Memo to AG Counsels re Email Consolidation and Email Management, June 18, NYS ITS, 2013
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Memorandum To: Agency General Counsels From: Karen Geduldig, General Counsel, NYS Office of Information Technology Services Date: June 18, 2013 Re: Email Consolidation and Email Management Over the past year, the State, through the NYS Office of Information Technology Services (ITS), has been consolidating the State’s disparate email systems to facilitate interoperability and enhance interagency communications. The next part of this process is standardization of email management. This is also important for the migration of current state agency email systems to the new cloud-based system. If your IT staff were consolidated within ITS effective November 22, 2012, ITS is responsible for all technical implementation of the steps detailed below. If your agency has its own IT staff, your agency staff is responsible for all technical implementation of the steps detailed below, although ITS is available for advice and guidance to support consistent technical implementations. The State is retaining enormous amounts of email data that is difficult to manage and interferes with operations. The State Archives has determined that most email communication does not constitute records that must be preserved under the law. Retaining only email that is directly relevant to operations and/or that is required by law to be retained will improve agency operations, knowledge transfer and succession planning. http://www.archives.nysed.gov/a/records/mr_pub_genschedule_accessible.html Federal agencies and corporations have implemented email management policies wherein email messages are purged from their systems 30, 60, or 90 days from the date sent or received, for example. Such a system will aid the State in improving its email management. As of June 30, 2013, the State will be implementing a standard 90-day email management system for all State agencies. Email sent and received on or after June 30, 2013, will be retained for 90 days after the date on which it was sent or received unless otherwise deleted. Thus, all email sent or received on June 30 will be purged from a user’s mailbox automatically on September 29, all email from July 1 will be purged on September 30, and so on. Under this new system, email that must be retained longer than 90 days can and will be saved. o Litigation holds will remain in place. o Holds can be placed on accounts containing material potentially responsive to a FOIL request. o Users will be able to save email needed for more than 90 days, for example, for long-term projects. 1 ITS FOIL 2014-08 000001 o No agency will have to delete material necessary to conduct its business or to meet legal requirements. Older email will not be purged immediately. Any email 60 days old or older on June 30 will be withheld from deletion until July 30, 2013, 30 days after the 90-day schedule takes effect. This ensures that users will have at least 30 and up to 90 days to review everything already in their mailbox as of June 30. For example, emails sent or received: o on May 1 or earlier will be purged July 30 o on May 2-June 29 will be purged as they reach 90 days old, July 31-September 28 o on or after June 30 will be purged as they reach 90 days old General Counsels should take the following steps to prepare for implementation of the new email management system. Determine what litigation holds are in place and whether any of them are no longer necessary and can be released. Your IT staff is responsible for taking the technical steps necessary to preserve or release holds. Compile a list of staff on medical, maternity, paternity, or other long-term formal leave to ensure that their email is not purged before they have an opportunity to review it. Your IT staff will handle the technical aspects of retaining email. Compile a list of dormant email accounts, such as accounts from employees now separated from the agency. Contents of some of the accounts may require review before the contents are purged. Compile a list of group email mailboxes. If you determine that a mailbox could be the exclusive storage location for records that must be retained, then it should be reviewed before the contents are purged. Consult your agency records retention schedule to determine which staff members might have records subject to retention requirements of the Arts and Cultural Affairs Law stored exclusively in their email boxes or archives. Using the model email management memo to staff provided, create guidance for your agency staff on the new email management system. Please note: information in the model regarding appropriately saving email content or the process for litigation holds may not exactly match your agency’s, depending on your agency’s specific email systems and litigation hold procedures. Your IT staff will be able to describe the saving mechanism for your agency, but please also be in touch with me (contact information below) for assistance with this project. 2 ITS FOIL 2014-08 000002 This new standard may change how some users manage their email. ITS staff will provide your agency staff with technical guidance specific to your agency’s current email system and, upon consolidation, the new email program that will be used statewide. I will be communicating with you to share specific guidance on the implementation of the email consolidation and standardization described here. If you have questions about the implementation of this standardized email process, please contact me. Contact information: Karen Geduldig: (518) 474-3019, email@example.com John Cody: (518) 473-5115 firstname.lastname@example.org 3 ITS FOIL 2014-08 000003 ANDREW M. CUOMO Governor Empire State Plaza P.O. Box 2062 y, NY 12220-006 62 Albany ww ww.its.ny.gov BRIAN DIG GMAN NY YS Chief Information Officer D Director, Office o of IT Services MEM MORANDU UM To: Agency A Geneeral Counsels From: Karen K Geduld dig, General Counsel, NY YS Office oof Informatioon Technologgy Services Date: Ju uly 25, 2013 3 Re: Email E Consollidation and Email Manaagement - Reeminder As we arre getting clo oser to the Ju uly 30, 20131 implementtation date of the 90-dayy email managem ment and preservation po olicy, we wan nted to makee sure that yyou are prepaared and thatt your IT staff, s whetheer employeess of the NYS S Office of Innformation T Technology Services (IT TS) or not, haave all of thee information n and docum mentation theey need to ennsure a smoooth transitionn and the continuity c off your entity’’s compliancce with its leegal obligatioons. It is exxtremely importan nt that no email or ema ail box be su ubject to au utomatic delletion if no d determinatiion has been n made abou ut its properr disposition n. Your ageency should d temporariily exclude ssuch mailboxees from the email mana agement and preservattion policy u until they haave been reviewed d. This excllusion shoulld be short-tterm. In June, you y received d charts (cop py attached) requesting innformation aabout your eentity’s legall or litigation n holds, stafff that are out on extended d leave, dorm mant email aaccounts andd group mailboxees. This is reeminder thatt the informaation in thesee charts shouuld be used aas follows: Lega al Holds: Th he ITS profeessional(s) th hat support yyour agency’’s email systtem must havve from you, as Gen neral Counseel of your agency, a docuumented listt of the emaiil boxes (grooup mailb boxes and in ndividual mailboxes) thatt are to be prreserved duee to active orr reasonablyy likely y litigation. IT staff need d the following informattion about thhe email boxxes that mustt be preseerved: o The ad ddress assocciated with th he mailbox; o The matter m associated with thee mailboxes that are beinng preservedd. The matteer name is importantt because, fo or example, iif six monthss from now yyou ask youur IT with a speciffic matter, yoour IT staff w will staff to release thee mailboxes associated w know exactly who o is associateed with that matter and, more importtantly, if anyy of those people shou uld continue to be held du due to a diffeerent legal orr litigation hold; o The tiime frame th hat each mattter needs conntent held foor. 1 July 30, 2013 is the datte of implemen ntation for the large l majority of agencies. If your agency has, in coordinnation d thaat special circum mstances requiire that your im mplementation date be later thhan July 30, 20013, with ITS, determined that determ mination has no ot changed, butt these recomm mendations are relevant to youur agency’s traansition as welll. ITS FOIL 2014-08 000004 If your agency is a NYSeMail customer, please send your documented list of email boxes (group mailboxes and individual mailboxes) that are to be preserved due to active or reasonably likely litigation to Kathy Shafer (Kathy.Shafer@its.ny.gov) and Moreen Petrella (Moreen.Petrella@its.ny.gov) from the ITS NYSeMail team with a copy to Deborah Snyder (Deborah.Snyder@its.ny.gov), ITS’s Deputy Chief Information Security Officer and myself and John Cody (John.Cody@its.ny.gov) of ITS’s Counsel’s Office. If your agency is not on NYSeMail but is supported by ITS, please send your documented list of email boxes (group mailboxes and individual mailboxes) that are to be preserved due to active or reasonably likely litigation to the ITS professional responsible for supporting your agency’s email system with a copy to Deborah Snyder, myself and John Cody. If you are not sure who the ITS professional is that supports your agency’s email system, contact your Cluster Chief Information Officer. If you do not know who your Cluster Chief Information Officer is, contact me. If your agency’s IT professionals have not been transferred to ITS, please send your documented list of email boxes (group mailboxes and individual mailboxes) that are to be preserved due to active or reasonably likely litigation to the IT professional responsible for supporting your agency’s email system. You may provide a copy to me and John Cody if you would like. People out on extended leave: The IT professionals who support your agency’s email system must have from you a documented list of people from your agency who are out on extended leave so that email will not be automatically purged from those employees’ mailboxes until they have returned to work and had an appropriate amount of time to review their older email. You can find out who is on extended leave from your HR department if you have not already obtained that information. Please forward your lists of employees on extended leave to the persons identified above in the section on Legal Holds. Group mailboxes: Group mailboxes are subject to the 90-day email management and preservation policy. Your agency is obligated to identify group mailboxes, review their content and save what needs to be saved in the manner identified by your agency. The contents of these group mailboxes are to be managed accordingly going forward. If any group mailboxes are subject to legal holds, they should be identified in the documented list of legal holds. The IT professional(s) who support your agency’s email system should be able to provide you a list of your agency’s group mailboxes if you have not already obtained them. Dormant Accounts: Dormant accounts belong to people to have left the agency by retirement, separation, termination, etc. Like group mailboxes, these mailboxes need to be reviewed for content that needs to be saved for longer than 90 days. If any mailboxes have not been reviewed, or you have not yet come to a conclusion about how to deal with the contents of a mailbox, that mailbox should be identified to the IT professionals who support your agency’s email system so that content is not automatically purged from it. ITS FOIL 2014-08 000005 NYSeMail FAQs: For those agencies that utilize NYSeMail, the NYSeMail team has put together FAQs and a reminder about the 90-day email management and preservation policy. If you would like to issue it to your staff, please contact me and I will provide the documents to you. Please note that the NYSeMail team can also issue the information to your agency, however, NYSeMail will not do so without your express direction. Sample employee reminder: I recently issued a reminder email to ITS staff about the 90day email management and preservation policy. It addresses some frequently asked questions from ITS staff related to .PSTs, employee use of third-party storage (third-party storage is not permitted, and employees can be subject to discipline and legal liability if they use third-party storage without authorization) and the System Cleanup Folder in NYSeMail. It is attached for your information. Please feel free to use it as a model for a reminder to your staff if you think doing so will be helpful, however, be mindful that it was written for ITS staff whose email is on the NYSeMail email system and archived in the Microsoft Exchange Hosted Archive (MEHA). Executive Order 38: For those agencies that are subject to Executive Order 38 (Agriculture and Markets; Division of Criminal Justice Services; Department of Corrections and Community Supervision; Department of Health; Department of State; Homes and Community Renewal; Office for the Aging; Office of Alcoholism and Substance Abuse Services; Office of Children and Family Services; Office of Mental Health; Office of People with Developmental Disabilities; Office of Temporary Disability Assistance; Office of Victim Services) please add to your documented list of mailboxes on legal or litigation hold the email box associated with Executive Order 38 waivers so that these mailboxes can be placed on legal hold. We are doing so in order to treat these like mailboxes consistently. Thank you for your continued time, attention and patience as we move toward a consistent 90day email management and preservation policy. Your questions, comments and insights have been extremely helpful and we appreciate your commitment and guidance. ITS FOIL 2014-08 000006 E‐mail Migration and Retention Schedule Changes Mailboxes Requiring Special Review Instructions: Please fill out and return this document to your Assistant Counsel by COB 6/12/13. Attach to this document any draft guidance you will be providing to staff on how to evaluate the contents of their e‐mail for record retention purposes. Add rows to each section as needed. Legal Holds Hold Start Case/Subject Matter Mailbox/Account Name Custodian(s) Date 1 2 3 4 5 6 7 8 9 10 11 12 Employees on Formal Leave Name Expected Return Date Mailbox/Account Name 1 2 ITS FOIL 2014-08 000007 3 4 5 6 7 8 9 10 11 12 Dormant E‐mail Accounts Date Account Became Dormant Mailbox/Account Name Person Assigned to Review 1 2 3 4 5 6 7 8 9 ITS FOIL 2014-08 000008 10 11 12 Group Mailboxes Mailbox/Account Name Person Assigned to Review 1 2 3 4 5 6 7 8 9 10 11 12 ITS FOIL 2014-08 000009 TO: All ITS Staff FROM: Karen Geduldig, General Counsel DATE: June 18, 2013 RE: Email Management Policy The State has been engaged in several initiatives to help government work more efficiently and consistently, including IT consolidation and transformation. A more efficient and consistent government means that we are more accountable, responsive and transparent to the public we serve. A next step in making government work better is standardizing how we, as a State, manage our email. At its current pace, the State is creating enormous amounts of email data that is difficult to manage and interferes with operations. The State Archives has determined that most email communication does not constitute records that must be preserved under the law. Retaining only email that is directly relevant to operations and/or that is required by law to be retained will improve agency operations, knowledge transfer and succession planning. Federal agencies and corporations have implemented email management policies wherein email messages are purged from their systems 30, 60, or 90 days from the date sent or received, for example. Such a system will aid the State in improving its email management. Standard email management will also ease migration of State email systems to the cloud, something that, as you may know, will be taking place in the upcoming months. Therefore, starting on June 30, 2013, email sent and received by persons working for State agencies, including ITS, will be subject to a 90‐day preservation period. As described in more detail below, you will have at least 30 days (at least until July 30) to review and appropriately save email sent or received prior to June 30, 2013. Email boxes that are subject to a legal or litigation hold will not be subject to the 90‐day email preservation period. You will never be required to delete email that you need to save. How the 90‐day Email Preservation Period Works: The 90‐day email preservation period will be effective June 30, 2013. Any email that you send or receive on or after June 30, 2013 will automatically be purged 90 days after it is sent or received, EXCEPT o Email content in ITS email boxes that are subject to a litigation hold (see FAQ 3 below) or other legal hold, e.g., it may be responsive to a current FOIL request. o Email content that must be saved for longer than 90 days or is needed for ongoing operational purposes (it must be appropriately saved by the user, 1 ITS FOIL 2014-08 000010 otherwise the email will be subject to the 90‐day email preservation period, see FAQs 2, 4 & 5). You may have a significant amount of email in your ITS active mailbox that pre‐dates June 30, 2013. You will have at least 30 days to review old email in your active mailbox. Date E‐mail Received/Sent Date Automatically Purged On or before 5/1/13 7/30/13 After 5/1/13 90 days after email was sent or received. Example: Email received on 5/2/13, will be purged 7/31/13 o All email 60 or more days old on June 30, 2013 (i.e. all email from May 1, 2013, and earlier) will not be deleted until July 30, 2013, 30 days after the new schedule is implemented. This is also the date on which it will be 90 or more days old. o All email less than 60 days old on June 30 will be purged when it reaches 90 days old (i.e. email from May 30, 2013 will be purged on August 28, 2013). This means you have until July 30, 2013, to: o Review the email in your active mailbox that was sent or received by you on or before May 1, 2013; o Identify email that you are required to save and/or need to save for ongoing operational project purposes and appropriately save those emails. FAQs: 1. What is the active mailbox? Your active mailbox is what you would typically call your inbox and outbox or “sent mailbox,” as well as subfolders. It contains the email you send or receive until it is deleted from your active mailbox. 2. How do I identify email messages that are required to be saved for longer than 90 days? In addition to legal or litigation holds (see FAQ 3), email content may be required to be retained for certain periods of time pursuant to existing agency records retention schedules. The records retention schedules applicable to you will not be changing at this time, so anything you would have saved pursuant to the schedule prior to implementation of the 90‐day email preservation period should still be saved. ITS records retention schedules are broken up by business function (finance, billing, procurement, IT systems, human resources, etc.). It is a good time to review the schedules and the types of records you create – both in email and otherwise – so that you can retain these records appropriately and consistently. ITS’s records retention 2 ITS FOIL 2014-08 000011 schedules are made up of two parts. The first part of ITS’s records retention schedules are the same as NYS Archives’ “General Retention and Disposition Schedule for New York State Government Records” and are available at http://www.archives.nysed.gov/a/records/mr_pub_genschedule_accessible.html. The second part of ITS’s records retention schedules are attached to this memo. If you have questions about the application of ITS’s records retention schedules to your records, please contact ITS’s Records Access Officer or Counsel’s Office. According to NYS Archives, most email communications are not records that must be retained and are therefore suitable for immediate destruction. Some messages and attachments are records and should be maintained in appropriate electronic or paper files and disposed of consistent with applicable records retention schedules. NYS Archives has material, resources and guidelines, much of which is available online, to help individuals identify records that must be retained for records retention purposes. Visit NYS Archives’ website for guidance and information on records retention: http://www.archives.nysed.gov/a/records/index.shtml and http://www.archives.nysed.gov/a/workshops/workshops_handouts_email.shtml 3. My email is subject to a legal or litigation hold. How will the 90‐day email preservation period affect me? The 90‐day email preservation period does not apply to ITS email that is subject to a litigation hold. If an employee’s email is on legal or litigation hold, none of his/her email will be purged until the legal or litigation hold is released by ITS Counsel. The 90‐day email preservation period will go into effect for that email once the hold is released (the user will be given time to review contents), so it is still important that users retain any records received by email in an organized fashion in accordance with retention schedules. If the contents of an employee’s email are potentially responsive to a FOIL request, the email account should be put on hold until all required documents have been produced to the FOIL officer. 4. How do I identify email messages that need to be saved for longer than 90‐days for ongoing operational project purposes? We recognize that some email is not required to be saved pursuant to records retention schedules but is highly relevant and useful to the execution and implementation of ongoing ITS work. Email content that will enable the furtherance of ITS work should be retained. Email content that is non‐essential to ITS work, outdated or related to resolved matters and serves no further purpose should not be saved, unless the email content is required to be saved for legal reasons. 5. How do I appropriately save email content that is required or needs to be saved for longer than 90 days? For ITS employees the appropriate way to save email content that must be saved for longer than 90 days is in a special type of folder within your active mailbox called “Retain.” This folder will appear among the folders viewable in your ITS active mailbox and will be named in a way that reflects its purpose of saving email content for longer than 90 days. The folder will count toward your maximum email box size limit so should be used only to save what is required or truly needed; otherwise you 3 ITS FOIL 2014-08 000012 will reach your mailbox size limit and will not be able to send or receive email until you free up space in your mailbox by deleting appropriate email. You will be provided with more information about the Retain Folder shortly. 4 ITS FOIL 2014-08 000013 ITS FOIL 2014-08 000014 ITS FOIL 2014-08 000015