By: David O. Stephens, CRM, FAI
Senior Vice President of Consulting
EMAIL MANAGEMENT
AND RETENTION:
CONSULTING CAPABILITIES
OF ZASIO ENTERPRISES, INC.
Today, more than 20 years after its introduction and widespread
adoption as a means of business communications, the management
and retention of email remains perhaps the biggest single problem in
records management. Zasio helps its clients address these challenges.
Perhaps the major ones are the lack of comprehensive policy guidance
for employees and the variable practices that result, discretionary
message deletion, indefinite message retention, ediscovery and
other legal risks, and related issues and problems.
Zasio’s consulting practice provides solutions to these problems. Our recommended solutions consist of two main components: 1) a new policy for email management/retention; and 2) where needed, a new tool for the implementation of this policy―a new email archiving solution. Both are designed for practicality and ease of implementation by all employees, as well by your IT staff.
RECOMMENDED EMAIL POLICY
Zasio’s recommended email management policies typically consist of the following components:
Policy goals and objectives
Retention rules for email
Employee responsibilities for email retention
Official vs. duplicate copies of email messages
THE RETENTION OF EMAIL: A THREE-RULE MODEL
Zasio’s recommended retention policies for email are typically formulated on the basis of three rules:
Rule 1 – Email of Routine Business Value
In its consulting practice Zasio Enterprises, Inc. often recommends three years as the shortest advisable retention period for messages and attachments of “routine” business value. The rationale for this retention period is as follows:
To be considered legally acceptable, an organization’s retention practices must be
reasonable for the types of records involved and for the circumstances in which the records are used. In records management work, three years is widely regarded as a reasonable minimum retention period where a longer period is not required by law and a shorter period cannot be confirmed as permissible.
There is some basis for this in U.S. statutory law. According to the Uniform Preservation of
Private Business Records Act (UPPBRA), business records can be discarded after three years unless a longer time period is required by law.
The Uniform Preservation of Private Business Records Act has been adopted in the following
states: Georgia, Illinois, Maryland, New Hampshire, Oklahoma, and Texas.
Federal regulations associated with the Paperwork Reduction Act (44 US Code 3501 et
seq.) recognize three years as a reasonable record retention period. As specified in CFR 1320.5(d)(2)(iv), the Office of Management and Budget provides a default retention period of three years, subject to exceptions, for federal government records that do not have a retention period mandated by other laws or regulations.
Legal considerations aside, many employees have an operational need to access email
The three-year recommendation conforms to prevalent business practices. The National
Association for Corporate Directors, for example, specifies a three-year retention period for general business correspondence, the paper counterpart of email.
It should be noted that there is no general provision in U.S. law mandating the retention of email as a form of business communications for any specified period of time; thus, users of this technology are at liberty to devise reasonable retention rules for email based on cost / risk / benefit or other business considerations. There are, however, some laws and regulations that address email as a communications medium in certain specific business environments. Regardless, we assist our clients in devising a set of retention rules for email of routine business value that would be defendable as reasonable should these rules become subject to legal scrutiny.
Rule 2 – Email of Transitory Value
It is important to note that the three-year minimum retention policy does not apply to all email. Messages of “transitory” value can and should be discarded in a shorter time frame – immediately after reading in many cases. Further, any message received as a copy can and should be discarded at the earliest opportunity. If it is technically practical, the organization can impose a short maximum retention period – one year, for example – for such copies.
Rule 3 – Email of Long-term Retention Value
At the other extreme, some email messages possess business value for periods of time exceeding three years. Examples include messages the content of which is material to the terms and conditions of contracts, messages related to projects of long duration, etc. These emails should be preserved in designated, approved repositories for the requisite lengths of time. Regardless, the organization’s retention rules should contain clear guidance as to these “exceptions” to the three-year retention rule.
EMAIL ARCHIVING SOLUTIONS
In order to achieve the implementation of the foregoing retention rules, the implementation of an email archiving software solution may be required, particularly in the larger organizations. Zasio can assist your company in selecting an email archiving solution that addresses the following aspects of email management:
Features and functions of various software solutions
Folders and subfolders
PST files: Restrictions or prohibitions
Message transfer, storage and deletion
Employee access to archived messages
Implementation issues
If an email archiving solution is not desired or required by your organization, Zasio’s consultants can help you achieve your email goals within the framework of your existing technology environment.
COMPLIANCE WITH INTERNATIONAL MANDATES
It should be noted that the above aspects of email retention are reflective of the situation in the United States. Zasio has expertise in the international mandates pertaining to the management and retention of email. Our global footprint currently extends to 107 countries.
RECORDS & DOCUMENT MANAGEMENT EXPERTS
Zasio Enterprises, Inc. is one of the nation’s leading records management software and consulting companies. The firm was founded based on one vision: to provide organizations in both the public and private sector with affordable computer software that establishes total life cycle management and control over their records. In 1995, the company extended the range of its records management services when it established its Records Management Consulting Division. The
Contact the Zasio Records
Management Consultants at:
Management: Guidelines for the Selection of Retention Policy,” Sedona Conference Journal, vol. 8, pp. 240 (Fall 2007).
2New Hampshire Statutes, Title 31, Chapter 337-A:2; Maryland Code, Title 1, Paragraph 1-304;
Oklahoma Statutes, Title 67, Paragraph 252; Georgia Code Annotated, Title 10, Paragraph 10-11-2’ Texas Business and Commerce Code, Chapter 35.48(b); Illinois Compiled Statutes, 805 ICLS 410.2
