DASNY Current Records List

Effective January 2009

Division: Executive

Unit: Administrative Analysis

Record Series:

Procedures
Control Self Assessments
Internal Controls
Central Files Task Force
Memorandums of Understanding
Organization Charts
Board Policies and Guidelines
Board Books

Unit: Budget and Payroll

Record Series:

Payroll:
Form 941s – Quarterly Withholding Reports and Payments to IRS.
Payroll Registers and Master Controls
Management Reports
Employee Files
Employee Deduction Files
Retirement System Reports
Quarterly Earnings Records
Time Sheets
Travel Vouchers
Unemployment Records
W-2’s
Worker’s Compensation Records
New York State Biweekly Tax Receipts
New York State DOL Statistics
New York State records for Child Support

Budget:
Budget workpapers
Personnel Transactions
Salary Budget
Annual Board Packages
Monthly Board Reports
Journal Entries
Cash Receipts
Budget Entries
Operating Funds

Unit: Field Audit

Record Series

Final audit reports
Annual summary reports
Annual audit plan
Monthly audit coordination meeting status reports
Audit workpapers

Unit: Internal Affairs

Record Series

Investigation records
Training records

Unit: Internal Audit

Record Series

Audit reports
Audit workpapers

Division: Opportunity Programs

Record Series:

M/W/SBE Registry
Notice to Bidders
Notice of Requests for Qualifications
Bid Activity Data
Award Activity Data
Small Business Set-Aside Campuses
Pre-Award Compliance
Post-Award Compliance
Annual Compliance
M/WBE Technical Assistance Program
Procedures
Monthly Reports
Staff Annual Evaluations

Division: Communications and Marketing

Record Series

Authority Programs
Authority Clients
Authority Projects
Potential Clients, Programs & Clients
Vendors
Bond Issues (Sales)
Construction Issues
FOIL
Financing Issues
Real Property
Associations
Conferences & Meetings
Publications
Technology
Correspondence
State and Local Agencies and Other Authorities
Legislature
Authority Accomplishments
Authority Operations

Unit: Operations

Authority Employees and Board Members
Authority Headquarters
Art and Archaeology
Authority Events
Federal Government
Labor Unions
Economic Development
Citizen Groups
Training
Economic Reports
Healthcare Issues

Unit: Operations - Environmental Affairs

Record Series

Project SEQR files
CCAP SEQR reports
SIP SEQR reports
Gen*NY*sis SEQR reports
Monthly board reports
Monthly management and administration reports
SEQR pipeline report
Monthly OPRHP letters
Cash disbursement records
Performance evaluations
Administrative files

Unit: Operations – Real Property

Record Series

Leases
Acquisitions
Sales
Special projects
Clients
Consultant selections
Real property inventory
Consultants
GIS

Unit: Operations – Personnel

Record Series

Employee medical records
Active and separated personnel records
Monthly reports
Benefit records and forms
I-9 and EEO records
General Operations records
Blood Drives
Correspondence
Newsletter
Human ResourcesForms
Past practices records
Recruitment files
Position files
Employee listings
Timesheets
Collective Bargaining Agreements
Trainingrecords – particular courses
Training – employee records
Training – vendors
Training - administration
Training – reports
Training – methods
Seniority rosters
Interns
Job descriptions
Resumes
Budget
Time keeping systems
Arbitrations
Job classifications
Procedures
Ethics
Greivances
Improper Practices
Performance evaluation
Organization charts
PERB

Unit: Operations – Building Management

Record Series

Card Access System
Building Management System
CCTV
Operation and Maintenance Manuals
Electric, gas, water and sewer records
Emergency Generator exercising log
Fire alarm system tests and reports
Sprinkler System tests and reports
Fire drill reports
Vendors
Administrative files
Vehicles records
Board member and employee travel records
UPS records
Express Mail records
Kronos records
Tenant/ condo billings
Purchase orders
Reports
Bills
Contract records
Job files

Unit: Operations – Risk management

Record Series

Active and closed claims
Active and expired DA insurance policies
Active and expired contractor certificates, policies, approvals, information and evaluations
Accident and incident reports
Project, financing and various agreement insurance requirements, records and approvals
General liability allocations
Property liability allocations
Standard defenses
Insurance subject files
Insurance and loss control reference material
Correspondence files
Construction Site Safety Message Board
Training posters
RFP materials and correspondence
Independent Institution Insurance
OSHA
Broker files
Vendor files
Client files
Workers Compensation files
Property and Fine Arts records
Safety reports and investigations
Boiler and machinery inspections
Building inspections
Century Parking Agreements
Minority contractors
Railroad Protective Liability Policy
Medicare Self-insurance
SUNY Comprehensive General Liability
Wrap-up Insurance
Audits
EDP reports
Risk reports
Insurance write-offs
Crawford contract and payments
J & H Anistics Conversion
J & H correspondence
J & H Actuarial Studies
Marsh & McLennan Correspondence
SH Gow Correspondence
Underwriters Adjusting Company
BR Letters of Intent and Reports

Unit: Budgets

Policies and procedures
Monthly reports
Control Self Assessment
Council of Contracting Agencies
Invoices
Purchase Orders
Cash Disbursements
Claims Meetings schedules and agendas
Press clippings
Don Cleveland Telephone messages

Division: Finance

Unit: Information Systems

Record Series

Telephone Bills, Usage, Equipment Assignments and Directory
Search Engine
News, Events and Messages
Information Systems Policies and Procedures
Internet Usage Monitoring
Hardware Inventory and Assignments
Specialized Software and Licenses
Internal Affairs Confidential Information Submission System
Other Agency Disqualified/Ineligible Firms Lists
Human Resources Requisition System
Human Resources Personnel Transaction System
Human Resources Employee Separation System
Job Postings
Ultimate Payroll and Human Resources System
Kronos System
Training Systems
Vehicle Maintenance and Assignment System
Travel Database
DA Policies and Procedures
DA Templates
DA Contact Database
Client Reporting Systems
Construction Project Status Reports
Integrated Project Reports
JOC Active/Completed Projects
Project Information Database
Professional Services RFP System
Term Consultant System
Term Contract System
Design Review System
Procurement Bid/Award Systems
Purchasing Bid/RFP Systems
Executive Order 127 Forms and Training
Trade Payment Breakdown System
MBE Compliance System
Safety Messages
Vendor Payment Schedule
GOF Payment Schedule
Claims Analyst Assignment System
Consultant, Construction Manager and Contractor Evaluations
Directors and Chiefs Meeting Minutes
CTG FAQ’s, messages and reports
Energy Committee Minutes
Gains System
Real Property System
CUNY addresses and Site Plans
Art System
Direct Billing System
Bond Management System
Mun-Ease System
CARRS System
Healthcare Institution Database
Educational Institution Database
Site Visit Report System
Public Finance Bond Financing Database
Bond Sale Summaries
TELP Status
Financing Schedule
Insurance Inventory

Unit Purchase Orders

Help Desk
Pager bills
Voice mail
Board Meeting Webcasts

Unit: Finance Operations

Record Series

Address Book
A/R (Accounts Receivable)
Balanced Scorecard
Billings and Rentals
Board Reports
Bond Issues
Budget
CARRS/Kronos
Correspondence
Cost Allocations (aka Comptroller’s Formula)
Critical Issues
Depreciation
Documentation Files
FID Fund Analysis
Financial Statements
G/L (General Ledger)
Insurance
Intact 50 Purges
Internal Controls
JDE System Files
Journal Entries
Meeting Notes
Mental Health Chargeback
Project Status Reports
Programs and Projects
Personnel files
Presentations
Storage Records
Templates
Year End Audit

Unit: Financial Management

Record Series

Bond Transcripts
Debt Issues
Defeasances
Bank Accounts
Debt Service
Arbitrage
Annual Audit
Debt Audits
Financial Statements
New Issues
Trustee RFP and Proposals
Issues Sold Report
Investment Reports
Amortization Schedules
OSC Debt Report
Outstanding Debt Report
Credit Enhancements and Credit Facilities
Collateral Footnotes
Executive Budget Submissions
Administrative Fees Receivable

Unit: Procedures

Mental Health Property Sales
Private Institution B&E Programs
CUNY Research Foundation Analyses
Monthly Activity Reports
Financing and Defeasance Schedules and Assignments
Bond Issuance Charges
Cost Recovery Fees
Trustee and Custody Fees
Procurement Report
Systems Documentation
SHELF
Internal Controls
General Correspondence
Personnel

Unit: Construction Fund Accounting

Record Series

Projects
Client Reports – Job Cost Data
Lapsed Funds
Yearend Audit
Client reimbursements to State of New York
Client Billings

Unit: Investments

Records Series

Investment Agreements
Asset Statements
Reserve & Collateralized Fund Evaluations
Collateral and Escrow Cash Reports
Daily Bank Cash Balance Reports
Restricted Reinvestment Instructions
Broker Trade Confirmations
Wire Confirmation Letters
Audit Work Papers
Maturity and Interest projection reports
Investment inventory reports
Investment bid sheets
Maturity schedules
Purchase & Sale Records
Annual Investment Reports
Bank Agreements
Sungard Manual
JDE Manual

Unit procedures

Daily Pricing from Munex
Optimizations Schedules for New Issues
Quarterly Bank Summary Reports
Quarterly Yield Summary Reports
Quarterly Investment Reports
Broker Activity Analysis
Linked Deposit Loan Program
User maintained pricing file updates
Mergent Bond Record
Commercial Paper Reissuance & Maturity reports

Unit: Accounts Payable

Paid Invoices
Check Registers and Posting Reports
Trustee Certifications
Payment Schedule/Worksheets
Completed FHA Projects
Integrity Reports
Payments in process and on hold
Liens
Contracts and grants
Policies, Procedures and Training
Prompt Payment
Bond Sales
P.O. Receiving Log
Payment Log
Compliance Logs
Credit Change Order Log
Special Interest Reconciliation
COI Reconciliations
Credit Card Reconciliations
Petty Cash Account Reconciliations
AP Worksheet/Investment Schedules
Payment Schedules
Reduction of Retainage/Final Payment Logs, Letters and Forms
Exception Reports/Memos
Credit Requests
Contract Status Requests
Balanced Scorecard
Procurement Reports
FMS/Expedition
Real Property 1099’s
Employee Evaluations/Probationary Reviews
Position Descriptions
Staff Assignments’
Phone Usage Reports
Vacation Schedules
Mail/Filing Schedules

Division: Public Finance

Record Series

Preliminary and Final Official Statements
Institutional and Public Client Financing Files
Continuing Disclosure Files
Tax-Exempt Leasing Files
Grant Files
Inquiry Files
Underwriter Proposals
Requests for Proposals
Swap Files
Administrative Files
Staff Reports to Board
PACB Applications and Resolutions
Financial Publications
Annual Bond Sale Summary Reports
Board Books

Division: Construction

Unit: Facilities Management

Record Series
Contract Files
Project Files
Architectural Drawings
Comprehensive Drawings
Subject Files

Unit: Procurement

Record Series

Contracts
Purchase Orders
Board Reports
Management Reports
MWBE Participation reports
Annual Procurement Reports
Council of Contracting Agencies Reports
Uniform Contracting Questionnaires
Executive Order 127 files
Claim files
Correspondence
Contract and Purchase Order Boilerplate
Procurement Templates
Procedures
Construction Contract Bid Tabulations Tracking and Reports
Professional Services RFP Tracking and Reporting
Purchasing Bid Tabulations and RFP Tracking and Reporting

Unit: Project Management

Project Records:

Predesign
Design
Construction
Client Records
Administrative Records
Workload
Meeting Minutes
Conferences
Training
Procedures
Manuals
Budgets
Employee

Unit: Construction Technology

Record Series

Construction Contracts
Construction Projects
Construction Project Reports
Administration Files
Procedures
Training
Computer Applications

Unit: Quality Assurance

Record Series

Construction Project Files
Design Reviews
Building Permits
Trip Reports
Asbestos Containing Materials
Daily Logbooks for Trips

Division: Legal

Record Series:

A. Financing Records

Bond Sales
Telp Transactions
Health Care Facilities Restructuring Pool Loans
Health Care Portfolio Management Loans
Grants
Asset Management Matters
Financing Clients
Financing Programs
Litigation
Financing Subject/Issue Matters (e.g. Continuing Disclosure, SWAPS, Tax Matters, SEQR, Escrow Restructuring)
Financing Correspondence

B. Project Records

Public Improvement and Other Liens and Assignments
Construction Contract Administration Matters
Contractor/Consultant Matters
Procurement Matters
Standard Forms
Litigation
Construction Projects
Construction Clients
Construction Programs
Construction Subject/Issue Matters (e.g. Prevailing Wage, Insurance, Integrity, SEQR)
Construction Correspondence

C. Administrative Records

Board Members
Board Minutes
Board Policies
Delegations of Authority
Collective Bargaining Agreements
Employee Benefits
Employee Matters (grievances, discipline, classification, etc.)
Audits
Legislation
Lobbying
Ethics
Information Systems
Procurement
Outside Counsel
Subject/Issue Matters (Corporate Governance, Employee Evaluation Systems, Records, Executive Orders, Control Self Assessment, etc.)
Litigation
Foil Matters

D. Real Estate

Client Real Estate
Authority Real Estate

E. Administrative Records -- Counsel

Budget
Library/Publications/West Law
Employee evaluations
Organization Charts
Interns
Temporary Employees
Continuing Education

Division: Policy and Program Development

Record Series

Annual Audited Financial Statements
Client Loans
Travel/Personnel
Healthcare Restructuring Pool Loans
Subject Files
Board Materials
Correspondence

For more information on FOIL, go the New York State Department of State’s website, Committee on Open Government. http://www.dos.state.ny.us/coog/

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