[HISTORY: Adopted by Town Board of the Town of Smithtown 12-27-1994 by L.L. No. 8-1994. Amendments noted where applicable.]
The purpose of this Article is to set forth the methods and procedures governing the availability, location and nature of those records of the Town of Smithtown subject to the provisions of Article 6 of the Public Officers Law, known as the "Freedom of Information Law."
A. 
The Town Board of the Town of Smithtown is responsible for ensuring compliance with the regulations herein and has designated the Town Attorney as the records access officer.
B. 
The records access officer is responsible for ensuring appropriate agency response to public request for access to records pursuant to the provisions of the Freedom of Information Law. All requests for records shall be forwarded to the records access officer for processing.
C. 
The records access officer shall ensure that agency personnel:
[Added 10-3-2023 by L.L. No. 14-2023]
(1) 
Maintain an up-to-date 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 the 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.
(4) 
Upon locating the records, take one of the following actions:
(a) 
Make records available for inspection; or
(b) 
Deny access to the records in whole or in part and explain in writing the reasons therefor.
(5) 
Upon request for copies of records:
(a) 
Make a copy available upon payment or offer to pay established fees, if any, in accordance with § 40-6; or
(b) 
Permit the requester to copy those records.
(6) 
Upon request, certify that a record is a true copy; and
(7) 
Upon failure to locate records, certify that;
(a) 
The Town is not the custodian for such records; or
(b) 
The records of which the Town is a custodian cannot be found after diligent search.
Records shall be available for public inspection and copying at the Town Clerk's office, 99 West Main Street, Smithtown, New York, and/or other designated locations of retention.
Requests for public access to records shall be accepted and records shall be produced during the hours that Town offices are regularly opened for business.
[Amended 10-3-2023 by L.L. No. 14-2023]
A. 
A written request may be required, but oral requests may be accepted when records are readily available.
B. 
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.
C. 
A response shall be given within five business days of receipt of a request by:
(1) 
Informing the 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;
(3) 
Acknowledging the receipt of a request in writing, including an approximate date when the request will be granted or denied in whole or in part, which shall be reasonable under the circumstances of the request and shall not be more than 20 business days after the date of the acknowledgment, or if it is known that circumstances prevent disclosure within 20 business days from the date of such acknowledgment, providing a statement in writing indicating the reason for inability to grant the request within that time 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
(4) 
If the receipt of 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.
D. 
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 agency, and similar factors that bear on the ability to grant access to records promptly and within a reasonable time.
E. 
A failure to comply with the time limitations described herein shall constitute a denial of a request that may be appealed. Such failure shall include situations in which an officer or employee:
(1) 
Fails to 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 a request;
(2) 
Acknowledges the receipt of a request within five business days but fails to 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) 
Fails to 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 a 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 fails to do so, unless the agency 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 fails to 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 are 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.
[Amended 10-3-2023 by L.L. No. 14-2023]
A. 
There shall be no fee charged for:
(1) 
Inspection of records;
(2) 
Search for records; or
(3) 
Any certification pursuant to this article.
B. 
Copies may be provided without charging a fee.
C. 
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;
(2) 
The fee for photocopies of records in excess of nine inches by 14 inches shall not exceed the actual cost of reproduction; or
(3) 
An agency has the authority to redact portions of a paper record and does so prior to disclosure of the record by making a photocopy from which the proper redactions are made.
D. 
The fee the Town charges for a copy of any other record is based on the actual cost of reproduction and may include only the following:
(1) 
An amount equal to the hourly salary attributed to the lowest paid employee who has the necessary skill required to prepare a copy of the requested record, but only when more than two hours of the employee's time is necessary to do so; and
(2) 
The actual cost of the storage devices or media provided to the person making the request in complying with such request; or
(3) 
The actual cost to the Town of engaging an outside professional service to prepare a copy of a record, but only when the Town's information technology equipment is inadequate to prepare a copy, and if such service is used to prepare the copy.
E. 
When the Town has the ability to retrieve or extract a record or data maintained in a computer storage system with reasonable effort, or when doing so requires less employee time than engaging in manual retrieval or redactions from nonelectronic records, the Town shall retrieve or extract such record or data electronically. In such case, the Town may charge a fee in accordance with Subsection D(1) and (2) above.
F. 
The Town shall inform a person requesting a record of the estimated cost of preparing a copy of the record if more than two hours of a Town employee's time is needed, or if it is necessary to retain an outside professional service to prepare a copy of the record.
G. 
The Town may require that the fee for copying or reproducing a record be paid in advance of the preparation of such copy.
H. 
The Town may waive a fee in whole or in part when making copies of records available.
The records access officer shall, in accordance with this Article, make available for public inspection all records, except that the records access officer may deny access to records or portions thereof which are not subject to disclosure in accordance with the provisions of Subdivision 2 of § 87 of the Public Officers Law or any other applicable state or federal statute.
[Amended 10-3-2023 by L.L. No. 14-2023]
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, which shall be identified by name, title, business address and business phone number.
B. 
If requested records are not provided promptly, as required in § 40-5 of this article, such failure shall also be deemed a denial of access.
C. 
The Town Board shall determine appeals regarding denial of access to records under the Freedom of Information Law.
D. 
Any person denied access to records may appeal within 30 days of a denial.
E. 
The time for deciding an appeal by the Town Board shall commence upon receipt of a written appeal identifying:
(1) 
The date and location of requests for records;
(2) 
A description, to the extent possible, of the records that were denied; and
(3) 
The name and return address of the person denied access.
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 Town Board 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
One Commerce Plaza
99 Washington Avenue, Suite 650
Albany, NY 12231
H. 
The Town Board shall inform the appellant 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 Subsection G of this section.
Records are essential to the administration of local government. They contain the information that keeps government programs functioning. It is the intent of this Article that a records management program be established which will assist officials in making decisions, administering programs and providing administrative continuity with past operations. The program is intended to document the delivery of services, show the legal responsibilities of government and protect the legal rights of citizens. It will contain information on taxation and on the management and expenditure of funds. These records will also document the historical development of government itself, the community and the people of the Town.
As used in this Article, the following terms shall have the meanings indicated:
ARCHIVES
Those official records which have been determined by the records management officer and Advisory Committee to have sufficient historical or other value to warrant their continued preservation by the local government.
RECORDS
Any documents, books, papers, photographs, sound records, microforms or any other materials, regardless of physical form or characteristics, which are the property of the Town of Smithtown or which are made or received pursuant to law or in connection with the transaction of official Town of Smithtown business.
RECORDS CENTER
An establishment maintained by the Town of Smithtown primarily for the storage, servicing, security and processing of records which must be preserved for varying periods of time and need not be retained in office equipment or space.
RECORDS DISPOSITION
A. 
The removal by the Town of Smithtown, in accordance with approved records control schedules, of records no longer necessary for the conduct of business by such agency through removal methods which may include:
(1) 
The disposal of temporary records by destruction or donation.
(2) 
The transfer of records to the record center/archives for temporary storage of inactive records and permanent storage of records determined to have historical or other sufficient value warranting continued preservation.
B. 
The transfer of records from one Town agency to any other Town agency.
[Amended 10-3-2023 by L.L. No. 14-2023]
RECORDS MANAGEMENT
The planning, controlling, directing, organizing, training, promotion and other managerial use and records disposition, including records preservation, records disposal and records centers or other storage facilities.
SERVICING
Making information in records available to any Town of Smithtown agency for official use or to the public.
There shall be a records management program established under the aegis of the Town Clerk and headed by the records management officer. The Town Clerk is designated as the records management officer (RMO) and will be responsible for administering the current and archival public records in storage areas for the Town in accordance with local, state and federal laws and guidelines.
The records management officer shall have the necessary powers to carry out the efficient administration and determination of value, use, preservation, storage and disposition of the noncurrent and archival public records kept, filed or received by the offices and departments of the Town of Smithtown. The records management officer shall:
A. 
Continually survey and examine public records to recommend their classification so as to determine the most suitable method to be used for maintaining, storing and servicing them under the following guidelines:
(1) 
Records deemed obsolete and unnecessary according to the New York State Retention and Disposition Schedule are subject to disposition.
(2) 
Information containing administrative, legal, fiscal, research, historical or educational value which warrant their permanent retention.
(3) 
Records not yet subject to disposition according to state law.
B. 
Establish guidelines for proper records management in any department or agency of the Town of Smithtown in accordance with local, state and federal laws and guidelines.
C. 
Report annually to the chief executive official and the governing body on the powers and duties herein mentioned, including but not limited to the cost/benefit ratio of programs effectuated by the department.
D. 
Operate a records center for the storage, processing and servicing of all noncurrent and archival records for all Town of Smithtown departments and agencies.
[Amended 10-3-2023 by L.L. No. 14-2023]
E. 
Establish a Town of Smithtown archives and perform the following functions:
(1) 
Advise and assist Town of Smithtown departments in reviewing and selecting material to be transferred to the Town of Smithtown archives for preservation.
(2) 
Continually survey and examine public records to determine the most suitable methods to be used for the creating, maintaining, storing and servicing of archival materials.
(3) 
Establish and maintain an adequate repository for the proper storage, conservation, processing and servicing of archival records.
(4) 
Promulgate rules governing public access to and use of records in the archives, subject to the approval of the Records Advisory Board.
(5) 
Develop a confidentiality policy for archival records designated confidential, provided that such policy does not conflict with any federal or state statutes.
(6) 
Provide information services to other Town of Smithtown offices.
(7) 
Collect archival materials which are not official Town of Smithtown records but which have associational value to the Town of Smithtown or a close relationship to the existing archival collection. Such collecting shall be subject to archive space, staff and cost limitations and to the potential endangerment of such materials if they are not collected by the archives.
(8) 
Develop a procedure whereby historically important records are to be identified at the point of generation.
There shall be a Records Advisory Board designated to work closely with and provide advice to the records management officer. The Board shall consist of no more than five members to be appointed by the Town Clerk. The Board shall meet periodically and have the following duties:
A. 
To provide advice to the records management officer on the development of the records management program.
B. 
To review the performance of the program on an ongoing basis and propose changes and improvements.
C. 
To review any changes in retention period proposed by the records management officer for records not covered by the state archives schedules.
D. 
To provide advice on the appraisal of records for archival value.
A. 
Active records. The originating department has full custody (legal and physical) over records still in active use.
B. 
Inactive records. The originating department is the legal custodian of its records and shall retain the power to retrieve and use records deposited in inactive storage in the records center. The RMO will have physical custody of inactive records and will determine the method and design of storage.
C. 
Archival records. Records transferred to or acquired by the archives shall be under the full custody (legal and physical) of the archives, as directed by the RMO, rather than the department which created or held them immediately prior to being transferred to the archives.
(1) 
Records shall be transferred to the archives upon the recommendation of the RMO, with the approval of the head of the department which had custody of the records and the approval of the Records Advisory Board.
(2) 
Records may be removed (temporarily or permanently) from the archives at the request of the RMO or the head of the department which had custody of the records immediately prior to the transfer of those records to the archives, subject to the approval of the Records Advisory Board.
No records shall be destroyed or otherwise disposed of by a department of the Town until it has met the time limit on the State Records Retention and Disposition Schedule.
A. 
The State Records Retention and Disposition Schedule is a schedule developed and adopted by the Commissioner of Education which establishes minimum legal retention periods for public records.
B. 
Such schedules shall be reviewed and adopted by formal resolution of the Town of Smithtown prior to the disposition of any records.
C. 
If any law specifically provides a retention period longer than established by the records retention and disposition schedule established herein, the retention period established by such law shall govern.
D. 
In the event that the Town of Smithtown intends to destroy or otherwise dispose of a record which has met the minimum retention period pursuant to the State Records Retention and Disposition Schedule, approval must be received from the records management officer with the express written consent of the department head having actual authority over said record.
E. 
Following required consents and prior to actual destruction, the records management officer will allow the Town Historian to review and/or remove any single document or sampling of documents that are of historic value to the community.