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HomeMy WebLinkAboutRMAB Minutes 2013-01-01RMAB Notes February 25, 2013 1. Focus for the year – County Project and Municity 2. Update on Deeds and Easements All the deeds and easements downstairs have been scanned into the County’s system. Creig is reviewing approximately 100 easements that were never filed with the county to determine if we need to pursue them. The easements have been filed as miscellaneous documents at this time so they are searchable on the county’s site. 3. Update on Back-up Tape Retention After meeting with Susan Ritter, the tape retention is returning to its original schedule. This deviation from the MU1 schedule is noted in the Records Management Program. 4.2.1 Disposition of Back-Up Data The Network/Records Specialist will back up the entire LAN using the industry standard Grandfather, Father, Son Backup Rotation Scheme. • Son: weekly backup. This set is composed of five backups, one for every working day of the week. • Father: monthly backup. This set is composed of twelve backups, one for every month. • Grandfather: yearly backup. A midnight backup of all changes to the LAN during the course of the day • Son: 5 weeks of Daily backups. The last Daily backup of the month becomes the End of Month backup. Then daily backups are written over as next month’s daily backups. • Father: 12 End of the Month backups are kept until it is written over for the next year’s End of Month backup. • Grandfather: The End of the Month backup for the last business day of December becomes the Year End Backup, which is kept indefinitely. o The Year End Backup contains any data that has not been deleted from the file server that year. 4. Comments on posting materials to the web We have received a couple of emails complimenting us on having information available on the website regarding our meetings. Any comments from here? None 5. Other Paulette noted that with the focus being on the County Shared Services and the implementation of the Municity program, the Records Management Program will be moved to the backburner while processes are rewritten. Therefore, she suggested that the RMAB meet every other month for a brief update on both unless something comes up that needs the board’s attention and a meeting could be scheduled. Members agreed. Hi Lisa, Could you please change this to the process we are going back to for the RMAB meeting next month. The RM Policy adopted by the board doesn’t directly list the procedure but the Records Management Program does. Thank you Paulette 4.2 Records Disposition 4.2.3 Disposition of Back-Up Tapes The Information Technology Department will back up the entire LAN on this schedule: A midnight backup of all changes to the LAN during the course of the day The Department will maintain ten different sets of tapes for daily backups and dispose of them on a 5 week schedule. The method of disposition shall be the writing over of the existing backup tape with the taping of the next backup in the cycle or the destruction of the tape. Town of Ithaca Records Management Program Table of Contents 1 Records Management Program 1.1 Records Management Program 1.1.1 Purpose 1.1.2 Review and Revisions 1.1.3 Distribution 1.2 Records Management Program Responsibility 1.2.1 Program Planning 1.2.2 Records Management Training 1.2.3 Executive and Legislative Endorsement 1.3 Town Clerk as Records Management Officer 1.3.1 Appointment 1.3.2 Duties 1.4 Records Management Advisory Board 1.4.1 Board Membership 1.4.2 Duties 1.4.3 Meetings 2 Classification of Records 2.1 Definition of a Record 2.1.1 Records Received from Outside Sources 2.1.2 Records Produced In-house 2.2 Official Copies of Records 2.2.1 Definition of “Official Copy” 2.2.2 Designation of Records as the Official Copy 2.3 Unofficial Copies of Records 3 Stewardship of Official Records 3.1 Ownership of Records (all records belong to the Town) 3.2 Custody of Records 3.3 Custody of Vital Statistics 3.4 Custody of Court Records Town of Ithaca Records Management Program page 2 of 10 4 Retention and Disposition of Records 4.1 Retention Schedules 4.1.1 Extensions to Minimum Retentions 4.1.2 Exceptions to General Retention Rules 4.2 Records Disposition 4.2.1 Disposition Lists 4.2.2 Disposition of Cancelled Obligations 4.2.3 Disposition Day 4.2.4 Method of Destruction 5 Storage and Preservation of Records 5.1 Storage Supplies and Equipment 5.2 Storage of Archival Records 5.3 Storage of Inactive Records 5.4 Storage of Electronic Records 5.5 Records Security Procedures 6 Records Retrieval and Access 6.1 Active Filing Systems 6.2 Inactive and Archival Filing Systems 6.3 Confidentiality of Records 6.4 Indexing of Records 6.5 Public Access to Records 7 Electronic Records Annex – Electronic Mail Management and Retention Policy Town of Ithaca Records Management Program page 3 of 10 1 Records Management Program 1.1 Records Management Program Objectives 1.1.1 Purpose The purpose of the Town of Ithaca’s Record’s Management Program is to define the administrative responsibilities and services that ensure the legal identification, retention, and disposition of Town records. 1.1.2 Review and Revisions The Records Management Program will be reviewed every three years by the Records Management Advisory Board for relevance, accuracy, and revisions. 1.1.3 Distribution This program shall be made available to each department head and each secretarial support staff responsible for the day-to-day processing of the Town’s records, as well as filed with the Town Clerk’s office. 1.2 Records Management Program Responsibility 1.2.1 Program Planning a. It is the responsibility of the Records Management Advisory Board, with the final approval of the Town Board, to develop, review, and produce the Town’s Records Management Program. The Record Management Program shall include a policy approved by the Town Board and a procedures manual for each department. b. Each department is responsible for managing records received and/or generated by their department and each must have a written procedures manual detailing the procedures. Each departmental procedures manual will be reviewed and approved by the RMAB for adherence to proper retention and storage according to the MU1 Schedule. 1.2.2 Records Management Training It is the responsibility of the Town Clerk to design, encourage, and implement training of all Town staff in the program. 1.2.3 Executive and Legislative Endorsement It is the responsibility of the Town Clerk to facilitate the Town Board’s approval of the program and to ensure the proper filing of local laws, approvals, and miscellaneous filings, when appropriate. 1.3 Town Clerk as Records Management Officer 1.3.1 Appointment The Town Clerk is designated the Records Management Officer 1.3.2 Duties a. The Records Management Officer (RMO) shall assist in the administration, determination of value, use, preservation, storage and disposition of all Town records in accordance with the New York State Archives MU1 Schedule and the Town’s Records Management Program. Town of Ithaca Records Management Program page 4 of 10 b. The RMO shall be responsible for ensuring that all information requests are responded to according to the Freedom of Information Law (FOIL). 1.4 Records Management Advisory Board 1.4.1 Board Membership The membership shall include two Town Board members, one of which shall be the Town Supervisor, the Town Clerk as Records Management Officer (chair), the Network Specialist, and the Town Historian. Designee(s) from the support staff of the Planning, Code Enforcement, and Public Works departments may be invited to attend on a routine basis. 1.4.2 Duties The Board shall provide advice on the development of the records management program and forward recommendations to the Town Board regarding the program for support and adoption. 1.4.3 Meetings The Records Management Advisory Board shall meet at least twice a year to review the Records Management Policy and associated program. Town of Ithaca Records Management Program page 5 of 10 2 Classification of Records 2.1 Definition of a Record New York State defines a record as "any information kept, held, filed, produced, reproduced by, with or for an agency or the state legislature, in any physical form whatsoever including, but not limited to, reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, maps, photos, letters, microfilms, computer tapes or discs, rules, regulations or codes.” 2.1.1 Records Received from Outside Sources Any record received from any person or entity not employed by the Town on either a paid or volunteer basis. 2.1.2 Records Produced In-house Any record produced or submitted by a person or entity employed by the Town on a paid or volunteer basis. 2.2 Official Copies of Records 2.2.1 Definition of “Official Copy” The official copy of a record is the paper copy that needs to be kept for meeting the official retention period. At this time, electronic records do not serve as an official copy. 2.2.2 Designation of Records as the Official Copy It is important that each record in the town be designated as an official copy or a duplicate copy for retention purposes. The town will use the following criteria to determine the official copy: a. Any record officially filed in a specific office pursuant to statute or regulations will be the official copy of that record; this is usually the original b. Any unique copy of a record will be the official copy; this might not be the original, but is the only copy available c. Any signed copy of a record, where others are unsigned, will be the official copy 2.3 Unofficial Copies of Records Any copies that are not the official copy of a record are unofficial copies. Unofficial copies may be destroyed when no longer needed unless otherwise specified on retention schedules. Town of Ithaca Records Management Program page 6 of 10 3 Stewardship of Official Records Every department is responsible for ensuring that the records in its control are accurate, complete, and authentic. 3.1 Ownership of Records All records of the Town of Ithaca are considered to be owned by the Town of Ithaca as an entity regardless of what department or person originally created, received, or physically possesses them. Records are maintained by town personnel for the benefit of the public and all levels of government. The Official copy of a record will be physically stored at Town facilities and must not be removed. Ownership of records is also addressed in NYS Public Officers Law Section 80. 3.2 Custody of Records All records of the Town of Ithaca are the ultimate responsibility of the Town Clerk as the Records Management Officer for the Town. 3.3 Custody of Vital Statistics Vital statistics created after 1880 are officially considered records of the State of New York under the oversight of the State Department of Health. While some of these records may be generated by and held by the Town, the Department of Health maintains regulatory authority over how they are maintained, accessed, and disposed of. Original records are filed with the State and copies become the Town’s official copy. 3.4 Custody of Court Records Court records are officially considered records of the State of New York, under the oversight of the Office of Court Administration. Under the Uniform Justice Court Act, town justices have custody of their own records when they are active. However, after the retirement of the town justice and the transfer of these records to the town records center, custody of these records resides with the town clerk and access is granted by permission of the town clerk and a presiding judge. Town of Ithaca Records Management Program page 7 of 10 4 Retention and Disposition of Records 4.1 Retention Schedules The Town of Ithaca has adopted and follows the Records Retention and Disposition Schedule MU-1 (“Schedule MU-1”) as developed by the New York State Archives and Records Administration (SARA). Each town department and/or unit follows the minimum retention periods outlined in this publication. In instances where records are not covered by this schedule, the Town Clerk (as Records Management Officer) will work with the State Archives Records Administration to determine the appropriate retention period. 4.1.1 Extensions to Minimum Retentions Town departments, working with the Town Clerk, may formally extend the minimum retention periods for certain record series found in the Schedule MU- 1. Each of these extensions must be documented in the department’s Records Management Procedures which are on file with the town clerk and will be reviewed by the RMAB at the end of the first extension for appropriateness. 4.1.2 Exceptions to General Retention Rules In some situations, the regular rules concerning the retention of records do not apply. Town departments must keep in mind the following exceptions: a. During legal proceedings, the town must retain the corresponding records even if their retention has passed. Such proceedings include subpoenas, outstanding Freedom of Information Law (FOIL) requests, and notices of claim. In such circumstances, the town cannot dispose of the records until legal action is totally resolved. b. If the town has been informed that an audit is pending, the town must maintain those records until the audit has been completed. c. In the event of records damaged by a disaster, or when records are no longer in an accessible format, they may be destroyed even though their minimum retention periods have not been met. In those cases, the Town Clerk (as Records Management Officer) will consult with the State Archives and obtain permission to dispose of the damaged or unreadable records. d. Records predating 1910 cannot be disposed of without express written approval by the State Archives. These special disposition requests are handled by the Town Clerk (as Records Management Officer). e. Records possessing intrinsic value should not be destroyed. This determination must be made by the Town Clerk (as Records Management Officer) with assistance from the Records Management Advisory Board, and consultation with the State Archives, if necessary. 4.2 Records Disposition When the legal minimum retention period of town records has expired, the Town Clerk (as Records Management Officer) is responsible for ensuring their proper disposition. 4.2.1 Disposition Lists Town of Ithaca Records Management Program page 8 of 10 The town clerk will provide each department head with a list of records scheduled for disposition no later than February 28th of each year. The list shall include the series title, the volume of record(s), and the retention period. Department heads will review the list and determine whether or not they would like to extend any retention periods and if so, explain why. Requests for extensions will be reviewed by the Records Management Advisory Board. 4.2.2 Disposition of Cancelled Obligations The disposition of canceled obligations (including bonds and notes) is covered by Section 63.10 of the Local Finance Law and Part 55 of 2NYCRR. If questions arise, the Town Clerk will contact the State Archives and/or the Office of New York State Comptroller. 4.2.3 Disposition of Back-Up Data The Network/Records Specialist will back up the entire LAN using the industry standard Grandfather, Father, Son Backup Rotation Scheme. • Son: weekly backup. This set is composed of five backups, one for every working day of the week. • Father: monthly backup. This set is composed of twelve backups, one for every month. • Grandfather: yearly backup. A midnight backup of all changes to the LAN during the course of the day • Son: 5 weeks of Daily backups. The last Daily backup of the month becomes the End of Month backup. Then daily backups are written over as next month’s daily backups. • Father: 12 End of the Month backups are kept until it is written over for the next year’s End of Month backup. • Grandfather: The End of the Month backup for the last business day of December becomes the Year End Backup, which is kept indefinitely. o The Year End Backup contains any data that has not been deleted from the file server that year. 4.2.4 Disposition Day In May of each year, the Town of Ithaca will announce a “Disposition Day” to encourage people to check the records in their offices, dispose of unnecessary records, and transfer active records to the inactive or archival storage room. 4.2.5 Method of Destruction The Town of Ithaca will make every attempt to see that all obsolete town records are disposed of through recycling. However, prior to recycling, the town will make certain that all confidential records are shredded or destroyed by other means that ensure confidentiality. Town of Ithaca Records Management Program page 9 of 10 5 Storage and Preservation of Records 5.1 Storage Supplies and Equipment The RMO will ensure there is a supply of archival-quality and standard boxes available for storing records. Whenever possible, archival records should be produced on non-acid paper. The RMO is responsible for ensuring proper equipment is available and used for the storage of records. 5.2 Storage of Archival Records Archival records must be stored in the temperature-controlled Archival Room. Records should be placed in archival-quality folders and boxes. Staples, clips, plastic coversheets, binders, etc. should be removed as long as doing so won’t damage the record. An inventory of any box placed in the Archival Room must be entered into the Town Clerk’s database by the department generating the records. 5.3 Storage of Inactive Records Official and unofficial copies of inactive records awaiting disposition are stored in the Inactive Storage Room at Town Hall. Storage of official copies takes precedence – unofficial copies for future research and/or use may be stored in the Inactive Storage Room as space permits. For example, boxes of older comprehensive plans or transportation studies that may be handed out to new board or committee members are stored in this room. 5.4 Storage of Electronic Records Records received electronically that have a permanent retention are printed out and placed in the appropriate folder(s) according to each department’s Procedures Manual. Refer to Section 7, Electronic Records, for guidelines on storage of active and inactive electronic records. 5.5 Records Security Procedures The Town’s Archival Room is temperature controlled and locked at all times. All staff have access to the keys, and there is an In/Out card system in place. Court records are public records once they are filed in Archives with the exception of “sealed” files which are literally sealed by the Court clerks. Confidential Personnel files are kept locked within a filing cabinet in the vault. Town of Ithaca Records Management Program page 10 of 10 6 Records Retrieval and Access 6.1 Active Filing Systems Active records are accessible to any Town Staff by asking a member of the department. If a member of a particular department is not available, an In/Out card should be used for any record taken and a note left for the support staff detailing where the record is, who has it, and the estimated return date. See individual departmental procedures for specific guidelines. 6.2 Inactive and Archival Filing Systems Archival and Inactive records are accessible to all Town Staff. In/Out cards must be used for all documents, files, or boxes. The Archive room is temperature controlled and must be locked at all times. 6.3 Confidentiality of Records Town records, with few exceptions, are public records. Personnel and court files are governed by specific rules and regulations to protect confidentiality. 6.4 Indexing of Records a. An individual department’s active records may or may not be indexed. See individual departmental procedures for guidelines. b. Archival and inactive records are indexed using the Town Clerk Database, which was created with Microsoft Access. Each department is responsible for entering and managing their records in the database. 6.5 Public Access to Records The Freedom of Information Law (FOIL) affords the public access to most government records. Pursuant to FOIL, any person can request to view or have copies made of records. Requests can be made verbally, either on the phone or in person, or in writing on any piece of paper, via email, or on a form created by the Town. FOIL states that people requesting records cannot be asked to give their names or why they want access to the record(s). Access will be denied only to persons stating they want information for solicitation purposes. The Town of Ithaca procedure for access to pubic records describes how requests are handled and by whom.