Email Retention Policy
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Transcript of Email Retention Policy
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ELECTRONIC MAIL MANAGEMENT,
RETENTION, AND DISPOSITION
Electronic Records
Management
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This presentation will focus on how to
apply records management procedures to
email.
Records Management
Email Management
Archive
Is email overwhelming?
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Definitions: Record
Recordas defined by GRAMA is a book, letter,document, paper, map, plan, photograph, film, card,tape, recording, electronic data, or other documentarymaterial regardless of physical formor characteristics:that is prepared, owned, received, or retained by a
governmental entity or political subdivision; and where allof the information in the original is reproducible byphotocopy or other mechanical orelectronic means.UCA 63G-2-103(22)(a)
Documents that are considered non-records include:
drafts, personal notes or communications, proprietarysoftware, copyrighted material, junk mail, commercialpublications, and personal daily calendars. UCA 63G-2-103(22)(b)
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DEFINITION: EMAIL
An asynchronous message, especially onefollowing the RFC 2822 or MIME standards sent via
a computer network held in online accounts to be
read or downloaded by the recipients. Email
consists of a header, with routing information, and abody, which contains the message, separated by a
blank line. Email records include metadata and
attachments.
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WHYMANAGEEMAIL?
State and Federal Rules of Civil Procedure compel
civil litigants to preserve and produce electronic
evidence on demand in discovery.
Fed.R.Civ.P. 34(a)(1)(A) amended in 2006
provides that any requesting party may inspect,
copy, test, or sample any designated documents
or electronically stored informationstored in
any medium and that electronically stored
information stands on equal footing withdiscovery of paper documents.
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WHYMANAGEEMAIL?
By managing email accounts, governmental entities
can manage records and dispose of obsolete
records and personal information appropriately.
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EMAILMANAGEMENTSYSTEMS
Email records should be placed in some kind of
record-keeping system.
Centralized Systems are available which can automateemail records management.
User-managed folders within an email system are asimple electronic recordkeeping system.
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EMAILMANAGEMENTSYSTEMS
Centralized systems:
Local Area Network(LAN)
Archiving software
Electronic Document Managing System forEnterprise Content Management (EDMS/ECM)
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EMAILMANAGEMENTSYSTEMS
Agencies lacking a centralized system will need torely on user-management.
Not identifying or preserving a record appropriately due
to a lack of processes ortechnical capability does not
lessen the legal standard for the retention of records.
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EMAILMANAGEMENT
To manage email:
1. Identify and categorize email by record seriesretention schedules approved by the StateRecords Committee
2. Set up folders in a record keeping systemaccording to record series for retentionmanagement and disposition
3. Follow best practices email managementguidelines
4. Adhere to acceptable use standards
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1. RETENTIONMANAGEMENT
Currently most retention actions are managed
manually at the discretion of the employee and
specific agency policies within the context of the
current email environment.
Individual employees will need to manage their email
records.
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IDENTIFYTHERECORDSERIES
Identify the record series which will indicate theemails legal retention schedule/period and itsultimate disposition (i.e., destroy or permanentpreservation and access).
Administrators and records officers should worktogether to identify which record series should be usedfor the agency.
Employees need to work with the agency recordsofficer to identify the appropriate, approved recordsseries retention schedules for the agency.
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RECORDSSERIESRETENTIONSCHEDULES
Approved record series retention schedules can be
found on the State Archives website.
Administrators should use the philosophy of big
buckets, limiting the number of choices (to a dozen
or fewer).
The agency should appoint a destruction officer to
approve and review destructions.
http://archives.utah.gov/recordsmanagement/retention-schedule-menu.htmlhttp://archives.utah.gov/recordsmanagement/retention-schedule-menu.html -
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VALUEOFRECORDS
Most agencies will have:
Transitory Correspondence
Routine correspondence, meeting agendas, etc., that
have limited and short-lived administrative value only.
Administrative Records/Program, policy, ordecision-making correspondence
Business-related messages that provide substantive
information about agency functions, policies,procedures, or programs. These emails documentthe discussions and decisions of the agency and
must be saved.
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PURCHASING PLAN
FOLDERSDISPOSITION
Transitory Correspondence 2 years Destroy
(GS, Item 1-9, Transitory Correspondence)
Solicitations 5 years Destroy
(Series 16591, Solicitation files)
State Cooperative Contracts 6 years Destroy
(Series 16593, Purchasing contracts)
Agency Contracts 6 years Destroy
(Series 16593, Purchasing contracts)Performance Measures 4 years State
Archives (Series 16584, Administrative correspondence)
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2. EMAILMANAGEMENT
Folders within the
email system can be
set up according to
function and retentioncategory, or series.
When an email worth
keeping is sent or
received, it is movedto the appropriate
folder.
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IDENTIFYTHERECORD-COPY
The record-copy is the official
copy for reference and
preservation to which the
retention schedule applies.
Both the received and sent
messages will need to be
managed.
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RECORD-COPY
Incoming (therecipients) email
originating from
outside thegovernment is the
record-copy.
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PRESERVETHETHREAD
Preserve the thread of
the correspondence.
The records series
retention schedule
applies until a responseis made to the initial
email, at which point a
series of
correspondence(thread) is created.
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ENSURETHEAUTHENTICITYOFTHERECORD
Saving just the conversation and not the thread leaves room for data manipulation.
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MEANINGFULSUBJECTLINE
In order to provide accessibility and promote efficient
searching mechanisms, all outgoing emails related to
government business should have a subject line that clearly
reflects the content of the email. Index terms to the
metadata may be applied to further promote ease of access.
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CONDUCTSTATEBUSINESSONSTATESYSTEMS
Government business conducted via email should use
established and approved agency email systems.
Work done from personal accounts could be transferred
to the state system so records may be managed
appropriately.
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SEPARATEBUSINESSANDPERSONALEMAIL
Do not combinemessages ofbusiness (records)with messages of apersonal nature
(non-records). If thecontent of an emailcontains bothpersonal informationand business-relatedinformation (record),
it must be kept as arecord.
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DONOTSAVENON-RECORDS
Emails that arepersonal messagesnot related tobusiness, me-toomessages,listservs, [oralready capturedby someone else]should not besaved. Dispose ofall non-recordemails to reducethe amountneeding to bemanaged andstored.
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DONOTSAVECOPIES
Copies do not need tobe retained. Email canbe broadcast tohundreds of people atonce, and each of
those duplicatesshould not be saved.Only those recipientswho then respond tothe correspondenceneed save copies.
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PERSONALCOPIES/COPIESOFRECORDS
Often employees argue
the need for keeping
copies of records for
their personal work use,
past the retention
period, or copies of non-
records. However, these
records and information
will still be
discoverable.
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ACCEPTABLEUSESTANDARDS
The states acceptable use rule, Rule R895-7.
Acceptable Use of Information Technology
Resources, provides basic policy,
No expectation of privacy.
The email system is a state product and all data isowned by the state.
Email can be broadcast and forwarded by individuals
outside the states control.
http://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htmhttp://www.rules.utah.gov/publicat/code/r895/r895-007.htm -
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REVIEW
Remember, to manage email records,
Identify and categorize email by record series
retention schedules approved by the State
Records Committee Set up folders in a record keeping system
according to record series for retention
management and disposition
Follow best practices email managementguidelines
Adhere to acceptable use standards
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