Legal Requirements: Managing Legal Requirements: Managing Your UWSA Email AccountYour UWSA Email Account

Laura A. Dunek, J.D.Laura A. Dunek, J.D.

Records Custodian, UWSARecords Custodian, UWSA

Office of General CounselOffice of General Counsel

University of Wisconsin System University of Wisconsin System AdministrationAdministration

Managing EmailManaging Email

How would you define the term: “Managing How would you define the term: “Managing Email”? Email”?

Why do you think it is easy to create and receive Why do you think it is easy to create and receive email, but difficult to manage the large volume email, but difficult to manage the large volume of email that results?of email that results?

What would make it easier for you to manage What would make it easier for you to manage your UWSA email account?your UWSA email account?

What requirements do you think we have to What requirements do you think we have to follow as state employees?follow as state employees?

PRIVATE SECTOR: The PRIVATE SECTOR: The Difficulty and Cost of Managing Difficulty and Cost of Managing EmailEmail Employees Create Inappropriate Email Employees Create Inappropriate Email

MessagesMessages Lack of GuidanceLack of Guidance Needless Retention of EmailNeedless Retention of Email

PRIVATE SECTOR: The PRIVATE SECTOR: The Difficulty and Cost of Managing Difficulty and Cost of Managing EmailEmail EXAMPLE:EXAMPLE: Employees Create Employees Create

Inappropriate Email MessagesInappropriate Email Messages

Chevron Oil v. Female EmployeesChevron Oil v. Female Employees

1. The Email: “25 Reasons Beer Is Better 1. The Email: “25 Reasons Beer Is Better Than Women”Than Women”

2. The Damage Award: $2.2 million 2. The Damage Award: $2.2 million

PRIVATE SECTOR: The PRIVATE SECTOR: The Difficulty and Cost of Managing Difficulty and Cost of Managing EmailEmail EXAMPLE:EXAMPLE: Lack of Guidance and Needless Lack of Guidance and Needless

Retention of EmailRetention of Email ENRON LAWSUIT RESULTED IN: ENRON LAWSUIT RESULTED IN: ۩۩ 1.6 million emails from Enron employees were 1.6 million emails from Enron employees were posted on a Federal Government website. An posted on a Federal Government website. An average of 8,000 messages per employee.average of 8,000 messages per employee.

۩۩ Emails Contained Embarassing Content: “So…Emails Contained Embarassing Content: “So…You Were Looking for a One-Night Stand? You Were Looking for a One-Night Stand?

Private Sector CompliancePrivate Sector Compliance

ConsultantsConsultants

Software PackagesSoftware Packages

EXAMPLE: Rohm and HaasEXAMPLE: Rohm and Haas

Consultant:Consultant: Two Year Contract at Two Year Contract at approximately $100,000 per year.approximately $100,000 per year.

Vendor Software for Records Management:Vendor Software for Records Management: Cost in excess of $250,000Cost in excess of $250,000

RESULT:RESULT:Four Email Folders:Four Email Folders: Ongoing Work Projects, Ongoing Work Projects, Archival, Drafts, Personal Archival, Drafts, Personal Archival Migration: Archival Migration: Business records Business records transferred from email account into word transferred from email account into word processing files for protected retention. processing files for protected retention.

Public Sector: Most Complex Public Sector: Most Complex Arena for Managing EmailArena for Managing Email State employees have statutory State employees have statutory

requirements, which are not applicable in requirements, which are not applicable in the public sector.the public sector.

Wisconsin’s Efforts to Provide Wisconsin’s Efforts to Provide Guidance on Email ManagementGuidance on Email Management

Department of Administration:Department of Administration: Failed effort to Failed effort to provide guidance for managing electronic mail.provide guidance for managing electronic mail.

Public Records Board:Public Records Board:– Shelved for two years the DOA’s effort to provide Shelved for two years the DOA’s effort to provide

guidance to all state agencies on email management.guidance to all state agencies on email management.– Recently completed a survey of state agencies to Recently completed a survey of state agencies to

assess how electronic records are currently managed. assess how electronic records are currently managed. – Only 21 of 59 state agencies replied.Only 21 of 59 state agencies replied.– Only 12 of 21 provide any form of guidance to their Only 12 of 21 provide any form of guidance to their

employees. employees.

UWSA Email ManagementUWSA Email Management

UWSA General Records Schedules for UWSA General Records Schedules for Correspondence:Correspondence: Achieve the same Achieve the same result as Rohm and Haas—effective email result as Rohm and Haas—effective email management system—and also meet management system—and also meet Wisconsin Statutory Requirements.Wisconsin Statutory Requirements.

Wisconsin’s Records StatutesWisconsin’s Records Statutes Wis. Stats. Wis. Stats. §§ 16.61 and 19.32 §§ 16.61 and 19.32 What is a “public record”?What is a “public record”?

Why is it important to properly manage Why is it important to properly manage public records?public records?

Wisconsin’s Records Wisconsin’s Records Management Statute Management Statute Wis. Stats. § 16.61Wis. Stats. § 16.61

Public records include all materials, Public records include all materials, regardless of physical form or regardless of physical form or characteristicscharacteristics, made or received by any , made or received by any state agency state agency in connection with the in connection with the transaction of public businesstransaction of public business. .

Wisconsin’s Public Wisconsin’s Public Records StatuteRecords Statute Wis. Stats. § 19.32Wis. Stats. § 19.32

““Record” means any material Record” means any material regardless of regardless of physical form or characteristicsphysical form or characteristics, , which has which has been created or is being kept by an been created or is being kept by an authorityauthority and upon which written, drawn, and upon which written, drawn, printed, spoken, visual or electromagnetic printed, spoken, visual or electromagnetic information is recorded or preserved. information is recorded or preserved.

Wisconsin’s Public Wisconsin’s Public Records StatuteRecords Statute Substance, not format, is determinative.Substance, not format, is determinative.

Therefore, your email is often a public Therefore, your email is often a public record.record.

PUBLIC RECORDS BOARD: PUBLIC RECORDS BOARD: Powers and DutiesPowers and Duties The Public Records Board shall safeguard the The Public Records Board shall safeguard the

legal, financial, and historical interests of the legal, financial, and historical interests of the state in public records. Wis. Stats. state in public records. Wis. Stats. § 16.61(3)(a)§ 16.61(3)(a)

All public records made or received by or in the All public records made or received by or in the custody of a state agency shall be and remain the custody of a state agency shall be and remain the property of the state. Those public records may property of the state. Those public records may not be disposed of without the written approval not be disposed of without the written approval of the board. Wis. Stats. of the board. Wis. Stats. § 16.61(4)(a)§ 16.61(4)(a)

PUBLIC RECORDS BOARD: PUBLIC RECORDS BOARD: Powers and DutiesPowers and Duties State agencies shall submit records State agencies shall submit records

retention schedules for all public records retention schedules for all public records series in their custody to the board for its series in their custody to the board for its approval within one year after each record approval within one year after each record series has been received or created…Wis. series has been received or created…Wis. Stats. Stats. § 16.61(4)(b)§ 16.61(4)(b)

Records Management: Records Management: Enforcement Enforcement Department of Administration: “The Department of Administration: “The

department shall establish and maintain a department shall establish and maintain a records management service to records management service to periodically audit the records management periodically audit the records management programs of state agencies…”Wis. Stats. programs of state agencies…”Wis. Stats. § § 16.62(1)(c)16.62(1)(c)

Records Management: Records Management: Enforcement and ComplianceEnforcement and Compliance

Public Records Requests, primarily from Public Records Requests, primarily from media outletsmedia outlets

Wisconsin LegislatureWisconsin Legislature Legislative Audit BureauLegislative Audit Bureau LitigationLitigation The University of Wisconsin System The University of Wisconsin System

AdministrationAdministration

UWSA COMPLIANCE UWSA COMPLIANCE REQUIREMENTSREQUIREMENTS

COMPLIANCE DEADLINE:COMPLIANCE DEADLINE: July 1, 2006 July 1, 2006

۩۩ Start Date for Internal Audits, which Start Date for Internal Audits, which will be performed by OIS.will be performed by OIS.

۩۩ Management Team will oversee Management Team will oversee compliance.compliance.

Records Management: The Records Management: The BasicsBasics

1. Is it a record?1. Is it a record?

2. If it is a record, then how long do I have 2. If it is a record, then how long do I have to keep it?to keep it?

Is It a Record?Is It a Record?

Are all of the materials held by a Are all of the materials held by a University employee subject to University employee subject to Wisconsin’s Records Laws?Wisconsin’s Records Laws?

Non-Records Under the Non-Records Under the Records Management Statute Records Management Statute Wis. Stats. § 16.61Wis. Stats. § 16.61

DUPLICATES:DUPLICATES: “Record” does not include “Record” does not include duplicate copies of materials, the original copies duplicate copies of materials, the original copies of which are in the custody of the same state of which are in the custody of the same state agency and which are maintained only for agency and which are maintained only for convenience or reference and for no other convenience or reference and for no other substantive purpose.substantive purpose.

NOTE: The public records law includes NOTE: The public records law includes duplicates because they: “duplicates because they: “have been created or have been created or are being kept by an authorityare being kept by an authority.” .”

What Is Not a Record: What Is Not a Record: Wis. Stats. § 16.61Wis. Stats. § 16.61

Notices or invitations received by a state agency Notices or invitations received by a state agency that were not solicited by the agency and that are that were not solicited by the agency and that are not related to any official action taken, proposed, not related to any official action taken, proposed, or considered by the agency.or considered by the agency.

NOTE: The public records law includes notices NOTE: The public records law includes notices and invitations because they: “and invitations because they: “have been created have been created or are being kept by an authorityor are being kept by an authority.” .”

What Is Not a Record: What Is Not a Record: Wis. Stats. § 19.32(2)Wis. Stats. § 19.32(2)

““Record” does not include materials Record” does not include materials that are purely the that are purely the personalpersonal property property of the custodian and have no relation of the custodian and have no relation to his or her office.to his or her office.

““Record” does not include drafts, Record” does not include drafts, notes, preliminary computations and notes, preliminary computations and like materials prepared for the like materials prepared for the originator’s originator’s personalpersonal use. use.

What Is Not a Record: What Is Not a Record: Wis. Stats. § 19.32(2)Wis. Stats. § 19.32(2)

““Record” does not include drafts, notes, Record” does not include drafts, notes, preliminary computations and like preliminary computations and like materials prepared by the originator in the materials prepared by the originator in the name of a person for whom the originator name of a person for whom the originator is working. is working.

Records Management: Non-Records Management: Non-recordsrecords

1. 1. Destroy non-records as soon as they Destroy non-records as soon as they

are no longer needed in order to are no longer needed in order to

complete a work project.complete a work project.

2. 2. UWSA’s Email System is at 92% UWSA’s Email System is at 92%

capacity:capacity: 20% of UWSA employees 20% of UWSA employees

occupy 80% of the space on the server.occupy 80% of the space on the server.

Records Management: Records Management: Properly Properly Manage Duplicate CopiesManage Duplicate Copies

1. Everyday You are a Records Custodian:1. Everyday You are a Records Custodian: When you When you create or receive a record on behalf of the University of create or receive a record on behalf of the University of

Wisconsin System Administration.Wisconsin System Administration.

2. Team Projects: Who is the Records Custodian?2. Team Projects: Who is the Records Custodian? ۩۩ Assign a Assign a records custodian for each work project. records custodian for each work project. ۩۩ Only the designated records custodian must keep Only the designated records custodian must keep emails received on behalf of UWSA. All others may emails received on behalf of UWSA. All others may delete the duplicate emails they receive.delete the duplicate emails they receive.

Managing Your Email: UWSA Managing Your Email: UWSA General Records SchedulesGeneral Records Schedules

FOUR CATEGORIES OF EMAILFOUR CATEGORIES OF EMAIL

1. Business Related Correspondence: Historical1. Business Related Correspondence: Historical

2. Business Related Correspondence: 2. Business Related Correspondence:

Litigation or AuditLitigation or Audit

3. Business Related Correspondence: 3. Business Related Correspondence:

RoutineRoutine

4. Business Related Correspondence: Short-4. Business Related Correspondence: Short-

TermTerm

Business Related Business Related Correspondence: HistoricalCorrespondence: Historical Email correspondence is historically Email correspondence is historically

significant when it affects the current or significant when it affects the current or future course of the University of future course of the University of Wisconsin.Wisconsin.

Retention Period:Retention Period: Permanent Permanent After no more than 20 years documents After no more than 20 years documents must be transferred to University of must be transferred to University of Wisconsin ArchivesWisconsin Archives

Business Related Business Related Correspondence: HistoricalCorrespondence: Historical EXAMPLEEXAMPLE

Business Related Business Related Correspondence:Correspondence:

Correspondence that is directly connected to the transaction of public business, which is undertaken and performed by the University of Wisconsin System Administration employees.

Business related correspondence may: (1) establish policies, guidelines, or procedures; (2) certify a transaction; (3) become a receipt; (4) perpetuate or formalize business activities of the University of Wisconsin System; or (5) serve as a helpful resource for completing the future business of the University.

Business Related Business Related Correspondence: Audit or Correspondence: Audit or LitigationLitigation

Business related correspondence may be necessary for audit or litigation.

Retention Period:Retention Period: After a business related project is completed, litigation or audit correspondence relating to that project should be retained for a minimum of seven years.

Business Related Business Related Correspondence: Audit or Correspondence: Audit or LitigationLitigation EXAMPLE:EXAMPLE:

Business Related Business Related Correspondence: RoutineCorrespondence: Routine Routine correspondence does not: establish Routine correspondence does not: establish

policies, guidelines, or procedures; formalize the policies, guidelines, or procedures; formalize the business activities of the University of business activities of the University of Wisconsin System; and it is never needed for Wisconsin System; and it is never needed for litigation or audit purposes.litigation or audit purposes.

Routine correspondence is directly connected to Routine correspondence is directly connected to the transaction of business, but it is needed only the transaction of business, but it is needed only to: (1) assist in administering a business project, to: (1) assist in administering a business project, or (2) communicating routine information to or (2) communicating routine information to project team members. project team members.

Retention Period: Retention Period: One yearOne year

Business Related Business Related Correspondence: RoutineCorrespondence: Routine EXAMPLE:EXAMPLE:

Business Related Business Related Correspondence: Short-termCorrespondence: Short-term

Short-term correspondence is required Short-term correspondence is required only for a limited time to informally only for a limited time to informally communicate information or complete communicate information or complete temporary activities. temporary activities.

Short-term correspondence has no Short-term correspondence has no business value after receipt and review, business value after receipt and review, would not be filed in a records retention would not be filed in a records retention system, and should be destroyed when no system, and should be destroyed when no longer needed by a University employee. longer needed by a University employee.

Business Related Business Related Correspondence: Short-termCorrespondence: Short-term Short-term correspondence is not needed Short-term correspondence is not needed

for: statutory, legal, fiscal, administrative, for: statutory, legal, fiscal, administrative, or archival purposes; nor in the future in or archival purposes; nor in the future in order to complete the business of the order to complete the business of the University. Moreover, short-term University. Moreover, short-term correspondence does not establish correspondence does not establish policies, guidelines, or procedures, certify policies, guidelines, or procedures, certify a transaction, become a receipt, nor a transaction, become a receipt, nor perpetuate or formalize business activities.perpetuate or formalize business activities.

Business Related Business Related Correspondence: Short-termCorrespondence: Short-term

1. Messages with short-lived or no administrative value. 1. Messages with short-lived or no administrative value. 2. Messages created or received as part of a distribution 2. Messages created or received as part of a distribution list or received from listservs and other internet list or received from listservs and other internet sources, solely for convenience or reference. sources, solely for convenience or reference. 3. Routine requests for information or publications and 3. Routine requests for information or publications and copies of replies, which do not require administrative copies of replies, which do not require administrative action, special compilation, or research to reply. action, special compilation, or research to reply. 4. Quasi-official notices including memoranda and other 4. Quasi-official notices including memoranda and other records that do not serve as the basis of official action, records that do not serve as the basis of official action, such as notices of holidays, blood drives, charity or such as notices of holidays, blood drives, charity or bond campaigns and similar records. bond campaigns and similar records.

Business Related Business Related Correspondence: Short-termCorrespondence: Short-term RETENTION PERIOD: Two months or RETENTION PERIOD: Two months or

destroy when no longer needed, destroy when no longer needed, whichever is soonerwhichever is sooner

EXAMPLE:EXAMPLE:

File Management for File Management for Electronic CorrespondenceElectronic Correspondence Entire content of the message, including Entire content of the message, including

the chain of communication from previous the chain of communication from previous authors.authors.

Complete Metadata:Complete Metadata:To:To:From:From:Subject:Subject:

Appropriate Content for Appropriate Content for Electronic CorrespondenceElectronic Correspondence Professional toneProfessional tone Related to the business of the UniversityRelated to the business of the University Before pressing the “send” button, Before pressing the “send” button,

scrutinize the content of your email scrutinize the content of your email messages. messages.

Every email message potentially could be Every email message potentially could be printed within a news story, or read on air printed within a news story, or read on air by a news anchor. by a news anchor.

UWSA Email: The Importance of UWSA Email: The Importance of Properly Managing Your EmailProperly Managing Your Email

Feds Get Records In Travel Feds Get Records In Travel Case More Information Sought Case More Information Sought

The Capital Times The Capital Times FRONT PAGE FRONT PAGE Saturday, February 11, 2006Saturday, February 11, 2006