Presentation is loading. Please wait.

Presentation is loading. Please wait.

Legal Requirements: Managing Your UWSA Email Account Laura A. Dunek, J.D. Records Custodian, UWSA Office of General Counsel University of Wisconsin System.

Similar presentations


Presentation on theme: "Legal Requirements: Managing Your UWSA Email Account Laura A. Dunek, J.D. Records Custodian, UWSA Office of General Counsel University of Wisconsin System."— Presentation transcript:

1 Legal Requirements: Managing Your UWSA Account Laura A. Dunek, J.D. Records Custodian, UWSA Office of General Counsel University of Wisconsin System Administration

2 Managing How would you define the term: “Managing ”? How would you define the term: “Managing ”? Why do you think it is easy to create and receive , but difficult to manage the large volume of that results? Why do you think it is easy to create and receive , but difficult to manage the large volume of that results? What would make it easier for you to manage your UWSA account? What would make it easier for you to manage your UWSA account? What requirements do you think we have to follow as state employees? What requirements do you think we have to follow as state employees?

3 PRIVATE SECTOR: The Difficulty and Cost of Managing Employees Create Inappropriate Messages Employees Create Inappropriate Messages Lack of Guidance Lack of Guidance Needless Retention of Needless Retention of

4 PRIVATE SECTOR: The Difficulty and Cost of Managing EXAMPLE: Employees Create Inappropriate Messages EXAMPLE: Employees Create Inappropriate Messages Chevron Oil v. Female Employees Chevron Oil v. Female Employees 1. The “25 Reasons Beer Is Better Than Women” 2. The Damage Award: $2.2 million

5 PRIVATE SECTOR: The Difficulty and Cost of Managing EXAMPLE: Lack of Guidance and Needless Retention of EXAMPLE: Lack of Guidance and Needless Retention of ENRON LAWSUIT RESULTED IN: ENRON LAWSUIT RESULTED IN: ۩ 1.6 million s from Enron employees were posted on a Federal Government website. An average of 8,000 messages per employee. ۩ s Contained Embarassing Content: “So…You Were Looking for a One-Night Stand?

6 Private Sector Compliance Consultants Consultants Software Packages Software Packages

7 EXAMPLE: Rohm and Haas Consultant: Two Year Contract at approximately $100,000 per year. Consultant: Two Year Contract at approximately $100,000 per year. Vendor Software for Records Management: Cost in excess of $250,000 Vendor Software for Records Management: Cost in excess of $250,000 RESULT: RESULT: Four Folders: Ongoing Work Projects, Archival, Drafts, Personal Archival Migration: Business records transferred from account into word processing files for protected retention.

8 Public Sector: Most Complex Arena for Managing State employees have statutory requirements, which are not applicable in the public sector. State employees have statutory requirements, which are not applicable in the public sector.

9 Wisconsin’s Efforts to Provide Guidance on Management Department of Administration: Failed effort to provide guidance for managing electronic mail. Department of Administration: Failed effort to provide guidance for managing electronic mail. Public Records Board: Public Records Board: –Shelved for two years the DOA’s effort to provide guidance to all state agencies on management. –Recently completed a survey of state agencies to assess how electronic records are currently managed. –Only 21 of 59 state agencies replied. –Only 12 of 21 provide any form of guidance to their employees.

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

11 Wisconsin’s Records Statutes Wis. Stats. §§ and What is a “public record”? What is a “public record”? Why is it important to properly manage public records? Why is it important to properly manage public records?

12 Wisconsin’s Records Management Statute Wis. Stats. § Public records include all materials, regardless of physical form or characteristics, made or received by any state agency in connection with the transaction of public business. Public records include all materials, regardless of physical form or characteristics, made or received by any state agency in connection with the transaction of public business.

13 Wisconsin’s Public Records Statute Wis. Stats. § “Record” means any material regardless of physical form or characteristics, which has been created or is being kept by an authority and upon which written, drawn, printed, spoken, visual or electromagnetic information is recorded or preserved. “Record” means any material regardless of physical form or characteristics, which has been created or is being kept by an authority and upon which written, drawn, printed, spoken, visual or electromagnetic information is recorded or preserved.

14 Wisconsin’s Public Records Statute Substance, not format, is determinative. Substance, not format, is determinative. Therefore, your is often a public record. Therefore, your is often a public record.

15 Declaration of Policy: Wis. Stats. § In recognition of the fact that a representative government is dependent upon an informed electorate, it is declared to be the public policy of this state that all persons are entitled to the greatest possible information regarding the affairs of government and the official actions of those officers and employees who represent them…To that end, this statute shall be construed in every instance with a presumption of complete public access…The denial of public access generally is contrary to public interest, and only in an exceptional case may access be denied.

16 Time for Compliance and Procedures: Wis. Stats. § 19.35(4) Each authority, upon request for any record, shall as soon as practicable and without delay either fill the request or notify the requester of the authority’s determination to deny the request in whole or in part and the reasons therefore.

17 PUBLIC RECORDS BOARD: Powers and Duties The Public Records Board shall safeguard the legal, financial, and historical interests of the state in public records. Wis. Stats. § 16.61(3)(a) The Public Records Board shall safeguard the legal, financial, and historical interests of the state in public records. Wis. Stats. § 16.61(3)(a) All public records made or received by or in the custody of a state agency shall be and remain the property of the state. Those public records may not be disposed of without the written approval of the board. Wis. Stats. § 16.61(4)(a) All public records made or received by or in the custody of a state agency shall be and remain the property of the state. Those public records may not be disposed of without the written approval of the board. Wis. Stats. § 16.61(4)(a)

18 PUBLIC RECORDS BOARD: Powers and Duties State agencies shall submit records retention schedules for all public records series in their custody to the board for its approval within one year after each record series has been received or created…Wis. Stats. § 16.61(4)(b) State agencies shall submit records retention schedules for all public records series in their custody to the board for its approval within one year after each record series has been received or created…Wis. Stats. § 16.61(4)(b)

19 Records Management: Enforcement Department of Administration: “The department shall establish and maintain a records management service to periodically audit the records management programs of state agencies…”Wis. Stats. § 16.62(1)(c) Department of Administration: “The department shall establish and maintain a records management service to periodically audit the records management programs of state agencies…”Wis. Stats. § 16.62(1)(c)

20 Records Management: Enforcement and Compliance Public Records Requests, primarily from media outlets Public Records Requests, primarily from media outlets Wisconsin Legislature Wisconsin Legislature Legislative Audit Bureau Legislative Audit Bureau Litigation Litigation The University of Wisconsin System Administration The University of Wisconsin System Administration

21 UWSA COMPLIANCE REQUIREMENTS COMPLIANCE DEADLINE: July 1, 2006 ۩ Start Date for Internal Audits, which will be performed by OIS. ۩ Management Team will oversee compliance.

22 Records Management: The Basics 1. Is it a record? 2. If it is a record, then how long do I have to keep it?

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

24 Non-Records Under the Records Management Statute Wis. Stats. § DUPLICATES: “Record” does not include duplicate copies of materials, the original copies of which are in the custody of the same state agency and which are maintained only for convenience or reference and for no other substantive purpose. DUPLICATES: “Record” does not include duplicate copies of materials, the original copies of which are in the custody of the same state agency and which are maintained only for convenience or reference and for no other substantive purpose. NOTE: The public records law includes duplicates because they: “have been created or are being kept by an authority.” NOTE: The public records law includes duplicates because they: “have been created or are being kept by an authority.”

25 What Is Not a Record: Wis. Stats. § Notices or invitations received by a state agency that were not solicited by the agency and that are not related to any official action taken, proposed, or considered by the agency. Notices or invitations received by a state agency that were not solicited by the agency and that are not related to any official action taken, proposed, or considered by the agency. NOTE: The public records law includes notices and invitations because they: “have been created or are being kept by an authority.” NOTE: The public records law includes notices and invitations because they: “have been created or are being kept by an authority.”

26 What Is Not a Record: Wis. Stats. § 19.32(2) “Record” does not include materials that are purely the personal property of the custodian and have no relation to his or her office. “Record” does not include materials that are purely the personal property of the custodian and have no relation to his or her office. “Record” does not include drafts, notes, preliminary computations and like materials prepared for the originator’s personal use. “Record” does not include drafts, notes, preliminary computations and like materials prepared for the originator’s personal use.

27 What Is Not a Record: Wis. Stats. § 19.32(2) “Record” does not include drafts, notes, preliminary computations and like materials prepared by the originator in the name of a person for whom the originator is working. “Record” does not include drafts, notes, preliminary computations and like materials prepared by the originator in the name of a person for whom the originator is working.

28 Records Management: Non- records 1. 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. UWSA’s System is at 92% capacity: 20% of UWSA employees capacity: 20% of UWSA employees occupy 80% of the space on the server. occupy 80% of the space on the server.

29 Records Management: Properly Manage Duplicate Copies 1. Everyday You are a Records Custodian: When you create or receive a record on behalf of the University of Wisconsin System Administration. create or receive a record on behalf of the University of Wisconsin System Administration. 2. Team Projects: Who is the Records Custodian? ۩ Assign a records custodian for each work project. ۩ Only the designated records custodian must keep s received on behalf of UWSA. All others may delete the duplicate s they receive.

30 Managing Your UWSA General Records Schedules FOUR CATEGORIES OF 1. Business Related Correspondence: Historical 2. Business Related Correspondence: Litigation or Audit 3. Business Related Correspondence: Routine 4. Business Related Correspondence: Short- Term

31 Business Related Correspondence: Historical correspondence is historically significant when it affects the current or future course of the University of Wisconsin. correspondence is historically significant when it affects the current or future course of the University of Wisconsin. Retention Period: Permanent Retention Period: Permanent After no more than 20 years documents must be transferred to University of Wisconsin Archives

32 Business Related Correspondence: Historical EXAMPLE EXAMPLE

33 Business Related 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.

34 Business Related Correspondence: Audit or Litigation 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.

35 Business Related Correspondence: Audit or Litigation EXAMPLE: EXAMPLE:

36 Business Related Correspondence: Routine Routine correspondence does not: establish policies, guidelines, or procedures; formalize the business activities of the University of Wisconsin System; and it is never needed for litigation or audit purposes. Routine correspondence does not: establish policies, guidelines, or procedures; formalize the business activities of the University of Wisconsin System; and it is never needed for litigation or audit purposes. Routine correspondence is directly connected to the transaction of business, but it is needed only to: (1) assist in administering a business project, or (2) communicating routine information to project team members. Routine correspondence is directly connected to the transaction of business, but it is needed only to: (1) assist in administering a business project, or (2) communicating routine information to project team members. Retention Period: One year Retention Period: One year

37 Business Related Correspondence: Routine EXAMPLE: EXAMPLE:

38 Business Related Correspondence: Short-term Short-term correspondence is required only for a limited time to informally communicate information or complete temporary activities. Short-term correspondence has no business value after receipt and review, would not be filed in a records retention system, and should be destroyed when no longer needed by a University employee.

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

40 Business Related Correspondence: Short-term 1. Messages with short-lived or no administrative value. 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 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 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.

41 Business Related Correspondence: Short-term RETENTION PERIOD: Two months or destroy when no longer needed, whichever is sooner RETENTION PERIOD: Two months or destroy when no longer needed, whichever is sooner EXAMPLE: EXAMPLE:

42 File Management for Electronic Correspondence Entire content of the message, including the chain of communication from previous authors. Entire content of the message, including the chain of communication from previous authors. Complete Metadata: Complete Metadata:To:From:Subject:

43 Appropriate Content for Electronic Correspondence Professional tone Professional tone Related to the business of the University Related to the business of the University Before pressing the “send” button, scrutinize the content of your messages. Before pressing the “send” button, scrutinize the content of your messages. Every message potentially could be printed within a news story, or read on air by a news anchor. Every message potentially could be printed within a news story, or read on air by a news anchor.

44 UWSA The Importance of Properly Managing Your Feds Get Records In Travel Case More Information Sought Feds Get Records In Travel Case More Information Sought The Capital Times The Capital Times FRONT PAGE FRONT PAGE Saturday, February 11, 2006 Saturday, February 11, 2006


Download ppt "Legal Requirements: Managing Your UWSA Email Account Laura A. Dunek, J.D. Records Custodian, UWSA Office of General Counsel University of Wisconsin System."

Similar presentations


Ads by Google