ARTICLE IRecords Management (§ 63-1 — § 63-7)
ARTICLE IIPublic Access (§ 63-8 — § 63-17)
§ 63-1Statement of intent.
§ 63-2Program established; designation of records management officer.
§ 63-4Powers and duties of records management officer.
§ 63-5Records Advisory Board.
§ 63-6Custody and control of records.
§ 63-7Disposal of records.
Records are essential to the administration of local government. They contain the information that keeps government programs functioning. It is our intent that a records management program be established which will assist officials in making decisions, administering programs and providing administrative continuity with past operations. The program would be intended to document delivery of services, show the legal responsibilities of government and protect the legal rights of citizens. It will contain information on taxation and on the management and expenditure of funds. These records will also document the historical document of government itself, the community and the people of the Village of Monticello.
There shall be a records management program established under the aegis of the Village Manager and headed by a records management officer. The Village Clerk is designated as the records management officer and will be responsible for administering the current and archived public records in storage areas for the Village of Monticello in accordance with local, state and federal laws and guidelines.
As used in this chapter, the following terms shall have the meanings indicated:
- Those official records which have been determined by the officer and Advisory Committee to have sufficient historical or other value to warrant the continued preservation by the village.
- Official files, minutes and documents, books, papers, photographs, sound recordings, microforms or any other materials, regardless of physical form or characteristics, made or received pursuant to law or ordinance or in conjunction with the transaction of official village business.
- RECORDS CENTER
- An establishment maintained by the departments or records management officer for the storage, servicing, security and processing of records which must be preserved for varying periods of time and need not be retained in office equipment or space.
- RECORDS DISPOSITION
- The removal by the village in accordance with approved records control schedules of records no longer necessary for the conduct of business by such agency through removal methods which may include the disposition of temporary records by destruction or donation or the transfer of records to a central storage facility for temporary or permanent storage of records determined to have historical or other sufficient value warranting continued preservation and the transfer of records from one village agency to another village agency.
- RECORDS MANAGEMENT
- The planning, controlling, directing, organizing, training, promotion and other managerial activities involved in records creation, records maintenance and use and records disposition, including records preservation, records disposal and the records center or other storage facilities.
- Making information in records available to any agency for official use or to the public.
The records management officer shall have all the necessary powers deemed appropriate by the Village Manager to carry out the efficient administration, determination of value, use, preservation, storage and disposition of the public records kept, filed or received by the officers and departments of the Village of Monticello.
The records management officer shall continually survey and examine public records to recommend their classification so as to determine the most suitable method to be used for the maintaining, storing and servicing of the following:
Obsolete and unnecessary records according to the New York State Retention and Disposition Schedules, thereby subject to disposition;
Information containing administrative, legal, fiscal, research, historical or educational value which warrants their permanent retention; or
Records not subject to disposition according to state law.
The records management officer shall establish guidelines for proper records management in any department of the village government in accordance with local, state and federal laws and guidelines.
The records management officer shall report annually to the Village Manager and the Board of Trustees on the powers and duties herein mentioned, including but not limited to the development and progress of programs to date and planned activities for subsequent years.
The records management officer shall operate a central records management storage facility for storage, processing and servicing of all village records for all village departments and agencies.
Additional requirements of the records management officer include, but are not limited to:
The development of a comprehensive records management program.
The conduct of an initial survey and analysis of all records, to be followed up annually with a report of records stored.
The encouragement and coordination of the continuous legal destruction of obsolete records through the adoption and use of the state archive record retention and distribution schedules.
The development of a suitable retention period for records not covered by the State Records Retention and Disposition Schedules.
The assistance to each department for the establishment of a records management system to support the overall village records management program.
The setting up and overseeing of a center for the storage of inactive records.
The coordinating and carrying out or participating in the planning for development of advanced records management systems and equipment.
The preparation of special and annual reports for the Village Manager and the Board of Trustees on records management program progress, cost savings and cost avoidance problems and additional issues.
There shall be a Records Advisory Board designated to work closely with and provide advice to the records management officer. The Board shall consist of the Village Manager, the Village Historian, a Trustee for the Village Board of Trustees selected by the Mayor, the Village Treasurer and a department head. The Board shall meet periodically and have the following duties:
To provide advice to the records management officer on the development of the records management program.
To review the performance of the program on an ongoing basis and propose changes and improvements.
To review retention periods proposed by the records management officer for records not covered by the state archive schedules.
To provide advice on the appraisal of records for archival value and to be the final sign-off entity as to what is or is not archival.
The records management officer shall maintain physical custody and the official responsibility for all records. Department heads shall retain constructive control and authority over all department records.
No records shall be destroyed or otherwise disposed of by a department of the Village of Monticello unless approval has been obtained from the records management officer. No records shall be destroyed or otherwise disposed of by the records management officer without the express written consent of the department head having authority.
§ 63-9Records inaccessible to the public.
§ 63-10Designation of records access officers; responsibilities.
§ 63-11Location of records.
§ 63-12Hours for public inspection.
§ 63-13Procedure for requests.
§ 63-14Subject matter list.
§ 63-15Denial of access; appeals.
§ 63-17Public notice.
The people's right to know the process of governmental decisionmaking and to review the documents and statistics leading to determinations is basic to our society. Access to such information should not be thwarted by shrouding it with the cloak of secrecy or confidentiality.
These regulations provide information concerning the procedures by which records may be obtained.
Personnel shall furnish to the public the information and records required by the Freedom of Information Law,
The following records, pursuant to village and state law, are not accessible to the public:
Those which are specifically exempted from disclosure by state or federal statute.
Those which, if disclosed, would constitute an unwarranted invasion of personal privacy under the provisions of Subdivision 2 of § 89 of the Public Officers Law.
Those which, if disclosed, would impair present or imminent contract awards or collective bargaining negotiations.
Those which are trade secrets or are maintained for the regulation of commercial enterprise which, if disclosed, would cause substantial injury to the competitive position of the subject enterprise.
Those which are compiled for law enforcement purposes and which, if disclosed, would:
Interfere with law enforcement investigations or judicial proceedings;
Deprive a person of a right to a fair trial or impartial adjudication;
Identify a confidential source or disclose confidential information relating to a criminal investigation; or
Reveal criminal investigative techniques or procedures, except routine techniques and procedures.
Those which, if disclosed, would endanger the life or safety of any person.
Those which are interagency or intraagency materials which are not:
Those which are examination questions or answers which are requested prior to the final administration of such questions.
Those which are computer access codes.
Any conflicts among laws governing public access to records shall be construed in favor of the widest possible availability of public records.
The Board of Trustees of the Village of Monticello is responsible for ensuring compliance with the regulations herein and designates the following persons as records access officers:
Records access officers are responsible for ensuring appropriate agency response to public requests for access to records. The designation of records access officers shall not be construed to prohibit officials who have in the past been authorized to make records or information available to the public from continuing to do so. Records access officers shall ensure that personnel:
Maintain an up-to-date subject matter list.
Assist the requester in identifying requested records, if necessary.
Upon request for copies of records, make a copy available upon payment or offer to pay established fees, if any, in accordance with § 63-16.
Upon request, certify that a record is a true copy.
Records shall be available for public inspection and copying at the office of the Village Clerk, 2 Pleasant Street, Monticello, New York 12701.
Requests for public access to records shall be accepted and records produced during all hours the Village Clerk's office is regularly open for business. These hours are 9:00 a.m. until 5:00 p.m.
A written request is required.
A response shall be given regarding any request reasonably describing the record or records sought within five business days of receipt of the request.
A request shall reasonably describe the record or records sought. Whenever possible, a person requesting records should supply information regarding dates, file designations or other information that may help to describe the records sought.
If the records access officer does not provide or deny access to the record sought within five business days of receipt of a request, he or she shall furnish a written acknowledgment of receipt of the request and a statement of the approximate date when the request will be granted or denied. If access to records is neither granted nor denied within 10 business days after the date of acknowledgment of receipt of a request, such failure may be construed as a denial of access that may be appealed.
The records access officer shall maintain a reasonably detailed current list by subject matter of all records in its possession, whether or not records are available pursuant to Subdivision 2 of § 87 of the Public Officers Law.
The subject matter list shall be sufficiently detailed to permit identification of the category of the record sought.
The subject matter list shall be updated not less than twice per year. The most recent update shall appear on the first page of the subject matter list.
Denial of access to records shall be in writing, stating the reason therefor and advising the requester of the right to appeal to the individual or body established to hear appeals.
If requested records are not provided promptly as required in § 63-13D of these regulations, such failure shall also be deemed a denial of access.
The following person or persons or body shall hear appeals from denial of access to records under the Freedom of Information Law: the Village Manager of the Village of Monticello, 2 Pleasant Street, Monticello, New York 12701, (914) 794-6130.
The time for deciding an appeal by the individual or body designated to hear appeals shall commence upon receipt of written appeal identifying:
The date of the appeal.
The date and location of the request for records.
The records to which the requester was denied access.
Whether the denial of access was in writing or due to failure to provide records promptly as required by § 63-13D.
The name and return address of the requester.
The individual or body designated to hear appeals shall inform the requester of its decision in writing within 10 business days of receipt of an appeal.
The person or body designated to hear appeals shall transmit to the Committee on Open Government copies of all appeals upon receipt of appeals. Such copies shall be addressed to the Committee on Open Government, Department of State, 162 Washington Avenue, Albany, New York 12231.
The person or body designated to hear appeals shall inform the appellant and the Committee on Open Government of its determination in writing within 10 business days of receipt of an appeal. The determination shall be transmitted to the Committee on Open Government in the same manner as set forth in Subsection F of this section.
Copies of records shall be provided according to the following fee schedule:
A notice containing the title or name and business address of the records access officers and appeals person or body and the location where records can be seen or copied shall be posted in a conspicuous location wherever records are kept and/or published in a local newspaper of general circulation.