1. Records Management – Email & Shared Drives
Chris Carper
Records Manager – UND Office of Records Management

2. Records Retention Policy

3. Agenda
Records Management Overview
Management
Shared Drives
Q&A

4. UND Records Management
The main objective of the Records Management department is to assist university departments in managing their records throughout the entire life cycle of the records, from creation or receipt, through the use and maintenance stage, until final disposition of the records.

5. Records Life Cycle
Creation or
Receipt
Use
Maintenance
Disposition

6. What is a Record? The North Dakota Century Code (NDCC 54-46-02)
Record is a “document, book, paper, photograph, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.”
State Record is defined as “A record of a department, office, commission, board, or other agency, however designated, of the state government.”

7. What is a Record? Records Criteria Administrative Fiscal Legal
Accomplishment of Work
Example – Employment Application
Fiscal
Evidence of Activities
Example – Invoice
Legal
Legal Obligation
Example – Contract
Historical
Archival Value
Example – Presidential Letters

8. What is not a Record? Transitory Information Duplicates Drafts
Reference Materials
Personal Communications
Supplies
Blank Forms/Media

9. Records Mediums Paper Electronic Microforms Office Documents Email
Texts
Instant Messages
Scanned Images
Pictures
Audio & Video Files
Blogs, Wikis, Tweets
Microforms

10. Official Records One Official Record Office of Record
Department or Individual Responsible for the Creation, Receipt or Maintenance of the Record
Listed on the Records Retention Schedule
Disposition of Official Records
Governed by the UND Records Retention Schedule
Retention is based on the content of the record

11. UND Retention Schedule
The Records Retention Schedule is
University Policy
List of records and appropriate retention periods
Applied, regardless of the media used to produce, receive, or maintain a record
Subject to holds
Living Document
Maintained in conjunction with NDUS Colleges/Universities Retention Schedule
The records retention schedule ensures that records are retained for at least the minimum period required by federal, state and local laws and regulations

12. Why not save records forever?

13. Records Disposition Rationale
Compliance with Laws & Regulations
Risk Mitigation
Reduced Search Volume
Cost Savings
Storage
Staff Time
Discovery
Open Records Requests

14. Records Coordinators Departmental Records Liaison
Resource for records questions and procedures
Records hold resource
Records Retention Schedule Resource
Review of new, existing and obsolete records series
Records Disposition
Identify records that are eligible for destruction or transfer
Prepare records for disposition
Schedule records destruction or transfer

15. Managing
are subject to the same retention requirements as other records
Is it a Record?
Records
Created or received in the transaction of official business
Evidence of official policies, actions, decisions or transactions
Non-Records (Transitory)
retention requirements
No single retention requirement
Based on the content of the
(Source: UND Policy for the Retention of – Office of Record)

16. What Email is a Record? Examples Criteria Decisions
Policies, guidance or procedures
Operations, organization
Meetings or other activities
Significant or historical information
Criteria
Could this help make it clear how a business decision was made?
Could this help me support or justify my actions?
Could this form part of a financial, legal or business audit trail, claim or obligation?
What has transpired or will transpire due to this message?
Whose authority made a decision?
What advice was given?
What was involved?
When did it happen?
Is there a chronology of events?
(Source: UND Policy for the Retention of – Office of Record)

17. What Email is not a Record?
s which are for transmittal purpose only, contain no significant information and do not require action
s of a personal nature
s received from a listserv
s announcing social activities or events
s that are the interim messages in a “string” of messages. Only the last message in the “string” needs to be retained since all the information will be contained in the “final” message in the series
(Source: UND Policy for the Retention of – Office of Record)

18. Managing Email Email Management Responsibility
generated within the institution
The author of an deemed to be a record is responsible for the retention, classification and disposition of the
Recipients of the are not responsible for the retention of the . Their copy can be deleted when it is no longer useful.
generated outside the institution
The recipient of an generated outside UND that documents official UND business is responsible for the retention, classification and disposition of the
(Source: UND Policy for the Retention of – Office of Record)

19. Strategies for Managing Email
Manage s are soon as possible
Storage and Indexing
Outlook Sub-Folders
Create a structure of sub-folders and move records from the Inbox
Outlook Categorize
Create categories and apply to individual s
Search by category will assist with the application of retention
Print and Store
Electronically (Recommended)
Perceptive Content
Physically
Deletion
Deleted records retained in Trash for 45 days
Sent Box
Remember to purge non-records from sent box on a semi-regular basis

20. Managing
All are subject to the North Dakota Open Records Law, NDCC (barring specific records that relate to medical records, student records, and a few other items deemed by law to be a closed record). If it is on your computer, shared drive, flash drive, external hard or any other storage device, it is discoverable.

21. Shared Drives
The vast majority of shard drive content and files are not records
Determine if the content is a record
Determine if the record is retained elsewhere
Strategies for Management
Separate records from working documents
Develop a folder structure based on record series
Move inactive records to fiscal year folders to make disposition more manageable
Purge records and content on an annual basis

22. ND Open Records Law What does the Open Records Law require?
“Unless otherwise provided by law, all records of public or government bodies, boards, bureaus, commissions, or agencies of the state or any political subdivision of the state, or organizations or agencies supported in whole or in part by public funds, or expending public funds, shall be public records, open and accessible for inspection during reasonable office hours”
(Per ND Constitution Article XI, 6)

23. ND Open Records Law What material is covered by the Open Records Law?
The term ‘record’ does not include ‘every scrap of written material possessed by a public official.’ To be subject to the open records law, a record must have a link or association with public business. Public business means “all matters that relate or may foreseeably relate in any way to..[t]he performance of the public entity’s governmental functions, including any matter over which the public entity has supervision, control, jurisdiction, or advisory poser; or…[t]he public entity’s use of public funds.”
(Per ND Open Records and Meeting Manual)

24. ND Open Records Law Examples of Closed (Exempt/Confidential) Records
Certain Law Enforcement Records
Trade Secrets, Proprietary, Commercial and Financial Information
Personal Medical and Health Records
Student Records
Disease Control Records
Computer Programs
Financial Account Numbers
Personal Information of Licensed Professionals
Applications (until three finalists are selected)

25. Summary Records retention is applied regardless of media type
Is it a record?
Does the content have administrative, fiscal, legal or historical value?
Retention is based on the content of the records
Is it my responsibility to save?
Did I create (internally) or receive (externally) the record?
When in doubt, contact the Records Manager

26. UND Records Management Resources
Chris Carper
Carnegie 10b
Office of Records Management