1a.) For the past twenty four years the Rockland County Archives has made a major records management commitment to preservation microfilming. Millions of vital and historical records have been filmed. These collections include all court records from (1798 – 1900), a majority of all deeds and mortgages, tax and assessment books (1860 – present) and thousands of subdivision and highway maps. Having these records on microfilm ensures that these invaluable documents are preserved. All original silver halide microfilm is stored at IronMountain, a secure facility that meets all industry standards for microfilm storage. Although microfilm will continue to maintain a central role in our preservation efforts, the need for imaging and document management for ease of retrieval and access has become increasingly critical for a vital records management program. A 2007-2008 LGRMIF Grant has allowed us to proceed in this direction through the scanning of film of frequently accessed collections, such as Military Discharges (1920-1995), Incorporation Certificates (1845-1966) and Naturalization Papers (1812-1991). Additionally, a 2008-2009 LGRMIF Grant extended the digitizing of Incorporation Certificates (1967-1982).
To continue our goal of reducing staff access/retrieval time and patron/department wait time we have selected two records series for inclusion in our 2011-2012 LGRMIF document-imaging application. These are: Incorporation Certificates (1982-1997) and Assumed Business Name Certificate (Business Certificates) (1897-1997). The Rockland County Clerk appraised this series and determined that it has vital and archival value and has decided to retain this series permanently. (CO-2 Records Retention and Disposition Schedule for Counties lists Item# 182A as 6 years after discontinuance. Since these records have intrinsic historical value and it is extremely difficult to track a discontinuance we consider this a permanent collection). This project that would complete the digitizing of both collections. In addition, previously digitized Incorporation Certificates (1932-1982) would be both indexed and attached to the Rockland County Clerk’s website.
Incorporation certificate and business certificate records are frequently requested collections that when scanned and uploaded to the existing CountyClerk server will improve service to the general public and researchers by allowing internet access, while saving valuable staff time in searches and retrievals. Current problems with these records series are described below:
Incorporations and Business Certificates (for years 1982-1997)
Film Only Format
Prior to 1998, incorporation and business certificate indexes from 1982 to 1997 can only be searched online - the documents themselves have to be accessed through film. Unfortunately, these certificates are only available on 16mm (3M cartridge) and viewing or reproducing these documents is time consuming and complicated. The film is the only available format for searching these permanent incorporation and business certificates. All hard copies of these records have been previously destroyed. The original silver halide film is stored at IronMountain, an off-site secure facility. Maintaining microfilm reader/printers at the CountyClerk’s office has become costly and requires exceedingly more service. Although 16mm film is a good preservation solution for long term storage of permanent documents, retrieval and access has become problematic.
Retrieval Issues
The time needed to access and retrieve documents for our search room staff has become a major concern. The steps in the retrieval of an incorporation or business certificate (1982-1997) is outlined below:
- Clerk receives incorporation request information from patron/department and uses Cott System Index to search for proper certificate number information. (3 minutes)
- Clerk looks for appropriate 16mm 3M cartridge containing the requested certificate (3 minutes)
- Clerk loads reader printer and scans through film to find matching information to incorporation. (5 minutes)
- Clerk then prints each page (approx 4-5 per incorporation), adjusting to ensure print quality (focus, image rotation, exposure, etc.). (4 minutes)
- Prints are then certified and given to appropriate patron or department. (3 minutes)
- However, if film fails to provide suitable print – clerk will call reproduction department to use a different reader printer to make a possible better copy. (additional 10 minutes if necessary)
If these incorporations were available in a digital image format and uploaded to the existing Cott System index, steps 2 through 4 are eliminated, saving 12 minutes per search. In addition, step 6 would not occur, saving another possible 10 minutes of search time for clerks to spend performing other necessary duties.
These records have permanent retention value and possess high retrieval activity. We consider this project a high priority in that it would save 156 hours of staff retrieval time (see intended results) while reducing significant department and patron delays.
Incorporation Certificates (for years 1932-1982)
Digitized Records With No Online Index Or Internet Access
Through a 2007-2008 and a 2008-2009 LGRMIF grant, the Rockland County Clerk’s office was able to digitize approximately 150,000 images of incorporation records spanning the years of 1932 to 1982. These records are indexed on a Microsoft (MS) Access database and are available only to Rockland County Archive staff - they are not indexed on the County Clerk’s online indexing system and public has no online access to these records. Currently, a clerk must first look up appropriate name in the Access database, find the appropriate CD and find the certificate to print. If the indexes from the Access database were converted to the Clerk’s Cott indexing system along with the corresponding and the images, the public would be able to view and print these records from home.
Business Certificates (for years 1897-1997)
Hard Copy Is The Only Format
Business certificates from 1897 to 1982 have never been filmed nor scanned. They reside only on paper at the Rockland County Archives. This puts the collection in jeopardy in the event of fire or other disaster. Also, handling of the paper to make copies is quickly deteriorating these one-of-a-kind records. If documents are scanned and microfilmed, these records would be preserved and made easily available to staff.
1b.) RocklandCounty Incorporation/Business Certificates (1982-1997)
In the years 1982-1997 business certificates and incorporations were merged into one indexing system starting with certificate #1 to #60,841. For this period of time, these records are only available to the public and staff on 16mm microfilm at the CountyClerk’s Office search room. After 1997, all business certificates and incorporations were moved into our land record system and are scanned, filmed and accessible online. These documents highlight corporation members and business owners and describe the nature of business being conducted. The certificates also include information about assumed names and includes any amendments and dissolutions.
Currently incorporations and business certificates from 1998 to present have been imaged and are attached to the CountyClerk’s Cott System index. This serves to make indexing information and images available both to CountyClerk staff via internal server and the public by internet server. Searching and viewing incorporation records for these years is quick and seamless. Through the 2011/2012 LGRMIF grant we are proposing to digitize 224,000 incorporation/business from 1982-1997 that reside on 16mm film in order to continue improvements to accessing these important documents. The Cott System currently contains index information for these years and the images need only to be downloaded and attached to the appropriate index to be fully functional. The images cover 60,841 individual indexes and will be digitized from 28 rolls of 215’ 16mm film. This film has already been 100% verified by staff and can be used to effectively obtain digital images.
Incorporation Certificates (1932-1982)
Incorporation certificates from 1932 to 1982 have been digitized through previous LGRMIF grants as stated above. These images have made access to this collection easier for staff to retrieve via DVD and internal server, however, the public still does not have direct internet access to these documents. The collection consists of approximately 150,000 images that covers 29,001 individual certificates. These certificates are indexed only within a Microsoft Access database which staff uses as a finding aid. We hope to have the Access database converted for use onto the Cott Indexing System and then have these images uploaded to it so the public may have home access to these documents.
Business Certificates (1897-1982)
Rockland County Business Certificates (1897 – 1982) is a frequently requested collection, which is accessed by patrons for both genealogical and legal reasons. It is comprised of 25 boxes (1 cu. ft. ea.) of original paper documents. There are approximately 2,500 pages per box, with 20% being double sided, totaling 3,000 images. There has never been a LGRMIF grant associated with this collection. We are proposing to digitize and microfilm the 75,000 images in order to halt unwanted access to original documents as well as make retrieval much quicker for staff and public alike.
1c.) Rockland County, located 30 miles northwest of New York City, maintains a diverse suburban population of 300,173 residents. Given the closeness to New York City and Westchester County the cost of living in Rockland is substantially higher than the state average. The county tax base is supported predominantly by homeowners and small to moderate size businesses. Without a large corporate tax base to draw upon, county officials have had to control spending for capital projects and government expenditures.
A 25% reduction in the 2011 archives operating budget will be a serious strain on our records management and preservation projects. Outside funding in the way of grants to maintain and improve access and retrieval of our valuable collections is critical.
Without LGRMIF assistance this extremely worthy and cost effective project could not be carried out.
2a) There are many positive results that we hope to achieve through imaging of incorporation and business certificates.
These are:
Reduction In File Retrieval Time
One major benefit is the reduction of staff hours devoted to records retrieval. The results show:
Staff Time Savings
SeriesTime Saved(ea.)*Total Saved
Incorporations/Business Certs 12 minutes180 Minutes
Total Savings Per Week:180 Minutes or 3 Hours
Total Savings Per Year:156 Hours
* Based on 15 retrievals per week
We anticipate a reduction of 156 hours of file retrieval staff time. That is equal to six and one half fulltime weeks. This reduction in time allows us to concentrate on other significant projects essential to records management.
Reduction In Department/Patron Wait Time
Imaging will create a reduction in wait time for county departments, business organizations and the public, through quick access of documents. A department will be able to make a request and receive it within a couple of minutes. Requesting departments can help their patrons or their own needs in real time. Presently, patrons must wait or come back to receive their requests. If we have the ability to access records quickly and the capability to email them, the wait time is cut substantially.
Imaging Merged Into Cott System Servers
Incorporation certificate images from 1932 to 1997, as well as, business certificates from 1982 to 1997 obtained from this grant will be incorporated into the Rockland County Clerk’s Website. This will allow the public to search, view and print these records from their homes. The website presently contains access to images of land records (1964 to present), court records (2009-2010), subdivision and highway maps (1800 to present), as well as, incorporations and business certificates (1998 to present).
Hard Copies Protected
Business certificates from 1897 to 1982 will be scanned and microfilmed, giving both the necessary quick access to documents and preserving the collection from handling of the original papers.
Summary:
The County will realize a savings of over 156 hours of retrieval time, department/patron wait time will be substantially reduced and 89,842 incorporation and business certificates will be available on the internet at The records management problem is addressed accordingly:
- Ability to retrieve images off of our computer and send as an email attachment.
- Allow us to quickly print and certify required legal documents.
- Accessing film is eliminated, the most time consuming step in retrieval.
- Ability to add images to our internet website indexing system.
- Records accessed from the internet can be viewed and printed
- Elimination of accessing hard copies
- Protection of original hardcopy documents
2b.) Rockland County has developed and established a strong records management program that has been recognized by the New York State Archives, professional organizations, genealogists and the general public. It is with this dedication and commitment that we submit a LGRMIF active records imaging and document management grant application that will allow us to improve our services to departments, researchers and the general public. As records management and technology evolves, we are in a better position to deliver fast and efficient access and retrieval to needed information. Imaging and document management will build upon existing databases and preservation microfilm that is already in place. Digital records, along with automated finding aids, will make records searching easy, useful and highly accessible.
2c.)The contributions to the public from this project and are outlined below:
-The public will gain internet access to 29,001 incorporation certificates from 1932 to 1982
-The public will have internet access to 60,841 incorporation and business certificates from 1982 to 1997
-The public will have shorter waiting periods for records at both the County Clerk’s Office and the Archives Department
-There will be more staff time devoted to the public by reducing search times for documents
3a.) The strategy for digitizing Incorporation and Business Certificates is to obtain high quality digital images in bitonal image format (Group IV Tiff) so that images can also be uploaded to the Cott Imaging System for both internal and public access via the internet. This strategy will allow timely access to certificate information for both staff and the public. This imaging project is crucial to expanding our current information that is presently online (1998 to present). In addition, we hope to preserve through microfilm business certificates spanning 1897 to 1982.
Project Phases
We submitted image and indexing specifications to three qualified imaging vendors. Vendor quotes were received from Smooth Solutions Inc. ($19,193), Alternative Micrographics Inc. ($28,270) and NanoArk Corp. (31,984). Based on these quotes we have selected Smooth Solutions to be our vendor of choice.
Project phases will be overlapped to ensure that the project will be completed within the grant cycle. The entire project from preparation, digitizing, indexing, in-house image verification, and attaching images to server will take 26 weeks - well within the grant cycle.
Phase I – Film/Disc/Document Preparation
Required in-house preparation for scanning/image uploading is as follows:
Incorporation and Business Certificates (1982-1997)
Original Incorporation/Business certificate rolls of 16mm film (28 rolls) will be requested from Iron Mountain and checked for correct roll sequence for project. Upon verifying collection, the vendor will pickup film to begin scanning.
Incorporation Certificates (1932-1982)
DVD’s of digitized images (150,000) of Incorporation certificates along with the associated MS Access database will be reviewed and then sent to Cott Systems to be uploaded to server.
Business Certificates (1897-1982)
The 25 boxes of original documents (62,500 sheets) will be prepared for scanning (62.5 in-house hours). This will include unfolding and putting the certificates in number order.
Phase II - Digitization
The incorporation/business certificate images for this project will be captured 300 dpi bitonal mode. It is important to note that bitonal Group IV TIFF image format is “loss less”, so that there would be maximum image capture without loss of details. All scanning will be done off-site at the Smooth Solutions facility.
Smooth Solutions consulted with the staff at Rockland County to estimate the number of documents/images for scanning. Please see the chart below for a listing:
Record SeriesBox QtyRoll Qty Page/Frame Qty Image Qty
Incorporation/Business----28 224,000 224,000
Certificates (1982-1997)
Business Certificates25---- 62,500 pages75,000
(1897-1982)
Smooth Solutions anticipates 10 weeks to complete the scanning of 224,000 frames of film and an additional 2 weeks to complete the scanning of 25 boxes of hard copy business certificates.
Scanning Specifications
Smooth Solutions is proposing to produce the following from each document:
1. Master files will be 1-bit bitonal Group IV TIFF images captured at 300dpi. Group IV TIFF images would be 500K per file or smaller.
- Cropping – All files will be cropped so that all edges of each document are visible in the scans as per Library of Congress standards.
- Polarity Reversing – None required.
The master TIFF files must be retained as they are considered a non-proprietary image format and can be utilized in future digital migration projects. No proprietary headers will be attached to TIFF images.
Smooth Solutions will also deliver a tab delimited text file describing the scanning method, scanning dates, compression used for Master files, and all other technical data.
Scaling – All access images will be scaled to fit within a typical computer screen.
Orientation – All images will be rotated as necessary to be ‘right reading’.
Qualitative Methods
A 100% quality assurance will be performed by Smooth Solutions on all TIFF image files. This quality assurance phase will include the evaluation of the overall quality and integrity of each image file. Any files that do not meet overall image quality requirements, will be noted, rescanned, and reinserted into the stream of existing image files.
Smooth Solutions staff must review the following when performing a standard quality control inspection:
-Each image is checked to ensure that it has a correct image filename (unique identifier) based on the file naming convention for the project, and that it has been scanned at the appropriate unenhanced dpi for image type and that they are the correct size in pixels along both dimensions, width and height.
-The file format is checked to ensure that it is correct for each image type