Managing the Retention of

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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
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Managing the Retention ofElectronic RecordsAnn Marie PrzybylaElectronic Records SymposiumRegion 9, November 2007Goal
  • 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
  • Manage electronically and centrally
  • Implement schedules and standards at creation
  • Develop classification system
  • Simplify retention as much as possible
  • Preserve and destroy records appropriately
  • 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?
  • 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
  • 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.
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