(a) This section
prescribes policies and procedures for establishing a program for the
identification and protection of vital records, those records needed by State
agencies and authorities or its political subdivisions for continuity of
operations before, during, and after emergencies, and those records needed to
protect the legal and financial rights of State or local government and persons
affected by State or local government activities. The records may be maintained
on a variety of media including paper, magnetic tape or disk, photographic
film, and microfilm. The management of vital records is part of an agency's
continuity of operations plan designed to meet emergency management
responsibilities.
(b) Heads of
State and local government agencies and authorities and/or their governing
bodies are responsible for establishment and maintenance of a vital records
program for the records of their agency, as defined in P.L. 1953, c.410 §
2 as amended by P.L. 1994, c.140, § 3 (
N.J.S.A. 47:3-16), pursuant to provisions of the
following State statute and rules:
1.P.L.
1953, c.410, "Destruction of Public Records Law (1953)," as amended by P.L.
1994, c.140 (N.J.S.A. 47:3-15 et
seq.);
2.
N.J.A.C.
15:3-2.2(a), concerning
procedures for requesting routine and special authorization for disposal of
records; and
3.
N.J.A.C.
15:3-4.4(d) and 5.5,
concerning disaster planning and recovery.
(c) The words and phrases used in this
section shall have the standard meaning in records management terminology as
defined in
N.J.A.C.
15:3-1.2, except the following words and
phrases, which apply to this section and shall have the designated meanings,
unless the context clearly indicates otherwise:
"Contingency planning" means instituting policies and
procedures to mitigate the effects of potential emergencies or disasters on an
agency's operations and records. Contingency planning is part of the continuity
of operations planning.
"Cycle" means the periodic removal of obsolete copies of
vital records and their replacement with copies of current vital records, which
may occur daily, weekly, quarterly, annually or at other designated
intervals.
"Disaster" means:
1.
Any natural or man-made catastrophe, including any hurricane, tornado, storm,
high water, wind driven water, tidal wave, tsunami, earthquake, volcanic
eruption, landslide, mudslide, snowstorm, fire, explosion, or other
catastrophe, caused by adverse or unusual weather conditions or human activity,
that results in destruction of life or property; or
2. Pursuant to 44 CFR
9206.2(17), any fire,
flood, explosion, or other catastrophe which in the determination of the
President of the United States causes damage of sufficient severity and
magnitude to warrant major disaster assistance in order to supplement the
efforts and available resources of states, local governments, and disaster
relief organizations in alleviating the damage, loss, hardship, or suffering
caused thereby.
"Emergency" means a situation or an occurrence of a serious
nature, developing suddenly and unexpectedly, and demanding immediate action.
This is generally of short duration, for example, an interruption of normal
agency operations for a week or less. It may involve electrical failure or
minor flooding caused by broken pipes.
"Emergency destruction" means eliminating records under
abnormal circumstances, as provided by law or regulations. These circumstances
involve a state of emergency or disaster and also a continuing menace to life,
health, or property.
"Emergency operating records" means that type of vital
records essential to the continued functioning or reconstitution of an
organization during and after an emergency. Included are emergency plans and
directive(s), orders of succession, delegations of authority, staffing
assignments, selected program records needed to continue the most critical
agency operations, as well as related policy or procedural records that assist
agency staff in conducting operations under emergency conditions and for
resuming normal operations after an emergency.
"Legal financial rights records" means that type of vital
records essential to the resumption or continuation of operations: the
re-creation of the legal or financial status of an agency and the fulfillment
of obligations to the public. Although only three to five percent of an
agency's records are vital, there could be a liability situation if these
records are lost, stolen, or destroyed. Examples include the current, regular
updated information needed for daily activities such as: accounts receivable,
master personnel listings, irreplaceable research or development data, original
signed copies of major contracts or agreements, insurance policy information,
municipal standing executive orders, and municipal ordinances and resolutions.
These records were formerly defined as "rights-and-interests" records.
"National security emergency" means any occurrence, including
national disaster, military attack, technological emergency, or other
emergency, that seriously degrades or threatens the national security of the
United States, as defined in Executive Order No. 12656, "Assignment of
Emergency Preparedness Responsibilities."
"Records disaster prevention and recovery program" means a
written and approved plan detailing how records will be handled in a disaster
prior, during, and after in the recovery stage. Also includes interim operating
procedures.
"Vital records" means records essential to the continued
functioning or reconstitution of the State or local government during and after
an emergency or disaster and also those records essential to protecting the
rights and interests of the State or local government and of the individuals
directly affected by its activities. Sometimes called essential records, they
include both emergency operating and legal and financial rights records. Vital
records considerations are part of an agency's records disaster prevention and
recovery program.
"Vital records program" means the policies, plans, and
procedures developed and implemented and the resources needed to identify, use,
and protect the essential records needed to meet operational responsibilities
under State or local government emergencies or other emergency or disaster
conditions or to protect its rights to those of its citizens. This is a program
element of an agency's emergency management function.
"Vital records schedule" means a detailed list identifying
the vital records, their location, protection instructions, and method of
protection in case the records were lost during an emergency or
disaster.
(d)
The vital records program is conducted to identify and protect those records
that specify how an agency will operate in case of emergency or disaster, those
records vital to the continued operations of the agency during and after an
emergency or disaster, and records needed to protect the legal and financial
rights of the State or local government and of the persons affected by its
actions. An agency identifies vital records in the course of contingency
planning activities carried out in the context of the emergency management
function. In carrying out the vital records program agencies shall:
1. Specify agency staff
responsibilities;
2. Ensure that
all concerned staff are appropriately informed about vital records;
3. Ensure that the designation of vital
records is current and complete; and
4. Ensure that vital records and copies of
vital records are adequately protected, accessible, and immediately
usable.
(e) Vital
records include emergency plans and related records that specify how an agency
is to respond to an emergency as well as those records that would be needed to
continue operations and protect legal and financial rights. Agencies should
consider the informational content of records series and electronic records
systems when identifying vital records. Only the most recent and complete
source of the vital information needs to be treated as vital records.
(f) Agencies shall ensure that retrieval
procedures for vital records require only routine effort to locate needed
information, especially since individuals unfamiliar with the records may need
to use them during an emergency or disaster. Agencies also shall ensure that
all equipment needed to read vital records or copies of vital records will be
available in case of emergency or disaster. For electronic records systems,
agencies also shall ensure that system documentation adequate to operate the
system and access the records will be available in case of emergency or
disaster.
(g) Agencies shall take
appropriate measures to ensure the survival of the vital records or copies of
vital records in case of emergency or disaster. In the case of electronic
records, this requirement is met if the information needed in the event of
emergency or disaster is available in a copy made for general security
purposes, even when the copy contains other information.
(h) The following pertain to duplication of
vital records:
1. Computer backup tapes
created in the normal course of system maintenance or other electronic copies
that may be routinely created in the normal course of business may be used as
the vital record copy.
2. For
original paper records, agencies may choose to make digital images or microform
copies. Standards for the creation, preservation and use of microforms are
found in N.J.A.C. 15:3-3 as established pursuant to the provisions of
N.J.S.A. 47:3-26 et al. as amended. Standards for the
creation, use and preservation of digital images for public records are found
in N.J.A.C. 15:3-4, Image Processing of Public Records, and in N.J.A.C. 15:3-5,
Certification of Image Processing, as established pursuant to the provisions of
P.L. 1994, c.140 (N.J.S.A. 47:3-26 et al. as
amended).
(i) The
following pertain to storage of vital records:
1. When agencies choose duplication as a
protection method, the copy of the vital record stored off-site is normally a
duplicate of the original record. Designating and using duplicate copies of
original records as vital records facilitates destruction or deletion of
obsolete duplicates when replaced by updated copies, whereas original vital
records must be retained for the period specified in agency records disposition
schedule.
2. The agency may store
the original records off-site if protection of original signatures is
necessary, or if it does not need to keep the original record at its normal
place of business.
3. Any facility
used for off-site storage of vital records by State or local governments shall
meet standards established for storage of public records per N.J.A.C. 15:3-6,
Storage of Public Records.
(j) Agencies need to consider several factors
when deciding where to store copies of vital records, including:
1. Copies of emergency operating vital
records need to be accessible in a very short period of time for use in the
event of an emergency or disaster. Copies of legal and financial rights records
may not be needed as quickly. In deciding where to store vital records copies,
agencies shall treat records that have the properties of both categories, that
is, emergency operating and legal and financial rights records, as emergency
operating records.
2. Under certain
circumstances, the State Records Storage Center and local government records
storage centers may store copies of emergency operating and legal and financial
rights records.
i. The State Records Storage
Center and local government records storage centers can store small volumes of
such records, but may not be able to provide storage for large collections or
ones requiring constant recycling of the vital records, except under
reimbursable agreement.
ii.
Whenever State agency vital records are semicurrent, they are eligible for
storage at the State Records Storage Center, provided that they meet all other
storage criteria. However, many State agency vital records are active records,
and therefore may not be stored at the State Records Storage Center. Other
storage facilities, such as a commercial records center, should be sought for
such records. (See definition of "semicurrent" in
N.J.A.C.
15:3-1.2)
iii. County and municipal agencies should
contact their local records storage center or commercial records center for
their storage criteria for vital records.
iv. Any commercial records storage facility
contracting with State or local government for the storage and maintenance of
vital records, regardless of their established retention schedules, must be in
compliance with and operate according to the standards established for
long-term or permanent records in N.J.A.C. 15:3-6, Storage of Public
Records.
3. When using
the State Records Storage Center for storing semicurrent vital records that are
duplicate copies of original records, the agency must specify on the "Records
Transfer Request" form that they are vital records (duplicate copies) and the
medium on which they are maintained. The agency shall also periodically cycle
(update) them by removing obsolete items and replacing them with the most
recent version, when necessary. County and municipal agencies should contact
their local records storage center for specific information about their
policies and procedures.
4.
Original vital records transferred by State agencies into the physical and
legal custody of the State Archives become the permanent legal responsibility
of the Archives; this transfer of legal custody is a major distinction between
the services provided by the State Archives and the State Records Storage
Center. In the State Records Storage Center, only physical custody passes from
the agency of origin; legal ownership is not affected; the agency may request
the return of its records at any time and it alone controls access to those
records.
5. The transfer of records
from any public agency and accession of them into the State Archives shall be
documented in anAccession Record, including signed forms and other
documentation assigningphysical custody and legal ownership of all rights to
the State Archives. County and municipal agencies should contact their local
archives for specificinformation about their accession policies and
procedures.
(k) The
following pertain to disposition of original vital records:
1. The disposition of original vital records
is governed by State records retention schedules approved by the State Records
Committee.
2. Retention schedules
summarize information about individual record series and designate minimum
lengths of time records must be held in active, semiactive or inactive storage.
Retention schedules also designate when and how a record may be
disposed.
3. A timely and
consistent records disposition result in increases in safety and efficiency and
decreases in recordkeeping expenses. Use of the Statewide disposal
authorization process helps to eliminate inconsistent records destruction,
thereby minimizing the likelihood of adverse legal, administrative, fiscal, and
historical impact.
4. Retention
schedules for copies of records, other than original records, created and
maintained for the sole purpose of providing duplicate copies of records for a
vital records program may, in some cases, have a separate retention period
established by the State Records Committee, if applicable.
5. Emergency destruction of records, when
determined to be necessary by the State Records Committee, shall be authorized
by the same pursuant to P.L. 1953, c.410, § 2, "Destruction of Public
Records Law (1953)" as amended by P.L. 1994, c.140, § 3 (
N.J.S.A. 47:3-15 et al.), and
N.J.A.C.
15:3-2.2(a).
