MMR - FY20 - Department of Records and Information Services

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• Parent Document:: Mayor's Management Report - Fiscal Year 2020
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    • DEPARTMENT OF RECORDS &
    • INFORMATION SERVICES Pauline Toole, Commissioner
    • DEPARTMENT OF RECORDS & INFORMATION SERVICES | Page 337
    • WHAT WE DO
    • The mission of the Department
    • of Records and Information
    • Services is to foster participation
    • in civil society by preserving and
    • providing access to the historical
    • and contemporary records of New
    • York City government. To achieve
    • this, the Department ensures that
    • City records are properly maintained
    • following professional archival and
    • record management practices and
    • makes materials available to diverse
    • communities both online and in
    • person.
    • The Department’s website provides
    • the public with access to more than
    • 1.6 million historical photographs,
    • maps, and a growing online
    • collection of more than 23,000
    • reports and publications issued
    • by City agencies. The Municipal
    • Archives and Library staff respond
    • to more than 60,000 reference
    • requests annually, and provide the
    • public and City agencies access to
    • approximately 245,000 cubic feet
    • and 185 terabytes of historical City
    • records and photographs, and a
    • collection of more than 400,000
    • books, government reports, studies
    • and other publications.
    • The Municipal Records Management
    • Division develops and administers
    • City government’s records
    • management policies, operates
    • records storage facilities, provides
    • records management services to 65
    • government entities and oversees
    • the government’s transition to digital
    • records management.
    • FOCUS ON EQUITY
    • The Department of Records and Information Services continues to expand outreach
    • to diverse New Yorkers and improve access to City government’s historical and
    • contemporary records. This work includes cataloging and digitizing collections
    • documenting populations not traditionally the focus of archival processing. In
    • 2021, the Archives will digitize colonial-era records that provide unique information
    • about enslaved persons and others. Collection inventories available on the agency
    • website enable researchers to easily evaluate holdings related to diverse topics.
    • The collection related to Malcolm X’s assassination is one notable example.
    • The agency is conducting outreach to communities of color through our oral
    • history project gathering stories from long-term residents of Bedford-Stuyvesant.
    • Public programming features diverse speakers, who, in turn, attract more varied
    • audiences. Recent exhibits and programs have examined a variety of topics such
    • as immigrant communities, foodways, women in non-traditional employment and
    • the criminalization of girls in both historical and contemporary contexts.
    • OUR SERVICES AND GOALS
    • SERVICE 1 Provide the public and City agencies with access to public
    • records and publications.
    • Goal 1a Increase the volume and availability of public records and
    • publications.
    • Goal 1b Promptly respond to requests for information.
    • SERVICE 2 Provide City agencies, the courts and district attorneys with
    • record storage, retrieval and retention scheduling services.
    • Goal 2a Retrieve records promptly from off-site facilities upon record owner’s
    • request.
    • Goal 2b Promptly transfer eligible agency records to off-site storage.
    • Goal 2c Dispose of all records according to their scheduled retention period.
    • Page 338 | MAYOR’S MANAGEMENT REPORT
    • HOW WE PERFORMED IN FISCAL 2020
    • SERVICE 1 Provide the public and City agencies with access to public records and publications.
    • Goal 1a Increase the volume and availability of public records and publications.
    • In compliance with New York State and local mandates, the Department altered operations beginning March 16, 2020 and
    • transitioned staff to off-premise work. Most staff continued to work remotely for the remainder of the fiscal year which
    • impacted many agency functions.
    • The Department continued to encourage agencies to submit reports to the publications portal in accordance with recent
    • amendments to the Charter. During Fiscal 2020, the number of reports submitted electronically increased 21 percent to
    • 3,529, compared to the 2,906 acquired in Fiscal 2019. However, based on a thorough review of local laws, the Department
    • identified additional reports agencies are required to submit to the portal. The increased base number of required reports
    • reduced the percentage submitted during the reporting period to 42 percent compared to 60 percent in Fiscal 2019.
    • Closure of the Municipal Archives digitization laboratory for more than one full quarter of the year depressed the quantity of
    • items digitized in Fiscal 2020 to 384,134 items. However, the laboratory’s output was approximately equal to the 384,823
    • items digitized during Fiscal 2019. During Fiscal 2020, the laboratory continued digitization of historical marriage license
    • records.
    • Historical records accessioned into the Municipal Archives decreased 84 percent, from 2,558 cubic feet in Fiscal 2019,
    • to 399 cubic feet in Fiscal 2020. Although the Fiscal 2020 quantity was impacted by the closure, the Fiscal 2019 figure
    • was exceptionally high due to efforts that year to accession a backlog of records identified at agencies that had not been
    • previously transferred.
    • Until closure of its public facilities in March 2020, the agency continued to promote awareness of its holdings of contemporary
    • and historical records to diverse audiences through exhibitions and related programing. During Fiscal 2020, 1,884 visitors
    • attended programs, 26 percent fewer than the 2,546 attendees in Fiscal 2019. The lower 2020 figure is consistent with
    • closure of the public facilities for one quarter of the fiscal year. The agency presented four exhibitions in Fiscal 2020: “The
    • Lung Block: A New York City Slum & Its Forgotten Italian Immigrant Community,” “The Language of the City: Immigrant
    • Voices,” “Ebb & Flow: Tapping into the History of New York City’s Water” and “Incorrigibles” which focuses on personal
    • narratives of women at the New York State Training School for Girls. The agency also posted online exhibits covering the
    • topics listed above as well as an exhibit sampling Manhattan building plans, Health Care Workers and the reissuance of
    • the Ordinary People, Extraordinary Lives book.
    • Performance Indicators
    • Actual Target Trend
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • Records preserved and digitized 7,422,426 26,778 236,478 1,421,172 1,448,706 260,000 260,000 Down Up
    • Number of library items available 371,208 375,919 380,844 384,823 384,134 * * Neutral Up
    • Publications and reports acquired 10,016 5,596 4,869 5,903 4,455 * * Down Up
    • Records accessioned by Municipal Archives (cubic ft.) 1,049 797 1,185 2,558 399 * * Up Up
    • Walk-in and program attendees at the Visitor Center 1,363 1,408 1,542 2,546 1,884 * * Up Up
    • Percent of required agency reports submitted to the
    • Municipal Library publications portal 60% 60% 60% 60% 42% 100% 100% Down Up
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • DEPARTMENT OF RECORDS & INFORMATION SERVICES | Page 339
    • Goal 1b Promptly respond to requests for information.
    • During Fiscal 2020, the average time to respond to requests for copies of vital
    • records returned to the Fiscal 2018 level of 9.7 days, a 35 percent increase compared
    • to the response time of 7.2 days during Fiscal 2019. The related measurement of
    • the percentage of requests responded to within 12 days also lessened, declining to
    • 71 percent in Fiscal 2020 compared to 88 percent in Fiscal 2019. The diminished
    • performance was due to closure of the agency. Staff working remotely were
    • able to supply PDF copies of vital records that were digitized previously, but they
    • could not fulfill certified hard-copy requests, resulting in a backlog that negatively
    • affected the performance measurement.
    • The time needed to process requests for copies of historical photographs
    • continued to improve in Fiscal 2020, decreasing to 5.4 days from 10.2 days in
    • Fiscal 2019, The better performance is due to the use of the newly digitized “tax
    • photographs” to print copies in place of the labor-intensive darkroom process.
    • The better performance was also enabled by a decrease in the volume of requests
    • for reproductions from 6,698 in Fiscal 2019, to 2,178 in Fiscal 2020. The exceptionally higher Fiscal 2019 number was a
    • result of media stories that year promoting completion of the photograph digitization project and access to the images.
    • Performance Indicators
    • Actual Target Trend
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • « Vital record requests responded to within 12 business days
    • (%) 62% 9% 82% 88% 71% 60% 60% Up Up
    • « Average response time to vital record requests (days) 11.5 28.0 9.7 7.2 9.7 12.0 12.0 Down Down
    • « Average response time to historical photo requests (days) 22.9 22.7 31.5 10.2 5.4 15.0 15.0 Down Down
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • SERVICE 2 Provide City agencies, the courts and district attorneys with record storage, retrieval and
    • retention scheduling services.
    • Goal 2a Retrieve records promptly from off-site facilities upon record owner’s request.
    • During Fiscal 2020, the Department’s retrieval rate for records from the off-site facilities upon owner-agency request
    • averaged 0.7 days, a 50 percent improvement over the 1.4 days required during Fiscal 2019. Measurement of the related
    • indicator, percentage retrieved within 2 days, also improved, to 87.6 percent in Fiscal 2020 compared to 80.3 percent in
    • Fiscal 2019. The improved performance is due to added staff dedicated to the function. The 28 percent decrease in volume
    • of requests in 2020, which fell to 4,178 records from 5,840 in Fiscal 2019, is consistent with agencies, courts and district
    • attorneys ceasing most operations during the last quarter of the fiscal year.
    • Performance Indicators
    • Actual Target Trend
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • « Average response time to agency requests for inactive
    • records (days) 1.2 1.2 0.7 1.4 0.7 2.0 2.0 Down Down
    • Requests for stored records processed within 48 hours (%) 94.0% 91.0% 100.0% 80.3% 87.6% * * Neutral Up
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • Vital Records Requests Received
    • FY 16 FY 17 FY 18 FY 19 FY 20
    • Average Response Time (days)
    • FY 16 FY 17 FY 18 FY 19 FY 20
    • Vital Records Requests and Time to Respond
    • 35,714 34,808
    • 37,962
    • 43,708
    • 9.7
    • 26,767
    • 9.7
    • 7.2 11.5
    • 28
    • Page 340 | MAYOR’S MANAGEMENT REPORT
    • Goal 2b Promptly transfer eligible agency records to off-site storage.
    • The quantity of records transferred into the Municipal Records Center decreased significantly, from 5,121 cubic feet in
    • Fiscal 2019 to 661 feet in Fiscal 2020. The decrease can be attributed to agencies using the City’s requirements contract
    • for their off-site storage needs, the pivot to storing records in digital format, and closure of the Center during the last
    • quarter of the year.
    • Performance Indicators
    • Actual Target Trend
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • Warehouse capacity available for new accessions (%) 12% 12% 12% 14% 19% * * Up *
    • Records transferred into Municipal Records Center (cubic ft. ) 6,668 4,703 10,823 5,121 661 * * Down Up
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • Goal 2c Dispose of all records according to their scheduled retention period.
    • The volume of obsolete City agency records disposed from the Department’s storage sites decreased to 10,617 cubic feet
    • in Fiscal 2020, compared to 26,785 cubic feet disposed in Fiscal 2019 and 21,529 in Fiscal 2018. The greater volumes
    • reported in Fiscal 2019 and 2018 accrued from agencies focusing on a backlog of disposals in compliance with Mayoral
    • Directive 2015-3 dealing with uniform record management, including disposal of obsolete records. The total volume of
    • records disposed by the Department and all City government entities combined also diminished during Fiscal 2020, falling
    • to 36,539 from 90,686 in Fiscal 2019 and 88,801 cubic feet in Fiscal 2018. The decreased volume is a result of agencies
    • catching up with their disposal backlog and the citywide closure of agencies due to COVID-19.
    • Performance Indicators
    • Actual Target Trend
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • « Average time between records disposal eligibility and application sent to Law Department (months) 0.6 0.2 0.0 0.7 0.5 2.0 2.0 Up Down
    • « Average time for Law Department to approve records
    • disposal application (months) 2.8 2.7 1.3 2.0 0.9 3.0 3.0 Down Down
    • Total records disposed by City government entities (cubic ft.) 59,232 117,247 88,801 90,686 36,539 * * Down Up
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • AGENCY CUSTOMER SERVICE
    • Performance Indicators Actual Target Trend
    • Customer Experience FY16 FY17 FY18 FY19 FY20 FY20 FY21 5-Year
    • Desired
    • Direction
    • Letters responded to in 14 days (%) 100% 100% 100% 100% 100% * * Neutral Up
    • E-mails responded to in 14 days (%) 100% 100% 100% 100% 100% * * Neutral Up
    • CORE customer experience rating (0-100) 97 100 100 NA 100 * * NA Up
    • « Critical Indicator “NA” Not Available ñò Directional Target * None
    • AGENCY RESOURCES
    • Resource Indicators Actual¹ Plan²
    • FY16 FY17 FY18 FY19 FY20 FY20 FY21 5yr Trend
    • Expenditures ($000,000)³ $7.7 $7.7 $8.0 $9.8 $9.9 $13.0 $11.6 Up
    • Revenues ($000,000) $1.0 $0.8 $0.8 $0.8 $0.6 $1.1 $0.8 Down
    • Personnel 69 65 72 69 76 83 72 Up
    • Overtime paid ($000) $0 $4 $0 $0 $50 $50 $0 NA
    • ¹Actual financial amounts for the current fiscal year are not yet final. Final fiscal year actuals, from the Comptroller’s Comprehensive Annual Financial Report, will be reported
    • in the next PMMR. Refer to the “Indicator Definitions” at nyc.gov/mmr for details. ²Authorized Budget Level ³Expenditures include all funds “NA” - Not
    • Available * None
    • DEPARTMENT OF RECORDS & INFORMATION SERVICES | Page 341
    • SPENDING AND BUDGET INFORMATION
    • Where possible, the relationship between an agency’s goals and its expenditures and planned resources, by budgetary unit
    • of appropriation (UA), is shown in the ‘Applicable MMR Goals’ column. Each relationship is not necessarily exhaustive or
    • exclusive. Any one goal may be connected to multiple UAs, and any UA may be connected to multiple goals.
    • Unit of Appropriation
    • Expenditures
    • FY191
    • ($000,000)
    • Modified Budget
    • FY202
    • ($000,000) Applicable MMR Goals3
    • 100 - Personal Services $4.6 $5.0 All
    • 200 - Other Than Personal Services $5.1 $4.9 All
    • Agency Total $9.8 $9.9
    • 1
    • Comprehensive Annual Financial Report (CAFR) for the Fiscal Year ended June 30, 2019. Includes all funds. 2
    • City of New York Adopted Budget for Fiscal 2020, as of June
    • 2020. Includes all funds. 3Refer to agency goals listed at front of chapter. “NA” Not Available *None
    • NOTEWORTHY CHANGES, ADDITIONS OR DELETIONS !
    • None.
    • ADDITIONAL RESOURCES
    • For more information on the agency, please visit: www.nyc.gov/records.
    • Page 342 | MAYOR’S MANAGEMENT REPORT