ORDER IN THE COURT: ORGANIZING LOCAL COURT RECORDS

Becky LetkoCourt Analyst

NYS Unified Court SystemOffice of Court

AdministrationOffice of Records

Management

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

AGENDA: WHAT YOU’LL LEARN TODAY

WHAT IS A RECORD?

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 104.1-104.5 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

SEPA

RATE R

ETEN

TIO

N

SC

HED

ULES

:

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

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

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:

CR

IMIN

AL C

AS

E F

LO

WC

HA

RT:

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: 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)

Coding Information that will assist with the Purging process:

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…)

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

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

Civil: Criminal:

FILING STRATEGIES…CONTINUED

Keep case records complete (make sure all parts of a case are stored together)

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

Criminal & Civil Case Files And don’t forget to…

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 = Misdemeanor3/2022 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 = Misdemeanor8/2008 disposed in August of 2002This 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 MANAGEMENTWEBSITE: WWW.COURTS.STATE.NY.US/ADMIN/RECORDSMANAGEMENT Rick Hogan - Chief Records Manager

(212) 428-2877 rhogan@courts.state.ny.us

Jane Chin - Deputy Chief Records Manager (212) 428-2878 jchin@courts.state.ny.us

Vincent Armerino - Principal Court Analyst (212) 428-2879 varmerin@courts.state.ny.us

Becky Letko - Court Analyst (518) 238-4399 bletko@courts.state.ny.us

THANK YOU FOR COMING!

-Becky Letko Court AnalystOffice of Records Management