[HISTORY: Adopted by the Town Board of the
Town of Stillwater as indicated in article histories. Amendments noted
where applicable.]
[Adopted 8-17-2006]
The Town of Stillwater is committed to establishing
and maintaining a comprehensive record management program. The Town
applied for and received grant funds from the New York State Archives
to enhance the existing record management program. Grant funds allowed
for the inventory of records, new shelving and appropriate boxes for
organizing records by series, minor renovations, the development of
an Inactive Records Manual, and the disposition of records that met
their legal retention. The Inactive Records Manual includes a general
overview of the Town's record management program, policies/procedures
for inactive record storage, and the legal destruction of records.
This will allow the Town to continue to maintain the record program
after the grant project ends.
A.
Record management is the systematic creation, organization,
and periodic legal disposition of records. Managing the flow of records
cuts costs while increasing government efficiency. When records are
created, maintained, and disposed of in a systematic fashion, they
become a tremendous asset instead of a burden.
B.
Records are essential to the administration of a local
government. They contain the information that keeps government programs
functioning, give government officials a basis for making decisions,
administering programs, and provide continuity with past operations.
They contain information of taxation and the management and expenditure
of public funds. Records also document the historical development
of the government, the community, and of its people. They provide
evidence of the organization, functions, policies, procedures, decisions
and operations, and interactions with other government units and the
public. Records contain valuable information needed to conduct public
business.
A.
The New York State Archives provides oversight and
services for record management for local governments. A Regional Advisory
Officer is assigned to geographical areas to provide technical assistance
and guidance. The State Archives offers free educational and training
workshops tailored to specific local government record management
needs. Grant funds are available through the Local Government Records
Management Improvement Fund for the improvement of managing and preserving
official and historical records of the Town.
B.
State law defines a record as all books, papers, microforms,
computer-readable tapes, disks or other media, maps, photographs,
film, video and sound recordings, or other documentary materials,
regardless of form or characteristics, made or received by any state
government agency in pursuance of law or in connection with the transaction
of public business.
C.
Documents in any format created for convenience of
reference are not by definition records. By definition, for legal
and practical reasons, library reference materials, envelopes, routing
slips, and all blank forms are not records at all. Convenience copies
Xeroxed by an individual for their immediate use and most drafts should
not be filed in record storage. Their value is short-term and their
function limited.
D.
Most departments have records that need to be retained
although they no longer access the information. All departments in
the Town are required to follow the legal retention listed in the
"New York State Archives Records Retention and Disposition Schedule
MU-1 for Towns." The Town Clerk maintains a copy in her office and
additional copies are available by contacting the State Archives.
A.
The roles and responsibilities of the partnership
of individuals who participate in the record management program vary.
Successful files and record management requires coordination among
many players. The governing body, and the chief executive official
where one exists, shall promote and support a program for the orderly
and efficient management of records. Each local government shall have
one officer who is designated as the Records Management Officer. In
towns, the Town Clerk shall be the Records Management Officer.
B.
The Town Clerk is the Records Management Officer (RMO)
and responsible for administering the Town's records management program.
The RMO plays a central role in supporting files and records management-related
issues in-house and to the public as well as serving as liaison to
the State Archives. They assume responsibility for the development
and maintenance of a record management program, approve the disposition
of records, consult with department heads and encourage the continuous
legal disposition of records.
C.
All staff is accountable to one another for the transfer
of reliable information. Employees who record and organize information
are essential personnel as they monitor the systems used to manage
information. Although it may appear that support staff assume the
primary burden of active and inactive files management, administration
is just as answerable for the integrity of filed records.
A.
The Town creates a tremendous amount of records of
all types and forms, which in time requires the use of office space
as well as a separate storage area to maintain them. When an office
or department has its own storage area, this creates a lack of control
over the records and forfeits many of the advantages of a centralized
system.
B.
A record center allows for periodic legal disposition
of obsolete records, targets permanent records for microfilming and
or imaging, provides adequate security and protection from environmental
hazards and allows for easier access and retrieval of records. It
is not for supplies, reference materials or other nonrecord items
that have no legal, fiscal, administrative, or historical value. The
Town Clerk must approve any exceptions to the above. The record center
is housed in the basement of the Town Hall.
C.
Access to the record center is limited to the Records
Management Officer or other appointed staff. The record center is
for the storage of inactive records. Many inactive records, though
seldom or never used, are retained for a set period because of certain
legal, fiscal or administrative reasons. The record center is a cost-effective
approach to managing the records and protects them from environmental
damage or other disasters.
Legal custody of records transferred to the
record center remains with the department that sent them. The RMO
will have physical custody but will not rearrange a department's records
or provide access to anyone not authorized by the department. Each
department will designate one contact person assigned for the departmental
records and serve as the departmental liaison to the RMO and her staff.
Records that are transferred to the record center
are "inactive" but may need to be referenced from time to time by
contacting the RMO. Only those persons authorized will have access
to the information. A records retrieval request form (page 7[1]) must be completed and sent to the RMO. The RMO or other
designated staff will retrieve the records, make them available or
make the necessary copies and return them to their assigned space
in the record center after use.
[1]
Editor's Note: Page number refers to the form
which is on file in the office of the Town Clerk.
Occasionally a department may find that it needs
records activated to the department as it needs them more frequently
than anticipated. They may therefore wish to withdraw them from record
storage.
A.
Most records sent for storage in the record center
eventually are destroyed once they have met their legal retention
or have been microfilmed. The fiscal year for the Town is January
1 to December 31. It will be up to the RMO or other designated departmental
staff to identify and complete the record destruction form (see page
8[1]) for records maintained in the record center. The form
is forwarded to the appropriate department head for their required
signature before destruction can take place.
[1]
Editor's Note: Page number refers to the form
which is on file in the office of the Town Clerk.
B.
Office staff should complete forms when their office
files have met their legal retention. The original form requires the
signature of the department head who then forwards it for review by
the RMO who must sign off before any destruction can take place. Keep
a copy for your reference until the approved copy returns.
C.
The original form, maintained permanently by the RMO,
serves as the official documentation for a record legally destroyed
in the event that record is subpoenaed or FOILed.[2] A copy of the approved form signed by the RMO is for the
originating department to maintain for their reference.
[2]
Editor's Note: The Freedom of Information
Law is codified at Public Officers Law § 84 et seq.
A.
In order to provide better service to a department
requesting information and to standardize procedures, the following
applies to preparing records for transfer to the record center. A
record transfer list must be completed and sent to the RMO (see page
6[1]).
(2)
Once approved, the RMO will send the appropriate records
storage cartons for transferring the records. Standard record storage
boxes should be used for department records. The standard record storage
box measures 10 inches high by 12 inches wide by 15 inches long and
holds one cubic foot of records. The boxes are available by contacting
the RMO. Departments having oversized material, maps, blueprints,
etc., should contact the RMO prior to packing this material to the
record center. Large banker's boxes and copy paper boxes should not
be used.
(3)
Pack only one record series (a group of similar or
related records that are normally used and filed as a unit, and can
be evaluated as a unit for determining the records retention period)
per box. Only records from a series or subject should be packed together
in the same order they were filed in the active office files. Do not
file records with different retention periods in the same box. If
it is necessary to put records of more than one destruction date in
the same carton, the latest date will apply as the basis for legal
destruction.
(4)
It is advisable that the current and immediate past
year's records be kept in your office for reference.
(5)
Do not fill boxes so tightly as to hamper reference.
There should be three inches of free space between the files and the
carton to allow ease in referencing of files in the box. Records should
be stored in manila file folders, do not use hanging folders. The
records should be kept in proper sequence; whether alphabetical, numerical,
or chronological. Folder labels and indexes should be packed upright
in the carton. Eliminate unnecessary forms or papers such as envelopes,
cover letters, duplicate copies, etc.
(6)
Label boxes by record series or the same labeling
that is currently used in the record center. This allows for consistency
and ease of filing and retrieving information. The legal retention
of records is listed in the State Archives MU-1 Schedule. A copy is
on file in the Town Clerk's office.
(7)
Records that met their legal retention and duplicate
copies will be denied unless sufficiently justified why they need
to be retained.
[1]
Editor's Note: Page number refers to the form
which is on file in the office of the Town Clerk.
B.
Boxes that do not meet the above specifications will
be returned to the originating department.
[Adopted 2-19-2009 by L.L. No. 3-2009[1]]
[1]
Editor's Note: The provisions of this local law were readopted
2-19-2009 by L.L. No. 5-2009.
A.
The Town Board of the Town of Stillwater shall designate the Town
Records Access Officer and Records Appeal Officer in January of each
year at the annual reorganization meeting.
B.
A notice containing the title or name and business address of the
Records Access Officer and Records Appeal Officer and the location
where records can be seen or copied shall be issued in January of
each year at the annual reorganization meeting of the Town Board and
shall be posted in a conspicuous location wherever records are kept
and/or published in a local newspaper of general circulation.
A.
The Records Access Officer shall log each Freedom of Information
Law[1] request on the prescribed Town intake form. The custodian
of the requested record, whether it is the Records Access Officer
or another Town employee or department head, shall then complete the
prescribed action form. These two forms are necessary as control measures
to insure that requests are acted upon in a timely manner in accordance
with the law.
[1]
Editor's Note: The Freedom of Information Law is codified
at Public Officers Law § 84 et seq.
B.
The Records Access Officer shall insure that Town personnel who are
custodians of Town records:
(1)
Maintain an up-to-date subject matter list.
(a)
The Records Access Officer shall maintain a reasonably detailed
current list by subject matter of all records in his or her possession,
whether or not records are available pursuant to § 87, Subdivision
2, of the Public Officers Law.
(b)
The subject matter list shall be sufficiently detailed to permit
identification of the category of the record sought.
(c)
The subject matter list shall be updated annually. The most
recent update shall appear on the first page of the subject matter
list.
(2)
Assist persons seeking records to identify the records sought, if
necessary, and, when appropriate, indicate the manner in which the
records are filed, retrieved or generated to assist persons in reasonably
describing records.
(3)
Contact persons seeking records when a request is voluminous or when
locating records involves substantial effort, so that personnel may
ascertain the nature of records of primary interest and attempt to
reasonably reduce the volume of records requested.
(6)
Upon request, certify that a record is a true copy.
Records shall be available for public inspection and copying
at:
|
Office of the Town Clerk
Stillwater Town Hall
66 East Street
Mechanicville, NY 12118
|
A.
A written request may be required, but oral requests may be accepted
when records are readily available.
B.
If the Records Access Officer determines that the record exists,
the Records Access Officer shall determine whether the request may
be granted or must be denied in whole or in part due to exceptions.
C.
If records are maintained on the internet, the requester shall be
informed that the records are accessible via the internet and in printed
form either on paper or other information storage medium.
D.
Upon receipt of a request, the Records Access Officer shall, within
five business days of receipt of a request, acknowledge receipt of
the request by:
(1)
Informing a person requesting records that the request or portion
of the request does not reasonably describe the records sought, including
direction, to the extent possible, that would enable that person to
request records reasonably described;
(2)
Granting or denying access to records in whole or in part by:
(a)
Including an approximate date when the request will be reasonable
under the circumstances of the request, where the request will be
granted or denied within 20 business days after the date of the acknowledgment;
or
(b)
Providing a statement in writing indicating the reason for inability
to grant the request within 20 business days, and a date certain,
within a reasonable period under the circumstances of the request,
when the request will be granted in whole or in part; or
(3)
If the receipt of the request was acknowledged in writing and included
an approximate date when the request would be granted in whole or
in part within 20 business days of such acknowledgment, but circumstances
prevent disclosure within that time, providing a statement in writing
within 20 business days of such acknowledgment specifying the reason
for the inability to do so and a date certain, within a reasonable
period under the circumstances of the request, when the request will
be granted in whole or in part.
E.
In determining a reasonable time for granting or denying a request
under the circumstances of a request, personnel shall consider the
volume of a request, the ease or difficulty in locating, retrieving
or generating records, the complexity of the request, the need to
review records to determine the extent to which they must be disclosed,
the number of requests received by the Town, and similar factors that
bear on the ability to grant access to records promptly and within
a reasonable time.
F.
If the Records Access Officer does not comply with the time limitations
described herein, such inaction shall constitute a denial of a request
that may be appealed. Noncompliance shall include situations in which
an officer or employee:
(1)
Does not grant access to the records sought, deny access in writing
or acknowledge the receipt of a request within five business days
of the receipt of the request;
(2)
Acknowledges the receipt of a request within five business days but
does not furnish an approximate date when the request will be granted
or denied in whole or in part;
(3)
Furnishes an acknowledgment of the receipt of a request within five
business days with an approximate date for granting or denying access
in whole or in part that is unreasonable under the circumstances of
the request;
(4)
Does not respond to a request within a reasonable time after the
approximate date given or within 20 business days after the date of
the acknowledgment of the receipt of the request;
(5)
Determines to grant a request in whole or in part within 20 business
days of the acknowledgment of the receipt of a request, but does not
do so, unless the Town provides the reason for its inability to do
so in writing and a date certain within which the request will be
granted in whole or in part;
(6)
Does not grant a request in whole or in part within 20 business days
of the acknowledgment of the receipt of a request and does not provide
the reason in writing explaining the inability to do so and a date
certain by which the request will be granted in whole or in part;
or
(7)
Responds to a request, stating that more than 20 business days is
needed to grant or deny the request in whole or in part and provides
a date certain within which that will be accomplished, but such date
is unreasonable under the circumstances of the request.
G.
In accordance with the Freedom of Information Law, the Town may deny
access to records or portions thereof that:
(1)
Are specifically exempted from disclosure by state or federal statute;
(2)
If disclosed would constitute an unwarranted invasion of personal
privacy, including but not limited to:
(a)
Disclosure of employment, medical or credit histories or personal
references of applicants for employment;
(b)
Disclosure of items involving the medical or personal records
of a client or patient in a medical facility;
(c)
Sale or release of lists of names and address if such lists
would be used for commercial or fund-raising purposes;
(d)
Disclosure of information of a personal nature when disclosure
would result in economic or personal hardship to the subject party
and such information is not relevant to the work of the agency requesting
or maintaining it;
(e)
Disclosure of information of a personal nature reported in confidence
to the Town and not relevant to the ordinary work of the Town; or
(f)
Information of a personal nature contained in a workers' compensation
record;
(3)
If disclosed would impair present or imminent contract awards or
collective bargaining negotiations;
(4)
Are trade secrets or are submitted to the Town by a commercial enterprise
or derived from information obtained from a commercial enterprise
and which, if disclosed, would cause substantial injury to the competitive
position of the subject enterprise;
(5)
Are compiled for law enforcement purposes and which, if disclosed,
would:
(a)
Interfere with law enforcement investigations or judicial proceedings;
(b)
Deprive a person of a right to a fair trial or impartial adjudication;
(c)
Identify a confidential source or disclose confidential information
relating to a criminal investigation; or
(d)
Reveal criminal investigative techniques or procedures, except
routine techniques and procedures;
(6)
If disclosed, could endanger the life or safety of any person;
(7)
Are interagency or intra-agency materials which are not:
(8)
Are examination questions or answers which are requested prior to
the final administration of such questions;
(9)
If disclosed, would jeopardize the Town's capacity to guarantee the
security of its information technology assets, such assets encompassing
both electronic information systems and infrastructures; or
(10)
Are photographs, microphotographs, videotapes or other recorded
images prepared under authority of the Vehicle and Traffic Law.
A.
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 determine appeals, who shall be
identified by name, title, business address and business phone number.
B.
If requested records are not provided as required in § 37-16 of this article, such failure shall also be deemed a denial of access.
C.
The following person shall determine appeals regarding denial of
access to records under the Freedom of Information Law:[1]
|
Stillwater Town Supervisor
Stillwater Town Hall
| ||
|
Mailing Address:
P.O. Box 700
Stillwater, NY 12170
|
Physical Address:
66 East Street
Mechanicville, NY 12118
| |
|
Business Phone Number: 518-664-6148
| ||
[1]
Editor's Note: See Public Officers Law § 84 et seq.
D.
Any person denied access to records may appeal within 30 days of
a denial.
E.
The time for deciding an appeal by the individual or body designated
to determine appeals shall commence upon receipt of a written appeal
identifying:
F.
A failure to determine an appeal within 10 business days of its receipt
by granting access to the records sought or fully explaining the reasons
for further denial in writing shall constitute a denial of the appeal.
G.
The person or body designated to determine appeals shall transmit
to the Committee on Open Government copies of all appeals upon receipt
of appeals. Such copies shall be addressed to:
|
Committee on Open Government
Department of State
41 State Street
Albany, NY 12231
|
H.
The person or body designated to determine appeals shall inform the requester 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 G of this section.
B.
Fees for copies may be charged, provided that:
(1)
The fee for copying records shall not exceed $0.25 per page for photocopies
not exceeding nine inches by 14 inches. This subsection shall not
be construed to mandate the raising of fees where agencies or municipalities
in the past have charged less than $0.25 per page for such copies.
(2)
The fee for copies of records not covered by Subsection B(1) of this section shall not exceed the actual reproduction cost, which is the average unit cost for copying a record, excluding fixed costs of the Town such as operator salaries.
(3)
The Town of Stillwater shall charge $0.25 per page as the cost for
reproduction of records that do not exceed nine inches by 14 inches.
