[HISTORY: Adopted by the Common Council of the City of Linwood 4-23-2008
by Ord. No. 9-2008. Amendments noted where applicable.]
The Records Management Policy describes the role of the Records Custodian
(Municipal Clerk) and long-term records storage. The policy also describes
the departmental responsibilities for maintenance and periodic destruction
of records. This policy is in compliance with N.J.S.A. 47:3-9 et seq. and
includes retention guidelines for paper files, microfilm, imaging and electronic
records management.
The objective of this policy is to make records serve the purpose for
which they were created and to comply with all state-mandated laws and regulations
for the proper generation, filing, storage and destruction of records in an
effort to best utilize space, avoid duplication, preserve historical and vital
records and minimize costs.
A.
Individual offices and department heads are responsible to:
C.
The Departmental Records Coordinator is responsible to:
(1)
Train on and disseminate departmental retention schedules.
(2)
Train the department how to properly box records.
(3)
Be the departmental contact person for any records management
questions.
(4)
Ensure the completion and filing of the proper forms for the
destruction of records.
(5)
Ensure the proper boxing of records to be stored.
D.
Individual employees are responsible to know what type of record
series and the retention period their work creates.
As used in this chapter, the following terms shall have the meanings
indicated.
Machine-readable information. The information contained in electronic
records originates as an electronic signal. This information relies on digital
or analog coding. Regardless of the coding scheme being used, electronic records
require hardware and software to access them. Devices which create, store
and process electronic records are:
Data or information received or created during the course of official
business. This includes papers, maps, photographs, books, audiovisual tapes
and data created through various electronic devices. All records, regardless
of the format they were created in, come under the state’s retention
schedule for that record series.
A.
Department heads must know what type of records series and/or
vital records their units produce and know where the records are stored.
B.
Each record series shall be maintained according to New Jersey
state retention schedules.
C.
Department heads are responsible to maintain a current inventory
of all records.
D.
Department heads shall designate a contact person(s) to serve
as the Departmental Records Coordinator by completing and submitting the designation
of coordinator(s) form (Attachment A)[1] to the Records Custodian. There may be more than one Departmental
Records Coordinator for any department.
(1)
If the above-mentioned form is not completed, the department
head shall assume the role of the Departmental Records Coordinator.
(2)
If the Departmental Records Coordinator should change, a new
designation of coordinator form must be completed and resubmitted.
[1]
Editor's Note: Attachment A is on file in the Clerk's office.
E.
The Departmental Records Coordinator who is chosen should have
a working knowledge of the entire department’s processes and records.
If he or she does not know the entire department, more than one coordinator
should be assigned.
F.
The Records Custodian will work with the Departmental Records
Coordinators on a continuing basis, keeping them advised of procedural changes,
new retention requirements, answering records management questions and providing
training.
G.
The Departmental Records Coordinator(s) shall receive training
and departmental retention schedules, which they will be responsible to disseminate
to the entire department.
Retention Schedules are available by contacting the Departmental Records
Coordinator (s) or the Records Custodian.
A.
Retention schedules are issued by the State of New Jersey to:
(1)
Ensure all records (paper and electronic) are maintained for
the appropriate periods of time per record series.
(2)
Ensure compliance with the state’s requirements.
(3)
Ensure electronic records comply with discovery requests and
other judicial orders.
(4)
Prevent unwarranted accumulation of obsolete records.
(5)
Prevent the unauthorized destruction of electronic records.
(6)
Make use of available storage devices effectively.
(7)
Minimize storage costs by deleting electronic records when they
are no longer needed.
(8)
Release magnetic tapes and disks for reuse.
B.
The determination of retention periods for records is generally
as follows:
(1)
Records no longer used and having no legal, fiscal or historical
significance will normally be granted destruction by the state.
(2)
Records with a predetermined retention period require completion
of the time period before destruction.
(3)
Records designated permanent may never be destroyed.
(4)
State retention schedules are available on the State website
at www.njarchives.org/index.html; click on “Records Management”
then on “Records Retention,” or by asking the Records Custodian.
A.
The long-term storage of records in the basement of the Municipal
Building is the primary storage area for City documents that are semi-current
(seldom used and/or waiting future destruction) or permanent. The Records
Custodian will take necessary steps to ensure safety and security of stored
documents.
B.
No public records may be destroyed without first notifying the
Records Custodian, who shall ensure all requirements have been met. All documents
or records generated, processed and maintained by departments of the City
of Linwood are considered “public documents” and are therefore
subject to state/federal laws governing their use and disposition.
C.
When the records stored in the basement have reached their destruction
date (month/year), the Departmental Records Coordinator shall begin the disposition
process.
D.
The Departmental Records Coordinator will begin the disposition
process, which is reviewing and labeling the records and sending the state’s
request and authorization for records disposal forms (Attachment B)[1] to the Records Custodian for approval.
[1]
Editor's Note: Attachment B is on file in the Clerk's office.
E.
The method of destruction is shredding or burning.
F.
No City records may be destroyed without a signed and state-approved
request and authorization for records disposal form.
The Records Custodian will serve as the Records Destruction Officer
on behalf of the City. The Records Destruction Officer shall:
A.
Ensure compliance with state retention schedules and regulations.
B.
Verify destruction of documents authorized to be destroyed and
certify same on appropriate documentation.
C.
Maintain a database of files for future reference.
D.
Coordinate destruction with the Atlantic County Records Manager
for burning of records.
A.
By law, all government subdivisions in New Jersey must request
and receive permission from the state to destroy public documents and records
using the state’s request and authorization for records disposal forms.
B.
The Records Custodian is available to answer any questions as
the Departmental Records Coordinators complete the necessary forms and notify
the appropriate officials.
C.
As per the state request form, the destruction of fiscal records
requires the department head and the outside auditor’s signatures prior
to submission to the state.
D.
When the request and authorization for records disposal form
is complete, the Departmental Records Coordinator shall make a copy for the
department’s records and shall send the original to the Records Custodian.
E.
The Records Custodian shall verify all information and send the
form to the auditor first and then to the New Jersey Division of Archives
and Records Management.
F.
When the request and authorization for records disposal form
is returned to the Records Custodian with the appropriate approvals to destroy,
the Records Custodian shall arrange for destruction.
G.
After destruction, the Records Custodian shall file and keep
the agency copy as a permanent record. The follow-up copy shall be sent to
the New Jersey Division of Archives and Records Management.
Criteria for storage of records for permanent retention or awaiting
destruction are as follows:
The Departmental Records Coordinators are responsible for the proper
boxing of records to be stored in the Records Room in the basement as per
the instructions for packing the one-cubic-foot storage boxes (Attachment
C).[1] Below is a summary of the procedures:
A.
Each box must contain the same record series with the same retention
period. Example: Departmental copies of purchase orders have a retention period
of three years, and internal correspondence has a retention period of one
year; these records would be separated and placed in different boxes. Records
with different retention periods should not be mixed.
B.
The Departmental Records Coordinator shall complete a records
management work request form, keep a copy of the form and send the original
to the Records Custodian.
[1]
Editor's Note: Attachment C is on file in the Clerk's office.
Only properly packed records will be accepted as per the instructions
for packing the one-cubic-foot storage boxes. Packed records must be in the
standard storage box (one-cubic-foot box with lid).
A.
Identify the exact content of the records for future accessibility
and eventual retention or disposal.
C.
Label.
(1)
Complete the label legibly in black marker noting the following
information:
(a)
Department.
(b)
Records series (i.e., accident reports, time sheets, correspondence).
(c)
From/To area: enter the date range of the documents in the box;
and if files are numerical, also enter the number range of the records.
(d)
Destruction date, per the Records Retention and Disposition Schedule.
(2)
Each box shall have one completed label.
Guidelines for the management of electronic mail per the State of New
Jersey:
A.
E-mail messages.
(1)
E-mail messages are electronic documents created and sent or
received by a computer system. This definition applies equally to the contents
of the communication, the transactional information and any attachments associated
with such communication. Thus, e-mail messages are similar to other forms
of communicated messages, such as correspondence, memoranda and letters.
(2)
An e-mail message is a document when it is created or received
by a public office. The deciding factor as to its status as a record is if
the e-mail serves to document organization, functions, policies, decisions,
procedures, operations or other activities. This is true of any communication,
whether electronic or paper.
(3)
All e-mail messages which meet the criteria of the definition
of a government record per N.J.S.A. 47:1A-1.1 must be made available to the
public upon request under the Open Public Records Act (OPRA) during the required
retention period, unless the content of the message falls under one of the
exceptions contained in the Act or in any other statute, regulation, Executive
Order by the Governor, rule of court, federal law, regulation or order.
(4)
Employees have an obligation to be aware that e-mail messages,
like paper records, must be retained and destroyed according to established
records management procedures.
(5)
Employees are responsible for classifying messages they send
or receive according to content.
(6)
E-mail users should be aware that e-mail messages are often widely
distributed to a number of recipients. The individual who sends an e-mail
message and the primary recipient (“To” not “cc”)
should maintain the record copy of the message. Prompt deletion of duplicate
copies of e-mail messages from an e-mail system makes the system easier to
manage and reduces disk space.
B.
Retention and scheduling requirements.
(1)
The contents, transactional information and any attachments associated
with an e-mailed message are considered records if they meet the criteria
of a public record in N.J.S.A. 47:3-16.
(2)
Contents of e-mail messages may vary considerably and, therefore,
this content must be evaluated to determine the length of the time the message
must be retained.
C.
Categories for e-mail messages.
(1)
Non-record e-mail messages.
(2)
Transient retention e-mail messages.
(a)
Definition: e-mail messages which meet the criteria of the New
Jersey statutory definition by the following:
[1]
E-mail messages which have very limited administrative value.
[2]
These messages do not set policy, establish guidelines or procedures,
certify a transaction or become a receipt.
[3]
These messages might be compared to a communication that could
take place in a telephone conversation or conversation in an office hallway.
(b)
Retention. Transient e-mail messages should be retained until
no longer of administrative value; i.e., an e-mail message notifying an employee
of an upcoming meeting would only have administrative value until the meeting
has been attended or the employee receiving the message has marked the date
and time in his or her calendar.
(3)
Intermediate retention e-mail messages.
(a)
Definition: e-mail messages which have more significant administrative,
legal and/or fiscal value but are not classified as transient or permanent.
These messages should be categorized under other appropriate record series,
including but not limited to the following:
[1]
General correspondence includes correspondence from various individuals,
companies and organizations requesting information pertaining to agency and
legal interpretations and other miscellaneous inquiries. This correspondence
is informative and does not attempt to influence agency policy; retention
is three years.
[2]
Internal correspondence includes letters, memos and requests
for routine information, monthly and weekly reports and documents advising
supervisors of various events, issues and status of ongoing projects; retention
is one year.
[3]
Copies of agency minutes or staff meetings; retention is one
year.
(b)
Retention. Intermediate retention e-mail messages shall follow
the appropriate record series for retention and destruction schedules according
to the state guidelines.
(4)
Permanent retention e-mail messages.
(a)
Definition: e-mail messages which have significant administrative,
legal and/or fiscal value. These messages should be categorized under the
appropriate record series, including but not limited to the following:
[1]
Executive correspondence is from the head of the agency dealing
with significant aspects of the administration of his or her office. Correspondence
includes information concerning agency policies, programs, fiscal and personnel
matters.
[2]
Departmental policies and procedures include reports, unpublished
substantive reports and policy studies.
[3]
Administrative policy, minutes of boards, commissions, etc. are
approved minutes of official bodies, attachments and transmittal documents.
This does not apply to drafts of minutes or minutes which have not been approved.
(b)
Retention. Permanent retention e-mail messages must be printed
and filed in the appropriate record series. These files shall be archived
in accordance with standards and protocols.
D.
Storage and archiving of e-mail.
(1)
The storage method of e-mail messages depends on the retention
period of the record. Below are the three different storage options:
(a)
On-line storage is the storage of e-mail messages, metadata and
attachments in individual employee e-mail systems. On-line storage maintains
the full functionality of the e-mail message and allows users to recall the
message at any time for reference or response.
(b)
Near-line storage is the storage of e-mail messages, metadata
and attachments in an electronic recordkeeping system. This type of storage
requires the message, metadata and attachments to be removed from the on-line
system and stored in another electronic format.
(c)
Off-line storage is the storage of e-mail messages, metadata
and attachments outside of an electronic recordkeeping environment.
(2)
E-mail messages meeting the requirements for permanent retention
eventually need to be printed and removed from the e-mail system and stored
off-line.
A.
Microfilming is accepted as a legal substitute for original paper
documentation, and most categories of paper records can be destroyed after
microfilming in accordance with required procedures.
B.
The legal acceptance of a microfilm record depends upon adherence
to the statewide microfilm standards published and monitored by the State
Division of Archives and Records Management.
A.
The New Jersey State Division of Archives and Records Management,
Bureau of Records Management, is responsible for developing and promoting
image processing rules and standards for the imaging of public records.
B.
Departments must contact the Records Custodian before contacting
the state when considering the use of image processing to ensure system compliance
with the following sections of the New Jersey Administrative Code 15:3:
(1)
N.J.A.C. 15:3, Subchapter 2: Records Retention.
(2)
N.J.A.C. 15:3, Subchapter 3: Standards for Microfilming of Public
Records.
(3)
N.J.A.C. 15:3, Subchapter 4: Image Processing of Public Records.
(4)
N.J.A.C. 15:3, Subchapter 5: Certification of Imaging Processing
Systems.
(5)
N.J.A.C. 15:3, Subchapter 6: Records Storage.
C.
For departments and/or offices interested in imaging records,
use the attached guidelines for imaging systems (Attachment F)[1] to determine if your department is capable and your departmental
needs. Departments must work with the Records Custodian when setting up an
imaging system.
[1]
Editor's Note: Attachment F is on file in the Clerk's office.
D.
Departments and/or offices equipped to image documents will use
the individual imaging procedures that were customized for their offices.
