Records Management Bulletins

Records custodians can reference these bulletins for updates on retention regulations and processes. Bulletins are either issued by the Supervisor of Public Records (SPR), or jointly by the SPR and the Records Conservation Board (RCB). For further assistance, contact the Supervisor of Public Records or the Records Conservation Board.

01-21 Security and Custody of Records (Joint RCB/SPR Bulletin)

TO:

Agency and Municipal Public Records Custodians and Records Access Officers (RAOs)

Any authority created by the General Court.

SUBJECT:

Security and Custody of Records

EXPIRATION DATE:

Until superseded

PURPOSE:

This joint bulletin provides guidance and requirements for security and custody of agency and municipal records created within, as well as outside of, agency and municipal offices.

BACKGROUND:

Agencies and municipal records custodians and RAOs have a fundamental obligation to provide secure storage for their records and make them accessible to the general public. When public business is conducted outside of agency or municipal offices, this may lead to situations where records are used and stored outside the premises of a government building in unsecured spaces (including electronic records used in teleworking), leading, in some instances, to alienation of the record. In some instances, original records are created outside of, or removed from, a government building by a records custodian and stored in a private home or office. Such practices may jeopardize the security and accessibility of the records and hinder proper records management procedures.

FINDINGS:

The Records Conservation Board (RCB) has the authority to require agencies to report to it what series of records they hold, to set standards for the management and preservation of such records, to establish schedules for the destruction of agency records and approve destruction permissions from agencies. See G. L. c. 30, § 42. The Supervisor of Public Records is responsible for seeing that the records of the Commonwealth, counties, cities and towns are put in the custody and condition required by law and securing their preservation. See G. L. 66, § 1 (the Supervisor's responsibility to ensure preservation of the records of the Commonwealth, counties, cities and towns). Agency and municipal officials are responsible for the safekeeping of records in their custody. See G. L. 66, §§ 11 and 12. Therefore, the RCB and Supervisor jointly direct public officials to take the following actions to provide security for and access to public records

ACTIONS:

Agency and municipal officials are required to implement sufficient internal controls to manage records in any medium, including compliance with the Records Management Guidance, the Electronic Records Management Guidelines (PDF), and the applicable Records Retention Schedules. Note that Agencies and Municipalities that receive federal funds, including federal disaster relief funds, may have additional records management and retention responsibilities as a condition of receipt of funds as recipients or sub-recipients, and well as grantees of these funds.
Whenever original public records are removed from an agency or municipal office by a records custodian, or by any authorized user who shall be considered a custodian, for use in the regular course of business in a private office or home, including electronic records used in teleworking, records shall be stored in fire resistant devices and safes provided by the municipality, or in a secure electronic medium with appropriate encryption or other safeguards.
If a custodian cannot ensure fire resistant storage outside the municipal building, or for electronic records a secure electronic medium with appropriate encryption or other safeguards, then no original records may be removed. However, the custodian may create copies of records for use in a private office or home.
Whenever original records are created outside agency or municipal offices, these records shall be transferred on a regular and frequent basis to secure storage in the agency or municipal building or authorized repository. If secure storage is available in the custodian's private office or home, then copies of records shall be made and stored in the agency or municipal building or authorized repository.
Whenever officials relinquish their position, they shall deliver over to their successor all such records not authorized by law to retain. See G. L. c. 66, § 14.
Agency or municipal officials who store records in electronic repositories, either locally in agency or municipal buildings, or off-site repositories, including cloud storage, must store these records in accordance with applicable Commonwealth Enterprise Security Standards (Agencies) or National or Municipal security standards (municipalities) and are required to manage or ensure that any third party hosting the repositories comply with these necessary cybersecurity controls to protect records from theft, ransomware, loss, destruction or other violations of the records management requirements.
In the event of an emergency or disaster event (e.g., hurricane, flooding, blizzard, terrorist attack, pandemic) records custodians should presume that records created that relate to that event should be retained for historical, public health or safety purposes beyond prescribed records retention schedules. Records that may appear to be Administrative Use Records may be relevant as these events are reviewed after the event has been remediated. If applicable, retain records until additional guidance is provided either by the Records Conservation Board or the Supervisor. Agency and municipal officials should expect to be audited by state and federal authorities related to any event and should retain records accordingly.

Questions regarding maintenance of records should be directed to:
Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

01-22 Digitizing Records (Joint RCB/SPR Bulletin)

TO:

Agency and Municipal Public Records Custodians and Records Access Officers (RAOs)

SUBJECT:

Digitizing Records

EXPIRATION DATE:

Until superseded

PURPOSE:

As offices move towards increasingly paperless environments, government entities may be wondering what to do with their records in a virtual world. While digital files can offer many advantages, such as freeing up office space and enhancing search and retrieval, they also require increased monitoring and maintenance. Rapid changes in technology, malicious intrusions into government networks, and fragility of hardware all put digital records at risk. This guide was written with input from the Supervisor of Public Records, the Massachusetts Archives, the Executive Office of Technology Services and Security, and the Records Conservation Board to help inform state agencies and municipalities about important factors to keep in mind when managing digital records.

FREQUENTLY ASKED QUESTIONS

What are my records retention requirements for electronic records?

The retention period requirements are the same whether a record exists in paper or electronic, however the requirements for maintaining electronic records have additional considerations, such as the medium selected for the record, the retention period of the record, backup copies of the record, and security of the systems that house the record. Your office is responsible for ensuring that appropriate internal controls and procedures are in place, and all staff handling records are routinely trained to ensure that records created in, or converted to, electronic records meet the following requirements:

Electronic Records Management Guidelines
01-21 Security and Custody of Records (Joint RCB/SPR Bulletin)
Born-Digital/Electronic and Digitized Records

The Massachusetts Archives can provide important guidance and factors to consider when managing electronic records. However, you are responsible for ensuring that your office reviews, implements and maintains the appropriate controls, systems and training to meet the requirements listed above.

Can I digitize paper records and destroy the originals?

The answer to this question will depend on the type of record(s) you are considering digitizing and whether or not your office has a plan and the resources in place to maintain the digital copies over time once they’ve been created. Before deciding to scan, ask yourself the following questions:

Is this a permanent record?
Records with permanent retention periods held by state agencies that no longer have administrative use can be transferred to the Massachusetts Archives. Are you considering digitizing your records to free up space? You can save yourself the effort by instead transferring these records to the Archives, which is the designated repository for all permanent records of Massachusetts state government. If you would still like to scan your permanent records, contact the Archives about recommendations for imaging standards. It is recommended that any digital surrogates created by your agency be transferred to the Archives in addition to the originals. Municipal officials are responsible for managing and preserving municipal permanent records in accordance with M.G.L. Chapter 66, Sections 7, 11, 12, and 17. If you work in local government, you can still contact the Archives for guidance in managing digital records and digitization projects.
Does this record have inherent evidentiary or historical value?
Some records may have artifactual qualities such as original signatures, seals, enclosures, artwork, or dimensionality that contribute to their informational, educational, and enduring value. These records should be retained even after digitization. Records older than 1870 are permanent records according to M.G.L. Chapter 66, Section 8, and records older than 50 years may have historical value. Archives staff are available to assist you in reviewing these materials and can also help assess any records that may document noteworthy events, historicallysignificant cases, or that may be of historical interest. For example, drafts of policy, legislation, decision-making, legal opinions, or photographs that document an office’s major administrative units and functions may be of historical value. Contact the Archives to learn more about disposition after digitization for these records.
Are there statutory requirements that necessitate this record be kept in a specific format?
Some laws and regulations specify that certain records be kept in certain formats. You can use the Statewide or Municipal Records Retention Schedule databases to find statutory citations for the records in question, which can be used to look-up the legal requirements for retaining the records.
What about meeting minutes? Do these need to be kept in written format?
Meeting minutes are permitted to be created electronically. Official copies of meeting minutes for public bodies are permanent records. Therefore, state agencies can contact the Archives to transfer these records, whether they are digital or paper. Since meeting minutes are permanent records, if you are a municipal government entity and are considering creating minutes electronically, you must be able to maintain an accurate, reliable, trustworthy, and accessible record in perpetuity. The same applies for digitized copies of meeting minutes, so Archives staff recommend retaining the original records even after digitization.
What is the retention period for this record?
Does the record have a retention period of less than 3 years? It may not be worth the cost, time, and effort to digitize records that can be disposed of soon. Instead, it may be easier and more cost-effective to implement good records management practice and dispose of these records once their retention periods are met. If the records in question have longer retention periods, are you prepared to maintain an accurate, reliable, trustworthy, and accessible record throughout the length of the retention period? Will you be able to track when these retention periods have been met? Over-retaining records can become a liability for your office and can be more difficult to keep track of when dealing with digital records.
When can I destroy the paper copies?
Assuming that the above considerations do not apply, you do not need permission to destroy paper records once they’ve been digitized. You will need permission to destroy or delete the final copy of the record, in this case the digitized file, once its retention period has been met. State agencies can complete and submit an RCB-2U form to the Records Conservation Board to request permission for destruction, and municipalities can complete and submit an RMU-2 form to the Supervisor of Records to request permission for destruction. For more information about these forms, contact the Records Management Unit of the Massachusetts Archives.

If you choose to digitize your paper records, remember that records custodians are responsible for maintaining and providing access to records for the entire length of the required retention period, regardless of format. Records accessibility is especially important for records that exist solely in digital format. There are many components that go into setting up an infrastructure to ensure that digital records remain accessible and unchanged over time. Remaining accessible includes ensuring that the systems that house the records are properly secured from network intrusions, ransomware and other compromises, corruption or loss. Massachusetts Archives staff can provide guidance in meeting these requirements.
How do I maintain an accurate, reliable, trustworthy, and accessible record?
An accurate, reliable, trustworthy, and accessible record is one that can be proved to be authentic and free from tampering, created with appropriate authority according to established processes and complete in all its formal elements, and is able to be located within legally established restrictions of privacy, confidentiality, and security clearance. To maintain a digital record with these characteristics means to take into account data security, indexing or metadata to make sure you can find and access the records you need, planning for software and hardware obsolescence, maintaining multiple copies, and maintaining a system to ensure the files remain unchanged and uncorrupted over time. Be aware of the following issues:
- File format obsolescence: Just like our phone and computer chargers seem to change every few years, software applications can change, too. New versions can be released or new collaborative technologies can surpass older client-based applications. Many file formats can only be launched by certain applications or have dependencies on certain software versions. If these software applications are no longer supported or become outdated, you may not be able to open or access your files anymore. Over time, you may need to convert your older files to newer, more sustainable formats that are widely adopted or non-proprietary. Contact the Archives to learn more about options for managing different file formats and how to prevent data loss during conversion.
- Storage media: losing a flash drive or dropping an external hard drive only to discover it no longer works are common occurrences. Like all electronics, our storage media have life-spans that can range from a few decades to a just few years. Don’t assume that your storage options will be functional forever, even those that are enterprise or cloud-based. Work with your IT department to ensure that your storage options are protected from malware and are on a refresh cycle.
- Backups and disaster preparedness: even with measures in place to mitigate software and hardware obsolescence, you can still lose your records if you only maintain a single copy.
- While a maximally robust data-backup system is not necessary for all records, it is best practice for data owners to establish baseline data-backup protocols for all records they are obligated to maintain, such as default minimum retention periods and periodic backups.
- Devoting additional attention and resources, if possible, for “business critical” records, i.e., records that are essential for daily business operations or records the loss which would induce significant harm to the public interest, is also advisable. These types of enhanced backup and security measures can be costly, but may be justifiable for extremely important records.
  - Best practice for records that require the highest level of loss-protection is to maintain multiple copies on different storage media, and ideally with one location in a different disaster threat zone.
  - Records that have a heightened risk of data theft or of being targeted malicious software, e.g., because the data itself is extremely sensitive, or because the data-owning entity has a high profile, may also benefit from even more robust security measures, such as the creation of an offline repository in addition to any networked backups. This can protect against more advanced ransomware attacks that can infect or overwrite networked backups.
- Review the Electronic Records Management Guidelines and contact the Massachusetts Archives to learn about these requirements and considerations in more detail.
How do I transfer records to the Massachusetts Archives?
If you are a state agency and ready to transfer permanent records to the Massachusetts Archives, you can fill out an MA-T transfer form and email it to the Archives to begin the transfer process. The form and its instructions are available on the Archives website under Records Management > Agency Records > State Agency Forms.
What about records that are created or stored in a third party application?
The location of the record does not change the records management and retention requirements. If you are contracting with a third party to assist you with your business and records are created, managed, stored or transferred to a third party, you are responsible for ensuring that the third party is maintaining the records in accordance with the records management and retention requirements. This includes specifying retention periods in your contracts, validating routinely that the third party has proper security and retention controls, ensuring that records are segregated from other client records, requiring the third party to maintain multiple backups, identifying service levels, establishing disaster recovery procedures, and obtaining all copies of records at the conclusion of the contract or use of the application. In addition, it is important to identify the types of data that will be provided to third party vendors in the form of physical or digital records. Additional requirements may apply to third party vendors who can access sensitive data types. For more information on best practices for negotiating third party software agreements, please contact the Executive Office of Technology Services Contract Management Office at itcontracts@mass.gov.

Questions regarding this Bulletin, as well as notifications pursuant to Section 3(c) of Chapter 93H should be directed to:
Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

01-07 Minutes of Meetings

TO:

Public Records Custodians

SUBJECT:

Minutes of Meetings

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides information and requirements for the management and provision of meeting minutes kept pursuant to the Open Meetings Law and the Massachusetts Public Records Law.

BACKGROUND:

One of the fundamental principles of a democracy is to maintain the transparency of governmental actions. To this end, the Legislature enacted the Open Meeting Law and the Massachusetts Public Records Law, to ensure that the workings of the government are open and accessible to the taxpayers and public at large. It would be contrary to the intent of the Open Meeting Law, the Public Records Law and the foundations of a democratic system to place impediments on citizen access to minutes of open meetings.

FINDINGS:

Governmental bodies are required to keep accurate written minutes of all of their meetings. G. L. c. 66, § 5A.
It is consistent with the underlying policy behind both the Open Meeting Law and the Public Records Law that these minutes must be made readily accessible to the public. See G. L. c. 30A, § 22(c); G. L. c. 66, § 10(a).
While a records custodian may assess a fee for the provision of public records, the fee charged should not serve as a deterrent for the requestor to access public records. See Globe Newspaper Co. v. Boston Retirement Bd., 388 Mass. 427, 436 (1983).
It is vital that a complete, accurate, and durable record be created of public meetings. Please be advised that minutes of meetings must be maintained in a manner that ensures permanent retention of the records. If a records custodian requires retention assistance, the Records Management Unit provides records management services and outreach to all state agencies and municipalities to help them meet state record-keeping standards and requirements.

ACTIONS:

Public records that are of great interest to a large number of people must be readily available within the office of the records custodian. These records include minutes of local board meetings, town meeting documents, warrants, street lists, municipal financial documents, etc.
As required by the Open Meeting Law, minutes of meetings should be reviewed regularly and be accessible by the public without delay. This is especially the case when dealing with executive session minutes. Once the reason for calling the executive session has ended, those minutes must be reviewed and made available to the public. It would be improper for a records custodian to pass along the costs associated with reviewing minutes to a records requestor when the records custodian has a pre-existing statutory duty to perform this review. See G. L. c. 30A, § 22(c).
An agency to which this Bulletin applies shall take all reasonable steps to destroy, or arrange for the destruction of a Massachusetts resident's records within its custody or control containing personal information which is no longer to be retained by the agency in compliance with the destruction provisions of Section 2 of Chapter 93I, the Records Conservation Board and/or the Supervisor of Records, agency business needs, or the requirements of any other Federal or state records retention requirement including, without limitation, rules of civil or criminal procedure.
Minutes of meetings should be provided without delay at a minimum cost, if any. This Office encourages records custodians to waive fees associated with the provision of meeting minutes given that disclosure is incontrovertibly in the public interest.

Questions regarding this Bulletin or the provision of meeting minutes should be directed to:

Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding records retention should be directed to the:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-727-5914
Email: recman@sec.state.ma.us
www.sec.state.ma.us/arc/arcrmu

03-04 Internal Affairs & Personnel Records

POLICE ADVISORY - Internal Affairs and Public Records

FROM:

Alan N. Cote, Supervisor of Records
Commonwealth of Massachusetts
Office of the Secretary of the Commonwealth

Recently, this office has received a large number of appeals and questions concerning requests for Internal Affair and Police Personnel Records. In an effort to assist all persons involved, I have drafted the following advisory opinion. I ask that you review the cases cited herein and circulate this Opinion to all members of your staff concerned with public records access. Thank you.

For many years, exemption (c) of the public record law has been utilized by the record custodians of Massachusetts to withhold records and data involving municipal employees. Widely known and referred to as the “personnel exemption”, exemption (c) allows a custodian to segregate and redact certain information from public records which specifically relates to: personnel and medical files or information; also any other materials or data relating to a specifically named individual, the disclosure of which may constitute an unwarranted invasion of personal privacy G. L. c. 4, § 7(26)

Recently, several court decisions have emerged which have caused great confusion with respect to this exemption. This Opinion seeks to inform and advise the various custodians of the ramifications of these court decisions and to offer guidance to the custodians in answering the public’s request for records.

Clearly, all medical information, data and records of whatever type and from whatever source may be properly withheld in their entirety. For many, this is not a change from tradition and still reflects recent court rulings. Personnel records, however, and the definition thereof, have undergone significant changes. Most notably is a decision written by Judge Grasso of the Appellate Court in 2003 in which he distinguishes “Internal Affairs” records from “personnel” records.

In Worcester Telegram & Gazette Corporation v. Chief of Police of Worcester, & another, 58 Mass. App. Ct. 1 (2003), Judge Grasso stated, “an internal affairs investigation is a formalized citizen complaint procedure, separate and independent from ordinary employment evaluation and assessment. Unlike other evaluations and assessments, the internal affairs process exists specifically to address complaints of police corruption (theft, bribery, acceptance of gratuities), misconduct (verbal and physical abuse, unlawful arrest, harassment), and other criminal acts that would undermine the relationship of trust and confidence between the police and the citizenry that is essential to law enforcement.” See Worcester at 607.

Citing Globe Newspaper Co. v. Police Comm’r. of Boston, 419 Mass. at 863 (1995), Judge Grasso writes “the internal affairs procedure fosters the public's trust and confidence in the integrity of the police department, its employees, and its processes for investigating complaints because the department has the integrity to discipline itself. A citizenry's full and fair assessment of a police department's internal investigation of its officers’ actions promotes the core value of trust between citizens and police essential to law enforcement and the protection of constitutional rights. Disciplinary action is but one possible outcome; exoneration and protection of the officer and the department from unwarranted criticism is another. We reject the city's contention that, viewed as a whole, the entire internal affairs file is exempt "personnel [file] or information" because it is a "disciplinary report" relative to a specific complaint about a specific police officer's actions.” See Worcester at 607.

The court further believed that even though an internal affairs investigation might lead to discipline or criminal action, it does not automatically classify all records of the investigation as “disciplinary or promotion, demotion or termination information.” Such a broad construction ignores the essential directive that the legislative term "personnel [file] or information" derives its meaning from the nature or character of the document, not from its label or its repository.” Id. at 608.

Finally, Judge Grasso closed his discussion by further delineating the difference between internal affairs records and disciplinary records by stating, “it would be odd, indeed, to shield from the light of public scrutiny as "personnel [file] or information" the workings and determinations of a process whose quintessential purpose is to inspire public confidence.” Ibid.

The court then held that materials in an internal affairs investigation are different in kind from the ordinary evaluations, performance assessments and disciplinary determinations encompassed in the public records exemption for personnel or information. The court declined to discuss alternative exemptions or other privacy arguments such as investigatory exemption. The court did state, however, that certain records should be redacted or withheld to encourage "individual citizens to come forward and speak freely with police concerning matters under investigation, and the creation of initiative that police officers might be completely candid in recording their observations, hypotheses and interim conclusions.” Id. at 609

The document in question in the Worcester case was a notice from the disciplining authority to the particular employee. This notice advised the employee of the findings of the inquiry and the ultimate disciplinary decision to be taken. The court found that the nature and character of this document made it part of "the core category of personnel information that is useful in making employment decisions regarding the employee. Id. at 609.

The court also acknowledged that such a minute distinction between the two types of records appeared to be a “splitting of hairs” but found that the memorandum from the chief to the employee contained personnel information, which is exempt as such while documents from the internal affairs investigation itself such as the interviews, the reports, the conclusions and recommendations, and the documenting of its results to the complaining party were NOT exempt.

Therefore, in the way of guidance, this Office will view all future appeals concerning this issue similarly. This ruling clearly narrows the definition of personnel records and this narrowing will be followed by this Office. If you require additional information or assistance in dealing with record requests for personnel records, I urge you to seek competent legal advice from your agency or municipal counsel.

Questions regarding access to public records should be directed to:

Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2816
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Records Management Unit
Massachusetts State Archives at Columbia Point 220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/archives/records-management.htm

09-04 Recording Material for Permanent Paper Records Requirement

(This Bulletin supersedes SPR Bulletin 2-93 and SPR Bulletin 5-94.)

TO:

Public Records Custodians

SUBJECT:

Recording Material for Permanent Paper Records Requirement to Use Archival Paper and Archival Ink

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides guidance and the requirements for the use of archival quality paper and ink for the recording of textual information of enduring value and permanent paper records.

BACKGROUND:

Our Government has a fundamental obligation to record information concerning its operation, policies and procedures. It has a duty to preserve for the public good, the records and publications by which this information is documented. In the past, much of the information regarding these activities has been recorded on paper containing destructive acids. Extensive research has proven that the acid present in most writing and printing paper as well as non-archival quality inks produced since the mid-nineteenth century has drastically reduced the life of public records, archives, books and other paper-based documents.

FINDINGS:

The Governor of the Commonwealth of Massachusetts issued Executive Order No. 293 on December 31, 1990, mandating the use of permanent paper for records of “enduring value”. (N.B. Only the original, official record or required original copies of the record as mandated by the Record Conservation Board or this office, must comply with this standard. Subsequent, non-original copies of the record, whether certified or not do not need to conform to this standard.)

Records and publications of enduring value are defined as those that should be permanently preserved because of their historical significance. Such records include but are not limited to Executive Orders, annual reports, and minutes of public meetings as defined by chapter thirty-A and chapter 66 of the Massachusetts General Laws, and birth, death, and marriage certificates.

The American National Standards Institute (ANSI) Standard Z39.48-1984 is the benchmark for the specification of permanent paper. The Federal Joint Committee on Printing (JCP) has reviewed the requirements for permanent paper extensively.

The JCP has agreed on several types of permanent paper that meet or exceed the ANSI standards.

JCP-A270 is more stringent than the ANSI standard in some of its durability requirements and is the recommended permanent paper standard for the Federal Government.
JCP A560 and JCP O-560. JCP A560 is the alkaline-based version of JCP A60, an offset book paper widely used for general printing, and JCP O-560 is the first JCP standard for alkaline-based xerographic paper for use in copiers and laser printers.
Finally, as a third option, the International Standards Organization (ISO) has developed a standard for permanent paper. This standard is known as ISO 9706:1994. For more information on this standard, visit the website www.iso.org.

Permanent paper having any of these designations is acceptable by Commonwealth agencies and municipalities. Papers meeting these standards are readily available at costs comparable to ordinary office paper.

There are many implements available for creating records. (i.e., pens, typewriters, laser printers etc.) Not all of these implements are appropriate for creating documents of enduring value and permanent records. Certain inks and toners may have chemical properties that cause them to fade, smudge, or have a deleterious effect on paper. Inkjets printers do not provide lasting contact between ink and paper and felt tip markers are not encouraged.

The Supervisor of Records is authorized to set standards for the media to be used in the creation of public records and to secure their preservation. See: G. L. c. 66, § 1, 3-4. The Supervisor of Records is responsible for administering the provisions of Executive Order No. 293.

ACTIONS:

The following recommended “Best Practices” should be employed in this endeavor:

Permanent Paper

All official, original records and publications of enduring value should be recorded on archival quality, permanent paper.
Record custodians should refer to their respective disposition schedule to identify those records that are considered to be permanent or of enduring value and the number of original, official copies that must be retained. If a record series is not listed on a disposal schedule, custodians should consult with the Records Conservation Board for state government records and the Records Management Unit for local government records for assistance in scheduling the records. Until records are scheduled, they should be recorded on permanent paper using permanent ink.
The requirement to use permanent paper also applies to blank forms purchased from vendors. Where forms are used to create records of enduring value, the custodian must ensure that those forms are printed on permanent paper.
The State Library has been statutorily designated as the depository library for Massachusetts state publications. Each state agency is required to furnish the state library with eight copies of its publications for permanent preservation. (see: G. L. c. 6, § 39A-39B) Because these copies are considered to be of enduring value, they must be printed on permanent paper, whether or not the remainder of the issue is printed on permanent paper.

Permanent Ink

In creating permanent written records, custodians shall use recording materials i.e., ink, toner, etc. that meet the following performance standards.

Lightfastness: Ink shall show no appreciable change when exposed to light, in a test comparable to the Fade-ometer test, for 24 hours. Black inks that contain carbon do not fade, and are preferable for permanent records.
Water resistance: Ink shall demonstrate high water resistance ability of the image to resist deformation or change in color with immersion in water. No obvious effects shall be seen when test strips are immersed in water and various chemicals for 1/2 hour.
Alkalinity: Ink should have a neutral or slightly alkaline pH (7.0-8.5) to prevent damage to either the paper or the writing implement.
Fluidity: Liquid ink shall produce good line continuity without splitting, excessive deposits of ink on the paper or writing tip, variations of lines width and intensity, agglomerates of undispersed pigment or other undesirable writing characteristics. Liquid ink shall not feather or spread. It shall not penetrate to the reverse side of the paper or legibly transfer to another sheet of paper.
Reproduction: All colors shall be capable of reproduction by microfilming, and black ink shall be capable of reproduction by thermography, dry copying or direct-image offset processes.
Xerographic Toners: Liquid toners for xerographic reproductions have been found to be more suitable for archival applications than dry toners as the liquid toner is absorbed into the paper fiber. When copies are being created for long term or permanent retention they should be created on xerographic machines using the liquid toner process.

Questions regarding access to public records should be directed to:

Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding this bulletin should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point 220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/archives/records-management.htm

Update on Archival Ink

TO:

Executive offices and any agencies, departments, boards, commissions and instrumentalities within an executive office

Any authority created by the General Court.

FROM:

Alan N. Cote, Supervisor of Public Records

DATE:

March 2, 2010

Pursuant to General Laws Chapter 66, Section 4 and as Supervisor of Public Records, I am required to provide guidance and the requirements for the use of archival ink for the recording of textual information of enduring value and permanent paper records.

The state pen previously approved is no longer available. Through due diligence and research a new state ink has been approved by Dr. John Warner, Massachusetts State Archivist and me. You may find information regarding this pen on the Executive Office for Administration and Finance, Operational Service Division’s website.

The new official state pen and ink is the Uni-Ball 207 Black Gel Retractable Pen, Medium, 0.7 mm, item number SAN-1736097. This pen is available from the following state vendors:

W.B. Mason Co.
59 Centre Street
Brockton, MA 02301

New England Office Supply
135 Lundquist Drive
Braintree, MA 02184

01-99 Electronic mail

TO:

Public Records Custodians

SUBJECT:

Electronic mail

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin supersedes SPR Bulletin No. 5-92 and provides information and requirements for the management and disposition of electronic mail sent and received by public officials.

BACKGROUND:

Electronic mail (email) is a document created, transmitted and received by a computer system or other electronic form of written communication. Like the telephone, email allows instant communication. Like traditional mail, it creates a durable written record of messages delivered and received. Email use has grown rapidly and it has emerged as a major means for both communication and business activities in all segments of society.

Messages sent by email vary in substance and content. It may contain formal or informal data and text used supporting or executing business activities and policy decisions. The growth of email and the importance of the messages it carries, make it imperative that government offices take steps to effectively manage and control this medium.

FINDINGS:

For the purpose of this bulletin, email is defined as any message created and received on an electronic mail system. An electronic mail system is a service that provides facilities for creating messages, transmitting them through a network and displaying them on a recipient’s computer terminal. The email message may be text or word processing documents, spreadsheets or other data compilations transmitted through such a system.
All email created or received by an employee of a government unit is a public record. In Massachusetts, the term "public record" is broadly defined to include all documentary materials or data created or received by any officer or employee of any governmental unit, regardless of physical form or characteristics. G. L. c. 4, § 7(26). Email is, therefore, a public record and it is subject to the requirements of the Public Records Law. G. L. c. 66.
All email messages are subject to public access and disclosure through the provisions of the Public Records Law. G. L. c. 66, § 10.
All email messages may be sought and obtained through the discovery process in litigation and may be admissible as evidence in a court of law.
In most cases, simply deleting a message does not actually ‘delete’ the message. The "delete" key merely removes the electronic pointers to the file. The actual file may remain on the computer system indefinitely unless it is properly expunged from the system. Questions regarding that process should be addressed to your systems administrator. Copies of messages may also be retained independently on system backups. Regardless of the intent to delete the message, as long as it exists, it continues to be subject to discovery.
Although email is analogous to paper correspondence, the courts have found that there are indeed, differences between the two records. The contextual data (the "envelope" that contains the mailing address, date/time stamp, routing instructions and transmission and receipt information) that accompanies email messages constitutes an integral part of the record and thus must be retained as a part of any printed or stored version of the record. Armstrong v. Executive Office of the President, 810 F.Supp. 335 (D.D.C. 1993).
Email systems are a corporate resource. Email systems in use in government offices are government property installed and maintained for the conduct of government business. The office may and should exercise control over the use of the resource by employees and has the right to monitor and read employee email.

ACTIONS:

Any employee or officer of the Commonwealth who creates or receives an email message must review said message for content. Once a determination has been made regarding the subject matter involved in the communication, the employee or officer must consult the retention schedules for his\her agency or municipality in order to determine the lifecycle of that particular record. Necessary and proper records management procedures must then be implemented to ensure that the record is preserved for the proscribed retention period. G. L. c. 4, § 7(26).
Email must be managed as a part of the office’s records holdings. Email messages are subject to the same records management principles as all other records of the office. Records retention schedules issued by the Supervisor of Public Records (for local governments) and by the Records Conservation Board (for state government offices) must be implemented for email as well as for analogous paper records.
Email systems are not record-keeping systems. All email users must screen and evaluate email messages according to “CONTENT”.
Once the CONTENT or subject matter of the message is determined, the user must consult their agency’s record retention schedule and the Statewide Records Retention Schedule (for State Agencies) or the Records In Common Schedule (for municipalities) to determine how long the record must be preserved.
Once the applicable retention period has been determined, the user should file it in accordance with the entity’s filing system procedures.
Email messages should be stored depending upon retention period. Please consult your entity’s record liaison officer, computer technical staff or systems engineer for assistance.
All government offices must establish written policies regarding their email systems. Said policies must ensure that their system is capable of displaying and preserving the contextual data (metadata) associated with the email message to ensure the capture and preservation of a complete record. Any email message which is printed to preserve content must contain the metadata in its complete form.
Government offices must ensure that all personnel who will be handling email are properly trained to ensure compliance with this policy.

Questions regarding access to public records should be directed to:

Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding records retention should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point 220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/archives/records-management.htm

04-96 Fees for Access and Copying of Electronic Public Records

TO:

Public Records Custodians

SUBJECT:

Fees for Access and Copying of Electronic Public Records

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides guidance to custodians on how to compute the applicable fees for copying and accessing electronic records.

BACKGROUND:

The Public Records Law clearly applies to the disclosure of electronic records. The computer enhances government's ability to provide information in various formats not available on paper. Additionally, the computer enables the custodian to merge files or manipulate data in order to create new records. The government is entitled to charge certain costs associated with compliance with requests for data in magnetic media.

FINDINGS:

Public records, and any non-exempt, segregable portions thereof, are subject to mandatory disclosure upon request and upon payment of a reasonable fee. Accordingly, a custodian may withhold exempt information within a record but must disclose any public portions. A custodian may recover costs incurred when complying with public records requests, including costs associated with searching for the record and segregating any exempt information. Segregation may be accomplished by blocking out exempt information on a copy of the record, or through electronic segregation prior to disclosure.

ACTIONS:

Unless otherwise established by statute, a records custodian may charge no more than the following fees for copies of public records: twenty cents ($.20) a page for photocopies, twenty-five cents ($.25) for copies maintained on microfilm or microfiche, fifty cents ($.50) a page for computer printout copies and for copies of records not susceptible to ordinary means of reproduction (such as oversized documents, audio tapes and computer tapes), the actual cost incurred may be assessed. When the cost of complying with a public records request is expected to exceed ten dollars ($10.00), the records custodian shall provide the requester with a written, good faith estimate of the costs involved.
The Public Records Access Regulations (Regulations) also allow a record custodian to assess a fee for a search of computerized records based on the actual cost incurred from the use of the computer. 950 C.M.R. 32.06(1)(e). The only such "actual costs" which may be recovered are: the cost of the energy consumed during use, the materials used, and the prorated salary of the computer operator. Minimum fees may not be imposed for the inspection, or copying, of a public record.
There is no basis in the Public Records Law or Regulations for recovering the costs incurred in developing the database or entering information. These costs are incurred by a custodian in the daily operations of the office and are not the direct result of complying with a request for public records. Therefore, such costs cannot be passed along to a requester.
A custodian has a duty to write a program to segregate exempt information from non-exempt computerized information. See G.L. c.66, § 10 (custodial duty to segregate). Again, only the actual costs incurred may be assessed for compliance.
In certain instances, the reprogramming necessary to comply with a request in a specific format is tantamount to creatinga document, rather than segregating an existing record. A record holder's duty to comply with requests for information extends only to records that are in existence and in his custody. There is no obligation to create a record in response to a public records request. Since the newly created record is not within the statutory definition of "public records," the Regulations do not apply and the custodian may assess any reasonable fee for such reprogramming to create a document.
Requests for on-line access to records or for a subscription service to certain information constitute prospective requests. Since those records are not yet in existence at the time of the request, they are also outside the purview of the Regulations and the custodian may set the fee for such access.
A custodian may be reimbursed only once for the cost of the programming necessary to comply with a public records request. Once a program is written, a custodian may not recover the cost of writing the program each time that program is used. Rather, that program becomes part of the municipality's files and the custodian may assess only the cost of reproducing the particular record.
A custodian may require payment of the fee prior to complying with a public records request. See 950 C.M.R. 32.05(6) (requester is entitled to one copy of a public record or any desired portion of a public record upon payment of a reasonablefee).

Questions regarding custody or access to public records (including records maintained on a computer) should be directed to:

Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding this bulletin and maintenance and disposal of government records (including electronic records) should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point 220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/archives/records-management.htm

03-96 Application of the Public Records Law to Electronic Records Access

TO:

Public Records Custodians

SUBJECT:

Application of the Public Records Law to Electronic Records Access

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides guidance to records custodians on their duties and obligations to respond to requests for information in a computer medium.

BACKGROUND:

Freedom of information laws give life to the rights of free speech and meaningful electoral participation by providing a mechanism for holding government accountable. The computer generally enhances the government's ability to collect, compile, manipulate and disseminate information. Certainly, as the manner in which government information is maintained evolves, the means of accessing such information must experience a parallel evolution to preserve a meaningful right of access. Limiting the public's rights of access to only paper records at a time when the government is using a far more efficient means of reviewing information, is an effective denial of this right to meaningful access.

FINDINGS:

The term "public records" is broadly defined to include all documentary materials or data, regardless of physical form or characteristics, made or received by any officer or employee of any city, town, or agency of the Commonwealth, unless falling within a statutory exemption. G. L. c.4, § 7(26). A literal reading of this statute necessarily leads to the conclusion that the availability of information in the custody of Massachusetts governmental entities is dependent upon the substance of the information, rather than the form in which it is maintained. This means that records created or maintained on a computer are subject to the disclosure requirements of the Public Records Law.

Many cities and towns do not have the ability to maintain advanced computer capabilities. Therefore, in order to maximize efficiency, several municipalities have contracted with private companies to computerize and maintain various city and town records. There is nothing in the Public Records Law which prohibits a city or town from engaging in such a relationship. See G.L. c.66, § 10 (Public Records Law). However, the records do not become the private property of the company. Moreover, the municipality cannot contract away its public records duties. Consequently, a provision in the contract between the municipality and the private computer company prohibiting the dissemination of information cannot serve as a basis for non-disclosure in response to a public records request

ACTIONS:

Obligations of the legal custodian. Under the Public Records Law, the government records custodian who creates or receives records in his capacity as a government official is primarily responsible for providing access to its records. This legal custodian cannot, consequently, insist that a requester seek access from the service bureau within the agency (government MIS department, data processing division, etc.) or outside the government operation (private company). The legal custodian of the records is obligated to obtain requested records from that service bureau and provide access to them upon request.
Records not yet in existence. A record holder's duty to comply with requests for information extends only to records that are in existence and in his custody. There is no obligation to create a record in response to a public records request. G.L. c.66, § 10(a). Accordingly, a government agency, or a private company acting in its behalf, would not be obligated to create programs which essentially produce a new record in response to a public records request. This does not mean that the agency cannot write such programs; only that it is not required to do so. The writing of such new programs by, or on behalf of, the government agency, is considered the creation of a record and is done outside the realm of the Public Records Law. Therefore, as long as there is a requester who is willing to pay for this programming to create a new record, the government agency may establish whatever fee it deems appropriate. However, that fee may only be assessed once. Once the government agency is in possession of that newly designed program, the records generated thereby are subject to mandatory disclosure upon request. G.L. c.4, § 7(26). Additionally, once the program is in existence, the municipality may only charge fees in accordance with the Public Records Law.
Segregation. Public records, and nay non-exempt, segregable portions thereof, are subject to mandatory disclosure upon request. It is the burden of the record custodian to demonstrate the application of an exemption in order to withhold a requested record. Therefore, a custodian is obligated to segregate exempt information from that which is public and provide an independent public record. G.L. c.66, § 10(a) (custodial duty to segregate). Segregation must also be accomplished when responding to requests for electronic records. Computer segregation may involve programming. If compliance involves writing a program to segregate information, then the custodian must do so. Writing a program to manipulate data or combine data from various sources so that the end product is truly a new record is not required, but as stated above, is permissible.
Prospective requests. Requests for electronic records which are prospective in nature, such as an on-line subscription or monthly updates of information, will not be subject to the Public Records Access Regulations since the request is actually for a record not yet in existence. Such a request exceeds the purview of the Public Records Law, therefore the custodian is able to set her own reasonable fees for compliance.
Software. A custodian is not obligated to provide copies of a computer program. A computer program in and of itself is a tool used in the processing of data rather than a "record," and therefore is not subject to mandatory disclosure.
Format and medium. A custodian is not obligated to provide information in a format or medium which is compatible to every requester. That is, if a custodian is able to provide information in a compatible format or medium, then he or she is obligated to do so. However, the burden is not on the custodian to convert data to be compatible with the requester's system. A records custodian must provide the information in whatever format it is capable of generating. The requester is then responsible for converting the data into the desired format.

Questions regarding this bulletin and regarding the maintenance and disposal of government records (including electronic records) should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

02-96 Designation of Records Custodian

TO:

Public Records Custodians

SUBJECT:

Designation of Records Custodian

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin defines the term custodian as it applies to public records, and provides guidance for providing access to and ensuring the security of government records.

BACKGROUND:

It is the responsibility of government officers who create, receive and maintain public records to ensure their safekeeping and availability to the public. Access to public records ensures public involvement, and participation and provides a mechanism for holding government accountable for its decisions and actions. Custodial responsibilities are governed by the Public Records Law and complementary Public Records Access Regulations. G. L. c. 4, § 7(26); 950 C.M.R. 32.

FINDINGS:

Custody of public records is in the office that creates, receives or maintains the records for use. Each officer in charge of a government office or department is the custodian of the records held by that office or department and has the primary responsibility for ensuring the safety of the records, providing access to those records and ensuring their authenticity. Where an office, board or commission does not have a clerk designated by law, it is required to appoint a clerk to keep its record books and to designate an employee to have custody of its other public records. G. L. c. 66, § 6. These responsibilities are inherent in the office and cannot be delegated or contracted to another entity.

In some cases, public records are not maintained with the officers who created them or those that are primarily responsible for their use and maintenance. These records may be in the care of a records center, a central file room, a data processing department, a private contractor providing government services, a private information services vendor, or another government officer who has agreed to care for the records. In all these cases, the entity maintaining the records is acting as an agent of the record custodian, providing only for the physical care of the record, and may not take action with respect to the records without the specific authority of the custodian.

ACTIONS:

Access to public records is through the custodian. Contractors, records centers, data processing departments, vendors or other entities which may have physical care of public records must make those records available when directed by the records custodian.
Security of public records is the responsibility of the records custodian. Where records are in the physical care of entities other than the custodian, the custodian shall make ample provision by contract, memorandum of understanding, or other means to ensure that the security of the records is ensured.
The records custodian is ultimately responsible for the accuracy of all information in the records in his custody, and must take all precautions to ensure the accuracy and integrity of the records.
The records custodian is responsible for ensuring that where disclosure of certain records is prohibited by law, those statutory mandates are observed.
Disposition of records is on the authority of the custodian only. Records may not be destroyed or otherwise disposed of without the specific authorization of the records custodian and the Supervisor of Public Records.

Questions regarding access to public records should be directed to:

Supervisor of Records
Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding this bulletin should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

04-94 Security and Custody of Records Created Outside the Town Hall

TO:

Public Records Custodians

SUBJECT:

Security and Custody of Records Created Outside the Town Hall

EXPIRATION DATE:

Until superseded

PURPOSE: This bulletin provides guidance and requirements for security and custody of municipal records created outside of Town Hall.

BACKGROUND:

Municipal governments have a fundamental obligation to provide secure storage for their records and make them accessible to the general public. Business in some municipalities must be conducted outside town hall; this may lead to situations where records are used and stored outside the premises of a municipal building in unsecured space, leading, in some instances, to alienation of the record. In some instances, original records are removed from a municipal building by a records custodian and stored in a private home or office. Such practices may jeopardize the security and accessibility of the records and hinder proper records management procedures.

FINDINGS:

The Supervisor of Public Records is responsible for seeing that the records of the Commonwealth, counties, cities and towns are put in the custody and condition required by law and securing their preservation. See G. L. 66, § 1 (the Supervisor's responsibility to ensure preservation of the records of the Commonwealth, counties, cities and towns). Municipal officials are responsible for the safekeeping of records in their custody. See G. L. 66, §§ 11 and 12. Therefore, the Supervisor directs municipal officials to take the following actions to provide security for and access to public records.

ACTIONS:

Whenever original public records are removed from a municipal office by a records custodian for use in the regular course of business in a private office or home, they shall be stored in fire resistant devices and safes provided by the municipality.
If a custodian cannot insure fire resistant storage outside the municipal building then no original records may be removed. However, the custodian may create copies of records for use in a private office or home.
Whenever original records are created outside the municipal offices, they shall be transferred on a regular and frequent basis to secure storage in the municipal building. If secure storage is available in the custodian's private office or home, then copies of records shall be made and stored in the municipal building.
Whenever a records custodian finds it necessary to work in another location other that the municipal building, he shall make himself available during regular posted office hours at a location convenient to the public.
Whenever an official relinquishes his office, he shall deliver over to his successor all such records he is not authorized by law to retain. See G. L. c. 66, § 14.

Questions regarding this bulletin should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

03-93 Requirement to Manage Records Created Under Government Contracts

TO:

Records Custodians

SUBJECT:

Requirement to Manage Records Created Under Government Contracts

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides guidance and requirements for the creation, management, accessibility, and retention of records created under government contracts.

BACKGROUND:

The purpose of laws regulating the management of government records is to protect the rights and obligations of the government and its citizens. Proper management of records ensures that the government has immediate access to information for the full period of time it is needed to conduct daily business, financial transactions, litigation, maintenance of public property, and development and implementation of public policy. Access to information also secures the public's prerogative to monitor the government and encourage its accountability to the governed.

Records documenting the provision of services by government are the responsibility of the government records custodian. The custodian is required to use permanent-quality paper, inks, and materials to create permanent public records (see: G. L. c. 66, §§ 3-4; also, Executive Order 293); secure and preserve records (see: G. L. c. 66, §§ 8-9, 11-12); provide public access to records (see: G. L. c. 4, § 7, cl. 26; c. 66, § 10); and dispose of records according to disposal schedules approved by the Records Conservation Board for state government records or by the Supervisor of Public Records for county and municipal government records (see: G. L. c. 66, § 8).

Rather than offering direct services to citizens, governments may choose to expend government funds to provide services through vendors. These interactions result in the creation of much documentation, including information about vendor qualifications, financial records relating to contracts and payment, reports to the contracting government entity, and information about programs and their constituents.

Records resulting from contracted activities are vital to the conduct of government functions. For example, certain records are required for contract monitoring, litigation, the prevention of fraud and abuse, and the fulfillment of obligations to citizens served by programs. Because such documentation is critical to ensuring accountability, when in government offices it is routinely accessible to citizens. Therefore, when services are provided through vendors and such records are created and stored in contractors' offices, the same standard applies. This change in location does not abrogate the government's obligation to ensure public accountability and public access to these government records.

FINDINGS:

The Supervisor of Public Records is mandated to oversee the creation, preservation, accessibility, security, and custody of public records (see: G. L. c. 66, § 1 et seq; 950 CMR 32).

When public monies are expended to provide government services to citizens, the public has an interest in the information and records that result. Such records are government records and shall be managed in all respects according to law.

Custodians must provide proper care and management of public records (see: G. L. c. 66, § 1 et seq.). A custodian is defined as a "...person having routine access to or control of public records." (see: 950 CMR 32.03) When a government entity contracts with a vendor to provide government services, the vendor is acting for the government, performing a government function with government funds. The government is considered custodian of certain information generated to fulfill contractual obligations and has a direct interest in the proper management of the resulting records.

ACTIONS:

Any government entity entering into a contract, grant agreement, or other agreement with any private entity to provide government services shall include provisions in said agreement describing the creation, security, accessibility, disposition, and custody of records created to satisfy the agreement. All records created in fulfillment of the obligations of the contract are government records and shall be deliverable to the contracting government entity.
In the agreement the government entity may enumerate records to be created and specify the media in which information is recorded. Permanent-quality media shall be used to create permanent records.
The government entity shall describe in the agreement the actions to be taken by the contractor to ensure the physical and intellectual security of the information created under the agreement.
Access provisions contained in the agreement shall conform to G. L. c. 4, § 7, cl. 26; c. 66, § 10, c. 66A, and other pertinent statutes. In no case shall the agreement provide for more stringent restrictions on access than those contained in law. Records systems incorporating electronic media must provide for access to publicly-available information. Access provisions shall include the requirement that public requests for information be made through the contracting government entity.
No government records may be destroyed without authorization. Therefore, the government entity shall reference in the agreement any existing disposal schedules approved by the Records Conservation Board for state government records or by the Supervisor of Public Records for local government records which may apply to information created under the agreement. The agreement shall provide for the establishment of new disposal schedules for all records not appearing on existing schedules.
Where records are deemed to be of permanent value, the government entity shall designate the media in which information is to be created and/or maintained. Provisions shall be made for appropriate storage and preservation of permanent records by the contractor while in his possession and for their return to the government entity as legal custodian once their usefulness to the contractor ceases. Such records may be transferred to the Massachusetts Archives for permanent retention.

Questions regarding access to records created under government contract should be directed to:

Public Records Division
One Ashburton Place, Room 1719
Boston, MA 02108

Phone: 617-727-2832
Fax: 617-727-5914
Email: pre@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

Questions regarding this bulletin should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm

03-92 Maintenance of Records Storage Areas

TO:

Public Records Custodians

SUBJECT:

Maintenance of Records Storage Areas

EXPIRATION DATE:

Until superseded

PURPOSE:

This bulletin provides guidance and requirements for the creation, management, accessibility, and retention of records created under government contracts.

BACKGROUND:

Paper, magnetic media, photographic film, and other records are subject to continual change and decay. The rate of change is determined by the environment in which they are housed. Environmental characteristics such as light, temperature, humidity and air quality influence the condition and overall longevity of records and the information they contain. Handling, the human aspect of the environment, has a powerful impact on the longevity of records. When careless retrieval or refiling practices result in torn, crumpled or folded pages, paper fibers are broken, making tears more likely in the future. Magnetic media requires thoughtful handling or data loss will result. Smoking, eating, and drinking are equally as hazardous to records.

Dedicated records storage fulfills a unique function in office areas; the purpose of such storage is the protection and preservation of public records. By its nature, this function is compromised by eating, drinking, smoking, and related activities which expose records to fire, smoke, grease, oil, dirt, and other hazards.

FINDINGS:

The Supervisor of Public Records oversees the preservation of public records. See G.L. c. 66, §1 (the Supervisorís responsibility to secure the preservation of the records of the commonwealth, counties, cities or towns). Public officials are responsible for the safekeeping of the records in their custody. See G.L. c.66, §11. Therefore, the supervisor charges public officials to provide proper handling and care of public records.

ACTIONS:

The use of smoking materials and the consumption of foods and beverages in dedicated records storage areas is prohibited.
Dedicated records storage areas should be kept clean and free of environmental hazards to records. In the case of storage areas shared by multiple offices, the executive officer should appoint an individual to monitor conditions, report and correct violations.
All persons should refrain from smoking and consumption of foodstuffs when handling records.
Officials should take reasonable care in referencing, retrieving, and refiling records so that the physical composition of the record, and the information it contains, is not damaged.
When planning the construction or refurbishment of a dedicated records storage area, officials should consult Specifications for Safes and Vaults, available from this office. Specifications describe requirements for the construction of vaults; temperature and humidity levels to be maintained in them; sprinkler, heating, ventilation and air conditioning systems to be used; appropriate storage equipment; and related matters.
For more information about control of the environment, and its affect on record materials, officials can refer to the Municipal Records Retention Manual issued for their jurisdiction, also available from this office.

Questions regarding this bulletin should be directed to:

Records Management Unit
Massachusetts State Archives at Columbia Point
220 Morrissey Blvd.
Boston, MA 02125

Phone: 617-727-2816
Fax: 617-288-8429
Email: recman@sec.state.ma.us
www.sec.state.ma.us/divisions/public-records/public-records.htm