ANSI AIIM TR31 PART 4-1994 Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Systems Part IV Model Act and Rule.pdf

1、AIIM TR3L PART*4 94 m LOL234 0500bb2 b3 m ANSVAIIM TR31-1994 ce Guideline for the Legal Acceptance of Records Produced by Information Technology Systems del Act and Rule Technical Report Association for Information and Image Management 11 O0 Wayne Avenue, Suite 11 O0 Silver Spring, MD 2091 0-5603 Te

2、lephone 301/587-8202 COPYRIGHT Association for Information and (2) acceptance of such records by federal and state gov- ernment agencies. . Bleyond its operational utility, the guideline was intended to provide a general func- tional perspective that would foster uniformity among the various forums

3、that enact laws or set forth rules concerning the legal acceptance of records produced by information technology systems. The goal was to minimize disparity in the adoption of performance guidelines designed to facilitate compliance with the laws and rules, regardless of the operational environ- men

4、t. To this end, the guideline is couched in terms applicable to information technology systems in gen- eral, without preference for any particular approach. 101234 0500665 3T2 The task force consisted of managers, specialists, con- sultants and attorneys representing years of experi- ence with vario

5、us information technology systems from both government and the private sector. The task force produced three publications under the gen- eral title Performance Guideline for the Legal Accep- tance of Records Produced by Informution Technol- ogy Systems. Part I: Peormance Guideline for Admissibility

6、of Records Produced by Information Technology Sys- tems as Evidence documents existing state and federal law, including case decisions, and establishes a guide- line related to the admissibility of records in evidence produced by various technologies including micro- film and computer systems. Part

7、II: Performance Guideline for the Acceptance by Government Agen- cies of Records Produced by Information Technology Systems documents existing state and federal law and establishes a guideline for legally-required records produced by information technology systems. Part Ill: Implementation of the Pe

8、rformunce Guideline for Records Produced by Information Technology Sys- tems documents a systematic approach for imple- menting the findings and recommendations of the task force. Specifically, the approach will assist informa- tion system developers in establishing policies and procedures that meet

9、 legal requirements by providing a strategy for professional associations, industry groups, government agencies and legislatures to pro- mote the acceptance and adoption of the model act and rule and to implement recommendations of the performance guideline. The reports taken together provide a lega

10、lly-accept- able formula for producing records by information technology systems regardless of the physical charac- teristic of the record media or technology employed. The guideline takes into account concerns of both government and the private sector, including those affected by laws and those who

11、 enforce laws. The resulting balanced approach permits the public to use any information technology system that best meets its needs (Le., provides efficient access to information at the lowest possible cost) and, yet, provides govem- ment with the records and information it needs to enforce the law

12、. To assist with developing a model law and a user guide for implementing recommendations and pro- moting adoption of the law, AIIM was awarded a grant from the National Historical Publications and Records Commission (NHPRC). The goal of the grant was to minimize disparity among federal and state go

13、vernment organizations in the enactment of laws, promulgation of regulations and adoption of policies concerning legal acceptance of records produced by i COPYRIGHT Association for Information a record derived from other records or any counterpart intended to have the same effect. If data are stored

14、 on a computer or similar device, any print- out or other output readable by sight shown to reflect the data accurately is an “original.“ Duplicate record A record that accurately reproduces the original. Information technology system Any process or sys- tem that employs a mechanical, photo-optical,

15、 mag- netic, electronic, or other technological device for producing or reproducing records. 0 2. Records retention period Records required to be created or kept by the laws of this state may be destroyed after three years from the time of creation unless the law establishes a specific different ret

16、ention period or a specific procedure to be followed prior to destruction that results in a different retention period. 0 3. Form of record Original and duplicate records may be produced by any process or system, including any information technology system, regardless of the physical charac- teristi

17、cs of the record media or technology employed. Retention of duplicate records produced under the laws of this state constitutes compliance with any laws of this state requiring that records be created or kept. 9 4. Records requirements specified by law No law in this state requiring records to be cr

18、eated or kept may specify that records be kept longer than three years, restrict the media used to maintain records, restrict the information technology system used to create or duplicate records, or require the maintenance of original records unless express, docu- mented findings conclude that the

19、law is necessq to satisfy specific statutory requirements or to meet other compelling needs of the government or the public. Laws may specify the data or information to be main- tained, the form and content of information to be sub- mitted to government, the requirement that records be available for

20、 inspection and audit by government, and other requirements necessary to facilitate law enforce- ment and government operation. 0 5. Scope This Act shall apply to records prepared by private individuals, partnerships, corporations or any other associations, whether carried on for profit or not, and

21、to any government entity operating under the laws of this state. 0 6. Uniformity of interpretation This Act shall be so interpreted and construed as to effectuate its general purpose to make uniform the law of those states which enact it. 0 7. Short title This Act will be cited as the Uniform Record

22、s Act. 0 8. Effective date This Act shall become effective on (insert date) and shall apply to all records created before and after that date. 2.2 Background The Uniform Records Act was taken, with modifica- tions, from the Uniform Preservation of Private Busi- ness Records Act (Annex A), developed

23、by the National Conference of Commissioners and Uniform Acts in 195 1, and the Uniform Records Retention Act (Annex B), developed by the Association for Records Managers and Administrators in 1987. The Uniform Records Act differs from previous uni- form laws in the areas described in 2.2.1 through 2

24、.2.5. 2.2.1 Definition differences The definitions were modified significantly to more closely reflect defini- tions prepared by the Associations for Information and Image Management in ANSVAIIM TR3 1, Parts I and II referred to as the “Pe$ormance Guideline.“ 2 COPYRIGHT Association for Information

25、to minimize the costs of the federal government collecting, maintaining, using, and disseminat- ing information; . . . 2) This legislative goal was reflected in the implement- ing regulations prepared by the Office of Management and Budget (5 CFR 1320) effective March 1983: 5 1320.6 General informat

26、ion collection guidelines Unless the agency is able to demonstrate that such collection of information is necessary to satisfy stat- utory requirements or other substantial need, OMB will not approve a collection of information: . . . (f) requiring respondents to retain records, other than health, m

27、edical, or tax records, for more than three years; . . . While this regulation and the Federal Paperwork Reduction Act do not specify that records required to be created or kept can be destroyed after three years, the OMB regulation does imply that only OMB can grant permission to an agency to requi

28、re records to be kept longer than the three year period. If the law does not specify a specific retention period, clearly OMB did not provide specific permission to that agency to require that those records be kept longer than three years. 4 COPYRIGHT Association for Information to reduce or elimina

29、te burdensome requirements imposed by government agencies regarding acceptance of records from private sector organi- zations produced by information technology systems; to harmonize the interests of information preser- vation and the desire to obtain maximum benefits from developments in informatio

30、n technology systems. 5 COPYRIGHT Association for Information -combinations of letters, numbers, and symbols forming words or sentences; -graphics such as signatures, logos, pic- tures, etc.; -sounds; -other features of records such as color, shape, texture, etc., that relate to the content of the i

31、nformation. 3.2 Background The model rule is based on recommendations made in the Performance Guideline for the Legal Acceptance of Records Produced by Information Technology Sys- tems developed by the AIIM C22 NHPRC Task Force. It represents a statement of particular applica- bility for implementat

32、ion of a statute or regulation that prescribes recordkeeping practices similar to those specified in the model act. Section 3.1.1 pro- vides additional guidance in interpreting provisions of the rule. 3.2.1 Trustworthiness of records Following are fac- tors to be considered by an agency when determi

33、ning trustworthiness of records produced by an information technology system: 1. Process or system characteristics Characteristics of the process or system used to pro- duce records determine the accuracy of the records. A description of these characteristics in laymans terms facilitates the showing

34、 that the process or sys- tem is reliable and accurate, hence intrinsically capable of producing trustworthy records. COPYRIGHT Association for Information however, a complex system might require someone trained as a systems analyst.) Documentation shall be regularly updated to reflect any changes.

35、c. Training A formal program for training staff on details of system procedures along with documented train- ing sessions raises a strong presumption that the procedures were correctly followed. d. Audit of system or process The process or system shall be audited periodi- cally to confirm the accura

36、cy of results. An audit shall compare procedures stated in the procedures documentation with procedures actually followed. 3.2.2 Admissibility of records as evidence Follow- ing is a summary of what is determinative in admitting records produced by information technology systems. 1. Form of records

37、offered as evidence Records produced by any technique may be intro- duced into evidence provided that they meet certain requirements. Records introduced to show that their literal or numerical contents prove the truth of the matter asserted should be presented in a readable or recognizable form acce

38、ptable to the court. (Records can also be used as probative evidence, e.g., to show that a file has missing records.) For written or printed records, the records may be readable without 8 COPYRIGHT Association for Information vouchers; documents, canceled checks; payrolls; correspondence; records of

39、 sales, personnel, equipment, and production; reports relating to any or all of such records; and other business papers. (2) “Record” means any letter, word, sound, number, or its equivalent, set down by handwriting, typewriting, printing, photo- stating, photographing, magnetic impulse, mechanical,

40、 or electronic recording of other forms of data compilation. Unless oth- erwise specified, reproductions are records for purposes of this article. (3) “Reproduction” means any counterpart produced by the same impression as the original or from the same matrix, or by means of photography, including e

41、nlargements and miniatures, or by mechanical or electronic rerecording or by chemical reproduction or by any equivalent technique which accurately reproduces the original. 0 6-17-104. Records retention period. Any record required to be created or kept by any state or local law or regulation may be d

42、estroyed after three years from the date of creation, unless such law or regulation establishes a specified records retention period or a specific procedure to be fol- lowed prior to destruction. 0 6-17-105. Form of record. Retention of reproductions produced pursuant to this article shall constitut

43、e compliance with any state or local law requiring that any record be created or kept. 0 6-17-106. Scope of article. This article shall apply to all records prepared by private individuals, partnerships, corporations, or any other association, whether carried on for profit or not, and to any governm

44、ent entity operating under the laws of this state and shall apply to all records created before and after the effective date of this article. 12 COPYRIGHT Association for Information photograph, including an enlargement or miniature; mechanical or electronic rerecording; chemi- cal reproduction; or

45、another technique that accurately reproduces the original. 5 10-11-2. Time period for retention of business records. Unless a specific period is designated by law for their preservation, business records which persons pursuant to the laws of this state are required to keep or preserve may be destroy

46、ed after the expiration of three years from the making of such records without constituting an offense under such laws. This code section does not apply to minute books of corporations or to records of sales or other transactions involving weapons or poisons capable of use in the commission of crime

47、s. 5 10-11-3. Retention of reproductions of original business records. If, in the regular course of business, a person makes reproductions of original business records, the preservation of such repro- ductions constitutes compliance with any laws of this state requiring that business records be kept

48、 or preserved. Section 2. All laws and parts of laws in conflict with this Act are repealed. , 13 COPYRIGHT Association for Information (2) Persons required to keep the records shall without expense to the State make the reproductions available during usual busi- ness hours to State officers or auth

49、orized employees entitled to inspect or examine the records by running or projecting the reproductions for the inspection or examination of such officers, or employees, and shall so run or project the reproductions as to make it possible for such officers or employees to make notes or copies thereof; (3) Persons required to keep the records, upon the request of the State department or agency charged with the administration of the Act requiring the records to be kept, shall without expense to the State provide enlargements of the reproductions in approximately original size of any and all