Jesse Wilkins March 24, 2009 Identifying and Classifying Email Messages as Records

IDENTIFYING AND CAPTURING MESSAGES

Cost of capturing everything Cost of storage Cost to find messages when needed Cost to manage storage and backups Cost to restore messages Cost of discovery later Risk of inadvertent disclosure

Cost of storage

Cost to find messages when needed

Cost to manage storage and backups

Cost to restore messages

Cost of discovery later

Risk of inadvertent disclosure

Capturing email records Not everything needs to be captured Capture messages that have value Keep them according to records program Remember that others may have copies

Not everything needs to be captured

Capture messages that have value

Keep them according to

records program

Remember that others may

have copies

Capturing email messages May need to capture…. Messages themselves Read receipts Bounced messages Attachments All of these could be records Even if they are not records they must be managed

May need to capture….

Messages themselves

Read receipts

Bounced messages

Attachments

All of these could be records

Even if they are not records

they must be managed

Other information objects Many also need to capture…. Calendar items and appointments Task items Notes Contacts

Many also need to capture….

Calendar items and appointments

Task items

Notes

Contacts

Where to find email on the client In the Inbox In personal folders in the Inbox In Sent folder In Deleted folder In the Junk folder As individual messages on the PC In .PST or .NSF files

In the Inbox

In personal folders in the Inbox

In Sent folder

In Deleted folder

In the Junk folder

As individual messages

on the PC

In .PST or .NSF files

Where to find email on the server In the email server itself In an email archiving application In an ECM or ERM system On backup or archival media On the J: drive In other peoples’ email accounts

In the email server itself

In an email archiving application

In an ECM or ERM system

On backup or archival media

On the J: drive

In other peoples’ email accounts

Other email storage locations Printed On removable storage devices On home PCs and laptops On PDAs and smart phones In home or personal email accounts In commercial web-based email accounts Outside the organization

Printed

On removable storage devices

On home PCs and laptops

On PDAs and smart phones

In home or personal email accounts

In commercial web-based email accounts

Outside the organization

Email capture decision flow Source: AIIM Email Certificate Program

Who captures the message? YOU have to capture an email: You receive from outside the organization You send, either internally or to someone outside the organization Designate someone to capture messages sent to groups/lists

YOU have to capture an email:

You receive from outside the organization

You send, either internally or to someone outside the organization

Designate someone to

capture messages sent to groups/lists

Capturing attachments Attachments can be any type of file format Attachments can be quite large Attachments can be records themselves

Attachments can be any type of file format

Attachments can be quite large

Attachments can be records themselves

Capturing attachments cont’d Most email management solutions can capture attachments As part of the message Separate from message but linked Separate and not linked Attachments must be managed appropriately

Most email management solutions can capture attachments

As part of the message

Separate from message but linked

Separate and not linked

Attachments must be managed appropriately

Capturing metadata Determine requirements for metadata capture Mandatory vs. desirable Determine whether fields should be fixed or editable Make it easy for the users!

Determine requirements for metadata capture

Mandatory vs. desirable

Determine whether fields

should be fixed or editable

Make it easy for the users!

Emails that are not captured Transitory messages that are not timely Personal messages unrelated to business “ Me-too” messages Messages already captured by someone else

Transitory messages that are not timely

Personal messages unrelated to business

“ Me-too” messages

Messages already captured by someone else

Emails that are not captured Messages that are not records and not supporting documentation can be deleted Delete manually Assumes users will do it Delete automatically By mailbox age By mailbox size

Messages that are not records and not supporting documentation can be deleted

Delete manually

Assumes users will do it

Delete automatically

By mailbox age

By mailbox size

CLASSIFYING MESSAGES

Why classify? So we can find all messages related to a particular subject, thread, or topic Because nobody wants to look at an inbox with 10,000 messages in it Because it is easier to manage messages in groups Because it is in our nature

So we can find all messages related to a particular subject, thread, or topic

Because nobody wants to look at an inbox with 10,000 messages in it

Because it is easier to manage messages in groups

Because it is in our nature

Definition of classification The systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods and procedural rules represented in a classification system Source: ISO 15489-1:2001

The systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods and procedural rules represented in a classification system

Source: ISO 15489-1:2001

Benefits of classification Providing linkages between individual records which accumulate to provide a continuous record of activity Ensuring records are named in a consistent manner over time Assisting in the retrieval of all records relating to a particular function or activity Determining security protection and access appropriate for sets of records

Providing linkages between individual records which accumulate to provide a continuous record of activity

Ensuring records are named in a consistent manner over time

Assisting in the retrieval of all records relating to a particular function or activity

Determining security protection and access appropriate for sets of records

Benefits of classification cont’d Allocating user permissions for access to, or action on, particular groups of records Distributing responsibility for management of particular sets of records Distributing records for action Determining appropriate retention periods and disposition actions for records Source: ISO 15489

Allocating user permissions for access to, or action on, particular groups of records

Distributing responsibility for management of particular sets of records

Distributing records for action

Determining appropriate retention periods and disposition actions for records

Source: ISO 15489

Classification approaches Manually, into folders Manually, using tags Automated, using metadata Automated, using rules Autoclassification

Manually, into folders

Manually, using tags

Automated, using

metadata

Automated, using rules

Autoclassification

Classification structures Automatic categorization User-defined categories Departmental- or process-defined categories Enterprise taxonomy Retention schedule Roughly in order from least to most structure

Automatic categorization

User-defined categories

Departmental- or process-defined categories

Enterprise taxonomy

Retention schedule

Roughly in order from least to most structure

An approach to classification 3-zone approach: Inbox or transitory Working Records Inbox zone Working zone Records zone

3-zone approach:

Inbox or transitory

Working

Records

Inbox zone Messages that have just been received And perhaps not read yet Transitory messages Personal or non-business-related messages “ Bacn” Keep these messages for short periods, e.g. 30 days

Messages that have just been received

And perhaps not read yet

Transitory messages

Personal or non-business-related messages

“ Bacn”

Keep these messages for

short periods, e.g. 30 days

Working zone Messages that have been read but require more time to respond effectively Messages related to ongoing projects or initiatives Reference-type messages Keep these messages longer but still defined, e.g. 180 days or 1 year

Messages that have been read but require more time to respond effectively

Messages related to ongoing projects or initiatives

Reference-type messages

Keep these messages

longer but still defined,

e.g. 180 days or 1 year

Records zone Messages that rise to the level of records Ideally these are not stored in the messaging application or folders – they are moved into an ERM system Retention is defined by the content of the message and its value to the organization

Messages that rise to the level of records

Ideally these are not stored in the messaging application or folders – they are moved into an ERM system

Retention is defined by the

content of the message and

its value to the organization

Questions?

For more information Jesse Wilkins emm m , ecm m , erm m , CDIA+, LIT, edp, ICP Principal Consultant Access Sciences Corporation (303) 574-0749 direct [email_address] http://informata.blogspot.com http://www.twitter.com/jessewilkins

Jesse Wilkins

emm m , ecm m , erm m , CDIA+, LIT, edp, ICP

Principal Consultant

Access Sciences Corporation

(303) 574-0749 direct

[email_address]

http://informata.blogspot.com

http://www.twitter.com/jessewilkins