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

Managing the Retention of

Electronic Records

Ann Marie PrzybylaElectronic Records SymposiumRegion 9, November 2007

Goal

Describe the essentials of

managing e-records retention and

disposition

Why Not Save Everything Forever?

Discovery, FOIL, audits

Access and retrieval

Storage costs

Migration costs

Increasing risks

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

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

Good E-Records Retention Habits

1. Manage electronically and centrally

2. Implement schedules and standards at

creation

3. Develop classification system

4. Simplify retention as much as possible

5. Preserve and destroy records appropriately

6. Develop policy

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

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

Metadata

Data describing the content, context,

structure of records

System generated

And manually created

Essential for finding, preserving,

authenticating, understanding e-records

Examples?

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

Simplifying Retention: “Big Buckets”

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

Cons

Leads to an increase in

retention periods generally

storage needs

migration costs

e-discovery risks

A concept that appears to be anti-RM

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

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

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

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

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

…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

Retaining ER

Apply preservation strategies to all ER,

not just permanent

Anticipate obsolescence and instability

Some strategies Reformatting

Standard formats

Migration

Refreshing

When to Think about Destruction

Planning records system

End of retention period

Computer reassignment

Computer surplusing

Staff turnover

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

Exercise Control

Of all computers PCs, laptops, tablets

Personal Digital Assistants

Digital cameras

Of all copies Backups

Detachable devices, removable media

Printouts, microfilm

Methods of Destruction

Deletion

Reformatting

Defragmenting

Physical destruction

Degaussing

Overwriting

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

Conclusions

Managing retention of ER means knowing

essential RM principles

But rethinking those principles when

needed

And being flexible ourselves

Thank you.