1.0 General

1.0       General     top

The Provincial Archives of Newfoundland and Labrador (PANL) is mandated, through the Archives Act 1983, to preserve those records of the Government of Newfoundland and Labrador which are deemed to have enduring legal, fiscal, evidential, or research value. Such records are to be preserved regardless of their physical form or characteristics. PANL is also mandated to provide assistance to departments in establishing and maintaining information management systems and to establish Government wide information management standards.

1.01      Introduction     top

Electronic media are quickly replacing paper as the preferred means of conducting business transactions. Electronic records, like their paper counterparts, need to be recorded, captured in a form which ensures their authenticity and integrity, and made accessible. Electronic records need to provide the same evidence of business activity and the same level of accountability as paper records. Electronic records must also be able to meet the immediate and future needs of organizations, individuals and society. E-mail, as part of this group of electronic records, needs proper management through appropriate policies and procedures, as well as monitoring and compliance tools.

1.02       Purpose     top

This policy addresses e-mail messages, and identifies those messages considered to be "Government records", as defined by the Archives Act 1983, which are therefore subject to the same management principles as paper Government records.

The policy will promote the effective capture, management, and retention of e-mail messages as Government records in compliance with information management retention requirements.

1.03       Definition     top

E-mail are messages sent and received electronically between Personal Computers or terminals linked by communications facilities. Attachments to e-mail are an integral part of the message.

E-mail messages may contain information about business activities which, like records in other formats, are subject to legislation such as the Archives Act, the Freedom of Information Act, the Privacy Act, and to legal processes such as discovery and subpoenas.

2.0       Management & Retention of E-mail       top

Electronic messages should not be isolated from departmental records management systems. A records management system consists of a set of classifications of records by type and function, also known as records series, and a set of retention periods attached to each of these records series. It also includes decisions regarding the final disposition of records, specifically whether, at the end of their life span, they are destroyed or transferred to the Provincial Archives for permanent retention.

Both paper and electronic records must be managed within appropriate records management systems which provide for their classification, retention, and final disposition. These systems may be Government-wide, as is the case with the Information Management System for Administrative Records (IMSAR), department-wide, or division or branch-based. Regardless of the extent of the record management system, the disposal of records must be carried out in accordance with the provisions of the Archives Act.

2.01       E-mail as a government record     top

The Archives Act, Section 2(e) defines a Government record as any record "...created or received by a department in the conduct of its affairs except copies of records created only for convenience...". Thus, e-mail is an official Government record when it is created or received in connection with the transaction of Government business (e.g. when it records official decisions; communicates discussions about policies, programs and program delivery; contains background information used to develop other Government documents; etc.).

Any information transmitted via e-mail, and classed as a Government record, shall be treated in the same manner as any other important records, in any medium, received or created by a department. Such records shall be captured into records management systems. As well, electronic messages captured into a records management system are subject to the provisions of the Archives Act, and shall be scheduled for disposal or retention, as approved by the Provincial Archives, according to the class of records in which they belong. In other words, they shall be managed according to their content, rather than their form (e-mail), in accordance with the Archives Act.

Responsibilities of Records Creators:

E-mail messages, and/or attachments, required as evidence of a department’s business activity (i.e. those which are considered to be official Government records), shall be captured using one of the following options:

1. Save the e-mail into an Electronic Document Management System (EDMS) designed specifically for the purpose of maintaining electronic records; OR
   
   
2. Print the message, and any applicable attachments, to paper and incorporate into the department’s paper records management system; OR
   
   
3. Save the message and/or its attachment(s) in a directory outside the e-mail system, which is a part of the department’s official records system (eg., a word processing directory on a local area network directory); OR
   
   
4. Transmit the message electronically to a central records repository, or other appointed departmental representative, for incorporation into the department’s records management system.

1. Records that are located in an Electronic Document Management System (EDMS) should be maintained on the server, in a secure manner, by the IT Division for the department, in consultation with records personnel for the department.
   
   
2. Back-ups of the EDMS will be in line with each department’s regular back-up procedures for their networks.
   
   
3. The back-up files for the EDMS must be recognizable as being part of the overall records management system in that the classification scheme should be evident if files need to be retrieved, and the integrity of the records must be maintained.
   
   
4. Departmental IT staff will ensure the integrity of any records housed in the EDMS until they have reached their approved retention. Integrity of these documents will be accomplished through such procedures as test restores, media testing and data migration.

Not all messages sent and received via e-mail are Government records as defined by the Archives Act, therefore not all messages are subject to the provisions in the Act. For example, copies of convenience, also known as reference copies, are generally transitory, and do not need to be captured into a record keeping system. Such messages shall be destroyed after they have served their purpose(s).

Is it important to realize that e-mails, just like paper documents, can be subject to such legal processes as discovery and subpoena and to the requirements of the Freedom of Information Act. The employment of appropriate information management principles will ensure that records are kept or destroyed as a routine part of business. If any doubt exists about a particular type of e-mail being a record or non-record, please contact your departmental Records/Information Management representative or the Provincial Archives Records Management Section for assistance.

3.0      E-mail Usage     top

Government's e-mail system is reserved for official Government business, and should not be used for personal purposes. Some departments may permit the distribution of departmental social club information via e-mail; however, other types of advertisements, which are not work-related, are inappropriate and shall not be transmitted. The sharing of proprietary software / copyrighted materials and the disbursement of chain letters or other "junk mail" is also unacceptable. (Refer to IT Security Policy for further information)

It is also important to remember that any e-mail sent outside the GroupWise system is not secure. Therefore, users should be cautious about the type of message they send outside the Government mail system. Important or confidential documents should be encrypted or not sent via e-mail at all.

3.01           E-mail user responsibilities     top

Individual e-mail users are responsible for managing their own e-mail accounts. The GroupWise E-mail system limits the amount of space for each users’ mailbox. Once an individual’s space is full, it will not be possible for that person to send or receive mail. Thus, the proper management of messages which are considered to be official Government records (as outlined in Section 2.0) will also aid in supporting the uninterrupted workflow of the user.

In addition, users must keep all login names and passwords confidential in order to protect the security of their records. (Refer to IT Security Policy for further information)

3.02          Departmental responsibilities     top

Departments are responsible for ensuring that employees are trained in policies and procedures regarding e-mail use and management. In this regard, departments must appoint E-mail Policy Coordinators who will be trained as trainers by records personnel from the Provincial Archives.

Departments are also responsible for ensuring the termination of an employee’s e-mail account upon their departure.

4.0       Related Policies     top

4.01       IT security policy     top

Please refer to the IT Security Policy for further information on the usage of electronic equipment and applications in Government.

4.02       Information management policies     top

Other policies in the area of Information Management are currently being developed. Please contact the Provincial Archives for further information regarding new policies, or for assistance in managing departmental information.

4.03       IMSAR     top

Please refer to the Information Management System for Administrative Records (IMSAR, 1999) for information on the retention and disposition of administrative records. This is available from the Provincial Archives of Newfoundland and Labrador through the Government Records Management Section at (729-3628) or by consulting the Records Management Section of the Archives website.

5.0       Relevant Legislation    top

The following legislation generally applies to the management of and access to information in Government:

1. Archives Act 1983
2. Freedom of Information Act
3. Privacy Act

6.0       Change Process      top

This policy will be changed as necessary in order to appropriately reflect current software and media, standards and e-mail usage. Reviews will take place on a yearly basis and approved changes will be made at the earliest convenience.

• include a concise, but informative, subject title for each message
  
  
• include at least a brief reference to the original e-mail subject to provide context for the recipient
  
  
• in order to ensure that recipients know the sender of the mail, include contact information such as your name, position, department and Internet address (can be set up using the signature file in GroupWise)
  
  
• avoid sending large attachments to your mail messages (try to keep them to 5k or less)
  
  
• do not save attachments in the GroupWise system for extended periods of time as they congest the mail server. Instead, move the attachments to an Electronic Filing System; print and file them; or delete them if they are not official Government records.
  
  
• avoid sending broadcast messages to "all users" mailing lists as such use causes congestion of the networks and wastes disk space
  
  
• Internet listservs and discussion groups should be used for business purposes only and should be kept to a minimum
  
  
• it is the user’s responsibility to learn how a listserv works, and to send correct mail to the correct place
  
  
• it is advisable to unsubscribe from a listserv when away from the office for several days
  
  
• when sending a message to a listserv attach a disclaimer such as the following: "any opinions expressed herein are my own, and do not reflect those of my employer" (can be added to your signature file in GroupWise)

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The Archives Act (1983) is the Provincial legislation governing the management of Government records, and from which the Provincial Archives of Newfoundland and Labrador draws its mandate to acquire, preserve, and make available archival records from both Government and non-Government sources.

v. The process of duplicating information primarily for protection in case the original is lost or destroyed.

n. A copy of a record.

see Non-Record

In the event of a legal action, either party may make a request for, and inspect, documents in possession of the other party. This process may include interrogatories.

In the context of a records retention schedule, disposal means either the destruction of records or transfer to the Archives for permanent retention. It is the final stage or the records life cycle or continuum.

An automated system used to manage the creation, use and maintenance of electronically created documents.

A record stored on electronic storage media.

A system that enables users to compose, transmit, receive and manage electronic messages and images across networks and through gateways connecting to other local area networks.

An integrated records classification system and retention and disposal schedule for administrative records in the Government of Newfoundland and Labrador.

Non-records, or non-file material, are those items that do not fall under the definition of Government record under the Archives Act 1983 and do not require disposal authorization from the Public Records Committee or the Provincial Archives. These items include:

Copies of convenience: these are copies (without additional notations) maintained solely for the convenience of the holder. These may be destroyed at the discretion of the department.

Published or printed matter: this consists of published materials (e.g. books or periodicals) or other printed matter (e.g. brochures, pamphlets, and fliers) that are collected and received by the department. These may be destroyed at the discretion of the department. Copies of materials that are published by or for a department may only be destroyed if they are excess copies. Departments may wish to retain a small number of copies as samples for their own use and must provide three (3) copies to the Provincial Archives.

Record:

A record is any information, on any medium, made or received by an organization in the course of its operations (library materials/publications are not generally considered to be records for the purposes of records management). Records include maps, plans, drawings, photographs, magnetic media, microforms, and all other documentary forms regardless of physical forms or characteristics.

Record Value:

A record has value to an organization if it is necessary to provide legal, authentic, and adequate documentation of its structure and functions.

The disposal of records of no further value through appropriate means. Shredding is the recommended means of destruction. Incineration, though permissible, is not recommended. It poses environmental considerations and there are also difficulties with ensuring complete destruction of entire boxes using this method. Dumping of records is not permitted. Records that are destroyed must be done so beyond any possible reconstitution.

A system used to ensure that all information is maintained, identifiable, available, retrievable, usable, and protected until it is disposed of in accordance with approved retention schedules. This system based upon a set of classifications of records by type and function.

This is a comprehensive list of records series maintained by an organization indicating the timetable during which they are maintained in a primary office space or transferred to semi-active records storage. The schedule will also indicate whether the records should be destroyed or transferred to the archives after the termination of the retention period.