What you need to know:
E-mail archiving/retention and policy IS document retention policy (i.e. not separate policies)*.
MHAL Retention and Disposal Schedule for Public Schools
What are records?
"Prepared, owned, used, in the possession of, or retained by a public body in the performance of an official function, from the time it is created."
Memos
IM
Calendars
Web Pages
Other Communications Tools
• Instant/Text Messages, Voice Mail, Blogs, etc.
Same records management principles apply:
If the communication is recorded it is a record
Status about the communication as a public record
depends up on the content
Who should retain it depends upon responsibilities of
sender/receiver
Records supporting the same business process need to
be stored together on media that will keep them
accessible and usable for the entire retention period
Recorded information can be a liability or an asset
Content created and stored on government resources is
not private
It depends...
Types of Records
Official Records: recorded information that is prepared, owned, used, in the possession of, or retained by an agency in the performance of an official function. Retain according to agency specific and general schedules
Transitory Records: records relating to agency activities that have temporary value and do not need to be retained once their intended purpose has been fulfilled. Retain for up to 30 days
Non-records: recorded information in the possession of an agency that is not needed to document the performance of an official function Destroy ASAP
Nonrecord Material
• Full definition in General Schedule #1.
• Includes drafts, duplicates, convenience
copies, publications and other materials that
do not document agency activities.
• Can be disposed of when they have served
their intended purpose.
• Sometimes multiple offices possess copies of
the same record. Only the “office of record”
is responsible for following the retention
period that is specified. Duplicates do not
need to be retained
Personal Records: records that document nongovernment business or activities. Note: agencies may have policies that prohibit the use of personal e-mail with government technology resource Do not use government technology resources
Why Follow a Retention Schedule?
• Risks with keeping records too long
Wastes space
Harder to find records you need
Records must be reviewed for FOIA and litigation
• Risks with destroying records too soon
Violation of Michigan law
Exposes agency to liability if the records are
requested via FOIA or litigation
• Avoid random record purging by establishing
a routine within the normal course of
business
Responsibilities
Who is Responsible for Retention?
Official Records: Senders are the “person of record”
Official Records: Recipients may need the record to support business functions
Transitory Records: Retain until task or activity is completed
Non-records: Informational copies do not need to be retained
Employee Responsibilities
Decide which messages to keep and which to destroy
Empty e-mail trash bins to purge deleted messages frequently
File the messages that are retained in an organized filing system
Identify which retention schedule mandates the message’s retention or authorizes its destruction
Management Responsibilities
Ensure that Retention and Disposal Schedules are accurate and comprehensive
Adopt and distribute an e-mail retention policy for staff
Adopt and distribute an acceptable use/etiquette policy
Communicate with relevant employees, attorneys and information technology staff when a FOIA request is received or when litigation appears to be imminent
Attorney Responsibilities
Zubulake v UBS Warburg (2004)
Counsel must actively oversee and direct the discovery and preservation process—merely issuing an order or memo is not enough.
Counsel must meet with key players in the litigation to ensure they understand their role and duties.
Counsel must take steps to protect relevant records.
Counsel must be familiar with the client’s document retention policies.
“The litigation hold instructions must be reiterated regularly and compliance must be monitored.”
Information Technology Responsibilities
Define backup processes in writing
Purge backup tapes on a regular basis to ensure that deleted e-mail messages cannot be recovered
Organize and index backup tapes so requested information can be located
Work with attorneys to protect e-mail messages that are needed as evidence
Note: It may be challenging to fulfill these responsibilities if the local government contracts with an e-mail service provider (such as Yahoo, MSN, etc.)
What is the Role of IT?
• Develop preservation plans for long-term electronic
records
Remember that records often have to be retained longer
than the technology that was used to create them
• Ensure that accurate systems documentation and
metadata are maintained to keep data meaningful
and usable
Version control is very important
• Select file formats and storage media that facilitate
accessibility of the data throughout its life cycle
Things to consider:
You need to have a documented plan for how email and electronic communication is retained and how staff are trained
Destruction must be authorized by an approved Retention and Disposal Schedule
*Taken from MHAL: Basic Records Management: An Introduction for Local Governments