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ELECTRONIC MAIL ELECTRONIC MAIL RETENTION & RETENTION & DISPOSITIONDISPOSITION

D. Dawson, CRMD. Dawson, CRMState Records ManagerState Records ManagerDept. of Education & Dept. of Education &

Early DevelopmentEarly Development

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ELECTRONIC RECORD ELECTRONIC RECORD DEFINED UNDER DEFINED UNDER AS 40.21.150(4)AS 40.21.150(4)

Means any information that is recorded in Means any information that is recorded in machine readable form.machine readable form.

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EMAIL IS:EMAIL IS:Recorded information created/received Recorded information created/received

on an electronic mail systemon an electronic mail system

Targeted by lawyers, regulators, Targeted by lawyers, regulators, auditors and investigatorsauditors and investigators

Subject to public information Subject to public information requests and discoveryrequests and discovery

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In the old days, the discovery subpoena had to state In the old days, the discovery subpoena had to state specifically what the lawyers wanted to see.specifically what the lawyers wanted to see.

DISCOVERYDISCOVERY

Now, a more general statement is true:Now, a more general statement is true:

IF IT EXISTS AND SOMEONE ASKS TO SEE IT, THE AGENCY HAS IF IT EXISTS AND SOMEONE ASKS TO SEE IT, THE AGENCY HAS TO PRODUCE IT!TO PRODUCE IT!

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ELECTRONIC MAIL MESSAGESELECTRONIC MAIL MESSAGES[TYPICALLY RECORDS][TYPICALLY RECORDS]

POLICIES & DIRECTIVESPOLICIES & DIRECTIVES

BUSINESS CORRESPONDENCEBUSINESS CORRESPONDENCE

AGENDAS & MINUTES OF MEETINGSAGENDAS & MINUTES OF MEETINGS

ANY DOCUMENT THAT INITIATES, AUTHORIZES OR ANY DOCUMENT THAT INITIATES, AUTHORIZES OR COMPLETES AGENCY BUSINESSCOMPLETES AGENCY BUSINESS

FINAL REPORTS OR RECOMMENDATIONSFINAL REPORTS OR RECOMMENDATIONS

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[[NOTNOT TYPICALLY RECORDS] TYPICALLY RECORDS]

COPIES OR EXTRACTS OF DOCUMENTS COPIES OR EXTRACTS OF DOCUMENTS DISTRIBUTED FOR REFERENCEDISTRIBUTED FOR REFERENCE

PERSONAL MESSAGES NOT RELATED PERSONAL MESSAGES NOT RELATED TO OFFICIAL BUSINESSTO OFFICIAL BUSINESS

PHONE MESSAGE SLIPS & VOICE-MAILPHONE MESSAGE SLIPS & VOICE-MAIL

ANNOUNCEMENTS OF SOCIAL EVENTS, SUCH ANNOUNCEMENTS OF SOCIAL EVENTS, SUCH AS RETIREMENT PARTIES OR CELEBRATIONSAS RETIREMENT PARTIES OR CELEBRATIONS

EMPLOYEE CONVENIENCE COPIES EMPLOYEE CONVENIENCE COPIES

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Provides guidelines and explains records retention Provides guidelines and explains records retention requirements for email messages.requirements for email messages.

SOA ELECTRONIC MAIL RETENTION & SOA ELECTRONIC MAIL RETENTION & RECORDS POLICYRECORDS POLICY

Primary focus is to ensure that use of the SOA email system and administration of public Primary focus is to ensure that use of the SOA email system and administration of public email records is consistent, predictable, and reliable under state and federal law.email records is consistent, predictable, and reliable under state and federal law.

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1. 1. Reduces System CostsReduces System Costs

ZANTAZ: ENTERPRISE ARCHIVE SYSTEMZANTAZ: ENTERPRISE ARCHIVE SYSTEM

2. 2. Facilitates Legal DiscoveryFacilitates Legal Discovery

3. 3. Ensures Retention Compliance: RulesEnsures Retention Compliance: Rules

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Ensure agency complies with AS 40.21 Ensure agency complies with AS 40.21 (State Records Act)(State Records Act) and updates retention and updates retention

schedules older than four yearsschedules older than four years

RESPONSIBILITY:RESPONSIBILITY:

SENIOR ADMINISTRATORS WILLSENIOR ADMINISTRATORS WILL

Ensure staff consistently follow established Ensure staff consistently follow established email policies, procedures and processesemail policies, procedures and processes

Contact AGO prior to records disposal Contact AGO prior to records disposal if legal hold or litigation if legal hold or litigation

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Identify applicable Identify applicable ProgramProgram or or GeneralGeneral records retention schedule; retain as records retention schedule; retain as long as authorized under schedulelong as authorized under schedule

HOW LONG DO I KEEP “RECORD” EMAIL, HOW LONG DO I KEEP “RECORD” EMAIL, INCLUDING ATTACHMENTS?INCLUDING ATTACHMENTS?

AddAdd records series to schedule if necessary records series to schedule if necessary

Archive into Zantaz or print out and Archive into Zantaz or print out and retain for full retention periodretain for full retention period

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Archive email in accord will all Archive email in accord will all policies, procedures or processespolicies, procedures or processes

RESPONSIBILITY:RESPONSIBILITY:

PROGRAM STAFF WILLPROGRAM STAFF WILL

Work with IT technicians/specialists to establish retention rules Work with IT technicians/specialists to establish retention rules in Zantaz and build folders modeled after retention schedulein Zantaz and build folders modeled after retention schedule

Dispose of non-record email and record Dispose of non-record email and record email whose retention has been metemail whose retention has been met

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Official Record RetentionOfficial Record Retention 1 YEAR RETENTION: READING FILES1 YEAR RETENTION: READING FILES 3 YEAR RETENTION: GENERAL CORRESPONDENCE3 YEAR RETENTION: GENERAL CORRESPONDENCE 10 YEAR RETENTION: FELONY CASE FILES10 YEAR RETENTION: FELONY CASE FILES

RETENTION GUIDELINESRETENTION GUIDELINES

Transitory Record RetentionTransitory Record Retention 30-90 DAY RETENTION: NO NEED TO ARCHIVE30-90 DAY RETENTION: NO NEED TO ARCHIVE

Non-Record RetentionNon-Record Retention DO NOT RETAINDO NOT RETAIN

Permanent Record RetentionPermanent Record Retention PRINT & TRANSMIT TO STATE ARCHIVES; OR,PRINT & TRANSMIT TO STATE ARCHIVES; OR, PLACE IN PERMANENT BUCKETPLACE IN PERMANENT BUCKET

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Project Files—5yrProject Files—5yrProject AProject A

Project BProject B

Project CProject C

EXAMPLES:EXAMPLES:

SAMPLE RETENTION FOLDER NAMESSAMPLE RETENTION FOLDER NAMES

General Correspondence—3yrGeneral Correspondence—3yr

ROW Lease Case Files—Permanent ROW Lease Case Files—Permanent

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WHOM TO CONTACT RE EMAIL WHOM TO CONTACT RE EMAIL RETENTION & DISPOSITION:RETENTION & DISPOSITION:

D. Dawson, CRMD. Dawson, CRMRecords Management ProgramRecords Management Programdean_dawson@eed.state.ak.usdean_dawson@eed.state.ak.us