Jesse,

I tend to view backup tapes at a more basic level, data integrity vs. record 
integrity or IT vs RM. backup tapes are the purvue of IT folks and not 
really something we as RM folks want to embrace as ous. The function is IT 
based and as soon as we start to dictate to IT what to do with them we have 
a problem. A large factor in this is trying to extablish record integrity on 
your backup tapes. I am not cnvinced anyone can assure me that record 
integrity can be estabblished and/or maintained on them. If what is on the 
tapes is not a record and cannot be established as such I don't think we 
should try to own it.

Chris Flynn

>From: Jesse Wilkins <[log in to unmask]>
>Reply-To: [log in to unmask]
>To: [log in to unmask]
>Subject: Re: Developing e-mail policy, my chance to shine, help me please
>Date: Sun, 26 Nov 2006 10:46:45 -0700
>
>The distinction I'd make between email and backup tapes is this: Backup
>tapes are kept irrespective of content because the "content" here is as
>disaster recovery/business continuity. Insofar as there is a meaningful
>distinction between vital electronic records and nonvital electronic
>records, one might treat certain backup tapes differently than others, but
>that is not very common today.
>
>IANASRBDNAL (I am not an SEC-regulated broker dealer, nor a lawyer), but my
>understanding is that SEC, NASD, etc. require that emails and other
>communications relating to trades or client communications as defined by 
>the
>regulation are required to be maintained - not every single email ever sent
>or received by a broker-dealer. If my understanding is incorrect I'd 
>welcome
>the correction, but I don't believe that an email about my brother's
>anniversary party would be required to be kept by the SEC.
>
>Backups are, or should be, a different beast whose retention is based 
>solely
>on the business and/or statutory requirements for disaster recovery and
>business continuity. I can't imagine a non-statutory reason for keeping
>backups longer than 30 days (notwithstanding legal holds).
>
>For those of you in government who might think, "Hey! State law says all
>email created on state time and state computers are records and have to be
>kept", I have two responses. First, whatever the statute says, goes - even
>if it's a silly statute. At least in CO we have plenty of those. Second,
>even with a statute in place, there are determinations as to whether a
>record is transitory, time- or event-based, or permanent retention and 
>those
>determinations are based on content.
>
>My tuppence on a brisk CO morning,
>
>Jesse Wilkins
>CDIA+, LIT, ICP, edp, ermm, ecms
>IMERGE Consulting
>[log in to unmask]
>(303) 574-1455 office
>(303) 484-4142 fax
>YIM: jessewilkins8511
>SL: Jesse8511 Market
>Looking for the latest education on electronic records, email, and imaging?
>Visit http://www.imergeconsult.com/schedule2.html for a current schedule of
>courses.
>
>-----Original Message-----
>From: Records Management Program [mailto:[log in to unmask]] On Behalf
>Of bobd
>Sent: Sunday, November 26, 2006 10:36 AM
>To: [log in to unmask]
>Subject: Re: Developing e-mail policy, my chance to shine, help me please
>
>In a message in reply to Laura Bolt message Larry Medina stated:
>
>"E-mail IS NOT A RECORD SERIES.  E-mail is the conveyance the information
>arrives or is sent by, and the retention period should be based on the
>content of the e-mail itself"
>
>I am not sure I agree with Larry and others who have basically stated the
>same thing.  For some reason I believe I remember that our retention
>schedule for a company I worked for in a past life had established the
>retention period for the rotation of the backup tapes as part of the IT
>processes and procedures.
>
>If a backup tape can be considered a series, why not E-Mail if used to
>retain the information of all email for a specific period of time.  While 
>an
>individual email message must be identified by content, filed, and retained
>just like records in other formats the contents of all email received could
>be saved for a specific period of time as established by the internal 
>policy
>of the organization, i.e., a backup system for email messages only that
>would be documented on the retention schedule with the specific retention
>requirement.
>
>An example would with the SEC requirement for retaining email/IM, etc., of
>individuals who work as broker/dealers.  Their emails are required to be
>backed up.  No distinction of content is established (except they are
>broker/dealers).
>
>Now I would guess that each message received is also filed in electronic
>and/or paper format based on content (client name, etc.,) to confirm sale 
>or
>discussion.
>
>If my logic is correct you could have two separate records series for the
>same information with two separate retention periods.
>
>One for:
>
>E-Mail which I believe still has a three (3) year retention period. (17 CFR
>240-17(a)-4)
>
>E-Mail and/or other format copy filed as part of the client file which 
>would
>be retained for xxx number of years.  Possible as long as the client does
>business with the company. (17 CFR 240.17a-4(c))
>
>Just my thoughts on the subject on a cold rainy day in the rainy, rainy
>Pacific Northwest.
>
>Bob Dalton, CRM
>Dalton Consulting
>1-253-229-4555
>[log in to unmask]
>
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