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Managing email as a record. Definition of a record - PRA. ‘A record or class of records, in any form, in whole or in part, created or received (whether before or after the commencement of this Act) by a public office in the conduct of its affairs’

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managing email as a record

Managing email as a record

Archives NZ Recordkeeping Forum - Email Records Management

definition of a record pra
Definition of a record - PRA
  • ‘A record or class of records, in any form, in whole or in part, created or received (whether before or after the commencement of this Act) by a public office in the conduct of its affairs’
  • ‘A record or a class of records, in any form, in whole or in part, created or received (whether before or after the commencement of this Act) by a local authority in the conduct of its affairs’

Archives NZ Recordkeeping Forum - Email Records Management

definition of a record pra 2
Definition of a record – PRA (2)
  • ‘…information, whether in its original form or otherwise, including (without limitation) a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored, as the case may be,—

(a) in written form on any material; or

(b) on film, negative, tape, or other medium so as to be

capable of being reproduced; or

(c) by means of any recording device or process, computer, or other electronic device or process’

Archives NZ Recordkeeping Forum - Email Records Management

email is a record
Email is a record
  • "All email messages created using Australian government systems are Commonwealth records and must be managed in accordance with the Archives Act 1982” NAA
  • In United States context - records are only a record when they are declared - but this mindset is changing
  • In Australasian context - "guilty of being a record until proven innocent" approach

Archives NZ Recordkeeping Forum - Email Records Management

subtle distinctions
Subtle distinctions
  • What makes one particular email a record, versus what makes emails as such a record
  • Defining information as a record doesn't confer permanent retention status

Archives NZ Recordkeeping Forum - Email Records Management

types of email
Types of email
  • GDA 3 – Emails that can be routinely disposed of:
    • personal correspondence
    • circulated information received for information only
    • trivial work related material (such as reminder notes and room bookings)
    • copies of records already in the record keeping system, and
    • copies of documents kept for reference purposes only

Archives NZ Recordkeeping Forum - Email Records Management

types of email naa
Types of email (NAA)
  • Records required for ongoing business:Transactions that provide evidence of your business activities, e.g. directives, development of policy issues
  • Records of ephemeral value:Information messages with a business context but not part of a a business transaction, e.g. notification of a meeting or a general notice to staff, and persona or social messages

Archives NZ Recordkeeping Forum - Email Records Management

types of email prov
Types of email (PROV)
  • Personal email – email which is of a personal nature and which has no relevance to the business of the agency
  • Ephemeral email – email which is used to facilitate agency business but which does not need to be retained for business purposes
  • Corporate email – email which relates to the business of the agency and which must be retained as a record

Archives NZ Recordkeeping Forum - Email Records Management

examples of records that happen to be emails
Examples of records that happen to be emails
  • Contract variation agreement
  • Decision to buy software
  • Clarification
  • Summary of a work phone conversation
  • Advice on legislation, policy...
  • Ministers of the Crown asking for policy advice…

Archives NZ Recordkeeping Forum - Email Records Management

so which type is your email
So which type is your email?
  • Context may only become apparent over time
  • Your first decision may be the wrong decision
  • You might want to hang about a bit…

Archives NZ Recordkeeping Forum - Email Records Management

issues with maintaining email as a record over time

Issues with maintaining email as a record over time

Archives NZ Recordkeeping Forum - Email Records Management

where is that email
Where is that email?
  • Personal email folders
  • Shared email folders
  • EDRMS
  • Vault
  • ISP provider(s)
    • Yours
    • Theirs
  • Passing through routers, generating logs

Archives NZ Recordkeeping Forum - Email Records Management

who is managing the email as a record in your organisation
Who is managing the email as a record in your organisation?
  • The owner(s)/recipient(s)
  • The Vault Manager
  • The Records Manager
  • None of the above ……

Archives NZ Recordkeeping Forum - Email Records Management

what is the storage format of the email
What is the storage format of the email?
  • Native format
  • PST files
  • other?
  • non-proprietary?

Archives NZ Recordkeeping Forum - Email Records Management

what stops people saving emails into another system
What stops people saving emails into another system?
  • Decision about whether this email has value
  • Save what?
    • email + attachments as one item - if you want to preserve the full context
    • save only the attachment if want to edit the document
    • do both if you want to both preserve and edit
  • Timing - when is the best time to save "it" - especially with threads
  • Changes of subject in the middle of a thread
  • Several different subjects in the same email

Archives NZ Recordkeeping Forum - Email Records Management

what stops people saving emails 2
What stops people saving emails (2)
  • Time taken save emails
    • Vs time (probably someone else’s) to retrieve and sift through all of them later
  • Format change so can't re-use it
  • Not knowing if you are the person who should be saving it
  • Wondering if it is already in there
  • Print and file? Yeah, right…

Archives NZ Recordkeeping Forum - Email Records Management

one problem
One problem…
  • People treat email (and instant messaging) as if it is a conversational tool
  • They overlook that they have put something in writing and sent it to someone else, who may…
    • Forward it
    • Save it
    • Print it

Archives NZ Recordkeeping Forum - Email Records Management

all email is discoverable
All email is discoverable
  • What level of understanding do you/your users have to have?
  • Internal to your organisation, the technology can find it
    • On back up tapes
    • On the server hard drives
    • On your hard drive - depending on your set up
    • On your PST files if you have been creating them
    • In the email boxes of the people you sent it to…..

Archives NZ Recordkeeping Forum - Email Records Management

and or it has escaped into the universe
AND/OR it has escaped into the universe
  • Your ISP's server/your organisation's server
  • The recipients ISP servers/organisations servers
  • Routers
  • Server logs, router logs
  • US intelligence agencies are fighting in the American courts to force ISPs to keep records of emails (but not YET the content)

Archives NZ Recordkeeping Forum - Email Records Management

legislative and litigation environment
Legislative and litigation environment
  • United States
    • Companies in the United States are subject to punitive penalties in the region of millions of dollars where the courts suspect them of spoliation, e.g. destruction of all emails >60 days old
  • Australia
    • Victoria Australia Crimes (Document Destruction) Act 2006 which covers both “willful and negligent” destruction
  • New Zealand
    • Commerce Commission vs.. Telecom NZ Ltd - costs of discovery are significant and can be shared, US approach is precedent setting

Archives NZ Recordkeeping Forum - Email Records Management

us litigants are interested in everything
US litigants are interested in "everything"
  • Sixth Circuit to Review Order Striking Warrantless Examination of E-Mail MessagesThe Sixth Circuit will soon hear oral arguments on the constitutionality of a federal law that allows the government to access and review stored e-mail messages without a warrant or notice to the account holder. Warshak v. United States, No. 06-4092 (6th Cir, 2006).
  • NCCUSL Promulgates Uniform E-Discovery Rules for State Courts (The National Conference of Commissioners of Uniform State Laws)
    • Source: Pike and Fischer Digital Discovery and e-Evidence: "News and Analysis" newsletter December 13, 2006

Archives NZ Recordkeeping Forum - Email Records Management

how email archiving systems fit into your organisation wide records management programme

How email ‘archiving’ systems fit into your organisation-wide records management programme

OR

Archives NZ Recordkeeping Forum - Email Records Management

the vaults

The Vaults

Archives NZ Recordkeeping Forum - Email Records Management

vaults a simple solution
Vaults - a "simple" solution
  • Let's keep the lot!
    • Every email in/out of mail server
  • What problem(s) are you trying to solve?
  • Not a RK solution, a risk management solution
  • A solution for the organisation,
    • not for users, not for record keepers
  • Can users search for theirs? For other people's?
  • Eliminates “PEBKAC” from decision to retain
  • Definitive proof that you did/didn’t send/receive something

Archives NZ Recordkeeping Forum - Email Records Management

in solving the first problem it creates another huge problem
In solving the first problem, it creates another HUGE problem
  • The RETRIEVAL problem
    • You find too much and it takes too long - and lawyers are very expensive
    • If you've got n lawyers excavating a midden…

Archives NZ Recordkeeping Forum - Email Records Management

slide26

Midden:a deposit of occupational debris, garbage, or other by-products of human activity

Archives NZ Recordkeeping Forum - Email Records Management

recordkeeping issues
Recordkeeping issues
  • Usability
  • Accessibility
  • Authenticity
    • Detect duplicates
    • Prevent tampering
    • Detect real sender identity vs. spoof
    • Preserve metadata: Dates, recipients, read status etc
  • Completeness
  • Comprehensiveness
  • Retention…

Archives NZ Recordkeeping Forum - Email Records Management

what s wrong with keeping all the emails forever
What's wrong with keeping all the emails forever?
  • Privacy legislation
  • Personal emails caught up
  • Emails separated from rest of the organisation's records, so the other records are destroyed but the emails are kept…
  • Burden of retention
  • Burden of retrievability
  • The bigger the basement.....

Archives NZ Recordkeeping Forum - Email Records Management

what s wrong with keeping all the emails forever 2
What's wrong with keeping all the emails forever? (2)
  • The disposal problem
    • No, you can't delete them all after 60 days - spoliation
  • It's back and it's worse
    • because it's all just email separated from other business records
  • Needs a better model

Archives NZ Recordkeeping Forum - Email Records Management

applying a recordkeeping framework to email

Applying a recordkeeping framework to email

Get there one “step” at a time

Archives NZ Recordkeeping Forum - Email Records Management

best approach to records management
Best approach to records management
  • Be explicit about
    • What is created/received
    • How it should be managed
  • Be deliberate in what you do
  • Best approach
    • Have clear policies
    • Follow them
  • Worst approach
    • Have clear policies
    • But don’t follow them

Archives NZ Recordkeeping Forum - Email Records Management

key elements
Key elements
  • "Create and maintain" mantra
  • Have explicit policies and procedures
    • Yes, something else for staff to pay attention to…
  • What problems is your email policy intended to solve?
  • Develop rules for saving

threads and emails

with/without attachments

  • The role of good practice/etiquette

Archives NZ Recordkeeping Forum - Email Records Management

classifying email
Classifying email
  • What is the most important thing in recordkeeping?
    • Context, context, context
  • "Best efforts approach“

Archives NZ Recordkeeping Forum - Email Records Management

if you have an edrms
If you have an EDRMS….
  • And you have the time, and you have the inclination then there's no problem
  • EDRMS are recordkeeping systems
    • Save an email into the correct folder with all the other electronic stuff in there - documents, photos, voice recordings, text messages etc
    • You can still reply to/forward the email etc
    • The folder probably sets the retention
    • For emails you probably can't use document type to set retention
    • For attachments, you might be able to use document type for retention, e.g. Contract

Archives NZ Recordkeeping Forum - Email Records Management

if you have only a directory structure you probably won t save the email into it

If you have only a directory structure, you probably won't save the email into it

Archives NZ Recordkeeping Forum - Email Records Management

how can you classify email in personal email folders
How can you classify email in personal email folders?
  • Set up a standard folder pattern
    • to match other classification structures…….
  • Run email rules to auto move into standard folders
    • If from x organisation, put into x folder "drag and drop"
    • Put Job/project numbers into subject, use rules to move emails containing job number into preset folder
  • External system could harvest/copy
    • from those standard folders
    • Ideally it would mark them as copied
  • User can tag all emails in a folder and manually put them into the EDRMS/directory in a batch

Archives NZ Recordkeeping Forum - Email Records Management

applying retention and disposal rules to email stored in email systems

Applying retention and disposal rules to email stored in email systems

Archives NZ Recordkeeping Forum - Email Records Management

musts
Musts
  • Be able to link to a disposal authority
  • Show that normal business processes were applied
  • Be able to show how destruction is done
    • Do you keep a record of the destruction? And where do you keep that?
  • Have a documented backup regime, with implications for disposal spelled out clearly
  • Must be rules based, ‘if, then…’

Archives NZ Recordkeeping Forum - Email Records Management

transfer emails of archival value
Transfer emails of archival value
  • Out of the email system?
    • No safe place for a record.....
    • E-transfer equivalent to "print and file"
    • Have you destroyed/retained the context?
    • Copy, not move?
    • All relevant emails moved to another context-holding repository, e.g. EDRMS or a data warehouse
  • Permanent storage
  • Retrievable, non-proprietary format
  • VERS compliant/metadata?

Archives NZ Recordkeeping Forum - Email Records Management

summary key themes
Summary/key themes
  • Email is a transmission tool, not a document type
  • Usual RK rules & tools apply
  • Not all emails are worth keeping, some must be destroyed
  • Assume your email is both public & distributed, and make sure everyone is aware of this
  • Have explicit policies and procedures
  • Context is the key to applying rules
  • Email vaults are not archiving/recordkeeping systems
  • Email systems are not recordkeeping systems

Archives NZ Recordkeeping Forum - Email Records Management

summary key themes 2
Summary/key themes (2)
  • Recordkeeping systems preserve the structure, context and content
    • Context-rich
    • Standard formats, retrievable/usable
    • Tamper-proof
    • Retention is rules-based
    • Destruction is itself a record and is rules-based
  • Hope (and pray) for improved auto-classification - in the public arena

Archives NZ Recordkeeping Forum - Email Records Management

thank you

Thank you…

Susan Skudder

Director

SWIM Ltd

susan@swim.co.nz

www.swim.co.nz

Archives NZ Recordkeeping Forum - Email Records Management