3.6 – Records Management Policy and Procedures
Standard: The agency shall have established policy and procedures for control, maintenance, and retention of records that are periodically reviewed. Records management policies and procedures address retention, disposal, access, disclosure and distribution of documents, including freedom of information requests, and they must be consistent with legal requirements.
Suggested Evidence of Compliance: Provide records management policy and procedures and a copy of the most recent review.
COMMENT: Document notes the last review/update and approval was in February 2023. Meeting minutes or other EOC for the evaluation?
RESPONSE: This policy was updated to meet the guidelines sent by the Director of Knowledge Management & Archives on 1/30/2023. This memo is now included as EOC 7.
COMMENT: EOC 3 NYS Records Retention and Disposition Schedule. Identify/highlight as necessary.
RESPONSE: The entire document is relevant. Each section outlines retention details for specific records. For example, the record retention code and details for a “legal agreement” can be found under CO2 6 – PDF page 43, document page 7.
COMMENT: EOC 5 and 6 appear to link to the same document.
RESPONSE: The correct backup for EOC 5 is now attached and the link is https://collections.westchestergov.com/digital/
EOC 8 has been added as it was in section 3.6.1 in the original submission but it fits better in section 3.6. The relevant section #13 of this document has been highlighted.
Narrative:
PRC Records Management Policy, which is reviewed as needed, follows the established policies and procedures for control, maintenance and retention of records through the Charter of Westchester County, New York: Chapter 631 Records Management and Archives Program, and the New York State Records Retention and Disposition Schedule LGS-1. These policies and procedures address retention, disposal, disclosure and distribution consistent with legal requirements.
PRC retains financial, payroll and enrollment records, and other information useful for comparison and referral onsite for the current and previous year. All other records are sent to the County Records Center. Historical documents are sent to the County Archives at the Records Center. The Coordinator – Fiscal Operations is responsible for preparing and documenting materials sent through the Westchester Archives & Records Management Program (WESTARM).
Agency Evidence of Compliance:
3.6 – EOC 1 PRC Records Management Policy
3.6 – EOC 2 Westchester County Charter: Chapter 631 Records Management and Archives Program
3.6 – EOC 3 NYS Records Retention and Disposition Schedule LGS-1
3.6 – EOC 4 WESTARM Records Management User Manual
3.6 – EOC 5 Westchester County Archives Digital Collection Webpage
https://collections.westchestergov.com/digital/
3.6 – EOC 6 History of the Westchester County Archives Webpage