NJ Imaging Standards.pdf

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“NEW JERSEY RECORDS MANUAL

New Jersey Department of the Treasury Division of Revenue and Enterprise Services”

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NEW JERSEY RECORDS MANUAL

New Jersey Department of the Treasury

Division of Revenue and Enterprise Services

Contents

NEW JERSEY RECORDS MANUAL

New Jersey Department of the Treasury Division of Revenue and Enterprise Services

Chapter 1 Introduction

Background New Jersey's Records Management Services Program (RMS)

Public Records Defined

Value of Public Records

Legal Framework

Chapter 2 Records Retention and Disposition

Records Retention Scheduling Process

Records Disposition Process

Summary

Chapter 3 Records Storage Center Operations

Records Center Objectives

Protection of Records

Records Center Services

Transferring, Receiving and Storing

Developing Records Center Options

Summary

Chapter 4 Paper Files Management

Files Management Program

General Considerations

Summary

Chapter 5 Forms Management

Forms Analysis

Forms Design

Forms Procurement

Developing Forms Management Options

Summary

Chapter 6 Image Processing

Foundations for IP Systems

Development and Implementation of IP Systems and Services

DORES/RMS IP Services

Service Packages Offered by RMS

Note on Sustainability

Summary

Chapter 7 Electronic Records

General Use of Electronic Records Technologies

Electronic Mail

Scanned Images of Textual Records

Shared Drives and Collaboration Sites

Audiovisual Records and Transcripts

Geospatial Records and Geographic Information Systems (GIS)

Structured Databases

Web Sites

A Note on Enterprise Electronic Records Management Systems

Litigation Holds, Electronic Discovery and Related Concerns

Electronic Records Summary

Chapter 8 Vital Records Management

Vital Records Management Program Elements

Vital Records Management Summary

Chapter 9 Disaster Prevention and Recovery

General Considerations

Disaster Prevention Services

Recovery Operations

Disaster Prevention and Recovery Summary

Chapter 10 System Sustainability Guide

Suggested Formats and Supporting Information for Long Term Retention of Electronic Records (Selected File Types)

Electronic Mail and Attachments

Scanned Images

Digital Photographic Records

Digital Drawings

Structured Databases

Web Sites

Geospatial Records

Audiovisual Records

Chapter 11 Feasibility Study Outline Overview

1.0 Current System Review

2.0 Success Factors/Statement of Needs

3.0 Preliminary Evaluation Matrix

4.0 Alternate System Specification

6.0 Final Evaluation and Choice

End Notes

Chapter 12 Conceptual Design Guideline Overview

1.0 Document Base

2.0 Performance Factors (Outcomes)

3.0 Index Data Structure, Image File Composition/Arrangement and Data Management

4.0 Procedural Flow Analysis

5.0 Procedural Flow for Document Conversion

8.0 Integration Requirements

11.0 Technical Support and Maintenance

12.0 Operational Budget

Chapter 13 Service Package

Chapter 14 Guidelines and Examples

Example Operational Continuity/Disaster Recovery Plan

New Jersey Division of Revenue and Enterprise Services Records Management Guidelines for Cloud-based Records Storage

New Jersey Division of Revenue and Enterprise Services Records Management Guidelines for Remote Work Settings

Selected Links

Example Litigation Hold Order and Acknowledgement

Acknowledgement of Receipt of “Litigation Hold” Instructions

Guidelines on Retention Scheduling Public Records Stored on Social Media Platforms

File and Folder Naming Conventions 04/2021

Guidelines on Retention Scheduling Public Records Stored On Electronic Messaging Platforms

Chapter 15 General E-mail Retention and Disposition Program Frameworks

References

Appendix

A.1 Research Forum

References

Chapter 1 Introduction

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.

Background

New Jersey's Records Management Services Program (RMS)

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

1. Assists local agencies and authorities in conducting records inventories,

2. 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,

3. Offers advice in records management, files management, office automation, vital records programs, and disaster prevention,

4. Participates in records disaster recovery efforts through records identification,

5. Provides advice about forms analysis and design,

6. Processes records disposal requests, and

7. Coordinates with the State Archives, assisting in efforts aimed at preserving the State's documentary heritage.

Records Storage

1. Provides centralized storage of semi-active records for state agencies and authorities,

2. Provides records retrieval services for authorized state officials,

3. Advises all public sector agencies about semi-active records storage options, and

4. Administers third party records center services on behalf of other state agencies.

Image Processing

1. Provides systems consultations and assists in estimating cost for image processing projects (microfilm and digital imaging),

2. Conducts and/or coordinates selected projects for state, county and municipal agencies on a charge-back basis,

3. Assists public agencies in managing microfilm and digital image records systems, and

4. 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:

1. Ownership

A record is public when it is evidence of activities of an operating unit of government or an agent of government, which receives a substantial contribution of tax dollars to conduct its activities. In this very important sense, public records are assets owned by the citizenry from whom taxes and other payments are collected in support of governmental programs.

A record is private when it is evidence of activities of an organization that does not receive any substantial contribution of tax dollars to conduct those activities.

2. Access

Agencies may allow unrestricted access to records because of open public records considerations.

Under other circumstances, an agency may restrict access to records because of considerations of privacy, confidentiality or security.

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 agency’s 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 and Disposition This section describes the key processes associated with records retention and disposition. Organized and controlled retention and disposition are keys to a successful records management program.

The procedural elements covered in this section relate most directly to records stored on hard copy media (e.g., paper and microfilm); however, as will be discussed in the Electronic Records, basic retention and disposition considerations apply to automated systems as well.

Rules and procedures that apply to this area: N.J.A.C. 15:3-1 et seq. and 3-2 et seq. (Online Source)

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:

1. Accumulation rates are a factor in deciding whether to convert a record series to another medium such as digital images.

2. Filing methods may illustrate problems with retrieval.

3. Frequency of use -- i.e., reference rates, will determine when to place records in inactive storage.

http://www.lexisnexis.com/hottopics/njcode/ http://www.state.nj.us/treasury/revenue/rms/pdf-fillin/RecordSeriesInventoryForm.pdf

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:

1. Legal and fiscal requirements -- relevant statutory laws, regulations, statutes of limitation, administrative and court decisions, and audit requirements;

2. Administrative requirements -- past precedents, usefulness in office management, and common sense; and

3. 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.

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

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:

1. Physical destruction -- through shredding, burning, discarding or deletion/recycling; or

2. 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.

http://www.state.nj.us/treasury/revenue/rms/retention.shtml http://www.state.nj.us/treasury/revenue/rms/pdf/DisposalForm11.pdf http://www.state.nj.us/treasury/revenue/rms/pdf/DisposalForm11.pdf http://www.state.nj.us/treasury/revenue/rms/artemis.shtml

Agencies may address unusual or unique situations, such as unscheduled records, by seeking guidance from the State Records Committee through RMS.

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:

1. Economies -- Cost avoidance or savings through reduced purchase and maintenance of real estate, equipment and supplies; and

2. 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:

1. Unplanned expenses of financial settlements or loss of revenues;

2. Disruption of efficiency due to gaps in information; or

3. 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:

1. Unnecessary expenditures for real estate, equipment and supplies;

2. Lack of efficiency as old record accumulations become unwieldy; and

3. 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.

Summary

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

Records Storage Center Operations 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:

1. Orderly periodic transfer and storage of records which must be retained for limited retention periods but have low reference rates;

2. Standards for indexing, transferring and controlling semi-current records; and

3. 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.

http://www.lexisnexis.com/hottopics/njcode/

Protection of Records

With regard to protection, records centers feature a number of important elements.

Fire

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

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:

1. Appear on an approved records retention schedule;

2. Are scheduled for a minimum of one year storage (avoid storing permanent records in a records center);

3. Are properly identified and documented for transfer and reference;

4. Are properly packed in standard, 1 cubic foot records storage boxes; and

5. 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:

1. 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.

2. 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.)

3. 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.

http://www.state.nj.us/treasury/revenue/rms/retentiondisposition.shtml http://www.state.nj.us/treasury/revenue/rms/pdf/DisposalForm11.pdf http://www.state.nj.us/treasury/revenue/rms/artemis.shtml

Developing Records Center Options

There are five basic approaches to developing facilities to house semi current records:

1. Design and construct a new building for the purpose;

2. Convert an existing building;

3. Retrofit an area within an existing building;

4. Lease common storage space from a commercial storage facility; or

5. 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.

Summary

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 Paper Files Management

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:

1. Records to be filed;

2. Arrangement techniques — i.e., classification and access systems;

3. Equipment and supplies; and

4. 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:

1. 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.

2. 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.

3. 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.

• Alphabetic classification is ideal for a simple filing system with a very low volume of files, generally under 1,000. Alphabetic systems involve filing by subject name. A name could be that of a particular project, company, individual, or geographic location. This type of system requires consistent application. For example, if one person creates a file entitled, “Trenton

Warehouse Project,” all subsequent documents should be marked with this title so that they are filed in the “Trenton Warehouse Project” file. If not, someone unfamiliar with this project file could file new documents in the “Urban Property” file.

• Alphabetic classification is ideal for a simple filing system with a very low volume of files, generally under 1,000. Alphabetic systems involve filing by subject name. A name could be that of a particular project, company, individual, or geographic location. This type of system requires consistent application. For example, if one person creates a file entitled, “Trenton Warehouse Project,” all subsequent documents should be marked with this title so that they are filed in the “Trenton Warehouse Project” file. If not, someone unfamiliar with this project file could file new documents in the “Urban Property” file.

• Alphabetic classification is ideal for a simple filing system with a very low volume of files, generally under 1,000. Alphabetic systems involve filing by subject name. A name could be that of a particular project, company, individual, or geographic location. This type of system requires consistent application. For example, if one person creates a file entitled, “Trenton Warehouse Project,” all subsequent documents should be marked with this title so that they are filed in the “Trenton Warehouse Project” file. If not, someone unfamiliar with this project file could file new documents in the “Urban Property” file.

• Numeric systems are most useful where there are a large volume of files, generally ranging from 1,000 -10,000 files. Invoices, checks, and requisitions are most often requested by number. However, numeric filing systems require cross references for instances in which a number is not known. For example, real property can be listed numerically by block and lot numbers, with alphabetic cross references available by street address or by owners.

• Numeric systems also require maintenance. If numbers are unclear, or are transposed when typed or written, records can easily be misfiled. There are several types of numeric systems:

straight numeric, duplex numeric (including middle-digit indexing and terminal-digit indexing), decimal filing systems (e.g., the Dewey Decimal System), and chronological systems. Each system has advantages and disadvantages which should be weighed before being instituted.

• Duplex numeric systems are most useful in situations with a very large number of files, generally 10,000 or more. A duplex numeric system consists of segmented file numbers divided into distinct groups that are sequentially arranged, and includes middle and terminal digit systems:

o Middle digit systems -- The middle section is the primary division or file drawer identification; the left section is the secondary division or guide identification; and, the right section is the tertiary division or folder identification.

o Terminal digit system — The right section, or terminal digits are the primary or file drawer identification; the middle digits are the secondary or file guide identification;

and the left section is the tertiary or file folder identification.

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.

• Alphanumeric systems include a number/letter combination in which files are arranged in a general category by subjects, i.e., alphabetically and then assigned numbers for subdivisions.

This method of filing is not usually found in office applications and is most often reserved for library classification.

4. 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

1. 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:

• Vertical cabinets — One of the most commonly-used items of filing equipment, these cabinets generally provide 25 filing inches per drawer. Vertical cabinets are most efficient in small offices where a limited number are needed. However, as the number of cabinets needed increases, space efficiency decreases because of the large amount of office space required for their use.

• Lateral cabinets — The popularity of these cabinets for general office use has increased in recent years due their space efficiency and easy accessibility. The most common lateral cabinets are 36 or 42 inches wide and hold 32 or 38 inches of files per drawer, respectively. A vertical cabinet will hold only 25 inches of filing per drawer.

Another advantage of lateral cabinets is their versatility. These cabinets can be adapted, by the addition or deletion of an internal bar, for either letter or legal size filing.

• Open shelving — This alternative is usually much more economical than vertical or lateral cabinets in terms of cost per filing inch to square foot of floor space. Open shelving permits faster eye contact and retrieval of files, as well as multiple user access. However, because shelves are not enclosed in the same manner as filing cabinets, they do not offer the same protection from fire or water damage or security against unauthorized access, unless shelves are installed in a secured, fireproof vault or have pull-down doors.

• Mobile shelving -- This configuration can provide the lowest cost per filing inch to square foot of floor space. Mobile shelving consists of shelving units installed on tracks for movement. An aisle can be created between any two units in order to gain access to a particular unit.

A “mechanical assist” is a device which aids the user in moving shelves, and can be added to the units. Units can also be motorized to provide faster and easier access to shelves. It is important to note that access can be severely limited in mobile shelving configurations because only one section at a time can be used.

Mobile systems can be tailored to suit a particular office. Generally, however, the amount of user access decreases as the depth of shelving aisles increases. Mobile shelving can provide security because units can be pushed together with the end unit covered and the entire system locked. This feature also provides some protection against fire and water damage.

Mobile shelving has cost and floor load disadvantages. Weight of records placed on mobile shelves can exceed the weight bearing capacity of a floor and cause collapse. When plans for mobile or mechanized shelves are being reviewed, state officials must consult an engineer to determine if the floor is capable of supporting the estimated weight of records and shelves. Another consideration is the prohibitive cost of moving when an agency relocates its offices.

• Rotating filing equipment -- This type of equipment uses motorized or power files and shelving.

A motorized or power file consists of folders or trays placed on a shelf with each shelf assigned a location number. The user selects the location number of the corresponding file or item on a locator panel and the equipment rotates until the requested shelf is open to the user. The actual shelving unit is stationary; only the shelves move.

Large quantities of records can be stored securely in a small space with this type of equipment.

However, rotating filing equipment limits user access. It is also very heavy and may not be usable in some offices. Moreover, if the equipment becomes inoperative, files may be inaccessible to the user.

Rotating filing equipment should only be considered for very large file operations in which equipment costs could be offset by significant space and labor savings. The general disadvantages of mobile shelving units also apply to rotating equipment.

2. 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:

• Light weight manila folders-- best used for materials with a low reference rate,

• 18 point Kraft folders -- useful for records with longer retention periods (over 5 years) and high reference activity.

• 25 point pressboard folders -- useful for records with very long retention periods and constant reference, and

• Suspension folders-- most often used in computer printout files and in many lateral and vertical file cabinets.

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.

3. Put the plan into operation.

• Arrange and label files -- Files should be arranged and labeled in accordance with the file classification system.

• Develop and implement filing procedures -- Items should be placed into files on a regular basis

-- i.e., daily or weekly, depending on the amount of items accumulated. It is important to note that records should be filed in appropriate file equipment.

• Develop and implement file access procedures -- A central file or cross…