Transcript ORGANIZING COURT RECORDS: how to keep what you have to …

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
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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:
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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?
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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:
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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:
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Custody
Who is responsible for what?
 Physical custody vs. responsibility
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Care
Proper environments
 Security
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Confidentiality
Access
 Dissemination
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Cooperation
Ensuring proper treatment of Court Records
 Obtaining grant monies
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Administrative Records:
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Fiscal
General
Personnel
Records Management
Security
Court Records:
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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:
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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:
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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:
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Inventory
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Include information on:
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Coding
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Information that will assist with the Purging process:
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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
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Consider benefits for retrieval and retention
INVENTORY EXISTING RECORDS:
FILING STRATEGIES:
DO NOT INTERFILE CIVIL & CRIMINAL CASES (REMEMBER THE
STATUTE…)
Civil:
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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:
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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
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Keep case records complete
(make sure all parts of a case
are stored together)
And don’t forget to…
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Separate materials that are
not part of the actual case
record (ex. Judge’s notes,
duplicate copies)
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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
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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:
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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
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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:
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Record Series Title:
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“F” -Felony Arraignment
“M” -Criminal
Misdemeanor
“T” -Motor Vehicle/Traffic
infraction
“V” -Violation
“P” -Parking
“C” -Civil
Retention Period:
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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
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OFFICE OF RECORDS MANAGEMENT
WEBSITE:
WWW.COURTS.STATE.NY.US/ADMIN/RECORDSMANAGEMENT
 Rick Hogan - Chief Records Manager
(212) 428-2877 [email protected]
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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