Chapter 2 Records Management — General Information

Electronic Records

Electronic records are informational files or data files that are created and stored in digitized form through the use of computers and applications software. Electronic records are distinct from digitized images as they are created as electronic documents and not converted from another form to a digitized picture. Digitized documents are, for the purposes of this discussion, not electronic records. Electronic records are always machine dependent formats; thus electronic records are accessible and readable only with the assistance of digital processors.

Although audio and video tapes are forms of electronic records, they are excluded from this discussion because their retention and disposition are discussed extensively in the body of the University Records Retention and Disposition Schedule. Electronic records are the products of computers and computer applications software; electronic records by definition do not include the software used in the record creation or record keeping process. Computer programs, unless customized and developed as part of a research project, are not considered electronic records. Computer software, like the computer hardware necessary to run the software, should be considered an office supply or item of equipment and not an electronic record in and of itself.

Legal Nature of Electronic Records

Electronic records information may be stored on a variety of magnetic and optical storage devices. The format of an electronic document does not change the fact that it is a record in the legal and practical sense, but its electronic form and its dependence on machines for creation and reference does change the way these records must be stored and managed.

Oregon law clearly includes all electronic information and record formats as public records. Oregon Revised Statutes (ORS) 192.005 defines a public record as "… a document, book, paper, photograph, file, sound recording, machine readable electronic record or other material… regardless of physical form or characteristic, made, received, filed, or recorded in pursuance of law or in connection with the transaction of public business …" This view of electronic records is inclusive of any information created and recorded on a computer by a public employee regardless of its confidentiality or legal restrictions upon its public disclosure.

Electronic records are included in the Oregon Public Records Law; access to and disclosure of information contained in them is made under the same set of rules that cover paper-based public records. Questions about access to electronic records and requests for access to public records should be referred to the University Archivist or the University Legal Advisor.

Formats

Electronic Record Formats — Electronic records or files have many different forms and formats. The lines separating the types of electronic records have become increasingly blurred. Numerous software applications have the capacity to combine graphics, text, and sound into single records. Networked systems allow multiple authors to work on a single document. As software becomes increasingly sophisticated, the electronic record can assume different forms depending on the software used to access it. There are, however, some distinct types of electronic records which can be identified and their dispositions easily determined.
Text Format — Although text has traditionally been used to prepare hard copy records through the use of word processing and desktop publishing software, text documents are now often created for use only in machine readable form. However, the vast majority of textual electronic records continue to consist of drafts and copies of correspondence, memoranda, reports, and publications distributed in hard copy form. In addition to word processing and desktop publishing software, many other types of software (including spreadsheets and database management programs) can be used to create text documents.
Database Format — Databases consist of data elements organized and stored so that the elements can be manipulated or extracted to serve diverse applications. However, the database as a whole is managed electronically and independently of the special application. Databases contain large amounts of information organized in data fields which may contain text, numbers, graphics, or mixed character elements. A database may be as simple as a five-field 100-record mailing list on a microcomputer or as complex as a 100- field, 1,000,000-record multi-user system employed by large governmental agencies.
Databases are created and accessed through a variety of commercially developed and customized database management systems (DBMS). Reports based on database information are often printed out, but databases remain in electronic form and are rarely printed out in their entirety.
Electronic Mail Format — Electronic mail (e-mail) consists of any memo, letter, note, report, or communication between individuals and groups that is stored and/or transmitted in a format that requires an electronic device to capture and access. E-mail is perhaps the most common electronic record format found in most offices on campus. Electronic mail systems are designed to automate office communications. Most important messages that perform a directive (policy or procedural) function are correctly printed on paper and filed in the office files. However, the vast majority are transitory and exist only in electronic form.
Voice Mail Format — Voice mail consists of messages recorded on the university computerized telephone message system. Voice mail allows the recipient to hear and respond to telephone messages at a later time.
Electronic Publications Format — Public access servers provide access to electronic files to anyone, worldwide, who has compatible systems and appropriate connections. Public information servers are tools for distributing information electronically and serve as a form of electronic publishing. Public information servers usually consist of software that link remote and networked personal computer work stations to a central file server and through that to similar file servers located elsewhere. The World Wide Web servers at the University are a common type of public information server. The files located on public information servers must be considered publications.
Graphics Format — Commercial packages containing graphic applications are widely available and allow users to create graphics ranging from simple figures and tables to extremely complex images. Digitizing scanners and video conversion hardware also allow for the direct conversion of visual images into digital format for electronic manipulation and storage.

Electronic Records Retention Guidelines

Text and Data Files — Electronic records which are meant to be documents are generally developed through a word processing or database application. If your office prints out documents produced and retains them in hard copy, the electronic copy may be deleted immediately. If you retain the record copy of a document only in electronic form, then it should be kept for the period of time specified in the University Records Retention and Disposition Schedule. For example, electronic records created as part of a scientific research project should be retained for the period of time specified in the Grant Project Research Records or the Laboratory Notebook record series disposition found in the Grants & Research Section of the University Records Retention and Disposition Schedule.
If a classroom instructor maintains students' grade records only in electronic form, the electronic records should be kept for the retention period specified under Teachers' Grade Records disposition in the Student Records Section of the University Records Retention and Disposition Schedule.
Electronic Mail — The person who transmits an e-mail message is responsible for retention of that message in accordance with retention guidelines described below. Messages received by an individual or office on the e-mail system may be deleted when the messages no longer have administrative value.
The nature of electronic mail communications allows us to use the retention periods in the University Records Retention and Disposition Schedule for the vast majority of records transmitted by e-mail. Please note that if an item of correspondence falls into a category which requires that it be retained more than a few years (such as Administrative Correspondence, which has a five year retention period), it should be printed out and filed as part of the regular office files. E-mail messages which are printed out should normally be deleted in order to reduce unnecessary duplication.

Records which will ultimately go to the University Archives for permanent retention must be printed out. The Archives does not accession or provide reference services to permanent records in electronic format at this time. For additional information on e-mail, see the State Archives' State Agency E-mail Policy Guidelines.
Voice Mail — It is recommended that substantive messages be retained for the automatic storage period of ten days and be allowed to be automatically deleted by the system at the end of ten days. If a message has an administrative, fiscal, legal, or historical value that exceeds the ten-day default retention period, then it is recommended that the message be summarized or transcribed and filed with the appropriate administrative records in the unit's files. Messages lacking substantive content, such as "call me back" and "please send me a copy of" should be deleted after hearing.
Public Information Server — The files located on public information servers are considered publications. Electronic publications should be printed out and retained in hard copy exactly as printed publications would be retained and preserved.
Fiscal Records — If records of financial transactions are created or maintained in electronic form, e.g. ledgers, journals, balance sheets, spreadsheets, etc., then they should be retained in electronic form until they are released from audit. Whether fiscal documents are printed out or converted to microfilm, the State Audits Division of the Secretary of State's Office requires that the electronic form be available for audits. This requirement does not prevent an office from removing the electronic records from the system for storage on magnetic media such as tape or disk.
If inactive electronic records or systems in your custody do not easily and logically fit within a record series addressed in the University Records Retention and Disposition Schedule, several critical questions should be answered in order to determine the appropriate disposition. When an electronic record created and maintained in your office is no longer essential to performing ongoing functions, they should be disposed of as any obsolete or useless paper record.

Electronic Records Management Recommendations

Active Electronic Records Systems — Electronic records systems that have continuing utility and value must be actively maintained by the creating unit. Maintaining these systems will entail routine system backup and may involve periodic or scheduled recopying data from old to fresh storage media. OAR 166-020-0045(2) also directs state agencies to "store security copies of essential electronic records systems off the premises where the system is used, along with any system documentation necessary to enable recovery of the system in the event of an emergency."
Continued maintenance of electronic systems may require the records management officer to migrate records and data to new systems that can take advantage of the most current systems hardware and software. Prudent management requires that offices and units committing long-term records to electronic records systems provide a system and data migration plan to the agency records officer (University Archivist).

The plan should specify a schedule for data back-ups and recopying as well as require backwards compatibility of a new electronic records system. Backwards compatibility means that, to perform continuing functions, new systems must be able to access and read previously created electronic records and data.
Backup Recommendations — In order to protect valuable university data from accidental erasure, disaster, or system malfunctions, a backup procedure should be in place for every office on campus. The frequency of data backups should be determined by office personnel based on the frequency of data changes and the volume of records affected by the periodic changes. Some offices may need daily backups to protect vital records; others may require only weekly or monthly backups.
Standard procedure dictates that the "three generations" backup rule be followed for all units. The three-generation procedure requires that the three most recent backup tapes or disks be kept at all times and that the oldest backup copy be used for making a new backup copy. Similarly, it is recommended that some type of off-site storage of backup tapes or disks be arranged. At a minimum this means that backups should be stored in a building on campus separate from the facility housing the electronic records system.
Destruction of Confidential Electronic Records — More and more records maintained by the University contain confidential and personal privacy information, particularly records maintained in electronic form. Special methods of destroying confidential paper records are discussed at length in Chapter 3. It is equally important that electronic records containing confidential or personal privacy information be destroyed in a careful and confidential manner.
When record data on removable electronic media, such as diskettes and CD-ROM, contain protected information and the data for reasons of obsolescence are no longer needed, it is important to destroy the actual magnetic storage unit. It is not wise to send diskettes out of the office for use by others, even if the diskettes have been reformatted. The nature of magnetic media makes it easy to recover files that have been recorded even if they have been erased or the media reformatted.

The same cautions must be exercised when surplusing computer equipment containing hard disk drives. Hard disk drives must at least be reformatted before they leave the office for another department or surplus property. If the hard drive contains confidential information it is advisable to delete the contents of the drive using one of the commercially available erasing and data blanking programs. The most desirable solution to the potential loss of control over confidential or personal privacy information is to remove and retain the hard disk drive in the office or destroy it.
Managing Electronic Records of Long-term Value — If an inactive record system must be retained for a period exceeding one year, special measures must be taken to keep the information accessible. This requirement is due to the instability of magnetic media and to some accessibility considerations unique to electronic records. Records that will ultimately go to the University Archives for permanent retention must be printed out on good quality white paper. The Archives cannot accession or provide reference services to records in electronic format at this time.