The Office of the New York State Comptroller

Transcription

1 Office of The New York State Comptroller Thomas P. DiNapoli List of Records Maintained by The Office of the New York State Comptroller Pursuant to the Freedom of Information Law (Public Officers Law, 87 (3)(c)) April, 2013 Records Access Officer 15th Floor 110 State Street Albany, NY 12236

2 OFFICE OF COMMUNICATIONS Press Releases Freedom of Information Law requests Newspaper Clips Reporting directly to Comptroller: DIVISION OF LEGAL SERVICES Division of Investigations Office of Internal Audit Public Finance & Securities Litigation Unit: New York State General Obligation Bond and Note Transcript New York State Local Government Assistance Corporation (LGAC) Bond Transcripts Comptroller's approvals of municipal refunds and related documents Comptroller's letter commenting on applications to the Public Authorities Control Board (PACB) Mitchell Lama Housing Project Mortgage Buyout or Modification Request and Dispositions Public Housing Project Privatization Requests and Dispositions Securities Litigation Files Corporate Governance Legal Files Local Government Law Unit: Published and Unpublished Advisory Opinions of OSC Special District Applications and Related Materials Fire District Applications Adirondack Park Approvals Debt Exclusions Approvals of Negotiated Sales of Discount Bonds Approvals of Small City School Districts Exceeding Debt Limits 1

3 Sales Tax Agreement Approval Codes of Ethics (up to 1991) Litigation Files Legislative Unit: Files on bills introduced in the Legislature State Audit Unit: Advisory Opinions for Management Audit and Supporting Documentation Litigation files for Management Audit Records Appeals Officer's FOIL files Employee disciplinary matters Americans with Disabilities matters Sexual Harassment Prevention Training Executive Order on Sexual Harassment Other Employee matters State Finance Unit: State Finance Opinions Abandoned Property Claims Litigation Legislation Regulations Approved contract documents subject to the Comptroller's pre-audit requirements. G Bulletins-specific to the bureau's activities. Retirement Unit: Hearing Officer Decisions Formal Opinions Real Estate Investment Unit: Contracts drafted by the Unit; partnership agreements and other investment agreements Property Level Reports Business Plans and Transaction Write-ups Legal Memoranda and Opinions Office of Internal Control 2

4 Triennial Internal Control Audit of the Office of the State Comptroller Annual Internal Control Certifications and exception reports Internal Control Legislation Internal Control Training and Education materials Executive order and policy files, Agency Policies OSC Organization Chart Division and Office Descriptions for the General Administrative Manual CHIEF INFORMATION OFFICE Information Security Information Technology STRATEGIC PLANNING OFFICE Strategic Planning General Files Strategic Planning Training Miscellaneous Executive Deputy Staff files (job description, personnel files, staff training, and purchasing information) Enterprise Management: Miscellaneous administrative files; performance measures, internal communications and privacy committees. Project Management Office: Miscellaneous OSC Project files; including training, consulting and project management, etc. Project Summary and Detail Status Reports Project Post Implementation Evaluation Review Reports (PIER) Portfolio Management Committee Files Intranet Files Miscellaneous other office administrative files (staff training and personnel files, office plans, monthly reports, American Express purchasing information, budget files, etc.) MACROS Strategic Services Contact data for government officials, businesses and other external parties with whom OSC does business Emergency contact data for OSC employees Information Security Office Enterprise Security Architecture (ESA) -- OSC's Strategic information security document ESA Information Protection Manual -- A comprehensive set of enterprise standards for information protection Vendor Contracts and project documents Training Manuals and Presentations 3

5 Intranet Page materials Risk and vulnerability documents -- Redacted assessment documents, remediation workplans and results Software Security reviews -- Security analysis of software that business and IT units propose to purchase Enterprise Systems Security Requirements -- Comprehensive system design and best practice standards and guidelines Planning and budget documents -- Annual documents HUMAN RESOURCES AND ADMINISTRATION Administration Training Records Purchasing Records; Travel Records Outside Counsel Contract Files: Contracts, Invoices and Vouchers Computer Records: Westlaw passwords, Desktop Standardization Records Emergency Preparedness Records Advertisements for Positions Finance Office: Agency Merchandise Vouchers Agency Travel Vouchers Agency Contracts and Contract Vouchers Agency Journal Vouchers Program Expenditure Report Program Encumbrance Reports Agency Budget Certificates Agency Payrolls (most current) Computer Network Bills to Other State Agencies Agency Budget Request State Records Retention Transfer List Minority/Women-Owned Business Report Agency Purchase Request and Purchase Orders FORMS AC-92 Standard Voucher AC-250 Purchase Order Change AC-946 Tax Exemption Certificate AC-2231 Application for Damage Compensation AC-2532 Purchase Order AC-2643 "Stop the Clock" Letter 4

6 AC-3081 Minority and Women-Owned Business Goal Requirements Bureau of Information Technology Services Bureau Policies and Procedures Bureau Forms and Templates List of Applications BITS Strategic Plan Training Records Manuals and Presentations Purchasing Records Emergency Preparedness Records Intranet Page Materials Monthly Reports Notes from Customer Meetings List of Contacts Communications Bureau of Management Services Parking Lists NY State ID card database NY State ID card applications Certified mailing records Space and Telephone Project Files Building Lease Files 110 State St. Condominium Board records Building repair and service requests Office of Human Resources: OSC Personnel Administration Manual NYS Attendance and Leave Manual Handbook for M/C Employees Guidelines for Reductions in Workforce NYS Personnel Management Manual OSC Administrative Handbook Americans with Disabilities Act Manual ERS Employer's Guide NYS Civil Service Law NYS Civil Service Codes, Rules and Regulations NYS Classification Standards NYS Guidelines for Decentralized Examinations 5

7 OSC Payroll Manual OSC Salary Manual Grievance Procedures Handbook NYS Performance Evaluation Administrator's Manual General Records: Personal History Folders Time Sheets for all employees Benefits information and employee records Employee history M/C Life Insurance information and employee records Income Protection Plan information and employee records Payroll registers/microfiche back to 1981 Classification files (current & historical) Examination files (current & historical) Recruitment files (current & historical) Workers' Compensation files Training Records by Individual Service Awards List Per Year Arbitration Files (current & historical) Labor Management Meeting Minutes Grievance Files (current & historical) Discipline Files (current & historical) Employee Organization Leave Files Improper Practice Charge Files (current & historical) Job-Abandonment Files Management Confidential Designation Files Out-of-Title Work Files Performance Evaluation Appeals Files Forms Master Catalog - NOT SURE IF THIS IS NEEDED. Publications Employee Training and Staff Development Information Affirmative Action Office Confidential Agency Roster Directory of Frequently Purchased Commodities and Services by New York Agencies Minority and Women Owned Business Enterprise (M/WBE) Goal Appendix B (previously Requirement- Form AC 3081) Employment Utilization Form (AC 2993) 6

8 Vendors/Contractors Utilization Form (AC 2992) Affirmative Action Plan DIVISION OF RETIREMENT SERVICES Retirement Comprehensive Annual Financial Report Individual Members' File Retirement System Legal Records (see Legal Svcs. Div) Forms Master Catalog Accounting Records Employer Records *Retirement Booklet/Publication-Stock Master Catalog (v) *Actuarial Bureau Records and Publications OPERATIONS Office of Operations Guide to Financial Operations State Payroll Services Current Employee Records Employee History Records Payroll Reports Master File Deductions Reports Agency Payroll Reports (Control D Reports) Instruction Materials Payroll Bulletins Office of Unclaimed Funds Handbook for Reporters of Unclaimed Funds Pamphlet It s Your Money Don t Abandon It (In English, Spanish and Chinese [Mandarin]) Pamphlet Becoming a Finder List of Unclaimed Funds Account Owners $25) 7

9 Bureau of Contracts Annual Emergency Construction Contracts Report Annual Consultant Contracts Approved by Fiscal Year Report Annual Prompt Contracting Report Annual Procurement Stewardship Act Reports Approved/Rejected Contracts OSC Contract Management System Historical Information (Additional Procurement Record Information) G-Bulletins (Contracts) Bureau of Accounting Operations Accounting (A) Bulletins (on OSC Website) Cash Basis Financial Reports and Certifications Comptroller's Monthly Report to the Legislature on State Funds Cash Basis of Accounting Comptroller's Annual Report to the Legislature on State Funds Cash Basis of Accounting Certification to Budget Director of Capital Projects spending which is reimbursable from State or Public Authority bonds Annual Summary Report (Citizen's Report) Quarterly-Governmental Funds Fund Classification Manual Bureau of State Expenditures Article 86 CPLF Annual Report Travel Manual State Audit Bureau: Audits of State Agencies & Authorities Work Papers for Audits Annual 1 yr. and 5 yr. List of Audits Bureau of Financial Reporting Comprehensive Annual Financial Report Financial Condition Report Quarterly GAAP Financial Statements Citizens Guide Citizen-Centric Report OSC Financial Reporting Procedures Various Public Authority Reports 8

10 Debt Confirmations GAAP Financial Statements Work Papers Single Audit Work Papers GASB Statements and Codifications Oil Spill Fund Spill Project Files Damage Claim Files Oil Spill Fund Accounting Information Administrative Records Cost Recovery Records Oil Spill Financial Reports BUDGET AND POLICY ANALYSIS Annual Review of Executive Budget Annual Review of Enacted Budget Annual Review of Economic and Revenue Forecasts Education Reports * All of our reports are also available on the OSC Internet website under Reports. DIVISION OF LOCAL GOVERNMENTAND SCHOOL ACCOUNTABILITY Audits and other service reports for local governmental entities and related work papers Correspondence related to local governmental entities $MART Review reports, related work papers and correspondence for local governmental entities Annual financial reports and other financial documents and other information for local governmental entities Local official mailing addresses and telephone numbers (Computer printout) Publication listing and order form Justice Court Fund Town and Village Justice Monthly Report City Parking Surcharge Monthly Reports Nassau County Traffic and Parking Violations Agency Monthly Reports 9

11 DMV Administrative Adjudication Monthly Reports Bingo and Games of chance License Fee Monthly Reports Handbook for Town and Village Justices and Court Clerks Quarterly Statements for Town and Villages Courts (Paper Filers) Monthly Statements for Town and Village Courts (Electronic Filers) Quarterly Combined Statement for Counties Monthly DMV Administrative Adjudication Statements Monthly City Parking Surcharge Statements Monthly Nassau County Traffic and Parking Violations Agency Statement Various computerized reports for accounting and cross-reference of distributions OFFICE OF THE STATE DEPUTY COMPTROLLER FOR NYC OSDC Generated Reports- Economic and Budget Reports, and Associated Work papers (maintained for 4 years) NYC Financial Plan Modifications and Documentation Covered Organizations Reports and Financial Plans City Comptroller Reports Draft NYS and NYC Official Statements reviewed by OSDC Proposed State Legislation reviewed by OSDC Reports prepared by NYC s Financial Information Service Agency (FISA)/IFMS NYS Financial Reports (NYS Tax & Finance, State Budget, etc.) General Monitoring Reports Citywide Monitoring Reports and Information Agency Monitoring Reports OMB and Other Mayoral Agency Reports. DIVISION OF PENSIONS,INVESTMENTS, AND CASH MANAGEMENT AC Variable Rate Paper Rollover Sheet AC Warrant AC 869 Court and Trust Balance AC 333 Purchase Record AC 334 Sales Record AC Swap Sheet AC 909 Report of Money Received INTERGOVERNMENTAL RELATIONS Weekly reports Itineraries Constituent correspondence 10