Effective Email Management and Records Retention Guidelines
This document provides guidelines for effective email management and records retention, emphasizing the importance of classification, storage, and disposition in accordance with business, legal, historical, and financial requirements. It highlights the need for users to apply retention policies/tags based on email content rather than setting arbitrary time limits or saving all emails indefinitely. The use of NE SOS approved Records Retention and Disposition Schedules, along with default retention policies/tags in Microsoft Outlook/Exchange 2010, ensures consistent and compliant management of records. Additionally, it outlines communication retention series and specific retention guidance for different types of communications.
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(name) (title) (agency/division) (date)
correspondence.gif workstation7.gif Records Management is the systematic control of records through creation, receipt, maintenance, use and disposition.
Email is electronic communication Retention is based on the content Is NOT saving all email forever Is NOT setting arbitrary time limits for all messages Is NOT managing based on available mail box size Is NOT declaring email a records series Is NOT a do-nothing strategy
Records must be classified, stored, and disposed consistent with business, legal historical and financial requirements NE SOS approved Records Retention and Disposition Schedules provide the guidelines State of Nebraska Microsoft Outlook / Exchange 2010 System has default retention policies / tags Users perform email management based on the message content and apply policies/tags to folders and/or individual emails
List of records that determines length a record is retained and provides the final disposition requirements Schedules are developed based on business, legal, financial and historical requirements for the record as determined by agencies and/or the state Schedules are your ONLY ongoing statutory authority to dispose of records
Series developed to provide retention guidance for communication not covered in agency specific schedules Check your agency specific schedule(s) before using this series to determine your email retention requirements
124-034 Communications, Nonrecord Not related to state government transactions or activities 124-035 Communications, Short-Term (6 months) Related to the business or operations of your office, but has no documentary or evidentiary value 124-033 Communications, Medium-Term (2 years) Business/Operational requiring you to take a action or make a decision, but no long- term significance
124-031 Communications, Fiscal (5 years) Documents purchases, financial obligations, fiscal revenue Also see, 124-052 Enterprise Data For Government Efficiency (EDGE) 124-032 Communications, Long Term (8 Years) Establish or implement policy, establish legal rights/responsibilities, document major transactions or has long-term significance for business/operations 124-030 Communications, Event-Driven (Date + Retention) Open ended, event-driven retention which occurs at some future date
Email containing: Content with open ended, event-driven requirements where retention is triggered by a future date or event Content under a legal or potential litigation HOLD requirement State Employees designated with significant historical roles within their agency by the State Archivist (See the NE State Historical Society Communications/Correspondence Guideline) Email under this designation requires manual review and management at the conclusion of an event
Email Content Email Content Recommendation Recommendation List/Serv NonRecord No Retention Required Email Response Hours of Operation 14 Days Email Response Makes Recommendation or Decision 2 Years Contract Negotiations HOLD - Event (Never) (5 Years after End of Contract - Manual Management) Vacation /Sick Leave Request Received Approval 5 Years Sent Request 14 Days Internal Procedure Clarification 2 Years Policy Development and Decisions 8 Years Feedback on Reports or Studies 2 Years Electronic Magazines/Subscriptions < 6 Months or Less (Value Professional Interest) Professional Reference Materials Received or Sent < 6 Months or Less (Value Professional Interest) Projects HOLD Event (Never) ( 5 Years after Project Conclusion Manual Management)
Default Retention Policies/Tags Automated email disposal based on rules and the system cycling process Manual Management for some email Parent folders with assigned Retention determine disposition for sub-folders & email unless: Sub-folder given a different RM policy or individual email tagged with a different RM requirement
MS Outlook / Exchange 2010 allows end users: Management of email By applying retention policies/rules to folders and or individual email Allows flexibility in development of personal folder organization/structure
Assign a retention policy to folders: 1. In the Navigation Pane, click a mail folder. 2. On the Folder tab, in the Properties group, click Policy. 3. On the Policy tab, in the Folder Policy list, click an entry based on your agency s schedules/guidelines. ***NOTE: All subfolders and individual emails within folders will assume the retention rule of folder. It is possible to modify sub-folders and individual emails within folder. But when this is done, the sub-folder retention and/or individual email retention will override the parent folder rule.
Assign a retention policy to email messages: Assign a retention policy to email messages: 1. In the message list, click a message. 2. On the Home Home tab, in the Tags Tags group, click Assign Policy Assign Policy. 3. Under Retention Policy Retention Policy, click an entry based on your organization s guidelines. ***NOTE: The retention policy for a message appears in the header in the Reading Pane under the recipient names and includes the expiration date. If no retention policy is applied, no information appears under the message recipient names.
Email Designated as EVENT Manual management required Must track based on trigger Once trigger has occurred: Assign policy Or move to appropriate folder to initiate retention clock
Compose too quickly Compose too quickly. Grandma reads it. . Don't be careless; write all e-mail as though Hitting "reply all" unintentionally Hitting "reply all" unintentionally. .This is a biggie. And it's not just embarrassing. E E- -mail when you're angry mail when you're angry. . NEVER DO IT! NEVER DO IT! Subject Line Importance Subject Line Importance. .Use brief, meaningful and descriptive subject lines. Change the subject line if you change the topic. Sending Prematurely Sending Prematurely. .Enter the recipient's e-mail address AFTER your e-mail is ready. This helps reduce the risk of an embarrassing misfire, such as sending an important e-mail to the wrong person or e-mailing a half-written note. Forgetting or Sending the wrong attachment Forgetting or Sending the wrong attachment. .Creates duplicate effort & clutters the system. Not reviewing all new messages before replying Not reviewing all new messages before replying. .When you return to the office after a week away, review all new e-mails before firing responses. Including your full e Including your full e- -mail signature adds clutter. mail signature in a response again and again . No need, in a response again and again. Failing to include basic greetings Failing to include basic greetings. .Simple pleasantries; hello" and "thanks .
Nebraska SOS Records Management Division 440 South 8th Street, Suite #210 Lincoln, NE 68508 Website Addresses - http://www.sos.state.ne.us/dyindex.html Duane Doppler, CRM - Electronic Records Manager duane.dopper@nebraska.gov OR 402-471-2747 NE State Historical Society (State Archives) Gayla Koerting, State Archivist & Curator of Government Records gayla.koerting@nebraska.gov OR 402-471-4785
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