Electronic Retention of Records and Best Practices

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Electronic Retention of Records and Best Practices

• Jim Henderson, State Archivist
• Maine State Archives

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Issue Areas

• All Records
• Media types
• Functions
• Functions Paper v. Digital
• Paper to Digital
• Born Digital
• Other Digital Issues

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All Records - Media

• Information Fixed Sequentially
• Paper unbound, bound text, graphic (maps,
  plans)
• Film
• microfilm/fiche, x-ray
• motion picture, photographic
• Analog tape audio and video
• Information Available Non-sequentially
• Electronic
• digital tape audio, video, computer
• digital disk floppy, hard
• Optical
• CD CD-R, CDR, CDRW, etc.
• DVD DVD-R, DVDR, DVDRW, etc.

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All Records - Functions

• Creation, updating, amending
• Retrieval
• Access
• Confidentiality
• Security
• Theft, unauthorized access, unauthorized change
• Preservation fire, water, pests, deterioration
• Retention for business
• Disposition
• Destroy
• Permanent retention

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Creating, Updating, Amending

• Paper (Sequential)
• Linear process requires staff and public to
  follow certain sequences (fill out form, pay fee,
  go to next office, etc.)
• Multiple copies need be created
• Updates may require a new document
• Amendment may require complete rewriting of
  original document, or attachments

• Digital (Non-sequential)
• More flexibility, multiple reviews may be done
  on-line
• Fewer physical copies needed
• Updates may be made to existing document
• Amendments may be tracked on existing document

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Retrieval, Access, Confidentiality

• Paper (Sequential)
• Linear process requires staff to file records in
  a specific, fixed order for retrieval
• Retrieval usually limited by the specific, fixed
  order
• Staff time must be diverted to retrieving records
• Staff must redact confidential information
• Access requires visit to office or copying and
  mailing

• Digital (Non-sequential)
• Filing may be in a logical, but changeable order
• Retrieval may be by multiple criteria - plan
  ahead
• Retrieval of digital copies does not need staff
  time
• Confidential information may be automatically
  redacted
• Access may be by Internet

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Retrieval Techniques

• Automatically place the file location, name and
  date on the printed document, usually in the
  footer in small font
• Search the file structure for the expected
  location
• Run Windows Find and search by text in the file
• File paper records and e-mail in a file structure
  that parallels the filing of computer records
• Search using keywords entered in the file
  properties area

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Security

• Paper (Sequential)
• Theft
• Single copies critical if lost
• Easier to protect contents of a single copy
• Integrity of Contents
• Easier to notice unauthorized changes
• Easier to protect access by locks
• Physical Damage
• Media relatively stable
• Susceptible to fire, water, environmental problems

• Digital (Non-sequential)
• Theft
• Duplicate copies easy for backup
• Duplicate copies easy for unauthorized access
• Integrity of Contents
• Unauthorized changes may not be obvious
• Access may be hacked passwords may be used
• Physical Damage
• Media not as stable
• Danger of file damage

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Paper to Digital - Issues 1

• Dont automate -obliterate!
• Consider not just automating the old paper
  process
• Rethink the whole process in light of new
  technology
• Permanent records
• Still must be kept forever
• Can you convert back to paper or simultaneously,
  microfilm - archival media? Several Registries
  of Deeds now do so.
• OR, are you able/willing to continuously migrate
  the digital version forever, keeping the records
  accessible to the public?
• Section 8 of Local Government Records Rules
  The local government agency must have a
  specific plan for an ongoing process of migrating
  long-term and permanent records stored on the
  system to newer hardware and software.

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Paper to Digital - Issues 2

• Retrieval
• In what sequence was the paper scanned? Why?
• Will indexes to the documents be made to allow
  non-sequential retrieval? What key works will
  you use?
• Public Access
• How will the public access the records now in
  digital form?
• Print, copy to disk or CD, have public terminal
  available?
• Same right-to-know provisions apply, including a
  right to a digital copy of the digital versions
• Local records rules require the ability to export
  in non-proprietary formats so people can use the
  digital copies
• Confidentiality - plan ahead
• Will you mask confidential information during the
  conversion?
• Will you create a confidential and
  non-confidential version?

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Born Digital - Issues

• Same issues as converted text - just more
  complicated and expensive!
• Dont automate a paper process - reengineer
• Permanent record must be kept forever, but the
  data cannot easily be converted to paper or
  microfilm and still be intelligible
• Special reports from the system should be
  designed at the beginning to insure archival
  needs are met.
• Convenient retrieval is usually designed into the
  system, but remember public access needs.
• As a public record, the public has a right to
  non-confidential data and records in a format the
  public can use in their computers.

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Other Digital Issues

• What happens when a staff member leaves
• Wheres the PASSWORD!
• Who cleans out the digital desk?
• Supervisor should insure records are retained
• Storage of data
• Just shelving a CD or DVD or floppy disks does
  not work
• All media degrades, especially in environments
  that are not temperature/humidity and air quality
  controlled.
• Electronic media is subject to magnetic and
  electrical disturbances
• Optical media delaminates and is susceptible to
  impurities in the air
• Periodic copying, transferring to other media
  needed.
• Migration from obsolete software to new,
  compatible software

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Protecting Files

• Restrict Access
• Prevent Accidental Loss
• Prevent Unauthorized Deletion

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Restrict Access

• Passwords You may wish to password protect
  certain critical records, especially confidential
  human resource (personnel) files. Be sure to
  record the password with a supervisor or other
  person authorized to access the records in case
  you are not available when they are needed!
• Read only permission
• Read and edit permission
• Restricted Directories
• Local space
• Agency and public spaces

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Prevent Accidental Loss

• Versions After working on a long document, then
  substantially editing it, then finding out you
  made a great mistake, blood pressure rises!
  Consider saving large files with version numbers
  myrept1.doc, myrpt2.doc, . . . . Since these are
  drafts, you can delete early versions when you
  are confident of your recent changes.

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Prevent Accidental Loss (cont)

• Backup
• On-line Transfer copies of files to another
  directory on your work space.
• Off-line Transfer to floppy disks, tapes or
  other media providing an added level of
  protection, critical where the only official copy
  resides on an active system.
• Remote storage Store, and periodically rotate,
  critical files in a separate, secure building.

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Prevent Unauthorized Deletion

• While drafts are conveniently filed on the your
  work space (your local drive or your portion of a
  network), the final version should be placed in a
  separate file location that mirrors the file
  structure in your work space.
• This final version space should have regular
  backup support and a degree (depending on the
  importance of the record) of security to prevent
  unauthorized or accidental changes.

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Deleting for Efficiency

• Retention of files beyond their scheduled life
  will clutter the system and delay the retrieval
  of desired records. The usual records management
  motives still apply protection of privacy,
  reduction of legal liability, reduced system
  costs.
• Deletion will be easier if the filing system is
  organized according to official retention periods
  and special written policies extending retention.

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A filing system should allow easy

• Filing and retrieval by the creator
• Retrieval by authorized staff
• Retrieval by or for public access
• Protection from change or loss
• Planned deletion
• Retention or conversion

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E-Mail Management Retention

• For Local Governments
• Maine State Archives

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What is e-mail?

• . . . just another form that records come in
  these days!
• It is a document created or received on an
  electronic mail system including brief notes,
  more formal or substantive narrative documents,
  and any attachments, such as word processing and
  other electronic documents, which may be
  transmitted with the message.

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Public Records

• E-mail received or created in the course of
  business is an official public record.
• It may or may not be a confidential record under
  Maines the Freedom of Access Act.
• No public records may be destroyed unless
  authorized. Clear authorization and a practical
  management system are essential to insure proper
  disposition of e-mail.

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Freedom of Access Act

• The Freedom of Access Act defines a public record
  as any written, printed or graphic matter or any
  mechanical or electronic data compilation from
  which information can be obtainedthat is in the
  possession or custody or an agency or public
  official of this State or any of its political
  subdivisions with specific exceptions for
  confidentiality purposes 1 MRSA 402 (3).

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A Note About Public Records

• Public record does not imply that these records
  do not have confidentiality.
• Public record is a record that is government (ie
  the peoples) property.

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Other Records

• Some e-mail (personal messages, junk mail,
  publications, copies of notices unrelated to your
  duties) are not records and may be deleted at any
  time.

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E-Mail Retention Requirements

• How long do I keep my e-mail?

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Non-Permanent Retention

• Non-permanent retention is based completely on
  the records time-value to the business functions
  of the department or office, including audit or
  other statutory requirements, and reasonable
  access by interested parties.

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Permanent Retention

• Permanent retention is based on the records
  value after it no longer serves the department or
  office business.

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Senior Administrators

• Generally, senior administrators (Town/City
  Managers, department heads) have a greater
  proportion of permanently valuable e-mail, given
  its greater degree of policy content.

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How long should I keep e-mail?

• Just as long as you would keep other mail!
• The Rules for Disposition of Local Government
  Records establishes retention periods for
  correspondence, regardless of media.

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Transitory Correspondence

• Schedule A, Item 25
• a. letters of transmittal, requests for
  information, letters of application, of thanks,
  etc.
• Retain 1 year, then destroy.
• - - - - -
• E.g., e-mail and related attachments requesting
  an application for a building permit, which is
  then sent to the person requesting.

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Substantive Correspondence

• Schedule A, Item 25
• b. letters and memoranda documenting actions
  taken by the local government agency
• File with related record series
• - - - - -
• E.g., e-mail and related attachments (text or
  spreadsheets) containing expense reports
  (Schedule A, Item 30) retain for 6 years IF you
  are the official required to maintain these
  records. Other copies are for information only,
  and may be destroyed.

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The Requirements

• The Importance of E-Mail

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Why should you care?

• To make your life easier!
• If you can delete unneeded e-mail with a clear
  conscience, you can more easily find what youre
  looking for, especially if you have popped the
  keepers in convenient folders or mailboxes.
• Organizing and managing e-mail (and other files)
  will save space, provide more efficient access,
  maintain confidentiality where needed.

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Legal Implications

• Organizing and managing e-mail will reduce legal
  exposure in "discovery" proceedings on records
  that properly should have been destroyed.
• It also limits your own liability for deleting
  records you shouldn't, and gives you authority to
  delete those files you should delete.

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It exists, but isnt supposed to...

• IF IT EXISTS AND SOMEONE ASKS TO SEE IT, THE
  AGENCY HAS TO PRODUCE IT!
• So, if you have records that are requested in
  discovery proceedings that were supposed to have
  been destroyed, but werent, you must produce
  them...regardless of when they were supposed to
  have been destroyed.

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When You or Your Employees Leave a Position

• When an employee leaves a position, computer
  files, including e-mail, may NOT be automatically
  deleted!

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A word about backups

• Not all e-mail systems provide automatic backup
  of your correspondence.
• Those that do are not substitutes for the user's
  file management, since backups are destroyed
  periodically and they do not distinguish topics
  or retention periods.

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Where to Begin?

• Gaining control of your electronic records

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Where to begin?Non-Record Materials

• Determine what in your e-mail are non-record
  materials create special mailboxes for them
  then delete them any time you want.

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Where to begin?Record Materials

• Separate as much as possible by broad category,
  by topic and then by year.
• Identify how long you should keep non-permanent
  records. When the retention period expires,
  simply delete the mailbox or folder containing
  the outdated records.
• Identify how long you should keep permanent
  records before moving them from your mailbox to
  archival storage.

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Non-Record MaterialsPersonal Correspondence

• Personal Correspondence Any e-mail not received
  or created in the course of state business, may
  be deleted immediately, since it is not an
  official record the "Lets do lunch" (not a
  State-business lunch) or "Can I catch a ride
  home" type of note.

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Non-Record MaterialsNotices Not Maintained

• Notices with no business value after receipt and
  review, which are routinely discarded, are
  non-record material. These include the following
  
• incoming transmittal messages (like cover
  letters) "enclosed (attached) find copies of . .
  ."
• internal office announcements "Ms. Jones is here
  to see you, boss", "Joe Smith called, please call
  back", "Is this afternoons meeting still on?"

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Non-Record MaterialsPublications Similar
Materials

• Publications, promotional material, and similar
  item that are "publicly available" to anyone, are
  not official records unless specifically
  incorporated into other official records. This
  includes listserve messages (other than those you
  post in your official capacity), "spam," files
  copied from Internet sites, etc.
• However, if you justify the purchase of a Zippo
  Filing System by incorporating the reviews you
  saved (from the File Manager Listserve) in your
  proposal to your boss, those listserve messages
  become official records and must be retained in
  accordance with the retention schedule for
  purchasing proposals.

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Extended Retention

• E-mail systems don't allow for retaining messages
  for extended periods or permanently.
• Saving to an "archive" folder on your personal
  hard drive is not a very reliable, because hard
  drives crash, computers get moved by
  administrators, and e-mail upgrades/product
  changes can make retrieving old messages
  impossible even if they do still exist.
• If an e-mail has an extended retention period or
  has permanent value, save the message as a text
  file, or print it.

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Managing Your Electronic Records

• Mailboxes, folders and their contents

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Functional Requirements for Recordkeeping Systems

• A good record keeping systems should
• Allow for grouping of related records, to insure
  their proper context.
• Make records accessible to authorized staff, to
  insure their usefulness to the agency.
• Preserve records for their authorized retention
  period, to insure availability for agency use, to
  preserve the rights of the government and
  citizens, and to allow agencies to be held
  accountable.

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Filing Electronic Records

• Any electronic record (word processing document,
  spreadsheet, e-mail message, etc.) should, if
  it's "record material" that requires retention
  and filing, be stored in a properly named
  directory/subdirectory.
• Document names (this doesn't apply to e-mails,
  which are "named" by their subject lines,
  senders, etc.) should follow an agreed-upon
  convention i.e., the agency should have a policy
  about how they are to be named.

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Some Suggested Mail boxes...

• Here are some mailbox suggestions
• Personal e-mail (you can delete at will)
• Non-record material (you can delete at will)
• Transitory e-mail (delete after 1 year)
• Permanent e-mail (delete only when permanent copy
  is made)

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Notes about Series

• Records should be filed, retained and destroyed
  by series.
• Naming your directories or folders by series will
  enable you to more accurately comply with
  retention schedules.

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What is a series?

• A group of identical or related records, e.g.
• general correspondence, case files
• Normally filed as a unit
• Some characteristics of a record series are
• produced by the same activity
• document a certain kind of transaction
• relate to a particular subject
• arranged under a single filing system
• retained for the same period of time

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Directories or Folders

• Directories should be named first by subject or
  organization contracts, budget, Citizens
  Advisory Committee.
• Then by year (or even month, if necessary due to
  volume). That makes it easy to apply the
  retention schedule all the person has to do is
  delete the entire subdirectory that's due for
  destruction, without going through the
  messages/documents first.

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Subdirectories (example)
Subdirectories should be named first by
subject/topic, then by correspondent,
then by year.
Directories should be named for the position, not
the individual.
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Distribution Lists

• If you send to a distribution list (a specified
  list of individuals), you must also keep a copy
  of the members of that list for as long as you
  are required to keep the message itself.
• It is important to know who the messages were
  sent to as well as their content.

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Subject Lines

• Fill in the subject line on your e-mail
• This will help the recipient identify, file and
  retrieve messages (and not discard it as spam)
• This will help you file your OUT box messages
  that must be retained for a period of time

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Frequently Asked Questions

• From our customers

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Can I print messages, then delete them?

• Yes, provided you print the following information
  with the message
• name of sender
• name of recipient
• date and time of transmission and/or receipt
• You then retain the printed message according to
  the appropriate records retention schedule, file
  them as needed and destroy or transfer them to
  the Archives depending on the schedule.

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What about drafts that undergo several revisions?

• Draft documents or working papers that
• are circulated via e-mail
• propose or evaluate high-level policies or
  decisions
• AND
• provide unique information that contributes to
  the understanding of major decisions of the
  agency
• SHOULD BE PRESERVED PERMANENTLY
• Other drafts circulated for comment, which
  demonstrate significant revisions in the view of
  the author, should be scheduled, as is the final
  product.
• Uncirculated drafts may be destroyed at will by
  the author.

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What do I do with attachments?

• File with other electronic documents on your PC
  or network and apply the appropriate retention
  schedule.
• Your PC files should be organized similar to your
  e-mail. Attachments can then be filed in the
  corresponding PC folder.
• What about multiple copies of the same document?
• If another agency has responsibility for keeping
  a record copy, and if you have no business need
  to retain it, the document is simply a duplicate
  and subject to deletion/destruction at will.
• However, if the minutes of a meeting provide you
  with the authority to travel to Tahiti for a
  special seminar, definitely incorporate it into
  your Effects of the Sun on New Englanders
  project files. You may need it!

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