Using the State Records Center
Publication #83
2009

Table of Contents

Introduction

General Information

Transferring Records to the SRC

Transferring Other Media

Access Procedures

Disposition of Records

For More Information and Assistance

Appendix A: Records Center Transfer List (REC-1) and Continuation Sheet (REC 1A)

Appendix B: Instructions for Completing a Records Center Transfer List (REC-1) and Continuation Sheet (REC-1A)

Appendix C: Records Center Reference Request (REC-2)

Appendix D: Instructions for Completing a Records Center Reference Request (REC-2)

Appendix E: Records Center Interfile Transmittal (REC-8) and Instructions for Completing a Records Center Interfile Transmittal (REC-8)

Appendix F: Records Withdrawal Authorization (REC-10)

Appendix G: Instructions for completing a Records Withdrawal Authorization (REC-10)

Appendix H: Records Disposition Notification

Appendix I: Information on the State Records Center Wastepaper Contract

Introduction

The New York State Records Center (SRC), operated by the New York State Archives, provides efficient, low-cost, inactive records storage and retrieval for New York State agencies. Located in Building 21 at the Governor W. Averell Harriman State Office Building Campus in Albany , the SRC has been serving state agencies since 1967.

SRC services available to state agencies include

The records you store at the SRC remain in the legal custody of your agency. Access to records is limited to your Records Management Officer (RMO) and to staff authorized by the RMO to have access rights. According to the Regulations of the Commissioner of Education, every state agency must have an RMO, who is charged with planning, promoting, and monitoring your agency's records management program in consultation with agency program managers and staff of the State Archives.

The State Archives encourages state agency RMOs and other interested staff to schedule a tour of the SRC to see the facility firsthand and to discuss how your agency can take advantage of its services. For more information, contact:

State Records Center
Building 21, State Office Campus
Albany, NY 12226
(518) 457-3171 or (518) 457-1040
Fax: (518) 457-2009
records@mail.nysed.gov

General Information

Please follow the policies and procedures outlined in this guide. Your RMO is responsible for ensuring your staff members know these policies and procedures and any subsequent revisions.

Hours of Operation

With the exception of state holidays, the SRC is open Monday through Friday from 8:00am to 4:00pm.

Access Restrictions

Access to your agency's records is limited to your RMO and other staff members authorized by the RMO to have access. To ensure the security of your records, your RMO should

Following the Regulations of the Commissioner of Education, we will immediately notify your RMO in the event the SRC is served with a subpoena, a request for certification of authenticity, a written request for access to records, or any legal process that relates to your records. Your agency will then be responsible for responding to that order.

Emergency Access to Records

If an emergency occurs outside the SRC's normal hours of operation, you may arrange access to records through the Division of State Police (DSP) Security Services dispatcher at (518) 474-5330. DSP maintains a roster of emergency contacts in the State Archives.

Storage Charges

Fees for storing state agency records are specified in the Regulations of the Commissioner of Education, effective February 5, 2009:

Fees for records center facility storage will be calculated based on the average monthly holdings of the records center facilities at $2.90 per item. An item is defined as a cubic foot for storage of paper records; a cartridge, tape or disk for storage of computer or other magnetic and optical media; a reel or equivalent microform for storage of microfilm; or other item handled.

There are no fees for the retrieval, delivery, and refiling of paper records, computer tapes, and microfilm. The rate above is subject to change.Your bill will also include the annual indirect fee for State Archives records management advisory services, which was established in the Regulations of the Commissioner of Education. This fee is based on the total volume of records in your agency’s custody. Please note that the SRC cannot bill program units individually.

To set up an account for our services, your RMO must provide the State Archives with your agency's name and address, and the name, title, unit, e-mail address, and phone number of the person responsible for processing payment of the agency's records management fees.

Transferring Records to the SRC

According to the commissioner's regulations, no agency shall destroy, transfer custody of, destroy the means to access, or otherwise dispose of any records without first having secured a records disposition authorization (RDA) from the State Archives.

Paper Records

You can transfer paper records to the SRC only if

If records are contaminated (with mold, asbestos, or vermin, for example) or harmful in any way, it is your responsibility to resolve the problem before transferring records to the SRC.  If you need advice on remediation or abatement services, contact the State Archives’ Government Records Services unit at (518) 474-6926.

Many state agencies anticipate a change or reduction in their inactive storage space because they are relocating or reconfiguring their offices. If you are in this situation, we strongly suggest that you plan for the transfer of records to the SRC at the same time you begin planning for a change or reduction in storage.

Before transferring records to the SRC, inform SRC staff about the impending need to store records there, so they can review your transfer lists and arrange for transfer when space is available.

Inform us in writing about any revisions to RDAs that affect records stored in the SRC. Provide a transfer list number, the affected box numbers, the RDA number, and new disposition dates.

In addition, when transferring records to the SRC, you must

State agencies located outside the Capital District must also arrange delivery of their records to the SRC.

Special Media

The SRC offers climate-controlled vault storage for special media (magnetic tapes and optical media), regardless of whether the records they contain are inactive. Many state agencies choose to store backups of their critical systems at the SRC as a security and disaster management measure. For specific instructions on preparing special media for transfer, see "Transferring Other Media."

Preparing Paper Records for Transfer

Please follow these instructions for paper records you intend to transfer to the SRC. The SRC reserves the right to return containers that have not been packed properly:

Records Containers

Standard Records Containers

The SRC must limit the amount of space devoted to non-standard containers. Generally, we will accept only standard, cubic-foot containers (measuring 15"x12"x10") that have shoebox lids and handhold openings. These containers can accommodate either legal- or letter-sized records.

Non-Standard Containers

The SRC will accept non-standard containers only when

If you need to use non-standard containers, provide an empty, sample container to the SRC for approval before transferring the records.

Used Containers

Used containers in good condition are allowed if you remove or obscure the old SRC barcode label, shelf location, and agency information. Used containers are available from the SRC at no cost.

Purchasing Containers

You may buy standard containers from the New York State Industries for the Disabled (NYSID), 155 Washington Avenue, Suite 400 , Albany , New York 12210 ; (518) 463-9706; fax: (518) 455-0315.

Please contact the SRC for more information if you are unable to find appropriate non-standard containers for certain records.

Labeling Containers for Transfer

Scannable barcode labels are an integral part of the SRC's database management system, permitting faster and more efficient storage and retrieval of boxes. Your RMO is responsible for requesting barcode labels from the SRC and distributing them to appropriate agency staff. You can use the barcode number (the six-digit number in the center of the sample barcode label illustrated below) to track your records in the SRC.

Place one barcode label below a handhold opening on each box. You must add your agency information to the barcode information, using one of the following methods:

Sample barcode label with two-digit agency number in  the upper left, the transfer list number in the upper right, "New York State Records Center" and the barcode in the center.

or

In either case,

Agency Control Numbers

Although it is not necessary to use box numbers other than those on the barcode labels, a second, simple numbering system will provide us with an alternate means of searching the SRC database. Number all of your boxes sequentially, starting with 1 and ending with whatever number corresponds with the final box in your shipment.

Transfer Lists

To request a transfer of records to the SRC, complete form REC-1, "Records Center Transfer List," and, if necessary, REC-1A , "Continuation Sheet." These forms are available in Appendix A, and instructions for completing them are in Appendix B. The forms and instructions are also available on the State Archives' website

Your RMO must review the completed transfer lists for accuracy, clarity, and completeness before submitting them to the SRC. When preparing transfer lists, be sure to

Preparing Containers for Transport

Ensure your staff members fully understand and follow the procedures below for preparing containers of records for transfer:

 

 

Shows the front view of the pallet with three boxes across and stacked five boxes high.

 

Shows a side view of the pallet with the sides of two stacks of boxes five high sandwiching one column of boxes five high facing toward the viewer.

 

 

Front View

 

Side View

 

 

We reserve the right to refuse improperly loaded pallets. Overloading may result in damage to boxes on the bottom level and injury to SRC employees. Pallets with more than forty containers will not fit onto the SRC's truck.

Moving Containers to the SRC

After we receive and review your transfer list, we will contact your RMO to resolve any questions and arrange a transfer date once space is available. We will accept or transport only those records that we have approved for storage on a given transfer date.

The SRC will provide transportation services for Capital District agencies that cannot deliver their records. You are responsible for moving your containers to your loading dock and providing loading assistance. Inform OGS Security about the scheduled pickup so that SRC staff will be allowed to enter the building and move records from the loading dock to the SRC truck.

If you are arranging delivery of your own records, use a truck measuring no more than 12' 6" in height, since vehicles over that height will not fit through the SRC's loading dock doors. If necessary, check with OGS and commercial carriers to be sure their trucks have the appropriate dimensions.

The SRC will accept deliveries of records from Monday through Friday between 8:00am and 12pm, and from 12:30pm to 3:30pm.

Transferring Other Media

Preparing Microfilm for Transfer

The SRC stores microfilm copies of permanent and long-term records in microfilm cabinets in one of its fire-resistant vaults. We store microfilm copies of records with short-term retention periods in standard records storage containers in the SRC's main warehouse.

The following instructions for handling microfilm pertain only to rolls of camera-original, silver master microfilm copies of permanent or long-term records. Be sure to box microfilm copies of records with short-term retention periods in standard records storage containers, and label them as you would other records, as described above under "Labeling Containers."

Evaluate microfilm for deterioration before you transfer it to the SRC. Deterioration of acetate-based microfilm, indicated by a vinegar smell, can spread to other microfilm stored at the SRC, so we will not accept such microfilm. For additional information about vinegar syndrome, please contact the State Archives at (518) 474-6926.

Labeling Microfilm

Label each individually boxed roll of microfilm with your SRC-assigned code and a transfer list number, roll number, and brief description of the contents of the microfilm (for example, "Director's Correspondence, 1990-1995").

Preparing Transfer Lists for Microfilm

You may use a single identifying entry for each batch of

Or, you may list each roll of microfilm as a separate entry on the transfer list. Either way, add the following information to transfer lists:

Moving Microfilm to the SRC

When preparing your microfilm for shipment, number the rolls and pack them in sturdy shipping containers in numerical sequence, with the highest numbers toward the bottom of the box and the lowest numbers at the top.

Preparing Computer Tapes for Transfer

Length of Storage Permitted

The SRC will not store computer tapes for longer than five years, since magnetic tape is not a permanent storage medium. Periodically review your tape holdings at the SRC to