Records Managment

Name and explain the three categories of records activity

1) Active Records: these are records needed to conduct current business matters 2) Semi Active Records - These records must be kept for administrative, legal or fiscal reasons, but are not referenced regularly. 3) Inactive Records - no longer referenced on a regular basis, Primary administrative or fiscal value has expired.

What factors are used in determining the retention schedules of records?

1) Administrative - how long must a record series be kept for active use? 2) Legal - are there any laws or regulations for specific retention periods? 3) Fiscal - will the record series be required for audits? 4) Research - will the record series be useful for administrative and operational analyses? 5) Historical - does the record series contain information of enduring worth for future generations? 6) Essential/vital records - is the record series essential to the continuation of the business of your office during a disaster, or to the resumption of normal operations after a calamity?

A records management program has two distinct manuals, what are they?

1) Records Management Policy 2) A records management procedural manual

Name the five types of Retention periods:

1) Single time frames - expressed in months or years. 2) Contingent time frames - keyed to a particular event, e.g., "3 years after audit." 3) Permanent retention - items which must be maintained in perpetuity. 4) Discretionary retention - for items of minimal value only, "Periodic review." 5) Serial or on-going retention - for cumulative record series in which new items supersede old items, e.g., "As updated."

What is the cost per page for 8.5 by 11 documents under OPRA?

5 cents

What is the time frame a records custodian has to respond to an OPRA request?

7 business days after the request is received

What is the cost per page for 8.5 by 14 documents under OPRA?

7 cents

Define records inventory:

A record inventory is a complete listing of records by record series together with necessary descriptions and supporting information.

What is a permanent record?

A record that has been determined to have sufficient historical, administrative, legal fiscal or other value to warrant continuing preservation.

What is ARTEMIS?

ARTEMIS is the records retention and disposition management system of DORES

Who must approve inactive storage areas to ensure the proper environmental controls are in place?

Any inactive record storage space must be approved for use by the municipal clerk to ensure that the space is adequate for the storage of records and has the proper environmental conditions.

What can be used as an alternative to retaining paper records?

As an alternative to retaining paper records, municipalities can use digital and/or photographic images of the paper records. DORES uses the term Image Processing Systems to refer to both digital (i.e. scanned) renditions of a record as well as photographic (e.g. microfilm/microfiche) rendition.

Records destruction authorization requirements are contained where and implemented through which statues?

Authorization requirements for records destruction are contained in Chapter 410, Laws of 1953 NJSA 47:3-15et seq Implemented through Chapter 15 of the New Jersey administrative Code. NJAC 15:3-17 et seq

A filing classification system should be

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 & practical • Standardized • Uses the simplest terms available • May be based on the organization functions involved • Must be exclusive so that subject categories are not redundant • Flexible enough to permit future expansion

Name the three classification methods

Classification systems are an important part of a filing system and can include three types of classification methods: • Alphabetic • Numeric • Alphanumeric

What must a custodian do if an extension of time is needed to comply with a request?

Custodian must provide a written explanation and request a time extension from the requestor.

Who is the statutory authority for public records and approves the destruction of records, which have outlived their value to the public?

DORES

Where can you find the latest records retention schedule?

DORES website

When does day one begin?

Day 1 begins the day following the custodians receipt of the request.

What is the function of the Records Management Oversight Committee?

Develop an outline of goals of records management program. To provide guidance and support ensuring the proper policies are established supported and updated as needed to comply with all applicable state and federal records management laws and guidelines.

What does DORES stand for? What State Agency is DORES within?

Division of Revenue and Enterprise Services. It is in the Department of Treasury

Who is responsible to identify essential records?

Each department head, MC, IT and other senior management. Department heads will work with their respective Records Management Coordinator, legal advisors, the municipal clerk, the person responsible for information technology and other senior management to identify essential records.

What is the result of a failure to grant or deny access by an extended deadline date?

Failure to grant or deny access by the extended deadline date results in the request being deemed denied

Define filing

Filing is the process of categorizing and arranging records for effective storage and retrieval based on record series

Name the general benefits of image processing system?

Image Processing Systems are designed to provide for effective, economical management of records through achieving one or a combination of the following general benefits: Public Service improvements Space savings File integrity Security Faster and more effective retrieval Preservation

When is a special service charge warranted?

Involves an extraordinary expenditure of time and effort including inspection of records.

Define legal discovery:

Legal discovery is the action of the opposing party in a lawsuit legally demanding copies of all records related to the issue at hand.

Once approval is received, what are the methods to destroy/dispose of records?

Methods of destroying approved inactive records: • Shred (paper) • Controlled, enclosed burning (paper) • Erase (magnetic media) • Recycle (magnetic media or paper) • Archives (transfer to Archives for permanent storage) • Deletion of electronic media (E-mail)

Can all categories of paper records be destroyed after they have been converted to image formats once an image processing system has been approved?

Most categories of paper records can be destroyed after they have been converted to image formats once an Image Processing System has been approved.

What are the environmental requirements to consider when storing records?

Municipalities must strive to ensure that storage conditions for physical records will remain at relatively consistent, moderate temperature and humidity levels throughout the year. The municipal clerk should work with the person responsible for facilities to ensure proper environmental conditions for stored records following DORES guidelines, including: • Control excessive fluctuations of temperature and humidity • Control infestation by insects or vermin • Prevent contamination by dust or other pollutants • Prevent excessive or improper handling • Fire detection and protection

Municipalities must utilize storage methods that will ensure:

Municipalities must utilize storage methods that will ensure access to records regardless of their format for their full retention period while providing appropriate security and protection measures.

Where under the New Jersey Administrative Code can you find compliance standards, rules and procedures for imaged records?

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.

OPRA is compiled in what statue?

NJSA 47:1A-1et seq.

What is the statue for the Law for Destruction of Public Records Act?

NJSA 47:3-15

What is the fee charged to a victim of a crime for a copy of a record of which they were the victim?

No fee is charged to a victim of a crime for records

What does OPRA stand for?

Open Public Records Act

What does a Records Management Policy manual do?

Outlines general records management policies for a municipality, its records management program

What are the two ways records can be disposed of?

Physical destruction Transfer of ownership

What are public records and what do they do?

Public records are resources. They document transactions and decisions of public agencies. safeguard property, register rights and obligations of citizens and their governments and contain our states historical heritage.

What are emergency operating records?

Records necessary for the mobilization and protection of material and manpower resources, services, and systems; the maintenance of public health, safety, and order; and the conduct of essential municipal activities.

What are essential/vital records

Records that are fundamental to the functioning of the municipality such records are necessary to continue operations without delay under abnormal conditions. They are critical to the municipality.

What are Archival Records?

Records that governments must keep permanently to meet fiscal, legal or administrative needs of the government ( primary value) or that the government returns because they contain historically significant information (secondary value)

The Open Public Records Act is a State statute that replaced what old law?

Right to Know Law

What are the responsibilities of the State Records Committee?

Set the retention periods. Regulates the retention and disposal of all state and local public records and promulgates related standards.

Who approved the records retention schedule?

State Records Committee

Who is the Custodian of Government Records in the municipality?

The Municipal Clerk in the municipality.

List the documents the Municipal Clerk Maintains custody of?

The Municipal Clerk maintains custody of all minutes, books, deed, bonds, contracts and archival records of the municipality.

Who is the owner of the records of the municipality?

The Municipality

Who is New Jersey Official Research Center of public records of enduring historical value?

The State Archives in NJ

Who is the Records Officer and manager responsible for implementing local archives and records retention program?

The municipal clerk is the records officer and manager responsible for implementing local archives and records retention programs as mandated by the state.

Who shall ensure that the records management coordinators and department staff have adequate records management training?

The municipal clerk shall ensure that records management coordinators and dept staff have adequate records management training.

Who is responsible to conduct reviews of the current record retention and disposition scheduled and practices and procedures to ensure compliance with established municipal policies and state and federal laws?

The municipal clerk with the municipalities' records management coordinators and department heads.

What is the purpose of ARTEMIS?

The purpose of ARTEMIS is to provide efficiencies across State, County, Municipal and Educational agencies Provides efficiencies across govt agencies

Describe search vs research as it pertains to OPRA request.

The records custodian is obligated to search their files, but not required to research

Which one of the record program manuals should be formally adopted by the municipality?

The records management policy manual

The three most common ways to protect essential records

The three most commonly used ways to secure essential records are duplication, on-site storage and off-site storage.

Define an essential/vital record

They support the continuity of government operations. Critical to the operations of the municipality.

How do you transfer ownership or records?

Through awarding custody to a facility or program other than the originating agency

When can a public agency charge more than the rates set by statue? How much can they charge?

To provide records in another medium, the actual cost of duplicating the record can be charged.

What information should be identified on a transfer form?

Transfer Form is to be provided to the clerk and identifies the contents of the box

How do you request authorization to dispose/ destroy of records?

Using the appropriate retention schedule complete a request and authorization for records disposal form online using Artemis

What are essential records also known as?

Vital records Essential records are those records that are critical to the operation of a municipality and that document the assets of the municipality and the state.

What is the responsibility of the records management coordinator?

Will act as the departments liaison to the municipal clerk to oversee the day to day records management activities within their respective departments or functional area

Outline the steps of a litigation hold process.

a) Create and maintain a support team b) Development and use of a legal hold notice c) Identify/notify records custodians d) Identify records e) Preserve and present records f) Monitor and manage the hold process

Name the two actions that can be taken if a request does not name specifically identifiable records or is overly broad.

a. A custodian may deny access b. A custodian may also seek clarification

List two reasons that records would be exempt from public access, list the law or regulation by which a record becomes exempt.

a. Any federal law b. Federal regulation Executive Order of governor Rule of court

Name the items a records custodian must grant immediate access to

a. Budgets b. Bills c. Vouchers d. Contracts e. Govt employee salary information

Name the two types of electronic records that must be provided free of charge:

a. Email b. Fax

List 12 OPRA exemptions

a. Legislative Records c. Any record within the attorney-client privilege g. Information which, if disclosed, would give an advantage to competitors or bidders. h. Information generated by or on behalf of public employers or public employees in connection with: Any grievance filed by or against an employee l. Social security numbers. m. Credit card numbers n. Unlisted telephone numbers. o. Drivers' license numbers. p. Biotechnology trade secrets. q. Convicts requesting their victims' record. t. Upholds exemption contained in other State or federal statutes and regulations, Executive Order, Rules of Courts, and privileges created by State Constitution, statute, court rule or judicial case law. u. r) Certain records of higher education institutions: • Research records • Questions or scores for exam for employment or academics • Charitable contribution information • Rare book collections gifted for limited access • Admission applications

What two things must a custodian do when denying an OPRA request?

a. Must be in writing to the requestor b. Must identify the specific legal basis for a denial of access

A custodian must permit access to a government records in the medium requested, it the custodian does not maintain the record in the medium request, what must the custodian do?

a. Must convert the record to the medium, or b. Provide a copy in some other meaningful medium

What must requestors do when submitting a request?

a. Name specific identifiable government records

Name the four general category classifications for essential/vital records

a. Nonessential Records b. Useful Records c. Important Records d. Essential Records

Name Three responsibilities of the States Records management Program

a. Records and forms analysis b. Records storage c. Image processing

Name the exceptions to immediate access:

a. Records are in storage b. Records are in use c. Records require a medium conversion

Name the three pillars of a municipalities Records Management Program

a. Roles and Responsibilities b. Policies and the procedures supporting the establishes policies c. Education and training

List the representative of the State Records Committee (SRC)

a. State Treasurer b. Attorney general c. State Auditor d. Director of Local Government Services e. Chief of Archives

Give examples of essential/vital government records.

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.

Once statutory procedures are followed, non-permanent public records may be disposed of after what value has expired?

after their administrative, fiscal and legal value has expired

Whenever a file is removed from a box in inactive storage, what should be put in its place? And what information should it contain?

an "out card" should be put in its place to mark the record which was removed, to record the date of removal, and identify the person to whom the records have been delivered. Date and who took it.

How often department records should be reviewed to identify which records are eligible for transfer to inactive storage?

an annual basis

Define a public record

any information that a public agency generates or receives in the transaction of its official duties. Any paper, written or printed book, document or drawing.

Define a public agency?

any of the principal departments in the executive branch of state government, and any division, board, bureau, office, commission or other instrumentality within or created by such department; the legislature of the state and any office, board, bureau or commission within or created by the legislative branch; and any independent state authority, commission, instrumentality or agency.

Record series common to most offices fall under what retention schedule?

general schedual

What is the reference rate for active records?

generally greater than once per month

Define a records series:

groups of identical or related records that are normally filed together. They are evaluated as a unit for retention.

If an OPRA request is not on the custodians official form, a custodian cannot withhold record if it contains

if it contains the requisite information as requested by law, no custodian shall withhold records

Define immediate access

immediately as soon as possible, on the spot.

Define a custodian of a government record

in the case of a municipality it is the municipal clerk and in the case of any other public agency, the officer officially designated by formal action of that agency's director or governing body

When a municipality has a reasonable expectation that litigation exists or is imminent, it has the obligation to?

it has an obligation to identify and preserve any records relevant to the case as well as hard copy records, which are relevant to the case.

What should be done with inactive records scheduled for permeant retention?

it may be transferred to an archives to be preserved

What is the reference rate for semi active records?

less than once per month

An inactive records storage room should have access limited to

limited to Records Management Coordinators, those designated by Records Management Coordinators, the municipal clerk and those approved by the clerk.

What is a good source of identifying essential records?

records retention schedules

How must confidential or sensitive papers and microfilm records be disposed of, so that all information is obliterated?

shredded

Define destruction authorization

the formal documentation that a record has been destroyed

What does a records management procedure manual do?

the instructions how to carry out the steps to support the established policies.

If there is not an appropriate space to house records within the municipal facilities, what can be done?

utilize a commercial or other third party vendor to store records

All requests for public records should be submitted in:

writing

Without essential/vital records the daily operation of a municipality would cease and the public interest would be compromised due to problems such as:

• Vulnerability to litigation • Exposure to financial settlements or loss of revenues • Disruption of vital services (health and safety) • Failure to protect citizen rights (e.g., loss of property records) • Loss of regulatory records and audit trails