managing the retention of electronic records ann marie przybyla electronic records symposium region...
TRANSCRIPT
Managing the Retention of
Electronic Records
Ann Marie PrzybylaElectronic Records SymposiumRegion 9, November 2007
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 #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