Additional ERM Resources

• Electronic Records Management Toolkit (Home Page)
• Getting Started with ERM
• What Others Are Doing with ERM
• Additional ERM Resources

Additional Resources

The following sections are included on this page. If you would like to submit additional resources, please contact the Higher Education Information Security Council.

• Definitions
• List of Records Management Laws for State Agencies
• Other Toolkit Components Still Under Development
• List of Records Management Standards
• Non-Comprehensive List of Statutory Regulations & Requirements
• Other Relevant Agencies

Definitions

Unless otherwise noted*, all definitions are from the Glossary of Records and Information Management Terms, 3rd ed., ARMA International (2007).

• Archives — 1) The documents created or received and accumulated by a person or organization in the course of the conduct of affairs and preserved because of their continuing value; 2) The building or part of a building in which archives are preserved and made available for consultation; or 3) The agency or program responsible for selecting, acquiring, preserving, and making available archives
• Data — Symbols or characters that represent raw facts or figures and form the basis of information
• Discovery — Required disclosure of relevant items in the possession of one party to the opposing party during the course of legal action
• Disposition — A final administrative action taken with regard to records, including destruction, transfer to another entity, or permanent preservation
• Electronic Records Management — 1) The application of records management principles to electronic records; or 2) The management of records using electronic systems to apply records management principles
• Information — Data that has been given value through analysis, interpretation, or compilation in a meaningful form
• Lifecycle (of a record) — Distinct phases of a record's existence, from creation to final disposition
• Record — Recorded information, regardless of medium or characteristics, made or received by an organization in the pursuance of legal obligations or in the transaction of business.
• Records and Information Management — Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records
• Records Manager* — The person responsible for the oversight and administration of the records management program in an organization. Records Managers are found in all types of organizations, including business, government, and non-profit sectors. This role has evolved over time in response to the ever-increasing need for and importance of records management. On the whole, the role can take many forms with a variety of titles and can have various reporting structures. The role might be held by an attorney or legal counsel member, a senior administrative associate, a manager in the IT department, the Compliance Officer or Auditor, or even the Chief Information Officer of an organization. Records Managers may focus on operational responsibilities, design strategies and policies for maintaining and utilizing information, or combine elements of those jobs. What is most important is that the Records Manager’s position be established and given appropriate authority by organizational policy, be supported by upper management, and be placed high in the organizational structure. In addition to the more traditional expertise of records appraisal, retention, disposition, and the like, today’s Records Manager also commonly has subject matter expertise in law (as it affects records management), privacy and data protection, and electronic storage systems. Records Managers may have degrees in a wide variety of subjects in all disciplines and may have professional certifications awarded by organizations such as the Institute of Certified Records Managers, AIIM, the Society of American Archivists (SAA) and others.
• Retention Period — Length of time a record must be kept to meet administrative, fiscal, legal, or historical requirements
• Retention Program — A system established and maintained to define retention periods for records in an organization
• Retention Schedule — A comprehensive list of records series, indicating for each the length of time it is to be maintained and its disposition

List of Records Management Laws for State Agencies

Alabama

• State Records Retention Law
• Local Government Records Retention Law
• Open Meetings Act
• Alabama Open Records Law

Alaska

• General Administrative Records Retention Schedule
• Records Management Program
• Public Records Statute
• AS 40.17.010. Place of Recording and Access to Records

Arizona

• Public Records Standards and Laws
• Arizona Public Records Law
• What Constitutes a Public Record?
• What is a record? (tip sheet)
• Uniform Real Property Electronic Recording Act

Arkansas

• Electronic Record Management Guidelines for Arkansas State Government
• Arkansas Freedom of Information Act

California

• State Records Management Act
• What is a record?
• California Public Records Act

Colorado

• Colorado Laws Concerning Public Records
• Open Records
• Open Records FAQ

Connecticut

• GL M 97-1 PA 97-89: "An Act Concerning the Recording, Copying and Maintenance of Certain Public Records"
• Required Minimum Microfilming Standards for Public Records; Disposition of Original Records (Policy Statement, General Letter 96-2c)
• Connecticut Freedom of Information Act

Delaware

• Delaware Freedom of Information Act
• Delaware Public Records Law

Florida

• Statutes and Administrative Code Rules Relating to Archives and Records Management
• Chapter 119, 2008 Florida Statutes--Public Records Law
• Chapter 257, 2008 Florida Statutes--Public Libraries and State Archives
• Chapter 1B-11, Florida Administrative Code--Use of Archives and Archives Facilities
• Chapter 1B-24, Florida Administrative Code--Public Records Scheduling and Dispositioning
• Chapter 1B-26.003, Florida Administrative Code--Electronic Recordkeeping
• Chapter 1B-26.0021, Florida Administrative Code--Microfilm Standards
• Chapter 1B-31, Florida Administrative Code--Real Property Electronic Recording
• Chapter 2.430-2.440 and Retention Schedule, Florida Rules of Judicial Administration -- Judicial Branch/Court records retention (PDF)

Georgia

• Summary of Georgia Record Keeping Laws
• Georgia Records Act
• Open Records Act
• Georgia Microforms Act

Hawaii

• Hawaii Laws that Apply to Retention & Disposition of Government Records
• Law regarding government electronic record

Idaho

• Idaho Code
• Idaho Statute 9-338, Right to Examine
• Idaho Statute on Public Writings
• Idaho Public Records Law Manual

Illinois

• The State Records Act (5 ILCS 160)
• The Local Records Act (50 ILCS ACT 205)
• Illinois School Student Records Act (105 ILCS 10)
• Filmed Records Reproduction Act (5 ILCS 170)
• Filmed Records Certification Act (50 ILCS 210)
• Filmed Records Destruction Act (50 ILCS 215)
• Freedom of Information Act (5 ILCS ACT 140)

Indiana

• Indiana's Public Records: The Legal Framework of Records and Information Management in State Government
• State Government Records
• Access to Public Records

Iowa

• Open Records, Open Government
• Iowa Open Records Law, Iowa Code 1999: Chapter 22
• Public Records Law, Chapter 22

Kansas

• Kansas Open Records Act

Kentucky

• Kentucky Open Records Act
• Open Records Law
• Managing Government Records: An Introduction to Kentucky's Public Records Management Law

Louisiana

• Records Management Policies and Practices (LAC 4:XVII.Chapters 1-15)
• Louisiana State Archives Records management Handbook

Maine

• Guidelines for Your Records Management Program (The Records Management Program for the State of Maine is authorized by MRSA Title V, Chapter 6, Section 95, Subsection 7. See p. 3 of the manual.)
• Maine Freedom of Access Act

Maryland

• Records management laws, rules, and regulations
• What is a public record?

Massachusetts

• Public Records Law
• A Guide to the Massachusetts Public Records Law
• What is a record?

Michigan

• Michigan Freedom of Information Act (FOIA)
• Freedom of Information Act, Act 442 of 1976

Minnesota

• "Managing Your Government Records: Guidelines for Archives and Agencies" (What do you need to know about government records? Section 1 presents the definition of government records and summarizes the laws that govern them.)
• 2008 Statute on Official Records
• 13.03 Access to Government Data
• Electronic Records Management Guidelines

Mississippi

• General Records Management FAQ
• Mississippi Public Records Act of 1983

Missouri

• Laws and Codes Pertaining to State Records
• "What Is a Record?," a Guide to Missouri's State Records Management Program

Montana

• What is a Public Record?
• Montana Codes Annotated
• Montana Administrative Rules

Nebraska

• Records Management Act
• Uniform Photographic Copies of Business and Public Records As Evidence Act

Nevada

• Nevada Administrative Code - Records of State Agencies
• Chapter 239, Public Records

New Hampshire

• Right-to-Know Law

New Jersey

• New Jersey Public Records Related Legislation
• New Jersey Right to Know Law/Open Public Records Act
• New Jersey Administrative Code Title 15 Department of State Chapter 3 Records Management Complete text of N.J.A.C. 15:3
• Summary history of N.J.A.C. 15:3
• N.J.A.C. 15:3 Subchapter 1: General Provisions
• N.J.A.C. 15:3 Subchapter 2: Records Retention
• N.J.A.C. 15:3 Subchapter 3: Standards for Microfilming of Public Records
• N.J.A.C. 15:3 Subchapter 4: Image Processing of Public Records
• N.J.A.C. 15:3 Subchapter 5: Certification of Imaging Processing Systems
• N.J.A.C. 15:3 Subchapter 6: Records Storage

New Mexico

• Governing statutes
• New Mexico Commission of Public Records
• Inspection of Public Records Act, Compliance Guide
• Compliance Checklist

New York

• Laws and Regulations Relating to Local Government Records
• What are records?

North Carolina

• N.C.G.S § 121 The Archives and History Act 
• N.C.G.S § 132 The Public Records Act
• Guidelines for Public Records
• Uniform Real Property Electronic Recording Act

North Dakota

• North Dakota Records Management Program Manual (Appendix A includes laws related to records and Appendix B includes definitions of records terminology.)

Ohio

• Ohio Public Records Laws and Legislation
• Sections of the Ohio Revised Code (respecting the creation, maintenance, preservation, transfer, and disposal of records)

Oklahoma

• Rules of the Oklahoma Archives and Records Commission
• Oklahoma Open Records Act

Oregon

• Oregon Administrative Rules
• Chapter 192 — Records; Public Reports and Meetings

Pennsylvania

• Right-to-Know Law

Rhode Island

• Records Laws: State records
• Records Laws: Local government records
• Study of Access to Public Records in Cities and Towns of Rhode Island
• Rhode Island “Access to Public Records” Act

South Carolina

• South Carolina Public Records Act
• Freedom of Information Act

South Dakota

• South Dakota Open Records Statute

Texas

• Texas StateGovernment Code, Chapter 441, Subchapter L - Preservation and Management of State Records and Other Historical Resources
• Texas Administrative Code, Title 13, Chapter 6, Records Retention Scheduling Rules
• Microfilming Standards and Procedures
• Electronic Records Standards and Procedures
• Texas StateRecords Retention Schedule (4th edition)
• More information can be found at: http://www.tsl.state.tx.us/slrm/

Tennessee

• Rules of the Public Records Commission Includes definitions of records (permanent, temporary, confidential, archival, essential), citations of relevant statutes.

Utah

• Government Records Access and Management Act (GRAMA)
• Utah System of Higher Education R993, Records Access & Management

Vermont

• Vermont Public Records and the Right to Know: What is a Public Record?
• Vermont's Public Record Law

Virginia

• Virginia Public Records Act

Washington

• Uniform Real Property Electronic Recording Act
• Washington Public Records Act

West Virginia

• Records Management and Preservation of Essential Records Act
• Regulations of the West Virginia State Records Administrator

Wisconsin

• Wisconsin Public Records Law, Compliance Outline
• Public Records Law

Wyoming

• Is It a Record?
• Wyoming Statutes (Article 4: State Archives, Museums, and Historical Department)
• Wyoming Public Records Act

List of Records Management Standards (in progress)

• ISO 15489-1 Information and Documentation – Records Management – Part 1: General
• ISO 15489-2 Information and Documentation – Records Management – Part 2: Guidelines
• ISO 23081-1:2006 Metadata for Records - Part 1: Principles
• Department of Defense (DoD) 5015.2-STD: Electronic Records Management Software Applications Design Criteria Standard
• National Archives (United Kingdom)
• European Commission Archival Policy
• Model Requirements for the Management of Electronic Records (MoReq)
• MoReq2: Update and Extension of the Model Requirements for the Management of Electronic Records

Non-Comprehensive List of Statutory Regulations & Requirements (in progress)

• Sarbanes-Oxley Act (2002) — This legislation pushes accountability for proper records management to the executive level. The law requires:
• CEOs & CFOs to certify personally financial records & reports periodically,
• Guidelines for audit committees to be established,
• All documents relevant to possible government investigation be retained appropriately, and
• Audit work papers to be retained for seven years.
• Similar laws in other countries:
• Bill 198 — Ontario, Canada, equivalent of Sarbanes-Oxley Act
• J-SOX — Japanese equivalent of Sarbanes-Oxley Act
• German Corporate Governance Code (at the German Wikipedia)
• CLERP9— Australian corporate reporting and disclosure law
• Financial Security Law of France ("Loi sur la Sécurité Financière") — French equivalent of Sarbanes-Oxley Act
• L262/2005("Disposizioni per la tutela del risparmio e la disciplina dei mercati finanziari") — Italian equivalent of Sarbanes-Oxley Act for financial services institutions
• King Report — South African corporate governance code

Other Relevant Agencies

• National Association of College and University Attorneys (NACUA)
• ABC University Information Security Plan
• National Archives
• Records Management Publications
• Electronic Records Management Initiative Guidance Products
• Electronic Records Management Guidance on the Web
• Toolkit for Managing Electronic Records
• Records Management Guidance for Agencies Implementing Electronic Signature Technologies
• Society of American Archivists
• ARMA International (The Authority on Managing Records and Information)
• Electronic Records & E-Discovery
• RIM (Records and Information Management) Fundamentals