Transcript Managing E-mail

Managing Government
Records In Any Format
ASCUS – ARIZONA SCHOOL
COMPUTER USERS SUPPORT
Jerry Lucente-Kirkpatrick
Records Management Specialist
(Retention Schedules, Imaging Requests, RM Training)
Records Management Division
Arizona Revised
Statutes, Records
Management and the
ASLAPR
“Records” — As Defined By Statute
41-151.18. Definition of records
In this article, unless the context otherwise requires, "records"
means all books, papers, maps, photographs or other
documentary materials, regardless of physical form or
characteristics, including prints or copies of such items
produced or reproduced on film or electronic media pursuant to
section 41-151.16, made or received by any governmental
agency in pursuance of law or in connection with the transaction
of public business and preserved or appropriate for preservation
by the agency or its legitimate successor as evidence of the
organization, functions, policies, decisions, procedures,
operations or other activities of the government, or because of
the informational and historical value of data contained in the
record, and includes records that are made confidential by
statute.
Not Public Records
A.R.S. § 41-151.18
1. “Library or museum material made
or acquired solely for reference or
exhibition purposes,”
2. “Extra copies of documents
preserved only for convenience of
reference”
3. And “stocks of publications or
documents intended for sale or
distribution to interested persons”
…”are not included within the
definition of records as used in
this article.”
Ownership of Records
A. All records made or received by
public officials or employees of this state
or the counties and incorporated cities
and towns of this state in the course of
their public duties are the property of
this state.
ARS 41-151.15(A)
Records Management Defined
A. The head of each state and local agency shall:
1. Establish and maintain an active, continuing program for
the economical and efficient management of the public
records of the agency.
ARS 41-151.14
D. For the purposes of this section, "records management"
means the creation and implementation of systematic
controls for records and information activities from the point
where they are created or received through final disposition
or archival retention, including distribution, use, storage,
retrieval, protection and preservation.
ARS 41-151.14
Records Coordinator
7. Designate an individual within the agency to
manage the records management program of the
agency. The agency shall reconfirm the identity of
this individual to the state library every other year.
The designated individual:
(a) Must be at a level of management sufficient
to direct the records management program in an
efficient and effective manner.
(b) Shall act as coordinator and liaison
for the agency with the state library.
ARS 41-151.14(A)(7)
Accountability
B. All officers and public bodies shall
maintain all records, including records as
defined in section 41-151.18, reasonably
necessary or appropriate to maintain an
accurate knowledge of their official
activities and of any of their activities which
are supported by monies from this state or
any political subdivision of this state.
ARS 39-121.01(B)
Accountability continued
A. The head of each state and local agency shall:
2. Make and maintain records containing adequate
and proper documentation of the organization,
functions, policies, decisions, procedures and
essential transactions of the agency designed to
furnish information to protect the rights of the
state and of persons directly affected by the
agency's activities.
ARS 41-151.14(A)(2)
Responsibilities continued
C. Each public body shall be responsible for
the preservation, maintenance and care of
that body's public records,…
ARS 39-121.01(C)
Preservation
 It shall be the duty of each such body to
carefully secure, protect and preserve
public records from deterioration,
mutilation, loss or destruction
 shall carefully protect and preserve the
records from deterioration, mutilation,
loss or destruction and, when advisable,
shall cause them to be properly
repaired and renovated.
ARS 39-121.01(C)
ARS 41-151.15(A)
MORE DETAILED LOOK AT
ASPECTS OF RECORDS
MANAGEMENT
Disciplinary Records – A.R.S. §39-128
39-128. Disciplinary records of public officers and employees;
disclosure; exceptions
• A. A public body shall maintain all records that are reasonably
necessary or appropriate to maintain an accurate knowledge
of disciplinary actions, including the employee responses to
all disciplinary actions, involving public officers or employees
of the public body. The records shall be open to inspection and
copying pursuant to this article, unless inspection or disclosure
of the records or information in the records is contrary to law.
• B. This section does not:
• 1. Require disclosure of the home address, home telephone
number or photograph of any person who is protected
pursuant to sections 39-123 and 39-124.
• 2. Limit the duty of a public body or officer to make public
records open to inspection and copying pursuant to this article.
Records Retention
and Disposition
Schedule
Purpose of a Retention Schedule . . .
 Describe the record series
 State how long each record
series needs to be kept
 Instructions for cutoff,
retirement and / or
final disposition
Records Appraisal
 Retention periods are based on:
 Statute
 Business need for record
 Historic = Permanent
 Records appraisal is the process used to
determine the value of a record series
 All records have value to the organization
creating or receiving them
 Some records have permanent value and
warrant preservation by an archives
Value of Records
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Legal value
Fiscal value
Administrative value
Historical value
Legal Value
 Contracts
 Agreements
 Federal or state statutory or
regulatory requirements
Fiscal Value
Sometimes a record may be needed
to document the audit trail of
monies. These requirements may or
may not be legislated or regulated.
Administrative Value
Records with
administrative
value are those
records that are
needed to conduct
an office’s daily
business.
Historical Value
Records with
historical value
document the
history of the
government and
the community.
Definition of Historical Record
General Retention Schedules
• Any record series listed as permanent on a general retention
schedule should be transferred to the State Archives after
the records become inactive and when the agency or political
subdivision no longer wishes to maintain those records. You
can reach the State Archives at 602-926-3720 or 800-2284710 to discuss the transfer of the records.
• If a record is historically significant, it is a permanent
record. Records are deemed historically significant when
they:
 Document a controversial issue
 Document a program, project, event or issue that results
in a significant change that affects the local community,
city, county or state
 Document a program, project, event or issue that involves
prominent people, places or events
 Document a program, project, event or issue that resulted
in media attention locally, statewide or nationally
•
Permanent Records Formats
A. Permanent public records of the state, a county, city or town, or
other political subdivision of the state, shall be transcribed or
kept on paper or other material which is of durable or
permanent quality and which conforms to standards established
by the director of the Arizona state library, archives and public
records.
B. Permanent public records transcribed or kept as provided in
subsection A shall be stored and maintained according to
standards for the storage of permanent public records
established by the director of the Arizona state library, archives and
public records.
C. A public officer charged with transcribing or keeping such public
records who violates this section is guilty of a class 2
misdemeanor.
ARS 39-101
Currently ONLY
 Acid free paper
 Microfilm
Permanent Student Records
Retention Schedules - General
Retention of Records
B. Records shall not be destroyed or otherwise
disposed of by any agency of this state unless it is
determined by the state library that the record has
no further administrative, legal, fiscal, research or
historical value….A person who destroys or
otherwise disposes of records without the specific
authority of the state library is in violation of section
38-421.
ARS 41-151-15(B)
Before destroying records . . .
 Check and see if there is pending or
imminent litigation
 Check and see if there is an on-going
or imminent audit
 Check and see if there is a
government investigation
Confidential Records
More care must be taken with these
records.
They can be destroyed the following
ways:
 Shred
 Burn
ARS 44-7601
A. An entity shall not knowingly discard or dispose of records or
documents without redacting the information or destroying the
records or documents if the records or documents contain an
individual's first and last name or first initial and last name in
combination with a corresponding complete:
•
1. Social security number.
•
2. Credit card, charge card or debit card number.
•
3. Retirement account number.
•
4. Savings, checking or securities entitlement account
number.
•
5. Driver license number or nonoperating identification
license number.
Arizona Electronic Transactions Act
44-7041. Creation; retention; conversion of written records
A. Each governmental agency shall determine if, and the extent to
which, the governmental agency will create and retain electronic
records and convert written records to electronic records.
Any governmental agency that is subject to the management,
preservation, determination of value and disposition of records
requirements prescribed in sections 41-151.12, 41-151.13, 41151.14, 41-151.15, 41-151.16, 41-151.17, 41-151.18 and 41151.19 and the permanent public records requirements prescribed in
section 39-101 shall comply with those requirements.
B. State agencies shall comply with the standards adopted by the
department of administration pursuant to title 41, chapter 32.
C. All governmental agencies shall comply with the policies that are
established by the secretary of state pursuant to section 41-132 and
that apply to the use of electronic signatures.
Preservation and Retention Options
 Migration
 Records repeatedly converted to new format
 Formalization
 Data and Metadata are preserved in cross-platform
standard
 Conversion to other media
 Maintain obsolete technologies
 Emulation
 Use software and hardware to mimic outdated
systems
Problem Areas for I.T. (and others)
 Hot Spots:
 E-Records Retention & Formats
 Data Warehouses / Archives vs.
Back-ups
 Databases
 E-mail
 Social Networking
Paper Vs Plastic : E-Records Retention
 A.R.S. 41-151.18 – no difference between paper
records or electronic records (including scanned or
“born digital”).
 Retention Schedules are legal documents that will
stand up in court.
 Two types – General and Custom.
 Retention Schedules – list the records that are
created or received by State Agencies – regardless
of whether created on paper or electronic.
 Retention Schedules – list the retention period for
these records.
 Retention periods are both a minimum and
maximum period of time.
 Copies of records are not records – as long as
they are truly a copy.
Archives / Data Warehouses vs. Backups
 Backups
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Usually short-term retention for disaster recovery
Usually copies of information that exists elsewhere
copies of information are not records.
Risks: The longer backups are kept, the more risk they
contain unique records and not copies.
 Archives / Data Warehouses
 Usually longer-term retention
 Often contain unique information not found anywhere
else (off-line records)
 Archives / Warehouses ARE records
 Implications: Archives will need to be searched as
part of Public Records Requests, Audits,
Government Investigations, Litigation.
Databases & Formats
 Databases contain electronic records –
not just data.
 Retention periods for electronic records
is the same as paper records.
 When it is time to destroy paper records,
it is time to destroy e-records.
 If you want to keep e-records longer, they
need to be scheduled with longer
retention periods.
 Databases are best managed if we
Schedule the entire database, not just the
records that can be queried.
Example of Scheduled Database
What do I do with ALL that e-mail?!
E-mail as a Record
 E-mail requires all Government
employees to be Records Managers.
 E-mail records retention is based upon
the content and intent of e-mail.
 E-mail is a format of communication and
not a record series of its own.
 There can be no single retention period
for e-mail records since retention is
based upon content.
 When sending / receiving e-mails:
 Is this a record?
 What type of record is this?
 What is the retention for this record?
Content and Intent
E-mail is managed by
its content and intent,
not its format.
Keep or delete?
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Subject: Can you meet me for lunch?
Subject: Memo re new travel policy
Subject: Committee meeting minutes
Subject: New policy on vacation leave
Subject: Listserv messages 7/10/05
Subject: Instructions for filling out travel form
Subject: Pick up some bread for supper?
Subject: Sorry I missed class this week
Subject: Information for annual report
Subject: Negotiations with a records storage
company
What to do with attachments?
If e-mail and attachment have
continuing value:
 Save the e-mail and attachment
together in original format within the
context of your e-mail software on the
e-mail server
 Save the attachment in another
location (hard drive or network space)
 Print the e-mail and attachment and
save them in paper format
E-mail Folder Structures
 Geographic area or location – Example:
Travel Reports - England
 Numbers or symbols – Example: NSF-001
 Dates – Example: March 2004
 Subjects – Example: Budgets,
Departments/Offices
 Sender – Example: John Smith
 Records series – Example: Annual Reports
Protecting Your Records
Have a
Records
Management
focused Policy
in Place
E-mail / E-Communications Policy
Essentials
 Clearly state what makes an e-mail a
record
 Content of e-mail
 Intent of e-mail
 Meets the definition of a “record”
 Is discoverable
 Privacy expectations
 Explode the myth of the “private” e-mail
 E-mails have a life of their own
 But I used my home computer / PDA!
 Sensitive, proprietary, confidential
E-mail / E-Communications Policy
Essentials
 Identify and classify
 Going beyond, “Is this a record?”
 business: sensitive / restricted / closed,
 informational, personal, junk
 Retention for dummies
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What to keep and why
How long = content and purpose
Who keeps it: sender, recipient, all?
Subject line matters
E-mail / E-Communications Policy
Essentials
 Leave no piece behind:
 Body, attachments, metadata, distribution
lists
 Which formats do you like:
 Preserve metadata
 efficient and timely retrieval
 lifelong usability
 ensures access
 Quotas and restrictions
 E-mail message and mailbox size limitations
Social Networking – The NEW Final Frontier
Web 2.0 – Let’s Get Connected
Is IT in the RM Business?
Questions to think about as we move through the
presentation:
• What is the difference between data and records?
• Is it IT’s “responsibility” to provide Records Management
service to their customers?
• Is IT in the best position to “manage” electronic records?
• Is IT the creator of the content / record?
• Or, is IT the “post-er” of the content / record?
• Do any of these questions matter?
Social Networking Records
Challenges with SocNet Records:
 A.R.S. require we control (manage) our
records during their entire retention
period.
 SocNet sites allow little to no
management of the records on sites.
 Who controls the content on SocNet
sites?
 Presents challenges to compliance with
RM Statutes.
Legalities of Social Media –
Some of the Risks and Options
Jerry Lucente-Kirkpatrick
Records Management Specialist
Arizona Secretary of State’s Office
Arizona State Library, Archives and Public Records
Records Management Division
Risk Component – Terms of Use (TofU) Contracts
Problem – If you want to use the Social Media
site you Agree!
 Employee mindset toward setting up Social Media
account is trained by their own personal use of
SocMed
 Trained to “Click to Agree” to Terms and Conditions
– but this is a CONTRACT
 Contract between Public Body and SocMed site very
likely to be established by employee NOT Lawyer or
Procurement professional
 Employee likely did not even scroll through TofU
to review for acceptability
 If they did, they probably would not know what is
significant, what is in violation of Public Body
procurement policies & practices, etc
Facebook – California is Jurisdiction
• If you (or your employees) click
“Accept” – Your Public Body Agrees
to:
• You agree to handle any legal
challenges in California
• Santa Clare County
• California State Laws apply
• Agree to limit Indemnity
• Are your Attorneys licensed in Calif???
• What You Lose – Your right to handle
dispute in Arizona
Working Together to Change Facebook
Attorneys General from Colorado, Massachusetts, Michigan, New York,
Pennsylvania, Washington state and several others, as well as the
National Association of Attorneys General and National Association
of State CIOs (NASCIO)’s Social Media Legal Workgroup participated in
the yearlong discussions with Facebook.
When states began discussing concerns about social media 18 months ago,
there was broad concern among state-level lawyers who worked in
procurement, CIO office and other business lines, Robb said.
NASCIO Executive Director Doug Robinson added via a statement that
terms-of-service problems “have impeded broader use” of Facebook and
other social media tools by states.
Colorado took perhaps the most visible stance against Facebook. The state
attorney general discouraged agencies from launching their own pages
because the terms of service were believed to violate the state
constitution.
From Public CIO, January 05, 2011, by Matt Williams
Successes from State & Municipal Partnership
- New Facebook TofU for Public Bodies
New Option for 2011
State and Local Government
Exception – What You Get
 Strikes Jurisdiction / venue in CA
 Strikes Application of CA Law
 Strikes the indemnity clause except to
the extent indemnity is allowed by a
state’s constitution or law
 Encourage amicable resolution
between public entities and Facebook
over any disputes
Facebook Government Exception – How to Get It
• State and Local Government
Exception Applies ONLY IF:
• Select “Government”
• MUST Link Facebook page to your
Government website
• Do NOT click “Education” or
“Organization”
• If you opened Facebook page before
2011 – MUST change page to
“Community / Government”
Problem Areas
Jerry Lucente-Kirkpatrick
Records Management Specialist
Arizona Secretary of State’s Office
Arizona State Library, Archives and Public Records
Records Management Division
Beware “Executive Communication”
and Social Media
***Beware “Executive Correspondence” in Social Media***
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Executive Correspondence is a Permanent record if it “sets or discusses
policy”.

Permanent Records - must be retained on paper or microfilm.
***How will this be possible on Social Media?
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Any communication / correspondence that either discusses or sets
policy, and takes place in any “physical form or characteristic” (ARS §411350), involving an executive (any Board, Commission or Council member,
an Agency Director, elected official, County / Department / Division
Leadership) will meet the definition of “Executive Correspondence”.
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Where this discussion takes place does not matter: could be on paper, on
a website, in an email, on Social Media, in a blog, in a shared workspace,
definitely in Sire, etc.
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Since Policies are Permanent, then executive discussions of Policies
become important Permanent records to help provide context to the
Policy(ies).
This specific records series is from the Management Records General
Retention Schedules
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Video as Record / Permanent Record
Videos and Tweets: Your website, YouTube, FaceBook, Twitter, etc
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Make sure your only copy of the video / tweet is NOT online @
SocMed site.
What types of videos / tweets would be of interest:
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Involving Core Values / Duties of Office
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Deal with controversial topics and/or topics of interest – You will
recognize many of these issues, especially if you suddenly get a
large number of letters, calls or e-mails on a hot topic:
in opposition to an issue
in support of an issue
expressing a concern

Examples of Current / Recent Issues
Abortion, Alternative fuels, Environmental issues, Fiscal concerns,
Forests, wildfires and forest management, Gambling / casinos,
Gas prices, Gay rights, Gun control, Freeways or highways, Illegal
immigration, Land and development issues, Legalization of drugs,
Legislation (involving your Agency), Important landmarks (if you
still have correspondence), Terrorism/terrorists, Water issues,
Welfare issues (for or against)
Elected Officials and Social Media
 Avoid “cleaning house” to make room for the newly
elected official.
 Include both in-house and vendor / media produced
 Controversial Topics / Topics of Interest (prev. 2 slides)
 What records on SocMed will be of interest to the State
Archives and the future:
 Videos / Tweets / Media attention specifically
involving the elected official
 Inauguration
 Speeches / Statements
 Letters / Proclamations
 Press Releases
 Significant Events
 Photos
 Bio Statements
 Involving Core Values / Duties of Office