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

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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 dont 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

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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

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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

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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

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Metadata

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

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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

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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

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Cons

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

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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

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Case Study 2General Accountability Office

• Hummingbirds 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

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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 users e-mail
• Identifying permanent e-mail
• Managing non-permanent e-mail

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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

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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

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and Recommendations

• Know records at the granular level
• To ensure buckets arent too big
• Schedule records before system design
• Bring RM to the table at system design
• Work closely with IT
• Balance risk with simplicity

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Retaining ER

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

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When to Think about Destruction

• Planning records system
• End of retention period
• Computer reassignment
• Computer surplusing
• Staff turnover

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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

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Exercise Control

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

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Methods of Destruction

• Deletion
• Reformatting
• Defragmenting
• Physical destruction
• Degaussing
• Overwriting

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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

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Conclusions

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