Managing Email
as a Record

Nan Kunde

Campus Records Officer

July 23, 2003

Biggest Challenges

• USER MAKES DETERMINATIONS as to RECORD STATUS
• Lack of record keeping functionality
• It is a medium not a record type
• Recorded communications

Why manage email ?

• The inadvertent miscue
• Time consuming open records request
• Inappropriate use
• Absence of needed documentation
• Discovery is inevitable
• Public perception
  
  *25% of workday spent on email

Self Assessment Survey

• Quick way to assess uses and practices with regard to email
  
  (See Self Assessment)
  
  
  *3 of 4 US workers in survey lost time due to email system problems

Current Policy-UW

• ARMS Bulletin # 4
  archives.library.wisc.edu/rm/arms/armspub.html
• Appropriate use of technology
• Subject to discovery and disclosure
• No expectation of privacy
• Subject to State public records and open records laws
• Subject to copyright

State Email Policy

• Ownership and use
• Roles and responsibilities
• Work rules
• Use of encryption
• Governed by records retention schedules
• Agencies should have own email policies
  http://enterprise.state.wi.us/home/email/Default.htm
• Admin Rule 12
  http://enterprise.state.wi.us/home/erecords/Default.htm

Department Policy

• Recommended
• Key component-Determine responsibility –particularly for those functions directly supported by email
  
  *14% of responding organizations have been subject to court order or asked by regulatory body to produce email

Department Policy cont.

• Some other components
• Notification to clients-may be advisable/required if email is to be used as only communication medium.
• Know retention and disposition requirements

Appropriate Use

• What is the business process being served?
• What types of information are involved?
• What are the expectations of my clients, users?
• Do I need to create a record?
• Is e-mail the right tool?

Appropriate use:

• What function is being served /supported?
• What is mission of the program?
• What information is being transmitted?
• What are the risks in transmitting such information?
• Is the client aware, approved use of email ?

This graphic shows incoming and outgoing email as the sources of all email. All email is then subdivided into categories:

FUNCTIONAL EMAIL
- Email to be retained
- Email to be destroyed

PRIVATE EMAIL
- Reference email

Identify Non-records

• Non-records
  Announcements
• Listservs
• Routine communications; requests for information, no administrative value beyond 6 months
• Personal messages
• Disposition : Delete regularly

Identify-Records

• Guidance
  Campus-wide records retention schedules Department schedules
• Uncertain ? Does the email support a transaction ? Convey a decision ? Interpret a policy ?

Categorize

• Basic Rules
  * Make folders to facilitate retention and disposition
  * Have categories functionally based
  *Reflect way records are used and referenced in your department
  *Close out folders annually

Segregate and Retain:

• Segregate and Incorporate into Department Record Keeping System that will ensure:
  *Retained messages are complete
  Content
  Structure
  Context
  *Transmission and contextual data for each email are inseparably linked

Storage of Email

• Review retention requirements
• Know functionality of email client
• 3 options:
  * on line
  * near line
  * off line
• Handout-implementation options-for future discussion
  

Creating E-mail Records

• Identification of the sender
• Meaningful subject line
• Date, time
• Signature block

Creating E-mail Records

• Authentication
  Always identify the sender
  If sending mail for another, indicate so.
  No unauthorized use of someone else’s password or address.
• Electronic signatures

Conclusion –Managing Email As Records

• Know what your records keeping responsibilities are
• Separate and delete regularly non-records
• Identify records
• Establish a classification system-functionally based, conform to retention policies
• Apply retention requirements
• Determine a method of storage and retention that works in your situation

Managing E-mail as Records

• Maintenance Practices
  Delete non-record material regularly
  -- Find out how the deletion process works
  -- Make sure all copies are deleted
• Follow campus recommendations for security
• Identify record copy
• Backups regularly completed and coordinated with disposition actions

Managing E-mail as Records

• Be sure all necessary information is saved with the message. Otherwise you will not have a complete record.

return to Electronic Records Forum home page

Page provided by the University of Wisconsin-Madison, Archives and Records Management Services (ARMS) <http://archives.library.wisc.edu/index.html> 2003