Records & Information Management

1. Records & Information Management E-Mail How Are You Gonna Manage it? Helping others Manage the E-Mail Explosion Presented by: Richard E Smith, CRM April 2, 2007

2. Records & Information Management It can be defined as the precise and judicious application of accepted practices and standards to control the: • creation • dissemination • utilization • organization • retrieval • retention • disposition Of all records, regardless of Media - which includes e-mail

3. What is a Record? Records are evidence of a business transaction or an administrative activity • Must be retained to satisfy legal and operational requirements such as: • Contractual • Administrative • Financial • Research • Historical • Tax • Quality Management System

4. Record Retention • Employees create, receive, maintain, and dispose of business records and information • Records provide essential proof that the company has met its legal, contractual and operational requirements • Federal, state and local statutes and regulations require certain records be retained

5. Records & Information Managementand Electronic Records • E-mail volume will only increase, so our reading (and writing) habits must improve, researchers suggest.

6. Some tips and e-mail tools: • Set up folders to organize mail. • “Urgent" folder for top priority tasks; • “Aging" folder for mail older than 30 days; • "cc" messages into a folder that doesn't require action. • Create folders for tasks, and one for messages tied to upcoming events that don't require immediate answers. • Beyond that, sort messages automatically by sender and date. • Set your e-mail so it lets you view the first few lines in a message as well as the subject line; it might be enough to handle the message. • Write boilerplate text to answer common e-mail inquiries, and consider automatic replies as well. • Subscribe to mail lists sparingly. • Maintain separate personal and business e-mail accounts.

7. Break Backlog Behavior • Changing your habits also eases e-mail pressure. • Simple Time management Techniques • Setting a time in both the morning and afternoon to handle e-mail, and dealing with each message only once. • Etiquette applies to e-mail, • Don't overwhelm a colleague's mailbox with large attachments. • Write clear, succinct subject headers, which help to sort mail. • Write clear, succinct messages. • Don't label a message "high priority" unduly, • Use cc: sparingly. • Avoid chain letters and jokes. • Remember, not every e-mail requires an answer.

8. Records & Information Managementand Electronic Records • Records & Information Management principles apply to electronic mail and voice mail • Most e-mails are non-records and can be disposed of – once their business purpose has been met

9. Electronic Mail • E-mail is divided into two record areas • E-mail content and attachments • Transmission and receipt data

10. Electronic Mail Records • May include the following: • Policies & Directives • Correspondence & Memos • Work schedules & assignments • Document drafts circulated for review or approval • Messages that initiate, authorize, or complete a business transaction • Final reports

11. Electronic Mail Non Records • Personal messages or announcements not related to official business

12. Electronic Mail Management • Identify and separate official company records from non-records • Save official records in designated file units • Index, retain and document the deletion of official records in accordance with the Master Records Retention Schedule (MRRS)

13. Master Records Retention Schedule (MRRS) • The MRRS consists of a comprehensive list of records series that defines the retention period based on: • Legal Requirements • Contractual Requirements • Operational Requirements • Documents retention requirements for business records and information

14. Electronic Mail Retention • Preserve all address, distribution, transmission, and receipt information with the message content • Protect the official company records from alteration, loss, corruption, or premature destruction • Be aware of and apply RM policies and procedures for e-mail management

15. Electronic Mail is Discoverable • Electronic records can be used as evidence in litigation proceedings • Official records must be identified, managed, protected, and disposed in accordance with the MRRS

16. Electronic Mail Tips • Separate unrelated, personal information from e-mail business records • Download e-mail messages and attachments that require retention • Protect messages, files, records, and passwords from unauthorized third parties • Understand company e-mail policies and procedures

17. Electronic Mail Policy • Describes the requirements for the disposition of records or information in the form of electronic messages • E-mail user responsibility…. • Authority reference should be back to your records management policy

18. Need to Remember • E-mails at work are business communication • Don’t assume that e-mails will be deleted • E-mail can be forwarded and end up anywhere, including the press • Make sure e-mails are accurate and complete • Consider whether there is a better way to handle an issue than e-mail

19. Effective Writing • Use one topic per message. • Make actions clear. • Write short, concise messages. • Proofread your messages before sending. • Important points should be “up front” and not buried in the middle or at the end. • Don’t send all messages out “urgent” because it’s like calling “wolf.” No one will believe you when you do have an urgent message. • Important messages should be followed up by a phone call. • Be careful to use the “To” and “CC” distribution as intended. • Do not put “a cast of thousands” on all your messages because it could cause reader to ignore important messages. • We send too many e-mails. • Talk to people who sit close by.

20. E-mail is or can be a an Official Company Document • E-mail is a company record and belongs to the company. • E-mail should be handled as any other letter on letterhead. (Don’t put anything in writing you wouldn’t want discovered.) • E-mail empowers us.

21. Security Issues • Keep access code secure. • Do not send confidential e-mail to people who should not receive it. • Is there a “need to know?” • Keep in mind that if we want to “forward” an encrypted e-mail, we must also “encrypt” before sending.

22. Conflicts & E-mail Don’t Mix • Don’t try to settle conflicts over e-mail. • Don’t write something that you wouldn’t say to someone directly. • If angry, wait until you “cool off” to send it. Note: No one ever regretted the e-mail they didn’t send • E-mail can become a rumor mill.

23. Recommended must haves for any Records Management Team for e-mail training • E-Mail Rules: A Business Guide to Managing Policies, Security, and Legal Issues for E-Mail and Digital Communication by Nancy Flynn, Randolph Kahn "Whether you employ one part-time worker or 100,000 full-time professionals, any time you allow employees access to your e-mail system, you put your organization's assets, future and reputation at risk." 

24. Must Haves continued … • Commonwealth Films • The Plugged-In Mailbox Email Uses and Misuses • Training Topics: • E-mail derailed • Nothing Personal • “Virtual" Food Fights • “X"-mail: • Sensitive email • Digital discovery

25. E-Mail Responsibility • Individuals • Supervisors & Managers • Records & Information Management • Messaging Infrastructure Group • Law Department • Internal Audit • People or HR

26. Questions? Thank You!