N.J. Admin. Code § 15:3-5.4

Current through Register Vol. 56, No. 24, December 18, 2024

Section 15:3-5.4 - Responsibilities of the Division

(a) Pursuant to the provisions of section 6 of P.L. 1994, c. 140, N.J.S.A. 47:1-12, the Division, with the approval of the State Records Committee, shall register image processing systems as compliant with established standards, rules, and procedures for such systems for the keeping of public records.

(b) The Division shall create and maintain an automated, direct access image processing system registration service to be used by agencies employing image processing systems for keeping public records to review systems maintenance, operation, and administration; backup, disaster recovery, and data migration procedures; and compliance with other rules for image processing. Said image processing registration service shall be used to evaluate such systems, document their status, record such information as may be required by the Division, and as set forth in this subchapter, indicate the extent to which the systems may be used to manage the life-cycles of the records they contain. The service shall include an initial registration application and annual review form.

(c) The Division shall maintain an Internet-accessible database of all registered image processing systems that, based on information reported to the Division, indicates four registry status conditions: Pending/Under Review, Active/Compliant, Inactive, and Non-compliant.

1. Pending/Under Review status indicates that the agency has submitted an original system registration application to the Division for review. Agencies may store electronic versions of any public record on a system pending review, but may not use approved records schedules to dispose of the original records involved until the status changes to Active/Compliant.

2. Active/Compliant status indicates the Division's approval of the system's use. Agencies may store electronic versions of any public record on an Active/Compliant system and make use of approved records schedules to dispose of the original records as applicable. All systems granted certification as of June 15, 2015, shall be classified as Active/Compliant.

3. Inactive status indicates the agency has not kept its registration records up to date by submitting the required annual review form. Agencies may store electronic versions of any public record on an inactive system, but may not use approved records schedules to dispose of the original records involved from the date the system registry status changed to Inactive. Agencies may submit updated annual reports to the Division at any time to bring an Inactive system back to Active/Compliant status.

4. Non-compliant status indicates that the system fails to meet State standards. Agencies may not store electronic versions of any public record on a Non-compliant system and may not use approved records schedules to dispose of the original records involved from the date the system registry status reflects that the system is non-compliant.

(d) For annual reviews, the Division shall provide each agency with 60 days advance notice of the review due date. The Division shall acknowledge receipt of all reports and supporting material and shall review the reports.

1. Unless the Division issues a written opinion that documents substantial non-compliance with the rules promulgated for image processing systems, the annual review suffices for the continued Active/Compliant registration of the agency's system.

2. The Division must produce a written opinion regarding non-compliance, if applicable, within 23 days of receipt of the complete annual report from the public agency. The Division shall send the opinion to the agency and the State Records Committee. Procedures for non-compliant systems are set forth in (e) below.

3. If an agency fails to submit an annual report for a system as indicated in this subsection, the Division will change the registry status of the system to Inactive. The system will remain in Inactive status until the agency submits an updated annual report to the Division.

(e) Non-compliance. If the Division determines that an image processing system fails to comply with applicable rules, it shall state in its written opinion how the system and operational procedures are not in compliance and provide recommendations relative to the changes needed to achieve compliance as required by N.J.A.C. 15:3-4.7(e).

1. Subsequent to issuing its written opinion, the Division shall change the registry status of the system to Non-compliant.

2. The agency may take the recommended actions to change its system and submit an updated report or application to the Division and the Division may accept the changes as sufficient or make further recommendations for remedial actions.

3. The Division shall change the registry status of the system to Active as soon as it receives a report from the agency indicating that its system is in compliance with State standards.

(f) For initial applications, the Division shall acknowledge the receipt of the initial registration application and supporting documentation submitted by the public agency.

1. Unless the Division issues a written opinion that documents non-compliance with the rules promulgated for image processing systems, the original application suffices for registering the agency's system as Active/Compliant.

2. The Division must produce a written opinion regarding non-compliance, if applicable, within 23 days of receipt of the completed original application from the public agency. The Division shall send the opinion to the agency. Procedures for Non-compliant systems are set forth in (e) above.

(g) The Division may, as staffing levels permit, provide training and other records and information management support services to government agencies to assist in the planning, implementation, and maintenance of image processing systems used for keeping public records, including implementation of the provisions of this section; serve as a repository for information concerning State, national, and international standards, procedures, and guidelines for image processing systems; produce, publish, and distribute technical bulletins, guidelines, and other publications to implement and explain established standards, procedures, and rules for image processing systems; and revise and reissue the same as warranted by advances in technology, issuance of new national and international standards, or other relevant events.

N.J. Admin. Code § 15:3-5.4

Amended by47 N.J.R. 1345(b), Effective 6/15/2015

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