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Electronic and Voice Mail 2.0
A Management Guide
for Maine State Government
This document provides guidance to agencies regarding the record status
of, and management approaches to, e-mail in Maine state government. It
outlines legal requirements, types of records, and practical management
options.
The transition from binding retention schedules adopted by the
Archives to effective records management in the office is difficult enough
with paper. In the electronic world, the challenge is often greater. This
Guide is intended to ease that transition from formal mandate to practical
application.
CONTENTS
What Is E-Mail?
E-mail is just another form that state records come in these days:
paper, microform, photographic, audio/video tapes, motion picture film,
and, yes, computer files. Formally, it is a document created or received
on an electronic mail system including brief notes,
more formal or substantive narrative documents, and any attachments, such
as word processing and other electronic documents, which may be transmitted
with the message.
E-mail received or created (incoming or outgoing) in the course
of state business is an official public record.
Depending on the topic, it may or may not be a confidential record
under the Freedom of Access Act (FOAA). In any event, since no official
public records may be destroyed unless authorized, clear authorization
and a practical management system are essential to insure the proper disposition
of official e-mail records. Some e-mail (personal messages, junk mail,
publications) are not records and may be deleted at any time.
How Long Should I Keep E-Mail?
Just as long as you would keep any other mail! E-mail is subject
to the same retention requirements as is paper correspondence. The Archives’
General Schedule (covering records in all agencies) establishes retention
periods for correspondence, regardless of media.
While destruction is strongly recommended at the end of the retention
period, each agency may determine when actual destruction is appropriate
after the expiration of the retention period. These policies are no different
from what has been in place for years. What is new is our attempt to properly
manage one segment of the new electronic records environment.
Non-permanent retention is based completely on the record’s
time-value to the business functions of the agency, including audit or
other statutory requirements, and reasonable access by interested parties.
Permanent retention is based on the record’s value after it no longer
serves the agency’s business.
Generally, senior administrators through the division director
level have a greater proportion of permanently valuable e-mail, given its
greater degree of policy content. The vast majority of state employees
will have little, if any, e-mail requiring permanent retention.
Why Should I Care How Long I Keep It?
To make your life easier!
If you can delete unneeded e-mail with a clear conscience, you
can more easily find what you’re looking for, especially if you have popped
the keepers in convenient folders or mailboxes.
Organizing and managing e-mail (and other files) will save space,
provide more efficient access, maintain confidentiality where
needed, reduce legal exposure in "discovery" proceedings on records
that properly should have been destroyed.
It also limits your own liability for deleting records
you shouldn't, and gives you authority to delete those files you
should delete. NOTE: When an employee leaves a position, computer files,
including e-mail, may NOT be automatically deleted!
Since deletion must follow the applicable retention schedules,
proper management of files will make this task easier. (Be sure the user's
password - for local files as well as network access - is deposited and
updated with your systems administrator or other designated person.)
Not all e-mail systems provide automatic backup of your correspondence.
Those that do are not substitutes for the user's file management, since
backups are destroyed periodically and they do not distinguish topics or
retention periods.
What About Voice Mail?
In a sense, voice mail (including answering machine messages) is a type
of e-mail. In this case, the electronic system produces the messages in
an audible, rather than in a visual, form.
Overwhelmingly, voice mail messages meet the test of non-record
material and may be legally deleted at will.
However, keep in mind the possibility that special circumstances
may apply requiring some limited retention. Some examples include the following:
potential evidence in legal proceedings (bomb threats, reports of illegal
activities); customer complaints about agency policy or service; oral authority
by a supervisor to take certain action, with no written back-up, which
may be important to retain.
Any uncertainties should be reviewed with supervisors, Records
Management Services staff, or other appropriate authorities. In most cases,
certified transcription to a readable format would allow deletion of the
voice message. These are, of course, very special circumstances, mentioned
here only to alert you to their possible occurrence.
O.K. What do I do?
Follow the advice in the rest of this Guide. Then, if you have any
questions about the retention requirements of specific records, contact
the Archives’ Records Management Services Division at 287-5798 for help.
Basically, it’s pretty simple. The easiest way to manage the retention
and deletion of e-mail is to separate it as much as possible by broad category,
by topic and then by year. When the witching hour arrives, simply
delete the mailbox or folder containing the outdated records. You can have
as many subdivisions as suits your workstyle, but at least separate the
major categories and attach a year to them.
As outlined below, first figure out what in your e-mail are non-record
materials; create special mailboxes for them; then delete them any time
you want.
Second, identify how long you should keep non-permanent
records. Finally, identify those records that should be retained permanently;
when they are due to go to the Archives, follow the recommended guidelines.
Non-Record materials-Delete at Will!
The following are materials (not records) that may be deleted at any time,
unless they become part of some official record as a result of special
circumstances.
Personal Correspondence
Any e-mail not received or created in the course of state business, may
be deleted immediately, since it is not an official record: the "Let’s
do lunch" (not a State-business lunch) or "Can I catch a ride home" type
of note.
Notices Not Maintained
Since a document must be maintained by, or in the custody of, an agency
to be an official record, notices with no business value after receipt
and review, which are routinely discarded, are non-record material.
These include the following:
-
incoming transmittal messages (like cover letters): "enclosed (attached)
find copies of . . ."
-
internal office announcements: "Ms. Jones is here to see you, boss", "Joe
Smith called, please call back", "Is this afternoon’s meeting still on?"
Publications
Publications, promotional material from vendors, and similar materials
that are "publicly available" to anyone, are not official records
unless specifically incorporated into other official records. In the electronic
world, this includes listserve messages (other than those you post in your
official capacity), unsolicited promotional material ("spam"), files copied
or downloaded from Internet sites, etc.
These items may be immediately deleted, or maintained in a "Non-Record"
mail box and deleted later, just as you might trash the unwanted publication
or promotional flyer.
However, if you justify the purchase of a Zippo Filing
System by incorporating the reviews you saved (from the File Manager
Listserve) in your proposal to your boss, those listserve messages become
official records and must be retained in accordance with the retention
schedule for purchasing proposals.
Nevertheless, the vast majority of items one stores in the 'Non-record"
mailbox never become official records and may be destroyed at will.
Official Records - Retain as Required
Non-Permanent Retention
Short-Term Retention - Retain for 60 days, then Delete
This transitory correspondence, while part of state government business,
is purely informational with a very short time value, and includes the
following:
Employee Activities
notices of employee activities: holiday parties, softball games, etc.
invitations and responses to invitations to work-related events
Routine Business Activities
thank-you’s: "thanks for the copy of ..."
requests for information from the public
outgoing transmittal messages (like cover letters): "enclosed
(attached) find copies of . . ."
replies to questions: "we’re open 8 to 5", "our address is . . .", "the
deadline is . . "
Intermediate Retention - Retain According to Schedule
These records are specified either in the "General Schedule" for all agencies,
or the agency’s specific retention schedules. (See examples in Appendix
II and Appendix III.)
If they are not clearly specified, consult your agency Records
Officer for clarification; obtain further guidance from the State Archives’
Records Management Services Division: 287-5798 or Barry.Marshall@maine.gov.
Permanent Retention
Retain until Archival Copies are Made
E-mail documenting state policy or the policy process is a prime candidate
for permanent retention. Check your official retention schedules or
contact the Archives’ Records Management Services Division.
Records with permanent value include but are not limited to the
following: 1) documentation of state policy (laws, rules, court decisions),
2) documentation of the policy process (minutes of meetings, transcripts
of selected hearings), 3) protection of vital public information (births,
deaths, marriages; corporate charters; critical environmental data and
reports).
An E-Mail Management System
Mailboxes
In addition to the IN and OUT boxes which come with your mail system, you
have the option of creating other "mailboxes" or "folders". After brief
periods in your IN-OUT boxes, messages should be transferred to other boxes,
based on business and retention requirements. Here are some mailbox suggestions:
-
Personal E-Mail [Delete at will]
-
Non-Record Material [Delete at will]
-
Transitory E-Mail [Delete after 60 days]
-
Intermediate E-Mail [Delete by schedule]
-
Permanent E-Mail [Delete only when permanent copy is made]
Examples
The examples in Appendixes II and III refer to correspondence-like electronic
communications only: that is, e-mail that functions like letters, memos,
notices, etc. As other business is performed electronically (purchase orders,
time slips), refer to specific records retention schedules for guidance.
Ask your Records Officer for the details or consult the listing of all
agency retention schedules on the Archives’ Internet Web site at the following
location:
http://www.state.me.us/sos/arc/guide/guidintr.htm
Distribution Lists
If you send to a "distribution list" (not a listserve, but a specified
list of individuals), you must also keep a copy of the members of that
list for as long as you are required to keep the message itself. It is
of little value to know that the "Security Alert!" notice went to "Swat
Team 7", without knowing whether Arnold S. received the message. Nicknames
present a similar problem.
Subject Lines
Fill in the Subject line on your e-mail both to help your recipient identify
and file messages, and to help you file your OUT box messages that must
be retained for some period.
Frequently Asked Questions . . . . .
About E-Mail Retention
Can I Print Messages, then Delete Them?
Yes, provided you print the following information with the message:
name of sender, name of recipient, date and time of transmission and/or
receipt. You then retain the printed message according to the appropriate
records retention schedule, file them as suits your business needs, and
destroy or transfer them to the Archives, depending on the schedule.
What about draft documents that undergo several revisions?
Draft documents or working papers that are circulated via e-mail, that
propose or evaluate high-level policies or decisions and provide unique
information that contributes to the understanding of major decisions of
the agency should be preserved permanently.
Other drafts circulated for comment, which demonstrate significant
revisions in the view of the author, should be scheduled as is the final
product. Uncirculated drafts may be destroyed at will by the author.
What do I do with attachments I receive with e-mail?
File them with other electronic documents on your PC or network and
apply the appropriate retention schedule. The principles of directory and
file organization used in e-mail should be followed for content files (documents,
databases, spreadsheets). If you have a PROJECTS\WORKFLOW\2000 folder in
your e-mail system, you probably should have a similar one for related
PC files. Attachments relevant to that project can be transferred to that
directory.
What about multiple copies of the same document?
If another agency has responsibility for keeping a record
copy, and if you have no business need to retain it, the document is
simply a duplicate copy and subject to deletion/destruction at will.
However, if the minutes of a meeting provide you with the authority
to travel to Tahiti for a special seminar, definitely incorporate it into
your "Effects of Sun on New Englanders" project files. You may need it.
So, minutes of meetings you attend may be destroyed at will. The secretary
or other responsible person in the organization, committee or task force
must retain the minutes permanently.
Where can I get help to organize my e-mail mailboxes & folders?
The Archives Records Management Services Division will offer general
training as part of its ongoing Records Officer training workshops. Our
Records Management Analyst will also respond to particular requests for
assistance in organizing your electronic files - PC-based as well as e-mail.
Functional Requirements for Recordkeeping Systems
These general guidelines should be considered by state agencies as they
approach the management of automated office records, including e-mail:
-
Recordkeeping systems must allow for the grouping of related records, to
insure their proper context.
-
Recordkeeping systems must make records accessible to authorized staff,
to insure their usefulness to the agency.
-
Recordkeeping systems must preserve records for their authorized retention
period, to insure their availability for agency use, to preserve the rights
of the government and citizens, and to allow agencies to be held accountable
for their actions.
Implementation Schedule
This statement of policy reflects current retention requirements. Users
of e-mail systems should have a management system in place to insure against
inadvertent violations of records retention requirements.
Appendix I
Definitions
-
Electronic information system
A system that contains and provides access to computerized records
and other information.
-
Electronic mail system
A computer application used to create, receive, and transmit messages
and other documents. Excluded from this definition are file transfer utilities,
databases and word processing documents not transmitted on an e-mail system.
-
Electronic mail message
A document created or received on an electronic mail system including
brief notes, more formal or substantive narrative documents, and any attachments,
such as word processing and other electronic documents, which may be transmitted
with the message.
-
Electronic recordkeeping system
An electronic system in which records are collected, organized, and
categorized to facilitate their preservation, retrieval, use, and disposition.
-
Record
All documentary material, regardless of media or characteristics, made
or received and maintained by a state or local government agency in accordance
with law and rule or in the transaction of its official business.
-
Record Copy
A single copy of a record retained by its custodian as the official
record of a government transaction and in accordance with the appropriate
records schedule. All other copies are duplicate copies, held for convenience,
and may be destroyed.
-
Records Schedule
A listing of records retention periods formally adopted by the Archives
Advisory Board and binding on all government employees.
-
Transmission and receipt data
-
Transmission data. Information in electronic mail systems regarding
the identities of sender and addressee(s), and the date and time messages
were sent.
-
Receipt data. Information in electronic mail systems regarding date
and time of receipt of a message, and/or acknowledgment of receipt or access
by addressee(s).
Appendix II
Bureau Director’s Mailboxes
Example . . . . . . .
Personal E-Mail
Family
1996 [Delete at will]
1997 [Delete at will]
Colleagues
1996 [Delete at will]
1997 [Delete at will]
Non-Record Material
Filing System Ideas, Reviews
1996 [Delete at will]
1997 [Delete at will]
National Association of Bureaucrats Newsletter
Meeting Notices
1996 [Delete at will]
1997 [Delete at will]
Position Announcements
1996 [Delete at will]
1997 [Delete at will]
Frequently Used E-Mail Addresses
[Delete at will]
Transitory E-Mail
[Delete messages after 60 days or the whole annual
mailbox 60 days after the new year (March 2nd)]
Employee Activities
Bureau Employees
1996
1997
All State Employees
1996
1997
Routine Business
Transmittal of Attachments
1996
1997
Requests/Replies: Standard Information
1996
1997
Requests/Replies: Widget License Applications
1996
1997
Intermediate E-Mail
Inter-Department Correspondence [2years]
1996 [Delete 1/1/99]
1997 [Delete 1/1/00]
Appendix III
Other Correspondence Schedules
Intermediate - General Schedule
Vendor Series [GS#1, item 7, 3 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Accounting Series [GS#2, item 9, 3 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Payroll Series [GS#3, item 7, 3 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Income Series [GS#4, item 7, 3 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Budget Series [GS#5, item 3, 4 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Inventory Series [GS#8, item 6, 5 years]
FY 1997 [Delete 7/1/00]
FY 1998 [Delete 7/1/01]
Intermediate Agency Schedules - Examples
Department of Agriculture, Food and Rural Resources
Agricultural Marketing
General Correspondence Regarding Promotions [3 years]
1997 [Delete 1/1/01]
1998 [Delete 1/1/02]
Agricultural Production
General Correspondence Regarding Promotions [3 years]
1997 [Delete 1/1/01]
1998 [Delete 1/1/02]
Animal Industry General Correspondence [3 years]
1997 [Delete 1/1/01]
1998 [Delete 1/1/02]
Professional and Financial Regulation
Banking Bureau
Financial Institution Correspondence [6 months]
[Delete as convenient, items over 6 months old]
Inter-Department Correspondence [2 years]
1997 [Delete 1/1/00]
1998 [Delete 1/1/01]
Most agencies keep these records by fiscal year as shown in the example. Calendar
year retention is fine if the required period is met.
End Note
A major element in the definition of a public record is that it documents
an official transaction. The Freedom of Access Act defines a public
record as "any written, printed or graphic matter or any mechanical or
electronic data compilation from which information can be obtained . . . that
is in the possession or custody of an agency or public official of this State
or any of its political subdivisions . . . " with specific exceptions for
confidentiality purposes. [1 MRSA 402 (3)]
The Archives and Records Management law [5 MRSA 92-A (5)] has similar
language, defining a record as meeting the same criteria,
without regard to confidentiality. Another section [95 (10-B)] authorizes
the establishment of standards "concerning computerized and auxiliary automated
information handling" necessary to the preservation of essential records.
Administrative rules affecting all state and local government agencies,
adopted by the Archives, define records as "all documentary material, regardless
of media or characteristics, made or received and maintained by a [state
or local] government agency in accordance with law and rule or in the transaction
of its official business".
Thus, e-mail sent or received and kept for official business is a record,
and must be retained for periods established by the State Archives, in cooperation
with government agencies.
Final Comments
This Guide will be updated periodically to reflect changes in the State’s
e-mail capabilities" (including possible automatic central storage through
true "electronic recordkeeping systems"), and to clarify
questions posed by users.
Send questions and comments to Records Management Services, Analysis
Section, 84 State House Station, Augusta, ME 04333. Phone: 287-5799; FAX:
287-5739; E-Mail: Nina Osier
or contact her at 287-5799.
Go
to Archives Homepage.
Page Updated May 13, 2003
