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NYGD 5015

RECORDKEEPING SYSTEM - NYGD 5015 PREFACE BY ORDER OF THE COMMANDER OFFICIAL:

JOHN F. BAHRENBURG E XC E

L S IO

Major General, New York Guard Commander

R

1. Purpose. The purpose of recordkeeping is to properly manage information, from its creation through final disposition, according to State laws and NYG recordkeeping requirements. This directive -a. Establishes the Recordkeeping System for the New York Guard utilizing the Directives System. b. Furnishes the only legal authority for destroying nonpermanent NYG information. c. Provides life cycle management instructions for the systematic identification, maintenance, storage, retirement, and destruction of NYG information recorded on any medium. d. Ensures that the commander and staff have the information needed to accomplish the mission. e. Preserves those records needed to protect the rights and interests of the NYG and its members and former members, and those that are of permanent value. f. Provides for the systematic removal of less active records from office space to archival space. 2. Application. The policies and procedures established in the publication applies to the Headquarters, NYG, and all units where similar systems have not been developed by the Major Commands. 3. Scope. This publication describes the recordkeeping system of the New York Guard. 4. Basis. ? State law on records is?.

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NYGD 5015

DRAFT RECORDKEEPING SYSTEM - NYGD 5015 TABLE OF CONTENTS

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PAGE

I OVERVIEW….…………………………………………………………..………. 1. Policy………………………...…………………..…………………..……… 2. Application………………...……………………………………..…..……… 3. Principles of Recordkeeping.…………………..………………..……………

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II RESPONSIBILITIES………………………………………………...…..……… 1. Deputy Chief of Staff for Electronics and Communications..…..………....… 2. Headquarters Staff……………..……………………………..…..…..……… 3. Commanders of New York Guard Components…………….……………..…

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III FILING PROCEDURES 1. Maintaining Information……………………………..……………….……… III-1 2. Inspecting Records……..……..……………………………………………… III-1 3. Marking the files……………………………………………………………… III-1 4. Cross-references..…………………………………………………..………… III-2 5. Recordkeeping Supplies……………………………….………………..…… III-2 6. Use of Guides and Folders…………………………………………………… III-2 7. Arrangement of Files……...……………………….………….……………… III-2 8. Maintenance of Records in Libraries………………………….……………… III-2 9. Suspense Files……...………………………………………………………… III-4 IV LABELING PROCEDURES 1. File Numbers……………………………..…………………………..……… IV-1 2. Labeling……..……………………………………………………...………… IV-1 3. Lists of File Numbers……………………………………..……..…………… IV-1 V APPLYING DISPOSITION INSTRUCTIONS 1. Disposition Standards……………………………..…….…………………… V-1 2. Files Cut Off……..……..………………………...……………………..…… V-1 3. Disposition Instructions…………………………………..……..…………… V-1 APPENDIX A, File Numbers……………………………………………………….. A-1

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NYGD 5015

CHAPTER I OVERVIEW

1. Policy. The NYG will maintain a recordkeeping system to ensure records are filed to allow rapid recovery for the accomplishment of missions, response to Freedom of Information Law requests, and to ensure the permanent retention of historical records. 2. Application. a. Recordkeeping applies to -. (1) All unclassified NYG records, including For Official Use Only (FOUO), regardless of media. b. Recordkeeping does not apply to (1) Publications and blank forms stocked for filling requisitions. (2) Reference materials and books in formally organized and designated libraries. (3) Reproduction materials. 3. Principles of Recordkeeping. a. Within the Recordkeeping System, records are identified and filed under the number of the primary directive that prescribes those records be created, maintained, and used. b. The file number is the key to the recordkeeping. It identifies the records for file and retrieval. Recordkeeping numbers are made up of the prescribing directive number followed by an alpha suffix if needed for subfiles. c. Privacy Act applicability is noted where appropriate. d. Housekeeping files are located under 5005, Office Management. These are records that develop because and office exists, not why and office exists.

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NYGD 5015

DRAFT CHAPTER II RESPONSIBILITIES

1. The Deputy Chief of Staff for Communications and Electronics, is the functional proponent for the development of recordkeeping practices within the NYG: 2. Headquarters Staff. Headquarters staff are the proponents for all recordkeeping requirements necessary to conduct business in their functional areas. They will a. Ensure that their recordkeeping requirements are accurate, essential, and current and are contained in the Directives that govern how the NYG conducts business in their functional areas. b. Ensure that their recordkeeping requirements are provided to the functional proponent in a timely manner. 3. Commanders of New York Guard MACOMs, and Units, Commanders of the Army Division, Air Division and Civil Military Affairs Brigade and their subordinate units will; a. Supervise and manage recordkeeping systems within their commands. b. This directive will be followed except when a MACOM has published a regulation or instruction implementing a similarly specific system based upon their system of regulations or instructions.

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NYGD 5015 CHAPTER III FILING PROCEDURES

1. Maintaining Information. Effective files maintenance and reference procedures are essential to document the NYG’s official business. This chapter contains procedures for maintaining NYG information. 2. Inspecting Records. Prior to filing, inspect the document to ensure all actions have been completed, and eliminate unnecessary attached material, (such as used envelopes, routing slips which bear no essential information, and extra copies). Identify incomplete actions to ensure they are followed up and that the file will not be prematurely cut off. If action is complete, but essential documentation is missing, try to obtain the missing documents. If unsuccessful, note the action taken to obtain the missing document and file it with the completed action. 3. Marking the Files. As specified in NYGD 5005, the correspondent adds the file number when writing a document, or places the file number along the right hand edge of documents from other sources or those not so identified. When the physical characteristics of the document make it self evident for filing purposes, posting the file number to the document is unnecessary. Examples of documents not requiring the posting of a file number are referenced copies of publications, and forms containing the directive number. 4. Cross-references. a. An 8 ½ inch by 11 inch paper should be placed in one file to show the location of material field elsewhere. b. Prepare cross-references only when essential to retrieving information. They may be used when; (1) A document is related to more than one action. (2) A restricted access document needs to be placed in more secure storage. c. File bulky material, unsuitable for regular files, in storage equipment suitable to its size. The bulky material should be kept in file number order within the storage facility. Keep a crossreference to the bulky materials in the regular office files. 5. Recordkeeping Supplies. This file system supports the use of all standard file supplies as available from supply room. 6. Use of Guides and Folders. a. Use guides to divide files and to identify subdivisions to ease filing and retrieval. III-1

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b. Use folders to consolidate, retrieve, and protect the records. 7. Arrangement of Files. The filing arrangements described below are authorized for subdividing records under a file number. Many of these are mentioned specifically under file numbers. a. Date arrangement. Arrange records chronologically in the folder. b. Simple number arrangement. Arrange records in simple numerical sequence, such as unit designation or project number. c. Alphabetical arrangement. Arrange records by subject and name. (1) Subject. Use subject titles arranged alphabetically, such as name of event. (2) Name. Arrange by names of persons, places, or organizations. This is mainly used in personnel records. The following are examples or arrangements by name: (a) Personal Names. Filed by last name, first name and middle initial. (b) Organizational Names. Filed by name of organization or commercial vendor. 8. Maintenance of Records in Libraries. Record copies of publications (original signed documents) or other documents are permanent records and will not be maintained as a part of a library. When published copies are maintained they will be distinctly marked “LIBRARY COPY.” 9. Suspense Files. Suspense files are used as reminders that an action is required by a given date. File numbers need not be used on file folders or containers in which suspense documents are kept. Some samples of suspense files are as follows: a. A note to submit a report or take some other action. The note would be destroyed after the report is submitted or the action is taken. b. An outgoing communication filed by the date on which a reply is expected. When the reply is received, the communication is withdrawn and filed (if it is the record copy) or destroyed (if it is an extra copy).

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NYGD 5015 CHAPTER IV LABELING PROCEDURES

1. File Numbers. a. : b. : c. : 2. Labeling. a. : b. : c. : 3. Lists of File Numbers. a. : b. : c. : 3. Marking the Files. a. : b. : c. :

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NYGD 5015

DRAFT CHAPTER IV APPLYING DISPOSITION INSTRUCTIONS

1. Disposition Standards. a. For most records, the NYG disposition gives only the generic retention period (that is, destroy after 2 years, destroy after 5 years, permanent, and so forth). In dispositions like these, use table 3-1 to determine and apply the exact cut off (COFF), transfer, and disposition dates. b. For some records, the NYG disposition also gives specific instructions for cut off, transfer, or establishment of inactive files, for example, “Permanent, Place in Inactive Folder (PIF) on completion of next inspection and cut off at the end of that year.” In this example, the file remains among the currently used office files for however long it takes for the next inspection to occur. When the next inspection does occur, the file gains definite disposition instructions. At the end of the year in which the inspection occurred, the file is separated from the active files or “cut off” and placed in a folder with the appropriate “permanent” disposition instructions on the label. This record will be transferred to the NYG archives after the proper period of time. 2. Files Cut Off. Files with permanent retention or retention of a specific number of years are cut off at the end of the year in which action on the record has been completed. The retention period does not begin until the records have been cut off. Files with a continuing type of disposition, such as “Destroy when no longer needed for current operations,” are not cut off. Review them annually, and remove and destroy individual records within the files when no longer needed. 3. Disposition Instructions. There are three types of disposition instructions in NYG based on “time,” “event,” and “time-event.” a. With a “time” disposition, a record is cut off at the end of the month for a 30-day disposition, at the end of a quarter for a three month disposition, semiannually for a 6-month disposition, or at the end of the year for a 1-year or more disposition, held for the specified period, and then destroyed. All such records which accumulate during the course of the year in which the files are developed are cut off at the end of the month, quarter, or year, and then the specified retention period begins. Examples of “time” dispositions and label entries are: (1) Destroy after 30 days. Cut off at the end of the month, hold 1 month in the current files area, and then destroy. Label entry examples are as follows: (a) COFF 31 Jan 01, Dest Mar 01. (b) COFF 28 Feb 01, Dest Apr 01. (c) COFF 31 Mar 01, Dest May 01. IV-1

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NYGD 5015

(d) COFF 30 Apr 01, Dest Jun 01. (e) COFF 31 May 01, Dest Jul 01. (f) COFF 30 Jun 01, Dest Aug 01. (g) COFF 31 Jul 01, Dest Sep 01. (h) COFF 31 Aug 01, Dest Oct 01. (i) COFF 30 Sep 01, Dest Nov 01. (j) COFF 31 Oct 01, Dest Dec 01. (k) COFF 30 Nov 01, Dest Jan 02. (l) COFF 30 Dec 01, Dest Feb 02. (2) Destroy after 3 months. Cut off at the end of the quarter, hold three months in the current files area, and then destroy. Label entry examples are as follows: (a) (b) (c) (d)

COFF 31 Mar 01, Dest Jul 01. COFF 30 Jun 01, Dest Oct 01. COFF 30 Sep 01, Dest Jan 02. COFF 31 Dec 01, Dest Apr 02.

(3) Destroy after 1 year. Cut off at the end of the calendar year (CY) of fiscal year (FY), hold one year in the current files area, and then destroy. Label entry would be “COFF 31 Dec 01, Dest Jan 03” for a calenday year or “COFF 31 Mar 01, Dest Apr 03” for a fiscal year. b. With an “event” c. With a combination “time-Event” disposition, a record is disposed of a certain period of time after an event takes place. (1) This disposition requires the creation of two folders. ACTIVE and INACTIVE. The ACTIVE folder label does not show a year of accumulation, because it contains all the records of a case or event that has not yet been completed. It is in the “Event” phase of the disposition, and it could be years before it is completed. Once the case or event is completed, the information is moved to the INACTIVE folder. This folder label does show the year of accumulation (completion), because the folder is now in the “time” phase of the disposition. The INACTIVE folder need not be created until the “event” phase of the disposition has occurred and the “time” phase is starting. (2)

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Table 5-1 Disposition Standards Rule A

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If the file is accumulated by Any element of the NYG to which NYGD 5015 applies.

B and the abbreviated disposition instructions are Destroy after 1 month

2

Destroy after 3 months

3

Destroy after 6 months

4

Destroy after 1 year

5

Destroy after 2 years

6

Destroy upon occurrence of a specific action or event

7

Destroy a certain time period after occurrence of a specific action or event

8

Destroy after 3 or 4 years

9

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HQ NYG J-Staff

Destroy after 5 or more years (but not PERMANENT records)

C Then the full disposition would be Cut off at the end of the month; hold 1 month in the current files area (CFA); then destroy. Cut off at the end of each quarter; hold 3 months in the CFA; then destroy Cut off twice a year, according to the CY or FY; hold 6 months in the CFA; then destroy Cut off at the end of the CY or FY; hold for 1 year in the CFA; then destroy Cut off at the end of the CY or FY; hold for 2 years in the CFA; then destroy Destroy when superseded or obsolete. Destroy when no longer needed for current operations Destroy 2 years after transfer or separation of individual. Place in INACTIVE file on transfer or separation of individual; cut off INACTIVE file at the end of year and hold for 2 years in CFA; then destroy. Cut off at the end of the CY or FY; hold for 3 or 4 years in the CFA; then destroy Cut off at the end of the CY or FY; hold for 2 years in the CFA; retire to the Archives where the file will be held until the total retention period has expired; then destroy

PERMANENT

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D and the disposition instructions on the file label would be (examples are calendar (CY) or fiscal year (FY, as applicable) COFF 31 Jan 01, Dest Mar 01 COFF 28 Feb 01, Dest Apr 01 COFF 31 Mar 01, Dest May 01 COFF 31 Apr 01, Dest Jun 01 COFF 31 Mar 01, Dest Jul 01 COFF 30 Jun 01, Dest Oct 01 COFF 30 Sep 01, Dest Jan 02 CY: COFF 30 Jun 01, Dest Jan 02 or COFF 31 Dec 01, Dest Jul 02 FY: COFF 30 Sep 01, Dest Oct 02 or COFF 31 Mar 02, Dest Oct 03 CY: COFF 31 Dec 01, Dest Jan 03 FY: COFF 31 Mar 01, Dest Apr 02 CY: COFF 31 Dec 01, Dest Jan 04 FY: COFF 31 Mar 01, Dest Apr 03 Destroy when superseded or obsolete. Destroy when no longer needed for current operations Example for a 2-year time-event file: ACTIVE: PIF after transfer or separation of individual INACTIVE: COFF 31 Dec 01, Dest Jan 04 Examples for a 3-year file: CY: COFF 31 Dec 01, Dest Jan 05 FY: COFF 31 Mar 01, Dest Apr 04 Example for a 5-year file: CY: COFF 31 Dec 01, Ret Arcives Jan 04, Dest Jan 07. FY: COFF 31 Mar 01, Ret Archives Apr 03, Dest Apr 06

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Appendix A Records Disposition Standards A-1. File Category 1000-1999 MANPOWER & PERSONNEL Table A-1a File Category 1000 Manpower & Personnel - GENERAL a. Prescribing Directives (1) NYGD 1000 ID Cards (TBP) b. Description. These records contain correspondence on general manpower areas not specifically covered in other areas. FN: 1000 TITLE: ID CARDS Privacy Act: not applicable Description: Documents reflecting applications for identification cards. Documents used for maintaining accountability for identification cards. Included are registers and similar documents. Documents pertaining to issue of ID Card stocks. Information relating to abuse of identification cards. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: destroy applications after 1 year, registers after 5 years, abuse after separation of individual. Sub-files: Develop sub-files by MACOM if necessary. Army Regulation: 640-3; Air Instruction: . FN: 1005 TITLE: CEREMONIES Privacy Act: Not applicable. Description: Information on conduct of ceremonies by the NYG or NYG participation in ceremonies conducted by other organizations. Included are ceremonies such as retirements, funerals, reviews, honor guards, parades, displays, exhibits, fairs, observance of local and national holidays, and comparable activities. The files consist of copies of ceremonial and parade orders, instructions, request for participation, coordination’s, etc. Disposition: (1) Historically important and recurring ceremonies: Permanent. (2) Other: Destroy after 5 years. Sub-files: by event if necessary Army Regulation: 600-25; Air Instruction: . Table A-1b File Category 1100 Manpower & Personnel - MANPOWER a. Prescribing Directives (1) NYGD 1140 TDA/UMD (TBP) b. Description. These records contain policies and procedures for issue of command orders and preparation and publication of authorization documents (criteria for manpower and equipment requirements).

NYGD 5015

FN: 1140 TITLE: TDA/UMD Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Documents relating to initiation, development, preparation, review, approval, and managing Tables of Distribution and Allowances (TDA)s, Unit Manning Documents (UMD)s. Includes coordination review and approval actions, and related documents. Disposition: Destroy 3 years after supercession or obsolescence. Sub-files: Separate files for “type” unit development. Army Regulation: 310-49; Air Instruction: 38-__, 26-2 Table A-1c File Category 1300 Manpower & Personnel - MILITARY PERSONNEL a. Prescribing Directives (1) NYGD 1300 Transfer Between Divisions (2) NYGD 1305 Appointments and Enlistments (3) NYGD 1305 NYG Promotions (4) NYGD 1308 Weight Standards (5) NYGD 1310 Skill Qualifications (TBP) (6) NYGD 1315 Regimental Affiliations (TBP) (7) NYGD 1319 Official Photographs (8) NYGD 1321 Evaluation Reports (9) NYGD 1322 Training (10) NYGD 1323 Publication of Orders (TBP) (11) NYGD 1325 Security Clearances and Investigations (TBP) (12) NYGD 1331 Line of Duty Investigations (13) NYGD 1332 Retirement (14) NYGD 1334 Wear of Uniforms (TBP) (15) NYGD 1338.1 Food Service (16) NYGD 1338.2 Enlisted Uniform Issue and Replacement (17) NYGD 1348 NYG Awards and Decorations (18) NYGD 1349 Heraldry (TBP) (19) NYGD 1352 Retired Recall (20) NYGD 1379 Attendance b. Description. These records concern appointments; enlistment's; assignments; transfers; retirement; recall; design. eligibility, presentation and wear of awards and decorations; attendance; provision of uniforms and subsistence to military members of the NYG. FN: 1300 TITLE: TRANSFER BETWEEN DIVISION Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information related to interservice transfer of officers and enlisted personnel. Included are requisitions, nominations, applications, and preference statements of individuals; assignment orders; delays or

NYGD 5015 restrictions; terminations or extensions; and related information. Coordination and approvals between service commanders. Disposition: Destroy one year after transfer of individual. Sub-files: none Army Regulation: 615-120; Air Instruction: . FN: 1304 TITLE: APPOINTMENTS AND ENLISTMENTS Privacy Act: applicable Description: Documents and correspondence related to the qualifications of individuals for enlistment or appointment. Papers related to advertisement for enlistment. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Destroy 2 years after appointment or enlistment. Sub-files: By name if necessary. Army Regulation: 601-210 (enlisted) 601-100 (Officer) ; Air Instruction: . FN: 1305 TITLE: NYG PROMOTIONS Privacy Act: not applicable Description: Documents relating to consideration and selection of Officers, Warrant Officers, and Enlisted personnel for promotion, reduction, removal from promotion lists, and elimination. Included are selection lists, board proceedings, and appointment of board members, voting results, and similar related documents. Promotion eligibility rosters. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Destroy after two years Sub-files: none Army Regulation: 624-100; Air Instruction: . FN: 1308 TITLE: WEIGHT STANDARDS Privacy Act: not applicable Description: Documents accumulated at unit level in administration of weight program. Included are requests for preliminary medical evaluations and results. Notifications of individual soldier and responses thereto. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: File in MPRJ upon satisfactory completion or discharge. Maintain file while under evaluation. Sub-files: Alphabetical by individual. Army Regulation: 600-9; Air Instruction: . FN: 1310 TITLE: SKILL QUALIFICATIONS AND INSIGNIA Privacy Act: not applicable

DRAFT Description: Comments and development of subject NYG Directive. Administrative correspondence. Documents used in developing and maintaining commissioned officers, warrant officers, and enlisted MOS/AFSC structures that identify and describe military positions for NYG use, and establishing personnel qualifications to facilitate the selection, training, distribution, assignment, management, and professional development and use of personnel. Included are studies involving research, classification, job analysis, job evaluation, and similar data needed to design and improve existing occupational and personnel management methods, techniques, and systems. Included are design and manufacture of MOS/AFSC insignia. Disposition: Destroy 2 years after cancellation of related MOS/AFSC. Sub-files: By MOS/AFSC title. Army Regulation: 611-1; Air Instruction: . FN: 1315 TITLE: REGIMENTAL AFFILIATIONS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Individual affiliations filed in their MPRJ under 1336. Disposition: Destroy after 2 years. Sub-files: None. Army Regulation: 600-82; Air Instruction: . FN: 1319 TITLE: OFFICIAL PHOTOGRAPHS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Individual’ photographs filed in their MPRJ under 1336. Disposition: Destroy after 2 years. Sub-files: None. Army Regulation: 640-30 para 7; Air Instruction: . FN: 1321 TITLE: EVALUATION REPORTS Privacy Act: applicable to reports only. Description: Comments and development of subject NYG Directive. Administrative correspondence. Correspondence on development of rating schemes and compliance rates. These records concern measuring the performance of military personnel in their duty assignments through the use of evaluation reports. Actual Evaluation Reports to be filed in 1336. Disposition: Evaluation Reports are permanent, program files destroy after two years. Sub-files: none Army Regulation: 623-1; Air Instruction: . FN: 1322

DRAFT TITLE: TRAINING Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Documents pertaining to planning and conducting basic subjects, general training, and combined skills training. Emergency Deployment and Readiness Exercises. Documents related to support for Annual Training of Army, Air and CMA elements. Included are support plans, correspondence, etc. Disposition: Destroy after 2 years. Sub-files: Annual by MACOM. Additional separate files for Annual Training periods. Army Regulation: 350-1; Air Instruction: . FN: 1322-s TITLE: SCHOOLS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Documents about controlling and approving the establishment, content, and conduct of individual NYG school courses. They will describe the course’s accuracy, currency, applicability, need, and compliance with mission. Included are recommendations about eliminating overlap and duplication between courses, common subjects, course approvals, and similar documents. Disposition: Permanent during life of course, destroy 5 years after termination. Sub-files: by course description/subject. Army Regulation: 351-1 Individual, 351-5 OCS, 351-9 Interservice; Air Instruction: . FN: 1323 TITLE: PUBLICATION OF ORDERS Privacy Act: applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Personal orders filed in individuals personnel records under 1336. Documents announcing certain travel, promotion, courts-martial, and personnel actions, and separations issued by the HQ NYG, as nonpermanent orders. Includes any logs, indexes, or other control documents used to ensure continuity of orders numbers. Information relating to the preparation, review, and issue of permanent orders. Permanent orders pertaining to such matters as organizational actions, awards, and decorations. Disposition: Non-permanent orders destroy after 25 years. Permanent orders to archive. Sub-files: Personnel type orders, Organizational Orders. Army Regulation: 310-10; Air Instruction: . FN: 1325 TITLE: SECURITY CLEARANCES & INVESTIGATIONS Privacy Act: not applicable

NYGD 5015 Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: 604-10; Air Instruction: . FN: 1331 TITLE: LINE OF DUTY DETERMINATIONS Privacy Act: applicable Description: Documents relating to determining line of duty status and investigating incidents concerning individual members of the NYG. Requiring line of duty determination. Included are statements of medical examinations and duty status, reports of investigation, line of duty and misconduct status, notifications of findings, and similar information. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: destroy after five (5) years. Sub-files: Alphabetical by individual. Army Regulation: 600-8-1; Air Instruction: . FN: 1332 TITLE: RETIREMENT Privacy Act: applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. These records concern separation of military personnel from the NYG through discharge, retirement, resignation, and dropping from the rolls; types of discharge and reasons therefor. Disposition: Destroy after 1 year. Sub-files: none Army Regulation: 635-100, 635-200; Air Instruction: . FN: 1334 TITLE: WEAR & APPEARANCE OF UNIFORMS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: 670-1; Air Instruction: . FN: 1336 TITLE: MILITARY PERSONNEL RECORDS Privacy Act: applicable Description: Documents pertaining to the career and current assignment of the individual. Documents in this file are restricted to those authorized for filing therein. Disposition: Permanent, move from active files to archives upon separation. Sub-files: Alphabetical by Individual, separate Officers and Enlisted records. Army Regulation: 640-10; Air Instruction: .

NYGD 5015

FN: 1338.1 TITLE: FOOD SERVICE Privacy Act: not applicable Description: Routine correspondence related to food program. Menus. Documentation related to Food Service, headcount sheets, vouchers, billing documentation. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Alphabetical by vendor. Army Regulation: 30-1; Air Instruction: . FN: 1338.2 TITLE: ENLISTED UNIFORM ISSUE & REPLACEMENT Privacy Act: not applicable Description: Routine correspondence related to uniform issue, serviceability, repair, turn-in and disposition of NYG clothing items. Documentation related to vouchers, and billing information. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Additional breakdown by MACOM and their subsequent sub-commands as required for issue, and by vendor for purchases. Army Regulation: 700-84; Air Instruction: . FN: 1348 TITLE: NYG AWARDS & DECORATIONS Privacy Act: not applicable Description: Records concerning the design, eligibility, presentation, and wearing of medals, decorations, badges and tabs, unit awards, streamers, and special awards and honors for outstanding service or accomplishments. Included are the supply and manufacture of decorations and appurtenances. Documents relating to recommendations, reviews, and approvals of awards. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Historical development records are permanent, routine correspondence destroy after two years. Sub-files: none Army Regulation: 672-5-1; Air Instruction: . FN: 1349 TITLE: HERALDRY and HISTORICAL Privacy Act: not applicable Description: Information reflecting organizational history. Included are unit history and supplements, copies of lineage and honors certificates, data on organizational flags, coats of arms, and distinctive insignia, citations for organizational decorations. Information on the development, research, design and approval or disapproval of symbolic items worn or displayed by organizations. Included are

DRAFT equipment including insignia, medals, badges, ribbons, coats of arms, guidons, pennants, streamers, and other heraldic devices. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: PERMANENT Sub-files: Numeric by unit designation. Army Regulation: 840-10; Air Instruction: . FN: 1352 TITLE: RETIRED RECALL Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Correspondence on considerations for recall of retired personnel and their assigned duties. Disposition: Destroy 1 year after termination of recall Sub-files: Alphabetical by name. Army Regulation: ; Air Instruction: . FN: 1379 TITLE: ATTENDANCE Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Correspondence and reports on percentages of attendance and strength of the NYG. Disposition: Sub-files: Army Regulation: 140-185; Air Instruction: 65101. Table A-1d File Category 1400 Manpower & Personnel - CIVILIAN PERSONNEL a. Prescribing Directives (1) None planned, use DMNA Regulations b. Description. These records concern the administration of the civilian personnel in the NYG office. Most of the records contained in this series are as prescribed by DMNA regulations. FN: 1400 TITLE: CIVILIAN PERSONNEL Privacy Act: not applicable Description: Administrative correspondence. Information on job descriptions, correspondence on evaluations, information reflecting qualifications, promotions, awards, and similar information. Disposition: Destroy after 2 years. Sub-files: none Army Regulation: 690-200; Air Instruction: . FN: 1422 TITLE: HOURS Privacy Act: not applicable Description: This is information relating to the establishment of working hours, holiday sharing and

DRAFT similar matters affecting the work schedules of civilian employees. Included are published record copies of instructions, letters, messages, and similar information. Disposition: Destroy when no longer needed for current staffing. FN: 1424 TITLE: LEAVE Privacy Act: not applicable Description: Requests for periods of leave. Disposition: Destroy after 1 year.

A-2. File Category 3000 PLANS, OPERATIONS, & INTELLIGENCE a. Prescribing Directives (1) NYGD 3005 Alert and Assembly (2) NYGD 3025 Civil Affairs (TBP) (3) NYGD 3305 Intelligence b. Description. These records concern NYS Command and Control and other requirements for operational information, activities and functions in support of state operations, resources, lessons learned, search and report operations, and operational planning. (Table A-2) Table A-2 File Category 3000 Plans and Operations FN: 3005 TITLE: ALERT & ASSEMBLY Privacy Act: applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Destroy Alert Lists upon issuance of new list. Sub-files: none Army Regulation: ; Air Instruction: . FN: 3025 TITLE: PLANS & OPERATIONS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information pertaining to the preparation, coordination, and approval of operational plans and orders, which are applicable to the overall deployment of the NYG. Included are copies of the approved plans, orders, comments, recommendations, contributions, approvals and disapproval's, coordination's, and other directly related information. Also included is after action reports and summaries. Disposition: Permanent Historical file Sub-files: by operational title. Army Regulation: 525-1; Air Instruction: . FN: 3305 TITLE: INTELLIGENCE Privacy Act: not applicable

NYGD 5015 Description: Reports gathered in intelligence organizations resulting from the collection, evaluation, analysis, and interpretation of technical intelligence, domestic intelligence, or information about activities or conditions in NYS that may threaten the populace. Disposition: Destroy after 2 years. Sub-files: none Army Regulation: 381-19; Air Instruction: .

A-3. File Category 4000 LOGISTICS Table A-3a File Category 4000 Logistics - GENERAL a. Prescribing Directives none b. Description. These records concern logistics policies, procedures, and support covering supplies, equipment, and facilities in several different logistical areas. FN: 4000 TITLE: INSTALLATION MANAGEMENT Privacy Act: not applicable Description: water, sewer, repairs. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: ; Air Instruction: . Table A-3b File Category 4100 Logistics MATERIAL & PROPERTY MANAGEMENT a. Prescribing Directives (1) NYGD 4140 Property Control Procedures b. Description. These records concern authority, policies, and procedures governing accounting for NYG and state property in terms of both monetary value and quantity. They include accounting for lost, damaged and destroyed property; reports of surveys, and financial inventory accounting for materials and property. FN: 4140 TITLE: PROPERTY CONTROL Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Background material consisting of documents pertaining to requests for, authorization and assignment of, or cancellation of, serial numbers of equipment and information concerning inventory or audit status, accountability, and transfer of accountability. Disposition: Destroy files after 3 years. Destroy summary inventories upon update with new inventory. Sub-files: none Army Regulation: 735-5; Air Instruction: . FN: 4140-pb TITLE: PROPERTY BOOKS Privacy Act: not applicable Description: Property Books. Disposition: PERMANENT

NYGD 5015 Sub-files: Property books sub-file by MACOM and units. Army Regulation: 735-5; Air Instruction: . FN: 4140-rs TITLE: REPORTS OF SURVEY Privacy Act: not applicable Description: Reports that describe the circumstances and recommended action concerning the loss, damage or destruction of State Property. Disposition: Files involved with pecuniary liability retained for 5 years. Sub-files: By Report of Survey. Army Regulation: 735-5; Air Instruction: . Table A-3c File Category 4500 Logistics - TRANSPORTATION a. Prescribing Directives (1) NYGD 4510 DMNA TAG-9s and TBTA (TBP) (2) NYGD 4515 State Guard License Plates b. Description. These records concern specific modes of transportation, travel and delivery means.. FN: 4510 TITLE: DMNA TAG 9s and TBTA Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information pertaining to the issuance of thruway passes (DMNA TAG 9) and toll Tunnel and Bridge Transportation Authority (TBTA) tickets for official travel of NYG personnel. Logs and registers of issuance, and returned stubs of TBTAs. Disposition: Destroy after 3 years. Sub-files: none Army Regulation: 55-355; Air Instruction: . FN: 4515 TITLE: STATE GUARD LICENSE PLATES Privacy Act: applicable Description: Information accumulated related to the requesting, issuance transferring and revocation of NYS Special Plates for the NYG. Maintenance of roster of assigned plates. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: none Army Regulation: 58-1; Air Instruction: . FN: 4525 TITLE: POSTAL Privacy Act: not applicable Description: Postage stamp stock and issue accounts, information on metered postage. Information reflecting the receipt or dispatch of registered mail. Comments and development of

DRAFT subject NYG Directive. Administrative correspondence. Disposition: Destroy after 2 years. Sub-files: Additional breakdown by MACOM and their subsequent sub-commands as required. Army Regulation: 600-8-3 ; Air Instruction: . Table A-3d File Category 4600 Logistics - COMMUNICATIONS & ELECTRONICS a. Prescribing Directives (1) NYGD 4650 (TBP) b. Description. These records concern resources, services used, and functions performed in the supply of communications equipment and services. FN: 4640 TITLE: TELECOMMUNICATIONS (telephone) Privacy Act: not applicable Description: Information related to the purchase of telephone service and documents used to request or authorize telephone service for the NYG. Included are copies of contracts for purchase of service, work orders, billings related to telephone lines, instruments, calling cards, etc. Comments and development of subject NYG Directive. Disposition: Destroy after 2 years Sub-files: not expected, recommend MACOM or location. Army Regulation: 25-1 Air Instruction: . FN: 4650 TITLE: MILITARY AFFILIATE RADIO SYSTEM Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Authorizations for stations to operate on specific frequencies at specific times to communicate with other stations in the NYG or other military components and comparable operational authorizations. Included are coordinating actions, authorizations, and related information. Disposition: Destroy after 2 years Sub-files: none Army Regulation: 25-6; Air Instruction: .

A-4. File Category 5000 ACQUISITION AND ADMINISTRATIVE MANAGEMENT Table A-4a File Category 5000 Acquisition and Admin Management - OFFICE ADMINISTRATION a. Prescribing Directives (1) NYGD 5005 Office Management (TBP) (2) NYGD 5010 Office Symbols and Distribution (3) NYGD 5015 Records Management Filing (TBP) (4) NYGD 5020 Preparing and Managing Correspondence (TBP) (5) NYGD 5025 Directives System and Index b. Description. These files relate primarily to the housekeeping operations (records management,

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NYGD 5015

publications system) within any office in the NYG. They do not relate to the functions or missions of an office. They accumulate because an office exists; they are NOT why the office exists. More specifically, these files accumulate because of the day-to-day administration of an office and its personnel.

building, DMNA ID Cards, requests and approvals for access, rosters of those authorized access, and similar information. Disposition: Destroy when superceded, or individual has been transferred or separated..

FN: 5005 TITLE: OFFICE MANAGEMENT Privacy Act: not applicable Description: General correspondence files. Comments and development of subject NYG Directive. Disposition: Sub-files: SFN-1a: FILE NUMBERS (use 5015) SFN -1b: OFFICE GENERAL MANAGEMENT

Description: Copies of policy or precedent documents for future and continuing action. Included are Standing Operating Procedures (SOP), statements of policy or procedure, etc. Disposition: Destroy when obsolete, replaced.

Description: Information relating to the general management of the office. This information covers internal office procedures and events such as parking, charitable affairs, blood drives, open house, office safety, employee meetings, etc. Disposition: Destroy after 1 year.

SFN -1c: CONFERENCES - MEETINGS Description: Information accumulated by participants in such conferences/meetings as the DMNA Staff Meetings, Sr Commanders Quarterly meeting, Commander's Conference. This information relates to discussions, new policies, important events, briefing slides. Included are plans for the conference/meeting, agenda, list of invitees, and other information. Disposition: Destroy when no longer needed for reference..

DMNA STAFF MEETINGS COMMANDER'S CONFERENCE(s) SFN -1d: REPORTS Description: Copies of reports submitted in response to higher headquarters request. Disposition: Destroy after 1 year.

SFN -1e: HOUSEKEEPING INSTRUCTIONS Description: Memorandums or instructions dealing with the office's internal administrative procedures. Disposition: Destroy when superceded or obsolete.

SFN -1f: SERVICE & SUPPLIES (use 5335) SFN -1g: REPRODUCTION (use 5330) SFN -1h: OFFICE MAIL CONTROLS Description: Information pertaining to controlling incoming and outgoing mail. Included are routing and suspense slips, records of messenger trips, mail receipts, and similar information. Disposition: Accountable mail receipts destroy after 2 years, other documents destroy after 3 months.

SFN -1i: OFFICE PROPERTY RECORDS Description: Lists, receipts, or comparable information, showing accountable property charged to an office. (This does not include the formal supply accounting records described in 4140. Also included is information related to approval, use, repairs, and adjustments of office equipment such as copiers, computers, or similar systems and equipment. Disposition: Destroy when superseded or equipment is turned in..

SFN -1j: ACCESS CONTROLS (DMNA) Description: Information received or prepared by the office that identifies individuals authorized access to the

SFN -1k: JOB DESCRIPTIONS (use 1400) SFN -1l: PERSONNEL T&A FILES (use 1422) SFN -1m: POLICIES & PRECEDENT

SFN -1n: OFFICE PRIVACY DISCLOSURES (use 5401) SFN -1o: READING FILES Description: Copies of outgoing communications, arranged by date, for periodic review by staff members. Disposition: Destroy after 1 year.

SFN -1p: REFERENCE PUBLICATIONS Description: Publications from any DMNA or NYG element kept for reference in the office. Disposition: Destroy after 1 year, or when no longer needed for reference, whichever is sooner.

Army Regulation: 1-21; Air Instruction: . FN: 5010 TITLE: OFFICE SYMBOLS & DISTRIBUTION Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: 25-50; Air Instruction: 37-127. FN: 5015 TITLE: RECORDS MANAGEMENT - FILING Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Approved listing of file numbers and disposition authority. Disposition: Dispose when superceded. Sub-files: none Army Regulation: 25-400; Air Instruction: . FN: 5020 TITLE: PREPARING & MANAGING CORRESPONDENCE Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Dispose when superceded. Samples of proper correspondence. Sub-files: none Army Regulation: 310-1; Air Instruction: . FN: 5025 TITLE: DIRECTIVES SYSTEM & INDEX

NYGD 5015 Privacy Act: not applicable Description: Information relating to the improvement and development of NYG Directives through editing, changing, and rewriting of first drafts. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Dispose when superceded. Sub-files: none Army Regulation: ; Air Instruction: . Table A-4b File Category 5100 Acquisition and Admin Management - ORGANIZATIONAL CHARTERS a. Prescribing Directives (1) NYGD 5100 Mission and Essential Tasks b. Description. These records concern organization, mission, responsibilities, duties, and functions of the NYG. FN: 5100 TITLE: MISSION AND ESSENTIAL TASKS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Copies of Mission and METL approved by The Adjutant General, and related correspondence and staffing papers. Information relating to the establishment of and changes to organizational functions and relationships of activities, and commands. Disposition: PERMANENT Sub-files: none Army Regulation: 10-5; Air Instruction: . NG Regulation: 10-4 FN: 5 TITLE: AGREEMENTS Privacy Act: not applicable Description: Copies of Memorandums of Understanding (MOU) approved by The Adjutant General or other State Military Force Commanders, and related correspondence and staffing papers. Disposition: PERMANENT Sub-files: none Army Regulation: ; Air Instruction: . Table A-4c File Category 5300 Acquisition and Admin Management - OFFICE AND ADMINISTRATIVE SERVICES a. Prescribing Directives (1) NYGD b. Description. These records concern services provided within and office for that office. FN: 5305 TITLE: SPACE (Office/Armory) Privacy Act: not applicable Description: Administrative correspondence on assigned space in Armories, and at Camp Smith. Correspondence and actions related to maintenance and improvement of these spaces.

DRAFT Disposition: Sub-files: Army Regulation: ; Air Instruction: . FN: 5330 TITLE: Printing Copying Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: ; Air Instruction: . FN: 5335 TITLE: OFFICE SUPPLIES & EQUIPMENT Privacy Act: not applicable Description: Information relating to an office's ordinary supplies and equipment, communications, transportation, custodial or other services required by an office, and to the general maintenance of an office. Included are authorizations, requests, receipts for supplies, equipment, and similar papers, requests and other documents about issuing keys and locks to an office; requests for publications and blank forms; requests to install telephones, floor plans; request pertaining to office utilities or other aspects of maintenance; and other services required. Disposition: Destroy records when superceded or obsolete, all other records destroy when no longer needed for current operations. Sub-files: none Army Regulation: ; Air Instruction: . Table A-4d File Category 5400 Acquisition and Admin Management - PUBLIC AFFAIRS a. Prescribing Directives (1) NYGD 5400 Public Affairs b. Description. These records concern public information, objectives, principles, and procedures; review, clearance, and release of public information; internal information and community relations programs; speakers program; relations with public news media and industry. FN: 5400 TITLE: PUBLIC AFFAIRS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information on the preparation, coordination, clearance, and release of information to the public through newspapers, periodicals, radio, television, public appearances, the internet, and other media. Included are printed or processed press releases, speeches, radio, television, and the coordinating information gathered in obtaining DMNA clearances for the releases. Disposition: Destroy after 5 years. Sub-files: By individual subject/release. Army Regulation: 360-5; Air Instruction: .

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FN: 5401 TITLE: FOIA Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Requests for information under the Freedom of Information Act (FOIA) or state Freedom of Information Law (FOIL). Included are the original request, a copy of the reply thereto granting access or denying access to all or part of the requested information, stating inability to identify records or nonexistence of requested records, and indicating fees charged; and related information. Disposition: a. Replies granting access, or replies for nonexistent records Destroy after 2 years. b. Replies denying access to all or part of a request, destroy after 6 years. Sub-files: By individual request, name. Army Regulation: 25-55; Air Instruction: . Table A-4e File Category 5500 Acquisition and Admin Mgt - LEGISLATIVE AND LEGAL AFFAIRS a. Prescribing Directives none b. Description. These records concern correspondence with state legislators or federal congressional members. FN: 5500 TITLE: LEGISLATIVE (Government) AFFAIRS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information on preparing and processing legislation, Executive orders, proclamations, and reports on legislation proposed by or of interest to the NYG, excluding appropriation actions. Copies of correspondence with legislators, or DMNA Legislative Affairs office. Disposition: Destroy after 5 years. Sub-files: Army Regulation: 1-20; Air Instruction: none. FN: 5510 TITLE: LEGAL Privacy Act: not applicable Description: Routine comments on Directives or State Military Law. Courts-martial proceedings. Continuing Legal Education correspondence. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Army Regulation: ; Air Instruction: .

A-5. File Category 6000 HEALTH (MEDICAL SERVICES) a. Prescribing Directives (1) NYGD 6130 Standards of Medical Fitness (TBP)

NYGD 5015 b. Description. These records concern composition, mission, responsibilities, and functions of NYG Medical personnel and units, administration and operation of NYG treatment facilities, medical, dental, and medical and dental supplies and equipment. Included are standards of medical fitness for NYG membership. (Table A-5) Table A-5 File Category 6000 Health (Medical Services) FN: 6130 TITLE: STANDARDS OF MEDICAL FITNESS Privacy Act: not applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Information related to medical fitness standards and medical examination requirements for admission (appointment, enlistment, induction) to the NYG. This includes information accumulated by by medical facility which conduct medical examinations. Included are reports of medical examination, medical history, and similar information. Disposition: Destroy after 1 year NOTE: NYG Forms 88 and 93 and related documents will be forwarded to MPRJ in accordance with NYGD 1336. Sub-files: by name at clinic. Army Regulation: 40-501; Air Instruction: 48-123.

A-6. File Category 7000 BUDGET AND FINANCE a. Prescribing Directives (1) NYGD 7040 Budget Procedure (2) NYGD 7041 Service Value Report (3) NYGD 7050 Purchasing Procedures b. Description. These records concern policies, procedures, direction, and supervision of financial functions, including budgeting, accounting, funding, entitlements, pay, expenditures, fiscal codes, and related reports.(Table A-6) Table A-6 File Category 6000 Budget and Finance FN: 7040 TITLE: BUDGET Privacy Act: not applicable Description: Correspondence and papers relative to the development of an annual NYG budget. Correspondence related to approved budget amounts. Board actions related to allocation of funds to MACOMS and approved budget items. Printouts of budget balance spreadsheets. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Destroy after 6 years. Sub-files: none. Army Regulation: 37-49; Air Instruction: . FN: 7041 TITLE: SERVICE VALUE REPORT Privacy Act: not applicable

NYGD 5015 Description: Transmittal documentation, summaries and copies of service value reports. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Sub-files by MACOM if necessary. Army Regulation: ; Air Instruction: . FN: 7050 TITLE: PURCHASING Privacy Act: not applicable Description: Correspondence and copies of invoices and payment documentation kept alphabetically by vendor. Invoices for Uniforms filed under 1338.2. Invoices for Food Service filed under 1338.1. Comments and development of subject NYG Directive. Administrative correspondence. Disposition: Sub-files: Alphabetical by vendor. Army Regulation: 37-107; Air Instruction: .

A-6. File Category 8000 INFORMATION MANAGEMENT a. Prescribing Directives (1) NYGD 8120 NYG Personnel Database (TBP) b. Description. These records concern subjects pertaining to military and civilian personnel not specifically provided for in the 1300 series, or which contain procedures pertaining to more than one area.(Table A-1) Table A-6 File Category 8000 Information Management FN: 8120 TITLE: NYG PERSONNEL DATABASE Privacy Act: applicable Description: Comments and development of subject NYG Directive. Administrative correspondence. Printout or CD of database. Documents prepared for reporting a change to and updating the NYG Database. Computer generated reports pertaining to strength accounting, organizational and personnel record keeping, information exchange with other databases, command and staff reporting designed for use by the functional manager, personnel manager, and data analysts.. Disposition: Destroy previous database upon update. Sub-files: none Army Regulation: 600-8; Air Instruction: .

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