University E-mail Retention

REG 08.00.9

Information Technology

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Authority: Issued by the Chancellor

History: First Issued: April 21, 2004.

Additional References:
Public Records Law, N.C.G.S. 132-1 thru 132-10
North Carolina, Office of Archives and History E-Mail Retention Guidelines
NC Office of Archives and History
NCSU Records Retention Schedule, Guidelines for Transferring Materials to University Archives

Contact Info: University Archivist (919-513-3673)

1. Introduction

This regulation governs the retention of electronic mail ("E-Mail").

2. E-Mail and the Public Records Act

E-Mail is simply a method of communicating information and does not in and of itself constitute a public record under the Public Records Act. However, information transmitted by E-Mail may become a public record if it meets the definition in the North Carolina Public Records Act, N.C.G.S. 132-1, i.e., if it is information made or received in the transaction of public business by a state agency. If information transmitted by E-Mail meets the definition of a "public record" then it may not be deleted or otherwise disposed of except in accordance with a records retention schedule approved by the State Division of Archives and History. The content of the E-Mail message determines its retention requirement.

3. Legal Custodian of an E-Mail message

3.1. The legal custodian of an E-Mail message, will normally be the originator if that person is a University employee; otherwise, it will be the individual to whom the message is addressed once the message is received. The legal custodian is the person responsible for ensuring compliance with the Public Records Act.

3.2. Although most agencies also periodically back up information residing on system hard drives, this is not done for archival purposes or to meet the requirements of the Public Records Act, but as a safety measure in case of system failure or unlawful tampering ("hacking"). The system administrator is not the legal custodian of messages that may be included in such back up files. While NCSU E-Mail Servers are provided to facilitate the delivery of E-Mail and permit archiving of email messages, the legal responsibility for retention and archiving rests in the legal custodian.

3.3. For users on the administrative computing system, Network and Client Services automatically deletes E-Mail messages older than 180 days and calendar items older than 2 years unless the custodian has taken action to archive these messages. The Legal Custodian is responsible for preserving public records including email, notwithstanding any backup by the computer network, by following the procedures set forth in Section 5 before the expiration of the 180 day period.

3.4. For users on the academic computing system, the information Technology Division provides a default storage allocation per account. No messages are automatically deleted except when an account is closed. E-Mail account holders are responsible for managing on-line E-Mail retention consistent with their allocation. E-Mail received for an over-allocation account is rejected. Additional storage may be purchased on request. The Legal Custodian is responsible for preserving public records including records subject to deletion because of account closure, by following the procedures set forth in Section 5.

3.5. If the legal custodian of the E-Mail leaves employment, it is the responsibility of the relevant unit administrator to ensure that any E-mail remaining on the computer is retained or disposed of in compliance with this regulation and NC State University's approved records retention and disposition schedule. The unit administrator should ensure that such action is taken before an E-Mail account is closed.

4. Types of E-mail Messages

For public records retention purposes, E-mail messages generally fall into the following two categories:

4.1. E-Mail of limited or transitory value. Some E-Mail is of limited or transitory value. For example, a message seeking dates for a proposed meeting has little or no value after the meeting date has been set. Retention of such messages in the computer system serves no purpose and takes up space. Such messages may be deleted as soon as they no longer serve an administrative purpose.

4.2. E-Mail containing information having lasting value. E-Mail is sometimes used to transmit records having lasting value. For example, E-Mail about interpretations of an agency's policies or regulations may be the only record of that subject matter. Such records should be transferred to another medium and appropriately filed, thus permitting E-Mail records to be purged at regular intervals.

5. Procedures for compliance with the records retention requirements of the Public Records Act

While the methods for reviewing, storing or deleting E-Mail may vary, compliance with the retention requirements of the Public Records Act may be accomplished by doing one of the following:

5.1. Retention of Hard Copy. Print the E-Mail and store the hard copy in the relevant subject matter file as would be done with any other hard-copy communication. Printing the E-Mail permits maintenance of all the information on a particular subject matter in one central location, enhancing its historical and archival value.

5.2. Electronic Storage of E-Mail. Electronically store the E-Mail in a file on a disk, or a server, so that it may be maintained and stored according to its content definition under the unit's records retention policy.

6. Guidelines for E-Mail Retention and Disposition

6.1. For additional information and guidelines regarding the retention and disposition of E-Mail messages, legal custodians of E-Mail messages should consult the North Carolina Office of Archives and History guidelines, "E-Mail as a Public Record in North Carolina: Guidelines for its Retention and Disposition." Additional information may be obtained from the University Archivist or the Office of Legal Affairs.

6.2. Any records that are subject to audit proceedings or that relate to pending or probable litigation must be retained until the final conclusion of the audit or litigation, regardless of an approved disposition schedule that would permit earlier disposition. Any record may be retained longer than the period stated in the disposition schedule, in the discretion of the custodian.

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