1. Managing Your E-Mail Jim Cundy and Audrey Terry Kentucky Department for Libraries & Archives (KDLA) Northern Kentucky University 1 April 2009

2. Records Management Jim Cundy KDLA

3. April 1, 2009Northern Kentucky University 3 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])

4. April 1, 2009Northern Kentucky University 4 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.

5. April 1, 2009Northern Kentucky University 5 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.

6. April 1, 2009Northern Kentucky University 6 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

7. April 1, 2009Northern Kentucky University 7 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

8. April 1, 2009Northern Kentucky University 8 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)])

9. April 1, 2009Northern Kentucky University 9 What is Records Management? The systematic control of recorded information, regardless of format, from the time a record is created until its ultimate disposition.

10. April 1, 2009Northern Kentucky University 10 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

11. April 1, 2009Northern Kentucky University 11 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)

12. April 1, 2009Northern Kentucky University 12 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.

13. April 1, 2009Northern Kentucky University 13 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.

14. April 1, 2009Northern Kentucky University 14 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

15. April 1, 2009Northern Kentucky University 15 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

16. April 1, 2009Northern Kentucky University 16 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

17. April 1, 2009Northern Kentucky University 17 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)

18. April 1, 2009Northern Kentucky University 18 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)

19. April 1, 2009Northern Kentucky University 19 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)

20. April 1, 2009Northern Kentucky University 20 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)

21. April 1, 2009Northern Kentucky University 21 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

22. April 1, 2009Northern Kentucky University 22 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

23. Managing Electronic Mail (E-Mail) Audrey Terry KDLA

24. Northern Kentucky University 24 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.”

25. April 1, 2009Northern Kentucky University 25 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!”

26. April 1, 2009Northern Kentucky University 26 Electronic Records & Signatures KRS 369.101- 369.120 Uniform Electronic Transaction Act (UETA) Validates the use of electronic records and electronic signatures

27. April 1, 2009Northern Kentucky University 27 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!

28. April 1, 2009Northern Kentucky University 28 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

29. April 1, 2009Northern Kentucky University 29 “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

30. Northern Kentucky University 30 “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!

31. Northern Kentucky University 31 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

32. April 1, 2009Northern Kentucky University 32 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

33. 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-mail is Received If “No” Non-Business Related Messages U0122 Examples: Personal messages “Spam” Unsolicited messages If “Yes” Determine Category of Record 2. Permanent Record Examples: Official Correspondence U0100 Meeting Minutes U0104 Annual Reports U0112 File and Delete According to Retention Period from Schedule Delete immediately 1. Temporary Record Examples: Routine Correspondence U0101 – (Retain 2 yrs) Activity Reports U0113 – (Retain 2 yrs.) File in Agency Permanent Retention File Or Print to Hard Copy and File

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

35. April 1, 2009Northern Kentucky University 35 Retaining E-mail Messages All 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!

36. April 1, 2009Northern Kentucky University 36 Deleting E-mail Delete messages not needed  Transitory messages  Informational and Reference material  “Spam” and other non-business messages

37. April 1, 2009Northern Kentucky University 37 SUSPENSION OF DESTRUCTION DESTRUCTION OF RECORDS MUST BE SUSPENDED IN CASE OF LITIGATION, PENDING LITIGATION, OR AN ONGOING OPEN RECORDS DISPUTE

38. April 1, 2009Northern Kentucky University 38 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.

39. April 1, 2009Northern Kentucky University 39 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

40. 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, Memos Listserv Messages _________________________________________________________________________________ TEMPORARY MESSAGES – Delete per Retention Schedule Routine Correspondence (U0101 – delete after 2 years) Project 1 Project 2 Person 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 A Project B Annual or Summary Reports (U0112) Policies and Procedures (U0124) Meeting Minutes (U0104)

41. Microsoft Outlook Creating a Personal Folder

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48. Microsoft Outlook Options Setting/Editing Rules

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57. Microsoft Outlook AutoArchiving Feature

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62. April 1, 2009Northern Kentucky University 62 E-mail Resources KDLA website: www.kdla.gov Understanding E-mail page: –http://www.kdla.ky.gov/recmanagement/tutori al/email.htm –Guideline for Managing E-mail in KY Government –Internet and E-mail Acceptable Use Policy –Storage of E-mail Messages using Outlook

63. April 1, 2009Northern Kentucky University 63 Questions/Comments? KDLA web site: http://www.kdla.ky.gov E-mail: audrey.terry@ky.gov jim.cundy@ky.gov Phone: (502)564-8300 Ext. 247 (Audrey) (502)564-8300 Ext. 237 (Jim) Thank You!