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|New Jersey Department of the Treasury
Division of Revenue and Enterprise Services
January, 2013
The purpose of this manual is to introduce public agencies to the methods available for controlling public records entrusted to their care, with emphasis on the tools needed to solve record- keeping problems, increase efficiency, improve services and save money.
This manual applies to all public agencies in New Jersey. It provides general guidance and links to regulations based on State law (including records management standards), forms, online services and general records retention schedules. It blends sections that cover traditional records management topics with sections that address various aspects of electronic records management.
The sections on traditional records management – covering topics such as records retention and disposition,records centers, files and forms management, are largely descriptive and designed to sharpen the reader's understanding of basic records management techniques. Collectively, the techniques set basic benchmarks for implementing records management programs in various organizational settings. The Division encourages agencies to exceed these benchmarks whenever possible, while staying in compliance with the New Jersey's legal framework for records management.
The sections on electronic records management include descriptive elements and discussions on best practices in this rapidly evolving arena. Here again, the Division encourages agencies to exceed the practice levels covered by the manual, while staying in compliance with the New Jersey's legal framework for records management.
The Division also encourages agencies to think beyond the segmented format of the manual and view all records as assets that are amenable to consolidation, use and management within integrated frameworks – frameworks that leverage information (including meta-data), processes, governance, policies and procedures for maximum sustained effectiveness, efficiency, accountability and responsiveness.
Notwithstanding the preceding statements, public agencies are not required to implement all of the programs described in this document. Provided they meet mandated standards and legal requirements referenced herein, public agencies may employ techniques that are compatible with their organizational cultures and resources levels. When developing records management programs, public agencies need to consider costs/benefits, available budgetary and staffing resources, and the value of the records involved.
By using appropriate records management techniques on a consistent basis, government agencies will realize demonstrable benefits. They will avoid the costs of unnecessary space, equipment, supplies and labor for record-keeping and processing operations. Sound records management practices also set the stage for service improvements and innovations.
|Agencies are encouraged to contact the Division for further guidance on records management. The Division welcomes feedback on the usefulness of the manual itself. To this end, the Division offers an on-line forum for comments, feedback on new techniques for addressing records management issues, and collaborative dialogue on problem-solving and requests for assistance. To interact with the Division, click on the RMS Interact icon, which appears throughout this document.
|Operating as an integral unit of the Division of Revenue and Enterprise Services (DORES) of the Department of the Treasury, the State's records management program consists of three distinct areas of responsibility. All program operations are located within the State Records Center, 2300 Stuyvesant Avenue, Trenton.
|Records and Forms Analysis
|Assists local agencies and authorities in conducting records inventories,
|Appraises records of state, county and municipal governments, and schedules the records for retention, transfer and disposition through the auspices of the State Records Committee,
|Offers advice in records management, files management, office automation, vital records programs, and disaster prevention,
|Participates in records disaster recovery efforts through records identification,
|Provides advice about forms analysis and design,
|Processes records disposal requests, and
|Coordinates with the State Archives, assisting in efforts aimed at preserving the State's documentary heritage.
|Records Storage
|Provides centralized storage of semi-active records for state agencies and authorities,
|Provides records retrieval services for authorized state officials,
|Advises all public sector agencies about semi-active records storage options, and
|Administers third party records center services on behalf of other state agencies.
|Image Processing
|Provides systems consultations and assists in estimating cost for image processing projects (microfilm and digital imaging),
|Conducts and/or coordinates selected projects for state, county and municipal agencies on a charge-back basis,
|Assists public agencies in managing microfilm and digital image records systems, and
|Monitors for compliance with standards relating to image processing
Public Records Defined
|It is important to develop and maintain records management programs because of the nature and value of public records
Any information that a public agency generates or receives in the transaction of its official duties is a public record. This is true regardless of the medium used to store the information – e.g., paper, microfilm, magnetic disk, etc., and includes duplicates or copies.
|The term "public" can have two basic meanings:
|Accessibility is not a factor in determining whether a record is publicly or privately owned. For instance, classified military records concerning the national defense are public records with a high degree of confidentiality, and consequently are not freely accessible.
For the purposes of this manual, whenever the term public record is used, it signifies ownership of public records, which are public assets. The discussion below amplifies the value of public records as assets that require management.
Value of Public Records
|Public records are evidence of taxes paid, services rendered and obligations met. These records are crucial to the organization of our society and essential to the daily operation of government. Additionally, the value of some records endures beyond their active use, because they provide unique evidence of significant actions and transactions that have affected the public.
Legal Framework
|Public records are public property and are held in trust for citizens. Accordingly, public officials must ensure that records are protected from unauthorized alteration, defacement, transfer or destruction. This is accomplished through compliance with New Jersey's general public records law (N.J.S.A 47), the State's records management statute (N.J.S.A 47:3-15 et seq.), and administrative rules under N.J.A.C. Title 15:3 et seq. referenced throughout the manual, which enact the standards and procedures mandated by the law. Also, there may be agency-specific statutes and administrative rules that impact a public agencys records management responsibilities.
RMS will assist public agencies in addressing issues and questions that arise from application of the legal framework to records management programs and initiatives.
Chapter 2
Records Retention Scheduling Process
|Following are the steps agencies take in constructing records retention schedules.
|Records Inventory
|Record holdings must be inventoried before appropriate controls can be instituted. An inventory is a complete listing of records by record series, together with necessary descriptions and supporting information. A record series is a group of identical or related records that is normally filed together, and that can be evaluated as a unit to determine how long they should be maintained. Examples of record series can be found in general retention schedules for State and local agencies.
A key to an effective and efficient inventory process is the application of the records series concept.
Consider a common record series like "correspondence." For records inventory purposes, there is no need to know who generated or received a particular letter or memorandum, nor what subject matter was discussed. This is equally true for any other examples of record series held by government offices, such as purchase orders, travel vouchers, cancelled checks, personnel records, etc. In all cases, the records inventory is not concerned with the particular details of content.
The inventory process focuses on the general function and overall content of records. It also provides for the identification of record medium (e.g., paper, magnetic tape and magnetic disk), filing method, reference rate, current volume and annual accumulation. All of this information is part of the records series inventory form.
|Inventory data is not used exclusively for retention scheduling. Such information becomes crucial to other aspects of managing records:
|Accumulation rates are a factor in deciding whether to convert a record series to another medium such as digital images.
|Filing methods may illustrate problems with retrieval.
|Frequency of use -- i.e., reference rates, will determine when to place records in inactive storage.
|RMS analysts conduct records inventories for public agencies on a periodic basis and are available to aid them in reviewing their record holdings. In this connection, RMS provides planning and orientation sessions for agency staff, which summarize inventory techniques, procedures and benefits.
|Records Retention Scheduling
|After records are inventoried, they are placed on records retention schedules. Every record series on a schedule is:
|Assigned an item number;
|Given a title, a brief description of function and contents, including appropriate form numbers or applicable statutory references;
|Given a retention period i.e., a specification of the length of time the record must be maintained, and in some cases, how long it may be kept in semi-current storage in a records storage center; and
|Given a final disposition i.e., if the record will be destroyed, held permanently by the office of origin, or placed in archives.
|The scheduling process is ongoing and involves close cooperation between RMS and the involved public officials. Many agencies have designated officials responsible for the records management of their organizations. These officials work very closely with RMS analysts.
Retention schedules include specific schedules that list record series unique to a particular, agency or office within an agency, and general records schedule that contain records that are common to most offices -- e.g., correspondence, invoices, personnel files, etc.
As new records and forms are created or received, RMS analysts and appropriate agency staff should update retention schedules at the same time. For many agencies, records schedules are often established or amended when agencies begin using a new records storage center or request authorization for records disposal from the division. RMS is continuously appraising public records and revising retention schedules.
Schedules are also used as evaluation tools in files management, and image processing system studies as well as in general office efficiency reviews.
|Schedule Approval
|Once a new or changed record series has been identified, RMS evaluates the record series in terms of:
|Legal and fiscal requirements -- relevant statutory laws, regulations, statutes of limitation, administrative and court decisions, and audit requirements;
|Administrative requirements -- past precedents, usefulness in office management, and common sense; and
|Historical requirements -- evidence of significant actions or transactions affecting the public and worthy of permanent preservation (done in conjunction with the State Archives).
|In cooperation with the involved agency, RMS makes preliminary determinations regarding retention periods based on these requirements.
Often, as part of the schedule review process, county and municipal professional associations such as the Constitutional Officers Association of New Jersey and Municipal Clerks Association, provide additional, invaluable advice.
Once RMS and the agency agree on a retention schedule, RMS submits it to the State Records Committee. This body has final authority on matters involving public records, regardless of the record's medium. The State Records Committee reviews proposed retention schedules at regularly scheduled meetings. RMS attends the meetings along with representatives from public agencies.
State Records Committee approval ensures that retention periods satisfy all legal, fiscal, administrative and historical obligations, thereby protecting the public interest. The committee approves a schedule as presented, recommends changes and approves with changes, or withholds approval pending further information.
The Secretary of the State Records Committee signs approved schedules, and the signed schedules become legal, enforceable documents that specify the minimum amount of time listed record series must be held, and indicate the manner of disposition after the retention periods have elapsed.
|Schedule Publication
|RMS publishes general records schedules, as well as specific retention schedules for individual offices, and provides copies of schedules upon request.
|Schedule Amendments
|RMS works with agencies to amend schedules to reflect the changing information requirements of government. The process of changing an existing retention schedule is the same as the approval process for new schedules. Changes can include any component of a record series: title, description, retention period or disposition. Factors that drive change include new legal, administrative or fiscal requirements.
Records Disposition Process
|Records disposition involves:
|Physical destruction -- through shredding, burning, discarding or deletion/recycling; or
|Transfer of ownership -- through awarding custody to a facility or program other than the originating agency - e.g., a county archives, library or museum or the State Archives.
|In order to legally dispose of records, agencies must fill out and submit a Request and Authorization for Records Disposal form. County and local officials may submit requests on-line.
The form is legally required to document an official request for destruction by all state, county and municipal agencies. This process ensures that records earmarked for destruction have outlived their value to the public.
RMS checks all requests against current records retention schedules. Each record series appearing on a schedule corresponds to an item number with a title, description and retention/disposition requirements.
Agencies may address unusual or unique situations, such as unscheduled records, through the monthly cycle of State Records Committee meetings. for guidance on how to handle these special circumstances.
|Benefits of Compliance
|By complying with the statewide destruction authorization process, agencies avoid legal complications and liability associated with inconsistent or illegal records destruction.
|Other key benefits of conforming to the State's systematic, legal disposition program include:
|Economies -- Cost avoidance or savings through reduced purchase and maintenance of real estate, equipment and supplies; and
|Efficiencies -- Increases in efficiency and safety through the removal of unnecessary files, and reductions in staff time allocated to managing unneeded files.
|Potential Problems Associated with Noncompliance
|If records are destroyed before their retention periods expire, the public interest may be impacted due to:
|Unplanned expenses of financial settlements or loss of revenues;
|Disruption of efficiency due to gaps in information; or
|Irretrievable loss of historical legacy.
|Because records have a life span, there is a point in time in which they are no longer needed and their continued maintenance becomes a liability due to:
|Unnecessary expenditures for real estate, equipment and supplies;
|Lack of efficiency as old record accumulations become unwieldy; and
|Safety hazards because of lack of systematic storage and disposal.
|Useless records become a burden in the same way any waste product does. Noncurrent records are perhaps a more insidious waste because without records management, they are not identified and are given the same treatment as the current, valuable information needed to safeguard the public interest.
|A records management program begins with the records inventory process to gain knowledge of holdings. Records are then placed on records retention schedules.
Retention schedules summarize information about individual record series and designate minimum lengths of time records must be held in active and semi active storage. Retention schedules also designate when and how a record may be disposed.
Timely and consistent records disposition yields increases in efficiency and decreases in record keeping expenses. Use of the statewide disposal authorization process helps to eliminate inconsistent records destruction, thereby minimizing the likelihood of adverse legal, administrative, fiscal and historical impact.
Chapter 3
|It is neither prudent nor possible to keep every record created or received within the confines of most offices. Office space should contain only those records necessary for conducting daily business effectively. Alternative methods of storage are needed for the maintenance of records that must be kept for administrative, legal or fiscal reasons, but are not referred to regularly — i.e., semi-current or inactive records. This is the function of a records storage center.
Generally, agencies transfer high volume semi-current or inactive records to records centers. For purposes of this discussion, these are records that an agency references less than once per month per cubic foot of paper files (see the National Archives and Records Service's Cubic Footage Conversion Table).
Records inventories and records retention schedules (discussed previously in this manual) often provide the raw information needed to pinpoint records eligible for transfer to records centers – e.g., location, reference rates, volume, growth rates, retention period, disposition instructions, etc.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et seq., 3-2 et seq. and 6.3 et seq.
(Online Source)
Records Center Objectives
|Record center operations aim to provide low-cost maintenance of semi-current records. Overall, a records center seeks to provide:
|Orderly periodic transfer and storage of records which must be retained for limited retention periods but have low reference rates;
|Standards for indexing, transferring and controlling semi-current records; and
|Fast, efficient retrieval services, generally with a turnaround time of 24 hours or less from receipt of reference request to delivery of records requested.
|Agencies can save significant amounts of money by employing records centers – chiefly through efficient use of space and equipment. For example, when records are housed in office space in standard five drawer vertical file cabinets, one square foot of storage space is needed for each cubic foot of records. (With vertical cabinets, agencies require an additional square foot of work space for each cubic foot of records.) When records are stored in steel shelves in a records center, that ratio is increased to a minimum of five cubic feet of records to each square foot of floor space. Also, records center space is significantly less expensive per square foot than prime office space.
Generally, records center facilities must meet the minimum requirements set forth at N.J.A.C. 15:3-6.3.
Protection of Records
|With regard to protection, records centers feature a number of important elements.
|Records center managers minimize exposure to losses from accidental fire by prohibiting smoking in the building and segregating combustible materials from records content.
Well-appointed records centers have automatic sprinklers, smoke detection systems, fire doors and walls, and electrical wiring in metal conduit – all of which are inspected periodically by general building and fire code officials.
|Vermin and Contamination
|Records center operations protect against damage from vermin and environmental contamination. The organic substances in leather, pastes and paper are a good source of food for vermin. Accumulated dust and debris provide a haven for the growth of insects and mold. Prevention measures depend upon the nature of the pestilence and include keeping the building clean, as well as conducting periodic exterminations and installing filtration for insects and fungus spores, if needed.
|Temperature and Humidity
| Records centers provide environmental controls and inspection regimes that guard against extreme fluctuations of temperature and humidity that hasten records deterioration. Periodic inspections of the storage facility include monitoring for plumbing leaks, standing water and excess humidity. Records storage boxes may be examined randomly for mold, infestation, or other signs of deterioration.
A properly run records storage center provides constant office-type temperature and humidity, with constant monitoring for unacceptable variations from preset levels.
|Access Control and Physical Security
|Only authorized staff members are allowed to access records stored in a records storage center. Records center managers maintain lists or registries of persons to whom records may be released. RMS' Records Center Access Authorization Form is an example of the authorization control employed by records centers.
Other security controls include video monitors, guards at stations and on patrol, key card access (for authorized personnel only), central station intrusion detection and alarm systems, and separate locks on all doors.
Records Center Services
|Records storage centers provide several key services to public agencies.
|Records Transfer
|Preparatory Steps
|Records center operations and agency staff work together to execute the transfer of records to records center facilities.
|To store records at a records storage center, agency staff members check to ensure that records:
|Appear on an approved records retention schedule;
|Are scheduled for a minimum of one year storage (avoid storing permanent records in a records center);
|Are properly identified and documented for transfer and reference;
|Are properly packed in standard, 1 cubic foot records storage boxes; and
|Have a specific date (month and year) when disposition will take place.
|RMS' "Records Storage Center Criteria and Instructions for Transfer of Records" serves as a guide for transferring records to a records center.
|Agency staff or records center personnel may perform the preparatory steps for records transfers. The steps include:
|Packing records in standard records cartons in the order in which they were filed in their office of origin. To make reference easier, approximately one and one-half (1 1/2) inches of space is left in every box. All of the records, whether letter or legal size, are packed parallel to the long (15 inch) side of the carton so they will be perpendicular to the front of the shelf when stored. In case of fire, this packing method prevents records from falling out of the boxes and feeding flames. Additionally, records that are packed correctly may survive a fire with only minimal damage.
|Preparing a Records Transfer Request form or similar manifest to itemize the contents of each box. This serves as both documentation of the transfer and later as an index for physically locating specific records for reference. (The information from the manifest can be entered into a records center locator /management database that allows for computerized management of records center holdings.)
|Label each storage box and enter the agency-assigned box numbers on the transfer manifest. These box numbers become secondary indexes that can be used to locate records that have been transferred to a records center.
|Transferring, Receiving and Storing
|Records center staff handle the physical transfer, receipt and storage of records (pick-up, delivery and placing items into storage).
The staff checks the general contents of boxes against records transfer manifests to ensure accuracy of the transfer process.
Records center staff then provide a final label for each box with an assigned physical location in the records center, along with disposition dates, and then place boxes in appropriate shelf spaces. The new label replaces the preliminary label of the originating agency. The staff adds records center location numbers to the records transfer list for each box and returns a copy of the amended manifest to the agency. The amended manifest becomes the official record of the transfer. If the records center uses a computerized management system, the staff enters the updated locator and disposition information into the database
|Reference Services
|Records storage centers provide reference services that include retrieval and delivery of records to authorized officials. The staff may also relay information via a range of alternative formats – e.g., telephone, photocopies, mail, digital content such as images transmitted through an e-mail system, facsimile, etc. Additionally, most records centers include reference rooms where authorized personnel may examine records in person.
Note that the transferring agency retains legal custody of records that it transfers to a records center, and controls access to and use of the records. The agency must therefore update on a regular basis a list of authorized employees who may make reference requests. In turn, it is the duty of records center staff to consult the list and determine if an individual is authorized before releasing any records.
When a file or box is removed from the storage center, staff may produce an "out" slip or a carbon of the Records Request, or some similar control device. They place the slip in the location of the removed items to mark the date of removal and the official to whom the records have been delivered. If applicable, this information can also be part of the records center's computerized management system.
When the agency returns the records, the records center staff removes the "out" slip and amends it by indicating the date of return.
|Disposal Services
| Records center staff periodically review box transfer manifest and computerized information on their holdings to determine if disposition dates are imminent or if any records are being held beyond their retention periods. They also check current records retention schedules to determine if they have been updated and if an item in storage is affected by the change.
From information gathered during these reviews, the staff sends notices to the applicable agencies describing the cartons of records eligible for destruction, and provides instructions for requesting disposition of the records. (See the Request and Authorization for Records Disposal form. County and local officials may submit disposal requests on-line.)
Based on the information received from the records center, the office of origin verifies which records are earmarked for destruction, provides appropriate signatures and removes items it considers necessary for continuing business despite the expiration of the retention period(s).
After the disposition authorization process is complete, the records center staff removes the targeted records from semi-current storage to be destroyed, and updates the index of holding accordingly.
Records center staff then arrange for the destruction of the records. The staff employs or contracts for destruction processes that obliterate the records – e.g., cross-cut shredding of paper. This is a necessity for the destruction of confidential records. Once destruction actions are complete, the records center staff or the contractor sign a certification attesting to the secure destruction of the records, and store the certification permanently.
Developing Records Center Options
|There are five basic approaches to developing facilities to house semi current records:
|Design and construct a new building for the purpose;
|Convert an existing building;
|Retrofit an area within an existing building;
|Lease common storage space from a commercial storage facility; or
|Contract a service company which specializes in the storage, maintenance and retrieval of semi current records (With this option, ensure that reference rates are minimal. Although private storage services usually charge very little for storage itself, they do charge extra for all other services, e.g., trucking, receiving, handling, reference, and destruction.)
|Choice of an approach involves consideration of a number of factors – e.g., total volume of records – current and future growth, potential cost savings (reduced costs for space, equipment, staff, etc.), budgetary levels, and design and operational factors. Seemingly expensive options such as new construction may become economically justifiable when two or more public entities share a facility. In some jurisdictions, records center services may be provided by regional facilities that serve several municipalities and counties.
As noted previously, all records center facilities must meet the minimum requirements set forth at N.J.A.C. 15:3-6.3.
Timely and consistent transfer of semi-current records to properly-designed records storage centers provides for operational effectiveness and cost savings. Through the use of records storage centers, agencies will be able reduce storage costs and associated overhead for records storage, while assuring that semi-current records remain available for access through their designated retention periods in a safe and secure environment.
Chapter 4
| Filing is the process of categorizing and arranging records for effective storage and retrieval based on record series. A record series is a distinct collection of records with similar characteristics — i.e., subject matter, types of documents, or identical retention periods.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et.seq. 3-2 et seq. and 3-6 et seq.
(Online Source)
Files Management Program
|The central element in files management is the agency file plan. Factor involved in developing a file plan include:
|Records to be filed;
|Arrangement techniques — i.e., classification and access systems;
|Equipment and supplies; and
|Integration of file plan with basic records management processes such as records retention and disposition and transfers of semi-current to records storage centers (see Records Retention and Disposition and Records Storage Center Operations above).
|File Plan Development
|The file plan development process includes the following steps:
|Audit --An audit involves a review of record holdings by records series. This may result in a simple checklist or a detailed report, depending upon the requirements of each office. A records inventory can be used in place of a file audit. An inventory will yield basic information as well as additional details that can be useful in other records management applications.
|Purge – This involves the segregation and destruction of duplicates or records that have exceeded their designated retention periods, and/or selection of records that can be transferred to a records storage center.
|Choose a Classification System -- Classification refers to the method of determining and arranging subjects in a file series based on an evaluation of future retrieval needs. A classification system is logical, standardized and practical, and uses the simplest terms available. It may be based on the organization functions involved, and must be exclusive so that subject categories are not redundant. Finally, it must be flexible enough to permit future expansion. Classification systems are alphabetic, numeric or alphanumeric. All other systems are variations of these basic types. Classification is the most important part of a filing system.
|Both middle and terminal digit systems are used for very large file series, such as patient and insurance policy files, so that filing and retrieval can be spread evenly throughout the filing system.
|Determine Access Method -- Access can be either direct or indirect. With a direct access method, no index is necessary to search the files. Subject categories are listed as complete words. Therefore, a direct access filing system must be alphabetic. Direct access allows a user to browse through the files. If the filing system is properly arranged, less time is spent in filing and searching. Moreover, users can readily determine where the record series begins and ends.
An indirect access method employs the use of a code which requires an index as a cross reference. By using the indirect access method, browsing is not possible. Although indirect access is especially useful for maintaining files that require confidentiality, maintaining an index can be time-consuming.
|File Plan Implementation
|Plan for and procure equipment. Assess factors such as size and volume of records, anticipated retrieval functions, and the physical limitations of an office, especially amounts of available space, and budgetary resources. Types of filing equipment include but are not limited to vertical cabinets, lateral cabinets, open shelving and combinations of mobile and mechanized equipment. Use letter- size equipment (storage for 8.5 inch by 11 inch sheets) wherever practical; because it can result in a combined cost savings of at least 20 per cent over legal size alternatives. Legal- size equipment (8.5 inch by 14 inch sheets) is required in instances where more than one-fifth of the files are legal-size.
Following is information on the advantages and disadvantages of various kinds of equipment:
|Plan for and procure filing supplies
Basic supplies for filing systems include folders, labels, guides, and charge-out cards or folders. Neatness should be consistently maintained in the preparation of file folders. For example, labels should be typed and affixed in the same position on each folder. Use straight-edge folders -- i.e., folders in which the tab spans the entire length, is recommended. This aids eye contact for file retrieval. File folders should never be overcrowded. The average folder can hold about three- quarters of an inch of paper, or approximately 75 sheets. Use a new folder when the current folder becomes greater than three-quarters of an inch thick.
File folders come in a variety of styles. For general use throughout the filing system, 11 point reinforced tab, straight-edge cut, i.e., square cut, Kraft folders are preferred. Point size refers to the thickness of file folder stock, e.g., one point is .001 inch. This type of folder is sturdy and its dark color does not show soiling as easily as manila folders.
Other types of folders commonly used in filing systems include:
|Use folders carefully because they can occupy up to 40 per cent of the filing capacity of a cabinet.
Use file folder guides to divide files into sections for easier reference and retrieval. Guides can indicate primary divisions, such as general subjects or secondary divisions, or more specific topics under the general subjects.
|Put the plan into operation.
General Considerations
|Since approximately 70 per cent of the expense of maintaining a filing system involves labor costs, agencies can realize significant savings through the selection of equipment that aids filing and retrieval efforts. The expense of equipment, repairs, operations, supplies and floor space should be considered in relationship to the annual growth rate of files and budgetary levels. Three elements that determine the general cost effectiveness of a filing system are:
|Space efficiency — The capacity of a room or area should be evaluated for accessibility to equipment and files.
|Equipment efficiency— Acquiring equipment that provides effective file storage and retrieval at the lowest possible cost per file inch is a major concern when purchasing equipment. Another factor may include potential of equipment to be updated, modified or augmented.
|The third element (mentioned above) is missing.
Files management involves the analysis, preparation, and arrangement/classification of files, and allows for rapid and efficient retrieval of records. The files management process begins with a records inventory or a file audit. An inventory or audit yields an understanding of system needs and provides a basis for choosing equipment, supplies and services.
Chapter 5
Forms are easier to prepare than open-ended instruments such as letters or reports, because when a form is well designed, desired responses are well- defined and consistent, and the respondent knows what is expected.
Forms management assures that only necessary forms are designed, produced and distributed, and that unnecessary documents are eliminated. The elements of forms management generally consist of forms analysis, forms design, forms history files, and forms procurement techniques.
By achieving control over forms, forms management helps an organization serve the purposes for which it was created. Because of their contributions to the economy and efficiency in record-keeping, forms management programs are integral parts of the records management process.
The overall objective of a forms management program is to provide the most efficient and economical collection of information that an organization needs to fulfill its purpose. The program operates through:
|Design efficiencies -- providing properly designed, cost-effective forms, redesigning existing forms, designing new forms if needed, eliminating unnecessary forms, and combining forms where possible; and
|Control efficiencies - controlling forms printing, handling, ordering, storage and distribution functions.
| Finally, forms provide the easiest and most efficient link between manual record-keeping and data entry/automated data capture.
This section focuses mainly on traditional paper-based forms management.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et.seq. and 3-2 et seq.(Online Source)
Forms Analysis
| Forms analysis is an evaluation of the need for a form, the purpose of a form, its relationship to other currently used forms, and finally, an assessment of its effectiveness as a communications tool. Forms analysis involves a review of business processes supported by forms.
Strive to ensure that every form has a corresponding business process that fulfills one of the purposes or functions of an organization. A business process will involve all of the steps necessary to record, interpret, communicate, and retain information needed to serve a purpose or function.
Generally, one uses a form to begin a process. For example, to obtain a driver's license, the driver fills out a form. This initiates a process that eventually results in the issuance of the license.
Forms analysis encompasses:
|Business needs -- Knowing the mission of the organization or agency, and evaluating the specific purposes that require work processes, allows for the definition of the informational content of forms. Also, needs analysis may lead the agency to identify forms that are no longer required or that can be combined with other forms.
|Workflow -- This involves review and analysis of steps in work processes including the types of operations required and when they are performed, along analysis of staff assignments, skill levels, limits of individual responsibility, supervisory structure, and work environment, i.e., physical location, equipment, and supplies used.
|Related activity --This centers on addressing similar processes or functions that may be occurring elsewhere. If a similar form already exists, it may be possible to alter it to accommodate a new or dual (combined) purpose.
|Usage --The ease with which a respondent completes a form that begins a process is a key consideration, as is its ability to communicate information that supports the targeted process and to pinpoint who will keep the original and the copies.
|All usage considerations bear directly upon the efficiency and cost of record-keeping operations. All forms and copies of forms that contain responses, whether created or received, are records and subject to the considerations including retention and disposition (see Records Retention and Disposition) and active files management and semi-current storage (see Paper Files Management and Records Storage Center Operations).
Importantly, from a strategic perspective, forms can be migrated to electronic formats to allow for public service enhancements – e.g., online, self-service systems with automated workflow, and for reports and applications, combined with public access to those submissions that are open to public inspection.
Forms Design
|Forms design is the execution of a pencil draft or automated equivalent that shows the location of lines and copy and any specification that can be indicated by a drawing. These include items such as the location of perforations and hole-punching; paper size, color, and weight; ink color; type size and type style and fields/zones for automated data capture (e.g., Optical Character Recognition, Image Character Recognition and one and two-dimensional bar-coding).
As noted, forms can be migrated to electronic formats that enable service enhancements such as online submission and access. Agencies may consider allowing online forms completion, online submission via e-mail or to a network server or transformation of the form and underlying process to an Internet-based (Web) application that delivers data to the organization without any intermediary processes like mailing, receipt, preparation, scanning, data capture, etc. Online processing yields many benefits including increased accuracy (though automated and consistently-applied edits and business rules), efficiency (less labor effort, equipment and space needed to support processes), timeliness, convenience and security (via the use of automated access controls).
Forms may be designed by using graphics software packages. The advantages of automated forms design include increased speed in preparing drafts and revisions of forms. Also, camera-ready originals may be produced with a high quality output device.
Focus design efforts on creating forms that require the least amount of time and labor to collect and distribute accurate information.
|Forms Design Elements
|Ballot Boxes
| Effective forms are understandable and easy to fill out. A form that uses ballot boxes and pre-printed choices can be completed more quickly and easily than a form that requires respondents to handprint or type an open-ended choice.
Ballot boxes or check boxes are usually 2/10" wide by 1/6" high, and placed in front of their respective pre-printed choices. For example, when a "yes" or "no" answer is required, a ballot box is placed in front of the word "yes," and another placed in front of the word "no." Be sure to include all possible choices to questions. Absence of a mark where only one choice exists could mean that the respondent simply neglected to answer.
| Caption blank spaces on a form to indicate precisely what information is being requested. Captions are specific and leave no doubt about how to fill out the form. For example, do not use the caption "date" if there is any question about which date applies.
The most efficient location for a caption is in the upper left hand corner of a box. This permits optimum writing space within the box for the response. Also, a respondent's answers are easier to read if a small caption is in the upper corner.
This is especially important when a form is being used for data entry. Improperly captioned forms slow the process down and may lead to an increased error rate. If the caption is placed on a line, valuable writing space is lost and responses may be illegible. If it is placed under the line, the respondent may choose to place information either above or below the line.
Assign distribution and routing information to paper forms if they must flow to different offices. Insure multi-part forms contain instructions for the distribution of each part. Such information can be included as part of the general instructions for using the form, or may be placed at the bottom margin. Be aware that while multi-part forms provide for greater control of distribution and a reduction of copying costs, they are relatively expensive to produce.
Assign numbers to all forms. Include an edition date. Use a self-explanatory title. The preferred location for the title is the top left corner or the center of the top line. Use brief titles that identify the primary subject or purpose of a form.
Black ink is the most cost-effective color to use in printing forms. Color inks add to the cost of forms not only because they are more expensive, but also because when two or more ink colors are used on the same form, an additional press run is required and the printing process becomes more costly.
Place instructions to the immediate right of a form's title or directly below the title. Number instructions and present them in outline form to indicate the necessary steps to complete the form.
Consider using lines to separate sections on forms, to direct those completing forms to certain areas, and to produce a more aesthetically pleasing document.
Use bold lines for the border of forms, to separate major sections, or to draw attention to a particular box that summarizes or finalizes information, such as a "grand total" box at the bottom of a column of figures.
Use medium lines to separate sections within the border of a form.
Use light lines or "hairlines" to draw ballot boxes and lines within sections.
A margin on the form is the area between the ink borders and the paper edge. The standard margin is 3/10" on the left and right, and 2/6" on the top and bottom. Top and bottom margins are slightly larger than side margins to allow space for form numbers and routing information.
Some completed forms will be stored in a binder, and will require a one-half inch margin on the left side or top of the form to allow for the holes. Other forms will be placed on a clipboard and space will be needed at the top or left side of the form.
Use industry-standard paper sizes and weights. Using a paper size that is not standard, or readily available, will increase printing costs because of the additional cutting and handling required. Use of uncommon paper sizes and shapes may also cause filing problems because oversized forms have to be folded to be placed in standard file folders and cabinets, and undersize forms are more likely to be lost.
Contemporary presses accept 17" x 22" paper from which the following four basic sizes can be cut without waste: 8 1/2" x 11", letter size sheet; 8 1/2" x 5 1/2", half of a letter size sheet; 8 1/2" x 3 2/3", approximately one-third of a letter size sheet; and 4 1/4" x 5 1/2", one quarter of a letter size sheet.
These paper sizes can be used either horizontally or vertically, and will satisfy most information recording needs. Avoid using legal size, 11" x 14" paper. It is expensive to purchase, prepare, handle, file and store legal size pages.
For single sheet, single-sided printing, standard paper stock is thirteen pound Bond. The recommendation for double sided printing is sixteen pound or heavier paper stock. For card stock, consider forms with very high reference or handling rates.
Colored paper adds to the cost of a form. Unless business reasons compel use of color, always use white paper.
Use shading to help guide the eyes, highlight columns, or draw attention to a particular part of a form. Shading also helps to isolate areas on a form that should not be completed by the respondent.
Allowing enough space for a respondent to enter information on a form is critical. Too little space will not permit accurate information to be entered easily, while too much space may suggest that additional information is being requested. In either case, the lack of proper spacing can confuse a respondent, lengthen the completion process, and reduce the accuracy of responses.
Measuring in tenths of an inch for horizontal spacing and in sixths of an inch for vertical spacing is recommended. Use forms design paper or automated equipment that employs a grid that corresponds to these dimensions. Forms design paper is readily available from most large stationery suppliers or through art or graphics specialty suppliers.
Single lines entries are 2/6" in height and long enough to contain requested information. When entries are written or hand printed, approximately five characters will fit to the inch. If a typewriter is used, ten characters will fit to the inch. If a form will be completed with a typewriter, use typewriter spacing for vertical spacing (one-sixth of an inch).
When selecting type style and size, the primary goal is ease in readability. Generally, avoid the use of ornate type, or a typeface that has many hooks or curls, called serifs. Gothic or sans-serif typeface, sometimes called "clean" type, is a better option. It enables a respondent to read captions and instructions as quickly as possible.
For most applications, type size will range from 6 points to 18 points on all forms. Use 6 point type for marginal notes, form numbers and other identifying information that appears outside form borders. For box design, use 8 point type and for heading and routing information, use 10 point type. 14 point type is appropriate for titles and major section headings, while 18 point type is appropriate for titles.
Most type is available in either regular or bold. Use bold face when special attention needs to be directed to a word or phrase, such as a title or section headings.
Establishing a forms history file will enable agencies to maintain a selective, organized collection of data on the forms. This information can assist the agency in making decisions about ordering new or current forms, identifying forms that contain duplicated information, defining the cost of forms and tracking the review process of new forms.
When creating a forms history file, provide one file folder for each form. Label each folder with the form's name and number. Organize the file by the form number. Ensure each folder contains: samples of the form; drafts of proposed revisions to the form; all communications relating to the form, including approval signatures; the camera-ready original (if a paper form); and details of ordering history -- e.g., quantities, printing methods, and information such as listings of vendors and turnaround times.
The upper left caption box design is the preferred method for designing a form. Place a caption in the upper left area of a box and the entry is either hand printed or typed below the caption. This design allows a respondent who is completing a form the most space for entering information.
The following steps can serve as a guide in the preliminary design of a simple form:
|Develop a list of the information or fields that will be recorded on the form. Arranged the fields in the desired order of appearance.
|Determine the amount of horizontal space a field will require indicated in tenths of an inch. Where possible, convert open-ended questions to pre-printed ballot box choices.
|Proceed with forms layout using forms design paper, a sharp pencil and a ruler, or automated equipment: draw all four margins; place the form title and instructions, if needed, inside the top margin; place the fields and boxes on the form, working left to right, top to bottom, using the list of necessary information; and enter the form number in the proper location.
|This preliminary design or rough draft may now be photocopied and distributed for review. Agencies that will be using the form to collect information, or any others who might enter or extract information from the form should be included in the review process.
After the draft form has been reviewed and approved by all of the offices concerned, a copy may be used to prepare the camera-ready original and print the form. This work can be performed in-house or by a private vendor.
Forms Procurement
|For paper-based systems, be sure to order correct amounts. Too small a quantity will result in a higher cost per unit of the form. Insufficient quantities increase the danger of prematurely exhausting the existing supply. A lack of necessary forms can prevent an organization from doing its job.
An excessive supply of any given form will add to storage costs. If a form becomes obsolete because of changes in programs or procedures, the excess supply will become useless. A good working relationship with suppliers can aid forms management efforts. Generally, most forms vendors have broad experience in the industry and can offer good advice.
A twelve to eighteen month supply of every form used by an office is the maximum amount recommended. To avoid depleting stock, inventory control is essential. This allows regulation of purchasing so that forms are on hand when needed. Make every effort to anticipate ordering cycles so that new shipments are received when only one month's supply remains.
In considering these points, remember that use of automated forms and systems helps the agency avoid forms procure complexities and costs.
Developing Forms Management Options
| Choice of an approach to obtaining forms management services centers on several factors. The content of many forms is often mandated by law or regulation. An agency can institute its own forms management program by: hiring a professional forms analyst; incorporating forms management duties into the responsibilities of existing in-house records and information management experts and providing adequate training; or contracting with a commercial forms design or printing firm to provide forms design and management.
The major concern of any arrangement that provides forms management expertise is to design and produce documents that collect information in the most efficient and effective manner possible.
|Forms management assures that forms needed to collect information are designed, produced, revised and distributed in the most effective and efficient manner possible, while also assuring that unnecessary forms are eliminated.
Some basic forms management considerations include conducting forms analyses, incorporating basic forms design elements, creating forms history files, and maintaining control over the purchase of forms. Basic forms design elements include ballot boxes, captions, distribution and routing information, form number, ink, instructions, line weights, margins, paper size and color, shading, spacing, titles, and type styles and sizes.
Approaches to obtaining forms management include hiring a forms designer, incorporating forms management duties into the responsibilities of an existing, appropriate staff member, or contracting with a vendor to supply part or all of an agency's forms design and management needs.
Chapter 6
Image Processing
|Image processing (IP) systems offer reliable, cost effective means of managing information resources. Briefly stated, IP involves the recording of images of documents on electronic storage media and/or photographic film. IP can be used in a variety of information management systems, from simple records storage and retrieval applications to complex configurations involving work flow, automated data capture, payment processing and group collaboration.
Most categories of paper records can be destroyed after they have been converted to image formats. Compliance with State standards set forth in New Jerseys Administrative Code assures the acceptance of imaged records.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et seq., 3-2 et seq., 3-3 et.seq., 3-4 et seq. and 3-5 et seq.
(Online Source)
General Objectives of Image Processing Systems
|IP systems are designed to provide for effective, economical management of records through achieving one or a combination of the following general benefits:
|Service Improvements/Innovations -- When agencies employ electronic IP systems in conjunction with business process re-engineering, automated workflow, Internet-based access and database. technologies, they are positioned to address strategic opportunities to revitalize non- responsive and inefficient hard-copy based service programs.
|Space Savings -- Hard copy storage space and equipment requirements can be reduced greatly, or be eliminated entirely, via use of IP technologies.
|File Integrity -- IP systems provide for controlled/standardized storage and indexing of records on a sustained basis.
|Security -- IP systems enable inexpensive duplication of their record contents. This allows for the low cost retention of security copies of important or vital records at an off-site location(s). If the original copies of sensitive records are lost or destroyed, duplicates can be retrieved and restored.
|Quick and Effective Retrieval -- IP systems generally provide quicker, more accurate access and retrieval of documents than bulky paper-based systems. This is true even for the most basic IP formats.
|Preservation -- Documents that have historical or long-term retention value are often too fragile for daily use. IP systems provide the means for generating durable working copies for researchers to use. This eliminates excessive handling of the original documents and helps prevent further deterioration.
|When considering the use of IP, refer to the Association for Image and Information Managements Recommended Practice Report (AIIM ARP1-2009), which provides an excellent overview of analysis, selection and implementation of systems employing electronic image technologies. [1]
|IP systems are designed to provide for effective, economical management of records through achieving one or a combination of the following general benefits:
|Current System Review
|Success Factors/Statement of Needs
|Preliminary Evaluation Matrix
|Alternate System Specification
|Alternate System Analysis
|Final Evaluation and Alternative System Choice
|Collectively, the six sections address the technical, operational and economic dimensions of current and alternate records management system feasibility.
The guideline does not emphasize a specific technology. Rather, it focuses upon objective analysis of current records systems, the development of a problem statement and general statement of needs, and analysis of various system alternatives. Subsequent to conducting feasibility studies, you may well find that automated alternatives are not feasible or are unnecessary.
Conceptual Model (General Design)
Once you have chosen an alternative IP format, map out your system and service requirements at a conceptual or general level. DORES offers another guideline for this purpose. The conceptual design guideline embodies a self-study (question/answer) process for documenting your requirements in a structured and comprehensive fashion.
Use the guideline to develop general designs for automated record image processing systems and service contracts. Information gathered through use of the guideline may also be incorporated into procurement documents such as Requests for Proposals (RFP).
The guideline does not touch upon equipment configurations. Rather, it is designed for identifying operational/capacity requirements and performance levels. Properly documented requirements and performance levels will provide prospective system vendors and service providers with sufficient information to size proposed equipment configurations and service arrangements.
Certain sections of the guideline may not be applicable to agency initiatives. For example, detailed specification of transaction work steps may not be needed if a proposed system only involves storage and retrieval of electronic images.
Development and Implementation of IP Systems and Services
|RMS seeks to accomplish several strategic goals in this area:
|Comprehensively address records management and IP systems/services planning and development, with emphasis on maximizing efficient use of in-house facilities and contracted services;
|Reduce redundant and inefficient system purchases;
|Increase cross-agency sharing of records and information resources;
|Ensure effective use of automated records systems and services on a sustained basis;
|Contribute to the continuing improvement of government services; and
|Foster adherence to core records management standards; and coordinate information technology and records management planning.
|In connection with the above, RMS offers several key service packages to public agencies.
Package 1: Planning for image processing and automated records systems/services
This involves actively assisting agencies in planning for the development of enhanced, cost effective public records systems. RMS will provide records and information management consultative services at the strategic, tactical and operational levels. It will also coordinate in-house and contracted records management, image scanning/indexing and information processing services for State agencies. Planning sets the stage for the remaining RMS service packages.
Engage RMS as early as possible in your planning efforts.
Details on Service Package 1
Package 2: Remittance processing
This involves mechanization of paper-based billing and revenue capture/deposit applications to improve cash management, enhance agency accountability and increase operational efficiency. At the State government level, RMS plans to handle all remittance processing productions operations directly on behalf of State agencies.
Details on Service Package 2
Package 3: Active document processing
Here, the focus is on systems/services designed to automate business applications that revolve around the processing of correspondence, returns, reports and related informational content. Active document processing may encompass the development of automated work flow software, and involve electronic image scanning, indexing and storage/access services -- all designed to streamline program operations, reduce operational costs and improve overall records management capabilities. In this area, for State agencies, RMS may consider an array of in-house and contracted services to meet the specialized needs of customer agencies.
Details on Service Package 3
Package 4: Back File Conversions
These efforts revolve around the conversion of existing accumulations of records to electronic formats for expeditious and efficient storage and retrieval. For State agencies, the emphasis will be on maximizing the use of in-house resources to address agency needs.
Details on Service Package 4
Package 5: Electronic Government
This is the transformational stage of system development. RMS will seek out opportunities to create or coordinate, new, streamlined digital service delivery systems using in-house computing and programming resources whenever possible. The key objective in this area is to make fundamental changes in the way public agencies employ records systems to serve the public and capture revenue. System re-engineering and cross-agency records sharing will be primary considerations in this area.
Details on Service Package 5
How to Include RMS in Planning
Begin dialogue with RMS as early as possible in your systems/services planning cycles. Contact RMS at 609-292-0951 or via e-mail.
Note on Sustainability
Consider following these guidelines to help your agency manage electronic mail (e-mail) messages and associated content as public records per the Destruction of Public Records Act, P.L. 1953, c. 410 (N.J.S. 47:3-16).
By managing e-mail as public records, public agencies enhance their capacity to capture, retain and dispose of electronic records in an effective and efficient manner. Acting in this fashion also improves agencies' ability to comply with New Jersey's Open Public Records Act (OPRA), P.L. 2001, c. 404 (N.J.S. 47:1A-1.1) See the guide for records custodians.
In connection with the points above, State agencies should follow Circular Letter (CL) 14-12-DORES/OIT, Enterprise Electronic Mail Retention and Disposition Framework. County and local agencies may apply the electronic mail schedules designed for them (C820000-013, 0800-0000 - 0800-0001 and M100000-013, 0800-0000 - 0800-0001). The material presented here builds on CL 14-12 and guidance and schedules produced by the National Archives and Records Administration (NARA), with an eye toward facilitating adoption of the CL and county/local e-mail schedules. Toward this same end, agencies may also wish to consider the related e-mail retention and disposition program frameworks discussed in Chapter 15.
"... any paper, written or printed book, document, drawing, map, plan, photograph, microfilm, data processed or image processed document, information stored or maintained electronically or by sound recording or in a similar device, or any copy thereof, that has been made, maintained or kept on file in the course of his or its official business by any officer, commission, agency, or authority of the State or of any political subdivision thereof, including subordinate boards thereof, or that has been received in the course of his or its official business by such officer, commission, agency, or authority of the State or of any political subdivision thereof, including subordinate boards thereof. The terms shall not include inter-agency or intra-agency advisory, consultative, or deliberative material."
Given the language above, for purposes of OPRA compliance, all e-mail communications that document an agency's functions, policies, decisions, procedures, operations or other official activities fall under the umbrella of the definition of a government record per N.J.S.A. 47:1A-1.1. These records are therefore subject to public access during their required retention periods, unless they are covered by a specific exception listed in the law and/or administrative regulations. (Consult with your legal advisors for guidance on how to review and apply exceptions to the public access mandate.)
"… public records mean any paper, written or printed book, document or drawing, map or plan, photograph, microfilm, data processed or image processed document, sound recording or in a similar device, or any copy thereof, that has been made or required by law to be received for filing, indexing, or reproducing by any officer, commission, agency, or authority of the State or any political subdivision thereof, including any subordinate boards thereof, or that has been received in the course of his or its official business by such officer, commission, agency, or authority of the State or of any political subdivision thereof, including subordinate boards thereof, in connection with the transaction of public business and has been retained by such recipient or its successor as evidence of its activities or because of the information contained therein."
Accordingly, whether they are subject to public access or not, e-mail messages that fall under the inclusive definition above must be maintained and disposed per approved public records retention and disposition procedures.
Two general approaches to e-mail retention scheduling and authorized disposition that are available to public agencies in New Jersey are discussed below.
**Note: Due to the still-evolving nature of e-mail technologies and processes, RMS anticipates that new and improved approaches to e-mail management (including retention and disposition regimes) will emerge as time goes on. Accordingly, agencies are encouraged to share with RMS their experiences in applying the two approaches, or indeed, to propose alternative retention/disposition regimes designed to meet the legal requirements of the public records law. Such feedback will help RMS develop and post responsive guidance in this manual on a continual basis.
Approaches to Retention Scheduling/Authorized Disposition
Agencies may consider two general approaches to e-mail retention scheduling and authorized disposition:
Note that under Approach 1, agencies have the option of classifying e-mail as both non-record e-mail items and official e-mail records.
Non-Record E-mail
Delete e-mail messages that do not meet the criteria of N.J.S. 47:3-16 at any time, unless they become part of some official record as a result of special circumstances. These types of messages may include:
Caution: While it may be efficient to allow employees to delete non-record e-mail content, agencies must determine whether there are legal and compliance exposures associated with allowing employees to make their own decisions in this area. Agencies may find that the safest and most effective approach, all factors considered, is to treat all e-mail messages/attachments as public records.
Official E-mail Records
E-mail messages/attachments that meet the definition of a record in N.J.S. 47:3-16 are official public records. Schedule, retain and dispose of them as such in accordance with records retention schedules approved by the State Records Committee. Most records will fall under one of the record series listed on an approved general retention schedule.
Do not dispose of any e-mail records that are classified as Permanent or Archival or targeted for Archival Review until provisions have been made to preserve the records for long-term or permanent uses as deemed appropriate by the agency (county and local government levels) or State Archives (State government level). As applicable, plan to preserve all permanent e-mail records (see Long Term Retention of E-mail and Managing Electronic Mail, Filing Options below).
Importantly, Approach 2 entails two key pre-requisites:
*See CL 14-2 DORES/OIT and schedules C820000-013, 0800-0000 - 0800-0001 and M100000-013, 0800-0000 - 0800-0001 for the core functional elements.
General Considerations and Guidelines
Following are considerations and guidelines that apply generically to e-mail records management, and are thus relevant to both of the approaches to retention scheduling and authorized disposition discussed above.
Likewise, if you are confronted with system limitations that prevent you from segregating record copies from extraneous copies, you may opt to retain all e-mail messages (an inherently less efficient practice, but one that mitigates risks of inappropriate deletions). In the same connection, be aware that your agency may be able to employ automated de-duplication techniques that eliminate demonstrably redundant copies of e-mail messages from an e-mail system. De-duplication makes e-mail systems much easier to manage and reduces disk space consumed by redundant information.
The information above identifies the context in which e-mail records exists.
Content that must be filed includes text in the body of e-mail messages and attachments, if applicable. To the maximum extent possible, ensure you employ widely used file formats for attachments such as pdf, and/or formats that can be converted readily from one application program to another – e.g., popular word processing and spread sheet files that can be converted from one product suite to another (see Suggested Formats and Supporting Information for Long Term Retention of Electronic Records Formats). Procure conversion programs for attachments and e-mail messages when migrating from one e-mail system to another.
If you wish to use itemized classification of e-mail records, as in done under Approach 1, consider directing employees to transfer e-mail messages from their in and out boxes to folders that list the subject matter involved, such as "Budget and Planning", "Human Resources", "Project XYZ", etc., and that parallel the associated retention requirements (3 years, 4 years, delete after superseded, etc.). The drawback to this approach is that by allowing employees to classify their own messages, the agency almost inevitably assures inconsistency, because each staff member will follow his/her own views of how best to classify items. To deal with this issue, consider adopting mandatory filing schemes that specify the folder/file names and filings rules. Bear in mind, however, that this approach may also have limitations; it will likely be a substantial undertaking, and difficult to enforce and sustain over time.
In line with the thoughts above, as a future consideration, note that newer forms of software that classify e-mail based on controlled vocabularies/enterprise-wide taxonomies and automated records classification processes offer the promise of fully automated, itemized retention scheduling and authorized disposition management. While not generally in use today, this type of technology may ultimately prove to be the best alternative to controlling and documenting e-mail retention and disposition. Developments in this area are well worth tracking.
Unlike the more encompassing electronic records systems described previously, journaling/archiving systems are typically focused on e-mail. They store items on high density electronic media and index e-mail in a way that streamlines retention and disposition actions, reduces system overhead for storage, and simplifies and optimizes searching independent of the original authors/recipient of the e-mail.
Like electronic records systems, journaling/archiving systems also accommodate features such as litigation holds that locate, segregate and preserver items relevant to investigations, audits or law suits.
**The term "archiving" in this context does not indicate transfer to an official archival repository program. Here, the term relates to the technology employed.
Organizational Roles and Responsibilities
Define roles and responsibilities of agency personnel involved with image processing systems. It is especially important for agency records management personnel to work with their senior managers, legal counselors and information technology staff to establish policies and procedures for electronic image management. Work with system administrators to ensure that unauthorized users are not able to access, modify, destroy or distribute records.
Agency administrators, individual agency employees, records managers, information technology (IT) managers and server administrators share responsibility for managing electronic records. Endeavor to clarify these roles, and adopt supporting procedures, training programs and compliance auditing techniques. In conjunction with system administrators, take appropriate measures to preserve data integrity, confidentiality and physical security of electronic records.
For all content, ensure that your agency maintains basic meta-data for all items, including:
Ensure all record copies are stored in a reliable and trustworthy fashion.
With regard to records management functions, be sure the configuration planning process and design specification includes the following. Note that the functions support the generation/storage of meta-data and reliable/trustworthy content.
Note: Do not relay on system and file backup processes and media to cover electronic recordkeeping functions.
Organizational Roles and Responsibilities
Define roles and responsibilities of agency personnel involved with shared drives and collaboration sites. It is especially important for agency records management personnel to work with their senior managers, legal counselors and information technology staff to establish policies and procedures for electronic records management.
Work with system administrators to ensure that unauthorized users are not able to access, modify, destroy or distribute records.
Agency administrators, individual agency employees, records managers, information technology (IT) managers and server administrators share responsibility for managing electronic records. Endeavor to clarify these roles, and adopt supporting procedures, training programs and compliance auditing techniques. In conjunction with system administrators, take appropriate measures to preserve data integrity, confidentiality and physical security of electronic records.
When an employee separates from an agency, whether it is due to resignation, retirement, or termination, have a knowledgeable agency administrator(s) review the employee's account to determine which records need to be retained and what the appropriate retention periods should be, and then act accordingly.
Public agencies use tape-based and electronic sound and video recording systems to document public proceedings. Such recordings are integral parts of the record keeping practices of courts, governing bodies, and various other agencies that conduct open public meetings. The recordings of agencies that receive a substantial contribution of tax dollars are considered public records. The minutes or transcripts generated from such recordings are also public records.
Officials may prefer to transcribe recorded audio portions of proceedings onto written documents, which, in turn, can be scanned and stored on electronic systems and/or stored on long term microfilm or high-quality, acid-free paper (see Scanned Images of Textual Records above and N.J.A.C. 15:3-2.7 and 3-3 et seq. for microfilm and paper storage standards).
Verbatim transcriptions or approved summaries of the audio recordings of public proceedings are considered the official or "record copies" of the proceedings. Requirements for generating transcriptions or minutes from recording devices and records retention requirements for the original tape or digital recordings vary according to the type of public proceeding, and are typically spelled out in approved records retention schedules.
State schedules cover a variety of venues including: judicial proceedings such as trials and hearings; meetings of public officials like school boards, governing bodies, state and local agencies and commissions; meetings of public officials pursuant to the Municipal Land Use Law including planning and zoning boards of adjustment; and hearings with public testimony offered to State agencies to help establish formal policy.
In all cases, once a recording of a public proceeding has been created, whether voluntarily or in compliance with statutory requirements, it becomes subject to retention and destruction provisions of State law. Accordingly, identify the records series to which recordings/transcriptions correspond, and retain record copies for the length of their designated retention periods. For digital content, at a minimum, provide for deletion of the records following the receipt of approval for the disposition action.
Be aware that normal deletion processes do not assure the full destruction of imaged records. In most cases, deletion only removes the index information that points to the records. Contact your system administrator to determine whether it would be appropriate to employ a form of secure deletion (on both online storage and back-up media), which effectively obliterates the targeted contents.
If a system is retired or converted to another platform and it becomes necessary to dispose of the storage media that had housed electronic records, ensure that the media are destroyed in such a way as to obliterate any traces of the content they contained. In this regard, State agencies must follow the policies, standards, and procedures set forth by the Office of Information Technology -- Information Disposal and Media Sanitization (09-10-NJOIT).
If you plan to store tape-based or digital versions of hearings in addition to or in place of transcriptions, follow the best available commercial or public standards and guidelines for the tape or electronic media. NARA offers more detailed guidance in this area. If you plan to store audiovisual records in digitized format within your general information technology complex, employ the techniques discussed in the Shared Drives and Collaboration Sites section above. Also, see the System Sustainability Guide and Suggested Formats and Supporting Information for Long Term Retention of Electronic Records Formats.
Digital geospatial records and digital cartographic data files are associated with Geographic Information Systems (GIS). State laws may continue to limit the use of this technology for official records keeping or record copy purposes. Contact RMS for guidance with respect to specific cartographic content that you seek to convert to automated formats.
Notwithstanding legal limitations on the use of GIS, application of the technology for operational purposes may yield many benefits for public agencies and the citizens they serve. For example, the use of digital parcel information GIS can help foster: streamlined, timely, responsive and efficient processing of information (such as tax mapping and associated tax assessment work); improved security (via tailored access restrictions and use of back-up/recovery to guard against loss or defacement of records); improved land use planning, decision-making and revenue collection through the use of standardized, accurate shared data; and improved public safety operations via timely access to critical infrastructure information.
The use of geospatial data and GIS continues to be an evolving area. Monitor the work of standards committees at the State and national levels for media, file format and meta-data (see System Sustainability Guide and Suggested Formats and Supporting Information for Long Term Retention of Electronic Records Formats). Most of the general records management practices for Shared Drives and Collaboration sites discussed above apply to the management of GIS systems, irrespective of the underlying technology
Structured databases are groupings of logically related data fields that are defined, stored, retrieved/used, and maintained within a software complex, or database management system, in support of specific organizational functions. These functions can be simple list management applications or agency-wide/Enterprise level activities such as budget and fiscal management, revenue recording and financial reporting, human resources and benefits management, payroll, tax and collections administration, motor vehicle/driver registry, data warehouses, etc. Structured databases may support other records systems – e.g., provide index/inquiry management for a digital imaging system, serve as official systems of record for key functions/transactions, or provide both support and official record keeping services. Therefore, databases may be the hubs of institutional business activity and/or be components in any of the electronic records systems touched upon in this section -- from electronic mail systems, to image processing systems, through to shared drive complexes and GIS.
Because of their functional diversity, it may be difficult to apply records management principles and practices to structured databases. Like shared drives, however, they are likely to contain public records. Therefore, agencies will need to address the records management challenges that arise from the use of the technology. This section provides basic guidelines designed to assist agencies in addressing these challenges.
You will note that many of the techniques suggested for shared drive/collaboration site management apply to structured databases.
Records Management and Structured Databases
A key determination that centers all planning and records management actions relative to structured databases is whether the records stored in them contain original, official versions or record copies. If a database contains only support information such as abstracts of underlying, complete records stored in image or other formats, the information need only be retained for the length of time it has active administrative value. If the database contains record copies of transactions or other events, plan to apply the following records management principles and practices.
Arrange directories, tables, folders, sub-folders, and files so that they are associated with their corresponding records retention schedule/record series.
Records Scheduling/Disposition
If possible, identify the records series that correspond to the records content on the database – e.g., pensions case file, complaint case file, permit application record, payroll disbursement, tax payment transaction, etc. Record series relate directly to agency-specific or general records retention schedules. Retain record copies of public records for the length of their designated retention periods and, at a minimum, provide for deletion of the records following the receipt of approval for the disposition action. If you maintain a mix of different record series within individual directories, folders and files, use the longest retention period to guide your disposition actions. If you store long term (retention greater than 10 years), permanent or archival records on an electronic system, be sure to address and guard against technical obsolescence (see the System Sustainability Guide and Suggested Formats and Supporting Information for Long Term Retention of Electronic Records Formats).
Be aware that normal deletion processes do not assure the full destruction of imaged records. In most cases, deletion only removes the index information that points to the records. Contact your system administrator to determine whether it would be appropriate to employ a form of secure deletion (on both online storage and back-up media), which effectively obliterates the targeted contents.
If a system is retired or converted to another platform and it becomes necessary to dispose of the storage media that housed electronic records, ensure that the media are destroyed in such a way as to obliterate any traces of the content they had contained. In this regard, State agencies must follow the policies, standards, and procedures set forth by the Office of Information Technology -- Information Disposal and Media Sanitization (09-10-NJOIT).
For all content, ensure that your agency maintains basic meta-data for all items, including:
Reliability and Trustworthiness
Ensure all record copies are stored in a reliable and trustworthy fashion.
New Database Management Systems
For new systems, make records management and preservation integral parts of the configuration planning process and design specification by ensuring that:
Retention and disposition scheduling are parts of the drive/site design.
With regard to records management functions, be sure the configuration planning process and design specification includes the following. Note that the functions support the generation/storage of meta-data and reliable/trustworthy content.
Note: Do not relay on system and file backup processes and media to cover electronic record-keeping functions.
Safeguards Against Technical Obsolescence
As with all forms of automated records technologies, you will need to guard against technological obsolescence. Design and implement migration and/or back-up strategies to counteract hardware and software dependencies, especially if the electronic records must be maintained beyond the anticipated life of the system used to create and/or capture them originally (risk of technological obsolescence). To successfully protect records against technological obsolescence:
Organizational Roles and Responsibilities
Define roles and responsibilities of agency personnel involved with shared drives and collaboration sites. It is especially important for agency records management personnel to work with their senior managers, legal counselors and information technology staff to establish policies and procedures for electronic records management.
Work with system administrators to ensure that unauthorized users are not able to access, modify, destroy or distribute records.
Agency administrators, individual agency employees, records managers, information technology (IT) managers and server administrators share responsibility for managing electronic records. Endeavor to clarify these roles, and adopt supporting procedures, training programs and compliance auditing techniques. In conjunction with system administrators, take appropriate measures to preserve data integrity, confidentiality and physical security of electronic records.
When an employee separates from an agency, whether it is due to resignation, retirement, or termination, have a knowledgeable agency administrator(s) review the employee's account to determine which records need to be retained and what the appropriate retention periods should be, and then act accordingly.
Web sites are groupings of digital content, organized as pages, that center on and allow online access to related topics, functions and/or services via hyperlinks and other automated navigational tools. Web site contents may include various combinations of elements such as information encoded in a hyper mark-up language, style sheets, audiovisual files, application software code (executables), presentations and various types of electronic documents.
Currently, New Jersey does not develop retention schedules for web sites per se, but rather focuses on the individual documentary/transactional elements that may appear online such as reports, filing transactions, payments, etc., which are typically stored, for official record-keeping purposes, in back-end production databases and network file shares. If your agency uses web sites to store official or record copy versions of public records, basic records management requirements will apply to the content of those sites.
NARA provides guidance on categorizing and scheduling records found on web sites using the following three general groupings:
Chapter 8
|Be sure to integrate vital records management with disaster recovery programs and continuity of operations plans. Increasingly, these programs are located under the authority of the agency's information technology operation. For this reason, it is imperative for records management staff and operational managers to work with their information technology teams to ensure that a holistic view of these interrelated programs guide decisions about how to institute vital records management.
View an example of a high-level plan template that blends elements of business continuity and disaster recovery plans.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et.seq. 3-2 et seq., 3-3 et seq., 3-4 et seq. and 3-6 et seq.,
(Online Source)
Vital Records Management Program Elements
Records Classification
Knowledge of record holdings is necessary before appropriate controls for vital records protection can be instituted. Identification and analysis of record series is most easily accomplished during a routine records inventory conducted as a first step in developing a records management program, during a file audit (see Paper Files Management above) used to organize active records or during the development of computer-based systems, especially during the planning and general design phases of the system development life-cycle.
In connection with computer-based systems, State agencies are subject to specific project review and control requirements embodied in the System Architecture Review (SAR). The SAR includes classification of the information content of systems and can serve as a foundation for vital classification. County and local agencies may wish to use the SAR as a model for their own initiatives in this area.
Published records retention schedules, which contain lists of records that exist in most public offices, are good sources for identifying vital records. They include descriptions of records, as well as instructions regarding retention and disposition for each record series listed.
In the context of records classification for vital records, there are four general categories:
|Nonessential Records -- This type of record is listed on a records retention schedule for routine destruction in accordance with statewide guidelines. Loss of these records presents no obstacle whatsoever to restoring daily business.
|Useful Records --These are records that, if lost, might cause some inconvenience but could be easily replaced. Loss of these records does not present any real obstacle to restoring daily business.
|Important Records -- This category of records, although replaceable, is reproduced only at considerable expense of funds, time and labor. Loss presents aggravating but surmountable obstacles to resumption of operations, and
|Vital Records-- These records are absolutely essential to the continuity of agency operations and/or protection of the legal rights and obligations of the agency and the citizens it services. These records cannot be lost under any circumstance.
|Examples of vital government records include regularly updated information needed for daily activities such as accounts receivable, tax files (e.g., general tax records, property tax records, property ownership records, etc.), minutes of governing boards, authorities, and commissions, and standing executive orders of mayors or county executives.
Be sure to include operational managers, records professionals, audit and legal advisors and information technology staff in the records classification process.
Protection Methods
Estimating the severity of a calamity that could destroy an agency's records is a basic step in determining appropriate protection measures for vital records. This projection, along with an examination of costs of protection methods and budgetary levels, provides a basis for choosing options.
The three most commonly used ways to secure vital records are duplication/, on-site storage and off-site storage.
|Duplication/Dispersal — Many records can be protected by simply distributing duplicate copies to one or more locations other than the central or primary building.
Duplicates may be created in paper, microfilm or electronic media. In choosing a format, consider the volume, frequency of updates, storage environment (especially any need for special environmental controls), storage space, equipment, software and power requirements, along with costs and budgetary levels.
Once duplicates have been created, they may be distributed or dispersed in a variety of ways. Records are often distributed to locations other than the agency's primary building as part of regular operating procedures. These dispersed records are kept for their minimum retention periods and are available to appropriate officials. For electronic content, networked based duplication or replication options may be available – through your agency and/or third party service providers, on-premises or via the cloud.
In cases where vital records are not being dispersed as part of routine procedures, special disbursal measures can be adopted solely for the purpose of vital records protection. Use of this technique has practical limits imposed by the degree of care given to records by offices that have no specific need to receive them.
|On-site Storage -- On-site vital records considerations include the analysis and improvement of buildings or facilities, equipment and supplies, as well as the institution of procedural controls. Examples include:
|Off-site Storage – This option involves keeping vital records in a single location separate from the agency's main building. Locate the off-site storage center close enough for access, control and updating. Consider use of suitable public buildings owned by a government agency that are reasonably secure. It is important to note that whenever vital records are semi-current, they are eligible for storage in a records storage center (see Records Storage Center Operations above).
The advantages of central, off-site storage include:
|Program Coordinator and Vital Records Team
For agencies that have already established a records management program, the records manager is an appropriate choice for coordinating and managing the vital records program. Information technology professionals are also good candidates for the position.
If the vital records coordinator is not a records manager or connected on a daily basis with record-keeping systems and procedures, be sure that he/she is becomes familiar with record holdings -- by conducting records inventories and/and by interviewing representatives from the operations involved to review their record holdings.
An important part of successful vital records programs is the appointment of appropriate staff members to assist the vital records coordinator. The major function of this team of agency officials is to aid the coordinator in identifying vital records and to institute appropriate protection regimes. Consider including experts in administration, finance, audit, law, information technology/security and records management on the team.
Communications and Testing
Because identifying vital records and selecting appropriate protection measures is necessary to prevent loss of critical information in the event of disaster, it is important for the vital records coordinator to communicate policy and procedures to all offices and enlist their active participation and support.
Consider publishing a vital records manual or incorporating a vital records section into your official policy and procedures documents, as well as conducting periodic seminars for officials and operational staff. If you operate within a smaller agency consider using a more informal procedure, such as a vital records master list.
Best practice is to test the vital records program periodically through simulations to ensure that protection methods are operating as intended and that vital records can be reproduced from duplicated/disbursed sources. At a minimum, review the program annually to identify areas requiring updates.
Vital Records Management Summary
Vital records management programs are instituted to prevent the loss of information critical to the daily operations of agencies during a calamity or to reestablish services afterward, as well as to ensure the continual availability of records that document the rights and obligations of agencies and the citizens they serve.
It is imperative that agencies integrate vital records management with disaster recovery programs and continuity of operations plans. The vital records program itself includes several interrelated elements including vital records classification, choice/use of protection methods and procedures, assignment of the program coordinator and team, communications process and testing.
Chapter 9
Disaster Prevention and Recovery
From a records management perspective, disaster prevention and recovery involves the on-going protection of vital records and recovery of these records following a catastrophic event such as a computer system crash, security breach or terrorist attack, or following massive damage to agency facilities due to a disaster such as a flood, fire or earthquake.
Be sure to integrate disaster prevention/recovery with vital records management and continuity of operations plans. Increasingly, these programs are located under the authority of the agency's information technology operation. For this reason, it is imperative for records management staff and operational managers to work with their information technology teams to ensure that a holistic view of these interrelated programs guides decisions about how to institute vital records management.
This section supplements and amplifies information found in the State's administrative rules.
View an example of a high-level plan template that blends elements of business continuity and disaster recovery plans.
Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et.seq. 3-2 et seq., 3-3 et seq., 3-4 et seq., 3-4.11, and 3-6 et seq.,
(Online Source)
General Considerations
Effective disaster prevention/recovery requires proper on-site and off-site storage facilities. Align the scope of plans, and the specific coverage techniques adopted, with risks relative to the loss of records stored in vital records systems. This includes consideration of likely threats to the systems and the impacts of lost records in areas such as revenue intake, the rights/obligations of the government and its citizenry, security/confidentiality, and continuity of essential services for public health and safety. Assess whether the records can be reconstructed via other sources and determine the costs associated with guarding against records loss. Determine the maximum time frame that can be tolerated for recovery (recovery point objective) and how current restored vital records must be – e.g., up to the minute, from last back-up, from last meeting cycle, etc. (recovery point).
Balance the costs of disaster prevention/recovery programs with the likelihood and impacts of records losses. Risk assessments may help agencies determine the period of time within which systems, applications or functions must be recovered after an outage, and the economic feasibility of various recovery options.
|On-site and off-site storage – This includes the use of storage facilities or on-site areas that protect against damage or destruction from fire, water and other disasters, fluctuations of temperature and humidity, infestation by pests and vermin, and pollution.
For computerized records and database systems, work with your information technology team to obtain off-site back-up and/or replication of vital records that are stored in digital format.
|Safeguarding privacy and security of records — This is accomplished through creation of access authorization procedures and institution of theft prevention measures.
|Although there can never be an absolute guarantee against destruction from a disaster, vital records protection can provide a cost-justifiable strategy to minimize the effects of a calamity. Time and money spent to prevent a records disaster will always be less than the cost of a salvage operation.
Recovery Operations
Despite the steps taken to prevent disaster, systems may fail and records will occasionally be damaged. Plan to recover vital records that have been impacted by a disaster. Both hard copy and computerized records will be involved.
While a full discussion of recovery operations for computerized systems are beyond the scope of this presentation, generally, there are several options to consider. You may install redundant systems at an alternate site which become fully operational when the main system fails, with restoration of records from off-site back-up's, or use of full failover coverage with records that have been replicated to the alternate site in real time (fail over protection). You can arrange for installation of computing equipment in a fully appointed computer room using back-up's to recover once the site is made operational (cold site). Also consider the use of third party cloud based computer platforms for back-up, replication and/or fail over coverage.
Hard Copy Records Recovery
Once conditions become favorable for records deterioration, reversing damage becomes more difficult as time goes on. For example, mold will grow on wet paper within 48 hours. Be aware of the following if you must conduct a salvage operation
|Building inspection — As soon as possible after fire, flood, explosion or other calamity, have officials with expertise in electrical, building and fire safety examine affected facilities for potential hazards and certify their safety.
|Communications Center — In some cases, it may become necessary to set up temporary location in the immediate vicinity of the salvage operation with telephones, walkie-talkies and/or wireless communications devices.
|Recovery Coordination — Establish lines of authority and responsibility in a clear fashion. Designate the following:
|Logistical Support – Be aware that staff and equipment will be needed to conduct a records salvage operation successfully. Logistical elements include:
Salvage Methods
The coordinator, departmental liaisons and consultants begin to salvage records by:
|Determining if a list of the records involved in the disaster exists, and where the list is kept.
|Determining if there is an off-site storage location with duplicate records (e.g., electronic back-up files, dispersed paper duplicates, microfilm copies in a records storage center, etc.).
|Examining salvageable records to determine:
|Packing and labeling of salvageable records to ensure continuing identification of the records.
|After these steps have been taken, identify appropriate methods for salvaging vital records. Recommendations depend upon the nature of the records disaster:
|In either of these cases, the identification of record series and their corresponding retention and disposition requirements forms the basis for decisions to save or destroy.
Note that drying alone may not be enough to preserve certain records. Assistance may be necessary to duplicate singed, scorched, or charred records. For example, seemingly illegible charred documents can often be read by exposure to ultraviolet light.
|Other preservation and conservation strategies include:
|Encapsulating documents in mylar or other polyester film; and
|Microfilming or scanning damaged documents to produce durable working copies and to address long term storage (thus eliminating excessive handling of the damaged originals).
|Be aware that salvageable permanent records may not be destroyed. However, if such records are inactive, you may consider postponing their complete restoration, provided their condition is stabilized, and a delay in the application of conservation techniques would not threaten the records.
Records salvage is expensive and time consuming. Ensure salvage efforts are conducted by qualified, experienced professionals. Agencies can minimize the adverse impact of disasters by implementing vital records protection programs and establishing a disaster prevention/recovery plan. Such a plan confers authority and identifies the elements of a records salvage operation before a calamity strikes.
For additional information on salvage operations, access the National Archives and Records Services' guidelines.
Disaster Prevention and Recovery Summary
Disaster prevention and recovery involves the on-going protection of vital records and recovery of these records following a catastrophic event such as a computer system crash, security breach or terrorist attack, or massive damage to agency facilities due to a disaster such as a flood, fire or earthquake. The preliminary concerns include instituting a vital records protection program and providing security. Necessary elements of a salvage operation include a building safety inspection immediately following the disaster, the establishment of a communications center, the appointment of a recovery coordinator and appropriate departmental liaisons, and obtaining logistical support which includes necessary employees, equipment and supplies, and consultants.
Use records retention schedules to help determine which records to salvage or destroy.
Chapter 10
Indicate the extent to which the core technology (e.g., operating system, database management system, network, file formats, etc.) is used/supported in the broader marketplace.
Is there availability of contractor and/or knowledgeable in-house maintenance support for the core system components in the next three years?
Will there be sufficient funding for support and necessary system upgrades in the three year time frame?
|Sustainability Risk Matrix
Indicate the risk levels associated with severe degradation or failure in each of the three areas above – from low to high for each area, in a three year period.
Migration Strategy
If any of the factors on the matrix above registers as High, determine how your agency will ensure that the informational and records contents of the system survive from one technological generation to the next.
The strategy may include any, or a combination of the following:
|Preserve the original technology used to create or store the records through an in-house support arrangement.
|Emulate the original technology on a new technology platform(s).
|Migrate the software necessary to retrieve, deliver, and use the records to another platform.
|Migrate the records to a new system and up-to-date format.
|Convert the records to another open format.
|Other (specify)
|**Consider using the Suggested Formats and Supporting Information for Long Term Retention of Electronic Records when planning for and executing system migrations.
You may also find the State of Tennessee's approach to sustainability, which focuses strongly on file formats and specific storage platforms, to be useful.
RMS Review of Migration Strategies
If you wish to RMS' written review of your migration strategy for use in planning and supporting your migration process, send your sustainability assessments, migration strategy and supporting material to RMS.
Suggested Formats and Supporting Information for Long Term Retention of Electronic Records
(Selected File Types)
Use these guidelines when addressing management of records scheduled to be retained for 10 years or more. Generally, these guidelines will prove helpful in planning for the transfer of electronic records to long term electronic storage or digital archival facilities. Use of the suggested formats and supporting information may also ease migration and conversion of records content to different production information systems over time.
By and large, the guidelines stress the use of open systems formats. However, it is important to highlight that use of native (product specific) formats within sustainable automated systems is of vital importance as well. As long as agencies provide for controlled and sustained access to and preservation of electronic records within native operational systems, the foundations for long term retention remain in place.
The guidelines are tentative. They draw heavily from documents and information posted by the National Archives and Records Service (NARA)[8] and North Carolina State Archives.[9] Also, the Library of Congress posts valuable discussions on system sustainability factors, which provide conceptual foundations for understanding the guidelines.
Notwithstanding the emphasis on the above-referenced sources, the work of various state records management and archives programs inform this discussion. Indeed, with respect to the broad contours of long term retention practices and the conceptual foundations for electronic records management programs, there appears to be overarching consensus regarding the need for approaches such as those outlined herein. (View to a selected list of links to state government electronic records policies, procedures and guidelines.)
Be aware that the guidelines are subject to change, pending the receipt of further guidance from the New Jersey State Archives, including guidance on media and meta-data requirements, relative to records transfers to archival facilities. In the interim, if you wish to review a more detailed treatment of meta-data and digital media, access the State Minnesota's suite of guidelines, as well as North Carolina's guidelines.
Electronic Mail and Attachments
Consider converting long term e-mail messages to one of the following formats.
Have users select and store long term e-mail content in one of these formats, or migrate selected e-mail/mail boxes via programming or bulk import to one of the formats.
|Standardized Generalized Mark-up with Document Type Declaration (SGML/DTD)* – This format uses tags to define records structure (from/to, date, message body, etc.) and style (formatting) information.
|Extensible Mark-up Language with Document Type Definition (XML/DTD)* – This format also uses tags to define records structure and style information.
|Text format (ASCII or UTF-8, .txt) – This format does not migrate records structure and formatting information. Exercise caution when using this format if such information is important to interpreting the context of messages and determining their authenticity.
*Mark up languages are designed to be self-contained and portable (i.e., independent of any proprietary system).
For attachments, consider use of the following:
|Portable Document Format (PDF)/A-1a or A-1b (.pdf) (A-1a is preferred; see information provided by the Library of Congress on PDF/A, ISO 19005-1) – Use this format for word processing documents, spreadsheets and presentations. Note that the PDF/A1a will render content as it appeared in its native file format, but will not translate elements such as spreadsheet formulas.
For older material stored in PDF format, consult NARA's guidelines.
|Standardized Generalized Mark-up with Document Type Declaration Type Declaration (SGML/DTD) – Use for a wide variety of file types.
|Extensible Mark-up Language with Document Type Definition (XML/DTD). Use for a wide variety of file types.
|Open Document Formats (.odt for documents; .ods for spreadsheets; and .odp for presentations) – This is an open systems format that can be used with different word processing and office productivity programs.
|Text format for documents produced by text editor programs (ASCII or UTF-8; plain text or tab delimited = .txt or comma delimited = .csv)
|Be aware that staging e-mail and associated content for migration and conversion may involve extracting selected e-mail content or entire e-mail boxes to an intermediate bulk format such as the
Microsoft® Outlook® Personal Storage Table (.pst) or MBOX family of formats (or successor formats) for different e-mail systems.[10]
NARA provides helpful information in this area.
In all cases, endeavor to maintain documentation that identifies the application software used to create the records and the version(s), and the operating system and version(s). Take care to maintain meta-data such as names of senders/receivers, dates (created, sent, received), and versions if applicable.
Maintain the following supporting information when scheduling permanent e-mail records.
|Technical documentation
|Documentation of historical or planned system upgrades, data migrations, and other changes to the system or records
|Documentation of quality control inspections performed on the records
|File format information
|Finding aids
|Documentation of protection
Scanned Images
For scanned images of textual records that have long term retention requirements, consider applying the following guidelines. Consult NARA's bulletin on the subject as well.
File Formats for Raster (Bit Map) Images
Use any of the following formats:
|Tagged Image File Format (.tif or.tiff)
|Graphics Interchange Format (.gif)
|Joint Photographic Experts Group (JPEG) 2000 or JPEG (.jp2, .jpg, or.jpeg)
|Portable Network Graphics (.png)
|Bitonal (1-bit) scan at 300-600 ppi. Use this resolution for documents that consist exclusively of clean printed type possessing high inherent contrast (e.g., laser printed or typeset on a white background).
|Gray scale (8-bit) scan at 300-400 ppi. Use this resolution for textual documents of poor legibility, because of low inherent contrast, staining or fading (e.g., carbon copies, thermofax, or documents with handwritten annotations or other markings), or that contain halftone illustrations or photographs.
|Color (24-bit RGB [Red, Green, Blue]) scan at 300-400 ppi. Use color mode (if technically available) for text containing color information important to interpretation or content.
Maintain the following supporting information when scheduling permanent scanned records:
|Imaging system and version(s) (i.e., application software and storage system)
|Operating system and version(s)
|Records Management Application (if applicable) and version(s)
| Image file format(s) and version(s)
|Image quality specifications (i.e., resolution, pixel (bit) depth, compression technique)
|Structure of image header if applicable (e.g., .tiff, .png, .gif, etc.)
|Meta-data (e.g., for each document, date/time of creation, organization/person responsible for document, version number, structure of the file header
|Finding aids, indexes, and other information used to retrieve the records
|The Optical Character Recognition (OCR) versions of the images (i.e., additional files enabling full text searches linked to the appropriate scanned image), if applicable
Digital Photographic Records
For digital photographs produced from digital cameras and scanned images of photographic prints, slides, and negatives, use the following guidelines and consult NARA's general information.
File Formats
Use the following formats:
|Tagged Image File Format (.tiff, .tif).
|JPEG File Interchange Format (.jfif, .jpeg) -- Create JPEG files using at least high quality compression settings (no loss of fidelity).
Use the following levels as applicable:
|Continuous-tone gray scale or color raster images, 8-bit or 16-bit per channel.
|Color images in RGB (Red Green Blue) color mode as 24-bit or 48-bit color files.
|If using a digital camera, captured images at 6 megapixel files or greater with a minimum pixel array of 3,000 pixels by 2,000 pixels.
| Scan photographs as minimum 3,000 line files to approximate a 6 megapixel file according to the following image size and resolution guidelines:
Maintain documentation that reflects:
|Meta-data – e.g., unique photograph identification number and/or file name. (Maintain agency naming conventions if applicable.)
|Captions or narrative text describing each individual image
|Photographer--the full name and organization of the photographer, if available.
|Copyright – description of any restrictions on the use of that image because of a copyright or other property rights, with beginning and ending dates if applicable.
|File format and version
|Bit depth, compression and image size (see Resolution above)
|Image source --the original device used to capture the images (e.g., the make and model of the digital camera)
Digital Drawings
For technical drawings – e.g., architectural and engineering drawings, produced via automated applications like computer-aided design packages, consider using the following guidelines for long term retention.
File Formats for Vector Images (Containing Mathematically Derived Graphics or Shapes)*
*If your system employs raster formats, see the file format and documentation guidelines for raster images above. Also, review Geospatial Records below.
Use any of the following formats:
|Scalable Vector Graphics 1.1 (.svg)
|AutoCAD® Drawing Interchange Format (.dxf)
Maintain the following supporting information:
|Application system and version(s) (i.e., application software and storage system)
|Operating system and version(s)
|Records Management Application (if applicable) and version(s)
|File format(s) and version(s)
|Meta-data (e.g., for each document, date/time of creation, organization/person responsible for document, version number, structure of the file header
|Finding aids, indexes, and other information used to retrieve the records
|Delimited Flat File(.txt, comma or tab delimited)
|Tagged format file such as .xml
**In this area, North Carolina points to the availability of Software Independent Archiving of Relational Databases (SIARD) format, which is XML based.
In all cases, provide documentation that lists the data model and describes the underlying data (data description language and/or dictionary or comparable tool).
Other valuable documentation includes:
|Key process flow descriptions (to help bolster understanding of the uses of the data)
|Application system and version(s) (i.e., application software and storage system) if appropriate
|Operating system name and version(s)
|Database management system name and version(s)
|Input sources/documents
|Outputs (reports, extracts, exports, etc)
|Entity relationship diagram (data elements, objects and tables)
Web Sites
North Carolina points to the availability of a web archive format, WARC, which it employs within the context of web crawling/harvesting operations using the open source Heritrix tool and Archive-It service. Currently, there is no comparable arrangement in New Jersey. Hence, agencies may wish to periodically create and store snap shots of their sites using the PDF/A-1a. Be aware that this approach will not preserve the dynamic elements of web sites.
Geospatial Records
Digital geospatial records are digital cartographic data files that are typically parts of Geographic Information Systems (GIS). This appears to be an evolving area. The best advice to follow here, as with most automated records systems, is to employ technologies that follow recognized national standards. NARA lists several standards. However, best practices for long term preservation of geospatial data sets may be evolving more rapidly within the context of state government archival programs. You may find it helpful to review the shape file format originally designed by the Environmental Systems Research Institute (ERSI) that includes the .shp (main shape file), .shx (index file), .dbf (table containing feature attributes) extensions, along with several optional files (see the Library of Congress overview of the format). Also, you may find the proposed geographic meta-data guidelines from The Federal Geographic Data Committee helpful. North Carolina references both items in its file format guidelines..
Audiovisual Records
For long term storage of electronic audiovisual records, consider applying the following guidelines. NARA provides information on resolution and documentation.
File Formats
|Broadcast WAVE Format LPCM and WAVE Format WAVE Format LPCM (.wav)
AIFF (uncompressed,.aif, .aiff)
Standard MIDI (.mid, .midi)
Windows®Media Audio WMA (. wma)
MPEG3 (.mp3)
MP4 AAC (.m4a)
NARA also offers additional guidance on audiovisual formats.
Maintain documentation that reflects:
|Meta-data – e.g., unique identification of event and/or file name. (Maintain agency naming conventions if applicable.)
|Narrative text describing each event
|Administrative agency responsible for the event
|Copyright – description of any restrictions on the use of the recording because of a copyright or other property rights, with beginning and ending dates if applicable.
|File format and version
This Records System Feasibility Study Guideline provides a structured format for documenting current records system problems/opportunities, and for analyzing/choosing records system alternatives.
The Guideline consists of six interrelated sections: Current System Review
Success Factors/Statement of Needs
Preliminary Evaluation Matrix Alternate System Specification Alternate System Analysis
Final Evaluation and Alternative System Choice
Collectively, the six sections address the technical, operational and economic dimensions of current and alternate records management system feasibility.
The Guideline does not emphasize a specific technology. Rather, it focuses upon objective analysis of current records systems, the development of a problem statement and general statement of needs, and analysis of various system alternatives. Subsequent to conducting feasibility studies, an agency may well find that automated alternatives are not feasible or are unnecessary.
1.0 Current System Review
1.1 General Overview
1.1.1 List the agency's name (Department, Division, Bureau, etc.).
1.1.2 Describe the agency's mission and objectives.
1.1.3 List the records series that are being targeted for conversion to an alternate format.
1.1.4 Describe the organizational function(s) that the records series supports.
1.1.5 Specify the deficiencies of the current records system. For example:
Integrity problems**Whenever possible, quantify records management problems.
1.1.6 Provide a brief summary of desired performance criteria and outcomes for an alternate records system approach. Describe, in general terms, what an alternate records management system must do to address identified deficiencies.
1.2 Current System Elements
1.2.1 Provide details on targeted records series:
1.2.2 List the formal retention schedule/records series number and retention periods for targeted records series and any certifications issued by the Division of Revenue and Enterprise Services (microfilm and/or image processing).
1.2.3 Describe the detailed physical elements of the records series. Address each document type involved (correspondence, maps, drawings, checks, etc.).
1.2.4 For paper records:
18.104.22.168 Document volume (in pages, cubic feet or linear feet)
18.104.22.168 Double/single sided pages
18.104.22.168 Color and/or color coding schemes
220.127.116.11 Weight
220.127.116.11 Recording characteristics -- e.g., hand written, typed or combinations
126.96.36.199 Physical condition
1.2.5 For microform records, if applicable:
22.214.171.124 Microform format
184.108.40.206 Film width -- 16mm, 35mm, 105mm, etc.
18.104.22.168 Reduction ratio
184.108.40.206 Background density
220.127.116.11 Resolution
18.104.22.168 Film base
18.104.22.168 Image orientation -- Cine or Comic
126.96.36.199 Blipping
220.127.116.11 Frame numbering
220.127.116.11 Film thickness
18.104.22.168 Packing density
1.2.6 For computer-based records, if applicable:
188.8.131.52 Storage medium
126.96.36.199 Format – e.g., text, image or structured data
18.104.22.168 Record/file layouts, if applicable
220.127.116.11 Record types, if applicable (fixed, variable, indexed, etc.)
220.127.116.11 Underlying software product, if applicable – e.g., DBMS package, word processing product, e-mail system, image processing system, etc.
1.2.7 In narrative and/or flow chart format, describe the procedures currently used in managing and processing transactions involving the records series. If applicable, describe in general terms any relationships with data processing/office automation systems and other support systems such as off-site storage, central file controls, etc. Include data/process flows that relate to the targeted records series if possible.
1.2.8 Provide a profile of the records series usage. At a minimum, include the following:
188.8.131.52 Number and locations of users
184.108.40.206 Annotation requirements (addition of notes, attachments and authorization signatures/ initials subsequent to creation or retrieval of records)
184.108.40.206 Access/retrieval rates and patterns
188.8.131.52 Printing/copying volumes
1.2.9 Specify the disposition policy and procedures for the targeted records series.
1.2.10 Specify how the record series and document types within the record series, if applicable, are indexed
1.2.11 Indicate privacy, security and other regulatory constraints on access and use of records
**Note that generally, document based systems have different usage patterns, which impact on conversion cycles and time frames. Key questions in this area are:
-When does document access begin?
Another useful measurement is the document reference activity ratio. This ratio can be derived by dividing the total number of document accesses (daily, monthly, or annually) by the total number of documents in the document base. This ratio is useful for determining appropriate alternatives. For example, high activity ratios coupled with large document volumes point to the need for automated retrieval systems, while large volume-low activity systems point to the feasibility of inactive records center alternatives.
1.2.11 Describe any relevant data processing/office automation interfaces in detail:
18.104.22.168 Host computer make, operating system name/version
220.127.116.11 Application system names/versions
220.127.116.11 Database base system names/versions
220.127.116.11 Office system names/versions
22.214.171.124 Programming languages
188.8.131.52 Communication network environment -- e.g., teleprocessing equipment, local area networks, switches/routers, bandwidth, circuit type, etc.
1.3 Provide details on the costs (monthly or annual) associated with the current records system:
1.3.1 Staff costs
1.3.2 Supply and equipment costs. For example: File/microform related equipment
Consumables -- various supplies including paper, guides, folders, etc.1.3.3 Maintenance costs
1.3.4 Work/storage space costs
1.3.5 Overhead costs
1.3.6 Total cost based on all of the elements above
2.0 Success Factors/Statement of Needs
2.1 Specify in detail the critical success factors – desired outcomes and performance parameters – for an alternate records system. Whenever possible, quantify the parameters for the success factors. Based upon this listing, provide a narrative statement of needs.
3.0 Preliminary Evaluation Matrix
3.1 List the mandatory criteria for alternative records systems based on the success factors identified in 2.0 above. Also include budgetary constraints and any mandatory longevity and legality requirements specified by the Division of Archives and Records Management.
3.2 Indicate the desirable criteria based on identified success factors and budgetary constraints.
3.3 Develop a weighting/scoring scheme 8.
4.0 Alternate System Specification
Specify alternative system solutions. Potential areas of emphasis are listed below.
4.1 Manual (paper-based) alternatives.
For example:4.2 Microfilm alternatives.
For example:4.3 Electronic imaging.
For example:4.4 Data-oriented alternatives.
For example:
5.0 Analysis of Alternatives
5.1 Conduct a functional/technical analysis of each alternative. Seek to answer the following questions: Do the specified alternatives meet organizational requirements that are identified as success factors -- e.g., simultaneous access, security, integrity controls, storage compaction, permanent retention requirement, etc.?
5.2 Conduct an operational analysis. In light of existing and/or planned organizational capacities, seek to determine if identified alternatives can be successfully implemented. If an evaluation matrix is being used, generate weighted scores for operational features. Factors may include:
Level of effort required for conversion to new system5.3 Conduct a cost analysis. Utilizing data from current contracts and recent system development efforts, detail projected costs for identified alternatives. Basic costs include:
5.3.1 One-time costs.
For example:5.3.2 Recurring costs (3-5 year horizon).
For example:5.4 List and analyze the benefits of each identified alternative.
5.4.1 List the intangible and/or non-monetary benefits.
For example, improved:5.4.2 Quantify the tangible benefits -- e.g., dollar benefits from labor savings, increased revenue flow, space savings etc., or increases in transaction processing capacity
- e.g., x more transactions processed in a given time frame.
5.4.3 Conduct a cost/benefit analysis. Compare the costs of alternatives with those of the current system or adopt a standard methodology such as net present value, payback, or return on investment to assess the desirability of the alternatives. If an evaluation matrix is being used, generate weighted scores for overall cost/benefit performance.9 (It should be noted that in some cases, policy and/or operational exigencies may require investment in system alternatives that address critical intangible and/or non-monetary benefits. In such cases, traditional cost/benefit analyses may not apply.)
6.0 Final Evaluation and Choice
6.1 Eliminate alternatives that fail to meet mandatory criteria.
6.2 Rank the remaining alternatives.
If an evaluation matrix is being used, complete the following steps:
6.2.1 Sum the weighted scores
6.2.2 Produce an overall ranking based upon aggregate weighted scores
6.2.3 If applicable, for the highest ranked alternative, consider additional factors. Additional factors may include the following:
Availability of product
***If the analysis reveals previously unidentified weaknesses in the highest ranked alternative, reject that alternative, record the reason for rejection, and consider the next highest alternative in light of the additional factors. Continue until an acceptable alternative is found.
The three approaches to cost/benefit analysis are based upon detailed specification and quantification of alternative system costs and benefits (also measured in monetary terms).
Net Present Value
Based upon the concept of the time value of money, NPV is a comparison of the present values of current and future cash inflows/outflows associated with identified alternatives. Present values are derived via the discounting of cash flows at a predetermined rate. NPV analyses consist of the following elements:
-Useful life of the system alternative
-Discount factor
-Discounted cash flows over the useful life of the system (annuities or single inflows/outflows; for State government purposes, cost savings/avoidance may also be considered as inflows in NPV analysis)
-Net Present Value (discounted cash inflows versus outflows); alternatives with the highest positive NPV are the most attractive
Return on Investment
In simplest terms, ROI is expressed as a ratio between benefits and costs:
Total Projected Benefits/Total Projected Costs = ROI
ROI is a good tool for ranking alternatives and could be used in conjunction with present value (discounted cash flow) calculations. As the ratio between benefits and costs (ROI) increases, the attractiveness of the alternative increases.
Payback measures the amount of time required to recoup original investment amounts through the accrual of benefits. The equation for payback is:
Total Projected Costs (Investments)/Projected Benefits = Payback Period
Alternatives with short (1 - 3 years) payback periods are most desirable.
Chapter 13
Service Package
Planning Service Package
|Consultative Services
Guidance with regard to assessing the feasibility of automated records systems and services
Assistance with completing DORES/RMS Feasibility Study Outline
Consultation on aligning records systems planning overall information technology and budgetary planning
Guidance with regard to incorporating records management practices into automated systems
Guidance with regard to effectively structuring procurement system development/service program initiatives
Assistance with completing DORES/RMS Feasibility Study Outline
Assistance with completing DORES/RMS Conceptual Design Document
Guidance with regard to the roll of out of approved initiatives
Remittance Processing Service Package
|Consultative Services
|Design Transaction Documents
Consultation on the design of stub and check transactions
Verification of retention scheduling for transactions
|Design Outbound Processes
Consultation on the design of processes that create billing/remittance processing items (involves extracting and generating bills from the agency's production system and then producing the remittance transactions)
|Design and Execute In-bound
Design and programing of applications that convert inbound paper transactions to electronic data and image streams
*DORES/RMS manages development and implementation projects in this category directly.
|Configure and Implement Data/Image Export and Storage
Configuration and implementation of software and hardware needed to: populate agency databases with information about completed transactions; post electronic images to storage/ access platforms; and provide input to revenue deposit and NJCFS processes (State agencies only)
|Implementation Services, Remittance Processing
|-Mail In-take
-Transaction Preparation
-Filming/Scanning/Data Capture (Including Indexing)
-Image/Data Export and/or Film Delivery
-Revenue Deposit/Reconciliation
-Electronic Image Storage/Access and Security Copy Storage
-Image Processing System Certification
-Paper Records Disposition (Storage and/or Authorized Destruction)
-Project Management, Implementation Assistance and Service Desk
|-Charge-back (Cost to Agency)
*One-time development costs and inclusive per transaction charge-back costs are negotiated with the customer agency on a case by case basis and incorporated into MOUs.
Active Document Processing Service Package
|Consultative Services
|Assist in Specifying Functional Requirements
Guidance on development of application specifications and construction of implementation strategies (may involve contractor and/or in-house developer resources)
|Assist in Producing Design for Automated System
Assistance with completing DORES/RMS Conceptual Design Document
Assistance with planning for process reengineering, workflow automation, and cross-agency integration where appropriate
Verification of retention scheduling for transactions involved
|Provide Project Management Support
Guidance on specifying schedule/deliverable/test elements for planned projects
|Configure and Implement Data and Image Export/Storage (In-House Services)
Configuration of software and hardware needed to: populate agency databases; post electronic images to image access platforms; provide input to revenue deposit/NJCFS processes; and microfilm for long term storage; if applicable
|Implementation Services
|-Mail In-take
-Transaction Preparation
-Filming/Scanning/Data Capture (Including Indexing)
-Image/Data Export and/or Film Delivery
-Revenue Deposit/Reconciliation
-Electronic Image Storage/Access and Security Copy Storage
-Image Processing System Certification
-Paper Records Disposition (Storage and/or Authorized Destruction)
-Project Management Support, Implementation Assistance and Service Desk
|-Charge-back (Cost to Agency)
*One-time development costs and inclusive per transaction charge-back costs are negotiated with the customer agency on a case by case basis and incorporated into MOUs.
Back File Conversion Service Package
|Consultative Services
|Specify Functional Requirements
Guidance on the development of back file application specification and construction of and implementation strategy (may involve contractor and/or in-house developer resources)
|Assist in Designing Application
Assistance with completing DORES/RMS Conceptual Design Document
Verification of retention scheduling for transactions involved
|Provide Project Management Support
Guidance on specifying schedule/deliverable/test development elements for planned projects
|Configure and Implement Data and Image Export/Storage (In-House Services)
Configuration of software and hardware needed to: populate agency databases; post electronic images to image access platforms; provide input to revenue deposit/NJCFS processes; and microfilm for long term storage; if applicable
|Implementation Services
|-Back file Document Preparation
-Filming/Scanning/Data Capture (Including Indexing)
-Image/Data Export and/or Film Delivery
-Electronic Image Storage/Access and Security Copy Storage
-Image Processing System Certification
-Paper Records Disposition (Storage and/or Authorized Destruction)
-Project Management Support, Implementation Assistance and Service Desk
|-Charge-back (Cost to Agency)
*One-time development costs and inclusive per transaction charge-back costs are negotiated with the customer agency on a case by case basis and incorporated into MOUs.
Electronic Records Systems Service Package
|Consultative Services
|Specify Functional Requirements
Assistance with completing DORES/RMS Conceptual Design Document
Assistance with planning for process reengineering, workflow automation and cross-agency integration where appropriate
Verification of retention scheduling for transactions involved
|Assist in Designing Application
Guidance on the development of application specifications and construction and implementation strategy (may involve contractor and/or in-house developer resources)In cases involving automated PDF submissions, development of configuration specifications for Enterprise Forms Processing and Records Management Platform
|Provide Project Management Support
Guidance on specifying schedules, deliverables and tests for planned projects
|Configure and Implement Data and Image Export/Storage (In-House Services)
Configuration of software and hardware needed to: populate agency databases; post electronic images to image access platforms; provide input to revenue deposit/NJCFS processes (State agencies only); and microfilm for long term storage; if applicable
|Implementation Services
-Secure Web Application Development (Done in Conjunction with OIT)
|Charge-back (Cost to Agency)
One-time development costs and potentially, on-going maintenance costs are negotiated with the customer agency on a case by case basis and incorporated into and MOU
|Links to Content Relating to Electronic Records Management Guidelines, Policies and Procedures
|http://www.sos.ga.gov/archives/InformationForGovernmentAgencies/Records_advice/TechnicalLeaflets/ ElectronicRecords/Checklist_v3.pdf
|http://www.sos.ga.gov/archives/InformationForGovernmentAgencies/Records_advice/ TechnicalLeaflets/ElectronicRecords/ArchivesAdvice1.pdf
|http://www.sos.ga.gov/archives/InformationForGovernmentAgencies/Records_advice/ TechnicalLeaflets/ElectronicRecords/Email_retention_guidelines.pdf
|http://www.sos.ga.gov/archives/InformationForGovernmentAgencies/Records_advice/ TechnicalLeaflets/ElectronicRecords/ArchivesAdvice13.pdf
Recordkeeping%20Metadata%20Standard (meta data discussion)
(web pages guidelines)
|New Hampshire
|New Mexico
|New York
|North Carolina
|North Dakota
|Rhode Island
|West Virginia
General E-mail Retention and Disposition Program Frameworks
Chapter 16
Retention of Social Media Content
This section covers the topic of social media content retention, preservation and disposition within the context of risk management-based information security programs. It covers the growing significance of social media and social media content in agency settings. It focuses on preliminary guidance on retention/disposition scheduling in connection with use cases (functional scenarios) and aligned value classifications and risk assessments. It also provides a tentative view of risk management-based security controls designed to serve as foundations for effective retention, preservation and disposition of social media content. The section is based on a general research paper, which is intended to generate dialogue on the topic.
This space is provided for research and discussion papers/presentations on new, emerging and evolving issues that affect the management of public records in this State. It does not set forth Department of the Treasury policies, procedures, requirements or standards, and is not intended to endorse specific solutions, products or services.
Parties interested in posting papers and/or presentations here may send proposed materials to RMS State Records Center, 2300 Stuyvesant Avenue, Trenton.
Research Papers:
Security for the Networked Enterprise, Elements of a Holistic Approach
Planning for Cloud Procurements
PowerPoint Presentations on the Department of the Treasury's Electronic Records Management Program (Presentations by the Department's Division of Revenue and Enterprise Services to the State Records Committee):
New Jersey Department of the Treasury Records Management Services - March 2017
[1]Analysis, Selection, and Implementation of Electronic Document Management Systems (EDMS), AIIM ARP1-2009, (2009), Association for Image and Information Management, Silver Spring, Md.
[2] The National Archives and Records Administration provides useful background information on trustworthy systems and digital signature technology. See "NARA Bulletin 2006-02 Attachment 2 Policy for Effective and Comprehensive Management of Electronic Records," National Archives and Records Administration, December 15, 2005