Electronic Records Guidelines

February 20, 2002

1. Purpose of Recordkeeping: Records are necessary for government to run efficiently. They also provide accountability to the public, so that people understand what the government does and why. Records serve as our collective memory and offer future generations details about what we already know and take for granted. Government uses records to remember its decisions and processes so that it does not need to reinvent the wheel, and to protect its legal rights. Citizens use government records for a wide variety of personal and educational reasons and for historical and legal research.

Records are more than just information or discrete pieces of data. Records must provide context and structure, which gives the information real-world meaning. Context includes metadata, and answers the questions of "who, what, why, when, and where." Structure identifies the logical and physical relationships of data elements in the record. Content, context, and structure contribute to a document's authenticity and its ability to act as evidence. To manage records properly, the intertwined content, context, and structure must all be considered together.

Records are created to document business transactions, policies, procedures, programs, and events. Only a small percentage of records continue to have value indefinitely and are kept permanently, however. The greatest volume of records have value for three years or less, at which point they are destroyed.

Destroying records of limited value saves the state both space and money. Keeping records and destroying records are both equally important, and the decision of whether to keep or destroy is based upon the content of the records, not the media upon which they may reside or the types of systems used to create them. Destroying records outside of an approved retention schedule is in contravention of the Government Records Access and Management Act, UCA 63-2-905(3).

2. Authority: UCA 63-2-901(2) states that the state archives shall:

(a) administer the state's archives and records management programs, including storage of records, central microphotography programs, and quality control;

(b) apply fair, efficient, and economical management methods to the collection, creation, use, maintenance, retention, preservation, disclosure, and disposal of records and documents;

(d) conduct surveys of office operations and recommend improvements in current records management practices, including the use of space, equipment, automation, and supplies used in creating, maintaining, storing, and servicing records;

(e) establish standards for the preparation of schedules providing for the retention of records of continuing value and for the prompt and orderly disposal of state records no longer possessing sufficient administrative, historical, legal, or fiscal value to warrant further retention.

3. Definitions:

3.1 "Electronic source records" are the state of records prior to being placed in a recordkeeping system. These records may be contained in electronic mail systems, or be named files created with desktop software that are saved on local disks or drives. As soon as these records are stored within a recordkeeping system, the electronic source record becomes an expendable duplicate.

3.2 "Long-term records" are those records which have administrative, fiscal, or legal value and are needed for 10 years or more. They will eventually be destroyed, as they do not have historical research value. An example includes personnel records.

3.3 "Metadata" is data about data. It is not part of the content of a record, but is generally the hidden data captured during transactions, such as the date and time someone received an email. Metadata helps provide context to records.

3.4 "Permanent records" are those records which do have historical value and will never be destroyed. An example includes birth or death certificates.

3.5 "Record", according to UCA 63-2-103(18)(a), means all books, letters, documents, papers, maps, plans, photographs, films, cards, tapes, recordings, electronic data, or other documentary materials regardless of physical form or characteristics:

(i) which are prepared, owned, received, or retained by a governmental entity or political subdivision; and

(ii) where all of the information in the original is reproducible by photocopy or other mechanical or electronic means.

According to UCA 63-2-103(18)(b), "Record" does not mean:

(i) temporary drafts or similar materials prepared for the originator's personal use or prepared by the originator for the personal use of an individual for whom he is working;

(ii) materials that are legally owned by an individual in his private capacity;

(iii) materials to which access is limited by the laws of copyright or patent unless the copyright or patent is owned by a governmental entity or political subdivision;

(iv) proprietary software;

(v) junk mail or commercial publications received by a governmental entity or an official or employee of a governmental entity;

(vi) books and other materials that are cataloged, indexed, or inventoried and contained in the collections of libraries open to the public, regardless of physical form or characteristics of the material;

(vii) daily calendars and other personal notes prepared by the originator for the originator's personal use or for the personal use of an individual for whom he is working;

(viii) computer programs as defined in Subsection (4) that are developed or purchased by or for any governmental entity for its own use; or

(ix) notes or internal memoranda prepared as part of the deliberative process by a member of the judiciary, an administrative law judge, a member of the Board of Pardons and Parole, or a member of any other body charged by law with performing a quasi-judicial function.

3.6 "Record series" is a group of records, generally filed together, which are created for a common purpose and share a common retention. For example, single paper documents or forms may comprise one file, and several files comprise a record series. With regard to electronic records, a single database may comprise multiple record series, depending on its structure and functions. On the other hand, an electronic mail message or desktop file may comprise only one record within a record series.

Records of different agencies or offices are not part of the same record series. Personnel records from the Dept. of Transportation are a different record series from personnel records of the Dept. of Health, though they may contain essentially the same information.

3.7 "Recordkeeping copy" is the copy of the record that is managed by a recordkeeping system. It is usually kept the longest of all the copies. The recordkeeping copy originates from the Electronic Source Record.

3.8 "Recordkeeping system" is a management technique, electronic or paper-based, that tracks records throughout their lifecycle, provides security against unauthorized access to the records, and assists in their retention and disposition. The recordkeeping system houses the recordkeeping copy, which is organized by record series.

3.9 "Retention schedule" is a timetable of how long to keep specific record series. A retention schedule may be one of two types: a general retention schedule applicable to all agencies, or a specific schedule which is applicable to only one agency. The records of all agencies fall under the rubric of general retention schedules unless that agency has established its own specific schedule for its needs.

General retention schedules provide timetables for administrative types of records only, not programmatic records that may be more unique from one agency to the next. Published general retention schedules have already been approved by the State Records Committee for use and may be followed by any agency. Unique retention schedules for state agencies must be approved by the State Records Committee before they become legally valid.

3.10 "Short-term records" are records which have a retention of less than ten years. An example includes invoices.

4. Scope: These recommendations are applicable to all state and local governmental entities in Utah which are subject to the Government Records Access and Management Act, and the electronic records created or received by those entities.

5. Recommendations: Electronic records will be identified and managed according to stipulations within the Government Records Access and Management Act, UCA 63-2-101 et seq., including the creation of retention schedules and disposing of records according to them.

5.1 Short-term records: These records will be managed by the creating agency, and any storage media chosen will be left to the discretion of the agency.

5.2 Long-term records: These records will be managed by the creating agency, and any storage media chosen will be left to the discretion of the agency. The agency will then (1) upgrade the system as necessary to current technology standards so the data remain useable over time, and (2) test any storage medium used for accuracy or loss of data at regular intervals, according to the risk factors identified below.

5.2.1 High-risk records: These are records whose loss would pose a significant fiscal, legal, or administrative risk to an agency if they could not be accessed or read for the entire length of their retention. These records will be managed according to the Archives' Procedures for Managing High-Risk or Permanent Electronic Records.

5.2.2 Medium-risk records: These are records whose loss could pose a fiscal, legal, or administrative risk to an agency if they could not be accessed or read for the entire length of their retention, but agencies have discretion in weighing resources vs. business need. Choice of storage media may contribute to the degree of risk. These records should be managed according to the Archives' Procedures for Managing Medium-Risk Electronic Records.

5.2.3 Low-risk records: These are records whose loss would pose limited fiscal, legal, or administrative risk to an agency if they could not be accessed or read for the entire length of their retention. These records should still be managed, but choice of storage media and the timetables for testing and replacing media will be left to discretion of the agency as resources allow.

5.2.4 Documentation: Agencies are encouraged to maintain adequate and up to date technical documentation for each electronic information system that produces, uses, or stores long-term data files. Recommended documentation is the following:

(a) A narrative description of the system;

(b) Physical and technical characteristics of the records, including:

(i) A record layout that describes each field including its name, size, starting or relative position, and a description of the form of the data (such as alphabetic, zoned decimal, packed decimal, or numeric), or

(ii) A data dictionary, or

(iii) The equivalent information associated with a data base management system including a description of the relationship between data elements in data bases; and

5.3 Permanent records: These records will be managed either by the creating agency or the Archives. The custodian of the recordkeeping copy will follow the Archives' Procedures for Managing High-Risk or Permanent Electronic Records.

5.3.1 Agency custody: If the agency has an administrative need to access the records indefinitely, the recordkeeping copy may reside with them. Alternatively, the recordkeeping copy may be transferred to the Archives according to timetables established during the retention scheduling process, and the agency will then use the electronic source record for its needs. The management of the electronic source record will be left to the discretion of the agency.

5.3.2 Archives custody: Records which are not needed administratively by the creating agency may be transferred to the Archives. Records of defunct agencies must be transferred to the Archives, according to UCA 63-2-902(3)(b). Records and accompanying documentation will be transferred to the Archives according to the Archives' Procedures for Transferring Permanent Electronic Records.

5.3.3 Documentation: Agencies will maintain adequate and up to date technical documentation for each electronic information system that produces, uses, or stores permanent data files. Minimum documentation required is the same as described in 5.2.4.

5.4 Database creation: When a new database is created, retention and disposition information will be incorporated into the system, and a procedure for moving inactive data offline will be developed. Risk level (in the event of data loss) will be determined, and the associated procedures and functionality needed to address that risk, as identified under 5.2.1 - 5.2.3, will be incorporated into the system.

5.4.1 Databases with permanent records: A function of the system will include the ability to copy any permanent records to a format acceptable for transfer to the Archives per the Archives' Procedures for Transferring Permanent Electronic Records.

5.5. Destruction of records: Records may not be destroyed prior to the time outlined in their approved retention schedule (see UCA 63-2-905), and should be destroyed when their retention has been met. Destruction includes physically damaging offline storage media to the point that no records can be read.

5.5.1 Erasure: All residual traces of a record in the online system should be removed when retention has been met. Erasure does not guarantee destruction of the record.

5.5.2 Loss of data: Data lost due to technological obsolescence, poor storage conditions, and general failure of the media upon which the data reside destroys records as effectively as through conventional means. To minimize this loss, electronic records should be managed proactively.

5.6 Electronic mail: Email which is determined to fall under the definition of a record will follow its approved retention schedule. Both the electronic source record and the recordkeeping copy will follow the Archives' Electronic Mail Guidelines. Electronic mail appropriate for transfer to the Archives will additionally follow the Archives' Procedures for Transferring Permanent Electronic Records.

5.6.1 Recordkeeping system: The system used to manage the recordkeeping copy of email will be determined by the agency. The recordkeeping system will include functionality identified by the Archives' Recordkeeping System Guidelines.

5.6.1.1 Paper-based systems: Email managed by a paper-based recordkeeping system will include a printout of the following: name and email address of who sent the message, names and email addresses of those the email was sent to, date email was sent, date email was read, subject line of email, message body of email, any attachments, and all associated metadata.

5.6.1.2 Electronic-based systems: Email managed by an electronic recordkeeping system will include all content and metadata for the email and any attachments.

5.6.2 Determination of record series: The person who will decide which record series and retention schedule is appropriate for a given email message will be determined by the agency. This person may be the sender of the message or a records officer designated to this task. Alternatively, the agency may choose to automate this process through software. The person who makes this determination will place the record into the recordkeeping system.

5.6.3 Electronic source record: The electronic source record of the email, contained within the email system, may be destroyed automatically by the email system on timetables established by the agency after the email has been copied to a recordkeeping system.

5.6.4 Backup systems: Backup copies of email systems will be cycled and replaced according to timetables established by the agency. Timetables are encouraged to be of short duration so that the recordkeeping function remains with the recordkeeping system, not the backup system.

5.7 Desktop files: Named electronic files produced with desktop software will be managed by a recordkeeping system determined by the agency. As with other record types, they will follow an approved retention schedule for their record series. Permanent files may be transferred to the Archives according to the Archives' Procedures for Transferring Permanent Electronic Records.

This page was last updated August 1, 2008.