records management

Managing Your E-Mail

Jim Cundy andAudrey TerryKentucky Department for Libraries & Archives (KDLA)

Northern Kentucky University

1 April 2009


Records Management

Jim CundyKDLA


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])


A common sense definition isA 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.


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.


Public Records: Why Should I Care About Them?Good records are a must to :Effectively carry out programsDocument previous actions and policiesSecure the legal and financial rights of governmentProtect the rights of citizens Record the history and intent of public policy


Good RecordkeepingMakes information readily available Informs your successorCreates a complete record of official actionsEnsures accountabilityProtects against unauthorized accessFacilitates authorized dispositionEnsures continued service to citizens


Public Records: Who Creates Them?Employees of government agencies/public universitiesA 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; andAny 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)])


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


Records Management: Why Do It?Meet legal and regulatory requirementsRespond to requests for informationMinimize litigation risksReduce operating costsImprove efficiency and productivityProtect vital recordsRetain inactive records properly until disposition


What is a Records Management Program?Files and correspondence management Forms and reports managementRecords retention scheduleIntegrated technology applicationsInformation retrievalRecords Center operationsRecords DestructionVital records protectionDisaster preparedness/recovery planHistorical document preservation (archives)


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.


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.


Records Retention SchedulesAre the cornerstone of a records management programAre the basis for the economical, efficient maintenance of informationEstablish the minimum period for which records must be kept to satisfy administrative, fiscal, legal and historical requirementsProvide special directions for the management or disposition of information


What are the Benefits of a Retention Schedule?

Elimination of high storage costs through timely destruction of records which have served their purposeImproved retrieval of informationElimination of legal risks from keeping erroneous or outdated materialsEnsuring accountability for the creation of records and the retention of those with permanent value


Managing public records:Whos responsible?In Kentucky, its a shared responsibility:University personnelThe Kentucky Department for Libraries and Archives (KDLA)The State Archives and Records Commission


Universitys RoleCreate adequate and proper documentation of university functions, policies, decisions, and essential transactionsCreate records which protect the rights of agencies and of citizens affectedRespond credibly to Open Records requests(KRS 171.640 and 61.872)


Universitys RoleCreate and maintain an ongoing records management program and regularly apply its retention scheduleControl the creation, maintenance and use of its records; andPartner with KDLA in areas of mutual interest and responsibility(KRS 171.680)


KDLAs RoleManage and control public recordsEstablish standards, procedures and KARs for recording, preserving, and reproducing public recordsAssist public agencies in creating ongoing records management programsHelp agencies establish the retention of the records, subject to the final approval of the State Archives and Records Commission (KRS 171.410 - 740)


The Commissions RoleReview and approve records retention schedulesDecide questions which relate to the destruction or retention of public recordsAdvise KDLA on matters relating to archives and records management (KRS 171.420)


An Appropriate Records Retention ProgramMust be followed as part of the normal course of business and in a systematic mannerWill involve the timely destruction of records and appropriate suspension of destructionWill involve proper notification of appropriate partiesWill involve proper documentationWill be reviewed regularly


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 TerryKDLA


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.


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!


Electronic Records & SignaturesKRS 369.101- 369.120Uniform Electronic Transaction Act (UETA)Validates the use of electronic records and electronic signatures


Characteristics of an Electronic RecordElectronic 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!


E-mail IssuesCommonly considered to be the riskiest form of business communicationMost legal problems stem from personal useIncorrect assumption that e-mail messages are private & not subject to open records requirementsEncourages conversational atmosphere as opposed to more formal, business-like communication Record no longer a static document Disposal can be difficult


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


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 schedulesFollow your Retention Schedule!


E-Mail TypesMost common types of e-mail recordsOfficial Correspondence Documenting agency policies and proceduresU0100 - Retain permanentlyRoutine Correspondence Non-policy in nature and not critical to the agencyU0101 - Retain up to 2 yearsNon-Business Related MessagesU0122 Destroy as soon as possible


Non-business related emailPersonal MessagesNeeds to be a balance between use and abuse Could create riskVirusesLegal liabilityEmbarrassmentSpamProblemsVolumeOffensiveVirusesUnsolicited E-mailA type of spamUnwanted e-mail that is work relatedAdvertising from vendorsNon-work related e-mail from co-workersJokesNews articlesGeneral (Not work related) Announcements


Taken from theGuidelines for Managing Email in KY GovernmentLocated on the KDLA website at:http://www.kdla.ky.govIs it Agency Business?E-mailisReceivedIf NoNon-Business Related Messages U0122Examples:Personal messagesSpamUnsolicited messagesIf YesDetermine Category of Record2. PermanentRecord

Examples:Official CorrespondenceU0100Meeting MinutesU0104Annual ReportsU0112File and Delete According to Retention Period from ScheduleDelete immediately 1. Temporary Record

Examples:Routine CorrespondenceU0101 (Retain 2 yrs)Activity Reports U0113 (Retain 2 yrs.)File in Agency Permanent Retention FileOrPrint to Hard Copy and File

Who Should Keep it?Taken from theGuidelines for Managing Email in KY GovernmentLocated on the KDLA website at:http://www.kdla.ky.gov

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 Didnt Change It

Recipient (You) can

Delete

Originator responsible for Filing

You Did Change It

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

Accessible Separate personal & business messagesStored 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!


Deleting E-mailDelete messages not neededTransitory messagesInformational and Reference materialSpam and other non-business messages


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


E-mail Policy & ProceduresGuidelines for acceptable usePersonal vs. Business (http://cot.ky.gov/policies/) Model Policy and Procedure for the Management of Electronic Mail in Kentucky AgenciesFollow retention periods for the recordsDelete messages when retention periods expireDetermine where & how messages will be retainedIn a user share on a network drivePrint & File Must make sure all information is printedElectronically In central file repository like other electronic records.


E-mail TrainingMake sure all employees are aware of and understand the policy

Provide training onhow to use the e-mail systemFoldersWhere to store e-mailFilters/Rules

how to send/receive e-mailDont send sensitive/confidential e-mailRestrict personal/casual e-mailControl of copiesE-mail etiquette


Sample Filing Structure for E-mail

NON-BUSINESS RELATED CORRESPONDENCE (U0122 Delete immediately) Personal MessagesSpam/ 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 BAnnual or Summary Reports (U0112)Policies and Procedures (U0124)Meeting Minutes (U0104)

Microsoft OutlookCreating a Personal Folder


Microsoft Outlook OptionsSetting/Editing Rules


Microsoft OutlookAutoArchiving Feature


E-mail ResourcesKDLA website: www.kdla.govUnderstanding E-mail page:http://www.kdla.ky.gov/recmanagement/tutorial/email.htm Guideline for Managing E-mail in KY GovernmentInternet and E-mail Acceptable Use PolicyStorage of E-mail Messages using Outlook


Questions/Comments?KDLA web site: http://www.kdla.ky.gov

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

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


The easiest way to remember this is to note that public records in Kentucky are open to the public unless exempted by statute. Those exemptions may be in broad terms, like those in KRS 71.878, which exempts certain categories of records. Other more specific examples include KRS 194A.060, which exempts records promulgated by Health and Family Services records; or KRS 200.490, which exempts those records promulgated by the Commission for Children with Special Health Care Needs:

All information as to medical data, personal facts, and circumstances obtained by theCommission for Children with Special Health Care Needs staff shall constitute privilegedcommunications, shall be held confidential and shall not be divulged without the consentof the father, mother, guardian, person who committed the child, or the patient involved,except as may be necessary to provide additional services to children through othermedical, welfare or service agencies and institutions. Such information may be disclosedin summary, statistical or other form which does not identify particular individuals.

I would add to this list an explicit statement that good records are a must to ensure legal compliance. If we are to provide service to our clients, we need proper records to respond to concerns, provide information, etc.These are the various elements of service provision, not only from the current staff, but from those to come. From the moment a customer walks in the door or call me or e-mails me, I need to be able to provide something to help that person. At least, I can point him in a direction. At the most, I can provide the particular information he needs. I can only do that, in a trustworthy fashion, if I have maintained good records.Directly stated: Every public employee creates public records. This is tricky for at least two reasons: (1) The advent of the personal computer This means everyone with a desktop, laptop, Blackberry, etc. creates records and has a responsibility to manage them. Recordkeeping no longer exists in a centralized environment where specific people are responsible for management of an agencys records. Now the people who create the records are directly responsible for their management. (2) It is not always clear, given outsourcing, who is a public employee.To address the various issues mentioned above (responsibility, transparency, service provision), it is not enough to create the records. It is also necessary to apply systematic controls to records that are created. What is true of recordkeeping is also true of records management: it has become significantly decentralized. Given the use of PCs, each employee has a responsibility to manage the records they create. Why do records management? It provides Administrative, legal, fiscal and research benefits. Most directly, KRS 61.8715, Statement of legislative intent directly linking records management with proper conduct of government affairs, specifically responsibility and transparency.The remainder of the presentation is directly concerned with records retention schedules. A records management program is made up of several components, the most important of which is the records retention schedule. My branch, particularly our Records Analysts, are directly concerned with the creation of retention schedules for state agencies. Local records does this work for local agencies.Retention schedules are dynamic documents. They reflect an agencys business practices at the moment of creation. This means that they may need to change as business practices change. They may also need to updated as laws or regulations change. Or, of course, as new records are created. Use of the record series makes the schedule much more concise and easier to use.These, of course, assume the actual, regular, documented application of the records retention schedule. State agency personnel often call saying: Ive got this roomful, closetful, garageful of records. What can I do with them? My response is always: Have you applied your retention schedule?The day-to-day tasks of records management fall to the first of these two entities. The commission advises on matters and approves records retention schedules.To do all this, records management is essential, per KRS 61.8715. Should I create this record? Ultimately, these responsibilities fall to the agency head, but remember the decentralized nature of recordkeeping/records management.This applies to both state and local agencies. We do not do what we do in isolation. Agencies are required to partner with us to manage records and we with them. Practically, this would be the case regardless of statutory mandate. We could not do what we do without agency input. We dont, generally, tell agency staff which records to create. We tell them what to do with the records they create. There are many documents available and we are working on the KARs. We provide direct assistance to government officials on anything related to records management. We serve as staff to the Archives and Records Commission.Commission meets quarterly. Its membership is broadly representative. We gather documentation/propose retention schedules/put them forward. Agency folks appear before the commission when appropriate.Records retention and disposition must not be random. The current retention leaves the door open for random records disposition to be excused.Remember that records disposition is format neutral. E-mail is the most common correspondence medium/correspondence is a common form of e-mail. Turn it over to Mark.Using Auto-Archive - GeneralUsing Auto-Archive Folder level

records management

Documents

university records

good records

kentucky statute

records management program

open records act

state department

public access

school district board