Electronic records

Information technology has revolutionized the way in which University offices create, store, and manage their records. Information has moved from paper letters to email messages. Calendars, annual reports, leaflets, and other publications are now more likely to be accessed through web sites. Relational database systems have replaced transcript cards, paper forms, and case files.

With these new technologies, come questions on how to efficiently manage your electronic records. How do you distinguish e-mails worth saving from other messages, such as personal or routine e-mail? How do you ensure that electronic records having long term administrative, legal or research value can be accessed and read in ten or fifteen years from now? How can you quickly find a document in your computer directory?

In 2005, the Canadian General Standards Board published a new standard Electronic Records as Documentary Evidence (CGSB-72.34-2005). This standard "specifies in broad terms the policies, procedures, practices and documentation that organizations need to establish the integrity and authenticity of recorded information as an electronic record in an electronic records management system (RMS)." In addition to this resource, the following checklist is provided to assist faculties, departments, and administrative units in establishing good business practices to manage the University’s electronic information resources. Implementing these tips will help to ensure that electronically stored records are easily retrievable, useable, and protected for years to come.

• Apply records management principles to all of your office’s records, including those that are produced electronically. If you wish to learn more about records management practices, take a UTARMS’ training seminar.
• Keep in mind that many of the electronic documents you create are University records. A University record is any document created in the course of University activity that is recorded evidence of that activity such as a letter, memorandum, report, computer database file, e-mail, video tape or film, photograph, map, drawing and any other thing on which information is recorded or stored.
• Remember that electronic records are subject to the same legal and legislative requirements as any record produced in any form or media.
• Purge regularly electronic documents that are routine administrative messages, personal notes, minor redrafts, and duplicates of paper copies.
• Establish an electronic classification plan in your file directory that follows the one created for your office’s textual records. This practice allows for similar retention and disposition of similar types of information despite their format.
• Determine retention periods and final disposition for electronic records just as you would for paper files. Scheduling electronic records must follow appropriate University procedures and include the University Archivists’ approval. For further information on retention and disposition schedules and on scheduling guidelines, please see the UTARMS Schedules Database.
• Develop naming conventions and version control for your electronic documents to support quick access and easy retrieval. You can learn more about these practices in the UTARMS Electronic Records and Desktop Management course.
• Ensure that new software applications permit ready conversion of files from other systems.
• Save and protect software, systems documentation, and data management tools needed to operate your system.
• Guard networks and computers against threats such as viruses, tampering, and unauthorized access.
• Plan adequate backup systems. "Refresh" data regularly by copying onto a new disc or tape.

If you have any questions about electronic records or records management in general, contact the Records Archivist or take our records management courses.

Guidelines for Archiving Web Sites

I Introduction

The following guidelines are provided to assist University administrators in identifying and preserving electronic records posted to departmental web sites and available through the University of Toronto World Wide Web. The focus is ensuring long-term access to and preservation of official university administrative records and publications created and controlled by University administrators. Other groups or individuals creating web sites in compliance with the University of Toronto Guidelines for World Wide Web Sites and Publishing may find the strategies discussed here useful in preserving their own web based information.

A source consulted in the preparation of this document is Managing Internet and Intranet information for long-term access and accountability. Implementation Guide, IM Forum Internet and Intranet Working Group (1999).

II Definitions:

Local Site repository = an electronic repository established under the control of a University office to temporarily manage copies of that office's electronically recorded information as University records until the office's record-keeping system is adequate for the task. It is intended to replicate, at time of posting, all material posted to an active Web site.

Historical Log = a record created to supplement existing record-keeping policies and practices of a University office containing the following elements:

• the title of name of the posting
• the version number of the posting
• the originating author and his or her office name, address and contact information (this is usually the content manager, or another person or office responsible for creating content).
• hyperlinks in the posting
• the date of the initial posting
• the date of the last modification of the posting
• the date of the replacement or withdrawal of the posting; and
• the disposition of the posting after it was replaced or withdrawn

Publications

= products produced under the authority of a University office for public distribution or sale to members of the University community and the general public.

University records

= "any document containing information, however recorded, whether in manuscript, printed, on film or in electronic form or otherwise…Records under the control of the University's administrative officers include those relating generally to the operation of the University, information relating to students, teaching and administrative staff individually, and records in these categories placed in the University Archives by or under the authority of administrative officers."

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III Managing Accountability Exposure

All University offices are responsible for the management of records created and used during their day to day business activities regardless of format or medium. The University of Toronto File Plan and General Procedures provide information on best practices for filing, retaining and disposing of university records. Both are available through the University of Toronto Archives and Records Management Services (UTARMS) web site and in hard copy. UTARMS also provides consultation and regular training session on various aspects of the University's records management programme and services.

Accountability exposure

The application of best practices for record keeping helps to reduce the risk of loss of information that is required for operational, fiscal or legal purposes. Offices that do not apply appropriate record keeping practices to the information disseminated on their web sites may be exposing their department and the university to unwarranted levels of risk.

Assessing the Level of Risk

The following Table presents a risk management model to assist offices in assessing low, moderate and high levels of risk associated with managing information on individual web sites and recommends appropriate record keeping and publication management responses. The assessment process should be a collaborative undertaking involving the content manager, web administrator and records officer.

Table 1: Accountability Exposure Analysis and Record-keeping and Publication Management Response

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IV Record Keeping Roles and Responsibilities

Web Administrator