Mary OttRIM Specialist

NE SOS-Records Management DivisionMarch 20, 2012

Records management is the efficient & systematic control

of records through their creation, receipt,

maintenance, use and disposition.

Email is a digital method of delivery for communication

Retention is based on the ‘content’ of the message

Is not saving all email messages forever Is not setting arbitrary time limits for all

messages Is not ‘managing’ because of mailbox size Is not declaring ‘email’ a records series Is not doing nothing

Records must be classified, stored, and destroyed consistent with business, legal historical and financial standards

NE SOS approved Records Retention and Disposition Schedules provide the guidelines employees need to manage records

Email management is performed by individual users Manual Management Automation - Microsoft Office 365 users will use

default retention policies and tags by applying the policies to folders and/or individual emails

List of records or series that determines how long/short a record is retained and provides the final disposition requirements

Schedules are developed based on the business, legal, financial and historical need for the record(s) by an agency or the state

Schedules are your only ongoing statutory authority to dispose of records

Series developed to provide retention guidance for communication not

scheduled/covered in an Agency Specific Schedule. Please check your agency

schedule(s) before using this series for the determination your email retention.

024-026 Communications, Nonrecord – Not related to state government transactions or activities

024-027 Communications, Short-Term (6 months) – Related to the business or operations of your office, but has no documentary or evidentiary value

024-025 Communication, Medium-Term (2 years) – Business/Operational requiring you to take a action or make a decision, but no long-term significance

024-023 Communication, Fiscal (5 years) – Documents purchases, financial obligations, fiscal revenue

024-024 Communications, Long –Term (8 Years) – Establish or implement policy, establish legal rights/responsibilities, document major transactions or has long-term significance for business/operations

024-022 Communications, Event-Driven (Date + Retention) – Open ended, event-driven retention which occurs at some future date

Mandatory Folder Structure Policy Development and Implementation Employees required to folder all sent and

received email Daily/Monthly Manage Email – Retention and

Disposition Including Calendar (2 Year Retention) All Staff with Email Account Trained (30) Training Based on Roles/Department Hands-on Training and Super User Help 1-1 New Staff Training (9)

Retention Policy – System default policies that allow users to apply the retention rules to their folders

Retention Tags – Used to apply the retention rules to individual messages

NE OCIO Email System – Six (6) default tags

Event Driven Records Audit Holds Legal Holds State Archives—For State Employees

designated by the State Archives as having historical role/position in an agency only (See SA Email Guide)

Emails in a ‘Hold’ Folder or with a ‘Hold” Tag will need to be managed manually & follow the appropriate disposition once their retention requirements are done

List/Serv ↔ NonRecord-No Retention Required

Email Response (hours of operation) ↔ 14 Days

Email Response (give recommendation/decision) ↔ 2 Years

Contract Negotiations ↔ Event (5 Years after end of contract, use Never)

Vacation/Sick Leave Request ↔ Approval-5 Years Original Request-14 Days

Internal Procedure Clarification ↔ 2 Years

Policy Development/Decision ↔ 8 Years

Feedback on a Report ↔ 2 Years

Electronic Subscription ↔ Professional Interest < 6 Months

Contact Information – Mary Ott, RIM Specialist◦ mary.ott@nebraska.gov OR 402-471-4184◦ NE SOS Records Management Division

440 South 8th Street, Suite #210, Lincoln, NE 68508◦ Website Addresses

http://www.sos.state.ne.us/dyindex.html http://www.sos.state.ne.us/records-management/

retention_schedules.html

NE State Historical Society (State Archives)◦ Gayla Koerting, State Archivist &

Curator of Government Records◦ gayla.koerting@nebraska.gov OR 402-471-4785

QUESTIONS