N.J. Admin. Code § 15:3-6.5

Current through Register Vol. 56, No. 21, November 4, 2024

Section 15:3-6.5 - Storage of magnetic media and other electronic records

(a)P.L. 1994, c.140, § 4 (47:3-26 as amended) et al. mandates that the Division, with the approval of the State Records Committee as established by P.L. 1953, c.410, § 6 (47:3-20) , shall formulate standards, procedures and rules for "data processing and image processing of public records and for the preservation, examination and use of such records," including storage of magnetic media and other electronic records.

(b) This section is intended for use in conjunction with the following referenced national and international standards as amended and supplemented, incorporated herein by reference. The standards cited in this subsection are available from the American National Standards Institute (ANSI) or other standards-setting organizations as cited in 15:3-6.2. They are also available for inspection at the Division of Archives and Records Management, 2300 Stuyvesant Avenue, Trenton, New Jersey per the provisions of 15:3-4.7(f).

1. ANSI X3.39-1986. Recorded Magnetic Tape for Information Interchange (1600 CPI, PE);

2. ANSI X3.54-1986. Recorded Magnetic Tape for Information Interchange (6250 CPI, Group Coded Recording);

3. ANSI X3.180-1990. (R1996) Magnetic Tape and Cartridge for Information Interchange 18-Track, Parallel, 12.65 mm (112 in) 1491 cpmm (37 981 cpi) Group Coded Recording;

4. ANSI/NAPM IT9.23-1996. Imaging Materials--Polyester Based Tape--Storage;

5. CPA/NML 1995. Magnetic Tape Storage and Handling: A Guide for Libraries and Archives;

6. Executive Order 12906 of April 11, 1994 ( 3 CFR, 1995 Comp., p. 882). Federal Geographic Data Committee--Content Standards for Digital Geospatial Metadata; and

7. FIPS 173-1. Spacial Data Transfer Standard (SDTS)(DOI/USGS Specs.)--94 June 10.

(c) All public records on electronic recording media shall be stored and maintained in compliance with all appropriate standards, rules, and guidelines for storage of electronic records promulgated in this section or incorporated herein by reference, as amended and supplemented, including:

1. Agencies shall maintain all medium-term or permanent and long-term backup or security copies of public records on electronic recording media in a storage facility with constant, controlled environmental conditions per standards promulgated for particular types of records media within this rule. If more than one type of media is stored in a storage facility, the most restrictive standards for temperature and humidity shall apply, if applicable, unless the facility contains areas capable of maintaining separate environmental controls appropriate for different media.

2. Agencies shall annually read a statistical sample of all electronic media containing long-term or permanent records to identify any loss of information and to discover and correct the cause of data loss.

3. To safeguard against the loss of information due to equipment malfunctions or human error, agencies shall backup and refresh electronic records on a routine schedule, established and maintained by agencies, as appropriate.

4. Duplicate backup or security copies of medium-term or permanent and long-term records shall be maintained in appropriate storage located in buildings separate and at an appropriate distance from the office or other location where the records are normally used.

5. Agencies shall prohibit smoking, eating, or other activities that would produce contaminants in any electronic media storage libraries or other records storage facilities, including test or evaluation areas.

6. Agencies shall ensure that all authorized users can identify, access and retrieve information stored on diskettes, removable disks, tapes, optical disks, or other electronic recording media used to store medium-term or permanent and long-term records by establishing and implementing procedures for external labeling (or the equivalent for automated management systems) of the contents of such recording media. External labels, or their equivalent, shall provide unique identification for each storage media, including:

i. The name of the organizational unit responsible for the data;

ii. System title, including the version number of the application;

iii. Special security requirements or restrictions on access, if any; and

iv. Software in use at the time of creation.

7. Adequate documentation and information shall be maintained for all public records designated for medium-term or permanent and long-term records retention and storage on electronic recording media. Such documentation shall include:

i. The file title;

ii. The dates of creation;

iii. The dates of coverage;

iv. The recording density;

v. The type of internal labels;

vi. The volume serial number, if applicable;

vii. The number of tracks;

viii. Character code/software dependency;

ix. Information about block size; and

x. The sequence number, if the file is part of a multi-media set.

8. Agencies shall establish policies and procedures to ensure that electronic records and their documentation are retained as long as needed for their continuing administrative, legal, or historical value. These records retention policies and procedures shall include provisions for:

i. Scheduling the retention and disposition of all electronic records and related documentation, code books, indexes or other information necessary to access the records, in accordance with the provisions of the Destruction of Public Records Law (1953), P.L. 1953, c.410 (47:3-15 et seq.) and N.J.A.C. 15:3, Records Retention promulgated by the Division and the State Records Committee;

ii. Transferring custody of electronic records and related documentation to the State Archives per P.L. 1920, c.46, § 7, (47:2-7) at an appropriate time per:

(1) Records retention schedule, as specified under guidelines, rules, and regulations promulgated by the Division concerning appraisal, transfer, accessioning and storage of public records, including this chapter.

(2)P.L. 1920, c.46, § 4, (47:2-3) and the provisions of 15:3-2.6, if any county, municipality, or public agency, body, board, or institution or society has or may become extinct.

(3) Mutual agreement between the agency and the State Archives, as appropriate;

iii. Establishing internal procedures for regular recopying, reformatting, and other necessary maintenance to ensure the retention and usability of the electronic records throughout their authorized life cycle;

iv. Establishing internal policies to ensure use of appropriate electronic recording media for storage of medium-term or permanent and long-term public records created, received or maintained by the agency, per standards promulgated in this section or established and approved by the State Records Committee, including that magnetic recording media previously used for electronic records containing sensitive, proprietary, or security information shall not be reused if the previously recorded information can be compromised in any way by reuse; and

v. Ensuring that information is not lost due to changing technology or deterioration of storage media by converting storage media to provide compatibility with the agency's current hardware and software. Before conversion of information to a different media, agencies shall determine that authorized disposition of the electronic records can be implemented after such conversion.

(d) Magnetic computer tape used for storage of public records shall be stored and maintained per ANSI/NAPM IT9.23-1996. Imaging Materials--Polyester Based Tape--Storage, as amended and supplemented, incorporated herein by reference, and all applicable standards, procedures, and guidelines promulgated in this section, including:

1. Agencies shall maintain storage and test areas for computer magnetic tapes containing medium term and permanent and long-term records at constant temperatures and relative humidities between 16.7 to 20 degrees Celsius (62 to 68 degrees Fahrenheit) temperature and 32 to 38 percent relative humidity (RH).

i. Magnetic tapes should be hung or racked vertically in standard storage units and should be rotated according to an established schedule to avoid damage to the tapes.

ii. Agencies shall periodically rewind under controlled tension all tapes containing records scheduled for long-term and permanent retention every 3 1/2 years, but frequent rewinding should not be practiced to avoid damaging the tape. Stored tapes shall be rewound immediately before use to restore proper tension to the tape.

iii. Agencies shall annually read a statistical sample of all reels of magnetic computer tape containing long-term or permanent records to identify any loss of data and to discover and correct the causes of data loss. In tape libraries with 1,800 or fewer reels, a 20 percent sample or a sample size of 50 reels, whichever is larger, should be read. In tape libraries with more than 1,800 reels, a sample of at least 384 reels should be read. Tapes with 10 or more errors shall be replaced and, when possible, lost data shall be restored.

iv. Agencies shall copy data on magnetic tapes scheduled for long-term or permanent retention onto new tested and verified tapes before the current tapes used to store the records are 10 years old.

(1) More frequent copying may be necessary to prevent physical loss of data or technological obsolescence of the medium.

(2) Reused backup tapes or other previously used tapes should not be acceptable for storage of permanent public records scheduled for long-term or permanent retention.

v. External labels (or the equivalent automated tape management system) for magnetic tapes used to store permanent or unscheduled electronic records shall provide unique identification for each reel, including:

(1) The name of the organizational unit responsible for the data;

(2) The system title; and

(3) The Security or confidentiality classification, if applicable.

vi. The following information shall be maintained for (but not necessarily attached to) each reel or cartridge used to store permanent or long-term electronic records:

(1) The file title(s);

(2) The dates of creation;

(3) The dates of coverage;

(4) The recording density;

(5) The type of internal labels;

(6) The volume serial number, if applicable;

(7) The number of tracks;

(8) The character code/software dependency;

(9) Information about block size; and

(10) The reel sequence number, if the file is part of a multi-reel set.

vii. Documentation on numeric data files shall include, if applicable, information on:

(1) Record format;

(2) Logical record length;

(3) Data set name(s);

(4) Sequence; and

(5) Number of records for each data set.

2. This subsection establishes standards, procedures, and guidelines for archival storage of public records created, maintained, or stored on magnetic tape. The provisions in this subsection shall not apply to the management or storage of magnetic tape in regular use or recycled backup tapes in agency custody; however, agencies shall implement these standards, procedures, and guidelines for security or archival copies of their records that may be of long-term administrative, legal, or historical value. Archival, permanent, or other records with long-term retention schedules due to their continuing legal, administrative, or historical value shall comply with all standards, rules, and guidelines for storage of public records promulgated in this rule (except when archival storage conditions require additional environmental and other controlled conditions suitable for preservation of records having permanent or long-term which will prolong the useful life of the type or form of record media containing such records) including:

i. Each agency shall create and maintain a security or archival copy of any records on magnetic tape with a retention schedule designated for permanent or long-term retention, unless the custody of such records are transferred to the State Archives or a successor agency.

(1) Agencies shall copy all long-term or permanent electronic records onto tested and verified new media before the current electronic media used to store the records is 10 years old. The new media shall be tested to verify that it is free of permanent errors.

(2) Agencies shall store and maintain records with permanent or long-term retention schedules on magnetic tape on either open-reel magnetic tape, 3480 or 3490-class tape cartridges.

(3) Open-reel magnetic tape shall be on one-half inch 9-track tape reels recorded at 1600 or 6250 bpi that meet standards established by ANSI X3.39-1986 or ANSI X3.54-1986 as amended and supplemented, incorporated herein by reference. Reference:

(A) ANSI X3.39-1986 Recorded Magnetic Tape for Information Interchange (1600 CPI, PE); and

(B) ANSI X3.54-1986 Recorded Magnetic Tape for Information Interchange (6250 CPI, Group Coded Recording).

(4) Tape cartridges shall be 18-track 3480-class cartridges recorded at 37,871 bpi that meet standards established by ANSI X3.180-1990 (R1996) or 36-track 3490-class cartridges per ISO/IEC 14251:1995, ANSI X.3.265 and ANSI X3.261-1996, as appropriate, as amended and supplemented respectively, incorporated herein by reference. Reference:

(A) ANSI X3.180-1990 (R1996) Magnetic Tape and Cartridge for Information Interchange, 18-Track, Parallel, 12.65 mm (112 in) 1491 cpmm (37 981 cpi) Group Coded Recording;

(B) ISO/IEC 14251:1995 Information Technology--Data Interchange on 12.7 mm 36-track Magnetic Tape Cartridges;

(C) ANSI X.3.265-1995 Information Technology--Magnetic Tape Cartridge for Information Interchange--Unrecorded, 36-track, Parallel, 12.57 mm (0.495 in), 1944 ftpmm (49 378 ftpi) Group-Coded Recording; and

(D) ANSI X3.261-1996 Information Technology--Extended Magnetic Tape Cartridge for Information Interchange (36-Track, Parallel Serpentine 12.65 mm (0.05 in)), 1491 cpmm (37 871 cpi) Group-Coded Recording.

(5) The data shall be blocked at no more than 32,760 bytes per block written in ASCII or EBCDIC, with all extraneous control characters removed from the data.

ii. The agency shall create and maintain security or archival copies of permanent or long-term value in a format that is not dependent on specific hardware and/or software.

(1) The records shall be written in ASCII or EBCDIC with all control characters and other non-data characters removed (except record length indicators for variable length records, or marks designating a datum, word, field, block, or file).

(2) The tapes on which the data are recorded shall be new tapes which have been tested, passed over a tape cleaner before writing, and rewound under controlled tension.

(3) The records shall not be compressed unless the Division has approved the transfer in the compressed form in advance. In such cases, the Division may require the agency to provide the software to decompress the records.

iii. Security or archival copies of data files and databases shall be stored and maintained as flat files or as rectangular tables (that is, as two-dimensional arrays, lists, or tables).

(1) All "records" (within the context of the computer program, as opposed to a public record) or "tuples," (that is, ordered collections of data items, within a file or table) shall have the same logical format.

(2) Each data element within a record should contain only one data value. A record should not contain nested repeating groups of data items. The file should not contain extraneous control characters, except record length indicators for variable length records, or marks delimiting a data element, field, record, or file.

(3) If records or data elements in different files need to be linked or combined, then each record must contain one or more data elements that constitute primary and/or foreign keys enabling valid linkages between the related records in separate files.

iv. Electronic textual documents shall be transferred as plain ASCII files; however, such files may contain Standard Generalized Markup Language (SGML) tags.

v. Security or archival copies of digital spatial data files shall be stored and maintained in accordance with the Spatial Data Transfer Standard (SDTS) as defined in the FIPS 173-1 as amended and supplemented, incorporated herein by reference. Reference: FIPS 173-1. Spatial Data Transfer Standard (SDTS) (DOI/USGS Specs.)--94 June 10.

(1) Digital geospatial data files created on systems procured prior to promulgation of this rule which do not have a SDTS capability shall be exempt from this requirement.

(2) Agencies should consult with the Division for guidance on storage and maintenance of noncompliant digital geospatial data files created before August 3, 1998.

vi. Concerning other categories of electronic records, agencies shall identify any foreseeable problems in the storage and maintenance of potentially archival or permanent electronic records in accordance with the provisions of this section at the time the records are scheduled. Special storage or maintenance requirements agreed upon by the Division and the agency shall be included in the disposition instructions.

vii. The agency shall consult with the Division for guidance on the storage and maintenance of types of electronic records other than those prescribed in this section.

viii. Documentation adequate to identify, service and interpret electronic records that have been designated for preservation by the Division and approved by the State Records Committee shall be stored, maintained or transferred with the records. Documentation shall include a completed copy of DARM form Technical Description for Transfer of Electronic Records, and a completed copy of DARM form, Information System Description Form, or their equivalents. Where possible, agencies should submit required documentation that conforms to the provisions of this section.

(1) Documentation for data files and data bases shall include record layouts, data element definitions, and code translation tables (code books) for coded data. Data element definitions, codes used to represent data values and interpretations of these codes must match the actual format and codes as transferred.

(2) Digital spatial data files shall include the documentation specified in this section. In addition, documentation for digital spatial data files may include metadata that conforms to the Federal Geographic Data Committee's Content Standards for Digital Geospatial Metadata, as specified in Executive Order 12906 of April 11, 1994 ( 3 CFR, 1995 Comp., p.882) incorporated herein by reference.

(3) Documentation for electronic files containing textual documents with Standard General Markup Language (SGML) tags shall include a table for interpreting the SGML tags, when appropriate.

(4) Where it has been necessary to strip data of extraneous control characters per this section, the code book specifications defining the data elements and their values shall match the new format of the data.

(5) Documentation to be maintained with any electronic records shall include:

(A) The most up-to-date data systems specifications, user guides, report programs, and file layouts and code books.

(B) Documentation providing file layouts and code translations (code books) to permanent files shall accompany the files when they are transferred to archival storage.

(C) Documentation that is current for each file shall be maintained, but outdated or superseded documentation need not be maintained. File layouts, systems user manuals, report programs, and input programs change as the software to manipulate data changes, for example moving from a batch, sequential file environment to an interactive, database management system (DBMS) environment will cause a change in documentation.

(e) The following apply to storage and maintenance of floppy disks:

1. Floppy disks shall not be used for long-term or permanent storage of public records.

2. Use of floppy records for public records shall be limited to temporary storage and maintenance.

3. To avoid potential damage or loss of records stored and maintained on floppy disks, an additional backup copy of the disk should be created and stored in a location separate from the location where the records are normally used.

4. Disks shall be stored vertically in standard storage containers.

5. Disks shall be kept away from strong magnetic or other electrical fields which can demagnetize or degrade the disks. Disks shall not be stored near a computer, printer or other electronic equipment or appliances.

6. Agencies shall ensure that access to public records stored and maintained on floppy disks remain accessible for the retention period established for the records.

i. Agencies shall ensure that access is not lost because of deterioration of the disks or changing technology by updating or converting data on floppy disks to the agency's current hardware and software or to an alternate records storage media.

ii. Costs of conversion may be saved if an agency can determine that the authorized disposition period of such public records has been exceeded and may be scheduled for destruction per P.L. 1953, c.140 (47:3-15) as amended.

(f) The following apply to storage of optical disks:

1. Optical disks vary widely in their physical make-up and recording technologies. Environmental conditions for storage and maintenance of optical disks used for storage of public records shall be established and maintained per ISO 18925:2002, Imaging Materials--Optical Disc Media--Storage Practices, incorporated herein by reference, as amended and supplemented, unless other storage standards based on manufacturers specifications, are recommended.

2. In general, storage temperatures for compact disks (CDs) and other optical disks shall not be any warmer than 25 degrees Celsius (77 degrees Fahrenheit) when long-term storage is desired. Cooler temperatures down to 10 degrees Celsius (50 degrees Fahrenheit) will help ensure a longer life expectancy for the media. Relative humidity shall be maintained in the range of 20 to 50 percent.

3. Cycling conditions, especially extremes in temperature and humidity, can be dangerous to compact disks and many other types of optical disks. Fast changes between very warm and wet conditions to cooler and very dry conditions may produce warping and distortion. The recommended maximum limit to temperature change is 15 degrees Celsius or about seven degrees Fahrenheit per hour. For humidity, the recommended maximum change per hour is 10 percent.

4. Optical disks shall be stored vertically in standard storage enclosures.

5. Magneto-optical disks are by nature and composition magnetic media and storage and maintenance of the same shall therefore comply with all applicable standards, rules and guidelines for magnetic media promulgated in this subchapter.

i. Magneto-optical disks and other optical disks which employ phase-change technologies shall not be used for long-term permanent storage of public records.

ii. Magneto-optical disks shall be kept away from strong magnetic or other electrical fields which can demagnetize or degrade the disks. Disks shall not be stored near a computer, printer or other electronic equipment or appliances.

(g) Videotapes which are part of a public record or used for storage of public records shall be stored and maintained ANSI/NAPM IT9.23-1996. Imaging Materials--Polyester Based Tape--Storage as amended and supplemented, incorporated herein by reference, and all applicable standards, procedures guidelines promulgated in this section, including:

1. Master videotapes shall be stored in a regulated climate zone.

i. Temperatures shall be no greater than 20 degrees Celsius (68 degrees Fahrenheit).

ii. Relative humidity shall be between 20 and 30 percent, with fluctuations not greater than plus or minus five percent in a 24 hour period.

iii. Air filtration systems shall be capable of removing particles and other contaminants greater than 150 microns and oxidants including peroxides and automobile emissions which damage videotapes.

iv. Air flow shall be no greater than four cycles or changes per hour.

2. Tapes shall be stored in plastic videotape storage boxes of inert polypropylene or polyethylene. Cardboard sleeves and other paper material shall be removed from storage boxes and no paper items shall be stored in the storage containers with videotapes.

3. Tapes shall be stored in a vertical position and shall be rewound at least once a year on a rewinding device rather than a videotape player. Once a year master tapes shall be wound onto the tape's other hub and stored with that hub down for the remaining year or until used.

4. Videotapes shall be stored away from heat sources or any devices which emit magnetic fields such as VCRs or television sets that can damage magnetic media such as videotape. Tapes shall not be stored in metallic containers or on metal shelves if there is a danger that these can conduct electricity or generate magnetic fields.

5. Labels shall be affixed to both tape cassettes and storage boxes which designate all pertinent information concerning the contents of the videotape, including date, tape number, title, etc.

6. Master copies of videotapes shall not be used for reference purposes.

i. Duplicate copies shall be made of master videotapes for use for reference purposes.

ii. Copies of master videotapes shall be made only as necessary to avoid possible damage and degradation of the master tapes.

7. Videotapes shall not be regarded as an archival media and shall not be used for long-term or permanent storage of public records. Transfer to kinescope or motion picture film is recommended for records on videotape with long-term or permanent retention schedules.

i. For long-term or permanent preservation, images and sound on videotape shall be transferred to film or some other more permanent media.

ii. Repeated duplication of videotapes for any preservation purposes will increasingly reduce the quality of recorded images and sound.

(h) Audiotapes used for storage of public records shall be stored and maintained per ANSI/NAPM IT9.23-1996. Imaging Materials--Polyester Based Tape--Storage as amended and supplemented, incorporated herein by reference, and all applicable standards, procedures guidelines promulgated in this section, including:

1. Long-term or permanent storage of audio records shall be on reel-to-reel magnetic tape 1.5 mil mylar backing. At this time, analog reel-to-reel tape is the only industry recommended storage media for audio recordings.

i. Audiotape cassettes or digital audiotape (DAT) or recordable digital audiotape (R-DAT) shall not be utilized for long-term for public records because to potential loss of information due the physical characteristics of these media.

ii. As of August 3, 1998, no national or international standards for long-term storage conditions for audiotape cassettes or digital audiotape (DAT) or recordable digital audiotape (R-DAT) cartridges.

2. Handling and use of tape shall be kept at a minimum, since excessive use will result in harmful dust, grease and oils, and other contaminants being deposited on the tape.

3. Leader tape (about six feet) shall be included on the beginning and end of all reel-to-reel tapes to avoid loss of record material. Leader is not required on cassette tapes.

4. Tapes shall not be left on tape machines any longer than necessary. Prompt removal after use will reduce temperature-induced print-through.

5. Correct winding tension is an essential aspect of tape storage.

i. Tapes shall be wound under tension and stored under tension in order for tape to move onto and off reels smoothly and wound evenly. When tension is exceeded, deformation may occur, resulting in distortion and loss of sound content.

ii. Tape shall be stored at playback speed (between two and three ounces per quarter inch of tape) and shall not be rewound before being stored. In rewind and fast-forward modes tensions on tapes fluctuate and is usually higher than playback mode.

iii. Reel-to-reel tapes shall be stored tails out, so that the end of the tape will be on the outside of the tape.

iv. To relieve tension built up in tapes held in long-term storage, tapes shall be rewound at playback speed annually. Rewinding is especially advisable for old tapes.

6. Ambient atmospheric conditions in the storage of tapes are more critical for audiotapes than for many other magnetic media. Tapes shall be stored at 15.6 to 21.1 degrees Celsius (60 to 70 degrees Fahrenheit), with temperature variations of not greater than plus or minus five degrees Fahrenheit, and relative humidity (RH) of 30 to 40 percent.

i. Low relative humidity shall be maintained to protect against fungus growth on tapes, particularly tapes that have been spliced. Growth takes place at spliced sites.

ii. If tapes are transferred from an air conditioned storage area to a normal office or reference area, they shall be given 24 hours to acclimate to the new environment before use.

iii. Tape storage areas shall be kept free of dust and other contaminants.

iv. Creation of changing stress in audiotapes by thermal and hydroscopic cycling will result in print-through, deterioration of sonic content, and changes in timing, as well as loss of oxide coating.

7. Accidental exposure of audiotapes to magnetic fields, especially tapes in long-term storage, may cause erasure of recordings.

i. Tapes shall not be stored on metal shelving or in metal storage equipment or enclosures.

8. Tapes shall be stored in polyethylene bags or their plastic boxes may be retained for storage. Cassette tapes without containers shall be provided with new boxes.

9. Tapes shall be stored vertically on shelves to minimize distortion of the tape.

10. Audiotape equipment shall receive periodic maintenance to minimize possible damage to tapes and maximize playback quality. Major areas of maintenance include:

i. Cleaning magnetic heads, capstan, pinch rollers, tape guides and lifters, scape and flutter filters, and tape tension arms;

ii. Demagnetization of tape heads, as well as other metal parts tape contacts;

iii. Replacement of pinch rollers; and

iv. Maintenance operations normally performed by technical personnel, including:

(1) Alignment of magnetic heads;

(2) Adjustment of tape tension;

(3) Replacement of worn heads; and

(4) Adjustment of bias and equalization.

N.J. Admin. Code § 15:3-6.5

Amended by 49 N.J.R. 770(c), effective 4/17/2017