N.J. Admin. Code § 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.
Notes
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