Records Retention

Records Retention

Electronic Records Retention

Records in all media, including electronic media

Before the advent of information technology, a record was typically thought of as a piece of paper that proceeded through a defined and predictable life cycle. It was created and used, filed and then destroyed, or, if of long-term value, given to the organization’s archives. Today, however, the record is often not a piece of paper, but information recorded by the use of a computer. Erasable immediately after it is created, the information exists in electronic form in the memory of a computer and becomes material (hard copy) only when a printout is made.

Those who work with various information technologies invariably make decisions about whether to retain information at the moment that it is either created or received. Thus, for example, an e-mail message relating to the mandate or function of the organization is sent, and once read, the message is often deleted by users. This may occur because technical or operational procedures for retaining and storing e-mail or other computer-generated information have not been adopted. The record, in any event, is not saved.

While few laws obligate institutions to create records, once created, such records are subject to various laws, including, for example, the Archives Act and the provincial and municipal Acts in Ontario, Canada. The former stipulates that records of the provincial government cannot be destroyed or permanently removed from government custody without the approval of the Archivist of Ontario. In addition, under the regulations to the Acts, government institutions are required not to inadvertently destroy records. The Archives Act and the Acts complement each other in this respect, although the former applies only to the records of the provincial government. Other provincial legislation may also designate a legal retention period for certain records.

At the same time, reference should be made to provisions in the Acts and regulations that deal with the preservation of personal information.

In requiring that records not be destroyed without proper approval, the legislation recognizes that those who work and make decisions in the public interest must be accountable for their actions and decisions. The saving of records is an essential component of accountability.

At the provincial level, a policy on retaining official records of the Government of Ontario has been adopted and is found in Management Board Directive 7-5, “Management of Recorded Information.” This Directive is supplemented by the Archives of Ontario Recorded Information Management bulletins and fact sheets, which provide advice on how official records, including electronic records, should be maintained, controlled and described in a way that allows them to be efficiently accessed, retrieved and interpreted. The Directive states that program managers are responsible for the records in their care.

This Directive applies to all recorded information created or commissioned by the institutions of the Ontario Government (all ministries and Schedule I agencies). The reports of consultants are included in this policy, as is recorded information acquired from other governments, government organizations, and individuals and organizations in the private sector. In the context of electronic records, official e-mail messages must be retained, as well as messages received from individuals or organizations posted on electronic bulletin boards, if the substance of the messages deals with the functions or mandate of the organization.

The exceptions to this general rule, established in the directive, allow for the destruction of duplicate records that have been produced for convenience or reference; as well as publications such as books, journals etc. which are part of an institution’s library holdings, or are intended to be part of a library. Duplicate stocks of publications, printed literature or blank forms can also be destroyed. (See Appendix A, Note 9)

Regarding electronic records, the Directive’s principle that temporary working papers, such as rough notes or informal drafts, that have no value in documenting the evolution or implementation of government policy or programs can also be destroyed must be considered very carefully. Since a great deal of what constitutes policy making and program implementation now takes place through the medium of networked computers, care should be exercised to ensure that all electronic records are not viewed as only being rough notes or informal drafts.

When new software or hardware is introduced

Another aspect of retaining electronically created records is maintaining and modifying the software systems documentation and other data management tools in order that information, data or text can be easily retrieved at some later date. This is particularly important since information technology changes so rapidly. This requires that institutions regularly purchase new hardware and upgrade existing software programs. Unless the stored data or information which has long term value is converted to the new systems, it may become very difficult if not impossible to obtain access to that data stored under older technology. Over time, the development of ‘open systems’ and standards will help as more information and data will be accessible without complex conversion.

Government organizations: integration of electronic records into their record retention scheduling process

When paper records were the norm, the question of what records to keep or destroy was usually made some time after the documents were created. In this respect, retention schedules were developed to indicate how long records were to be maintained by the particular department before they were destroyed or transferred to a records centre and archives.

Schedules should similarly be developed for electronic records. Early on in the development of electronic information systems, each department of the organization should determine the retention period for related groups of e-mail messages, reports, database files etc. and see that they are scheduled. This approach will help ensure that electronic records are kept as long as they are needed and that the permanent portions of electronic records can be selected and preserved by archives. Each department of the organization should determine the retention period for e-mail messages, reports, database files, etc. This approach will help to ensure that the permanent portions of electronic records can be selected and preserved more easily.

Security Issue: The vulnerability of electronic records

Without proper precautions, electronic records are vulnerable to unauthorized access and tampering. Among the strategies which organizations can apply to minimize the chance of a security breach are the following:

  • Levels of security and authorized access can be formalized for the organization through the use of passwords and sign-on identifiers.
  • Confidential information can be encrypted when stored or transmitted.
  • Records should also be secured from system failures and physical disasters.

Therefore:

Source: Paper of the Ontario’s Privacy and Information Commissioner

Records Retention and the Laws of International Trade

Records retention requirements

Export Administration System

Resources

See Also

Further Reading

  • Information about Records Retention in the Encyclopedia of World Trade: from Ancient Times to the Present (Cynthia Clark Northrup)

Comments

Leave a Reply

Your email address will not be published. Required fields are marked *