E-mail Management for Senior Officials Directives

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E-mail Management

for Senior Officials

Directives

Corporate Information Management Unit

Provincial Archives of New Brunswick

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Revision History

Version Revision Date Author Summary of Changes

1 Last Review: February 2020

CIM unit Updated name of unit

2 Last Updated: October 2021

CIM unit Updated policy AD-1508 to AD-7114

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Preface

The records of government are a valuable resource and an important asset that document its business activities. Their effective management enables government to support future action and decision making, reduce costs, meet business, legal and accountability requirements, and preserve New Brunswick’s documentary heritage. The Provincial Archives of New Brunswick is responsible for the government-wide records management program under the Archives Act. Provincial government organizations manage their records according to corporate standards, guidelines and policies to support the delivery of their programs and services. The Archives Corporate Information Management Unit provides central records management services and support to departments, crown corporations and agencies within the government of New Brunswick by:

• developing and authorizing retention and disposition schedules that control the period of time government records are retained and their transfer to the Provincial Archives or destruction;

• developing and establishing policy, standards and guidelines; • providing training and technical and consultative services in the development, implementation

and maintenance of programs to manage recorded information in all formats; and • identifying and defining archival and records management issues at the beginning of the life

cycle of information and image based systems.

Departments manage recorded information by:

• applying the Classification Plan and Retention Schedules for Common Records for retention scheduling;

• establishing a file classification plan for operational records; • developing and maintaining written policies and procedures; • cooperating with the Provincial Archives to develop and apply retention and disposition

schedules for all government records in all formats; and • taking advantage of the centralized records storage and retrieval services of the Provincial

Archives Records Centre.

It is important to note that records must not be destroyed or removed from the control of the Government of New Brunswick, unless such action is authorized under the Archives Act.

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Table of Contents 1. Introduction ..........................................................................................................................................................5

1.1 Purpose ..........................................................................................................................................................5

2. Government of New Brunswick E-mail Policies ............................................................................................6

3. Managing E-mail as Records ...........................................................................................................................7

3.1 Maintenance on a Shared Drive .................................................................................................................7

3.2 Maintenance in an Electronic Filing System .............................................................................................8

3.3 Maintenance in a Paper Recordkeeping System .....................................................................................9

4. General Tips for Keeping E-mail Under Control ............................................................................................9

4.1 Reduce the Volume of E-mail to be Filed ..................................................................................................9

4.2 Clarify Roles and Responsibilities ........................................................................................................... 10

4.3 Manage All E-mail Folders ........................................................................................................................ 10

4.4 Set a “Time-to-File” Trigger .................................................................................................................... 10

APPENDIX A ......................................................................................................................................................... 11

APPENDIX B ......................................................................................................................................................... 12

APPENDIX C ......................................................................................................................................................... 14

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1. Introduction The records of the Government of New Brunswick’s senior officials and their staff are a valuable public

asset. They provide critical evidence of government policies and programs, and form an important part

of the historical record of government. Increasingly, senior officials’ records are created, received, and

managed electronically. Business decisions may be made based on information that was recorded,

circulated, and discussed wholly in an electronic environment. E-mail has become an integral part of

doing business, taking the place of many telephone calls, memos, and letters. Just as records on

paper are managed in a recordkeeping system, e-mail records must be similarly managed to ensure

that information is readily available when needed and retained and disposed of according to

established records retention schedules.

Managing e-mail and electronic communications may present a particular challenge in the offices of

senior officials, due to the volume of messages sent and received each day. It may help to remember

that e-mail, whether in the inbox, the sent folder, a shared drive, or stored on a mobile device, is simply

“mail” in electronic form. Generally speaking, the same principles of recordkeeping apply to paper and

electronic information management. It is both possible and desirable to standardize the information

and recordkeeping policies and practices already used within a senior official’s office and apply them to

the management of e-mail.

1.1 Purpose

These guidelines are intended to assist staff responsible for the management of records, including e-

mail, in the offices of senior officials. The general advice contained in this guideline is also applicable

to any government employee who uses e-mail in the course of his/her daily business activities.

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2. Government of New Brunswick E-mail Policies There are several policies and guidelines relating to the use and management of e-mail within the New

Brunswick Government. All employees who use and manage e-mail should be familiar with:

Policy AD-7114, Information Management Policy: Covers acceptable use, confidentiality and security,

and roles and responsibilities. This policy is to be followed in conjunction with all other government-

wide or departmental policies on e-mail.

Electronic Information Management Directives (Corporate Information Management (CIM)): Provides

further information on users’ responsibilities, including dealing with offensive messages and spam,

confidentiality considerations, security considerations, e-mail etiquette, and basic tips for managing and

filing e-mail messages.

The Corporate Information Management Unit of the Provincial Archives also provides guidance on

various issues related to the management of e-mail and other electronic documents. The following may

be found at www.archives.gnb.ca, under the Corporate Information Management website:

- Managing e-mail and Electronic Communications - Directives - what to keep and what to delete;

- Identifying and Handling Records and Non-Records - Directives

- Ministers’ and Deputy Ministers’ Records - Directives; and

- Classification Plan and Retention Schedules for Common Records (CPRS), 2010.

http://www.archives.gnb.ca/

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3. Managing E-mail as Records The Information Management Policy (AD-7114) uses the definition of records and recorded information

as found in the NB Archives Act. This definition encompasses records created electronically, including

e-mail.

E-mail messages created and sent or received on Government of New Brunswick systems are used to

help maintain the business of government. They document and provide evidence of business

transactions; provide evidence of compliance with accountability or other business requirements; and

may also have some future business, legal, research, or historical value to the government or people of

New Brunswick. As such, they are subject to both the Information Management Policy (AD-7114) and

to access and protection of privacy provisions of the Right to Information and Protection of Privacy Act.

They must not be destroyed or removed from the control of the Government of New Brunswick, unless

such action is authorized under the NB Archives Act.

The Corporate Information Management Unit (CIM) of the Provincial Archives recommends that e-mail

records be integrated with other electronic records of the same function or subject, using information

management practices that are already employed in the department. This may include moving e-mail

to a shared drive (with appropriate security settings) using the Classification Plan and Retention

Schedules for Common Records (CPRS) and an operational filing plan, or the use of an electronic

information management (EIM) system. Some offices may choose to print and file e-mail in a paper-

based system. While printing and filing is not a recommended method of e-mail management, this

document will address that option briefly. Regardless of which method (or combination of methods) is

employed, e-mail messages must be managed proactively. Avoid leaving e-mail in your Microsoft

Outlook inbox indefinitely, and do not save e-mail as .pst (personal storage) files (e-mail saved as .pst

files are susceptible to corruption and instability). Both of these practices have the potential to make

retrieval and accessibility a challenge over time, and neither lends itself to the systematic application of

retention and disposition schedules. In effect, e-mail records are not “managed” by either of these

practices.

Note that when records are placed on legal hold, e-mail records are a part of that hold. It is much

simpler to identify e-mail that are included in the hold if they have been saved in a folder with all of the

other records regarding the same matter, instead of saved on a hard drive, an Microsoft Outlook folder,

or residing on a mobile device.

3.1 Maintenance on a Shared Drive

Filing e-mail electronically on a shared drive using a system that mirrors the departmental filing plan

can be an effective way of managing e-mail records, and is the recommended practice for departments

who do not use an EIM.

If your office does not have a filing plan already in place, contact your departmental records manager.

Your records manager can assist in the implementation of the Classification Plan and Retention

Schedules for Common Records (CPRS) and the development of an operational filing system that will

work for both paper and electronic records.

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There are many advantages to saving e-mail on a shared drive:

- E-mail is integrated with other electronic records created by the same function or pertaining to

the same subject matter, resulting in a more complete file in “one stop.” By including a

Microsoft Notepad document in the electronic file that points to the paper file (if one exists), and

a notation on the paper file folder pointing to the electronic file, users will know where to retrieve

all available information when needed.

- Important e-mail messages may be accessed by anyone with “a need to know,” when they need

to know it. If left in Outlook or stored on a hard drive, e-mail can only be accessed by the

individual user. By filing e-mail on a shared drive, anyone with access rights can view

messages.

- When stored on a network drive, e-mail records are backed up and recoverable in the event of a

system failure. Records saved on a hard drive may not be recoverable if the hard drive

crashes, is physically damaged, or is corrupted.

- Retention schedules can be applied with greater ease. When it is time to apply a records

retention schedule, electronic records with the same retention period are already filed in one

place (there may be some exceptions, i.e. databases).

When filing e-mail on a shared drive, it is important to be aware of the following:

- Depending on the search engines available to the department, search functionality for shared

drives may be limited. However, saving messages using standardized naming conventions will

maximize search capability (consult Naming Conventions for Electronic Documents for

guidance). Provide training so that staff members understand how to use the classification plan

and can retrieve files on the shared drive without the search function if necessary. Offices may

wish to contact their IT department to investigate the purchase of software to improve search

capability.

- The ‘date modified’ that will appear in the shared drive folder when an e-mail is saved will reflect

date that the e-mail was saved to the shared drive, not necessarily the date that the e-mail was

originally created. If retrieval by date is desirable, save e-mail using standardized naming

conventions that incorporates a date of creation or receipt.

3.2 Maintenance in an Electronic Filing System

Some government departments have an electronic information management (EIM) system, such as

TRIM, OpenText, or SharePoint, in place. E-mails are filed with appropriate metadata and are

disposed of according to the terms of the applicable records retention schedule. EIM technology

addresses naming conventions, version control, authentication, workflow, records classification,

security, privacy, and records disposition. Departments with such a system should continue to take

advantage of the features of the system for managing e-mail.

Departments that are not using an EIM and are not planning to implement one in the near future will

need to employ existing technology and establish business rules to manage e-mail and other electronic

records efficiently.

For additional information on electronic filing systems, contact your departmental records manager or

the Corporate Information Management Unit of the Provincial Archives at [email protected].

mailto:[email protected]

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3.3 Maintenance in a Paper Recordkeeping System

Some departments may choose to print e-mail messages and file the copy within the paper record

keeping system.

This approach aims to keep all the information pertaining to a particular issue or subject in one place in

the traditional paper-based way. However, because printing and filing results in the loss of the ability to

search, retrieve, or retransmit records electronically, departments may be tempted to retain the e-mail

electronically even after it has been printed and filed. This practice results in the e-mail being stored in

two separate systems – paper and electronic. Maintaining duplicate records is not a recommended

practice as it may lead to inconsistent application of retention schedules, general confusion about which

e-mail is the most accurate and complete, and incomplete responses to requests under the Right to

Information and Protection of Privacy Act or other legal disclosures. If a department chooses to print

and file, the e-mail should be deleted.

Printing and filing is time consuming and costly to maintain (staff time spent filing as well as printing

costs). If a department still chooses to print and file, clear business rules must be established and

followed (see Appendix B). For example, a department may decide that the Deputy Minister will copy

the executive secretary on ALL e-mail messages that are to be printed and filed, or may decide that the

Deputy Minister will create and use an “Action Completed” folder in Outlook as a holding place for

messages that are ready to be printed and filed (if the Executive Secretary has access to the Deputy’s

e-mail).

4. General Tips for Keeping E-mail Under Control “Information overload” is a common complaint in departments where the time devoted to processing e-

mail seems to outweigh time spent on other business activities. Here are a few basic tips that can be

applied at your desk or on the road to help keep filing under control:

4.1 Reduce the Volume of E-mail to be Filed

Senior officials’ e-mail and electronic communications encompasses a broad range of organizational

activities and is a valuable source of information on the decisions made and actions taken by the

organization. Records transmitted by e-mail and electronic communications typically include:

- Messages to and from staff on matters relating directly to the organization;

- Records concerning administrative matters pertaining only to the senior official’s duties or office.

These e-mail messages are business records and should be routinely filed.

However, a significant percentage of e-mail may fall outside the scope of business records. These e-

mail messages are non-records (also known as transitory records).

Examples of transitory e-mail records may include:

- Duplicates of a document that was circulated to you for reference purposes only

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- Drafts and working documents used to prepare a final document (note: these may have some

future value if they were used to prepare important documents such as legislation, budgets or

policies, that the senior official’s office is primarily responsible for)

- Publications from external sources (including other government departments)

- Casual communications that do not provide evidence of a business activity, discussion, or

transaction, and are not related to the functions or activities of a department

These e-mails have only temporary information value, and should be deleted as soon as they are no

longer needed.

4.2 Clarify Roles and Responsibilities

Identify who is responsible for filing e-mails, and ensure that they have access to the records that need

to be filed. For practical reasons, the designated filer may be the person who maintains the manual

filing system. For example, in a Deputy Minister’s office, the Deputy Minister’s Executive Secretary

may maintain the files. To ensure that the Executive Secretary has access to the e-mail that need to be

filed, Deputies may follow the practice of making sure that the Executive Secretary is copied on all

business e-mail. Other offices may establish a system of notifying the designated filer when an e-mail

is ready to be filed, such as creating a “to be filed” folder in Microsoft Outlook (if the filer has access to

the senior official’s Outlook) or a “to be filed” folder on the shared drive.

4.3 Manage All E-mail Folders

Pay attention to all the folders in Outlook. In addition to the Inbox, the Sent Items folder, Deleted Items

folder, Drafts folder, and any other folders you may have created within your e-mail system need to be

purged and filed regularly. Remember that any official communications sent by your office will be in the

“Sent Items” folder, making it particularly important to manage.

4.4 Set a “Time-to-File” Trigger

To prevent filing from piling up, choose a trigger to remind you that it is time to file. For example,

decide that when a certain number of e-mails in the Inbox (i.e., 50), it is time to file. Or, set a specific

time each week dedicated to filing e-mail.


APPENDIX A

How do I save an e-mail (.msg) in Microsoft Outlook to a folder on a shared drive?

• Open Microsoft Outlook

• Open the e-mail message you wish to save

• Under the FILE menu, click SAVE AS

• On the SAVE AS screen, select the drive, then select the folder where you wish to save

• On the SAVE AS screen, rename the e-mail in the FILE NAME field if necessary (e.g. “FYI” is

not an informative name. Assign a name based on the content.)*

• On the SAVE AS screen, select OUTLOOK MESSAGE FORMAT from the SAVE AS TYPE

drop down list

• On the SAVE AS screen, press the SAVE button

• Return to Microsoft Outlook and delete the e-mail message you have saved by highlighting the

file name with your mouse and pressing the DELETE key on your keyboard

How do I move an entire folder from Microsoft Outlook to a folder on my shared drive?

• Open Microsoft Outlook

• Open the folder you wish to move

• Hold the SHIFT key and left click the e-mail at the top the list and then left click the e-mail at the

bottom of the list (this will highlight all the e-mail in the folder)

• Right click and select COPY

• Open the shared drive folder where you wish to save the messages

• Right click and select PASTE

• Return to Microsoft Outlook and delete the e-mail message(s) or folder? you have saved by

highlighting the file name with your mouse and pressing the DELETE key on your keyboard

• Alternatively, you can “drag and drop” the highlighted messages into the desired folder instead

of copying and pasting

* For more information on naming conventions, consult Naming Conventions for Electronic

Documents, which is posted at the Corporate Information Management unit website.


APPENDIX B

Sample Directives

Example 1:

Integrating E-Mail Records with Other Records Management Practices

Going forward, e-mail records will be integrated into existing folders on shared drives that parallel our

paper records management classification structure.

Folders will be established in the electronic shared drive structure that parallel the department’s records

classification structure for paper records and are linked to approved records retention and disposition

schedules.

The Records Manager and IT services will provide advice on the establishment of shared folders and

linkage to schedules. Drafts, duplicated, and reference documents will not be filed in directories

containing completed versions and official records.

Until such folders are established, employees will print and file all e-mail (except transitory and

personal).

Only authorized staff will have authority to delete records from shared folders, using documented,

auditable procedures.

Example 2:

Roles and Responsibilities for Managing E-Mail and Electronic Communications

Managers are accountable for the management of e-mail records and electronic communications in

their respective units. Managers must ensure that employees have had training to be able to properly

manage their e-mail records and electronic communications.

All users of the e-mail and electronic communications system have the following responsibilities:

• Users should remove personal and transitory records from personal mail boxes on a regular

basis.

• All other records (i.e. not personal or transitory) will be stored in the appropriate folder, format,

and media and filed in the electronic shared drive classification structure.

• Users must protect all e-mail government records from unauthorized disclosure to third parties

and from inadvertent loss or destruction.

• The disposition of e-mail records must be done according to approved records retention and

disposition schedules.


Example 3:

Who is Responsible for Keeping E-Mail and Electronic Communications Records?

The creator (originator) of an e-mail message is responsible for determining if it is a government record,

and if so, for managing and filing that record. Recipients of e-mail messages sent from external

sources are responsible for managing and filing those e-mail records in such cases where the e-mail

received is a government record.

E-mails generated in the course of collaboration and information sharing (committees, working groups,

work teams, etc.) should be managed and filed by a designated individual on a shared drive where

information may be retained and shared as required by all members of the group. This process can

also be applied to meeting agendas and minutes.


APPENDIX C

What About “Archived” E-mail?

E-mail messages that have been “archived” (removed from Microsoft Outlook to alternate storage in

order to free e-mail storage space) must be managed according to the terms of approved retention and

disposition schedules. Even if the messages have not been accessed since their removal, they are

government records and, as such, are subject to the requirements of the NB Archives Act and the Right

to Information and Protection of Privacy Act. Just like paper records, e-mail messages may continue to

have value for business, financial, legal, research, or historical purposes. Therefore, e-mail that may

just seem “old” must be managed with the same care afforded to records on paper.

The amount of time it will take to sort through archived e-mail will depend on how it was organized at

the time it was archived. E-mail that was organized according to a classification system, for example,

will be easier to apply retention and disposition schedules to than e-mail that was “lumped” together

irrespective of content. In the latter case, it will be necessary to conduct a message-by-message

review when filing. Sifting through e-mail messages will take time -- it may take a lot of time. If

possible, determine ahead of time what series of records are likely to be found in the archived e-mail

and create corresponding electronic folders. You may wish to incorporate the date of destruction or

transfer to Archives in the folder to expedite the disposition process. Messages that have fulfilled

retention requirements may be destroyed or transferred to Archives according to the applicable series

schedule immediately after the appropriate documentation has been completed (Records Destruction

Form, Records Transfer Request). Messages that are to be retained in-office for a longer period should

be filed according to the current means used by the Department (shared drive, EIM, or paper system).

There may be circumstances where e-mail that was archived is longer readable. This could occur when

e-mail were saved as .pst files, which are known to corrupt, or were stored on an external device that

has been damaged or can no longer be read using the equipment in your office (e.g. obsolete storage

devices). In such cases, it will be necessary to consult with IT staff who may be able to devise a

method of viewing the files or be able to migrate the files to a readable media. If IT staff is successful,

the e-mail can be disposed of or filed as outlined above.

If, after reasonable effort, the e-mail messages are still not readable, the department records manager

should discuss options for disposition of the e-mail with the Corporate Information Management Unit.