NYC Department of Records and Information Services Records Management 101

1. NYC Department of Records and Information ServicesRecords Management 101

2. What is a Record? A �Record� is any documentation or information created and stored at a city office that is essential to the functioning of that office, regardless of the format or medium of the material. (See Chapter 72 of the New York City Charter)

3. Categorizing Records Records can be categorized in three ways: Active Records � must be retained in an agency�s office in order to conducting day-to-day operations. Inactive Records � are rarely accessed. Archival Records � are records that are no longer used by an agency, yet have such historical and/or research value that they must be maintained permanently.

4. Records Management Is the control and treatment of the creation, distribution, utilization, retention, storage, retrieval, preservation and disposition of records. Effective records management is a vital component for an efficiently run office.

5. Benefits of Effective Records Management Increased Administrative Functioning Improved Productivity Protection Against Liability Increased Access to Information Better Use of Physical Space Increased Office Efficiency Facilitation of Identifying Vital Records Lower Office Costs

6. What is Effective Records Management? Every office/division should have a designated records management officer. The records management officer should be given exclusive responsibility for storing and maintaining records.

7. What is Effective Records Management? A permanent system must be developed for accessing and storing records. Records Management policy and procedures should be created. Administrators and all office staff using the records should comply with the system.

8. Proper File Maintenance Reduction and ultimately the elimination of needless filing. Records Management officer should confer regularly with office managers and office staff to routinely established what materials should be filed and which ones can be discarded.

9. Simplifying Office File Maintenance File as few publications as possible, such as periodicals, circulars and other printed items. It is necessary to keep only the most recent publications. Eliminate file copies of routine communications. It is not necessary to keep duplicate copies of letters and forms.

10. What is a Record Series Number? A �record series� consist of a collection of records with similar characteristics. Keeping these records together greatly facilitates storage and retrieval.

11. Similar files must be regarded as a single system that is referred to as a record series: an interdependent group of items forming a whole. Regardless of the diversity of the content or the medium, files must be considered a single unit.

12. Examples of a Record Series General Correspondence (Subject) files � although subject files will normally constitute less than 10% of all office records, their maintenance is one of the most critical filing tasks. These files should be �subdivided by subject.�

13. Case (Project) Files � these files reflect the history of a transaction or relationship from the beginning to the end. They are terminated upon the occurrence of an event, such as contract fulfillment or the completion of a project. These files should be �filed by name and number�.

14. Retention Scheduling The New York City General Records Retention Schedule is designed to assist New York City Agencies in determining the proper disposition of public records they create and maintain. It identifies individual records types, or services, specifying the minimum length of time that records must be retained.

15. Why use Retention Schedules? The New York City General Records Retention Schedule is a listing of records commonly found in New York City agencies. However, some records because they are unique in nature may need to be retained beyond the recommended retention periods.

16. The New York City General Records Retention Schedule General records retention schedules, intended for use by all City agencies and their offices. Records are identified by type, and not by the office of origin.

17. Permanent Retention A permanent retention indicated that a record possess long-term administrative, legal, fiscal or historical value. Continuous retention is required. These records will eventually be transferred for storage and preservation to the New York City Municipal Archives.

18. New York City Municipal Archives It is important to remember that the New York City Archives determine the historical value of municipal government records, and only those records deemed historical will be accepted for permanent storage.

19. Exceptions to the Schedules See Charter 1133 (b), (c) An agency may, of course, retain duplicate documents as necessary or convenient for its work. However, it may dispose of such documents at its discretion. The approval of the Law Department and the Department of Records is not required for either the retention or destruction of duplicates by an agency.

20. Exceptions to the Schedules During legal Proceedings To comply with current or pending legal actions, you may be required to retain some records beyond their scheduled retention periods. If the retention period has expired by the time the legal action ends, New York City agencies must keep the records for one additional year to resolve any need for the records in an appeal.

21. Exception to the Schedules You must retain any pertinent records if you know there is a pending audit that will involve those records.

22. Electronic Mail Policy and Procedures E-mail messages sent or received during New York City Government business are subject to the same laws and regulations that govern the retention and use of any other record, including Freedom of Information Laws; Right to Privacy Regulations; and New York State Retention and Disposition Laws, and are the property of New York City Government. The unauthorized destruction or removal of these records is prohibited.

23. Electronic Mail Policy The City of New York, through its managers and supervisors, reserves the right to review he contents of E-mail sent or received over the City�s E-Mail system. Unauthorized and intentional interception, recording, reading, altering or other interference of another E-mail messages is prohibited.

24. Purpose for City E-Mail System The City provides E-mail for the conduct of City business, with the intended results to include: Increase productivity for City employees. Improvement in the timeliness of delivery of City Services. Improved interaction and communication among employees at an agency; with employees at other agencies; with other governments; and with the general public. A paperless office.

25. Prohibited Use of the City E-mail Services Conduct of any activity which results in a City�s employee�s personal financial gain. Solicitation of funds not directly related to City business. Distribution of partisan political messages Transmission of harassing or nuisance messages. Infringement on an individual�s right to privacy. The imposition of unnecessary technological barriers within an agency, among agencies, or between an agency and the public.

26. Types of E-Mail Messages Transitory � E-mail messages, which express information informally, are considered non-records. Transitory messages lose their administrative value as soon as the communication takes place. Transitory messages do not set policy, certify a transaction, or establish guidelines and procedure.

27. Types of E-Mails Messages Non � Transitory � E-mail messages are considered records. These messages might be longer that transitory Emails and might contain downloadable attachments and include communications that set policy, certify a transaction, or establish guidelines or procedure.

28. Electronic Records Electronic records are records created and stored on a computer system. It is the responsibility of each agency to maintain all electronic records that have not been converted to acceptable substitutes, such as printed matter, until the records minimum retention period has expired. Agencies are responsible for ensuring periodic backup of all electronic databases and other significant on-line records.

29. Destroying Electronic Records User must take special precautions to ensure that electronic storage media containing confidential or privacy-protected information is electronically wiped clean or physically destroyed. Deleting records in some programs does not actually remove the file.

30. Important Note on Destroying Electronic Records Before electronic records, or any record, can be destroyed , a Records Disposal application must be prepared and submitted to the Records Management Division at the Department of Records and Information Services. The Law Department will also review the application.

31. Records Inventory and Planning Planning the Inventory Get Support � getting support from everyone who creates or uses records is critical for a successful inventory. The Records Management Officer (RMO) should actively oversee the inventory, whether it is carried out by workers hired for the project or by current staff.

32. Records Inventory and Planning Set a Schedule Develop a timetable that clearly assigns responsibility for all activities, estimated the inventory schedule for each area, and allows time to both evaluate the inventory and develop a program plan. The timetable should include clear deadlines, although you may have to adjust the schedule as work progressed. The plane should lay out the schedule of department and unit inventories, with estimates of staff hours necessary to complete each task.

33. Records Inventory and Planning Conduct a survey Before conducting a full inventory, you might consider doing an initial survey of your organization�s records situation, beginning with the departments or offices that you think would be most cooperative.

34. Conducting the Inventory Inform Supervisors A logical first step is to visit individual supervisors to explain the inventory process and how it will benefit each office. Supervisors should understand that inventory workers will need access to all records (including electronic records and those on microfilm) and that they will need to ask questions as they work.

35. Conducting an Inventory Draw a map of the location. Inventory staff should begin by drawing a map of the physical layout of each new area, numbering each piece of records storage equipment (such as filing cabinets and shelves), and noting the location of each record series.

36. Conducting and Inventory Collect information on each record series. The simplest approach to conducting an inventory is to describe records series, rather than whole individual folders. Use a �Records Inventory Data Worksheet.

37. Municipal Records Center City Charter, Chapter 72, Section 3004.4(d) It is mandated that the Department of Records and information Services: �establish, maintain, and operate facilities for the storage, processing and servicing of records for all city agencies pending their deposit in the municipal archives or their disposition in any manner as may be authorized by law.�

38. Municipal Records Center The Municipal Records Center maintains 600,000 cubic feet of records. There is space for all City agencies to have records maintained at the Municipal Records Center. The Department of Records and Information Services, Municipal Records Management Division, will not maintain records that do not have a specific date of destruction. Permanent records are maintained at the Municipal Archives.

39. Criteria for Storage at the Municipal Records Center The record must be on an authorized retention schedule. The record must have reached its prescribed time in the originating office. The record can be part of a block of inactive files that can be segregated as unit, or �cut off� from the active files. The records series must be arranged according to the retention schedule and separated by year.

40. Criteria for Storage at the Municipal Records Center Inactive records can be maintained at the Municipal Records Center. At least one cubic foot of records must be accumulated before records can be transferred to the Municipal Records Center.

41. Transferring Records to the Municipal Records Center The Municipal Record Center will accept letter or legal-sized files stored in one-cubic-foot boxes, which can be obtained through DCAS. Each agency is now required to supply their own boxes.

42. Transferring Records to the Municipal Records Center The boxes are self-assembling and do not require tape, staples or other materials. When assembled, each box is 10-inches high by 12 inches wide by 15 inches deep. Boxes should be arranged in proper records services order.

43. Transferring Records to the Municipal Records Center A Records Control Sheet lists the range of records contained in each. A bar code label is affixed on each box to help the Department of Records track the records once at the Municipal Records Center.

44. Reference and Retrieval of Records City agencies can contact the Department of Records to request records stored at the Municipal Records Center. Generally, there is a 48 hour turn around period for the records to become available. Only an agency�s records management officer or designated alternates can initiate requests for records.

45. Pearl Boatswain, Director The Department of Records and Information Services Municipal Records Management Division 31 Chambers Street, Room 105 New York, New York 10007 Tel: (212) 788-8550 E-mail:pboatswain@records.nyc.gov