N.J. Admin. Code § 15:3-2.2

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

Section 15:3-2.2 - Disposal of public records

(a) Any State or local government agency desiring authorization to destroy records in its possession shall, at least 23 working days, excluding State holidays, prior to the date proposed for the destruction of the records, submit to the Division a request for such authorization in the manner and form prescribed by the Division. The following procedure will be followed by the appropriate parties in sequence in processing requests for authorization:

1. The agency shall prepare a "Request and Authorization for Records Disposal" form in quadruplicate. Copies of the form are available upon request from the Bureau of Records Management of the Division of Archives and Records Management. The agency shall send the completed form to the Division.

2. The Division of Archives and Records Management shall review the disposal request for completeness, and enter the date of authorization and the authorization number. The Division of Archives and Records Management shall approve, disapprove or amend the request for authorization, based upon established records retention schedules. If approved, the authorization shall be signed by the Director of the Division, as Secretary to the State Records Committee, or his or her designee, and, if not approved, the request shall be returned to the originating agency with an explanation of errors to be corrected.

3. The State Records Committee shall approve, disapprove or amend any request for authorization if the item is not based upon an established schedule that has been adopted by the Committee.

4. The Division of Archives and Records Management shall file and maintain the original copy of the form; return the signed copy to the agency; and, for State agencies, forward the Auditor's copy to the Office of the State Auditor, and, for local agencies, forward the Auditor's copy to the auditor designated by their governing body.

5. The requesting agency shall examine the returned copy for any changes or omissions. When destruction has been completed, return the follow-up copy to the Division with the necessary disposition information.

6. The requesting agency shall retain their copy of the completed form permanently in their files as proof of authorization of destruction of the corresponding record or records.

(b) Any public agency desiring authorization to destroy records that have been damaged due to a disaster shall submit to the Division an emergency request for such authorization in a manner and form prescribed by the Division. State and local government agencies, districts and authorities are required by law to protect their records against untimely destruction due to disasters. A vital records program can minimize the effects of a calamity by identifying those records that should be given highest priority for salvage in a disaster. The following procedure for processing emergency requests for authorization for destruction of records must be followed by the appropriate parties in the sequence below:

1. Obtain a master list of all damaged documents;

2. Apply appropriate state records retention schedules;

3. Determine whether the damaged records can be duplicated from other sources (microfilm, duplicate filings at other agencies, etc.);

4. Examine damaged documents to determine:

i. What should be saved?

(1) Salvage of vital and permanent records must be done immediately.

(2) Depending on the amount and severity of damage, damp records may be saved by air-drying, and water saturated records may be saved by freeze-drying.

(3) Contact the Division immediately for disaster assistance;

ii. What can be destroyed?

(1) Damaged records that are not vital or permanent records of the agency and whose retention period has expired, is within one year of expiration;

(2) Records that are deemed unsalvageable; and

(3) Damaged records that can be duplicated from other sources;

5. Damaged records should be reported immediately to the Division to prevent further loss of records, including onset of mold and mildew; and

6. Agencies requesting emergency destruction of such records shall follow destruction authorization procedures in (d) below.

(c) The following pertain to the audit of fiscal records of public agencies:

1. Fiscal records may not be disposed of until they have been audited, the audit approved, and the agency's auditor has approved that they are not required for future audit.

2. Any "Request and Authorization for Records Disposal" form filed pursuant to (a) above, shall be signed by the agency's designated auditor to certify that the records have been audited and the audit approved or the records are not required for future audit.

3. The designated auditor for State agencies shall be the Office of the State Auditor, and, for local agencies, the auditor designated by the agency's head or governing body.

(d) The following concern "Request and Authorization for Records Disposal" forms:

1. Purpose. The disposal request form provides a procedure, approved by the State Records Committee, by which State or local officials shall:

i. Request authorization for destruction of records in accordance with 47:3-17; and

ii. Obtain permission from the Division of Archives and Records Management for the destruction of records listed on an approved records retention schedule.

2. Preparation. This form is to be prepared in quadruplicate.

i. The form is to be forwarded to the Division of Archives and Records Management.

ii. Upon approval, the agency copy will be returned to the requesting agency, along with the follow-up copy.

iii. When destruction has been completed, destruction information shall be inserted on both the original and the follow-up copy then returned to the Division of Archives and Records Management.

3. Detailed instructions are as follows:

i. Item No. 1, Requesting Agency Name: When filling out this block, each agency shall identify itself and indicate the name of the organization unit responsible for the records. For example, this entry may read:

Health Benefits

Pensions

Department of the Treasury

TrentonNew Jersey

ii. Item No. 2, Request Date: Each agency shall indicate the date upon which the form is submitted.

iii. Item No. 3, Request By: Signature and title of the official primarily concerned with the record.

iv. Item No. 4, Request Approved By: Signature and title of officer approving the request, which shall be the head of the agency or one officially designated by him or her. Such person shall not be the same person affixing his or her signature in Item No. 3.

v. Item No. 5, Series Number: In this column, numbers appearing on established records retention schedules shall be inserted. In cases where records have no established schedule number, contact the Division of Archives and Records Management for guidance.

vi. Item No. 6, Record Series Title: In this column, the titles and descriptions appearing on established records retention schedules shall be inserted. In cases where items are not on an established schedule, the entry shall explain in some detail the title and function of the record so that no misunderstanding may arise regarding the record itself or its use.

vii. Item No. 7, Inclusive Dates: This column shall include the date span for each series of records listed, by month and year.

viii. Item No. 8, Retention Period: The retention period shall be the same as that contained in an established records retention schedule. In cases where items are not on a schedule, the requesting official shall contact the Division of Archives and Records Management for assistance in establishing a schedule.

ix. Item No. 9, Volume: Volume shall be measured in cubic feet bearing in mind that one file drawer, either letter or legal size is equal to two cubic feet. Fractions shall be rounded-off. Do not use a measurement of less than one cubic foot.

x. Item No. 10, Audit Verification: The Office of the State Auditor shall complete this section.

xi. Item No. 11, Authorization: Formal approval by the Division of Archives and Records Management. No entry shall be made in this section except by the Division, which shall assign an authorization number and date of approval.

xii. Item No. 12, Disposition: The disposition action shall state the date, method of disposal, and signature of the approving officer.

(e) Requests for disposal of records must be submitted on the appropriate multi-part "Request and Authorization for Records Disposal" form. Copies of "Request and Authorization for Records Disposal" forms are available from the Division of Archives and Records Management at the following address:

Department of State

Division of Archives and Records Management

PO Box 307

Trenton, New Jersey 08625-0307

(f) The following pertain to the physical destruction of public records:

1. Any State or local government agency, having received authorization for the disposal of public records, shall dispose of said records in a secure manner so as to prevent violation of the privacy or confidentiality of any information contained in the same pursuant to the provisions of the Open Public Records Act, P.L. 2001, c. 404 (47:1A-1 through 13).

2. The State Records Committee may require, as a part of the retention schedule of certain records series, destruction of such records by shredding and/or certified destruction. When a State or local government agency has received authorization for destruction of public records, such records must be destroyed in fact and must not be allowed to fall into unauthorized hands.

3. Public records that do not contain private or confidential information may be recycled, provided the records are processed in a timely and secure manner, so as to destroy their identity.

4. Public records required to be shredded must be shredded, chipped or pulped so that the information contained therein cannot be read or reconstructed.

5. Public records that contain private or confidential information shall require destruction by burning, shredding, chipping, or pulping. A responsible official or their designee shall supervise the disposal of confidential records and if the records have to be transported to a destruction site the official or their designee shall be present at the time of destruction of such records to observe and verify that they are in fact totally destroyed according to the standards established in this subsection.

6. Public records of a State or local government agency requiring certified destruction according to retention schedules established by the State Records Committee or by rules or regulations promulgated by the agency or some other authority must be burned, shredded, chipped or pulped, so that the information contained therein cannot be read or reconstructed. The process must be observed by a person designated by the agency who shall attest that the records have been totally destroyed according to the standards established in this subsection and shall sign a certificate verifying the time, location, and the identity of the records destroyed.

7. Documentation of secure destruction of confidential records shall be filed and maintained with the related "Request and Authorization for Records Disposal" form by the agency.

(g) The following pertain to revenues from the sale of wastepaper and records for recycling:

1. All revenues obtained from the sale of wastepaper of State agencies, or public records sold for recycling pursuant to the provisions in (f)2 above, must be made payable to the General Fund of the State Treasurer.

2. All revenues obtained from the sale of wastepaper of a local government agency, or records sold for recycling pursuant to the provisions in (f)2 above, must be made payable to the appropriate fund as designated by their governing body.

(h) The following pertain to the disposition of permanent or archival records of State and local government agencies:

1. Records in the custody of State agencies designated by the State Records Committee as permanent or archival records shall be transferred to the State Archives in the Division of Archives and Records Management for permanent preservation in accordance with the procedures in 15:3-2.4.

2. Any record of a county, municipality, district, authority or other local government agency designated as a permanent or archival record per the retention schedule established by the State Records Committee shall be maintained permanently by the agency in a secure and environment-controlled facility in accordance to the State standards for storage of public records pursuant to the provisions of N.J.A.C. 15:3-6 or the agency shall otherwise provide for the permanent preservation of such records pursuant to the provisions in (h)3 and 4 below.

3. Upon approval by the Director of the Division of Archives and Records Management, or his or her representative in the State Archives pursuant to the provisions of 15:3-2.4(b), physical and legal custody of archival or permanent records of local government agencies may be legally transferred to the Division of Archives and Records Management for permanent preservation pursuant to the provisions in P.L. 1920, c. 46 (47:2-3 through 8).

4. Physical custody of any record of a State agency or county, municipality, district authority or other local government agency designated as a permanent or archival record in the retention schedule established by the State Records Committee may not be transferred to a historical society, academic institution, or other organization or such records may not held by such an organization or institution unless and until a Depository Agreement is created and agreed upon between the two parties with approval of the Division of Archives and Records Management as the third party of the agreement, based on compliance with the provisions in this section and P.L. 1920, c. 46 (47:2-3 through 8).

i. A Depository Agreement shall require that the receiving organization or institution shall assume responsibility for the physical security and maintenance of said records, but the local government agency shall retain legal custody and ownership of the records.

ii. The depository must provide maintenance and safe and secure storage for any public records in their care in accordance to the State standards for storage of public records pursuant to the provisions of N.J.A.C. 15:3-6.

iii. A Depository Agreement shall include a complete inventory of all records deposited by the agency and a complete inventory of any and all future deposits shall be added to the agreement.

iv. The Division of Archives and Records Management shall create and provide a standard form for Depository Agreements. All Depository Agreements must be approved by the Director of the Division of Archives and Records Management, as the Secretary of the State Records Committee. The request for such approval, along with a copy of the proposed Depository Agreement shall be filed with the Director of the Division of Archives and Records Management, as the chair of the State Records Committee, at the following address:

Director

Division of Archives and Records Management

P.O. Box 307

Trenton, NJ 08625-0307

v. Local government agencies shall transfer a copy of all approved and completed Depository Agreements to the State Archives, where a file of such Depository Agreements shall be maintained and available for public access. Copies of approved and completed Depository Agreements should be mailed to the following address:

Deputy Director for Archives

Division of Archives and Records Management

P.O. Box 307

Trenton, NJ 08625-0307

Delivery: 225 West State Street, 2nd Floor, Trenton, NJ 08608

vi. Pursuant to the provisions of Section 3 and 5 of P.L. 1920, c. 40 (47:2-4 and 5) and Section 13 of P.L. 1953, c. 410 (47:3-27) , the Director of the Division of Archives and Records Management may, for just cause pursuant to the provisions of a Depository Agreement, as established in (h)4i through iii above, cancel a Depository Agreement for any public record or records of a State or local government agency and may take such action as he or she may deem necessary to insure the preservation of public records.

N.J. Admin. Code § 15:3-2.2

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