Records and Information Management - The Municipal Clerks

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					 Records and Information

               Karen A. Perry
              Records Analyst

             Department of State
Division of Archives and Records Management
       Bureau of Records Management
Division of Archives and Records Management

The Division of Archives and Records Management (DARM),
Department of State is the statutory agency responsible for
records management for State, County, Local Government
Agencies, School Districts, and Colleges and Universities .

The Division is composed of three (3) Bureaus:

 • Bureau of Archives and Records Preservation
   (New Jersey State Archives)

 •   Bureau of Records Management

 • Bureau of Imaging Services
   and Micrographics
          Destruction of Public Records Act
                  (PL 1953, c. 410)

• The Destruction of Public Records Act (PL 1953, c. 410) created the
  State Records Committee (SRC) with having final authority over
  public records.

• The SRC consists of representatives from: State Attorney General,
  State Auditor, State Treasurer, Director of Local Government
  Services/Department of Community Affairs, and the Director of the
  Division of Archives and Records Management (DARM)/Department
  of State.

      The Act also established the definition of a public record.
        Destruction of Public Records Act
    (PL 1953, c. 410): Public Record Defined

“Public Record” is information, regardless of its medium (hardcopy,
microform, optical, or electronic) that is made or received by an agency
receiving tax payer dollars and serves as evidence of the transactions of
the normal course of business. This pertains to State, County, Local
Government Agencies, School Districts, and State Colleges and
          Destruction of Public Records Act
 (PL 1953, c. 410): Records Retention and Disposition

• Records Retention Schedules must be created for all public records
  maintained by State, County, Local Government Agencies, School Districts,
  and State Colleges and Universities.

• Agencies must obtain prior written authorization from the Division for
  disposal of public records by submitting online, a “Request and
  Authorization for Records Disposal”.
                Open Public Records Act (OPRA)
               PL 2001, c. 404/NJSA 47:1A et seq.
In most instances, agencies are required to allow access to records under the Right-to-
Know laws. However, an agency may restrict access to records because of considerations
of privacy, confidentiality, or security.*
   NOTE: The degree of a record’s accessibility does not determine whether a record is
   publicly or privately owned. For instance, classified military records concerning the
   national defense are public records, even though they are not publicly accessible for
   reasons of security.

Public Record Access Under OPRA:
     • Replaced The Right to Know Law
     • Public Records must be made accessible to the public in most cases.*
     • Personal Financial & Legal accountability for intentional denial of public records

The Government Records Council (GRC) serves as the government entity for public records

     *Records Exempt from Access - Consult the GRC for a detailed list of exemptions
         • Ongoing police investigation
         • Personal information: Social Security Number, credit card number, etc.
         • Records that may jeopardize security, etc.
            Open Public Records Act (OPRA)
       PL 2001, c. 404/NJSA 47:1A et seq. continued
Custodian of Public Record
    The Municipal Clerk is designated by law as the Custodian of Public Record for Municipal
    Government. All other Custodians of Public Record are designated accordingly for State,
    County, Public School Districts, and State Colleges and Universities.

OPRA/Public Records Access Request – Verifies what documents have been requested
  & that they have supplied within the specified time limits:
    Immediate Access – Means Immediate Access!!!
       • Budgets, Bills, Vouchers, Contracts, and Employee Salary & Overtime
    Seven (7) Business Days*
        • Non-immediate access records and Offsite Stored Records must be supplied
          within a 7 business day time period. The requestor must be informed in
          writing if records are stored offsite and the 7 business day time period
          cannot be met.

                  *NOTE: Extensions may be requested in writing if needed.
     Open Public Records Act (OPRA)
PL 2001, c. 404/NJSA 47:1A et seq. continued

        New Jersey Government Records Council
                Catherine Starghill, Esq.
                  Executive Director

                       New Jersey Government Records Council
                              101 S. Broad Street P.O. Box 819
                                         Trenton, NJ 08625-0819
                    Phone: (609) 292-6830 Fax: (609) 633-6337
                                      Toll-Free 1-(866) 850-0511
 Records & Information Management Program

• Documents an organization’s institutional history

• Provides litigation support

• Fiscal Audit compliance

• Demonstrates regulatory compliance

       PL 1953, c. 410 Destruction of Public Records Law
       PL 2001, c. 404 Open Public Records Act

• Enhances an organization’s public records access
Records Inventory
                Records Inventory

• A complete and accurate listing of records,
  whether paper-based, microform, or
  electronic, that indicates:

     • How and where it is physically stored
     • Volume
     • Classification
     • Retention period as listed in the records retention
     • Disposition
Records Retention Schedule
              Records Retention Schedule

Records Retention Schedule is a detailed listing of the
  records maintained by an agency and the minimum
  legal and fiscal time periods they must be retained.

The records retention schedule addresses:
•   Vital Record
•   Legal, Fiscal, & Administrative Value
•   How long to be maintained
•   Historical Record
•   Final Disposition
          • Permanent
          • Archives
          • Disposal
Request and Authorization for Records Disposal
                 Records Disposal

A “Request & Authorization for Records Disposal”
form must be submitted by the agency, to DARM, for
disposal authorization before records can be legally

•   Removes legal and fiscal liabilities
•   Cost Effective
•   Safety
•   Disposition methods: Shred, Recycle, Erase
•   Identifies an Archival Record for Preservation
               Records Disposal
Records Retention and Disposition Management System (ARTEMIS)

    Search and view retention schedules for County and
     Municipal agencies only.

    Create, View, Update, and Submit Disposition Requests.

    Update Disposition Status for their agency
      Municipalities:       Contact your Municipal Clerk
      Counties:       Contact County Clerk or Records Manager
      Records Preservation and Conservation

• Preservation: preventative maintenance of
  active, inactive, and historical records

• Conservation: “corrective surgery” to records -
  should be performed by qualified

• Damage Factors:
  •   Handling
  •   Environmental Conditions
  •   Pests
  •   Mold
                     Records Storage
• Active Records
   On-site storage

• Inactive Records
   Off-site storage in a State,
   County, Municipal, or
   Commercial Storage

• Public Records including
  Historical Records must always
  be In a Public Facility.
                      Paper Alternatives
The Legal Alternatives to paper are Microfilm and Optical Disk - both of
which must be State Certified and Renewed Annually (for optical disk).
           Paper Alternatives: Imaging

   • State Standards (NJAC 15: 5-3)

   • Longevity – Not Archival
     Backups are needed to disk
     with a routine recycle time

   • Hardcopy or Microfilm
     for records with retentions
     10 yrs. + including Permanent
         Paper Alternatives: Microfilm

Microfilm – State Standards (NJAC 15: 5-3)

   • Microfilm
      Archival Use

   • Microfiche

   • Aperture Cards

   Microfilm/Microfiche Longevity – 500 years
Electronic Records: Storage: Fixed and Virtual Storage

Fixed (Stand Alone) Storage
      •Tape backup – oldest, most reliable data storage/backup is
      low-cost and portable and good for daily and weekly backups.

     •Disk backup – quick access and can hold large amounts of data,
     can be used for disaster recovery if the server is placed offsite.

Virtual Storage
      •Cloud computing – Internet-base of shared resources, software, and data/information for
      immediate access. Based on a common server site, inexpensive and mobile, low maintenance and
      internet-based and does not have to be installed per pc. The cloud structure consists of:

           •Client –               Hardware or software dependent upon the cloud to function
           •Application –          Software downloaded via the Internet to a pc
           •Platform –             Cloud computing structure that houses the applications/software
           •Infrastructure –       Complete, packaged virtual platform environment per pc
           •Server –               Operating system from simple to complex per client

Due to the fluid and fragile nature of virtual storage and its data, precautions must be taken when
dealing with: Database & Metadata, Portable Data, Text Messages, and Email*

*NOTE: Morgan Stanley had to pay $1.45 Billion for failure to produce email evidence
        (Coleman Holdings vs. Morgan Stanley 2005)
E-mail: Defined


                  –noun 1. a system for sending messages from one
                       individual to another via telecommunications links
                       between computers or terminals.
                  2. a message sent by e-mail: Send me an e-mail on the
                  –verb (used with object) 3. to send a message by e-mail.
                  Also, E-mail, email.

  E-mail messages are electronic documents (including content and
  attachments) that are created, sent, or received by a computer system.
  These messages are similar to other forms of communicated messages,
  such as correspondence and memoranda and they are Public Records
  with the same Records Retention, Disposition, Access; Intellectual
  Property; and Legal Rules of Evidence and E-discovery concerns as their
  paper and microfilm counterparts.
E-mail: Retention and Disposition
Retention: E-mail is a Public Record and a Records Retention Schedule must be created
Reflecting the minimum retention time periods it must be maintained based on its content
and the record series it applies to. There are 3 basic Retention Categories of E-mails: Transient,
Intermediate, and Permanent.

Transient E-mail: information of short term value that does not establish policy, certify a transaction,
                  or serve as receipt. Example:

                   Correspondence – Routine External – 3 years
                   Correspondence – Routine Internal – Administrative – Periodic review

Intermediate E-mail: information that has more significant value - such as legal and financial. Example:

                   Correspondence – Routine Financial (Not General Ledger or Payroll History) – 6 years after…
                   Correspondence – HIPAA Related – 7 years
                   Correspondence – Pertaining to Litigation– 20 years after final settlement
                   Correspondence – Policy –Non-Statutory/Non-Regulatory – 25 years

Permanent E-mail: information that has significant, permanent value. Example:

                   Correspondence – Pertaining to Minutes – Permanent

E-mail Disposition:      For E-mail to be legally destroyed, a Request and Authorization for Records Disposal form must
also be submitted by an agency to the Division for written authorization before disposal can occur.
E-mail: Storage
Record Copy: messages are often widely distributed to a number of recipients. Determining which
individual maintains the record copy of the message (i.e. the original message that must be retained
per the retention schedule) is vital to e-mail management

Inbox Subfolders: E-mail messages should be filed in a way that enhances their accessibility and that
facilitates records management tasks. E-mail in boxes should have subfolders based on business
and retention requirements. Provisions should be made for migration of any documents with long-
term retention periods to other systems to ensure continued access.

There are 3 types of e-mail storage systems: on-line storage, near-line storage, and off-line storage.

On-line Storage: e-mail messages, metadata, and attachments in an online system in use by agency.

Near-line Storage: e-mail messages, metadata, and attachments are backed-up in an electronic
                   record keeping system on a server.

Off-line Storage: e-mail messages, metadata, and attachments maintained of an electronic record-
                  keeping environment, such as storage on disk – commonly referred to as
    Agency Website & Internet Retention

    Due to its ever-changing content and structure, documentation
    should be maintained regarding an agency’s website. These
    records reflect hardware, software, and content and their
    respective areas of concern:

•   IT Perspective - reflects website creation, maintenance, and growth

•   Intellectual Property & Historical Perspective - digitally-born documents if not printed to
    hardcopy could be lost forever

•   Legal Perspective - records may be needed for litigation

•   Financial Perspective - records may be needed for an audit

•   Records Management & Access Perspective - verify legal retention & disposition & in
    the event of an OPRA Request
    Agency Website & Internet Retention

Records associated with website development and maintenance include:

•   Agency Website/Internet Access Log – Internal (Employee ) and External Users

•   Agency Website Creation and Update File – Content

    Agency Website Creation and Update File - Operation
           Contains: graphic files, source code, operation and application software
           documents, user logs, statistical data, records verifying copyrighted
           documentation, website governance policies and procedures, input
           documents, testing reports, screen copies, and supporting documentation.

•   Agency Website Creation and Update File – Structure
           Contains: website diagnostics, website mapping data, source code, testing
           reports, screen copies, configuration data, and supporting documentation.

Note: Upon the revision or discontinuance of the website, for preservation purposes it is advised that
hardcopy be maintained for agency-generated and supported documents that were solely created and
maintained in an electronic format.
                                       Vital Records
Vital Records: records essential to meet operational responsibilities under emergency or disaster conditions.
     Typically, only 3% to 5% of an organization’s records are deemed to be Vital Records.

An organization needs to ask:
      What records are absolutely crucial to operations,
      and can they be recreated from hardcopy , electronic
      or microfilmed backup copies if the originals
      are lost in a disaster?

Conduct a Risk Analysis by evaluating potential hazards to records:
     • Natural & Environmental
     • Human inflicted
     • Facility related

Determine records protection methods:
     • Appropriate protection measures
     • Measures may vary by type of record
     • Inclusive of paper-based, microform and electronic

Identify Vital Records:
       • For emergency operations
       • To resume normal business
       • Comply with Legal and Fiscal obligations
      Disaster Prevention & Business Continuity
In the event of a disaster, a contingency plan that identifies essential personnel,
 equipment, and alternate space if a closing of a facility is deemed necessary in order
 to resume information technology services to and agency. Plan to be used in
 conjunction with an agency’s Disaster Prevention and Recovery Plan.

Disaster Prevention & Recovery
     • Mitigates Loss of Records -Water is the single most
        significant culprit in a records disaster
     • Protects Vital and Historical Records
     • Protects Electronic Records, Hardware, & Software
Business Continuity
     • To resume operations quickly and efficiently
     • To ensure the normal flow of business

                           Coney Island, Brooklyn, New York May 7, 2011
      Disaster Prevention & Business Continuity:
             Information Technology

Information Technology

   The objective is to mitigate the amount of damage and associated costs (ex., lost
   revenue, wages, labor, employee morale, customer goodwill, marketing opportunities;
   incurred bank fees and legal penalties; and bad publicity from Planned and/or
   Unplanned Downtime) and to protect information and resume information technology
   services to agencies after a disaster.

    • Planned Downtime – ex., hardware/software installation and upgrades and
      batch-related jobs
    • Unplanned Downtime – ex., security violation, data corruption, power outages,
      human error, natural disasters, theft, computer viruses, sabotage, and hardware
      & software unsuccessful implementation & upgrade.

   Contains: Disaster Prevention and Recovery Plan, Standards, and Guidelines; Security
   Policy and Procedures; Client Network Installation and De-installation data; and
   supporting documentation. The Disaster Prevention and Recover Plan is to be used in
   conjunction with an agency’s Business Continuity Plan.
Disaster Prevention & Business Continuity:
The Plan
   What do you do when something goes wrong?
   Establish procedures:
   •   Chain of command with Disaster Plan Copies
   •   Communications Procedures
   •   Alternate Operations Site – People, PCs, Records
   •   Records Management & OIS Officials Designated
   •   Emergency Supplies on hand
   •   Keep ALL Plans Current
   •   Identify Hardware, Software (models and versions), & Data
   •   Identify Data Center Hot & Cold Sites - Never try to reboot hardware unless it is absolelutely dry and
       structurally safe
   •   Identify Information Technology Staff
   •   List necessary Information Technology Supplies
   •   Address Potential Recovery Costs – Hardware, Software, Supplies, etc.
   •   Vendors (Supplies & Disaster Recovery Services)
   •   System Hardware and Software Vendor List
   •   Electronic Disaster Recovery Vendor List
   •   Distribute the plan to Information Technology & Records Management staff and retain a
       copy in a safe and accessible, offsite location

                                    TEST!       REVISE!         TEST AGAIN!!
                Department of State
  Division of Archives and Records Management
Department of State
Division of Archives and Records Management
PO Box 307
Trenton, NJ 08625
Phone: 609-530-3200
Fax:     609-530-6121

Records Retention Schedules, Global Review, Disposition Requests, & ARTEMIS

Karen A. Perry, Records Analyst 1                    Donald Cornelius, Archivist 2
E-mail:                  E-mail:
Phone: 609-530-3212                                  Phone: 609-530-7489

                                                     John J. Berry, Records Analyst 1
Vilirie D. Perry, Records Analyst 1
E-mail:                Phone: 609-530-3216
Phone: 609-530-3213
                Department of State
  Division of Archives and Records Management
Department of State
Division of Archives and Records Management
PO Box 307
Trenton, NJ 08625                             Imaging Services and Micrographics
Phone: 609-530-3200
Fax:     609-530-6121                         Barbara Goszka, Acting Deputy Director
Website:                   E-mail:
                                              Phone: 609-530-3234
Records Management/Records
Destruction/ARTEMIS/Global Review
                                              Imaging Certification: Initial & Renewal
Howard Schwartz, Supervisor
E-mail:       Joanne McKinley, Supervisor
Phone: 609-530-7491                           E-mail:
                                              Phone: 609-530-7486

NJ State Archives
                                              Argean Cook, Records Analyst 2
Joseph Klett, Deputy Director
E-mail:          Phone: 609-530-5874
Phone: 609-292-9507
             Department of State
Division of Archives and Records Management

        PO Box 307 Trenton, NJ 08625
     Phone 609-530-3200 Fax 609-530-6121

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