Electronic Records And Records Management Practices
State of FloridaELECTRONIC RECORDSANDRECORDS MANAGEMENT PRACTICESNovember 2010Florida Department of StateDivision of Library and Information cordsManagers
State of Florida Electronic Records and Records Management PracticesTable of ContentsWhat are Public Records? . 4Public Records Management, Responsibilities, and Requirements . 5Policies and Procedures . 7Managing Electronic Records . 8Records Inventory . 8Maintenance of Electronic Records and Media . 8Environmental Controls. 9Media Conversion . 9Managing Exempt and Confidential Public Records . 10Retention Requirements for Electronic Records . 10Destruction of Electronic Records . 14Electronic Communications as Public Records . 15Retention Requirements for Electronic Communications . 15E-mail Archiving . 16E-Discovery . 19Cloud Computing . 22Creating Electronic Records / Implementing Automated Systems . 24Conduct a Cost Benefit Analysis . 24Incorporate Recordkeeping Requirements into System Design . 24Document Electronic Recordkeeping Systems . 25Provide Training for Users of Electronic Records. 26Essential Characteristics of Electronic Records and Legal Admissibility . 27Sustainable Formats. 28Selecting Storage Media . 30Using CDs and DVDs for Storage . 31File Naming . 34Automated Systems to Manage Electronic Records . 35Frequently Asked Questions (FAQ) . 381.What are the requirements for scanning public records? . 38If I scan my records, can I get rid of the original hard copy? . 382.How long do we have to keep our e-mail? . 383.If we print out our e-mail messages, do we also have to keep them in electronic form? . 394.How long do we have to keep our back-ups? Should we keep e-mail back-ups permanently in case5.they are ever needed? . 39Are postings or messages on our website, Facebook page, or Twitter site public records? If so,6.how long do we have to keep them? . 40What are Florida’s requirements for electronic signatures? . 417.APPENDIX A - Department of State E-Mail Policy . 43APPENDIX B - Records Inventory Worksheet . 47APPENDIX C - Rule 1B-26.003 Florida Administrative Code . 492
State of Florida Electronic Records and Records Management PracticesPrefaceThe goal of Florida’s Records Management Program is to provide professional assistanceto state and local government agencies in managing the records and information requiredto take care of the business of government in an effective and cost-efficient manner. Thisis a particularly challenging goal in the 21st century. Florida public agencies generate andprocess information on an unprecedented scale, hastened by the rapid advance oftechnology. This results in vast quantities of information and evolving principles of lawgoverning the legality and admissibility of records created or maintained by thistechnology. As records and information managers, we must make every effort to keepourselves educated and informed so that the decisions we make are consistent with lawand best practices.Florida public agencies are faced with yet another challenge. Not only must we controlcosts through the application of sound records and information management principles,but we must also apply these principles in light of the public’s right to know. Chapter119, Florida Statutes, Florida’s Public Records Law, is one of the most open publicrecords laws in the country and a model for other states. Florida has had some form of apublic records law since 1909 and is recognized nationally for its leadership regardingpublic records and accessibility to public information. As we go about our business, wemust remember the dual responsibility we have as public records and informationmanagers: to reduce government agencies’ costs of doing business and to guarantee thepublic’s right to know what their government is doing.This handbook is intended to assist the creators and users of electronic records,information technology (IT) staff, records management (RM) staff, and agency managersin managing electronic records in an effective, cost-efficient manner that alsoaccommodates their public records responsibilities. The handbook emphasizes thecrucial role of records maintenance and disposition in managing electronic records and isdesigned to be used in conjunction with the Department of State’s Basics of RecordsManagement handbook. Available s.pdf, Basics provides an introduction andguide to public records management in Florida for state and local government agencies.The principals in the Basics handbook apply equally to public records in electronicformat.While the recommendations in this handbook reflect best practices, they are not meant todefine mandatory standards. Rule 1B-26.003, Florida Administrative Code, providesstandards for record (master) copies of public records which reside in electronicrecordkeeping systems, establishes minimum requirements for the creation, utilization,maintenance, retention, preservation, storage, and disposition of electronic record(master) copies, regardless of the media, and must be followed by all agencies as definedby Section 119.011(2), Florida Statutes.3
State of Florida Electronic Records and Records Management PracticesWhat are Public Records?Electronic records that meet the definition of a public record must be managed and madeavailable according to applicable laws and rules. The Florida Public Records Law,Chapter 119, Florida Statutes, defines public records as:“all documents, papers, letters, maps, books, tapes, photographs, films, soundrecordings, data processing software, or other material, regardless of the physicalform, characteristics, or means of transmission, made or received pursuant to lawor ordinance or in connection with the transaction of official business by anyagency.”The Florida Supreme Court further interpreted the statutory definition to mean “anymaterial prepared in connection with official agency business which is intended toperpetuate, communicate, or formalize knowledge of some type,” 1 and the courts havedetermined that information stored in a public agency’s computer “is as much a publicrecord as a written page in a book or a tabulation in a file stored in a filing cabinet. . .” 2Section 119.01(2)(a), Florida Statutes, provides that “Automation of public records mustnot erode the right of access to those records. As each agency increases its use of anddependence on electronic recordkeeping, each agency must provide reasonable publicaccess to records electronically maintained and must ensure that exempt or confidentialrecords are not disclosed except as otherwise permitted by law.” Therefore agenciesmust take steps to ensure that their electronic records are properly maintained andavailable when requested.An electronic record is any information that is recorded in machine readable form. 3Electronic records include numeric, graphic, audio, video, and textual information whichis recorded or transmitted in analog or digital form such as electronic spreadsheets, wordprocessing files, databases, electronic mail, instant messages, scanned images, digitalphotographs, and multimedia files.An electronic recordkeeping system is an automated information system for theorganized collection, processing, transmission, and dissemination of information inaccordance with defined procedures. 41Shevin v. Byron, Harless, Schaffer, Reid and Associates, Inc., 379 So. 2d 633 (Fla. 1980)Seigle v. Barry, 422 So. 2d 63, 65 (Fla.4th DCA 1982), review denied, 431 So. 2d 988 (Fla. 1983).3Rule 1B.26.003(5)(e), Florida Administrative Code; Rule 1B.24.001(3)(e), Florida Administrative Code4Rule 1B-26.003(5)(f), Florida Administrative Code24
State of Florida Electronic Records and Records Management PracticesPublic Records Management, Responsibilities, andRequirementsChapter 119, Florida Statutes, defines "custodian of public records" as “the elected orappointed state, county, or municipal officer charged with the responsibility ofmaintaining the office having public records, or his or her designee.” Responsibility forproperly maintaining public records, including electronic records, begins with the head ofthe agency. Elected or appointed officials may designate others with this responsibilitybut, if records are not available when they should be, it is the agency head who ultimatelywill have to answer for it. It is, therefore, in the agency’s best interest to support theproper management of its public records.Agencies have a variety of public records responsibilities under Florida statute andadministrative rule. Specifically: Chapter 119, Florida Statutes, requires records custodians to allow inspection andcopying of public records except for those specifically confidential or exemptfrom inspection by statute. Chapter 257, Florida Statutes, requires agencies to establish and maintain anactive and continuing program for the economical and efficient management ofrecords. Chapters 119 and 257, Florida Statutes, as well as Rule 1B-24, FloridaAdministrative Code, require that agencies adhere to records retention schedulesestablished by the Division of Library and Information Services of theDepartment of State and prohibit destruction of public records except inaccordance with those retention schedules. Agencies are further required to appoint a Records Management Liaison Officer(RMLO), to submit to the Division of Library and Information Services an annualrecords management compliance statement, and to document disposition of theirpublic records (Chapter 257, Florida Statutes, and Rule 1B-24, FloridaAdministrative Code).These requirements apply to public records in all formats, including records createdand/or maintained in electronic format. The complex characteristics of electronicrecords, and the rapid changes in the hardware and software used to access them, makethese requirements even more challenging; as a result, electronic records are typically notas well managed as records in other formats. The massive quantities of electronic recordsmake it even more difficult to manage them effectively.Therefore, it is critical for agencies to establish a program for the management ofelectronic records that incorporates the program elements necessary to meet publicrecords requirements. These program elements include:5
State of Florida Electronic Records and Records Management Practices Administering an agency-wide program for the management of records created,received, maintained, used or stored on electronic media. Ensuring that all electronic records are covered by records retention schedules. Integrating the management of electronic records with other records andinformation resources management programs of the agency. Incorporating electronic records management objectives, responsibilities, andauthorities in agency directives. Establishing procedures for addressing electronic records managementrequirements, including recordkeeping requirements and disposition. Ensuring that agency electronic recordkeeping systems meet state requirementsfor public access to records. Providing an appropriate level of security to ensure the integrity of electronicrecords. Ensuring that training is provided for users of electronic records systems in theoperation, care, and handling of the equipment, software, and media used in thesystem. Ensuring the development and maintenance of up-to-date documentation about allelectronic records systems that is adequate to specify all technical characteristicsnecessary for reading or processing the records and for the timely, authorizeddisposition of records. Specifying the location and media on which electronic records are maintained tomeet retention requirements and maintaining inventories of electronic recordssystems to facilitate disposition. Ensuring the continued accessibility and readability of electronic recordsthroughout their life cycle.Successfully implementing these program elements requires a coordinated effort withinthe agency. The effort needs support of the agency head and other management andrequires the expertise of the agency RMLO and other RM staff, IT staff, legal staff, andrecords custodians. IT plays a vital role in maintaining electronic records as they createand maintain the infrastructure on which the records reside. It is important for key staffto work together to ensure that electronic information is available, preserved, anddisposed of according to applicable laws and rules.6
State of Florida Electronic Records and Records Management PracticesPolicies and ProceduresAgencies must establish policies and procedures to ensure that electronic records andtheir documentation are retained and accessible as long as needed. Agencies are requiredto include electronic records management objectives, responsibilities, and authorities inpertinent agency directives, or rules, as applicable. 5 Agencies can begin to manage theirelectronic records by incorporating electronic records into any general agency recordsmanagement policies they may have in place. They should specify in their recordsmanagement policies that those policies apply to public records in any and all formats,including electronic format, and they should ensure that employees are educatedregarding these policies.Similarly, records management requirements should be incorporated into the agency’s ITpolicies; for instance, if the agency has an e-mail policy, it should alert users that e-mailsas well as other forms of electronic communication relating to agency business are publicrecords and are subject to all public records access, duplication, retention, and legaldiscovery requirements. An example of how this can be done is shown in the Departmentof State’s internal e-mail policy in Appendix A.Rule 1B-26.003(12), Florida Administrative Code, specifies that agency policies andprocedures include provisions for: Scheduling the retention and disposition of all electronic records, as well asrelated access documentation and indexes, in accordance with the provisions ofRule 1B-24, Florida Administrative Code. Establishing procedures for regular recopying, reformatting, and other necessarymaintenance to ensure the retention and usability of the electronic recordsthroughout their authorized life cycle. Transferring a copy of the electronic records and any related documentation andindexes to the State Archives of Florida at the time specified in the recordsretention schedule, if applicable. Destruction of electronic records. Electronic records may be destroyed only inaccordance with the provisions of Rule 1B-24, Florida Administrative Code. Ata minimum each agency shall ensure that: Electronic records scheduled for destruction are disposed of in a mannerthat ensures that any information that is confidential or exempt fromdisclosure, including proprietary, or security information, cannotpracticably be read or reconstructed, and; Recording media previously used for electronic records containinginformation that is confidential or exempt from disclosure, includingproprietary or security information, are not reused if the previouslyrecorded information can be compromised in any way by reuse.5Rule 1B-26.003(6), Florida Administrative Code7
State of Florida Electronic Records and Records Management PracticesManaging Electronic RecordsAs with records in other formats, electronic records must be managed through their entirelife cycle from creation, when the records are created or received; through their activelife, when the records are accessed frequently (at least once a month); through theirinactive life, when the records are no longer active but have to be retained for a period oftime for legal, fiscal, administrative, or historical reasons; until their final dispositionwhich could be destruction or preservation as a permanent record.Records InventoryIn order to know what electronic records must be managed, agencies should create aninventory or other means of identifying and locating all of their records, regardless offormat, and ensure that all the records are included in approved retention schedules. TheRecords Inventory Sheet included in Appendix B can be used in this process.Maintenance of Electronic Records and MediaThere is often a presumption that because information is stored in the computer or ondisk or tape, it is s
information technology (IT) staff, records management (RM) staff, and agency managers in managing electronic records in an effective, cost-efficient manner that also accommodates their public records responsibilities. The handbook emphasizes the crucial role of records maintenance and disposition in man
Records Management System (ERMS). Johnston and Bowen (2005, p.132) define the term ERMS in the following way: "An electronic records management system (ERMS), as the term stands, could be an electronic system for managing records on any media. An electronic system for managing paper records in a records centre or
The paper begins with definitions for Electronic Health Records (EHR), Electronic Medical Records (EMR), Personal Health Records (PHR) and Health Information Technology (health IT). It then explains the steps involved in planning for and implementing electronic records,
management of electronic records is incorporated with general records management strategies. After administering the questionnaire to employees from twenty-one federal agencies, two state agencies, and one private sector business, the ERM Research Team identified three major issues affecting the current state of electronic records management.
documents, and any attachments, such as word-processing and other electronic documents, which may be transmitted with the message. (Defined in the CFR as an electronic mail message.) Electronic Records/ e-Records Records stored in a form that only a computer can process. Records
4.11 Records Security and Business Continuity 28 Useful Guidance 29 5.1 Adopted Persons Health Records 29 5.2 Ambulance Service Records 29 5.3 NHS 24 Records 29 5.4 Asylum Seeker Records 30 5.5 Child School Health Records 30 5.6 Complaints Records 30 5.7 Controlled Drugs Regime 31 5.8 Data Processors, Subcontractors and Changes in Contracts 31
their electronic records and to transfer to NARA electronic records that are permanently valuable. Bulletin 2006-02, along with subsequent related NARA bulletins and the E-Government Act provisions, outlined the goals and responsibilities for NARA and Federal agencies under the Electronic Records Project.
The CRRG supports the UW-Records Management Program's participation in the Office of Quality Improvement's Quality Showcase every year. In 2012 UW-Records Management participated with a poster titled: UW-Madison Records Management: Electronic Communication Guidance for the Management of E-mail, Text and Chat Records. The poster
piece of paper and draw an outline of your chosen animal or person. 2. sing and dance when they If you would like to make more than one of any animal or person, fold your paper a few times behind the outline. You could also cut out your outline and trace around it. 3. from things they may Think of how to connect your paper animals or people.
