All About a Record

What is a Record?

Records are the evidence of what the organization does.  They capture its business activities and transactions such as contract negotiations, business correspondence, personnel files, and financial statements, just to name a few.

A record is recorded information, in any form, including data in computer systems, created or received and maintained by an organization or person [at or near the time of] the transaction of business or the conduct of affairs and kept as evidence of such activity.

A record can exist in a number of formats, including various sizes of paper (original or photocopy), microfilm or any microform, electronic media, information captured in databases, email and email attachments, optical disk media, CD, mylar, sepia, blueline, photograph, audio and video tape, punched cards, books, and maps.

What is a Public Record?

A "Public record" includes, but is not limited to, any writing containing information relating to the conduct and administration of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. (Idaho Code, 9-337.12)

Writing, as a public record.

"Writing" includes, but is not limited to: handwriting, typewriting, printing, photostating, photographing and every means of recording, including letters, words, pictures, sounds, or symbols or combination thereof, and all papers, maps, magnetic or paper tapes, photographic films and prints, magnetic or punched cards, discs, drums or other documents. (Idaho Code, 9-337.14)

What are "education records"?

Education records are defined by FERPA as any record (written, printed, taped, filmed, etc.) maintained by the institution that is directly related to a student except for (1) personal notes kept in the maker's sole possession, (2) certain campus law enforcement records, (3) alumni records, and (4) certain medical records used only for treatment purposes. Thus, with few exceptions, almost any record that is made on this campus about a student must be handled in compliance with FERPA.

Are the files on my computer records?

This is a broad, but common question. Computer-based records, or electronic records, are the fastest growing type of record today. To answer this question reliably requires knowledge of the content and purpose of a given file. Knowing what the file contains, or what it is about, determines its classification as a record, not whether or not it is on a hard drive, a server, a CD-ROM, or other storage device.

What is the difference between a historic record, an archival record, and a permanent record?

These are closely related concepts. Historic records are those that institutions have determined have significance due to their ability to document the history of the organization. An archival record is material determined to have permanent value, due to standards of practice (transcripts), significance (building floorplans), or legal requirements (lawsuits). A permanent record is one with a life span in excess of 50 or more years, due to the preservation and management requirements associated with maintaining them. In some states, records with a retention over 25 years are considered permanent, although they have an eventual destruction.

Which records are considered Vital?

Records essential to:

• The resumption and/or continuation of operations in the event of a disaster;
• The recreation of the legal and financial status of the University of Idaho;
• The fulfillment of the obligations to local, state, and federal governments and outside interests (ex: students, lenders, SBoE).

When is a document or a file a non-record?

Duplicate copies of final reports, printouts or copies of permanent files made for reference, distribution copies of a publication, or routing copies of a memo or letter are all considered "non-records". Material acquired solely for the purpose of reference, that is, copies of other institutions' course catalog, programs from meetings, etc., are also non-records. It should be noted that often, due to carelessness, a distribution copy (non-record) in a secondary office is the only lasting version of an essential document. Because this happens, it tends to encourage 'hoarding' by others than the office of record.

What files are most often confused with records?

Reference materials, stocks of publications and brochures, quasi-official notices, unsolicited announcements, invitations, or other materials not filed as evidence of office or University operations.

Preliminary drafts, worksheets, informal notes that do not represent significant steps in the preparation of record documents.

Routing slips that contain no information or approvals, used to direct the distribution of papers.

Extra ("convenience") copies of records in addition to the "official" copies maintained elsewhere, as long as they do not contain additional information.

Blank Forms, templates (supplies on hand).

What is a record series?

A group of records, performing a specific function and organized in a succession of like, correlated, or corresponding items, occurrences, or events; also a sequence of things having a progressive order or arrangement. A records series has a common sequence that relates to a particular subject or function, results from the same activity, or documents a specific kind of transaction.

What is a retention schedule?

A listing of records series that indicate the full record series title, function/purpose, time to retain it in originating office and/or records center, as well as the disposal instructions, i.e., whether the record series should be microfilmed, destroyed, and/or transferred to the University Archives for retention.

What rules and regulations govern higher education in Idaho?

Idaho Public Records Law: The primary legislation, or rule of law, applicable to state agency records in Idaho is the Public Records Law, or Title 9, Evidence, Chapter 3, Public Writing, commonly noted as 9-337 through 9-347. These codes include language detailing public records definitions, rights of the public to examine public records, some exemptions (which do not relate to typical higher education conditions), and the directive requiring agencies to have guidelines on how to manage their records.

Other Laws: While the Public Records Law is quite broad, some records-related areas have been further specified in additional Idaho Code.

• Records Management Manual. State Government and State Affairs/Department of Administration 67-5752.
• Requirement to Adopt Records Retention Schedules
  -Idaho Code 67-5751 and 67-5752
• Photographic or Digital Retention of Records. Evidence, Public Writing, 9-328.
• Preservation of Records - Written Contracts -Void Contracts. State Government and State Affairs/Department of Administration 67-5725.
• Retention of Electronic Records - Originals. Commercial Transactions/Uniform Electronics Transactions Act 28-50-112.

Federal Regulations

• IC 9-347 - states that every state agency shall adopt guidelines to maintain, and document public records and their location.
• U.S. Department of Education. FERPA - Family Educational Rights and Privacy Act. Sometimes called the Buckley Amendment. This suite of regulations details aspects of proper dealings of state and federal agencies with respect to students, their educational information, and the rights and restrictions placed on agency staff, family members and the public where access to information is concerned.
• Nuclear Regulatory Commission. For some institutions, the addition of nuclear medicine or physics programs including the use of radiological materials as part of laboratory programs can bring them under the rules of this commission.
• U.S. Wage and Hour/Internal Revenue Service/Americans with Disabilities Act. A wide variety of federal agencies and programs have regulations that apply to higher education.
• USA Patriot Act -This Act, passed October 2001, updates 15 different laws, including FERPA. The primary effect on related regulation is to require the source agency or institution to release information on an individual without notifying the subject of the search. There is a specific type of court order for these releases, an "ex-par te" order.

Confidential Record Destruction

Records of a confidential or proprietary nature should be shredded. It is important to use the shredding consoles that are provided through Records Management and not use personal shredders. If a department has a legal hold placed on their records is it easy to verify that destruction has been halted if the records to be shredded are always placed in the appoved consoles because there is a record kept of their pick up and shredding. If you have a shredder in the office that you feed the documents into and it shreds as they are fed in, you can not verify that shredding stopped when the hold was placed. If you need a Records Management shredding console, they can be ordered from Records Management.