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Presentation on Records Management and E-mail, originally presented at UWM September 10, 2008
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Identifying, Organizing, and Preserving E-mail records
90% of all new records created electronically
E-mail comprises majority of new e-records
E-mail records subject to same laws and regulations as paper records
NOT ALL E-MAIL IS A RECORD!
There’s so much of it!Used for business AND personal reasonsUsed for ephemeral or informal purposesRandom deletion creates legal liability
Example: White House emails; Arthur Andersen
Keeping all email maintains legal liability Example: Enron; Microsoft; Bear Stearns
Must be discoverable (litigation, open records, etc.)
Volume of email received by most people becomes unmanageable Searching difficulty Accidental deletion of important email Exceeded quotas for inboxes
As a State employee, you are responsible for the contents of your inbox!
Identify e-mail records and non-records
Utilize PantherLink and other tools to create and organize e-mails
Determine appropriate retention and disposition of record e-mails
Explore strategies for long-term e-mail preservation
Records: Recorded information, in any format, that allows an office to conduct business Does NOT include unofficial records:▪ Duplicate Copies▪ Drafts and Informal Notes▪ Routing Slips▪ Personal Correspondence
“Does this document help me perform the duties in my job description?”
Does your file:▪ Support or document a transaction?▪ Document the formulation or execution of a policy,
interpretation of a policy, or change of policy?▪ Document Actions taken in response to an inquiry?▪ Relate to the substantive business of your office
or work unit?▪ Provide information regarding the historical
development of UWM programs or people? If “yes” to any of the above, it is a record!
E-mail to contractor clarifying terms: Record!
E-mail from department head to staff giving committee assignments: Record! Sender must retain as record; recipient(s)
may delete as appropriate E-mail asking for draft comments: Non-
Record! If attachment is not record, neither is
‘routing’ email
The official record, for business and legal purposes, of a business transaction If you take any action on a document,
that document becomes YOUR record, even if other copies are maintained elsewhere
EXCEPTION: Convenience copies may be discarded freely
If you create a document as part of your everyday work, you are the record holder
If you manage or lead a committee, project, or program, you are the record holder
If you are holding a received record for reference, you are NOT the record holder Sender usually record holder in these cases
Two Rules of Thumb: 1. Try not to send personal e-mails from
your university account; if you do, though, keep them separate from your work e-mails.
2. Never send work-related e-mails from personal e-mail accounts!
Do not put anything in an email that you would not want made public via litigation!
Incoming Email
INBOX
Private
Delete
University Related
DeleteRetainReply
For Current Use Delete Outgoing Email
Retain Delete
Decision: Is it university-related (work) or private (non-record)?
Decision: Determine the action necessary.
Archive
Decision: Determine the action necessary following retention policies.Decision: Retain previous message in reply.
Decision: Determine the action necessary following retention policies.
Email Management Decision Tree
UW-Madison Archives and Records Management Services (ARMS)
Use descriptive subjects! Bad: “Project Info” Good: “Project XYZ 9/08 Parameters”
Consider your audience! Do you need that cc: recipient?
Include signature block! Assists with ‘paper trail’
Benefits of ‘tagging’ and ‘folksonomy’
Develop office-wide categories to describe documents Working with other users on this allows
categories to work on broader scale, more consistently
From there….?Tag/Categorize documents as they
are created
Keep all emails in your inbox Advantages: Easy; computer-aided
searching Disadvantages: Inbox clutter, manual
searching Foldering Scheme
Advantages: retain context; manual searching; reduces inbox clutter
Disadvantages: Large implementation and maintenance requirement
Delete non-record email as neededManually file emails for
reference/retention, OR set up filters Filter by sender, subject line, recipient,
etc. partially automates filingLeave emails in inbox that require
quick follow-through File appropriately once responded to
Retention Schedule-based (“Big Bins”) Good for dealing with multiple series; ‘fire
and forget’ for retention Low organizational control; bad for day-to-
day Chronologically
Good for activity tracking, financial recs, etc.
Useful for keeping track of disposition Subject
Good for administrative/reference files Most versatile, requires most vigilance
Combining one or more of the filing archetypes to fulfill reference/retention needs
Example: Reference Correspondence▪ FY2006▪ November
Smith, A Smith, K
Be Consistent!!!!
To document the operations of your office
To document important programmatic decisions
To preserve the history of your office and UWM
To provide legal protection for your office
To comply with Wisconsin state law! Wis. Stats. 16.61; Wis. Stats. 36.19
To use less server spaceTo reduce the clutter in your inboxTo avoid confusion about which file
is the record copyTo provide legal protection for your
office
Records Retention and Disposition Authority (RRDA) Retention period (minimum) Final Disposition Record Series description
When followed, RRDAs, or Records Schedules, simplify decision-making process on keeping/destroying records
Required by state law!
Non-record emails (drafts, notes, etc.) may be deleted immediately
Official Records may not be destroyed without a schedule If an e-mail would be part of a series as
a letter, use that series’ retention schedule!
Contact Records Officer to arrange for e-records survey and scheduling
Approved by the Public Records Board in August 2008
Apply to all forms of electronic communication, NOT just email
Provide guidance for correspondence existing outside of established record series
DOES NOT supersede existing RRDAs
Normal communication of transaction of business
No historical value; varying administrative value Examples: decision-making
correspondence; response to inquiries for information; comments on reports
Retain: Six months and destroy
Communication with little value beyond immediate response
No historical value; minimal administrative value Examples: Setting time for appointment;
campus-wide mail received; “ready-reference” requests (hours, etc.)
Retain: Seven days and destroy Why even this long? Liability reasons
Not strictly covered by GRS, but most important category of emails
Set policy, provide evidence of transactions, explain decisions
Consult UWM Archives re: what constitutes “historical value”
Retain: As needed for admin. value, then transfer to Archives
Applied by official in advance of lawsuit potential
If a litigation hold is placed on a record series or email group, no records from that series may be destroyed Supersedes all existing records schedules Records outside scope of hold follow normal
disposition Also applies to Open Records Requests Contact Records Management or Legal
Affairs with questions
Set aside a little time each day/week as ‘purge time’
‘Purge day’ at end of FY or in slow times?
Set up date search for archiving PantherLink can do this via “advanced
search”Consider separate areas for “active”
and “inactive” emailsWhen in doubt, hold on to it!
UWM Archives does not currently have a dedicated E-Records Repository A few ‘stop-gap’ solutions in motion
Preservation problems: Medium CD-ROMs? Magnetic Disks? Server?
Preservation problems: Data Format Obsolescence? Proprietary Formats?
Message: Is the content of the document adequately preserved?
Media: Is the storage medium durable enough to retain its integrity over time?
Metadata: Is there enough supplementary info to contextualize the document?
If you lose even one of these components of an electronic record, you have not adequately preserved it.
Subject Recipient(s) and senderDate/Time sent/receivedAttachmentsSignature blockE-mail headers (usually hidden)
Avoids problems of obsolescence, mutability
Most office managers better equipped to deal with paper records
UWM Archives can accession paper records more easily
Disadvantage: No searchability or reusability; onus to print on user; wasteful
Storing documents as created by applications
Easiest option for most users, particularly if well-organized
Disadvantage: Affects e-mail quota; harms system performance; no backup puts data at risk
UWM Archives is NOT equipped to handle emails directly from PantherLink
Files converted to non-proprietary format (TIFF, XML, PDF/A) and stored remotely PantherFile, Dept. LAN, CD-R
Reduces/eliminates need for migration or emulation
Provides backup and transfer options Disadvantage: Conversion may be labor-
intensive; onus on user for now PantherLink does this to a limited degree;
Zimlet (hopefully) coming soon https://pantherlink.uwm.edu/home/
[email protected]/Folder%20Title.zip
Why share? Internal Collaboration Project Review Workflow Remote appraisal of records for
retentionSharing Options?
Viewer, Manager, Admin Standard or Customized message Remember to accept if offered share!
Archive your email on your computer or server space, not on the email server Think about it: do you check out books
from the Post Office? Convert archived email to neutral
format TXT files are easiest; XML files preserve
metadata better Keep attachments associated with
email files
Include original message and reply inline when possible Allows for complete documentary record Only need to save last message in thread
Include all relevant information if printing: Header information Body Text Attachments Signature blocks
As much as is possible, consider record e-mails to be ‘normal’ university records, and treat them as such!
Stay on top of managing your emails, and they won’t spiral out of control!
UW System Policy on Use of University Information Technology Resources http://www.uwsa.edu/president/communications/publicat/itpolicy.htm
UITS Short Courses (The Email Management course is particularly useful)
https://www4.uwm.edu/uits/services/training/courses/index.cfm
State of Wisconsin E-Mail Policy and Guidance http://enterprise.state.wi.us/home/email/Default.htm
Wisconsin DOA Electronic Records (See especially the training links) http://enterprise.state.wi.us/home/erecords/
ADM Ch. 12: Electronic Records http://www.legis.state.wi.us/rsb/code/adm/
adm012.pdf
New Records Management Home Page! http://records.uwm.edu Includes links to UWM and UW-System
General Records Schedules, webcasts, this presentation
Or, Contact Records Management directly: [email protected] (Brad Houston) 414-229-6979