Records Management & E-mail Systems: Working Together

1. Records Management & E-mail Systems: Working Together Risk Management Seminar April 14, 2000

2. What is E-mail? • Document created or received on an electronic mail system. • Just another media for state records.

3. Categories • Business Transaction • Directive or an approval for an action • Interchange of messages about a case or policy issue • Data Interchange with another agency • Information Message • Has a business context; but not part of business transaction • Example: meeting notification • Private Message • Non-business matters

4. Advantages • Quick and easy communication • Immediate dissemination of documents • Logs the time of an exchange of messages • One person can send the same message to numerous people at one time • Less intrusive than the telephone

5. Disadvantages • Same message can exist in multiple locations leading to storage problems • Informality can lead to sloppiness • Easy to edit/alter. • Deletion does not mean destruction • Multiple copies of messages or attached documents can be easily printed and filed

6. Miscellaneous Tidbits Do not send or forward: • Chain Letters • Promotions • Advertisements • Political Propaganda • Any message that is lewd, crude, or socially unacceptable. • Rumors--check facts before sending

7. Nothing Personal…E-Mail is not Personal Property • E-mail messages are the property of the organization. • There should be no expectation of personal privacy for e-mail. • E-mail may be read by others.

8. Managing Your Messages • Refrain from keeping ALL your outgoing messages in “Sent Items”. • Empty trash when exiting. • Use automated Archive feature. • Establish an E-mail Policy. • Set up personal folders to sort e-mail based on retention schedule and Subject Classification System.

9. ND Subject Classification System • Folder Example:

10. E-mail Records • Determine “official record” status for retention purposes. • Official Record: • Made or received pursuant to law or in connection with the transaction of official business. • Preserves evidence of the agency’s organization, functions, and activities. • Documents agency programs, policies, and decisions.

11. Retention of E-mail • Refer to specific retention schedule for the agency. • Refer to State of North Dakota General Retention Schedule. • Base retention on the content of the message. • Print and file in traditional paper system, or • Move to separate file location for record-keeping purposes.

12. Digital Discovery • E-mail may become evidence during legal actions as official records. • Think before you write. • Make sure your facts are correct. • Read and edit before sending. • Keep copies to a minimum. • Follow retention and deletion guidelines.

13. Electronic Communication Policy Establish agency policy regarding: • Appropriate use of e-mail and Internet • Business and personal use of e-mail systems and Internet • Prohibit use for illegal, disruptive, unethical, or unprofessional activities • Privacy and access • Identify who will be allowed access to employee’s systems and under what conditions • Subject to discovery proceedings in legal actions

14. Electronic Communication Policy • Security • Must not be used to transmit classified or confidential information • Ensure passwords are used on all e-mail systems • Electronic communications are not private • Ensure e-mail systems are backed-up and maintained • Outline proper file downloading safeguards

15. Electronic Communication Policy • Management and retention • Records need to be identified, managed, protected, & retained to meet retention requirements • Determine the length of time e-mail will be allowed to remain on the system • Determine the appropriate record-keeping system for storing e-mail with long-term value

16. Electronic Communication Policy • Roles and responsibilities • Identify who is responsible for activities, such as capturing messages into record keeping systems, determining the retention value, training employees in appropriate use, supporting & maintaining the system, and ensuring security • Users are responsible to: • Be courteous & follow standards of etiquette • Protect others’ privacy & confidentiality • Protect passwords • Remove personal messages • Comply with policies & procedures

17. Enterprise E-mail System • Consists of multiple platforms • Microsoft Outlook / Exchange • Lotus Notes / Domino • “Pioneer” (POP3) • Lotus cc:Mail • IBM OfficeVision NOTE: This is a list of platforms used by State agencies. It may not be all-encompassing.

18. Enterprise E-mail System • Nightly mail server backups taken and stored for two weeks • Each person is allowed 30 Meg on the mail server • Data is not systematically purged • Most systems can keep data on client’s PC and/or file-server • POP3 (Pioneer) • Personal Folders & Archives • Offline Folders • There are at least two copies of every message!

19. Internet Usage • Internet sites create a “Cookie” for that site. • Web sites you visit and the length of stay can be monitored. • Don’t visit web sites that include offensive material. • Scan files with virus detection software before installation or execution. • Agency web sites should include disclaimer statement.

20. Voicemail System • Voicemail messages should be retained until action taken • Voicemail messages are deleted once you press “76” and hang up • Voicemail messages are removed after 21 days • Individual voicemail boxes store 12 minutes of messages

21. Questions? Presented by: Gary Vetter, ITD Becky Lingle, ITD