N.J. Admin. Code § 15:3-4.3

Current through Register Vol. 56, No. 21, November 4, 2024

Section 15:3-4.3 - Image processing systems

(a) State and local government agencies planning and procuring automated image processing systems intended to supplement or replace paper recordkeeping systems shall use the guidelines set forth in Electronic Imaging Request for Proposal (RFP) Guidelines (ANSI/AIIM TR27-1996, as amended and supplemented, incorporated herein by reference), for any preliminary system definition, feasibility assessment, procurement specifications, request for proposal (RFP), or formal monitoring of systems, insofar as they do not conflict with rules promulgated by the State Records Committee, or procurement procedures established by their State or local government.

(b) The life expectancy of any optical or magnetic media employed by any image processing system used for keeping of records, inclusive of the life-expectancy rating of the media and system procedures such as back-up regimes, disaster recovery programs and media refresh cycles that are employed to preserve the records involved, shall ensure that the records are accessible and usable throughout their designated retention periods, unless otherwise approved by the State Records Committee under procedures established according to the provisions of 15:3-4.7(e).

1. The life expectancy rating of any optical media shall be demonstrated according to criteria established by the National Institute of Standards and Technology in Development of a Testing Methodology to Predict Optical Disk Life Expectancy Values (NIST Special Publication 500-200).

2. Vendors' claims for life expectancy shall be accompanied by detailed specifications of the test parameters.

(c) Any image processing system used to create, store, or maintain public records designated for long-term or permanent retention by retention schedules approved by the State Records Committee shall provide for the preservation of such records. In doing so, agencies shall consider the standards set forth in N.J.A.C. 15:3-6, Storage of Public Records, and adopt applicable provisions from said standards as indicated by agency needs. The options for providing preservation of records designated for long-term and permanent retention are as follows:

1. Backup copies of such records on paper that meet the standards set forth at 15:3-2.7;

2. Backup copies of such records on microfilm that meet the standards set forth in N.J.A.C. 15:3-3; or

3. Electronic storage supported by a documented path to migrate and/or convert the electronic records and associated content to other media, with an emphasis on guarding against the risk of records loss due to the obsolescence of the underlying technology. The migration/conversion path must be supported by a system vendor(s) and/or trained in-house staff.

(d) Any image processing system used to create, store, or maintain public records classified as permanent, archival, or designated for archival review on a records retention schedule approved by the State Records Committee shall provide for the preservation of such records as set forth in (c) above. The agency must contact the Division separately, using the contact information provided on its Internet website, and receive the Division's approval, before disposing of the original records involved. The Division shall require the agency to store the original records on paper or in microfilm format in accordance with State standards, if the agency does not have a documented migration path as specified in (c)3 above.

(e) In all cases, preference shall be given to systems that are based on standard commercial off-the-shelf (COTS) technology supporting electronic document management systems (EDMS) and electronic content management systems (ECM), including image capture, processing, and management.

(f) Preference shall be given to those image processing systems which physically store the index entries related to an image, including the creation or scanning date, with the image.

1. Electronic date-stamping of imaged records, in addition to being useful for indexing purposes, shall be used to certify and authenticate the images for legal purposes.

2. If an imaging system creates and maintains external indexes, documented policies and procedures shall be established for backup and refreshing of such external indexes stored on magnetic or other media.

3. Documented policies and procedures shall be established to ensure the migration of all indexes, along with the associated images, to other systems or other media.

(g) Image processing systems used for keeping public records shall conform to a standard architectural framework for open systems, such as the Technical Architectural Framework for Information Management (TAFIM) published by the United States Department of Defense (DoD), the IEEE Guide to Open Systems published by the Institute of Electrical and Electronic Engineers (IEEE), or the X/Open Architectural Framework published by the X/Open Users Council of the Open Software Foundation (OSF), or their equivalent, whenever possible.

(h) Image processing systems shall implement an open systems environment, including a comprehensive set of interfaces, services, and supporting formats, plus user aspects for portability and interoperability of applications, data or users, as specified by the information technology standards and profiles cited in this subchapter.

(i) Preference shall be given to standard turn-key imaging systems and systems implemented in a commercial off-the-shelf (COTS) manner.

1. Customization of image processing systems shall be implemented only as necessary and appropriate.

2. Any customization or changes in configuration of an image processing system shall be documented.

(j) Application development software shall be based on the open systems model defined in 15:3-4.2 and (g) above, which allow for migration and portability of all application coding.

1. Application development software shall incorporate a full set of Application Program Interfaces (API). Application development efforts shall rely on API to the maximum extent practical.

2. Software customization implemented through any means other than API shall be discouraged, unless there is extraordinary and demonstrable justification for utilizing alternate software development approaches.

(k) Non-proprietary image file header labels shall be used by the image processing system, or the system developer shall provide a detailed definition of the image file header label structure by the image processing system. If a proprietary image header label is used, the system developer shall provide a documented, demonstrated, and tested bridge to a non-proprietary image file header label.

(l) The system hardware and/or software shall provide a quality assurance capacity to verify that information is written to the storage subsystem.

(m) All images reproduced by image processing systems shall exhibit a degree of legibility and readability comparable to the original image. The legibility of any such image displayed on a monitor or reproduced on paper shall be equivalent to resolution standards established under 15:3-4.6. Monitors and printers utilized by imaging systems shall have the ability to meet such standards.

(n) Public agencies shall ensure that electronic records storage systems receive periodic maintenance, inspection, and testing, as established under procedures in 15:3-4.7(e).

(o) Where applicable, the Use of Optical Disks for Public Records (ANSI/AIIM TR25-1995, incorporated herein by reference, as amended and supplemented) is recommended as guidance for system planning, implementation, and operation of imaging systems for public records.

N.J. Admin. Code § 15:3-4.3

Amended by47 N.J.R. 1345(b), Effective 6/15/2015