Understanding Records Management: Electronic Records

KRS 369.102 defines "electronic record" as a record created, generated, sent, communicated, received, or stored by electronic means. A "record" is defined as information (data, text, images, sounds, codes, computer programs, software, databases, or the like) that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.

Electronic records, like any other record, must be maintained in a reliable and secure format for the entire retention period. Electronic records are machine-readable , they require hardware and software to be interpreted. Hardware and software is constantly evolving. If the retention period is longer than five years, then the agency needs to have a plan for migrating or converting the records to a new format and/or storage medium.

For records created electronically (word processing files, spreadsheets, databases, e-mail, web pages, etc.), specific laws and regulations related to governmental functions may define how records are created, formatted, and maintained. (Guidelines for File Formats) These requirements, as well as legal minimum retention periods established by records retention schedules, should be identified and accounted for when planning to maintain records solely in an electronic format.

Electronic records are not always destroyed when deleted from a computer. By deleting a file, and removing it from any "recycle bin" or "trash file," you are telling the computer that the file is unimportant and remove any reference links to the file. If the computer then needs the space taken by the deleted file, then it will overwrite the file with a new one. If your computer is not at its memory capacity and the computer doesn’t need the space, then the file may not be removed. This is how "lost" computer files are recovered. There are special programs that can search hard-drives and recover these files.

Deleted files may also be stored on backup tapes, or on the agency's server, for several days, weeks or months after they are deleted from an employees workstation. Employees need to keep in mind that sending a file via e-mail allows that file to travel across a wide network of computers, any one of which could retain that file indefinitely.

Individual employees are responsible for deleting messages on their own workstation in accordance with the appropriate records retention schedule. Agencies need written procedures for ensuring that deleted messages are rendered unrecoverable on a regular basis. There are a variety of software packages that will permanently remove files from computers. An agency may need to reformat or degauss (demagnetize) disks or drives to properly remove deleted files. For information that is restricted, the physical medium (disks or drives) might have to be destroyed to ensure that the information is non-recoverable.

Rapid changes in technology mean that file formats can become obsolete quickly and cause problems for your records management strategy. Agencies wishing to maintain records in an electronic format for more than 5 years, should have a migration /conversion plan in place to ensure that their records are maintained in a readable format. For more on formats see: Electronic Records Management Guidelines - File Formats

Legally, your records must be authentic, complete, accessible, legally admissible in court, and durable for as long as your approved records retention schedules require. Nevertheless, electronic records can be challenged in court based on the rules of best evidence and the procedures followed in creating and storing the records. Agencies should be prepared to provide complete system documentation to courts seeking authentication of legal documents.

The policy memorandum was written to address the issues surrounding the retention of digitally imaged (scanned) public records. State agencies desiring to maintain long-term optically recorded public records without manual, eye-readable backups may petition the Director, Public Records Division, KDLA, for relief from this responsibility by demonstrating that the agency is following the guidelines set out in the KDLA Policy Memorandum PM-96-1 on Optical Storage of Public Records.