Transcript EMail Still a Record

Email: Still a Record
After All These Years
…and what about Twitter, wikis
& blogs – oh my!!!
Donna Read, CRM, CDIA+
Senior Records Analyst
Vice President, Florida Gulf Coast ARMA Chapter
Brooksville, Florida
January 21, 2014
1
Steps for Managing Email &
Other Social Media Tools (Web 2.0)

#1 Research & Homework – what’s the
current situation

#2 Educate – Train – Raise Awareness

#3 Develop Email & Social Media Policy

#4 Determine best solutions for your
organization

#5 Implement, Enforce & Audit
2
Love - Hate Affair with Email
& Social Media

“Email is like coming home at night
after a long day and finding 70 people
in your kitchen.”
John O’Donohue, Irish poet
 Social media is not having to wait to come
home the 70 people follow you around all
day 
DLRead
3
Statistics - Email
 Average
employee spends 2.5 hours
a day dealing with emails
July 2012
Average corporate email user sends and receives about 105 emails a day.
 Search
on Google for “embarrassing
emails” brought up 3,540,000 hits
 182.9
billion emails were
sent/received each day in 2013
4
Statistics – Social Media

3.2 billion Social networking accounts in
2013

2.9 billion instant messaging accounts in
2013 www.Radicati.com

1.19 billion active users on Facebook
5
Defining “Other Social Media”
6
By Robin Riat
More Statistics

Virtual Worlds – 1 billion registered members (10/10)

Facebook

YouTube
– 3 billion views a day (5/11) [1 billion unique
viewers/month

Twitter
– 232 million monthly active users (11/13)

LinkedIn
– 259 million members (6/13)

Blogs
– 240 million roughly (4/13) hard to pin down
– more than 1.19 billion (10/13)
7
Virtual Worlds
8
9
E-mail & Other Social Media:
Benefits & Drawbacks
Drawbacks
Benefits




Save money
Saves time
No need for human
intervention
Digital format for
sharing &
manipulation







Informal careless
Persists
Proliferates
No privacy
Potential for misuse
Virus carrier
Litigation target
10
E-mail & social medial records
MUST be managed from 3
different perspectives
Legal Risk Management
Records Management
Information Technology Management
11
Role of Records Manager in
Social Media Initiatives
12
Step #1 – Research &
Homework





What is the current situation?
Is there already email and other social media
policy in place at your organization?
Is there a deletion process in place – what is it?
Where does the email live – a separate server or
mixed in with all other data – inside the firewall
or on the cloud?
What is the volume of legacy emails?
13
Step #1 cont. - Research

What social media tools are currently in use?

Is there policy governing the use of social media
tools?

Are governance rules in place for Sharepoint
and Social media sites?

Are there legal requirements to keep the content
of social media sites?
14
Is Ignorance Bliss???
15
Step #2 - Educate – Train –
Raise Awareness

Email & other social media
communications must be recognized as a
potential record

Start with management – teach them how
to recognize a record

Use statistics – headlines – litigation risks
16
Where’s the Risk



Up to 80% of e-mail creators stated that they
did not “have a clue’ as to when their e-mail
qualified as an official record
“great inconsistency” as to what was actually
classified as a record
Staff were “largely unaware” of the existence of
organizational e-mail policies
Rick Barry “Email Legal Status” Message posted to the Australian Archivists(aus-archivists) listserv on
March 31, 1998
17
Typical Email “In Box” - Most of
the messages shown are NOT
Records!
18
Typical non-record, “spam”
Email
19
Reference “FYI-only”
20
A “Record” message
21
The “envelope” (metadata)
to link to the “record”
message
22
This personal message was
erroneously broadcast to 3,000
Email boxes on a listserv
23
Recognizing Email or Web 2.0
Records
 Am I the originator of the message?

Is it a substantive message or just routine ‘chitchat’?

If so, does the message have to do with the
work of my office?

Is the content of the message something that I
will need in future years to do my job?
24
More questions to ask….
 Does the message support decisions that were
made in my program area?



If I am the recipient, is the message “information
only”?
Does it require me to take action?
Will someone need the message for operational,
fiscal, or legal purposes?
 Use the same thought processes as you do
when taking action on other documents that
cross your desk! BE SELECTIVE ABOUT
WHAT YOU KEEP!
25
Step #3 - Develop (or rip off)
Email & Social Media Policy

SEDONA GUIDELINES ON EMAIL POLICY DEVELOPMENT

Guideline 1: Email retention policies should reflect the input of functional and business units
through a team approach and should include the entire organization including any operations
outside the United States.

Guideline 2: The team should develop a current understanding of email retention policies and
practices actually in use within the entity.

Guideline 3: An entity should select features for updates and revisions of email retention policy
with the understanding that a variety of possible approaches reflecting size, complexity and
policy priorities are possible.

Guideline 4: Any technical solutions should meet the functional requirements identified as part
of policy development and should be carefully integrated into existing systems.
26
More From Sedona Guidelines

Framework for policy development

General Retention Considerations

Typical Retention Features
1. User Mailbox Size Limitations (“Quotas”)
2. Automatic Deletion of User Mailbox Contents
3. Extended Storage Options
4. Restrictions on Local Storage

The Importance of Litigation Holds

www.thesedonaconference.org
27
Email Policy TOC








Functional Overview
Roles & Responsibilities
General Information and Guidelines
Generating and Preparing Emails
Storing Emails in a document mgt system
Disposal of Emails
Definition of records along with other vocabulary
Laws and Regulations
28
Definition of Email from DOC
Email Policy
“An email message consists of any document
created, transmitted, or received on an email
system, including message text and any
attachments, such as word-processed
documents, spreadsheets, and graphics that
may be transmitted with a message, or with an
envelope containing no message.”
29
http://www.inc.com/guid
es/2010/05/writing-asocial-mediapolicy.html
30
More Excitement – Twitter,
Facebook, and blogs ..on
my!!!!

Social Media or Web 2.0
A community of people sharing ideas, both
useless and useful information, smart and
stupid.
31
Twitter Indiscretion
Govtech.com 2009
32
What About Facebook?
33
http://www.readwriteweb.com/archives/is_facebook_your_permanent_rec.php
Conversations: Microblogs
34
Conversations: Blogs
35
Step #4 – Determine the best
solution for your organization

Team of stakeholders – Management, RM,
IT, Legal, & Budget

Map out options – they are limited
a) Manually manage e-mail & Social Media
b) Use software to manage
c) Combination of both
*all options involve resources $$$$
36
Moving Legacy Data to
Buckets
#1 Non-Business information that is no longer useful to you
and can be destroyed
#2 In-progress information you have created or received that
is directly related to your current work activities. Includes
short-term reference materials or personal information
useful only to you in conducting company business
#3 Final information directly related to your assigned work
activities or information required for the company to have
adequate records. These records are defined in the
Corporate Records Retention Schedule
37
3-buckets – Rohm & Haas Co.
38
Marking Electronic Records
E-Mail Example – Marking Subject / File Code
To…
[email protected]
Cc…
Subject:
5000.15 – Customer Svc. Complaint at Checkpoint (REPLY)
Decide on identifiers for the front of subject lines for your office, for ex:
FYI – I don’t need to read it right now and know it is not a record
Urgent – I need to pay attention to this email
Action – I need to actually do something with the information in this email
Response – The sender needs me to respond now
CC – Convenience copy you do not need to retain as a record
Software Solutions

Email Archiving software

Email modules are available for document
management systems
40
Choosing Software
One size does not fit all
 Nothing is plug and play
 Costs continue - not a one time thing
 Needs to work with other systems in your
organization
 Takes a lot of resources and continued IT
support

41
Email = Evidence Mail
42
E-mail Law Suits

Wrongful Termination:
Potential cost $20
million

Martha Stewart

Enron Corporation

Department of the
Interior
BEWARE OF
LITIGATION
43
Email Involved in Litigation

“No matter what
happens, we have to
slow down Netscape’s
ability to drive new
protocols/stds down.”
“Do we have a clear
plan on what we want
Apple to do to
undermine Sun?”
Microsoft
emails used
by Department of Justice
in antitrust litigation.
44
Are Email & other Social
Media transmissions a
record?

“The meeting
with the FDA
yesterday was
a tremendous
success! No
black box
[warning]!”


Email discovered during
Fen-Phen litigation of
pharmaceutical
executive bragging
about convincing the
FDA that a warning
label on a bottle was
unnecessary.
Settled for $3.75 billion
45
Guidance on managing social
media records

http://www.archives.gov/records-mgmt/bulletins/2014/2014-02.html

What is social media?
What are social media records?
What are the noteworthy records management challenges
associated with the use of social media?
How should agencies address the records management
challenges associated with the use of social media?
What should agencies consider when scheduling social
media content?
How do agencies implement social media capture?
What are an agency's record management responsibilities
when dealing with social media providers and third parties?
What other NARA guidance and resources are available?







46
47
48
Capstone Approach

http://www.archives.gov/records-mgmt/bulletins/2013/2013-02.html

Categorize and schedule email based on the work and/or position of the email
account owner

Capture of records that should be preserved as permanent from the accounts of
officials at or near the top of an organization

May designate email accounts of additional employees as Capstone when they
are in positions that are likely to create or receive permanent email records

All of the email in Capstone accounts are permanent records

Remaining email accounts with temporary records can be captured for a set
period of time (e.g. 7 years)

Must determine whether end users may delete non-record, transitory, or
personal email from their accounts
49
50
Resources
 www.fgcarma.org
 www.arma.org
 www.archives.gov
 www.naa.gov.au
 www.aiim.org
 www.thesedonaconference.org
51
Step #5 – Implement, Enforce
& Audit

Once policy is developed & approved it must be
distributed and taught

Policy needs to include what steps will be in place to
enforce the new rules

Everyone in the organization needs to understand the
importance of following the policy

Audit of the email and Web 2.0 tools will ensure that
implementation is done
52
Summary - 5 Steps

#1 Research & Homework – what’s the
current situation

#2 Educate – Train – Raise Awareness

#3 Develop Email & Social Media Policy

#4 Determine best solutions for your
organization

#5 Implement, Enforce & Audit
53
Thank you
Donna Read, CRM, CDIA+
Senior Records Analyst
National Archives & Records Administration
[email protected]
[email protected]
WWII Poster
54