Information Technology Resources for an Informed Retention Schedule  [Keeping Your Retention Schedules Evergreen:  How Your IT Department Can Help You Find the Gaps in Your Retention Schedules]

By: Pari Swift and based on the 2023 presentation Mine the Gaps : Uncovering What You Don’t Know About Your Retention Schedule with Warren Bean, Zasio.

Are you ever shocked when you learn about a new type of record that your organization is maintaining? To uncover records series that may not be covered by your current retention schedules, leverage the work being done by your information technology department. Here are some IT resources that can help you uncover the gaps:

  • Software Procurement – Get involved in this process. As the records manager, you need to understand whether the software can adhere to your retention and disposition requirements. Additionally, being part of this process will inform you of what types of records and information will be put into the system. Often the vendor assessments offer a window into the purpose and function of the system. This will allow you, early in the process, to match those records to your retention schedule, or add a new series if the records are not already covered.
  • Privacy Officer – As part of their role to protect private information, privacy officers often evaluate information keeping systems, paper or electronic, to ensure that privacy laws are being followed and information is protected and secure. They need to know where sensitive data lives within the organization, so they should have a map or documentation that will shed light on potential records not yet covered by your retention schedule. Two of the tools that they use are the Privacy Threshold Analysis and Privacy Impact Analysis. These gather information about the type of information stored in a system, why it is collected, and how it will be used. This same information can shed light on the records that are already covered on a retention schedule and can be valuable in the records analysis process for determining retention.
  • Cyber Security – Similar to the privacy office, cybersecurity needs to know where data lives and what level of protection it needs. Much of the information that they gather about the records and information is the same as what records managers gather when doing a records analysis to describe a record series and determine retention.
  • Enterprise Architects – The purpose of enterprise architecture is to create a map or blueprint of the structure and operations of an organization, which should include a map of IT assets and an outline of business processes. You can use this information to learn more about what business processes exist and what records are created. Compare this information to what is in your retention schedule to learn whether further conversations about adding to or updating their retention schedules are necessary.
  • IT Backup Schedule – Your IT department most likely has a list of information systems as part of its backup process documentation. Are you aware of all the systems listed and what types of records or information they contain? If not, now you can work with the business unit using the system to ensure that the records are covered on your retention schedule.

These information technology resources are a starting point. They won’t give you all the information that you need to fully flesh out and develop a new record series.  You’ll still need to go to the department subject matter experts for that. What they will do is clue you in to what records might not be covered on your retention schedule so that you can reach out to the department to get them added. These resources may also provide some of the basic information that you need to know, thus saving you and the department valuable time by being able to skip ahead to the questions about the records not yet asked.

Use your IT resources to keep your retention schedules evergreen!

Maintaining Digital Records: Permanent vs. Short Retention Periods

If you are effectively maintaining digital records, can you dispose of the original, hard copy documents?

Public entities have the authority to decide in which medium they will maintain their records and can create schedules that divide a records series’ retention period based on storage location or media type. For example, a public entity’s record retention schedule could require it to “maintain the paper version of a record until it is scanned and quality control checked, then dispose; retain electronic version for 10 years.” 

However, if records are required to be maintained permanently, public entities are discouraged from maintaining solely in a digital format. The Ohio History Connection has issued a statement on maintaining digitally imaged records permanently which states its recommendation that any digitally imaged records of permanent value also be maintained in either paper or microfilm format. There are several reasons for this recommendation because the technology surrounding electronic records are in a continuous state of change. Any record in electronic format cannot be considered stable and capable of remaining reliable, authentic, and accessible over any long-term or permanent retention period.

The Ohio Electronic Records Committee has also put together several resources that provide information on the requirements, guidelines, and best practices for digital document imaging projects. You can view these resources here: Document Imaging – Ohio Electronic Records Committee (ohioerc.org).

OhioERC Available Trainings

Stay up to date on best practices in electronic records! The OhioERC has several trainings available for free.

  • Electronic Records Day Presentation: “Here Today, Gone Tomorrow”: This presentation compares document management systems and digital preservation systems. We discuss major workflows used to future-proof permanent and long-term electronic records and their essential metadata. In addition, a Records and Archives Management case study from Greene County is shared to bring to light essential differences between document management and preservation systems.
  • Email Management Training Series: This email management training series provides information and best practices on managing email. The training series is divided into four sections: Email As A Record, Email Clean-up Strategies, Email Filing and Organization, and Microsoft 365 Outlook Email Management.
  • Social Media: The Records Management Challenge: This course provides an overview of social platforms and how government entities use those platforms; the records management aspect of social media; unique challenges associated with capturing and disposing of social media content; how to manage and respond to citizen interactions with government social media and the balancing act of being both of public employee and private citizen on social media. 

View our trainings/events page for these trainings and more!