Records and Information Management February 2013

Records Management Services Records Management Services, Division of Revenue and Enterprise Services, Department of the Treasury is the statutory agency responsible for records managemen

Records and Information

Management

Karen A Perry Records Analyst

Department of the Treasury Division of Revenue and Enterprise Services

Records Management Services

Records Management Services

Records Management Services, Division of Revenue and Enterprise Services, Department of the Treasury is the statutory agency responsible for records management for State, County, Local Government Agencies, School Districts, and State Colleges/Universities

The Division is composed of two (2) Bureaus:

• Records Management Services

• Imaging Services and Micrographics

Destruction of Public Records Act (PL 1953, c 410): State Records Committee

The Destruction of Public Records Act (PL 1953, c 410) created the State

Records Committee (SRC) with having final authority over public records

The SRC consists of representatives from:

• State Attorney General

• State Auditor

• State Treasurer

• Director of Local Government Services/Department of Community Affairs

Destruction of Public Records Act (PL 1953, c 410): Public Record Defined

Public Record

Information, regardless of its Medium (hardcopy, microform, optical, or electronic) that is made or received by an agency receiving Tax Payer dollars and serves as evidence of the Transactions of the normal course of business This pertains to State, County, Local Government Agencies, School Districts, and State Colleges/Universities

Destruction of Public Records Act (PL 1953, c 410): Records Retention and Disposition

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

• Agencies must obtain prior written authorization from the Division for

disposal of public records by submitting a “Request and Authorization for Records Disposal”.

Open Public Records Act (OPRA)

PL 2001, c 404/NJSA 47:1A et seq.

In most instances, agencies are required to allow access to records under the

Right-to-Know law However, an agency may restrict access to records because of considerations

of privacy, confidentiality, or security.*

NOTE: The degree of a record’s accessibility does not determine whether a record is publicly or

privately owned For instance, classified military records concerning the national defense are public records, even though they are not publicly accessible for reasons of security

Public Record Access Under OPRA:

• Replaced The Right to Know Law

• Public Records must be made accessible to the public in most cases.*

• Personal Financial & Legal accountability for intentional denial of public records access.

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

grievance

*Records Exempt from Access - Consult the GRC for a detailed list of exemptions

• Ongoing police investigation

• Personal information: Social Security Number, credit card number, etc

• Records that may jeopardize security, etc

Custodian of Public Record

The Municipal Clerk is designated by law as the Custodian of Public Record for Municipal Government All other Custodians of Public Record are designated accordingly for State, County, Public School Districts, and State Colleges and Universities

OPRA/Public Records Access Request – Verifies what documents have been requested

& that they have supplied within the specified time limits:

Immediate Access – Means Immediate Access!!!

• Budgets, Bills, Vouchers, Contracts, and Employee Salary & Overtime Information

Seven (7) Business Days**

• Non-immediate access records and Offsite Stored Records must be supplied within a 7 business day time period The requestor must be informed in

writing if records are stored offsite and the 7 business day time period cannot

be met.

**NOTE: Extensions may be requested in writing if needed

Open Public Records Act (OPRA)

New Jersey Government Records Council

Open Public Records Act (OPRA)

New Jersey Government Records Council

101 S Broad Street P.O Box 819

Trenton, NJ 08625-0819Phone: (609) 292-6830 Fax: (609) 633-6337

Toll-Free 1-(866) 850-0511E-Mail: grc@dca.state.nj.usWebsite: http://www.nj.gov/grc

Records & Information Management

• Documents an organization’s history

• Provides Litigation and E-discovery support

• Fiscal Audit Compliance

• Demonstrates Regulatory Compliance

• Enhances Public Records Access - OPRA

Records Inventory

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

• How and where it is physically stored

Records Inventory

Records Retention Schedule

Records Retention Schedule - a detailed listing of the

records maintained by an agency and the minimum

legal and fiscal time periods they must be retained

The records retention schedule addresses:

• Vital Record

• Legal, Fiscal, & Administrative Value

• How long to be maintained

• Historical Record

Records Retention Schedule

Records Disposal

A “Request & Authorization for Records Disposal”

form must be submitted by the agency to Records Management Services for prior legal, disposal

authorization before records can be destroyed

• Removes OPRA, Legal, and Fiscal Liabilities

• Cost Effective

• Safety

• Disposition methods: Shred, Recycle, Erase

• Identifies an Archival Record for Preservation

Request and Authorization for Records Disposal

Records Disposal: ARTEMIS

Records Retention and Disposition Management System

(ARTEMIS)

 Search and view retention schedules for County and

Municipal agencies only

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

 Update Disposition Status for their agency

 Municipalities: Contact your Municipal Clerk

 Counties: Contact County Clerk

Records Preservation and Conservation

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

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

should be established for the

protection of the Historical

Record.

Paper Alternatives

The Legal Alternatives to Paper are Microfilm and Optical Disk - both of which must be State Certified and Renewed Annually (for optical disk)

Paper Alternatives: Imaging

Imaging

• State Standards (NJAC 15: 5-3)

• Longevity – Not Archival

Backups are needed to disk

with a routine recycle time

• Hardcopy or Microfilm

for records with retentions

10 yrs + including Permanent

Paper Alternatives: Microfilm

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

• Microfilm

Archival Use Jacketed

• Microfiche

• Aperture Cards

Microfilm/Microfiche Longevity – 500 years

Electronic Records: Storage: Fixed and Virtual

Storage

Fixed (Stand Alone) Storage

•Tape backup – oldest, most reliable data storage/backup is

low-cost and portable and good for daily and weekly backups

•Disk backup – quick access and can hold large amounts of data,

can be used for disaster recovery if the server is placed offsite

Virtual Storage

•Cloud computing – Internet-base of shared resources, software, and data/information for immediate access Based on a common server site, inexpensive and mobile, low maintenance and internet-

based and does not have to be installed per pc The cloud structure consists of:

•Client – Hardware or software dependent upon the cloud to function

•Application – Software downloaded via the Internet to a pc

•Platform – Cloud computing structure that houses the applications/software

•Infrastructure – Complete, packaged virtual platform environment per pc

•Server – Operating system from simple to complex per client

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

*NOTE: Morgan Stanley had to pay $1.45 Billion for failure to produce email evidence

(Coleman Holdings vs Morgan Stanley 2005)

–noun 1 a system for sending messages from one individual to another via telecommunications links between computers or terminals

2 a message sent by e-mail: Send me an e-mail on the idea

–verb (used with object) 3 to send a message by mail

e-Also, E-mail, email

E-mail: Retention and Disposition

Retention: E-mail is a Public Record and a Records Retention Schedule must be created

Reflecting the minimum retention time periods it must be maintained based on its content

and the record series it applies to There are 3 basic Retention Categories of E-mails: Transient,

Intermediate, and Permanent

Transient E-mail: information of short term value that does not establish policy, certify a transaction,

or serve as receipt Example:

Correspondence – Routine External – 3 years Correspondence – Routine Internal – Administrative – Periodic review Intermediate E-mail: information that has more significant value - such as legal and financial Example:

Correspondence – Routine Financial (Not General Ledger or Payroll History) – 6 years after…

Correspondence – HIPPA Related – 7 years Correspondence – Pertaining to Litigation– 20 years after final settlement Correspondence – Policy –Non-Statutory/Non-Regulatory – 25 years Permanent E-mail: information that has significant, permanent value Example:

Correspondence – Pertaining to Minutes – Permanent

E-mail Disposition: For E-mail to be legally destroyed, a Request and Authorization for Records

Disposal form must also be submitted by an agency to Records Management Services for written

authorization before disposal can occur.

E-mail: Storage

Record Copy: messages are often widely distributed to a number of recipients Determining which individual maintains the record copy of the message (i.e the original message that must be retained per the retention schedule) is vital to e-mail management

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

There are 3 types of e-mail storage systems: on-line storage, near-line storage, and off-line storage.On-line Storage: e-mail messages, metadata, and attachments in an online system in use by agency

Near-line Storage: e-mail messages, metadata, and attachments are backed-up in an electronic

record keeping system on a server

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

Archiving

Social Media: interactive communication via web-based and mobile technology

• The Plus Side: it is global, immediate, and accessible

• The Negative Side: it is not private Directives should be established regarding content - language, subject matter, etc Also, it can be altered which presents a real concern for an agency to release public information via Social Media which can be altered Because of this, Social Media is subject to the same Records Retention, Disposition, Access; Intellectual Property; OPRA, and Legal Rules of Evidence and E-discovery concerns like e-mail, instant messaging, blogs, wikis, pod casts, metadata,

or website content

• An agency should develop a Social Media Policy with centralized oversight within the agency Social Media is similar to digitally-borne or website records On your own website, you have control and can print hardcopy and protect it With Social Media, you cannot control it and it can be altered

or removed

• A Disclaimer should accompany the data being placed on a Social Media site and hardcopy should

be printed as an audit trail in the event of an OPRA Request, E-discovery, litigation, etc

NOTE: As of June 2011, Facebook © had 750 Million users (techcrunch.com)

Social Media

Agency Website & Internet Retention

Due to its ever-changing content and structure, documentation

should be maintained regarding an agency’s website These

records reflect hardware, software, metadata and content and

their respective areas of concern:

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

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

• Legal Perspective - records may be needed for Litigation, Legal Rules of Evidence, and E-discovery

• Financial Perspective - records may be needed for an Audit

• Records Management & Access Perspective - verify Legal retention & disposition & in the event of an OPRA Request

Agency Website & Internet Retention

Records associated with website development and maintenance include:

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

• Agency Website Creation and Update File – Content

Agency Website Creation and Update File - Operation

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

• Agency Website Creation and Update File – Structure

Contains: website diagnostics, website mapping data, source code, testing reports, screen copies, configuration data, and supporting documentation.

Note: Upon the revision or discontinuance of the website, for preservation purposes it is advised thathardcopy be maintained for agency-generated and supported documents that were solely created andmaintained in an electronic format

Vital Records

Vital Records: records essential to meet operational responsibilities under emergency or disaster conditions Typically, only 3% to 5% of an organization’s records are deemed to be Vital Records.

An organization needs to ask:

What records are absolutely crucial to operations,

and can they be recreated from hardcopy , electronic

or microfilmed backup copies if the originals

are lost in a disaster?

Conduct a Risk Analysis by evaluating potential hazards to records:

• Natural & Environmental

• Human inflicted

• Facility related

Determine records protection methods:

• Appropriate protection measures

• Measures may vary by type of record

• Inclusive of paper-based, microform and electronic

Identify Vital Records:

• For emergency operations

• To resume normal business

• Comply with Legal and Fiscal obligations

Disaster Prevention & Business Continuity

In the event of a disaster, a contingency plan that identifies essential personnel,

equipment, and alternate space if a closing of a facility is deemed necessary in order

to resume information technology services to an agency Plan to be used in

conjunction with an agency’s Disaster Prevention and Recovery Plan.

Disaster Prevention & Recovery

• Mitigates Loss of Records -Water is the single most

significant culprit in a records disaster

• Protects Vital and Historical Records

• Protects Electronic Records, Hardware, & Software

Business Continuity

• To resume operations quickly and efficiently

• To ensure the normal flow of business

Coney Island, Brooklyn, New York May 7, 2011