RECORDS MANAGEMENT D E PA RT M E N T O F T H E T R E A S U RY, D I - - PDF document

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RECORDS MANAGEMENT

D E PA RT M E N T O F T H E T R E A S U RY, D I V I S I O N O F R E V E N U E A N D E N T E R P R I S E S E RV I C E S , R E C O R D S M A N A G E M E N T S E RV I C E S

RECORDS MANAGEMENT SERVICES

Records Management Services, Division of Revenue and Enterprise Services, Department of the Treasury is the agency responsible for records management for all public agencies throughout the State of New Jersey. The Units’s primary functions are:

• Records Management
• Imaging Registration
• Artemis

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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. State Records Committee Meetings are held every other month

at the State Records Center.

The SRC consists of representatives from:

• State Attorney General
• State Auditor
• State Treasurer
• Director of Division of Archives
• Director of Local Government Services/Department of

Community Affairs

WHAT IS A PUBLIC RECORD?

• Public records are records of activities, created on a daily basis, of an operating unit of

government or an agent of government. These records are owned by the citizens.

• Any document, in any format, that has been created, maintained, or kept on file by the

agency is a public record.

• Paper
• Microfilm
• Electronic
• Recordings (Tapes, CDs, Videos, etc.)
• Any information that a public agency generates or receives in the transaction of its
• fficial duties is a public record.

 These records may be subject to the OPEN PUBLIC RECORDS ACT (OPRA)  Contact OPRA at 1-866-850-0511

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RECORDS RETENTION SCHEDULE

• 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:

• Legal, Fiscal & Administrative Value
• Records retention - how long the record must maintained (permanent, yearly,

periodic review, as updated, after verification, etc.)

• Historical Record
• Final Disposition: Destroy, Archival Review, Archives

2 Types of Schedules:

• General schedules list record series that are common to most offices-e.g.,

correspondence, invoices, personnel files, etc.

• Agency Specific schedules list record series unique to a particular agency.

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DAMAGED RECORDS - PREVENTION

State and Local government agencies, districts and authorities are required by law to protect their

• records. A disaster prevention/recovery plan should be established before the disaster occurs. Damage

can result from catastrophic events (a computer system crash, security breach, terrorist attack), or following damage to agency facilities due to as a acts of nature (floods, fires, hurricanes, earthquakes or

• r water leak.)

A Prevention plan involves protection of records starting from their creation. It’s records-proofing your

• ffice; making the office environment safe and protecting the records from damage or harm’s way.

Make these considerations when developing a plan:

• Records s

should b be s stored i in areas t that p protect a against damage o

• r d

destruction f from f fire, w water and d ot

• ther d

disast sasters.

• ers. Conside

ider t temp mper erature ature and c d climat imate c e controlled lled rooms, f

• oms, fire pr

re proof

• of c

cabin binets, , pe pest c st contr ntrol, l, etc. etc.

• For c

r comput uter eriz ized ed r recor cords a s and d datab tabase se system ems, wor work with th y your i ur informatio rmation t n tech chnolo nology gy team am to obt

• btain of
• ff-

f-site ba back-u

• up an

and/or rep replication of rec

• f records that

that ar are st stor

• red in

in dig digital form rmat.

• Safeguar

arding pr priv ivacy y and d se secu curity o rity of r reco cords — — creat reate a auth thoriz

• rization

ion pr proc

• ced

edures es and i d institut stitute e thef theft pre t preventi tion mea measures.

AN OUNCE OF PREVENTION IS WORTH A POUND OF CURE

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DAMAGED RECORDS - RECOVERY

Despite the steps taken to prevent damage to records, systems may fail and records will occasionally be damaged. A Recovery Plan will assist the agency that has been impacted by a disaster. In the aftermath of a disaster, once the facility is safe to enter, it is imperative that the agency conduct an assessment to determine the status of records. These are the initial and some of the most important steps to take:

• Consu

Consult wi t with a th a qual alifi ified recor d records rest restora

• ration com

compan any t to determ rmine the e the extent of

• f

the d the damage mage and and rest restorati ation costs. costs.

• Revi

view your in ur insurance e poli policy cy and de d determine y e your ur co covera rage.

• Obtain

Obtain a a mast master l er list of st of al all damaged maged d docum cuments and and appl apply app approp

• pri

riate recor e records retent ntion s ion schedule dule.

• De

Determin ine if damaged e if damaged recor records can can be be dupli duplicated ed fr from

• m o
• ther

her sour source ces. Refer t r to Recor cords Manageme s Management Ser Services w ices websit bsite e for ad r additional al inform rmati ation and and rele relevant f form rms.

http:/ http://www /www.sta tate.n .nj.us/trea us/treasur ury/re y/revenue/rms/ nue/rms/disast sasterresponse.shtml erresponse.shtml

RECORDS DISPOSAL

DO NOT DESTROY WITHOUT APPROVAL!

A request and authorization for Records disposal submitted through Artemis is required to document an official request for destruction by all state, county and municipal agencies. This process ensures that records earmarked for destruction are not needed by the agency in the transaction of its current business and do not appear to have sufficient administrative, legal, research or other value to warrant their continued preservation by the agency. All public records that contain private or confidential information shall require disposal by shredding, recycling, degaussing or deleting so that the information contained therein cannot be read or reconstructed.

Proper authorization removes OPRA, Legal, and Fiscal Liabilities. Cost savings through reduced purchase and maintenance of real estate, equipment and supplies. Increases in efficiency and safety through the removal of unnecessary files, and reduces staff time allocated to managing unneeded files.

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WHAT IS ARTEMIS?

Artemis is a web based program designed to assist agencies with the “Request and Authorization for Records Disposal,” in a more efficient manner.

• Quicker Processing Time
• Less Data Entry Errors
• Access System Generated Reports
• Search Current Retention Schedules
• Designate Multiple Users
• Electronic Signatures for all agencies

IMAGING

All public agencies seeking to image their hardcopy public records must

• btain an Imaging Certificate to ensure their compliance with the Public

Records Laws and State Imaging Standards (N.J.A.C. 15:5-3).

• The system must be registered with the Division of Revenue and Enterprise

Services – Record Management Services.

• Any records with a retention of 10+ years must have an additional form of

backup (approved migration path, microfilm or original paper). Key Benefits Quick and Effective Retrieval File Integrity Space Savings Security Preservation

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AMENDED RULE CHANGES

Title 15 of the New Jersey Administrative Code was amended to mark a new era in pubic records management. Major C Major Changes Include: anges Include:

• Imaging Systems are no longer certified. They now go through a “Registration”

process and are approved by Records Management Services.

• PDF/A file format is now acceptable.
• Multi-Functional Devices (MFDs) with a secured log-in are acceptable.
• Elimination of hard copies and microfilm for those systems with an approved

“Migration Path”.

E-MAIL FOR COUNTY AND LOCAL GOVERNMENT

An agency An agency ma may use y use tradi traditio ional l genera general and and agency agency-spe specific r ific retenti ntion s n schedule dules wh s when en req requesting auth author

• rizat

ation to di dispose of e of email email-ba based recor records, pr provided the req the requestors rs can can att attest tha that only the

• nly the recor

records ser series cit cited in the in the agency req agency request ( (and and no no other her types types

• f recor
• f records)

) are are included.

• ed. Alt

Altern rnately ely, the agency the agency ma may y use use the genera the general l emai email recor l record sche schedu dule le it item em (0800 (0800-0001), ), to to r request t dispositio ion of E E-Mail. Recor cord Serie Series (0800 (0800-0

• 0001):

This is schedu schedule facilit le facilitates the s the managem management of

• f E-Ma

E-Mail il recor records of s of al all kinds that per that pertain to routi utine ad admin minist stra rativ tive activiti activities that are no that are not t other herwis ise class e classified ed b by the their recor record type. type. To use e this s is schedule, agenc dule, agencies ies mu must at st attest st that that the their E-Mail syst r E-Mail system ems and and general general manageme management pract practice ces i s inco corpora

• rate element

e elements desig designed t ed to ensu ensure soun re soundn dness and and ac accountability tability wi with r th respect t t to E-Mail r il records mai s maintenanc nance, ac access an and destruction. ction. Agencies encies must must mak make the these att e attest stat ations each each time time the they req request authori authority, vi via a ART ARTEMI MIS, S, to disp dispose of E-Mail e of E-Mail in the the general sche general schedu dule le cat categor gory (No (Note e 1). 1).

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Attest station element elements include: e:

• That the

at the agency’ agency’s general recor general records manageme s management pr program

• gram

ensu ensures that recor s that records wi with re th retentio ion peri periods e exceed ceeding se seven (7) (7) year ars are are held held for r the the presc prescribed perio ed periods of s of ti time, i in accessib accessible form rm, , in a a recor records-keep eping g syst system( em(s) tha that i is sepa separat rate fr from the E-Ma the E-Mail il syst system em (No (Notes 2 2 and 3); and 3);

• That the

at the E-Ma E-Mail il syst system used b used by the agency the agency inclu cludes a a central central st storage and age and manageme management syst system for E E-Mail that i is s separate f from c copies o

• f E-Mail s

stored in t the end-users’ e email b boxes, w wherein

• nl
• nly autho

authorized inform rmati ation t techn chnology logy and and/or

• r recor

records manageme s management staf staff contr f control l the d the disp sposition

• f
• f E-Ma

E-Mail recor il records st stor

• red in the

in the cent centrally lly-ma manage aged sys system em, inclu , includes pr provisions for admin r administration

• n
• f “litig

igatio ation h n holds” a and where erein i indi dividu vidual end-u al end-users ers canno cannot dele delete emai email recor l records fr from the the centra central st l stora

• rage/

e/ma managem agement syst system em (No (Note e 2).; 2).;

• That the

at the agency has agency has ad adop

• pted acceptable use

d acceptable use pol polices f ces for E-Mail r E-Mail and and intern rnet usage, usage, wi with th suppo pporting e ing employee ee t training aining and/or i

• r informa

rmatio ional nal progra rams; ms;

• That

at the agency’ the agency’s syst system em possess possesses secu securi rity ty co contr ntrols ls that guar that guard agai d against unau unauth thori

• rized

ed access, access, use, use, modi modification, dis , dissem emination, dis disclo losure and/ d/or dest destruction of

• f E-Ma

E-Mail recor records; and

• That the

at the agency has agency has back back-u

• up/di

disa sast ster reco er recovery ser service ices i in pl place that al ace that allow w for the r the rest restora

• ratio

ion of

• f

E-Mail il records s following c wing catastr stroph phic or ic or d disrup srupti tive e events ents. No Note 1: 1: An An agency agency ma may y disp dispose

• se of
• f E-Ma

E-Mail recor il records soone sooner than than the re the retention period period in this sche this schedu dule if the pl the plann anned d d disp sposi

• sition action

action i is i in accor accordan ance ce wi with a th a specific ic g general r record rds s schedule i item.

• m. In each dispos
• sitio

ition r n requ ques est t involving shor g shorter r term rm i item ems, the the agency wi agency will be be req requir ired t ed to att attest that st that the the disp spos

• sit

itio ion n action i action includes udes onl

• nly the

the type type of

• f recor

record d descr scribed i bed in the the recor records s sc schedule hedule it item em ref referenced in in the the req reques est. . For i r inst stan ance, ce, a a req request t to disp dispose

• se of E-Mail desc
• f E-Mail described

bed as as in internal corre corresp spon

• ndence must

must inclu include e an an att attesta station that that in fact, onl fact, only E-Ma E-Mail il recor records of s of intern rnal al corre corresp spon

• ndence aged

aged great greater r than than one

• ne year (

ar (and and no no other her types of types of recor records) a ) are included uded in t the requ quest. est. No Note 2: 2: Cent Centrally lly managed E-Ma managed E-Mail v il vault ults and journ and journals ls, , cloud- cloud-bas based ser d servic ices, , ent enterprise cont content managemen t management pl platf atform rms and s and/or f

• r file share

le shares ma may y be be used used as as sepa separa rate recor records-keep eeping g syst system ems s and and f for ad r addressi ssing the the general general req requirem iremen ent for central st r central storag

• rage and

e and managemen management of

• f E-Mail.

E-Mail. No Note 3: 3: Use Use of

• f th

this General General E-Mai E-Mail sched schedule is no is not t perm permitted if if the agency the agency creat creates/re s/rece ceiv ives E-Mail message es E-Mail messages and s and/or associ

• r associat

ated atta attachm chments s with th retentio ntion p n periods e s exceeding ing s seven ( n (7) years a s and do does es no not st stor

• re the

the items i ems in a a separat parate r records-k s-keepi eping s g syst stem. em.

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Records Management Services (RMS)

http://www.state.nj.us/treasury/revenue/rms/index.shtml

Records Analysts: John Berry Vilirie Perry James Jenkins Marcella Campbell

Liz Hartmann, Records Manager