The State of New Jersey, by virtue of Public Law 1994, Chapter 140, allows the replacement of public records with digital images, so long as that the images are produced by an Image Processing System that has been reviewed by DARM and certified by the State Records Committee.

Imaging Processing System Guidelines
Imaging System Certification
Data Migration
Disaster Prevention & Recovery
Public Notice
Targets for Microfilm
The 241 Certified Public Records Image Processing Systems
Check21: Banks & Image Processing

The Bureau of Records Management is responsible for developing and promoting image processing rules and standards for the imaging of public records. In addition, it serves as the agency that reviews and recommends certification to the State Records Committee. To ensure system compliance, agencies considering the use of image processing are advised to contact the Bureau for consultative advice before issuing an RFP and consult the following sections of the New Jersey Administrative Code, 15:3:

N.J.A.C. 15:3 Subchapter 2: Records Retention
N.J.A.C. 15:3 Subchapter 3: Standards for Microfilming of Public Records
N.J.A.C. 15:3 Subchapter 4: Image Processing of Public Records
N.J.A.C. 15:3 Subchapter 5: Certification of Imaging Processing Systems
N.J.A.C. 15:3 Subchapter 6: Records Storage

(Copies of national and international standards cited in these rules are available for review at the Bureau's offices in the State Records Center, 2300 Stuyvesant Avenue, Trenton NJ, 08618-3226.)

The following guidelines have been developed to assist public entities that are currently using or considering the acquisition of an electronic imaging system for storage and retrieval of public records:

Be wary:
…of claims regarding new technologies without track records or standards. DARM can provide guidance in the evaluation of such claims.

Establish and routinely audit comprehensive records management guidelines:
…for paper, microfilm/fiche, and image-processed records through use of state-issued records retention schedules and records disposition forms, and consult with the Division of Archives and Records Management (DARM) for guidance when questions arise.

Form a team of agency representatives:
…that will review and select the system. This team should be comprised of users, finance, MIS, and legal representatives. Review the key resources existing within the agency - staff knowledge and expertise, and existing in-house data and telecommunications systems.

Consult State standards:
…Image Processing for Public Records (NJAC 15:3-4 et seq.) before preparing specifications for an RFQ, RFI, or RFP for any new system or upgrade.

Consult DARM:
… before preparing specifications for an RFQ, RFI, or RFP for any new system or upgrade; advice for developing these types of documents can be found on our Forms Page.

Conduct a feasibility study:
…to determine if an imaging system will be appropriate and cost-effective for your records management needs. Maybe another system would provide a better alternative or could be employed alongside an imaging system (e.g. microfilming or COM).

Set realistic timelines:
…for the following project phases: feasibility study; vendor bidding; system selection, implementation, testing, and conversion; training; backfile document scanning; and production.

Determine system compatibility:
…with existing in-house records and information management systems. Identify any agency-specific recordkeeping needs to be incorporated into an imaging system.

Ensure that system hardware and software are applicable:
…for the in-house applications they will automate. The system should serve the agency and its applications, and not have the agency serving the system.

Be wary:
…of claims regarding new technologies without track records or standards. DARM can provide guidance in the evaluation of such claims.

Plan for data migration:
…during the initial stage of development, for system hardware and software upgrades which should incorporate the creation of a history file which includes copies of old and new versions of system hardware and software documentation (see NJAC 15:3-4.3, 4.7).

Ensure that the system has an open architecture:
…with nonproprietary dependent hardware and software (see NJAC 15:3-4.3).

Use high-quality hardware and software:
…for your entire imaging system (see NJAC 15:3-4.3).

Create a data index:
…data is useless if it cannot be searched and accessed through user specified parameters (see NJAC 15:3-4.7). The index at a minimum must recreate the functionality of the existing records management system.

Specify security measures:
…desired with the vendor during initial system discussions.

Permanent and long-term records (retentions of 10 years or longer):
…maintained on optical disk require hardcopy or microfilm backup copies (see NJAC 15:3-4.3(c)1-2).

Develop and implement:
…routine magnetic tape refreshing and optical media backup procedures (see NJAC 15:3-4.3, 4.4).

Create and periodically test disaster prevention/recovery plans:
… for storage media, hardware, and software (see NJAC 15:3-4.4).

Be wary:
…of claims regarding new technologies without track records or standards. DARM can provide guidance in the evaluation of such claims.

An agency should refer to the aforementioned guidelines prior to embarking on a project to establish a public records imaging system. At any point in the process the agency should feel free to contact DARM for advice. An Image Processing System Certification is a variance to an agency's record retention schedule, as such it is the agency that is certified, not the hardware, software, and/or vendor. This discussion includes:

• Certification Process Overview
• Basic Certification Criteria
• Caveat

Certification Process Overview:

• Agency initiated: The certification process is initiated by an agency completing and forwarding to DARM a Public Records Image Processing System Evaluation Form [MSWord Document] or [PDF] as per NJAC 15:3 Subchapter 5.(see Forms below for instructions and example).
  
• DARM review: DARM personnel with review the agency's Imaging System Evaluation Form for compliance with State standards. During this review DARM personnel will note any deficiencies in the application and communicate with the agency as what these deficiencies are and provide the agency with guidance to correct them.
  
• Site visit: DARM Personnel will conduct a site visit to review an image processing system in production. This site visit is conducted by Records Management Bureau Chief, the Supervisor of Micrographics and Alternative Records Storage, and the Image Processing System Certification Coordinator. A preliminary site visit may be conducted earlier in the process should an agency's request it.
  
• Final Agency Application: The agency will implement the recommendations of DARM personnel for the correction of any deficiencies noted in the review or during the site visit. This may include resubmitting an Imaging System Evaluation Form or supplying supporting documentation. Additionally, if there is a microfilming component to the system, the agency will need to provide a sample reel of film to the Supervisor of Micrographics and Alternative Records Storage for inspection for compliance with State microfilm standards [N.J.A.C. 15:3 Subchapter 3].
  
• DARM recommendation to State Records Committee to Approve: When DARM personnel are assured that the image processing system is in compliance with State standards they will notify the agency of DARM's intent to recommend the agency's public records image processing system for certification.
  
• Public Notice: Upon receiving the aforementioned notice of DARM's intent to recommend the agency's public records image processing system for certification, the agency must post a Public Notice in accordance with the guidelines listed below. When DARM has received the appropriate notification that the public notice has been posted, it will request that the agency's public records image processing system be placed on the agenda of the appropriate State Records Committee meeting for consideration for certification.
  
• State Records Committee: At least one representative from the agency seeking certification must be present at the appropriate State Records Committee (SRC) meeting. Preferably there should also be a representative from the agency's vendor. DARM personnel will present the SRC with a summary of the agency's application. The SRC's review of this summary typically generates some questions from its members to the agency representative(s) clarifying some aspect of tech application. When the SRC has been assured that the agency's public records image processing system is in compliance with State standards it will grant certification. Sometimes the certification may be granted conditionally with certain conditions or restrictions that can be removed at a later date. A list of certified systems is located at www.njarchives.org/links/certified-systems.html. An actual certificate will be conveyed to the agency. The agency must retain this certificate as a permanent records.
  
• Annual review: It is incumbent upon the certified agency to communicate on a yearly basis with personnel from DARM regarding the status of their public records image processing system. This should be conducted at or around the certification anniversary date and should include documentation of any changes to system hardware or software, changes in policies & procedures, data migration plan, or disaster prevention/recovery plan, and/or any additional record series to be added to those being imaged. Should the agency embark on significant changes a complete re-certification process may have to be conducted. This typically happens when an agency has been certified to image small format documents and are looking to begin to image large format documents.
  
• Records Disposal: Once an agency's public records image processing system is certified, the agency may dispose of the ordinal records that were imaged as long as there are appropriate backup procedures in place and State standards for disposal are followed. All disposal requests must be accompanied by a copy of the agency's Certificate.

Basic Certification Criteria:

• File Format: TIFF Image (Group III or IV)
• Resolution:
  • small format documents - 200dpi
  • large format documents (maps, drawings, etc.) - minimum of 300dpi
• 100% QC: every image must be inspected (see NJAC 15:3-4.6b).
• Data Migration Plan
• Disaster Prevention/Recovery Plan
• Policies & Procedures: Written policies and procedures for the system should be developed. These should include document handling, records management, and imaging system operating policies and procedures, and records retention schedules, as well as the Data Migration Plan, and Disaster Prevention/Recovery Plan.
• Open Architecture: A systems open architecture with customization at Application Program Interface (API) level (see NJAC 15:3-4.3(g) & (h)).
• Appropriate Backup: if the agency has appropriate backup, it may destroy the original public records as per the State's records disposal process.
  • Short Term Records (Less than 10 years retention): with adequate electronic/digital backup;
  • Long Term Records (10 year or greater retention, but not permanent): with adequate electronic/digital backup and archival quality microfilm;
  • Permanent Records: Most permanent records may not be disposed of under any conditions; consultation with DARM would be required. Regardless, microfilm backup is suggested.

REMEMBER: ONLY AGENCIES ARE CERTIFIED NOT VENDORS. Certifications are variances to an agency's record retention schedule. A particular piece of hardware or software, or a particular vendor may be part of an image processing system solution that is certified in one agency, but not in another. That is because certification is more than just hardware and software -- it is what the agency brings to it:

• Policies & Procedures,
• Quality Control,
• Data Migration Plans, and
• Disaster Prevention/Recovery Plans

Moore's Law (named for Gordon Moore, co-founder of Intel) notes that data storage density doubles about every 18 months. This has been generalized to assume that computer technology (hardware and software) is upgraded on average about once every 18 months, leaving older equipment obsolete and files and programs potentially inaccessible. The possibility for change in the life of a record can be as many as 3 generations for short term records alone. The following matrix demonstrates the potential for generational changes for public records imaging systems:

This does not even account for actual changes in technology. In the past 30 years we have seen data storage on 8" platters, 5¼" diskettes, 3½" diskettes, CD-ROM, CDW, CDRW, and DVD to name a few. One would be hard pressed to retrieve data from an 8" platter or 5¼" diskette now without having legacy equipment at hand. What will the future bring? We can only surmise.

Therefore, an agency needs a strategy for making certain that documents that are imaged today will be accessible, retrievable, and readable in the future. If they are not, they might as well have saved the cost of an imaging system and destroyed the records right now. Either way they are inaccessible.

Although we cannot predict the future we can plan for it, and it is this Data Migration Plan that is required as part of the certification process. The nucleus of a Data Migration Plan is already specified for an agency by the requirement for utilizing TIFF images and having an open system architecture at the API level. Further, having appropriate back-up procedures in place may assist in future migration plans. This is an additional reason for either retaining the original records or having microfilm backup for long term and permanent records -- these can always be re-digitized for electronic access.

Other potential components of a data migration plan may include:

• budgeting for a "data migration fund" for future equipment purchases and conversion projects; or
• keeping legacy equipment and hardware at hand.

What is expected for certification is a statement from the agency (paragraph in length or more) acknowledging the need for a Data Migration Plan, how there current imaging system allows for data migration, and what their general scheme for future migration will be.

Public Notice Guidelines
Public Notice Example
State Records Committee Meetings Schedule

Public Notice Guidelines:

In order to provide public comment on applications for the use of image processing systems for public records in a state or local agency, N.J.A.C. 15:3-5, Certification of Image Processing Systems as amended, specifically, N.J.A.C. 15:3-5.4(f) and 15:3-5.5, and N.J.A.C. 15:3-4, Image Processing Systems for Public Records, as mandated by P.L. 1994, c. 140, requires the posting and publication of a public notice notifying stakeholders that the agency has applied for certification of an image processing system for public records and that the application is scheduled for consideration by the State Records Committee.

The Division of Archives and Records Management (DARM) may provide an agency a sample Public Notice, but no standard language is required, so long as the necessary information is conveyed to the public. Publication and posting shall be conducted according to the common practice of the agency for similar public notices of meetings, etc. where the public would expect to find such notices (i.e., bulletin boards, publication in legal notices in the local newspaper(s), or calendars of events)

The Chief of the Bureau of Records Management will notify an agency when their application for certification has been recommended for certification and the scheduled time and place for the public meeting of the State Records Committee when the application will be considered for approval. A sample Public Notice and a statement that posting and publication of such a public notice must be made 23 working days before the scheduled meeting of the relevant State Records Committee shall be included with the formal notification from DARM. The Bureau Chief shall notify the Secretary of the State Records Committee and/or the Records Analyst or other designee of the Secretary of the scheduled appearance of the agency and their vendor(s).

Upon publication of the public notice, the requesting agency shall secure a dated and signed affidavit of publication by a qualified newspaper or a notarized Declaration of Posting/Publication of Public Notice. A copy of the affidavit of publication or the equivalent shall be faxed and mailed to DARM, c/o Vilirie Perry. Copies of this document shall be kept in the DARM master file and the records of the State Records Committee meeting .

An affidavit of publication or declaration of posting/publication of the public notice must be received by DARM before the official agenda for the State Records Committee is posted. Per the Open Meetings Act, the agenda of any public meeting must be posted 48 hours before the scheduled meeting. If proof of publication has not been received before that date, the Records Analyst or other designee of the Secretary of the State Records Committee responsible for preparation and posting of the agenda shall attempt to contact each agency whose image processing system is scheduled for consideration by the State Records Committee to verify that the required public notice has been published 23 or more working days before the scheduled meeting of the Committee and request proper verification of publication of the Public Notice.

If an agency fails to publish the required Public Notice 23 working days or more before the scheduled meeting of the Committee or to provide adequate proof of such publication before the agenda for the meeting of the State Records Committee is posted, the application will be withdrawn from the agenda and rescheduled for the next available public meeting of the State Records Committee. The appointed Records Analyst or other designee of the Secretary of the State Records Committee shall notify the Bureau Chief of any cancellation and shall be responsible for scheduling the agency for the next available meeting of the Committee.

It shall be the responsibility of the agency to publish the required Public Notice 23 working days before the relevant public meeting of the State Records Committee and to provide adequate documentation of such publication. The State Records Committee cannot approve the certification unless an agency fulfills this requirement.

Public Notice Example:

PUBLIC NOTICE

TAKE NOTICE the [Type AGENCY'S NAME here] of the State of New Jersey has received notification from the Division of Archives and Records Management of the Department of State of the State of New Jersey that a review and evaluation of the image processing system currently in use for [Type RECORD TYPE(S) here] records maintained in the office(s) of [Type AGENCY'S or SUB-AGENCY'S NAME here] has been completed and an application for certification of said image processing system for the keeping of public records has been submitted, per P.L.1994, c.140 and N.J.A.C. 15:3-4 and 5, for approval by the State Records Committee, as established under N.J.S.A. 47:3-20.

Per N.J.A.C. 15:3-5.4, stakeholders and other members of the public have 23 working days to register written comments with the State Records Committee before consideration of the aforementioned application at the next regularly scheduled public meeting of the Committee to be held at the Library for the Blind and Handicapped and State Records Storage Center, 2300 Stuyvesant Avenue, Ewing Township, Trenton, New Jersey on Thursday, the [Type DATE here] of [Type MONTH here], [Type YEAR here], beginning at 10:00 a.m.

Copies of the completed application are available for viewing and examination by the public at the offices of the [Type AGENCY'S or SUB-AGENCY'S NAME here], located at [Type AGENCY'S or SUB-AGENCY'S ADDRESS here], during regular business hours, Monday through Friday (excluding State holidays) between [Type AGENCY'S or SUB-AGENCY'S BEGINNING BUSINESS HOUR here] and [Type AGENCY'S or SUB-AGENCY'S ENDING BUSINESS HOUR here].

Written comments should be mailed to Karl Niederer, Chair, State Records Committee, P.O. Box 307, Trenton, New Jersey 08625-0307 or delivered to the same at the Library for the Blind and Handicapped and State Records Storage Center, 2300 Stuyvesant Avenue, Ewing Township, Trenton, New Jersey 08618.

State Records Committee Meetings Schedule:

Below you will find the dates of the State Records Committee (SRC) meetings followed by the last possible date (23 State business days prior to the SRC meeting) that the Public Notice should be published, along with the last possible date to notify the SRC (typically the first Friday of month of the SRC meeting) that your agency has published the Public Notice and of your agency's intent to be at the SRC meeting. Publication must be in at least one legal publication and should be posted in your agency’s offices.

It is requested that a dated and signed copy of the certification of publication by a qualified newspaper or a notarized Declaration of Posting/Publication of Public Notice be sent via fax and mail to prior to the "Last Possible Date to Notify SRC":

Vilirie D. Perry, Records Analyst
Department of State
Division of Archives & Records Management
PO Box 307
Trenton, NJ 08625-0307
Phone: 609.530.3213 Fax: 609.530.6121

These Public Notice Guidelines are available in [MSWord Document] or [PDF] formats.

The technology now exists for the creation of microfilm from digital images. Microfilm that is created from digital images must have beginning and ending targets as one would have when actually filming documents. Sample targets are available in [PDF] format. The following are list of the targets that are required and their sequence on the reel:

Beginning of reel (The following targets must appear in this order prior to images of the public records):

End of reel (The following targets must appear in this order after all images of public records):