Managing the Retention of Electronic Records Ann Marie Przybyla Electronic Records Symposium Region 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 #1 New 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 #2 General 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 #3 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 Identifying permanent Managing non-permanent

Case Study #4 Madison 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.