220 CMR, § 75.03

Current through Register 1538, January 3, 2025

Section 75.03 - General Instructions

(1)Duplicate Copies and Non-Scheduled Records

(a) Unless otherwise specified in 220 CMR 75.05, duplicate copies of records maybe destroyed at any time, provided, however, that such duplicate copies contain no significant information not shown on the originals.

(b) Records other than those listed in the schedule may be destroyed at the option of the public utility, provided however, that records that are used in lieu of those listed shall be preserved for the periods prescribed for the records used for substantially similar purposes. And, provided further, that retention of records pertaining to added services, functions, plant, etc., the establishment of which cannot be presently foreseen, shall conform to the principles embodied herein.

(2)Designation of supervisory official. Each public utility subject to 220 CMR 75.00 shall designate one or more persons with official responsibility to supervise the utility's program for preservation and the authorized destruction of its records.

(3)Protection and storage of records. The public utility shall provide reasonable protection for records subject to 220 CMR 75.00 from damage by fire, floods, and other hazards and, in the selection of storage spaces, safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness, or lack of proper ventilation.

(4)Definition of record media

(a) For the purpose of 220 CMR 75.00, the data constituting the records listed in the Schedule of Records and Periods of Retention ( 220 CMR 75.05) may be retained in any of the media forms in Table 1 of 220 CMR 75.03. However, records supporting plant cost shall be retained in their original form. (See 220 CMR 75.03(10), for periods of retention.)

(b) If the media form of the record retained is other than a readable paper copy, then reader and/or printer equipment and related printout programs, if required, shall be provided by the public utility for data reference.

(c) The media form initially selected for the record becomes the "original" for that particular record. If subsequent conditions(e.g., improved media life expectancy, increased utility resources, environmental factors) require and the remaining retention period permits a change in the media forms, the public utility may convert to another medium and dispose of its old equipment, provided the certification processes described in 220 CMR 75.03(5), or other applicable certification processes, are observed and data referencing capability is maintained.

Table 1-Record Media

Record media/form	Media expected life	Comments and standards
1. Paper and card stock (hardcopy).	Archival permanency	For each document, paper stock should be selected with a life expectancy equal to or greater than the retention period specified for that document.
2. Magnetic Storage:
a. Computer Disk (i.e., hard disk and floppy disk).	five years.	Assumes storage in a controlled environment with a temperature and humidity range of 60° - 80°F. and 40- 60%, respectively. Assumes regular system of copying and re-generation is utilized.
b. Tape (e.g., computer tape and videotape).	five years.	Same as above.
c. Punched tape or card.	Archival permanency.	For each record, tape media (paper, mylar, metallic base) should be selected with a life expectancy equal to or greater than the retention period specified for that record.
3. Microforms: a. Microfilm, including Computer Output Microfilm (COM), microfiche, jackets, and aperture cards.	Archival permanency.	Assumes processing to standards and storage in a controlled environment with a temperature and humidity range of 60° - 80°F and 40 - 50% respectively. (Ref American National Standards Institute (ANSI) standards PH 5.4 - 1970, PH 1.41 - 1970, PH 1.41-1976, PH 1.26-1979, PH 1.43 - 1961, or most current standards as accepted by the National Archives for use by Federal agencies. See 41 CFR 101 - 11.5)
b. Updatable type.	Dependent on use of media.	For temporary records not requiring archival permanency so long as the microform or film selected has a life expectancy equal to, or greater than, the retention period for that record. Same storage condition as for microfilm.
c. Metallic recording data strips.	Archival permanency.	Same storage conditions as for microfilm.
4. Optical Disk (including CD-ROM, WORM, and erasable types).	ten-20 years.	Assumes regular system of copying and regeneration is available and utilized. Reference the following quality controlsing quality controls: (1) disk technology does not allow deletion or modification of record images, (2) image of each record is written onto two optical disks, (3) the legibility of each record image is verified to ensure that image is legible on both disks; if image is illegible, the hard copy record is maintained as record copy, (4) one disk is stored in document imaging system for on-line retrieval, (5) second (backup) disk is stored in records storage facility meeting requirements of ANSI N45.2.9- 1974 for single copy storage in separate remote location, (6) records stored on disk are acceptably copied (including verification) onto new disk before manufacturer's certified useful life of original disk is exceeded, (7) random inspections of images stored on disks are performed to verify non-degradation of image quality, and (8) if replacing imaging system with incompatible system, records stored on old system's disks must be acceptably converted (including verification) into new system before old system is taken out of service.

(5)Microform, tape, and computer output certification

(a) As the initial recording media --

1. Except as provided in 220 CMR 75.03(5)(a)2. each microform record series:

a. shall contain, at the beginning, a microform introduction stating the title of the record series, the date prepared, the name of the official responsible for validating or confirming the data contained therein; and

b. shall be closed with a clear and standard microform notation indicating the completion of the series and the date.

2. If an official, permanent record series is a computer output product (i.e., output paper or microfilm, jacketed microfiche, or aperture cards), any certification that may otherwise be required under 220 CMR 75.03(5)(a)1. is not required if:

a. The series is prepared in accordance with written standard procedures developed, or accepted general business practices followed, by the public utility that ensure the integrity of record series that are the product of computer output; and

b. Such procedures or practices include the name or title of the official responsible for validating or confirming the data contained in the record series and confirming that a particular computer output record series was produced in accordance with the standard procedures or practices.

3. If, after validation, supplemental data and/or corrections (i.e., resulting from computer programming) are required, said microform may be produced separately or as a part of the series rerun, but shall be affixed to the original microform certificate as described in 220 CMR 75.03(5)(a)1.

4. Each tape record series shall be labeled externally and shall include, as a basic part of the program, at the beginning of that series an introduction stating the record series title, date prepared, the name of the official responsible for validating or confirming the data contained therein, and an index where appropriate. Each record series shall be closed with a clear and standard notation indicating the completion of that series and the date.

(b) Conversion from other media --

1. Each microform record series shall include, as an integral part, a certificate(s) stating that the microforms are direct and facsimile reproductions of the original records and that they have been made in accordance with prescribed instructions. Such certificate(s) shall be executed by a person(s) having personal knowledge of the facts covered thereby.

2. Each microform record series shall commence and end with a statement as to the nature and arrangement of the records reproduced, and the date. Rolls of film shall not be cut except to produce jacketed microfiche. Supplemental or retaken film, whether of misplaced or omitted documents or of portions of microform found to be defective, shall be attached to the beginning of the microform record series. However, if a retrieval system using such methods as, for example, image count indexing or "blipping" is used, the supplemental or retaken film may be attached at the end of the series, if provisions at the beginning of the series advise the viewer of the location of the problem frames and the location of the supplemental or retaken frames. If supple mental or retaken film of misplaced or omitted documents, or of portions of microform found to be defective, are attached to the microform record series, the certificate described in 220 CMR 75.03(5)(a)1. shall cover the supplemental or retaken film and shall state the reasons for the attachment.

3. If, in accordance with the provisions of 220 CMR 75.03(6), the public utility elects to convert records to a tape medium, the same certification provisions specified in 220 CMR 75.03(5)(a)3. must be provided in the conversion program.

(6)Change of media for existing records. Those records prepared and maintained under previous regulations in a paper medium may be converted to a medium listed in Table 1 at the public utility's option, provided applicable certification processes are observed and an audit referencing capability is maintaine d .

(7)Media

(a) All records created or maintained in a medium and a format other than readable entries on paper shall:

1. Be prepared, arranged, classified, identified, and indexed so as to permit the subsequent location, examination, and reproduction of the record to a readable medium;

2. Be stored in such a manner as to provide reasonable protection from hazards such as fire, flood, and theft; and be maintained in a controlled environment; and

3. Be regenerated, including proper certification, when damaged. (Also see 220 CMR 75.03(4)(a).)

(b) The public utility shall be prepared to furnish, at its own expense, standard facilities for reading media and additionally shall provide, if the Department so directs, copies of records in a readable form.

(c) All film stock shall be of approved operationally-permanent-record microcopying type, which meets the current specifications of the American National Standards Institute.

(8)Destruction of records. The destruction of the records permitted to be destroyed under the provisions of 220 CMR 75.00 may be performed in any manner elected by the public utility concerned. Precautions should be taken, however, to macerate or otherwise destroy the legibility of records, the content of which is forbidden by law to be divulged to unauthorized persons.

(9)Premature destruction or loss o f records. When records are destroyed or lost before the expiration of the prescribed period of retention, a certified statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction or loss shall be filed with the Department within 90 days from the date of discovery of such destruction.

(10)Schedule of records and periods of retention. The Schedule of Records and Period of Retention ( 220 CMR 75.05) shows the period of time that designated records shall be preserved. However, records related to plant shall be retained for a minimum of 25 years unless accounting adjustments resulting from reclassification and original cost studies have been approved by the Department and approved continuing plant inventory records are maintained. (Also see 220 CMR 75.03(31).)

(11)Retention periods designated "Destroy at option". Use of the retention period, "Destroy at option," in 220 CMR 75.00 constitutes authorization for such destruction under the conditions specified for the particular types of records, only if such optional destruction is appropriate to limited managerial interest in such records and if such optional destruction is not in conflict with other legal retention requirements or usefulness of such records in satisfying pending regulatory actions or directives.

(12)Records of services performed by affiliated companies. The public utility to which 220 CMR 75.00 apply shall assure the availability of records of services performed by affiliated companies for the periods indicated herein, as are necessary, to support the cost of services rendered to it by an affiliated company.

(13)Index of records. At each office of the public utility where records are kept or stored, such records as are herein required to be preserved shall be so arranged, filed, and currently indexed that they may be identified readily and made available to representatives of the Department.

220 CMR, § 75.03