Transcript Email Retention Policy

Electronic Mail Management,
Retention, and Disposition
Utah State Archives and Records Service
This presentation will focus on how to
apply records management procedures to
email.
Records Management
Email Management
Archive
Is email overwhelming?
Definitions: Record

Record as defined by GRAMA is a “book, letter,
document, paper, map, plan, photograph, film, card,
tape, recording, electronic data, or other documentary
material regardless of physical form or characteristics:
that is prepared, owned, received, or retained by a
governmental entity or political subdivision; and where all
of the information in the original is reproducible by
photocopy or other mechanical or electronic means.”
UCA § 63G-2-103(22)(a)

Documents that are considered non-records include:
drafts, personal notes or communications, proprietary
software, copyrighted material, junk mail, commercial
publications, and personal daily calendars. UCA § 63G-2103(22)(b)
[emphasis added]
Definition: Email

An asynchronous message, especially one
following 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 a body, which
contains the message, separated by a blank
line. Email records include metadata and
attachments.
Definitions: Metadata


Metadata is data about data.
It is information about who created a
document, and when; size; and who changed
it, and when. It is a record of events about the
particular file.
Definitions: Retention schedule

The record series retention schedule refers
to the period of time that a record must be
maintained as approved by the State
Records Committee. UCA § 63G-2-103(26)

Record series retention schedules are either agency
specific or general schedules, which identify records
common to all agencies. Either may be used. All are
maintained by the State Archives. UCA § 63G-2604(1)(b)(c)
Definitions: Disposition

The disposition refers to the records’ final
destruction or transfer to the State Archives
for permanent preservation and access as
determined by their value.
Why manage email?

All records contained or maintained by a
state governmental entity are the property
of the state and shall not be mutilated,
destroyed or otherwise damaged or disposed
of, in whole or part except as established in
an approved record series retention
schedule. UCA § 63A-12-105(1)
Why manage email?

“It is unlawful for a person to intentionally
mutilate, destroy, or to otherwise damage
or dispose of the record copy of a record
knowing that the mutilation, destruction,
damage, or disposal is in contravention of”
the applicable retention schedule. UCA § 63A12-105(3)(a)

Violation is a Class B misdemeanor and an
employee may be subject to disciplinary
action. UCA § 63A-12-105(3)(b) & (c)
Why manage email?

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 information…stored in any medium” and that
“electronically stored information stands on equal
footing with discovery of paper documents.”
Preserve format

It is essential that
the format of emails
be preserved and
that they are
viewable as they
were created. Some
means of saving
emails, such as
plain text, do not
preserve the original
format, and thus are
not ideal for the
purposes of records
management and
not acceptable for
ediscovery.
Saving as an .rft does not preserve metadata
Why manage email?

By managing email accounts, governmental
entities can manage records and dispose of
obsolete records and personal information
appropriately.
Email management
To manage email:
1. Identify and categorize email by record
series retention schedules approved by
the State Records Committee
2. Set up GroupWise folders according to
record series for retention management and
disposition
3. Follow best practices email management
guidelines
4. Adhere to acceptable use standards
1. Retention management

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.
Identify the record series
Identify the record series which will indicate
the email’s legal retention schedule/period
and its ultimate disposition (i.e., destroy or
permanent preservation and access).



Administrators and records officers should work
together to identify which record series should be
used for the agency.
Employees need to work with the agency
records officer to identify the appropriate,
approved records series retention schedules for
the agency.
Records series retention schedules




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).
After the record series retention schedules
are identified, the agency can set up
appropriate email folders.
The agency should appoint a destruction
officer to approve and review destructions.
Purchasing Plan
FOLDERS
Transitory Correspondence
2 years
DISPOSITION
Destroy
(GS, Item 1-9, Transitory Correspondence)
Solicitations
5 years
Destroy
6 years
Destroy
6 years
Destroy
4 years
State Archives
(Series 16591, Solicitation files)
State Cooperative Contracts
(Series 16593, Purchasing contracts)
Agency Contracts
(Series 16593, Purchasing contracts)
Performance Measures
(Series 16584, Administrative correspondence)
Value of records

Like State Purchasing most agencies will have a
folder for
Transitory Correspondence

Routine correspondence, meeting agendas, etc., that have
limited and short-lived administrative value only.
Administrative Records/Program, policy, or
decision-making correspondence

Business-related messages that provide substantive
information about agency functions, policies, procedures,
or programs. These emails document the discussions and
decisions of the agency and must be saved.
2. Email management

Folders within the
email system can be
set up according to
function and retention
category, or series.
When an email worth
keeping is sent or
received, it is moved
to the appropriate
folder.
Email management


Categorize the email
folders by records
series to assist in the
email management.
Developing subfolders will allow
records to be further
categorized to a more
individual level.
Email management

Folder information
can include the
records series title,
description,
retention period, and
classification.
Record series retention schedules
BUDGET POLICY FILES (Item 2-8)
Correspondence or subject files of
formally organized budget offices
documenting agency policy and
procedures governing budget
administration, and reflecting policy
decisions affecting expenditures for
agency programs.
RETENTION
Record copy: Permanent. Retain by
agency for 7 years and then transfer
to State Archives with authority to
weed.
Duplicate copies: Retain by agency for
5 years and then destroy.
SUGGESTED PRIMARY
DESIGNATION: Public.
(Approved 07/90)
Disposition



Once a record series retention schedule has been
met, email records should be disposed of
according to the series retention schedule—either
destroyed or transferred to the State Archives.
Destruction of obsolete records should include all
records in active and backup storage. If all records
are not authentically destroyed, they are still liable
for discovery.
Destruction of obsolete records should be
reviewed under the approval of the agency’s
destruction officer.
http://archives.utah.gov/recordsmanagement/ERM/electronic-records-links.html
3. Email management guidelines

Once folders have been organized, email
should be managed according to best
practices guidelines.






Preserve the record-copy
Preserve the thread
Use a meaningful subject line
Conduct agency business on agency systems
Do not combine business and personal email
Do not retain copies
Identify the “record-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.
Record-copy

Primarily, within
government, the
outgoing
(sender’s) copy
of an email is
the record-copy.
Record-copy

Incoming (the
recipient’s) email
originating from
outside the
government is the
record-copy.
Preserve the “thread”

Preserve the “thread” of
the correspondence.
The records series
retention schedule
applies until a response
is made to the initial
email, at which point a
series of
correspondence
(thread) is created.
Preserve the “thread”

In such instances, the last email in the thread—the one
containing the entirety of the correspondence between
two or more persons—becomes the record-copy and
thus the copy with the approved retention period.
Ensure the authenticity of the record
Saving just the conversation and not the thread leaves room for data manipulation.
Meaningful subject line

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.
Conduct state business on state systems


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.
Separate business and personal email

Do not combine
messages of
business (records)
with messages of a
personal nature
(non-records). If the
content of an email
contains both
personal information
and business-related
information (record),
it must be kept as a
record.
Do not save non-records

Emails that are
personal messages
not related to
business, “me-too”
messages,
listservs, [or
already captured
by someone else]
should not be
saved. Dispose of
all non-record
emails to reduce
the amount
needing to be
managed and
stored.
Do not save copies

Copies do not need to
be retained. Email can
be broadcast to
hundreds of people at
once, and each of
those duplicates
should not be saved.
Only those recipients
who then respond to
the correspondence
need save copies.
Personal copies/copies of records

Often employees argue
the need for keeping
copies of records for
their personal work use,
past the retention
period, or copies of
non-records. A
GroupWise folder can
be created for that use;
however, these records
and information will still
be discoverable.
Personal copies

Emails that are
strictly personal,
and not valuable to
work, should be
transferred to
personal accounts
and never saved.
Acceptable use standards

The state’s acceptable use rule, Rule R8957. Acceptable Use of Information Technology
Resources, provides basic policy,



No expectation of privacy.
The email system is a state product and all data is
owned by the state.
Email can be broadcast and forwarded by
individuals outside the state’s control.
Review
Remember, to manage email records,

Identify record series retention schedules

Set up email folders according to record
series selected for agency email

Follow the email management guidelines

Adhere to acceptable use standards
Review

Email management guidelines:






Identify the record-copy
Preserve the thread
Use a meaningful subject line
Conduct agency business on agency systems
Do not combine business and personal email
Do not retain copies
Review: Retain or Not to Retain?
From: “Publisher’s Clearing House” <[email protected]>
To:
“Utah- Paul Tonks”<[email protected]>
Date: 11/11/09 11:11 AM
Subject:
You Won!!
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money give away! Please send us your social security number,
checking account number, birth date, and password to your work
computer, and we will process your big money prize immediately.
Ed McMahon
Review: Retain or Not to Retain?
From: “Joe Citizen” <[email protected]>
To:
“Utah- Paul Tonks”<[email protected]>
Date: 11/11/09 11:11 AM
Subject:
I’m complaining!!
I’m mad. I’m mad. I’m mad. I’m mad. I’m mad. I’m mad. I’m mad. I’m
mad. So since I am paying your salary, fix it.
Sincerely,
Joe Citizen
P.S. I’m sending a copy of this email to every newspaper in the country
because I’m mad.
Questions?
For assistance, contact the State Archives, archives.utah.gov
Rosemary Cundiff (801) 531-3866 [email protected]
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