ARA-8.12 - Management, Preservation and Storage of Electronic Records and Electronic Mail Correspondence (E-Mail)

A. Purpose 

This policy gives City elected officials, the City Administrator, and agencies direction on complying with: Human Resources Administrative Rule 1.03 (Public Records Information, Access and Retention); Human Resources Rule 4.08 (Information Technologies); Auditor’s Office Administrative Rule 3.04 (Employee Behavior and Expectations); and Code Chapter 3.76 (Public Records).

City Code (Section 3.76.050) provides in part that City elected officials, the City Administrator, and agencies must: 

• Make and preserve records containing adequate documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency which are designed to furnish the information necessary to protect the legal and financial rights of the City and of persons directly affected by the agency’s activities; and
• Ensure staff compliance with City records policies and procedures established by Archives & Records Management.

Although Code Section 3.76.010 B refers to records “regardless of physical form or characteristic,” this rule focuses specifically on the management and preservation of records maintained in a digital or electronic form, including electronic correspondence. Since electronic records cannot be accessed, used, or stored without the aid of computer hardware, software, and storage media – all of which are subject to frequent obsolescence – additional steps must be taken to preserve the reliability, authenticity, and accessibility of electronic records for the duration of their retention period. 

B. Policies

1. Each agency must establish procedures to identify which electronic records constitute evidence of the agency’s organization, functions, policies, decisions, procedures, and essential transactions.
   1. Not everything stored on a City computer, server, or cloud environment meets the definition of a “public record” as defined by ORS 192.005(5) and Code Section 3.76.010 B. This policy is concerned with the management and preservation of records as described in Code Section 3.76.050 A. Agencies possess other electronically stored information that – although not a record as defined in Code Section 3.76.010 A. – is discoverable in the event of litigation or that may be subject to disclosure for a public records request. Consult the Office of the City Attorney for guidance on responding to litigation or to public records requests.^[1]
   2. The focus of this policy is limited to those electronic documents, electronic correspondence, or data collections that an agency or individual regards as evidence of that agency’s “functions, policies, decisions, procedures and essential transactions.”
2. Each agency must establish procedures to identify the record copy of its electronic records and assign recordkeeping responsibilities to specific positions.
   1. Electronic records are easily copied and distributed. Once an agency establishes which electronic documents, data, messages, and web content constitute evidence of its activities, it must then identify which copy will be maintained officially for retention purposes and assign responsibility for keeping it. This copy is known as the record copy; it is a single copy of a document, often the original, which is designated as the official copy to be preserved for the entire retention period.
   2. Agency management must identify which position within the agency is responsible for maintaining each category of that agency’s official City records relevant to a particular function, project, or program. If job responsibilities overlap or are shared as part of a work team, agency management must clearly delineate and assign specific responsibilities for maintaining electronic records and ensure that the assigned roles are understood.
   3. Once the record copy has been identified, other copies (known as convenience copies) no longer need to be retained. Agencies must establish procedures to remove convenience copies regularly from individual, network, or cloud-based storage. Individuals not responsible for maintaining the record copy of electronic records may retain copies for reference but should delete them as soon as the business need is eliminated.
3. Each agency must establish procedures to regularly review the information kept on its individual, network, and cloud-based storage.
   1. To ensure that City records are being properly managed and preserved, each agency must establish policies and procedures directing elected officials and employees to regularly review their electronic records residing on agency digital storage.
   2. The purpose of this review is to:
      1. Identify official records that must be retained per the City retention schedule.
      2. Migrate official City records to a suitable storage repository with sufficient indexing information or taxonomy to allow for proper retention and future retrieval of the records.
      3. Determine which files are convenience copies or do not constitute official records and remove them from City digital storage.
4. Each agency must establish procedures to ensure that electronic correspondence is properly managed and retained.
   
   Electronic correspondence is the exchange of information transmitted electronically including, but not limited to, email, text messages,­ and messages sent through apps such as Microsoft Teams. 

   1. Categorization of electronic correspondence records by subject matter content 

      1. It is not allowable under Oregon Administrative Rules to attach a single retention period to all correspondence (see OAR 166-200-0200 through OAR 166-200-0405). Since the content of a message can vary immensely – from a lunch invitation to a critical agency decision – the retention of records must be based on the content and context of the message and its attachments. 

      
      Not every message sent or received needs to be retained. The user must determine which of the following two categories the message falls under: 

   2. Transitory Information or Correspondence.
      1. Transitory Information - Correspondence of short-term interest that do not need to be retained once read or acted on if not necessary to satisfy legal, administrative, fiscal, tribal, cultural, or historical obligations of the City and do not meet the definition of a public records as defined by ORS 192.005. Examples of transitory information are:
         1. Responses to routine requests for information, website links or documents which require no administrative action, no policy decision, and no special compilation or research for reply
            Forwarded or copied messages that do not add any information to that contained in the original material
         2. Quasi-official notices including memoranda and other records that do not serve as the basis of official actions, such as notices of office parties, holidays or charity fund appeals, and other similar records
         3. Records documenting routine activities containing no substantive information, such as routine notifications of meetings, scheduling of work-related trips and visits (so long as the calendar entry is maintained), routine logistical information, and other scheduling related activities
         4. Copies of information that is not the official record such as email confirmations of SAP requests and approvals when the record in SAP is the official record that must be retained
         5. Duplicative messages copied in the process of an email thread with numerous responses
         6. Recurring emails received from City agencies such as timesheet requests, event notices, or inclement weather closures
         7. Listserv messages, newsletters, news media publications, non-business emails, solicitations
         8. FYI information that does not elicit a response including emails you are copied on for informational purposes or messages received as part of a bulk recipient list.
         9. Unsolicited advertising
      2. Messages that fall under the Transitory category should be deleted by the user as soon as any operational or informational value has expired.
      3. Correspondence - Emails and other messages that directly relate to City programs, management, or administration (the “Correspondence category”). The Correspondence category includes, but is not limited to, communications regarding formal approvals, directions for action, communications about contracts, purchases, grants, personnel, and correspondence relating to a particular project or program.
      4. Messages that fall under the Correspondence category must be managed as an official City record in a suitable storage environment. 
   3. Electronic correspondence as public records
      1. Emails and other messages that fall under the Correspondence category constitute public records and are, like other types of records, subject to disclosure under Oregon Public Records Law unless determined to be exempt. City elected officials and employees are responsible for identifying and managing their correspondence in compliance with the City retention schedule and this set of policies as well as agency procedures.
      2. Under HRAR 4.08 and ARA 3.04, City records may not be stored on a personal device. If elected officials and employees send or receive messages conducting City business using non-City technology, the messages, as well as the equipment itself, may be subject to search in the event of a public records request or litigation. If elected officials and employees use non-City email accounts or third-party applications for correspondence conducting City business, those communications are public records and subject to discovery and/or disclosure.
   4. Authenticity and Context of Electronic Correspondence Records
      1. Electronic correspondence must be maintained in a manner that preserves contextual metadata and authenticity. An authentic record should accurately document the activity to which it pertains. Records must include the following elements, as applicable:
         1. Recipient(s), including any group list members
         2. Sender
         3. Subject Line
         4. Text of message itself
         5. Time and date sent
         6. Complete attachment(s), which should be included in full (not just indicated by file name)
   5. Electronic correspondence accessibility and searchability
      1. Email and other messages, including any attachments, must remain accessible and reproducible during their entire retention period. The messages must be searchable by multiple data elements, such as sender, recipient(s), date sent or received, subject line, as well as by the text of the message itself and any attachments.
   6. Working within the application
      1. Email and other applications (e.g. Microsoft Outlook or Teams) are intended to be used as message delivery systems, not long term record storage systems. It is each user’s responsibility to identify and manage their job-related electronic correspondence records in compliance with City retention policy and agency procedures for maintaining record copy electronic records.
      2. To prevent the loss of record copy messages, users must actively manage their correspondence. Maintaining messages in the application for ten years or fewer allows users to retrieve the message for reference or for replying or forwarding. However, no retention rules are applied to the messages and access is restricted to the holder of the account. For these reasons, any messages which are City records, rather than transitory information, must be actively managed.
      3. On a regular, recurring basis, users must review their correspondence and identify which messages are City records. These messages will be migrated from the application to Content Manager or similar records management program that meets the requirements in Appendix II.
5. Agencies must establish procedures to ensure that electronic records are maintained in a storage environment that complies with authenticity, access, retrieval, retention, and destruction requirements.
   1. The Auditor’s Office recognizes two compliant methods of managing City electronic records. They are described in Appendix I and Appendix II. Agencies must use one of these methods to comply with City recordkeeping requirements. 

Auditor’s Office Administrative Rule Information

Questions about this administrative rule may be directed to the Archives & Records Management Division.