Electronic Records and Electronic Records and Managing E-mailManaging E-mail

Electronic RecordsElectronic Records

Connecticut Uniform Electronic Transactions Act Connecticut Uniform Electronic Transactions Act (CGS (CGS §1-266§1-266 to 1-286) to 1-286)

§1-267 §1-267 (7) d(7) defines “electronic record,” to include e-mailefines “electronic record,” to include e-mail

§1-267 §1-267 (8) r(8) regulates electronic transactions and egulates electronic transactions and signaturessignatures

§§1-282 e1-282 extends the authority of the Office of the Public xtends the authority of the Office of the Public Records Administrator to include electronic recordsRecords Administrator to include electronic records

§§1-283 allows for e1-283 allows for each agency to decide whether or not ach agency to decide whether or not to accept electronic transactionsto accept electronic transactions

Managing Electronic RecordsManaging Electronic Records

The same records management The same records management principles apply to electronic records as principles apply to electronic records as paper recordspaper records

The The contentcontent of the record determines of the record determines whether or not it is a record, what records whether or not it is a record, what records series it belongs to, and how long it should series it belongs to, and how long it should be retained, e.g., e-mailbe retained, e.g., e-mail

Managing Electronic Records:Managing Electronic Records:Issues and ChallengesIssues and Challenges

Migration of data / informationMigration of data / information

Technological obsolescence, e.g., hardware, system, Technological obsolescence, e.g., hardware, system, softwaresoftware

Multiple digital formats, e.g., database, document, Multiple digital formats, e.g., database, document, spreadsheetspreadsheet

Inventory control, e.g., multiple copiesInventory control, e.g., multiple copies

Growth in size / scope of informationGrowth in size / scope of information

Complexity of digital filesComplexity of digital files

Systems backupSystems backup

Digitization / Optical ImagingDigitization / Optical Imaging

Maintaining long-term records in a format that is Maintaining long-term records in a format that is human-readable, i.e., paper or microfilmhuman-readable, i.e., paper or microfilm

Managing E-mailManaging E-mail

Follow policies and proceduresFollow policies and procedures

Apply records retention schedulesApply records retention schedules

Be proactive!Be proactive!

Manage your own e-mail on a consistent Manage your own e-mail on a consistent and active basisand active basis

Managing E-mail:Managing E-mail:State PoliciesState Policies

General Letter #2009-2: General Letter #2009-2: Management and Management and Retention of E‐mail and other Electronic Retention of E‐mail and other Electronic MessagesMessages Establishes retention guidelines for electronic Establishes retention guidelines for electronic

messages, including e-mail, IM, text messages, including e-mail, IM, text messaging, and voice mailmessaging, and voice mail

StateState Agencies’ Records Retention Agencies’ Records Retention Schedule S1: Administrative RecordsSchedule S1: Administrative Records Lists retention periods and dispositionLists retention periods and disposition

www.cslib.org/publicrecords/opraforms.htm#guidelines

Managing E-mail:Managing E-mail:Retention GuidelinesRetention Guidelines

E-mail should be treated as E-mail should be treated as correspondencecorrespondence

Retention categories:Retention categories: TransitoryTransitory RoutineRoutine All OtherAll Other

Managing E-mail:Managing E-mail:Retention Guidelines Retention Guidelines (Cont.)(Cont.)

Transitory Correspondence (S1-060):Transitory Correspondence (S1-060): Retention: Retention: No requirementNo requirement

Disposition: Disposition: Destroy at willDestroy at will

Description: Description: Consists of transitory records that Consists of transitory records that have short term administrative value (e.g., have short term administrative value (e.g., transmittal faxes/memos and out of office transmittal faxes/memos and out of office replies, and convenience copies that are replies, and convenience copies that are distributed for information purposes). Includes distributed for information purposes). Includes hard copy and electronic formats.hard copy and electronic formats.

Managing E-mail:Managing E-mail:Retention Guidelines Retention Guidelines (Cont.)(Cont.)

Routine Correspondence (S1-070):Routine Correspondence (S1-070): Retention: Retention: 2 years from date of 2 years from date of

correspondencecorrespondence

Disposition: Disposition: Destroy after receipt of signedDestroy after receipt of signedForm RC-108Form RC-108

Description: Description: Consists of routine incoming Consists of routine incoming correspondence, and copies of outgoing correspondence, and copies of outgoing correspondence for internal and external correspondence for internal and external audiences; general requests; and Freedom of audiences; general requests; and Freedom of Information Act (FOIA) requests. Includes hard Information Act (FOIA) requests. Includes hard copy and electronic formats. copy and electronic formats.

Managing E-mail:Managing E-mail:Retention Guidelines Retention Guidelines (Cont.)(Cont.)

All Other Correspondence (S1-090):All Other Correspondence (S1-090):

Retention: Retention: Follow retention of equivalent records Follow retention of equivalent records series series

Disposition: Disposition: Follow disposition of equivalent Follow disposition of equivalent records series records series

Description: Description: Consists of correspondence other Consists of correspondence other than transitory or routine, e.g., for than transitory or routine, e.g., for correspondence related to a fiscal transaction, correspondence related to a fiscal transaction, refer to S3-010, “3 years, or until audited, refer to S3-010, “3 years, or until audited, whichever is later.” Includes hard copy and whichever is later.” Includes hard copy and electronic formats.electronic formats.

Managing E-mail:Managing E-mail:Filing and ClassificationFiling and Classification

E-mail systems are not designed to be E-mail systems are not designed to be filing systemsfiling systems

Filing and classification is often determined Filing and classification is often determined by the userby the user

Files created by users are generally Files created by users are generally outside of the agency filing systemoutside of the agency filing system

Managing E-mail:Managing E-mail:Individual Best PracticesIndividual Best Practices

Follow best practices for writing and Follow best practices for writing and sending e-mail:sending e-mail: Use short, accurate, and descriptive subject Use short, accurate, and descriptive subject

lineslines Point to links instead of attaching filesPoint to links instead of attaching files Use copying and forwarding sparinglyUse copying and forwarding sparingly

Don’t let transitory e-mail accumulateDon’t let transitory e-mail accumulate Review daily, weekly, and monthlyReview daily, weekly, and monthly

Don’t forget to manage sent mailDon’t forget to manage sent mail

Managing E-mail:Managing E-mail:Individual Best PracticesIndividual Best Practices (cont.) (cont.)

Utilize functions in your e-mail system to Utilize functions in your e-mail system to tag and categorize e-mailtag and categorize e-mail Establish rules to direct specific messages to Establish rules to direct specific messages to

specific folders as they arrivespecific folders as they arrive

Set up folders to manage e-mailSet up folders to manage e-mail If using subject folders, they should match If using subject folders, they should match

your office filing system, oryour office filing system, or Label the folders based on retention period Label the folders based on retention period

or topicor topic Use available software tools, e.g., colorUse available software tools, e.g., color