E-mail Retention Policies



Electronic Records

Question

[submitted by Kentucky: 6/8/09]

Kentucky is looking into upgrading our “index card system” regarding administrative rules and regulations. We want to see what other states are doing before trying to reinvent the wheel. Would you please assist us by answering the following 5 questions? Please feel free to mention suggestions, ideas, or pitfalls.

1) Do you keep the history of your rules electronically or by other methods? In either case what type of format do you use?

2) What kinds of rules are available on your Web site? (current effective versions, versions in the process of becoming effective, historical versions)

3) If you have historical versions, are all or only some historical versions available for viewing? If some, please give a rough estimate as to the percent of past versions available.

4) Is general public access available by subscription only, free to all, or a mixture of both? (Descriptions are appreciated.)

5) Do agencies submit rules electronically only, paper only, or some of both? (Descriptions are appreciated.)

Responses (from 20 states)

• Arizona [reply submitted 6/8/09]

1) Original paper file is assigned a file number archived in an electronic database (Microsoft Access). The retention schedule is yearly, with the files archived to pdf and film. The Administrative Register is electronically archived online (pdf) and in paper format. The Administrative Code is electronically archived (html, pdf, rtf) but not archived online. It is also archived on paper by Chapter.

2) The electronic database of the files is posted online with the electronic file number and reference to the page number and volume of the published version in the Arizona Administrative Register. The archive information is included online so the editor can find the information with efficiency (archive information: folder/cd #, the file name, the frames and roll of the film).

The public can reference the Register archive to 1995 thanks to the recent posting efforts of our Register editor. The Register includes any process of a rulemaking from a Notice of Rulemaking Docket Opening to a Notice of Final Rulemaking. The public can track a rule using the Register Index updated weekly.

Current effective versions are published online in the Arizona Administrative Code.

The Code is electronically archived quarterly by an editor (html, pdf and rtf). The electronic archive is by rescinded chapters and also by the quarterly supplement. This mirrors the paper versions available in our publication library. The public does not have access to these historical versions online.

3) Access to historical versions has been limited to a public records request for several reasons.

o Our office wanted to make sure that the most recent version of a rule is accessed through our search engine from our home page.

o The requests for historical versions of an archived Chapter are less than five a year; many times the original rulemaking package is requested. In either case, many times the pdf of the Chapter is sent to the requestor attached to an e-mail.

4) Our online version is free; paper subscriptions to the Code are the “official” version of the rule.

5) Our office accepts a paper filing and requests a disk with the filing for formatting in the Administrative Register and Code.

If you are interested in getting a copy of the database to see how it works, just let me know.

• California [reply submitted 6/9/09]

1) California’s database is maintained by the vendor as part of the code publication contract. The history of each section is published at the end of that section (or sometimes as a group history note at the beginning of a new article or subdivision). See a sample history note below containing the history of Cal. Code Regs., tit. 1, section 55:

HISTORY

1. New section filed 6-26-90; operative 7-25-90 (Register 90, No. 35).

2. Amendment of section heading, new subsections (a)-(a)(2), subsection relettering, amendment of newly designated subsections (c), (f) and (g)(1) and repealer of subsections (h)-(h)(2) filed 1-8-99; operative 2-7-99 (Register 99, No. 2).

3. Amendment filed 3-27-2006; operative 3-27-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 13).

4. Amendment of section and Note filed 2-25-2008; operative 3-26-2008 (Register 2008, No. 9).

2) We provide the current version only, which includes history notes and a reference list of governing statutes. Our code is updated weekly, and we know of no feasible way to provide previous versions at this time.

3) N/A.

4) The official hard-copy code is available by subscription only although California law requires that a free copy be sent to every depository library. The code is also available free online via our website at .

5) We currently accept rules in paper copy only because of the requirement for a certified signature (we would have to carefully proof an electronic copy against the signed original). We are very interested in how other states have successfully reduced the amount of paper while still preserving the “official” original regulation.

• Delaware [reply submitted 6/9/09]

1) All regulations are kept electronically. Prior versions of the rules are kept in a Lotus Notes database.

2) Current and proposed regulations are on the website. Prior versions are in some cases.

3) Since we publish the entire regulation when proposed changes are made, the prior version is part of the publication. We have done this since 2004.

4) Free.

5) Electronically only. Paper is filed with original signatures.

• Florida [reply submitted 6/9/09]

1) The Florida Administrative Code began maintaining an electronic copy of previous rules on its electronic rulemaking system in 2005. All adopted rules filed in Florida are maintained in the State Archives of Florida as a permanent record – in paper form.

2) Current effective versions, proposed rules, historical versions since 2005, and emergency rules from the Florida Department of the Lottery.

3) Only some are available for viewing. Somewhere between 5% and 10% are available.

4) The official, paper copy, of the Florida Administrative Code and Weekly is available by subscription only. The unofficial web versions of the Florida Administrative Code and Weekly are available on the Secretary of State website free of charge at .

5) The official copy of the rule is filed in paper format. Agencies also provide an electronic copy.

• Idaho [reply submitted 6/9/09]

1) In Idaho, we have both electronic and hard copy records. Our long-term electronic records are stored on CD-ROM and are in both FrameMaker files and pdf files and they are archived on our website in both formats. We also back them up on an external hard drive and they are also maintained and backed-up electronically on our network. We use these same formats for our publications as well.

2) We post our current Bulletins and Code on our website and we also have archives of the Bulletins back to 1995 and the Code back to 2000. We also publish a cumulative rulemaking index that goes back to 1993 when our first Bulletins and Code were published.

3) Idaho’s APA was reenacted in 1992 and our archives consist of approximately 90% of all our Bulletin publications and about 60% of our Code publications. We are working on having all our archived materials available online at some point.

4) All our publications are available online for free. A subscription to our 12-volume printed Code is $450 per year and our Bulletin is $400 per year for 12 issues. I am working on legislation for our 2010 session to eliminate the requirement that we produce printed versions of our publications. This would make the electronic versions of the rules the “official” versions and judicial notice would be taken of the electronic publications as opposed to the printed publications as is the current practice.

5) Currently we require that rule filings be done electronically and in hard copy for publication in the Bulletin. We will eventually go to electronic only. Agencies do not file rules for our Code publication. I am the custodian of the administrative rules and, as such, I have the official version of the Code.

• Illinois [reply submitted 6/8/09]

1) We have both paper and electronic records. The Code division only keeps the most recently filed electronic version of the rulemaking on a DB2 system database. The unofficial version of the electronic record is kept by the Joint Committee on Administrative Rules (JCAR). The official copy of the Adopted rule is kept in paper format until it is replaced by a new rulemaking, then it is filmed for storage. The Illinois Register is kept in paper format for two years, then it is put on CD-Rom for sale. Prior to 2009, this information was placed on microfiche for sale and microfilm for permanent retention. Documents are saved in both PDF and Word format.

2) The Illinois Register is a publication that is maintained as a PDF document on the website (), which shows all rulemakings (proposed, adopted, emergency, repealed, and peremptory) filed weekly by the agencies. Individual rulemakings are not available on the cyberdriveillinois site. Each department is responsible for posting their rulemakings to their Agency website should they choose as there is no legal requirement for such a step. All rules may be viewed on a website maintained by the Joint Committee on Administrative Rules (JCAR) at . My understanding is these files are PDF on that system.

3) Historical versions are available from Aug. 16, 2002, to the present as part of the publication Illinois Register for viewing. Versions of the Table of Contents for prior Illinois Registers date back to Jan. 2, 1998. The division maintains rulemakings back to the 1930s but this information is not available for Internet viewings as records are incomplete.

4) The Illinois Register is published in paper, on an FTP site, and the Internet. Internet access is free to all. There is a subscription service for the paper or FTP Register. Subscriptions cost $290 but are free to state agencies.

5) Both. By statute, a paper filing of a certified copy of a final rule is required and all other rulemaking is submitted as paper filings with all documents presented on a 3.5 diskette or CD-Rom for publication purposes. Our office suggests submitting an electronic copy for reviewing purposes before filing the original documentation with our agency.

• Iowa [reply submitted 6/8/09]

1) Electronically (XML).

2) All of the above.

3) We publish biweekly. In addition to the current rules, prior versions of the administrative code are available online from 1998 to present.

4) Free to all.

5) Electronically only.

• Missouri [reply submitted 6/9/09]

1) Missouri does keep history of the published rule text in the form of electronic archived copies of the Missouri Register and Code of State Regulations. We also maintain paper copies of the original filing made by the agency and our working copies where edits were made.

2) Emergency rules appear on their own heading on our website from their effective date until they are published in the Missouri Register after which they appear electronically as part of the Register. Proposed rules and orders appear on the web in the Missouri Register twice each month and the final rule text appears in the Code of State Regulations updated on the web each month.

3) The historical copies of the Missouri Register are available electronically from Oct. 1, 1999, forward. The Code of Regulations is available electronically from Jan. 1, 2000, forward.

4) The official, paper copy, of the Code and Missouri Register is available by subscription only. The unofficial web version of the Missouri Register and Code are available on the secretary of state website free of charge.

5) Currently, the agencies submit rules by e-mail but make the official filing on paper. We are working on an electronic filing system that will let the agencies do the official filing electronically with our office but we will continue to allow those who want to file on paper to do so.

• Montana [reply submitted 6/9/09]

1) We have our entire rule history on paper and on microfilm. We also have the history of our rules electronically in either WordPerfect or Word format from 1997 to date, and in Word and html format from 2007 forward. Only the html format is available online for public viewing. The Register is also available to the public in a .pdf format since 2000, as well as html since 2007.

2) The website contains currently effective versions. The website also has limited historical versions. Online rule versions that are in the process of becoming effective can only be viewed through the Register.

3) Historical versions are available for public viewing online only from 2007 forward.

4) All online viewing and printing is free. There is a subscription fee for paper copies:

Register: per calendar year (24 issues) - $325.00; per issue - $13.50

Administrative Rules: initial purchase of ARM - $500.00; quarterly issues of updates to ARM, per calendar year - $300.00 (partial year subscriptions will be prorated)

Individual titles: initial purchase of single-part title - $60.00; initial purchase of multi-part titles - $60.00 for the first part, plus $40.00 for each additional part; quarterly updates to individual titles, per calendar year - $60.00

5) Agencies currently are required to submit rules in Word format only.

• Nebraska [reply submitted 6/8/09]

1) We have an electronic database. We also keep all certificates of adoption in three-ring binders.

2) Only current and proposed rules are available.

3) N/A.

4) Access via the web is free to all.

5) Paper only.

• New Jersey [reply submitted 6/18/09]

1) Rule history is reflected in the New Jersey Administrative Code through Chapter Historical Notes in each chapter's heading material (for rulemakings affecting the chapter as a whole) and through section-level annotations for specific section amendments. These notations can go back as far as the 1970s. This historical material is included in the paper and DVD versions of the Code, in Code publisher LexisNexis' proprietary subscription version of the Code, and in the Code version provided free by LexisNexis through the Code and Register public access portal at njoal. The OAL maintains a paper archive of practically all Code updates going back to the original 1970 Code, enabling us to research a version of a rule as of a particular date or through a period of time. A complete library of the New Jersey Register is also maintained; the service and the free public access portal provide complete Register issues from mid-1995. The service provides an electronic archive of prior Code versions back to mid-1995. The OAL maintains paper copies of its rulemaking records (original submission, version approved for publication, review memoranda, etc.) for each rule adoption for three years, then the earliest year is microfilmed, and we receive a microfiche copy. The OAL has such microfiche records going back to 1969.

2) The OAL website, under "Rules," includes a link to the free LexisNexis Code and Register public access portal. This portal provides access to the complete Code, updated quarterly, and to New Jersey Register issues going back to mid-1995.

3) See response to (1) above.

4) See responses to (1) and (2) above.

5) Currently, notices of proposal and adoption are submitted and processed in paper versions. Non-rulemaking notices submitted for Register publication are submitted by agencies as Word documents to a designated inbox, and are reviewed, processed, and archived in electronic form. We anticipate that proposals and adoptions will likewise be electronically received, reviewed, processed, and archived electronically by the end of 2009.

• New Mexico [reply submitted 6/11/09]

1) We keep a history of all rule filings since 1967 (when the State Rules Act went into effect and the State Records Center and Archives became the centralized rule filing point). The history is maintained in a database of which selected fields may be viewed online at . The database is an index and does not contain the actual rule text. Paper reports are generated from the database each month.

The rule text itself also has history notes and histories of the part. The history notes are placed at the end of each section and detail the changes that have occurred over time in each section. The history of the part is located at the end of each rule. It explains where the subject matter has been found in rule text back to 1967, if possible.

All of the rule text since 1967 is maintained in paper, though we do maintain electronic versions of all filed rules since August 2001 in MS Word format.

Copies of the New Mexico Register since its beginning in 1990 are available in paper. All issues since Aug. 15, 2001, are also available on the Register website.

2) The New Mexico Administrative Code website only contains current rules. Each filing agency is responsible for its own proposed rules. Many agencies post the proposed text on their websites. We currently do not have historical versions of rules in the administrative code. Past issues of the Register are available online.

3) Historical versions of rules are available for viewing in paper format. Photocopies can be made of those rules for a fee. Starting in July, electronic copies (either rules since 2001 stored electronically or earlier rules that have been scanned into PDF) will be available through e-mail for a fee. We are exploring the possibility of placing historical versions online.

4) The administrative code is available online only for free. The online version is considered the official version of the administrative code. There is no official paper version of the administrative code. The New Mexico Register is available online for free. It is available in paper for a fee of $12 per individual issue or $270 for an annual subscription. We currently have 2 paying subscribers.

5) The State Rules Act mandates that agencies file rules in electronic and paper formats. Agencies submit the electronic copy on CD, Diskette (we’re exploring other storage devices) in MS Word format. The filed paper version is used as the archival copy. (We have explored electronic filing for the last few years, but are not in a position to implement it at this time.)

• New York [reply submitted 6/8/09]

1) New York does have an “electronic card file” that was created by converting information that was manually maintained on 5x8 index cards to an electronic tracking system. It contains information pertinent to rules filed with the DOS. The index card file was started in the late 1960s. If memory serves correctly, we had over 100,000 card entries to capture. The current tracking system maintains historical as well as current activity. The tracking system was built as part of a contract with our print vendor at the time.

2) An unofficial version of adopted rules published in the NYCRR is available via the department’s website. We only publish the current version.

3) N/A.

4) The unofficial online NYCRR is available to the public at no cost via a link on our department’s website (dos.state.ny.us).

5) Agencies submit rules electronically and can submit by paper also. We encourage agencies to e-file to eliminate duplicity. However, agencies are still required to file a certification containing an original signature, stapled to the text of the adopted rule. DOS staff match the e-file documents with the certification. We anticipate researching methods for e-file of certifications sometime in the future.

• Ohio [reply submitted 6/8/09]

See answers below for an explanation of what we are doing in Ohio.

1) Yes, we keep the history of our rules electronically. Data is maintained in a database and documents are maintained as xml files and pdf files.

2) We publish currently proposed rules and recently adopted rules on the Register of Ohio website. Proposed rules are published as long as they are in proposed status. Once adopted, the rules remain published for one year. LSC is statutorily prohibited from publishing the Ohio Administrative Code so that is why we remove the adopted rules after one year. While a rule is published on the Register (whether proposed or recently adopted), the filing history and associated documents for that rule, back to July 2000, are also available.

3) See above...if a rule is currently published on the Register of Ohio, the filing history and associated documents, back to July 2000, are also available.

4) General public access is available free to the public ().

5) Agencies submit their rules electronically only, in xml format, using our Electronic Rule Filing (ERF) System. We have not accepted paper filings since 4/1/02.

• Oklahoma [reply submitted 6/11/09]

1) Prior to codification in 1991, we kept index cards. Beginning with codification, the source notes (i.e., history notes) in the Code identify the history of each rule (i.e., Section or Appendix). These are created, and entries are added, to the database by an editor.

2) Currently effective versions (as of a date, as stated on the website)

3) N/A.

4) The current "unofficial" rules are available on the website at no charge. The "official" printed sets of the full editions and the cumulative annual supplements, as well as individual Title publications extracted from these print publications, are available at prices that are based on size of the publication. By statute, we also provide copies at no charge to certain state officials and to those county clerks who request a copy.

5) Both. Because of conversion problems with filings received on disk, CD, or e-mail, agencies must also submit paper copies of their filings. When a filing is accepted for publication, the paper copy, including a signed attestation (which is not published), is retained as an official record.

• Oregon [reply submitted 6/10/09]

1) A history note follows each rule in Oregon's Compilation. The history note lists the Administrative Order number and the filed and effective dates of the rule's adoption, and all subsequent amendments. These Administrative Orders are the original paper filings, the "official version" of our Code and Register, and are a part of the holdings of the State Archives. An electronic copy of only the current version of each administrative rule is posted on our website in html, updated monthly, available to all free of charge, and is not considered the official version. Our database does not contain rule text and is not available online.

2) The most current versions of all permanent and temporary (emergency) rules are posted on our website.

3) No historical versions are available online. We've printed an annual compilation of all current Oregon administrative rules in hard copy since 1997. Previous versions of rules can be researched using these volumes or by accessing the Administrative Orders (official copy) at the State Archives. We have all of the hard copy Administrative Orders going back to the beginning of rulemaking in Oregon in the 1940s.

4) Access to Oregon administrative rules online is free. We charge for hard copy subscriptions to our printed versions of the Compilation and for copies of Administrative Orders.

5) Agencies submit hard copies of Administrative Orders (Certificate and Order for Filing Permanent and Temporary Rules with original signature and hard copy of text being adopted or amended) and they also submit rule text on disk/electronically to facilitate our publication work - creation/formating/web posting.

Our online Oregon Administrative Rules are available at .

• Texas [reply submitted 6/8/09]

1) Original filed documents are printed and filed on paper. We also have electronic files for 10 years (longer for many documents). Oldest electronic files (early 1990s) are available only in text or ascii format. We now keep the weekly back issues of the Register in pdf and html formats. We also maintain an Oracle database of the Register and Administrative Code, containing sgml files, which are viewed online in html format.

2) Current version, past versions for approximately 10 years, and adopted rules pending effective date.

3) All in administrative code since Jan. 1, 1999. All in Texas Register since Jan. 28, 2000. (Older electronic documents are available, but not in database.)

4) Free to all.

5) Mostly as e-mail file attachments, but a few agencies use FTP. Agencies send submission forms by fax or by web form.

• Virginia [reply submitted 6/8/09]

1) We keep track of the history of each regulatory action (when published at each stage, e.g., NOIRA, proposed, final, emergency; public comment dates; effective date; and other relevant information) in a Lotus Notes database but are in the process of incorporating that information into our Regulation Information System, a custom-designed application for electronic submission and publication of regulations. The Lotus Notes database is not currently available to the public. We envision providing access to at least part of that informational database to the public after the transfer to RIS.

We maintain paper files of all regulatory actions. After all sections in a particular action have been repealed or replaced, that paper file goes into storage. Generally, files in storage go to the Library of Virginia for archive purposes after five years. The individual Regulatory Record from the Lotus Notes database is printed and included in the paper file when the action is completed. All relevant information for that action is included in the file. Virginia law requires the Registrar's Office to maintain a permanent copy as the central repository for Virginia's regulations and for the issuing agency to also keep a permanent copy of the action.

Official actions as filed electronically and published in the Register and incorporated into the Virginia Administrative Code are maintained by the Division of Legislative Automated Systems, a sister agency in the legislative branch, in electronic format, some in Word documents and some in SGML, HTML, and pdf.

2) The electronic version of the Virginia Administrative Code (VAC) provides current effective versions updated daily using our Regulation Information System (RIS), a web-enabled workspace with user ID/password access to the Register staff and agency regulation writers. Agencies submit regulatory actions electronically through RIS, and the Register staff uses the system to prepare the Register (published every other Monday) and prepares the section text for automated daily update of sections that become effective each day to the electronic VAC database. The electronic data is also prepared for the VAC print and CD publisher (West) and sent to them for updates quarterly (CD) and semi-annually (print).

The Virginia Register of Regulations, published every other Monday, is available online and provides all current regulatory actions (versions in the process of becoming effective) online and in print format. The full-text Register, available online since 1998 and currently available on our website (), provides historical versions of regulatory actions with strikes and adds. "Versioning," the process of accessing previous text of a section as it appeared in VAC prior to an amendment or as it appeared before being repealed, is on our wish list. We have been keeping the necessary electronic information for providing this data since March 2008 but have not implemented it yet due to technical issues.

Emergency regulations, which become effective upon filing with the Registrar, are posted on our website within a day or two of receipt. They are temporary in nature and therefore are not incorporated into the Virginia Administrative Code.

3) Once we get the versioning system worked out, we anticipate providing historical versions from a set point in time (probably March 2008) but not going back to previous data before that date. It's not a perfect solution but it's a starting point. For a while it will be a very small percentage of our total regulations.

4) The Virginia Register is available online for free and in print by paid subscription. The online version is the official version pursuant to the Code of Virginia. The Virginia Administrative Code is available online for free and is updated daily. The print and CD versions of VAC are available by paid subscription with supplements. The print version is the official version.

5) Both. At this time, agencies submit two copies of most regulatory actions to the Registrar's Office after they submit the action electronically through the Regulation Information System. (Submissions of Notices of Intended Regulatory Action and General Notices are electronic only.) We are working on a system that we hope to implement in 2010 that will allow electronic-only submissions for the remaining regulatory actions (proposed, final, fast-track, and emergency).

• West Virginia [reply submitted 6/8/09]

1) Yes we have all historical rules scanned and saved. Currently they are kept in FileNet as a .tiff file, but we may be converting to something else in the future.

2) Rules out for comment, agency approved rules, modified rules, and effective rules are online. Also if a rule is file as an emergency, it is posted online as well.

3) No, currently we do not have historical rules online for viewing. We are hoping that will change in the near future.

4) Paper copies are available by subscription. We have 2 FTP subscriptions and 1 email subscription. Everything is free online.

5) Yes, agencies do submit their final filed rule in both electronic and paper. The paper contains the full text of the changes and the electronic may be emailed, CD, or diskette in either Word or WordPerfect.

• Wisconsin [reply submitted 6/8/09]

Here in Wisconsin what we are doing now is not what we hope to be doing a year from now, as we hope to make a significant upgrade to our internet presentation of the Administrative Register and Code, as well as related historical materials. See below for what we are doing now. If you have any interest in the upgrades we are considering, let me know.

1) We have both paper and electronic records. Since 1956 when Wisconsin instituted its composite administrative code, all final rule orders have been filed, and there are complete paper files of all code pages that have been inserted and all that have been replaced, as well as all Administrative Registers. Since about 2001, all documents in the rulemaking process, including inserted and replaced code chapters, have been saved electronically and made available on our Web site. Registers and final rule orders have been saved and put online since about 1996. Documents are saved in both PDF and NXT format. (NXT is a less-than-wonderful product that allows full-text searches of multiple documents in multiple infobases and linking to internal and external sources.) Rule orders and prior versions of the code are accessible from links in the history notes to the code sections in the NXT version of the online code.

2) All.

3) In terms of final rule orders, all filed since 1996 are available by accessing an infobase on our Web site and from links in the history notes in the NXT versions of the code. As to superseded administrative code chapters, all since 2001 have been saved electronically, and for any given date on which a code chapter was replaced, either the version that was inserted or the one that was replaced can be accessed from links in the history notes.

4) The Code and Register are published on or before their effective date. Internet access is free to all. There is a subscription service for the paper Register and Code. Subscribers can subscribe to the whole code or to individual codes. All paper files are accessible to anyone who comes to our office.

5) Both. By statute, a paper filing of a certified copy of a final rule is required. Our office requires an electronic copy for publication purposes, which is what is saved and posted to the Web as described above.

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