Managing the Retention of

1. Managing the Retention of Electronic Records Ann Marie Przybyla Electronic Records Symposium Region 9, November 2007

2. Goal • Describe the essentials of managing e-records retention and disposition

3. Why Not Save Everything Forever? • Discovery, FOIL, audits • Access and retrieval • Storage costs • Migration costs • Increasing risks

4. Why Managing Retention is Difficult • ER not part of RM program • Split between RM and IT • End-user responsibility • Increasing complexity of ER • Enterprise-wide ER systems • Layers of obsolescence • Basic RM principles don’t always apply

5. Options for Managing E-Records Retention • Print records and manage as paper • E-file and manage on individual PCs • E-file on LAN and manage centrally • Manage via ECMS/EDMS

6. Good E-Records Retention Habits • Manage electronically and centrally • Implement schedules and standards at creation • Develop classification system • Simplify retention as much as possible • Preserve and destroy records appropriately • Develop policy

7. E-Records Creation • Know retention schedules • Know relation of e-records to records in other formats • Work closely with IT • Address retention in system design • Avoid proprietary formats

8. Classification System • Takes resources to plan and implement • But must have to manage e-records electronically • Consists of filing plan, access levels, keywords • Links to retention schedule • Relies on effective use of metadata

9. Metadata • Data describing the content, context, structure of records • System generated • And manually created • Essential for finding, preserving, authenticating, understanding e-records • Examples?

10. Simplifying Retention: “Big Buckets” • At a level higher than records series • Groups records by function, document type, or other category • Links group of records to a retention period • Also a term and concept applied to file plans

11. Pros of B-B Scheduling • Eliminates a scheduling backlog • Schedule less likely to change • Improves consistency • Simplifies ER system requirements • Simplifies role of end user • Mitigates risk

12. Cons • Leads to an increase in • retention periods generally • storage needs • migration costs • e-discovery risks • A concept that appears to be anti-RM

13. Case Study #1New World Financial System • Handles all accounts payable and receivable in a government • Budget data entered every fiscal year • Each department enters own data • Produces annual report • Encompasses permanent and 6-year records • Management of retention is uncertain

14. Case Study #2General Accountability Office • Hummingbird’s EDMS/ERMS (2004) • Simplified file plan with 3 buckets • Units tend to work in 1 or 2 buckets • Buckets subdivided by function (33 total) • User asked to choose bucket and function for each document • RM functions activated when user titles and saves the document

15. Case Study #3E-Mail • May or may not be records • Each record must be retained for appropriate retention period • Automating retention involves • Analyzing each end user and end user’s e-mail • Identifying permanent e-mail • Managing non-permanent e-mail

16. Case Study #4Madison County • Piloting project in DSS • Imaging project for case files • Controlled index terms • 19 document types • Staff can view discrete case file • System will eventually manage retention

17. Some Observations • Big bucket scheduling is an absolute necessity for managing ER • Rejects managing at the item level • Alternative to “all or nothing” • Supports use of electronic tools • Helps make RM invisible to end users

18. …and Recommendations • Know records at the granular level • To ensure buckets aren’t too big • Schedule records before system design • Bring RM to the table at system design • Work closely with IT • Balance risk with simplicity

19. Retaining ER • Apply preservation strategies to all ER, not just permanent • Anticipate obsolescence and instability • Some strategies • Reformatting • Standard formats • Migration • Refreshing

20. When to Think about Destruction • Planning records system • End of retention period • Computer reassignment • Computer surplusing • Staff turnover

21. When not to Destroy E-records • Before the end of retention period • Needed beyond retention period • In response to FOIL • In response to legal action • When audit is pending

22. Exercise Control • Of all computers • PCs, laptops, tablets • Personal Digital Assistants • Digital cameras • Of all copies • Backups • Detachable devices, removable media • Printouts, microfilm

23. Methods of Destruction • Deletion • Reformatting • Defragmenting • Physical destruction • Degaussing • Overwriting

24. Basic E-Records Retention Policy • Establish government ownership • Maintain equipment and system inventory • Identify record copy • Follow records schedule regularly • Define procedure for halting destruction • Train all staff • Review for compliance

25. Conclusions • Managing retention of ER means knowing essential RM principles • But rethinking those principles when needed • And being flexible ourselves Thank you.