15:3-2.1 Retention and Disposition of Public Records

(a) Authorization for the destruction of public records. The following pertain to authorization for destruction of public records, under the Destruction of Public Records Law, N.J.S. 47:3-15 through 32:

1. Pursuant to P.L. 1994, c.140, § 9 (N.J.S. 47:1-14), no official responsible for maintaining public records or the custodian thereof shall destroy, obliterate or dispose of any paper, document, instrument, or index which shall have been recorded, filed, registered or indexed except as specifically permitted by law; furthermore, no law, statute or regulation shall be construed to permit the destruction, obliteration or disposal of any such records by implication.

2. No State or local government agency shall destroy, sell or otherwise dispose of any public records, archives or printed public documents which are under its control or in its care or custody, whether or not they are in current use, without having first secured from the Division authorization to do so in accordance with the provisions of Destruction of Public Records Law.

3. Each State or local government agency shall secure from the Division in the manner and form prescribed by it per N.J.A.C. 15:3-2.2(a), authorization to destroy or otherwise dispose of those records in its possession which are considered by it to have no further administrative, legal, fiscal or historical value sufficient to warrant their continued retention.

4. Pursuant to the provisions of the Destruction of Public Records Law at N.J.S. 47:3-22, no public official, State or local government agency shall be held liable in any manner, civil or criminal, because of the destruction of public records if such records are destroyed according to the to the procedures established under this rule.

(b) The State Records Committee. The State Records Committee, composed of the State Treasurer, the Attorney General, the State Auditor, the Director of the Division of Local Government Services in the Department of Community Affairs, and the Director of the Division of Archives and Records Management, or their designated representatives, as established under P.L. 1953, c.410, § 6 (N.J.S. 47:3-20), must approve retention schedules, review requests for disposal of public records, certify image processing systems, and approve standards, rules and regulations pertaining to public records.

(c) Certification, authorization and assistance. The following pertain to certification, authorization and assistance provided by the Bureau of Records Management:

1. Any proposed records retention schedule must receive the approval of the Chief of the Bureau of Records Management or the Supervisor of Records and Forms Analysis before it is submitted to the State Records Committee for adoption.

2. Any image processing system established and maintained for the creation and/or management of public records in a State or local government agency must receive the approval of the Chief of the Bureau of Records Management and the Chief of the Bureau of Micrographics and Alternative Records Storage or the Supervisor of Micrographics and Imaging Services, pursuant to the provisions of P.L. 1994, c.140, and N.J.A.C 15:3-4, Image Processing of Public Records, and N.J.A.C. 15:3-5, Certification of Image Processing Systems, before the system can be submitted for certification by the State Records Committee.

3. Any agency requesting authorization for destruction of public records must submit a completed "Request and Authorization for Records Disposal" form per N.J.A.C 15:3-2.2 to the Supervisor of Records and Forms Analysis or his or her designee for approval before any such records may be destroyed.

4. Pursuant to the provisions of P.L. 1920, c.46 (N.J.S. 47:2-3 et seq.), P.L. 1953, c.410 (N.J.S. 47:3-26 et al.), and P.L. 1994, c.140 (N.J.S. 47:3-26 as amended), the Bureau of Records Management shall research, develop and, upon approval by the State Records Committee, promulgate standards, procedures and guidelines for the creation, management, and preservation of public records for State and local government agencies and shall promote and provide training and assistance for the implementation of the same.

(d) Disposal of public records. The following pertain to records retention schedules and the disposal of public records:

1. The Division shall issue no authorization for destruction of public records to an agency unless a records retention schedule has been prepared and approved for that particular agency or department.

2. Any agency requesting authorization for destruction of public records must receive notification of the approval of the Supervisor of Records and Forms Analysis or his or her designee, if said request conforms to a records retention schedule established by the State Records Committee, before such records may be destroyed. The Division shall report all authorizations for destruction of public records to the State Records Committee at each regularly scheduled meeting of the committee. Such reports shall become part of the records maintained in perpetuity for the said committee.

3. Per the procedures established under N.J.A.C. 15:3-2.2(b), the State Records Committee may, upon recommendation of the Division, grant special authorization for disposal of public records damaged or destroyed in a fire, flood, or other natural or man-made disaster that have not passed the approved records retention period, if the Division determines that other copies of the records exist, the records can be reconstituted from other sources, or the records cannot be restored or recovered due to the damage they have received.

(e) Retention schedules. Record retention schedules provide a uniform, effective and systematic control on recordskeeping and destruction. Through the use of such schedules, agencies can insure that valuable records are preserved and that records of temporary nature are disposed of when no longer needed. This, of course, will reduce the need for expensive filing equipment and, in general, provide a more efficient filing system. The installation of systematic controls on recordskeeping and the establishment of approved retention and disposal schedules within State and local government agencies shall include the following steps:

1. The Division will assist the various departments in preparing the inventory and drafting the records retention schedule.

2. When the inventory and appraisal are completed, a Records Retention and Disposition Schedule shall be prepared.

3. After the Records Retention and Disposition Schedules are prepared, clearances for the recommended records retention schedule shall be obtained. Initial clearances are made by the officials primarily concerned with the record. These officials indicate their approval by initiating the form. The department or division heads or the chief executive officer of any autonomous agency gives approval by signing the schedule in the designated space.

4. Proposed record retention schedules shall be reviewed by the State Records Committee and either approved, disapproved or amended. If approved, the record retention schedule is signed by the Director of the Division as Secretary to the State Records Committee and the agency shall be notified.

(f) Preparation of Records Retention and Disposition Schedules. Instructions for preparing a Records Retention and Disposition Schedule are as follows:

1. Each records retention and disposition schedule shall be prepared by the Division of Archives and Records Management.

i. Proposed records and retention disposition schedules shall be prepared from inventory and appraisal information gathered by DARM staff in conjunction with agency representatives.
ii. Only active and continuing records shall be scheduled. Nonrecurring or discontinued records shall not be listed on this schedule.
iii. Supplemental schedule pages shall be used to continue items after the first sheet is filled.

2. Upon completion by the Division, the schedule shall be presented to the head of the agency concerned for approval and signature, prior to submission to the State Records Committee for adoption.

(g) State and local general retention schedules. The following pertain to general retention schedules for State and local agencies:

1. The State Records Committee shall issue general retention schedules covering records common to all State and local agencies.

2. The Director of the Division, acting as the Chairman of the State Records Committee, shall sign the retention schedules as the requestor.

(h) Inquiries. Copies of record retention schedules are available upon request from the following address:

Department of State
Division of Archives and Records Management
PO Box 307
Trenton, NJ 08625-0307
or, on the Division website at: http:// www.njarchives.org/links/recman.html.

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15:3-2.2 Disposal of Public Records

(a) Procedures for processing request for authorization to destroy public records. 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) Authorization to destroy records that have been damaged due to a disaster. 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) Audit of fiscal records. 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. Pursuant to (d)3ix below, 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.

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) "Request and Authorization for Records Disposal" form. 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 N.J.S. 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
Trenton, New 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 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) Submission of "Request and Authorization for Records Disposal" form. 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) Physical destruction of State record. The following pertain to physical destruction of State records:

1. When disposal is authorized, records must be destroyed in fact and not be allowed to fall into unauthorized hands.

2. Non-confidential records may be sold for waste, providing that they will eventually be processed to destroy their identity.

3. Confidential records must be destroyed by burning, shredding or pulping.

4. A responsible official shall supervise the disposal of confidential records, or accompany them if they have to be transported to a destruction site, to see that they are in fact totally destroyed.

5. 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) Revenues from sale of wastepaper. All revenues obtained from the sale of wastepaper of State agencies must be made payable to the General Fund of the State Treasurer. All revenues from the sale of wastepaper of local agencies must be made payable to the appropriate fund as designed by their governing body.

15:3-2.3 State Records Center

(a) Record storage centers. The following pertain to records storage centers:

1. A records storage center, commonly called a records center, is a low cost, centralized area for housing and servicing noncurrent and semicurrent records whose reference rate does not warrant their storage in expensive office space and equipment.

2. Records should be transferred to the records center when they become sufficiently inactive to permit their removal from the offices having custody of them.

3. Records transferred to the records center remain in the legal custody of the originating agency.

4. The records center furnishes the necessary retrieval service to the files in its custody, return designated files to the originating agency for reference, and dispose of records after their retention period has expired.

5. Records centers used for the storage and maintenance of public records must meet all standards and guidelines established for storage as established under N.J.A.C. 15:3-6, Storage of Public Records.

(b) Transfer of records of State agencies to the State Records Center. The following pertain to the transfer of records of State agencies to the State Records Center:

1. The Division of Archives and Records Management shall operate and maintain or designate a records center or record centers for the storage of semicurrent or inactive records of State agencies in all types of recordkeeping media.

2. Records of a State agency transferred to the State Records Center for storage and safekeeping shall remain in the legal custody of the originating agency.

(c) Transfer of records of local agencies to records storage centers. The following pertain to the transfer of records of local agencies to records storage centers:

1. Local agencies may, jointly or separately, operate and maintain or designate a records center or record centers for the semicurrent or inactive records in their custody, provided that such records storage facilities are constructed, maintained and operated in compliance with standards for storage of public records established in N.J.A.C. 15:3-6, Storage of Public Records.

2. Records of any local government agency transferred to a records center for storage and safekeeping shall remain in the legal custody of the originating agency.

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15:3-2.4 State Archives

(a) Transfer of permanent or archival State records to the State Archives. Records in the custody of State agencies designated as permanent or archival records shall be transferred to the Division of Archives and Records Management for permanent preservation. The Director of the Division of Archives and Records Management, or his or her representative, shall designate which records are archival. Such designation shall be approved by the State Records Committee and incorporated in a records retention schedule for such records.

(b) Transfer of permanent or archival local records to the State Archives. Archival or permanent records in the custody of local agencies may, upon determination of the Division, be transferred to the Division of Archives and Records Management for permanent preservation. The Director of the Division of Archives and Records Management, or his or her representative, shall designate which records are archival. Such designation shall be approved by the State Records Committee and incorporated in a records retention schedule for such records.

(c) Timing and manner of transfer of permanent or archival records to the State Archives. The transfer of archival records from the office of their origin to the State Archives shall be made at such times and in the manner and form prescribed by the Division. The State Archives shall receive and maintain legal custody of all public records transferred pursuant to (a) and (b) above, along with all copyrights, literary rights, and rights of reproduction, attached thereto, unless otherwise agreed upon at the time of transfer.

(d) Replevin. Pursuant to P.L. 1928, c.205, §1, as amended by P.L. 1936, c.121, §1 (N.J.S. 47:3-27), the Division is empowered to demand and receive from any person any public record in private possession belonging to this State, or to any county, municipality or school district thereof.

(e) Transfer of archival records of an extinct agency to the State Archives. The following pertain to the transfer of archival records of an extinct agency to the State Archives:

1. In accordance with P.L. 1920, c.46, § § 6 and 7 (N.J.S. 47:2-3 and 7), and N.J.A.C. 15:3-2.6(c), archival records of an extinct agency which are deemed to possess sufficient legal, administrative, evidential, historical, artifactual, or other value to warrant permanent retention in the State Archives, which are not needed for administrative purposes by a succeeding agency or otherwise provided for by law, shall be transferred from the extinct agency to the State Archives at such times and in such manner and form as prescribed case-by-case by the Division.

2. The State Archives shall assume full legal custody and ownership of such records upon transfer to the same, and shall thereafter be wholly responsible for their care, maintenance, use and preservation.

3. Archival records required to be maintained by any existing county, municipality, or other public agency shall be preserved in accordance with this chapter.

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15:3-2.5 Vital Records Program

(a) Purpose. 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) Responsibilities for establishment and maintenance of a vital records program. 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. 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. 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) Terminology. 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."

"Off-site storage" means a facility other than an agency's normal place of business where vital records are stored for protection to ensure that the vital records are not subject to damage or destruction from an emergency or disaster affecting an agency's normal place of business. Any facility considered for off-site storage of vital records by State or local governments must meet standards established for storage of public records per N.J.A.C. 15:3-6.

"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) Vital records program. 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) Emergency plans. 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) Ensuring that retrieval procedures for vital records require only routine effort. 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) Measures to ensure the survival of the vital records. 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) Duplication of vital records. 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. 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. 47:3-26 et al. as amended).

(i) Storage of vital records. 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) Storage of copies of vital records. 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 agency or agencies 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. State agencies that transfer permanent, original vital records 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:

i. 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.
ii. In the State Archives, legal as well as physical custody passes from the agency of origin to the State Archives. Legal ownership is transferred to the State Archives to ensure permanent preservation of the record.

5. The transfer of records from any public agency and accessioning them into the custody of the State Archives shall be documented in an Accession Record, including signed forms and other documentation transferring physical and legal custody and ownership of all rights to the State Archives. County and municipal agencies should contact their local archives or historical society for specific information about their policies and procedures.

(k) Disposition of original vital records. 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. 47:3-15 et al.), and N.J.A.C. 15:3- 2.2(a).

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15:3-2.6 Records of Extinct Agencies

(a) Division of Archives and Records Management authority. In accordance with P.L. 1920, c.46, § § 6 and 7 (N.J.S. 47:2-3 and 7), the Division of Archives and Records Management shall have general and exclusive supervision, care, custody and control of all public records of any county, municipality, or public agency, body, board, institution or society which has or may become extinct, unless the care, custody, and control of the same is otherwise provided by law, or if the Division finds that the said records of the extinct agency are needed by a successor agency for conducting current business. Furthermore, per P.L. 1945, c.268, § 3 (N.J.S. 40:43- 64.3) and P.L. 1977, c.435, § 33 (N.J.S. 40:43-66.67) and other State statutes, the transfer of such public records from their office of origin to the Division or to a successor agency shall occur at times and in the manner and form, as prescribed case-by-case by the Division, so as to ensure an unbroken chain of legal custody of said records.

(b) Terminology. The words and phrases used in this section shall have the standard meanings as established within N.J.A.C. 15:3-1.2, which provides definitions regarding records management; P.L. 1977, c.435, § 3 (N.J.S. 40:43- 66.37), which provides definitions regarding the consolidation of municipalities; and P.L. 1995, c.376, § 2 (N.J.S. 40:43-66.79), which provides definitions regarding the consolidation and absorption of sparsely populated municipalities, except the following words and phrases that apply to this section and shall have the designated meanings, unless the context clearly indicates otherwise:

"Absorbing municipality" means a municipality into which a contiguous sparsely populated municipality situate in the same county intends to be consolidated pursuant to P.L. 1995, c.376 (N.J.S. 40:43-66.78).

"Consolidated agency" means the single new agency that results from an affirmative consolidation effort by participating agencies.

"Extinct agency" means any county, municipality, or public agency, body, board, institution, society, commission or authority that ceases or may cease to exist outright or ceases or may cease to exist in its present form and has been consolidated, absorbed or annexed into a new consolidated agency.

"Participating agencies" means any two or more agencies involved in a consolidation effort.

(c) Disposition of the public records of extinct agencies. The procedures for the disposition of the public records of extinct agencies shall include:

1. Contact with the Division of Archives and Records Management by the officers of any agency that has or may become extinct in order to ensure an unbroken chain of legal custody of their records;

2. A complete inventory of all records, which shall be caused by the mayor or chief executive officer of the extinct agency to be made in cooperation with the consolidated agency or agencies and the Division of Archives and Records Management before any records are transferred, pursuant to P.L. 1920, c.46, § § 6 and 7 (N.J.S. 47:2-3 and 7), P.L. 1977, c.435, § 33 (N.J.S. 40:43-66.67), and other State statutes and administrative rules;

3. A review of the records by the Division of Archives and Records Management in order to ascertain if the records:

i. Are needed by a successor agency for conducting current business and must be transferred to that agency;
ii. Must be transferred to the State Records Center or another repository designated by the Division for safekeeping until the expiration of their legal retention period;
iii. Possess sufficient legal, administrative, evidential, historical, artifactual, or other value to warrant permanent retention in the State Archives; or
iv. Warrant no further retention and may be destroyed.

4. Review and approval of the Division's recommendations by the State Records Committee regarding final disposition of such records, pursuant to P.L. 1953, c.410 (N.J.S. 47:3-15 et seq.), known as the Destruction of Public Records Law (1953), prior to any transfer or other disposition of any records of the extinct agency;

5. Documentation of the disposition of the records of the extinct agency; and

6. Maintenance and permanent preservation of documentation on the disposition of the records of the extinct agency by the Division.

(d) Transfer to the State Archives of archival records of an extinct agency. The following pertain to the transfer to the State Archives of archival records of an extinct agency:

1. Archival records of an extinct agency which are deemed to possess sufficient legal, administrative, evidential, historical, artifactual, or other value to warrant permanent retention in the State Archives, which are not needed for administrative purposes by a succeeding agency or otherwise provided for by law, shall be transferred from the extinct agency to the State Archives at such times and in such manner and form as prescribed case-by-case by the Division.

2. The State Archives shall assume full legal custody and ownership of such records upon transfer to the same, and shall thereafter be wholly responsible for their care, maintenance, use and preservation.

3. Archival records required to be maintained by any existing county, municipality, or other public agency shall be preserved in accordance with this chapter.

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