Managing Your E-Mail Jim Cundy and Audrey Terry Kentucky Department for Libraries & Archives (KDLA)...

Managing Your E-Mail

Jim Cundy and

Audrey TerryKentucky Department for Libraries & Archives (KDLA)

Northern Kentucky University

1 April 2009

Records Management

Jim Cundy

KDLA

April 1, 2009 Northern Kentucky University

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Public Records: What are they?

• Specifically defined by Kentucky statute as “all books, papers, maps, photographs, cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form and characteristics, which are prepared, owned, used, in the possession of or retained by a public agency.” (KRS 171.410[1])


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A common sense definition is…

• A record is any documentary material, regardless of format, created or received by university faculty, staff or administration in the performance of his / her official duties.


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Public Records: What Are They?

• The General Assembly recognizes that while all university records are public records for the purpose of their management, not all public records are required to be open to public access, as defined in the Open Records Act. Some are exempt under, for example, the terms of KRS 61.878.


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Public Records: Why Should I Care About Them?

Good records are a must to :• Effectively carry out programs• Document previous actions and policies• Secure the legal and financial rights of

government• Protect the rights of citizens • Record the history and intent of public

policy


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Good Recordkeeping…

• Makes information readily available • Informs your successor• Creates a complete record of official

actions• Ensures accountability• Protects against unauthorized access• Facilitates authorized disposition• Ensures continued service to citizens


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Public Records: Who Creates Them?

Employees of government agencies/public universities

A public agency is

• Any state or local office, state department, division, bureau, board, commission and authority;

• Any legislative board, commission, committee and officer;

• Every county and city governing body, council, school district board, special district board, municipal corporation, and any board, department, commission, committee, subcommittee, ad hoc committee, council or agency thereof; and

• Any other body created by state or local authority and which derives at least twenty-five percent (25%) of its funds from state or local authority. (KRS 171.410 [4)])


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What is Records Management?

The systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition.


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Records Management: Why Do It?

• Meet legal and regulatory requirements• Respond to requests for information• Minimize litigation risks• Reduce operating costs• Improve efficiency and productivity• Protect vital records• Retain inactive records properly until disposition


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What is a Records Management Program?

• Files and correspondence management • Forms and reports management• Records retention schedule• Integrated technology applications• Information retrieval• Records Center operations• Records Destruction• Vital records protection• Disaster preparedness/recovery plan• Historical document preservation (archives)


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What is a Records Management Program?

Implementing a records management program involves the creation and regular use of a records retention schedule and the participation of CED personnel, working in cooperation with the staff of KDLA and the State Archives and Records Commission.


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What is a Records Retention Schedule?

• A schedule is a list of each record type (a “records series”) and each electronic system created by a public university, along with a retention period and disposition instructions for each series.

• A record series is simply a filing unit or document maintained as a unit because it relates to a particular subject or function, results from the same activity, or has a particular form.


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Records Retention Schedules

• Are the cornerstone of a records management program

• Are the basis for the economical, efficient maintenance of information

• Establish the minimum period for which records must be kept to satisfy administrative, fiscal, legal and historical requirements

• Provide special directions for the management or disposition of information


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What are the Benefits of a Retention Schedule?

• Elimination of high storage costs through timely destruction of records which have served their purpose

• Improved retrieval of information• Elimination of legal risks from keeping erroneous

or outdated materials• Ensuring accountability for the creation of records

and the retention of those with permanent value


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Managing public records:Who’s responsible?

In Kentucky, it’s a shared responsibility:

• University personnel

• The Kentucky Department for Libraries and Archives (KDLA)

• The State Archives and Records Commission


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University’s Role

• Create adequate and proper documentation of university functions, policies, decisions, and essential transactions

• Create records which protect the rights of agencies and of citizens affected

• Respond credibly to Open Records requests

(KRS 171.640 and 61.872)


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University’s Role

• Create and maintain an ongoing records management program and regularly apply its retention schedule

• Control the creation, maintenance and use of its records; and

• Partner with KDLA in areas of mutual interest and responsibility

(KRS 171.680)


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KDLA’s Role

• Manage and control public records• Establish standards, procedures and KARs for

recording, preserving, and reproducing public records

• Assist public agencies in creating ongoing records management programs

• Help agencies establish the retention of the records, subject to the final approval of the State Archives and Records Commission (KRS 171.410 - 740)


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The Commission’s Role

• Review and approve records retention schedules

• Decide questions which relate to the destruction or retention of public records

• Advise KDLA on matters relating to archives and records management

(KRS 171.420)


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An Appropriate Records Retention Program

• Must be followed as part of the normal course of business and in a systematic manner

• Will involve the timely destruction of records and appropriate suspension of destruction

• Will involve proper notification of appropriate parties• Will involve proper documentation• Will be reviewed regularly


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What About Digital Records?

• The ultimate purpose and process of identifying, preserving and producing information remain the same: to “authenticate” and have a fact finder consider, the important information that proves your position.

Robert W. Dibert, Frost, Brown and Todd, LLC

Managing Electronic Mail (E-Mail)

Audrey Terry

KDLA


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WHAT IS A PUBLIC RECORD?

KRS 171.410 defines a public record as: “all books, papers, maps, photographs,

cards, tapes, disks, diskettes, recordings and other documentary materials, regardless of physical form or characteristics, which are prepared, owned, used, in the possession of or retained by a public agency.”


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What is an Electronic Record?

KRS 369.102 defines electronic record as:

“a record created, generated, sent, communicated, received, or stored by electronic means.”

“Computer Record!”


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Electronic Records & Signatures

KRS 369.101- 369.120

• Uniform Electronic Transaction Act (UETA)

• Validates the use of electronic records and electronic signatures


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Characteristics of an Electronic Record

Electronic Records must be managed in a way that protects the:

– Authenticity-A record must be what it purports to be.– Reliability-A record must be a full and accurate

representation of the transactions, activities, or facts to which it attests.

– Integrity-A record must be complete and unaltered.– Usability-A record must be able to be located, retrieved,

presented, and interpreted.

For the entire life of the record!


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E-mail Issues

• Commonly considered to be the riskiest form of business communication

• Most legal problems stem from personal use• Incorrect assumption that e-mail messages are

private & not subject to open records requirements• Encourages “conversational atmosphere” as

opposed to more formal, business-like communication

• Record no longer a static document • Disposal can be difficult


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“What is it?”

E-mail messages:

• are public records (KRS 171.410)

• can be subject to open records requests (KRS 61.870-61.884)

• are discoverable in a lawsuit


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“What is the retention period for e-mail?”

What type of record is it?• E-mail is a communications medium, not a

class of records

• There are several types of records that can be sent via e-mail

• Each of these types of records have different retention periods based on retention schedules

Follow your Retention Schedule!


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E-Mail Types

Most common types of e-mail records• Official Correspondence

– Documenting agency policies and procedures– U0100 - Retain permanently

• Routine Correspondence – Non-policy in nature and not critical to the

agency– U0101 - Retain up to 2 years

• Non-Business Related Messages– U0122 – Destroy as soon as possible


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Non-business related email

• Personal Messages– Needs to be a

balance between use and abuse

– Could create risk• Viruses• Legal liability• Embarrassment

• Spam– Problems

• Volume• Offensive• Viruses

• Unsolicited E-mail– A type of spam– Unwanted e-mail that is

work related• Advertising from vendors• Non-work related e-mail

from co-workers– Jokes

– News articles

– General (Not work related) Announcements

Taken from the

Guidelines for Managing Email in KY

Government

Located on the

KDLA website at:

http://www.kdla.ky.gov

Is it Agency

Business?

E-mailis

Received

If “No”Non-Business Related Messages U0122Examples:Personal messages“Spam”Unsolicited messages

If “Yes”

Determine Category of Record

2. PermanentRecord

Examples:Official CorrespondenceU0100Meeting MinutesU0104Annual ReportsU0112

File and Delete

According to Retention Period from Schedule

Delete immediately

1. Temporary Record

Examples:Routine CorrespondenceU0101 – (Retain 2 yrs)Activity Reports U0113 – (Retain 2 yrs.)

File in Agency Permanent Retention

FileOr

Print to Hard Copy and File

Who Should Keep it?Determining Who is Responsible for Retaining E-Mail Messages

Because e-mail messages can be forwarded and routed to multiple addresses, copies of the messages may exist in many areas of the agency. In most cases, the author, or originator, of the e-mail message is responsible for maintaining the “record” copy. However, in cases in which the recipient has altered the message (made changes, added attachments, etc.), or when the message is coming from outside the agency (and therefore not documented anywhere within the agency), the recipient is the one responsible for retaining the message.

E-mail Arrives

Determine Category of

Record

Is Message From Outside

the Agency?

Recipient (You) Responsible For

Filing

Is Message From Inside

the Agency?

You Didn’t

Change It

Recipient (You) can

Delete

Originator responsible

for Filing

You Did Change It

Taken from theGuidelines for

Managing Email in KY Government

Located on the KDLA website at:



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Retaining E-mail MessagesAll business-related e-mail needs to be:

• Accessible – Separate personal & business messages– Stored in a logical manner

• Secure- Intentional/Unintentional access- Alteration- Damage or Loss

• Backed-up on a Regular Basis

For the entire life of the record!


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Deleting E-mail

Delete messages not needed Transitory messages Informational and Reference material “Spam” and other non-business

messages


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SUSPENSION OF DESTRUCTION

DESTRUCTION OF RECORDS MUST BE SUSPENDED IN CASE OF LITIGATION, PENDING LITIGATION, OR AN ONGOING OPEN RECORDS DISPUTE


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E-mail Policy & Procedures

• Guidelines for acceptable use– Personal vs. Business (http://cot.ky.gov/policies/)

– Model Policy and Procedure for the Management of Electronic Mail in Kentucky Agencies

• Follow retention periods for the records– Delete messages when retention periods expire

• Determine where & how messages will be retained– In a user share on a network drive– Print & File – Must make sure all information is printed– Electronically – In central file repository like other

electronic records.


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E-mail Training

Make sure all employees are aware of and understand the policy

Provide training on– how to use the e-mail system

• Folders• Where to store e-mail• Filters/Rules

– how to send/receive e-mail• Don’t send sensitive/confidential e-mail• Restrict personal/casual e-mail• Control of copies• E-mail etiquette

Sample Filing Structure for E-mail

NON-BUSINESS RELATED CORRESPONDENCE (U0122 – Delete immediately)

Personal Messages

“Spam”/ Unsolicited e-mail

INFORMATIONAL AND REFERENCE MATERIAL – (U0111) Delete when no longer useful.Drafts – Publications, Reports, MemosListserv Messages

_________________________________________________________________________________

TEMPORARY MESSAGES – Delete per Retention ScheduleRoutine Correspondence (U0101 – delete after 2 years)

Project 1 Project 2Person A (Supervisor)Person B (Co-worker)

Activity Reports (U0113 – delete after 3 years)Year #

Jan, Feb, etc.PERMANENT MESSAGES – (As defined by retention schedules* Check with agency records officer

for appropriate filing procedures.)Official Correspondence (U0100 – usually from agency or division head)

Project AProject B

Annual or Summary Reports (U0112)Policies and Procedures (U0124)Meeting Minutes (U0104)

Microsoft Outlook

Creating a Personal Folder


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Microsoft Outlook Options

Setting/Editing Rules


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Microsoft Outlook

AutoArchiving Feature

April 1, 2009 Northern Kentucky University 58


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E-mail Resources

• KDLA website: www.kdla.gov

• Understanding E-mail page:– http://www.kdla.ky.gov/recmanagement/

tutorial/email.htm – Guideline for Managing E-mail in KY

Government– Internet and E-mail Acceptable Use Policy– Storage of E-mail Messages using Outlook


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Questions/Comments?

KDLA web site:


E-mail: [email protected]@ky.gov

Phone: (502)564-8300 Ext. 247 (Audrey)(502)564-8300 Ext. 237 (Jim)Thank You!

mailto:[email protected]

mailto:[email protected]

Managing Your E-Mail Jim Cundy and Audrey Terry Kentucky Department for Libraries & Archives (KDLA)...

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