Managing records in e-mail systems.

• Position: Electronic Communication and Networks

Editor's note: This article presents excerpts of a booklet - published by the New York State Archives and Records Administration - that provides guidelines for developing policies and establishing procedures for effective management of records created and captured in electronic-mail systems.

An increasing number of state agencies use electronic mail (e-mail) systems to distribute memos, circulate drafts, disseminate directives, transfer official documents, send external correspondence, and support various aspects of their operations. Well-designed and properly managed e-mail systems expedite business communications, eliminate paperwork, and automate routine office tasks. The opportunities for cost savings and increased efficiency are lost, however, if e-mail systems and the electronic documents they handle are not managed effectively.

E-mail messages are official records when they are created or received in the transaction of public business and retained as evidence of official policies, actions, decisions, or transactions. E-mail messages that are kept because they contain valuable informational content are also records. One of the greatest challenges of managing e-mail effectively is to ensure that all records which originate or are transmitted through the system are identified, retained, and managed properly. Records should be readily available and accessible to all authorized users when they need them and in a useable format. This means that the identity, purpose, and location of records are predictable, consistent, and reliable; methods for access and retrieval are simple and well-defined; and records management practices are incorporated into day-to-day business activities.

E-mail Policies

Agency policies should establish general guidance on the use of e-mail to conduct official business, on access and privacy protection of e-mail messages, and on management and retention of e-mail. Policies should define proper use of e-mail and set limits on personal use. Agency e-mail policies must comply with the Freedom of Information Law (FOIL) and the Personal Privacy Protection Law (PPPL) because information created or stored in e-mail systems is considered a record for the purposes of both laws. Policies should inform users that e-mail messages sent or received in conjunction with government business

* may be accessed and monitored by system administrators, supervisors, and support staff;

* may be releasable to the public under FOIL;

* may require special measures for privacy protection to comply with the PPPL; and

* are subject to discovery proceedings in legal actions.

Management and Retention of Records. The management and retention of e-mail records are subject to state records management laws and regulations. Agency policies should inform e-mail users that official records communicated through e-mail systems must be identified, managed, protected, and...