STATE OF NEW JERSEY STATE RECORDS COMMITTEE PO BOX 661, TRENTON, NJ, 08625-0661 609.530.3200 www.nj.gov/treasury/ AGENDA SPECIAL STATE RECORDS COMMITTEE September 19, 2016 10:00AM Location: New Jersey Division of Revenue and Enterprise Services 33 West State Street, 3rd Floor Conference Room Trenton, NJ 08625-0661 Announcement of Open Public Meeting I. Administrative Actions: A. Announcement of Approval of Destruction Authorization: None B. Registered Imaging Systems / Amendments / Annual Reviews: None II. Old Business: None III. New Business: A. Records Retention Schedules: None IV. Other Business: Review Final Changes to N.J.A.C. 15:3 STATE DIVISION OF ARCHIVES AND RECORDS MANAGEMENT Public Records Administration Rules Proposed Readoption of Rules with Amendments: N.J.A.C. 15:3 Authorized By: Kimberly M. Guadagno, Lieutenant Governor/Secretary of State. Authority: N.J.S.A. 47:2-3 through 8 as amended, N.J.S.A. 47:3-15 through 32 as amended, N.J.S.A. 47:3-26 et al. as amended, N.J.S.A. 22A:4-4.2, and N.J.S.A. 46:26A and 26C. Calendar Reference: [???]. Proposal Number: PRN [<NUMBER>]. Submit comments by [<DATE>] to: Joseph R. Klett, Director Division of Archives and Records Management 225 W. State Street, 2nd Floor Trenton, New Jersey 08625 Or [email protected] The agency proposal follows: Summary Pursuant to P.L. 1920, c.46 (N.J.S.A. 47:2-3 et seq.), P.L. 1953, c.410 (N.J.S.A. 47:3-26 et al.), and P.L. 1994, c.140 (N.J.S.A. 47:3-26 as amended), the Division of Archives and Records Management in the Department of State is charged with establishing a systematic and comprehensive framework for the management of public records of all public entities at the state, county and local levels of government. N.J.A.C. 15:3 implements relevant statutes accordingly, and pertains to: the State Archives program; records management services; records retention and retention scheduling; disposition of the records of extinct agencies; standards for records storage, micrographics, imaging and electronic records; and the electronic filing of land documents. This chapter of the administrative code is scheduled to expire on September 21, 2016. The Department of State reviewed these rules and finds that they continue to be necessary for the purpose for which they were promulgated, and therefore proposes that they be readopted with amendments. Additionally, the Division of Archives and Records Management (DARM), Secretary of State’s Office, and also the Division of Revenue and Enterprise Services (DORES) in the Department of the Treasury, which currently oversees DARM’s “records management services,” reviewed the current rules and determined that several changes are warranted. The proposed changes remove duplicative language, eliminate definitions and references that are no longer applicable, and improve clarity such that the records regulations are more efficient, consistent, accessible, and transparent to all interested parties and consistent with the common sense principles of rulemaking. They were submitted to the State Records 1 Committee as a consensus proposal from the departments of State and Treasury, with input from the departments of Community Affairs and Law & Public Safety, and the State Auditor. The State Records Committee (SRC) approved them with minor changes at a special meeting held 18 August 2016. A summary of the amendments proposed for adoption follows. References to staff are to DARM and DORES staff in consensus, with approval of the SRC. Global Changes 1. In various places throughout the chapter, references to the Division of Archives and Records Management have been changed to read, simply, the Division, which is defined in 15:3–1.2. 2. In various places throughout the chapter, the Director of the Division of Archives and Records Management have been changed to read, simply, the Director, which is defined in 15:3–1.2. 3. “As amended and supplemented” language in references to standards has been deleted so as not to impose rulemaking outside of the rulemaking process. N.J.A.C. 15:3-1 This subchapter sets forth the basic authorities and program scope for New Jersey’s archives and records management program. Staff proposes abbreviating 15:3-1.1 by replacing it with text from 15:3-1.3(a) to consolidate provisions related to the purpose and scope of N.J.A.C. 15:3. Staff proposes amending 15:3-1.2 by deleting references to standards in the introductory paragraph. The definitions included in the rule, as proposed for readoption with amendments, stand alone and are not dependent upon the cited standards or subsequent amendment of or supplements to them. Inclusion of the standards references here are confusing and unnecessary. Staff proposes amending 15:3-1.2 by eliminating unnecessary definitions, including: “directives”, “file”, “file management”, “form”, and “report”. Staff proposes amending 15:3-1.2 by eliminating the definition of “local agency” as it is redundant to the definition of “agency”. Staff proposes amending 15:3-1.2 by revising the definition of “automated records system” to “automated electronic records system”. Staff propose amending 15:3-1.2 by eliminating definitions for terms not used in the chapter, including: “automated records management system”, “commercial purpose”, “data archive”, “disposable records”, “forms analysis and design”, “forms management”, “imaging facility”, “information resource management”, “machine-readable records”, “media maintenance plan”, “public administrative building”, “recordkeeping requirements”, and “reports management”. Staff proposes amending 15:3-1.2 by removing the reference to the State Archives in the definition of “archives” because “State Archives” is defined separately in this sub-sub-chapter. Staff proposes amending 15:3-1.2 by correcting an omission and typo in the definition of “Director”. 2 Staff proposes amending 15:3-1.2 by deleting the definition of “municipality” because it duplicates N.J.S.A. 40:42-1. Staff proposes amending 15:3-1.2 by deleting the definition of “Local agency” and moving language from the second part of that definition to the definition of “Local government”. Staff proposes amending 15:3-1.2 by deleting the cross-reference for “public record” to “record” since, with deletion of the definition of “public administrative building” (see above), “public record” and “record” now occupy the same place alphabetically in the list of definitions and the cross-reference is unnecessary. Staff proposes amending 15:3-1.2 by deleting the definition of “records” because it duplicates N.J.S.A. 47:3-16. Staff proposes amending 15:3-1.2 by clarifying the statutory references in the definition of “State Archives”. Staff proposes amending 15:3-1.2 by deleting the definition of “State Records Committee” because it duplicates N.J.S.A. 47:3-20. Staff proposes amending 15:3-1.2 by removing the duplicate definition of “records series”, out of place alphabetically between “retention schedule” and “retention period”. Staff proposes removing section 15:3-1.3(a) as redundant text already given in 15:3-1.1. Staff proposes the deletion of 15:3-1.4because it duplicates N.J.S.A. 47:2-3, 4, 5, 6, 7, & 8. Section 15:3-1.6, “Standards referenced,” is proposed to be eliminated in its entirety as these standards are cited in their proper contexts in the applicable subchapters that follow. N.J.A.C. 15:3-2 This subchapter addresses records retention and disposition scheduling for public agencies in New Jersey. Staff proposes amending 15:3-2.1 by deleting -2.1(a) and -2.1(b) because they duplicate language in N.J.S.A. 47:3-15 through -32 related to the authorization for destruction of public records. Staff also proposes the addition of introductory language to -2.1(c) for clarity. Staff proposes amending 15:3-2.1(b)(6) to more closely reflect the current practice of the Division notifying the Committee of all administrative actions taken. Staff proposes amending 15:3-2.2(c)1 and (c)2 with language clarifications to reflect the fact that not all records are audited. Staff proposes amending 15:3-2.1(c)(2) to reflect the correct title of the subchapter. Staff proposes amending 15:3-2(d)(3)(vii) to reflect that the “Request and Authorization for Records Disposal” currently requires the month to be listed in addition to the year for each series of records listed. 3 Staff proposes deleting 15:3-2.4(e) because it duplicates N.J.A.C. 15:3-2.6 regarding the transfer of archival records from an extinct agency to the State Archives. In 15:3-2.5(c), staff proposes deleting the redundant definition of “off-site storage” already given in 15:3- 1.2. In 15:3-2.5(j)(2)(iv), staff proposes clarifying the language by replacing “local agency or agencies” with “local government” since the definition of “local agency” has been deleted in 15:3-1.2 and relevant language moved into the definition of “local government”. In 15:3-2.5 (j)(4) and (j)(5), staff proposes amending to clarify and simplify the language. In 15:3-2.6, staff proposes deleting the definition of “absorbing municipality” since this term is not actually used in the chapter. In 15:3-2.7, staff proposes listing the three cited standards in (a), deleting the (b) introductory paragraph, and deleting (c) because none of the defined terms are actually used in the chapter. N.J.A.C. 15:3-3 This subchapter details the State’s microfilm standards, with the goal of promoting uniformity and quality in the production of microforms of the records of State and local governments.