Electronic Record Management Policy

Effective Date:

January 23, 2018

Supersedes:

Electronic Record Management Policy - effective until 01.23.2018

Policy Review Date:

3 years from effective date

Issuing Authority:

Research Foundation President

Responsible Party:

Joshua B. Toas, Vice President of Compliance

Contact Information:

518.434.7145

rfcompliance@rfsuny.org

Reason for Policy

This document provides The Research Foundation for SUNY (RF) policy for electronic record (e-record) management. It provides the background of the federal government authorization and RF approval for use of e-records, defines an e-record, provides the requirements for management of e-records to ensure compliance with the policy, and identifies the sources of reference.

Background

Federal government Authorization

The federal government provides grantees with the authorization to use e-records and alternate storage mediums according to:

Statement of Policy

Operating locations that choose to use and maintain e-records must establish procedures that provide for the:

E-Record Versus Text Record

The definition of an e-record as compared to a text document is:

Creation and Use of E-Record

Operating locations that maintain the office of record copy of documents must establish a procedure to implement the use of e-records in substitution for original records. The procedures must ensure the:

Security of E-Records

Operating locations must establish an effective e-records security procedure to:

Selection and Maintenance of Alternate Storage Medium

Operating locations must select appropriate alternate mediums and system for storing e-records throughout the retention period. The mediums and systems must:

Retention, Disposition and Destruction of E-Records

Operating locations must retain, dispose, and destroy e-records according to the RF Record Retention Policy, and must apply additional considerations for e-records. The additional considerations include the:

Definitions

e-record- is defined as information that is recorded in a form that only a computer can process. E-records include numeric, graphic, and text information that may be recorded on any medium capable of being read by a computer. The mediums for recording e-records include magnetic media (e.g., tape, disk), CD-ROM, microfilm (e.g., microfiche, film chips, microprints, roll film), and optical disk.

Text document- is defined as narrative or tabular documents (e.g., letters, memos, reports) in loosely prescribed form and format.

Related Information

Office of Management and Budget 2 CFR Part 200

Forms

None

Change History

Date

Summary of Change

January 23, 2018

Took out irrelevant requirement "retention of original records for a minimum of one year after imaging to permit periodic validation of the imaging system.”

Updated grammar and format to the most updated Policy Template

December 26, 2014

changed OMB reference to 2 CFR Part 200.

November 14, 2001

Replaces previously issued document "Microfilming Records" (AE-A71, AC-X-D, BE-X-R, PAR-X-F, PE-A-93, PP-X-G).

 

 

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