Email is one of our preferred methods of conducting University business and because of its predominance the likelihood of emails being official ‘records’ is greater than ever before.
Keeping on top of managing your emails is the individual responsibility of every University employee and staff must ensure that they manage their time to accommodate the management (sorting, filing and disposal) of emails as failure to do this puts the University at risk in a number of ways.
A few important points to remember are:
- The University email system is a communication tool NOT a filing system
- Personal data disclosures by email are the second most likely way in which data breaches occur according to the Information Commissioner’s Office.
- Emails documenting decisions and evidence of business transactions are records and therefore subject to the same legislation and other requirements as records held in other formats.
- Records kept in individual University email accounts are essentially being filed in a personal storage area and are therefore not accessible to others who may need to see them.
- Emails should be routinely managed and stored along with other records pertaining to the same task/subject/business
- Whilst the email system may be considered secure, emails are not encrypted and the content may be intercepted and read by unauthorised persons.
Email appraisal
In broad terms, an email will be considered a record where it provides evidence of University business related activities, events and transactions which have ongoing business, compliance, operational or historical value.
When determining whether or not an email needs to be retained as a record, the following list of criteria should be considered.
If the answer is YES to any of the questions below, then the email is a record:
Does the message:
- Contain information which may need to be provided as evidence in a court of law if the University’s decision is challenged?
- Contain information which documents University decisions, including the discussion showing how the decision was arrived at?
- Document the formulation and execution of policy?
- Contain information upon which University business decisions will, or are likely to be, based?
- Commit the University or its staff to certain courses of action including the commitment of resources and provision or purchase of goods or services?
- Document the establishment, negotiation and maintenance of business relationships with clients (including staff and students)? For example: provision of information or a request from a student.
- Record contractual undertakings entered into by the University?
- Have long term value for future reference or historical purposes?
Is it needed to:
- Prove a business related event or activity did or did not occur?
- Demonstrate the initiation, authorisation or completion of a business transaction?
- Identify who took part in a business activity?
- Satisfy legal/compliance purposes?
- Facilitate business analysis and reporting?
- Display public accountability for policies or decisions?
If none of the criteria above are met, it is unlikely that the email has any record value. Specifically, emails should NOT be considered as records where they are:
- Circulated for information or reference purposes only e.g. event announcements
- Of short term operational value e.g. meeting arrangements
- Mass circulated communications received from external agencies which require no action and are not required for ‘record’ purposes. These may include newsletters, magazines, product information and flyers
- Personal
Non-record emails can be deleted as soon as they are no longer needed. This should be done as soon as possible.
