Evidence-Based E-Mail
Management at UNC:
A Search for Best Practices and
User Compliance
Dr. Helen R. Tibbo
Tibbo@ils.unc.edu
http://www.ils.unc.edu/tibbo/HRTibbo.htm
Thought for the day….
“The end-user manages e-mail.”
-ARMA Guideline for Managing E-mail
2
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Primacy of the Individual
“Tip” O’Neill: “All politics is local.”
 Desktop e-mail management and subsequent
archiving of material from the university
environment presently depends on the
individual and his or her specific information
management behaviors.

3
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
The Situation
Most staff, faculty, and administrators,
especially the latter two groups, have little or
no training in information management.
 Electronic records are inherently fragile. If
they are not “preserved” early in their lives,
they will not endure.
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4
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
University Environment
Universities tend to be loosely tied federations
of schools and departments that each
cherishes its own autonomy and vision.
 Faculty generally see themselves as
independent contractors, working for the
university.
 Unfortunately, they may take the same
approach with documents.
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5
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Lack of Recordkeeping Systems

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6
While institution-wide electronic records management
systems (ERMS) can improve desktop management,
few universities employ one.
But deployment is only part of the battle: David
Wallace argues that “there are no magic bullets, only
context-sensitive desktop and system level
implementations.”
To do this, we need to know more about users.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
A Public Institution

7
E-mail (as well as all other print & electronic
records) retention/disposition at the 16
campuses that make up the UNC system is
governed by the NC Public Records Law, NC
General Statutes, Chapter 132.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Print It Out!

8
To date, the only acceptable means to
“archiving” electronic records, and especially email in NC, has been printing out all records or
microfilming them.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Reality Check!


Folks, it ain’t happening!
About 1/3 of employees are printing out e-mail and
other electronic files frequently.
–

9
Are you???
Rick Barry reports that up to 80% of e-mail creators
state that they do not “have a clue” when e-mail
messages constituted official records.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Ignorance of the Law…

In our pilot survey, only 2 out of 55
respondents said they had a good deal of
knowledge of the NC PRL.
–
–
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10
21 said they had no knowledge
23 said they were not sure they had heard of the
law
8 claimed some knowledge of the NCPRA
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
The People
End users, creators, and receivers control the
electronic record.
 Rules, guidelines, ERMS, and even laws are
nice, but they are weak controls on human
behavior.
 We do not understand how academics handle
their electronic records, esp. e-mail.

11
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Best Answer?

12
The most likely answer for the development of
sound policies and subsequent compliance to
state laws, and the effective and efficient
management of electronic mail in general,
would appear to be user education based on an
understanding of user needs and behaviors
within the context of legal, fiscal, scholarly,
and administrative requirements.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Project Goals
Gather and analyze user and system data to
understand how folks are using e-mail and
their digital desktops.
 Design “practice-based” desktop management
guidelines based the above data; a survey of
such guidelines from other universities, state
and federal governments, and associations; and
the realities of state records law.

13
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
More Goals…
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Develop teaching modules – both classroom
and web-based – to train faculty,
administrators, and staff how best to manage
their electronic desktops, and especially, the
electronic public records they create/receive
for their own good and for the good of the
university within legal mandates.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
And…Dissemination

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Disseminate information about the best
practices guidelines and instructional units
across the 16-campus UNC system via a
statewide conference and to other universities
via the records management/archival
literatures and conferences.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
End User Challenges
What are their document retention practices
(regardless of records schedules); and
 What particular challenges do they face with
digitally transmitted materials.
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16
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Project Methodology

Assess, through campus and system-wide surveys
and follow up interviews and focus groups, how
faculty, administrators, and staff use and process
electronic documents on their desktops, especially
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what types of applications they use;
what types of files and public records they create/receive;
how they organize their desktops;
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Findings from Pilot Survey
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55 useable survey responses from 8 units on campus;
34% response rate.
39 (71%) respondents had worked at UNC 6 or more
years; 26 (47%) more than 15 years.
24 females; 31 males.
34 faculty; 12 administrators; 6 staff; 1 NR.
6 assistant professors; 12 associate professors; 15
professors; 7 distinguished professors.
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Choice of Daily E-mail Application
2 – Eudora
1 – Hotmail
1 - Isis
5 - Mulberry
1 - Mutt (Unix)
11 - Netscape
19
18 - Outlook
3 - Outlook Express
8 - Pine
7 - Siren
3 – None listed
4 - Used 2-3 packages daily
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Importance of E-mail
33 (60%) respondents said e-mail was their
most important software application.
 20 (36%) placed it second, primarily behind
word processing.
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20
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Long Using E-mail?
35 (64%) said they had been using e-mail
before 1992;
 14 (26%) started between 1992 and 1995;
 4 (7) between 1996 and 1999
 1 (2) since 2000
 So, 90% have had at least 6 years experience
with e-mail.
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21
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Many Messages Per Day?
3 (6%)
 11 (20%)
 16 (29%)
 7 (13%)
 8 (15%)
 2 (4%)
 8 (15%)

22
0-10
11-20
21-30
31-40
41-50
51-60
more than 60
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Many Messages in the Old
In-box…
Average #:
Median #:
Least
Most
23
558
58
0
5545
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Many Messages in the Sent
File?
Average #:
Median #:
Least
Most
24
893
216
0
5500
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Many Messages in the Delete
File?
Average #:
Median #:
Least
Most
25
832
17
0
12,000
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Much Time Is Devoted to Email Management Each Day?
8
 28
 12
4
1
1

26
(15%)
(51%)
(22%)
(7%)
(2%)
(2%)
less than 1 hour/day;
1-2 hours/day;
2-3 hours/day;
4-5 hours/day;
5-6 hours/day;
more than 6 hours/day
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Is E-mail a Productivity Tool?
25
 12
9
6
2

27
(46%)
(22%)
(16%)
(11%)
(7%)
Definitely!
Probably
Not sure
Probably not
Definitely not
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Percentage of Business
Correspondence Done Via E-mail
26 (47%)
 15 (27%)
 12 (22%)
 2 (4%)

28
76-100%
51-75%
26-50%
less than 25%
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
When Do Folks Read Their E-mail
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29
50 (91%)
20 (36%)
27 (49%)
18 (33%)
17 (31%)
30 (55%)
29 (53%)
First thing in the morning
When signaled
Occasionally during workday
All the time during the workday
End of workday
From home
When away from UNC-CH
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Do University Folks Feel
about E-mail?
Great!
27
 Comfortable 25
 OK
2

30
(49%)
(46%)
(4%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
How Do They Feel about How
They Are Managing Their E-mail?
Very satisfied
 Somewhat satisfied
 No opinion
 Not very satisfied
 Unsatisfied

31
11
26
1
13
2
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
(20%)
(47%)
(2%)
(24%)
(4%)
10/12/2001
Organizing E-mail

47 (85%) organize e-mail messages into folders
while 8 (15%) do not. Of the 47…
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32
6 (13%) respondents have fewer than 10 folders
17 (36) have 11-25
12 (26%) have 26-50
12 (26%) have more than 50
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Back-up!
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31 (56%) said their e-mail was backed up;
12 didn’t know;
6 said that it was not backed up;
6 indicated they did not know if e-mail was backed-up.
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23 of the 31 who indicated their e-mail was backed-up said
their school or department was responsible for this;
5 said UNC IT program; and
2 said they did all their own back-ups;
1 did not know who might be doing this…
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
What do Folks Do With Important
Messages?

Print them out and file in a paper filing system
and file it in an e-mail folder for electronic
retrieval:
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Frequently
Sometimes
Never
13 (24%)
24 (44%)
17 (31%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Just Print and File Paper…
Frequently
 Sometimes
 Never

35
7 (13%)
29 (53%)
17 (31%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Just File Electronically
Frequently
 Sometimes
 Never

36
34 (62%)
11 (20%)
6 (11%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Read, Act, Delete Without Filing
Frequently
 Sometimes
 Never

37
20 (36%)
26 (47%)
8 (15%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Keep Message in the In-box
Frequently
 Sometimes
 Never

38
23 (42%)
21 (38%)
11 (20%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
What About Those Pesky
Attachments?

Print them out and file in paper system and file
as electronic files.
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–
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39
Frequently
Sometimes
Never
12
25
12
(22%)
(46%)
(22%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
File Attachments in Paper Filing
System
Frequently
 Sometimes
 Never

40
4
28
16
(7%)
(51%)
(29%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
File Attachments in an Electronic
Folder (Word, Excel, etc.)
Frequently
 Sometimes
 Never

41
25
22
4
(46%)
(40%)
(7%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Keep Attachments with Original Email Message in E-mail Application
Frequently
 Sometimes
 Never

42
14
20
17
(26%)
(36%)
(31%)
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Conclusions
Folks get a lot of e-mail, but the amount varies
greatly – different practices may be necessary
for different folks.
 People exhibit very different behaviors – from
constantly cleaning their delete file to having
over 12,000 messages in it. Differing behaviors
may relate to differing compliance levels with
guidelines and laws.

43
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Conclusions
Few folks have heard of the NC PRA in any
detail; few probably know what constitutes a
public record; few are following UNC-CH
guidelines for retention.
 Lots of folks are filing their messages
electronically (perhaps only electronically).
 We need to know how folks are filing.

44
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Conclusions
We may need instruction/resources available in
how to name and organize files.
 With so many folks filing messages
electronically we need to make sure these files
are backed up.
 This will have to be an ongoing effort with
support from the top administration.

45
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001
Future

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46
Record creators/receivers need to understand the
fragile nature of the electronic record.
They also need to understand some of the basic
principles of records management & archivy.
Additional they need to realize that they are first line
records managers and archivists who will determine if
electronic records live or die.
We need to give folks the tools for “ubiquitous
archiving.”
ECURE 2001: Evidence Based E-mail Management
Helen R. Tibbo
10/12/2001