSE TERM OR TERMS OF OFFICE SUCH RECORDS WERE CREATED. D. THE TERM "ARCHIVIST" SHALL MEAN THE HEAD OF THE STATE ARCHIVES IN THE STATE EDUCATION DEPARTMENT. 3. GOVERNOR'S RECORDS ARE OWNED BY THE STATE OF NEW YORK AND SHALL BE ADMINISTERED IN ACCORDANCE WITH THE PROVISIONS OF THIS SECTION AND OF SECTION 57.05 OF THE ARTS AND CULTURAL AFFAIRS LAW. 4. THE GOVERNOR AND HIS OR HER EXECUTIVE CHAMBER STAFF SHALL ESTABLISH RECORDKEEPING POLICIES AND PROCEDURES TO ASSURE THAT: A. RECORDS AND RECORDKEEPING SYSTEMS ARE CREATED TO PROVIDE COMPLETE AND COMPREHENSIVE DOCUMENTARY EVIDENCE OF THE SIGNIFICANT ACTIVITIES, DELIBERATIONS, DECISIONS, AND DEVELOPMENT AND IMPLEMENTATION OF POLICIES THAT REFLECT THE PERFORMANCE OF CONSTITUTIONAL, STATUTORY, AND THE OFFI- CIAL AND CEREMONIAL DUTIES OF THE GOVERNOR; B. DOCUMENTARY MATERIALS PRODUCED OR RECEIVED BY THE GOVERNOR AND EXECUTIVE CHAMBER STAFF ARE CATEGORIZED AS GOVERNOR'S RECORDS; C. RECORDS AND RECORDKEEPING SYSTEMS REMAIN USABLE AND ACCESSIBLE AS LONG AS NEEDED FOR BUSINESS OR RESEARCH PURPOSES; D. RECORDS AND RECORDKEEPING SYSTEMS ARE EVALUATED BY THE STATE ARCHIVES IN ORDER TO ENSURE THAT RECORDS ARE RETAINED FOR THE LENGTH OF TIME NECESSARY TO MEET LEGAL, FISCAL, AND ADMINISTRATIVE NEEDS AND TO CONFORM WITH ANY LEGAL MANDATES; TO ENSURE THAT RECORDKEEPING SYSTEMS MAINTAIN RECORDS IN USABLE AND ACCESSIBLE FORM; AND TO IDENTIFY AND PROTECT RECORDS THAT HAVE ENDURING RESEARCH VALUE AND WARRANT PRESERVA- TION IN THE STATE ARCHIVES; AND E. RECORDS IDENTIFIED BY THE STATE ARCHIVES AS HAVING ENDURING, EVIDENTIAL, INFORMATIONAL, HISTORICAL, OR OTHER RESEARCH VALUE ARE TRANSFERRED TO THE STATE ARCHIVES DURING OR AT THE END OF A GUBERNATORI- AL ADMINISTRATION CONSISTENT WITH THE PROVISIONS OF SECTION 57.05 OF THE ARTS AND CULTURAL AFFAIRS LAW AND RECORDS RETENTION AND DISPOSITION SCHEDULES PROMULGATED PURSUANT TO SUCH LAW. 5. UPON COMPLETION OF A TERM OF OFFICE OR IF SERVING CONSECUTIVE TERMS UPON CONCLUSION OF THE LAST TERM, THE STATE ARCHIVES SHALL ASSUME RESPONSIBILITY FOR CUSTODY, CONTROL, AND PRESERVATION OF, AND ACCESS TO, GOVERNOR'S RECORDS. THE STATE ARCHIVES SHALL HAVE AN AFFIRMATIVE DUTY TO MAKE SURE SUCH RECORDS ARE AVAILABLE TO THE PUBLIC AS RAPIDLY AS POSSI- BLE, CONSISTENT WITH THE PROVISIONS OF THIS SECTION.S. 6846 3 A. 9928
6. THE STATE ARCHIVIST MAY DEPOSIT SUCH RECORDS IN A REPOSITORY OTHER THAN THE STATE ARCHIVES PROVIDED THAT THE STATE OF NEW YORK SHALL RETAIN OWNERSHIP AND THE ARCHIVIST HAS ASCERTAINED THAT THE REPOSITORY MEETS GENERALLY ACCEPTED STANDARDS AND FOLLOWS ACCEPTED PRACTICES FOR ARCHIVAL ADMINISTRATION, THAT THE RECORDS ARE AVAILABLE FOR PUBLIC ACCESS PURSU- ANT TO THE PROVISIONS OF THIS SECTION, AND THAT THE RECORDS MAY BE RETURNED TO THE STATE ARCHIVES IF THE REPOSITORY IS UNABLE TO PROVIDE ACCEPTABLE CONDITIONS. 7. THE STATE ARCHIVIST MAY DISPOSE OF RECORDS THAT ARE DEEMED OF NO FURTHER RESEARCH VALUE CONSISTENT WITH THE PROVISIONS OF SECTION 57.05 OF THE ARTS AND CULTURAL AFFAIRS LAW. 8. RECORDS TRANSFERRED TO THE STATE ARCHIVES SHALL BE ADMINISTERED PURSUANT TO THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC OFFICERS LAW, EXCEPT THAT PRIOR TO THE CONCLUSIONS OF TERM OR TERMS OF OFFICE, A GOVERNOR MAY SPECIFY DURATIONS, NOT TO EXCEED FIFTEEN YEARS FROM THE LAST DAY OF THE GOVERNOR'S TERM IN OFFICE, FOR WHICH ACCESS SHALL BE RESTRICTED WITH RESPECT TO INFORMATION IN GOVERNOR'S RECORDS IN ONE OR MORE OF THE FOLLOWING CATEGORIES: A. RELATING TO APPOINTMENT TO STATE OFFICE; AND B. EXEMPTED FROM DISCLOSURE PURSUANT TO THE PUBLIC OFFICERS LAW. 9. DURING THE PERIOD OF RESTRICTED ACCESS, THE ARCHIVIST SHALL ESTAB- LISH PROCEDURES WHEREBY ANY PERSON DENIED ACCESS MAY REQUEST A WRITTEN DETERMINATION BY THE ARCHIVIST OR DESIGNEE WITHIN THIRTY DAYS OF REQUEST, SETTING FORTH THE BASIS FOR THE DETERMINATION. 10. THE FOLLOWING SHALL BE EXCEPTED FROM RESTRICTIONS ON ACCESS: A. EMPLOYEES OF THE STATE ARCHIVES IN THE PERFORMANCE OF NORMAL WORK TO ADMINISTER THE RECORDS; B. FORMER GOVERNORS OR THEIR DESIGNEES FOR RECORDS RELATING TO THEIR TERMS OF OFFICE; C. SUBJECT TO ANY RIGHTS, DEFENSES, OR PRIVILEGES WHICH AN AGENCY OR INDIVIDUAL MAY INVOKE, GOVERNOR'S RECORDS SHALL BE MADE AVAILABLE: (1) PURSUANT TO SUBPOENA OR OTHER JUDICIAL PROCESS ISSUED BY A COURT OF COMPETENT JURISDICTION FOR THE PURPOSES OF ANY CIVIL OR CRIMINAL INVESTIGATION OR PROCEEDING; (2) TO AN INCUMBENT GOVERNOR IF SUCH RECORDS CONTAIN INFORMATION THAT IS NEEDED FOR THE CONDUCT OF CURRENT BUSINESS OF THE OFFICE AND THAT IS NOT OTHERWISE AVAILABLE; AND (3) TO EITHER HOUSE OF THE STATE LEGISLATURE, TO THE EXTENT OF MATTER WITHIN ITS JURISDICTION, IF SUCH RECORDS CONTAIN INFORMATION THAT IS NEEDED FOR THE CONDUCT OF CURRENT BUSINESS AND IS NOT OTHERWISE AVAIL- ABLE. 11. UPON THE DEATH OR DISABILITY OF A GOVERNOR OR FORMER GOVERNOR, ANY DISCRETION OR AUTHORITY THE GOVERNOR OR FORMER GOVERNOR MAY HAVE HAD UNDER THIS SECTION SHALL BE EXERCISED BY THE ARCHIVIST. 12. LIEUTENANT GOVERNOR'S RECORDS SHALL BE SUBJECT TO THE PROVISIONS OF THIS SECTION IN THE SAME MANNER AS GOVERNOR'S RECORDS. S 2. Subdivision 4 of section 57.05 of the arts and cultural affairs law is amended to read as follows: 4. (A) Except as otherwise provided by law, the state archives shall acquire and assume the official custody and responsibility for preserv- ing and making available for reference and use those official records of the legislature, the judiciary and the civil departments of the state government which are deemed to have sufficient historical value or other value to warrant their continued preservation by the state.S. 6846 4 A. 9928
(B) EXCEPT AS OTHERWISE PROVIDED BY LAW, THE STATE ARCHIVES SHALL ASSIST THE LEGISLATURE AND CIVIL DEPARTMENTS OF THE STATE GOVERNMENT TO ESTABLISH RECORDKEEPING POLICIES AND PROCEDURES TO ENSURE THAT: (1) RECORDS AND RECORDKEEPING SYSTEMS ARE CREATED TO PROVIDE COMPLETE AND COMPREHENSIVE DOCUMENTARY EVIDENCE OF THE SIGNIFICANT ACTIVITIES, DELIBERATIONS, DECISIONS, AND DEVELOPMENT AND IMPLEMENTATION OF POLICIES THAT REFLECT THE PERFORMANCE OF CONSTITUTIONAL, STATUTORY, AND THE OFFI- CIAL AND CEREMONIAL DUTIES OF THE LEGISLATURE AND CIVIL DEPARTMENTS OF THE STATE GOVERNMENT; (2) RECORDS AND RECORDKEEPING SYSTEMS REMAIN USABLE AND ACCESSIBLE AS LONG AS NEEDED FOR BUSINESS OR RESEARCH PURPOSES; (3) RECORDS AND RECORDKEEPING SYSTEMS ARE EVALUATED BY THE STATE ARCHIVES IN ORDER TO ENSURE THAT RECORDS ARE RETAINED FOR THE LENGTH OF TIME NECESSARY TO MEET, LEGAL, FISCAL AND ADMINISTRATIVE NEEDS AND TO CONFORM WITH ANY LEGAL MANDATES; TO ENSURE THAT RECORDKEEPING SYSTEMS MAINTAIN RECORDS IN USABLE AND ACCESSIBLE FORM; AND TO IDENTIFY AND PROTECT RECORDS THAT HAVE ENDURING RESEARCH VALUE AND WARRANT PRESERVA- TION IN THE STATE ARCHIVES. S 3. This act shall take effect immediately.