ORDER IN THE COURT: ORGANIZING LOCAL COURT RECORDS Becky Letko Court Analyst NYS Unified Court System Office of Court Administration Office of Records Management AGENDA: WHAT YOU’LL LEARN TODAY     Definitions of what constitutes a record Where to find statutes relating to Local Court records Common issues regarding Local Court records involving both the Courts and Records Management Officers Retention Schedules:        Where to find them How to use them What Court Record Series are Retention Periods for some of the Court Records you deal with How to Fill out a Records Disposition Request Form Some Strategies for coding and filing that will facilitate future purge projects How to contact the Records Management Office staff WHAT IS A RECORD?   Recorded information created or received in the course of conducting business regardless of media Court Records (Rules of the Chief Administrator Part 104.1b) “. . . shall include all documents and records that are part of the court file of each case and all books, papers, calendars, statistical schedules and reports and other records pertaining to the management of court cases.” STATUTES PERTAINING TO COURT RECORDS:       TOWN LAW Art. 3 sub. sect. 31, UCCA 2019 & UJCA 2019 demand that all judges of the Justice Courts keep or cause to be kept legible, suitable records and dockets of all criminal actions and proceedings separate and apart from civil actions. UJCA 107 also states the above and adds that the rules may prescribe their form, care, custody and disposition. Rules of the Chief Judge: Part 38.1(a) says the Chief Administrator of the Courts shall adopt rules providing for the retention and disposition of court records. Rules of the Chief Administrator of the Courts: Parts 104.1104.5 gives the authority to our office to devise retention schedules, reproduction and destruction procedures, and make determinations as to the suitability of off- site storage. It also states the requirement for written requests for disposal of court records. 22 NYCRR 214.11 Uniform Civil Rules for the Justice Courts describes record keeping requirements and defines records as including: cases, copies of any original documents forwarded to another court or agency, an index of cases filed with their unique numbers, chronological cashbook with all receipts and disbursements, civil cases and specific information to be included in those cases. UJCA 2019-a discusses the transfer of custody of Justices’ criminal records and dockets to the clerk of the municipality (Town or Village) upon expiration of the Judge’s term. ISSUES FOR LOCAL COURTS AND RMOS THE BIG 4 CS:  Custody Who is responsible for what?  Physical custody vs. responsibility   Care Proper environments  Security   Confidentiality Access  Dissemination   Cooperation Ensuring proper treatment of Court Records  Obtaining grant monies  Administrative Records:       Fiscal General Personnel Records Management Security Court Records:      Civil Records of the Civil Court of the City of New York, City Courts, District Courts and Town & Village Courts Criminal Records of the Criminal Court of the City of New York, City Courts, District Courts and Town & Village Courts Drug Treatment Court Family Court Jury System SEPARATE RETENTION SCHEDULES:  THESE ARE THE SCHEDULES THAT MAY REFER TO RECORDS THAT ARE CREATED AND/OR RECEIVED IN THE LOCAL COURT THESE MATERIALS ARE FOUND ON OUR WEBSITE: WWW.NYCOURTS.GOV/ADMIN/ RECORDSMANAGEMENT WHAT IS A RECORD SERIES? EXAMPLES OF TITLES:      Fiscal:  Accounts Receivable  Accounts Payable  Banking Civil:  Civil (under Case Files)  Record of Court Activity (Docket Books) Criminal Records (NYC, City, District, Town & Village):  Criminal Misdemeanors  Motor Vehicle/Traffic Infractions  Violations General Administrative:  Appointment calendars  Grant Program files Records Management:  Records Inventories  Records Disposition Request forms CRIMINAL RECORDS : RETENTION SCHEDULE PAGE SAMPLE: RECORD OF COURT ACTIVITY: RECORDS DISPOSITION REQUEST FORM: CRIMINAL CASE FLOWCHART: This can also be found on our Website under : “Publications & Training Materials” “Local Courts” “Flowchart for Purging Criminal Case Files” WHERE TO START:  Inventory  Include information on:         Coding  Information that will assist with the Purging process:    Location Dates of disposition and/or creation Any pertinent information to facilitate retrieval (ex. Judge’s name) Record Series Title(s) Status (Active/Inactive) Format (Don’t forget to include electronic records) Related retention period(s) Record Series Titles Retention Periods Filing Strategies  Consider benefits for retrieval and retention INVENTORY EXISTING RECORDS: FILING STRATEGIES: DO NOT INTERFILE CIVIL & CRIMINAL CASES (REMEMBER THE STATUTE…) Civil:   Keep active cases separate from inactive cases Store by initiation or purge dates which should be clearly marked along with the fact that it is a Civil record case type Criminal:    Keep disposed cases separate from open cases (open = not adjudicated, unpaid or otherwise unsatisfied conditions) Store by disposition or purge dates which should be clearly marked along with the Record Series Type Clearly distinguish Youthful Offender, dismissed & otherwise sealed cases FILING STRATEGIES…CONTINUED Criminal & Civil Case Files    Keep case records complete (make sure all parts of a case are stored together) And don’t forget to…  Separate materials that are not part of the actual case record (ex. Judge’s notes, duplicate copies)  Conspicuously mark and /or hi-light the case type & retention date  Put the information on outside of file jacket or cover sheet  Color code and keep an index    Utilize electronic tracking systems Accurately mark any storage boxes with records types and retention periods Make the filing system logical and consistent to facilitate access Redesign previous filing sequences that are inefficient Train personnel to maintain consistency CODING FOR RETENTION AND PURGING:  Information needed (as a minimum):  Record Series:  So that all of one type can be grouped together for purposes of filling out a Records Disposition Request form  Retention Period:  So that records that can be purged can easily be identified at the time they are eligible  So that records that must be retained can be easily identified and secured CODING EXAMPLES:  Record Series Title:        “F” -Felony Arraignment “M” -Criminal Misdemeanor “T” -Motor Vehicle/Traffic infraction “V” -Violation “P” -Parking “C” -Civil Retention Period:      Red -permanent Pink -25 years Green -10 years Blue -6 years Yellow/Orange -1 year M 3/2022 = Misdemeanor disposed in March of 1997 This code applies to a case where there was at least one Misdemeanor conviction in the case. This charge was the highest level of conviction within the case. The Records Series title and number are : “Criminal Misdemeanors #80010(a)” and the case can not be purged until after March 2022. M 8/2008 = Misdemeanor disposed in August of 2002 This case originated with a Misdemeanor as the highest level of charge and was subsequently dismissed. Record Series Info: “Criminal Misdemeanors #80010(b)” This case can be purged after August 2008. CREATE A RECORDS PROCEDURE MANUAL: Document the organization & implementation of your filing and coding strategies  Include all processes & procedures for the entire life cycle of a case file (from initiation to disposition)  Include regulations, policies and informal practices  Document the previous filing systems that were inherited  Update the manual as practices change and…  Keep a Master Copy and copies of all updates permanently to maintain access to all records even after there has been a change in procedures  OFFICE OF RECORDS MANAGEMENT WEBSITE: WWW.COURTS.STATE.NY.US/ADMIN/RECORDSMANAGEMENT  Rick Hogan - Chief Records Manager (212) 428-2877 [email protected]    Jane Chin - Deputy Chief Records Manager (212) 428-2878 [email protected] Vincent Armerino - Principal Court Analyst (212) 428-2879 [email protected] Becky Letko - Court Analyst (518) 238-4399 [email protected] THANK YOU FOR COMING! -Becky Letko Court Analyst Office of Records Management