Section 6: Managing Email Records
Anchor: #i1036949Managing Email Records
Email messages created or received using TxDOT resources and/or during TxDOT business that are associated with the records retention requirements are considered official records. Most email records have a short-term value. Because of volume, email presents a potentially expensive liability in terms of discovery or open records requests.
CAUTION: Email can be considered an official record and should be defined by its content according to the Records Retention Schedule.
Records Management best practices recommends emails which are considered official records should be memorialized or produced, transcribed, and preserved on a government-designated storage location. Email folders and their contents are routinely eliminated when employees depart.
In the absence of technology-based enterprise email and electronic records management applications, management of email records must begin with basic techniques that include organization of the records, employee training, and establishment of routine management procedures. Reliance on manual methods of email management is the least desirable approach, but lack of technological solutions should not deter efforts to responsibly manage these records.
Anchor: #i1036983Classifying Email
The first step in managing email is classifying messages and/or their attachments in one of three categories: transitory, non-transitory, or executive (administrative).
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- Transitory email messages have content of temporary usefulness and do not need to be regularly filed in a record keeping system. Transitory messages may be needed for a limited period for the completion of a task or action. Examples include routine messages that do not fulfill statutory obligations or document specific agency (business) transactions or functions, such as meeting notices or transmittals that add nothing of value to attachments.
For a definition of transitory information please refer to the Records Retention Schedule per Agency Item Number ADM05. Transitory information can be deleted from the email system once the usefulness has been completed. The disposal of transitory information does not require a 1420 Records Destruction Form.
CAUTION: Records involved in an audit, investigation, litigation holds, or open records request must be retained in their native format and cannot be destroyed until the conclusion of the action involving those records.
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- Transaction-related email messages such as memos or reports, relate to specific business functions or transactions much be filed with the appropriate Agency Item Number. The content or properties of this email document fulfillment
Transaction-related email messages that are considered non-transitory will fall under other record series per the Records Retention Schedule. All non-transitory information should be memorialized or produced, transcribed, and preserved on a government-designated storage location.
Some examples of non-transitory information in the Records Retention Schedule include Building Construction Project Records (DEC02) and Building Plans and Specifications (DEC03).
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- Executive
or Administrative email messages are typically subject
to State Archives review per the Records Retention Schedule, Agency
Item Number ADM01. Requirements include communications at executive
or program administration levels of the agency operations that document:
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- Fulfillment of statutory obligations, Anchor: #JFYIMYUW
- Policy or procedural development or implementation, and/or Anchor: #SFJLGGJA
- Program administration transactions or functions, including formulation, planning, implementation, interpretation, modification or redefinition of programs, and services or projects and the administrative regulations, policies and procedures that govern them.
Capturing Email for Retention
Best practices in email management include transferring or preserving the email on a government-designated storage location in accordance with the Records Retention Schedule. OnBase is the preferred repository for managing electronic content as it has the retention functionality built in. OnBase can be integrated with Outlook.
Unmanaged email represents a significant risk to any organization. Some simple common-sense measures used in concert with the techniques for email management can help reduce the expense involved in searching emails for discovery or open records requests.
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- Dispose of purely transitory emails as soon as they have served their purpose. Anchor: #RLASMDTC
- Limit the number of recipients to as few as possible and avoid replying to “All Recipients” unless needs require it. Anchor: #MQGUKBSH
- Include specific identifying information such as Right of Way (ROW) Parcel Number, County CSJ Number, Purchase Order Number, etc. in the subject line. Anchor: #LFAHJYTP
- It is essential to save email messages as the individual conversation string is completed during workflow.
In a situation of a legal hold or open records request emails and other electronically stored information must be preserved electronically in the same medium and application in which the information was created, received, or otherwise exists, without alteration or destruction of any related information, such as required metadata.
NOTE: An open records request or litigation hold notice requires retention of all metadata associated with email. (Contact Office of General Counsel for the Litigation Hold Process)