Electronic Records Electronic Records Management Management and Retentionand Retention

by by

Debbie Gearhart, CRM, FAI, DirectorDebbie Gearhart, CRM, FAI, Director

Records Management ServicesRecords Management Services

Dept. of History, Arts & LibrariesDept. of History, Arts & Libraries

OverviewOverview

•Michigan’s Records Management Michigan’s Records Management

ServicesServices

•Retention and Disposal SchedulesRetention and Disposal Schedules

•E-mail RetentionE-mail Retention

•Records Management Application Records Management Application

ProjectProject

Records Management Records Management ServicesServices

Mission:Mission: To provide expertise and To provide expertise and assistance to state and local government assistance to state and local government agencies with managing records and agencies with managing records and information in the most effective, cost information in the most effective, cost efficient, and legally compliant manner.efficient, and legally compliant manner.

OriginsOrigins

1950:1950: Little Hoover Commission Little Hoover Commission

1951:1951: State Office Building Fire State Office Building Fire

1952:1952: Records Management Legislation Records Management Legislation

1954:1954: State Records Center Opens State Records Center Opens

2001:2001: Department of History, Arts and Department of History, Arts and Libraries (HAL) createdLibraries (HAL) created

2002:2002: Executive Order moves RMS from Executive Order moves RMS from DMB to HALDMB to HAL

Laws Laws

•M.C.L. 15.231-15.232 M.C.L. 15.231-15.232 Freedom of Information Act, DefinitionsFreedom of Information Act, Definitions•M.C.L. 18.1284-1292 M.C.L. 18.1284-1292 Management and Budget ActManagement and Budget Act•M.C.L. 399.1-10 M.C.L. 399.1-10 Historical Commission ActHistorical Commission Act•M.C.L. 750.491 M.C.L. 750.491 Penal Code, Public RecordsPenal Code, Public Records

Public RecordsPublic Records

The Michigan Freedom of Information Act The Michigan Freedom of Information Act (FOIA), defines public records as (FOIA), defines public records as recorded information “prepared, owned, recorded information “prepared, owned, used, in the possession of, or retained by used, in the possession of, or retained by a public body in the performance of an a public body in the performance of an official function, from the time it is official function, from the time it is created.”created.”

Retention and Disposal Retention and Disposal SchedulesSchedules

•Inventory of Inventory of records seriesrecords series created and created and maintained by an agencymaintained by an agency

•All types/formats of records must be All types/formats of records must be coveredcovered

•Identify how long records will be keptIdentify how long records will be kept•Identify records with permanent valueIdentify records with permanent value•Identify when certain records can be Identify when certain records can be destroyeddestroyed

•Legal documentsLegal documents

Structured DataStructured Data

•RMS started scheduling databases in RMS started scheduling databases in 19981998

•Analyze purpose of the system, data Analyze purpose of the system, data fields, inputs, outputs, and retention fields, inputs, outputs, and retention requirementsrequirements

•Schedules can help DIT:Schedules can help DIT: Plan data migrationsPlan data migrations Manage data storage spaceManage data storage space Identify data that is eligible for dispositionIdentify data that is eligible for disposition

Unstructured DataUnstructured Data

•Desktop applications are used to create Desktop applications are used to create records that support multiple record records that support multiple record seriesseries Word processed documents, e-mail, Word processed documents, e-mail,

spreadsheets, e-presentations, document spreadsheets, e-presentations, document imagesimages

•Retention is based upon the purpose of Retention is based upon the purpose of the record, not its formatthe record, not its format

•Retention and storage is controlled by Retention and storage is controlled by the userthe user

E-mail RetentionE-mail Retention

E-mail Messages are E-mail Messages are Public RecordsPublic Records

•E-mail is recorded information.E-mail is recorded information.•Employees receive computers and Employees receive computers and users accounts to support their work.users accounts to support their work.

•All e-mail that is sent or received using All e-mail that is sent or received using government technology resources is a government technology resources is a public record.public record.

Tools vs. RecordsTools vs. Records

•E-mail software is a tool that is used to E-mail software is a tool that is used to transmit records from one computer to transmit records from one computer to another.another.

•E-mail messages are records.E-mail messages are records.•Record retention requirements are Record retention requirements are identified based upon content or value identified based upon content or value of the informationof the information Why was the record created? Why was the record created? What business function does it support?What business function does it support?

Examples of Retention Examples of Retention PeriodsPeriods

•Contracts are kept for 6 years after they Contracts are kept for 6 years after they expire.expire.

•General Correspondence is retained 2 General Correspondence is retained 2 years.years.

•State Gov’t. Personnel files are retained 7 State Gov’t. Personnel files are retained 7 years after employee leaves employment.years after employee leaves employment.

•Phone messages are often destroyed Phone messages are often destroyed after the phone call is returned.after the phone call is returned.

•Meeting notices are often destroyed after Meeting notices are often destroyed after the meeting is held.the meeting is held.

E-mail Retention GuidelinesE-mail Retention Guidelines

•Tools designed to educate state Tools designed to educate state employees about their responsibilitiesemployees about their responsibilities

•Endorsed by the Electronic Records Endorsed by the Electronic Records Committee in 2000Committee in 2000

•Issued to local governments in 2001Issued to local governments in 2001•Will be issued jointly by HAL and DIT Will be issued jointly by HAL and DIT after presentation to MITECafter presentation to MITEC

E-mail Storage OptionsE-mail Storage Options

•Print messages that need to be retained Print messages that need to be retained and file in a hard copy system – destroy and file in a hard copy system – destroy electronic copy.electronic copy.

•Create topical folders for e-mail in Create topical folders for e-mail in INBOX and SENT ITEMS folders, so INBOX and SENT ITEMS folders, so messages can be filed and retained in messages can be filed and retained in active e-mail system.active e-mail system.

•Archive e-mail messages.Archive e-mail messages.•Records Management Applications.Records Management Applications.

Storing E-mailStoring E-mail

•Each option has pros and cons.Each option has pros and cons.•No “one size fits all” solution.No “one size fits all” solution.•DIT and management need to select the DIT and management need to select the option that fits best.option that fits best.

•Problem: No consistent retention of e-Problem: No consistent retention of e-mail system contents across mail system contents across government agenciesgovernment agencies

•Ensure that all employees are Ensure that all employees are consistently following procedures.consistently following procedures.

E-mail and FOIAE-mail and FOIA

•If a message still exists (in active If a message still exists (in active accounts, on backup tapes, etc.) when a accounts, on backup tapes, etc.) when a FOIA request is received, it must be FOIA request is received, it must be evaluated by legal staff for release.evaluated by legal staff for release.

•If messages are destroyed on a regular If messages are destroyed on a regular basis, in accordance with approved basis, in accordance with approved Retention and Disposal Schedules, they Retention and Disposal Schedules, they may no longer exist when a FOIA may no longer exist when a FOIA request is received.request is received.

E-mail and LitigationE-mail and Litigation

•Immediately cease all destruction of Immediately cease all destruction of relevant e-mail in active accounts and relevant e-mail in active accounts and on backup tapes when litigation is on backup tapes when litigation is imminent.imminent.

•Agencies do not want to be charged Agencies do not want to be charged with destroying evidence.with destroying evidence.

Litigation and FOIALitigation and FOIA

•Finding, reviewing and releasing e-mail Finding, reviewing and releasing e-mail can be time-consuming and costly. can be time-consuming and costly.

•E-mail can be retained in a lot of places, E-mail can be retained in a lot of places, by a lot of people.by a lot of people.

•Notify all responsible parties to stop Notify all responsible parties to stop destroying messages once a request is destroying messages once a request is received or anticipated.received or anticipated.

Employee ResponsibilitiesEmployee Responsibilities

•Decide which messages to keep and Decide which messages to keep and destroy.destroy. Which records document decisions made? Which records document decisions made?

Support a transaction? Serve as evidence?Support a transaction? Serve as evidence?•Empty e-mail trash bins to purge Empty e-mail trash bins to purge deleted messages frequently. deleted messages frequently.

•File the messages that are retained in File the messages that are retained in an organized filing system.an organized filing system.

•Identify which retention schedule Identify which retention schedule mandates the message’s retention or mandates the message’s retention or authorizes its destruction. authorizes its destruction.

Information Technology Information Technology ResponsibilitiesResponsibilities

•Define your backup processes in Define your backup processes in writing.writing.

•Know what is backed up (don’t backup Know what is backed up (don’t backup trash bins).trash bins).

•Purge older backup tapes on a regular Purge older backup tapes on a regular basis to ensure that deleted e-mail basis to ensure that deleted e-mail messages cannot be recovered.messages cannot be recovered.

•Organize and index backup tapes so Organize and index backup tapes so requested information can be located. requested information can be located.

Records Management Records Management ApplicationsApplications

What is a Records What is a Records Management Application?Management Application?

•RMA software manages electronic RMA software manages electronic records.records.

•Organizes electronic records.Organizes electronic records.•Provides centralized storage.Provides centralized storage.•Supports robust full-text search and Supports robust full-text search and retrieval. retrieval.

•Automates retention. Automates retention.

Purpose of a RMAPurpose of a RMA

•Manage electronic records created by Manage electronic records created by desktop applications (e-mail, word desktop applications (e-mail, word processed, documents, spreadsheets, e-processed, documents, spreadsheets, e-presentations, digital images)presentations, digital images)

•Desktop applications are not designed Desktop applications are not designed for records management.for records management.

•Other products do not automate Other products do not automate retention for electronic records.retention for electronic records.

Importance of Automated Importance of Automated RetentionRetention

•Individuals won’t manage their records.Individuals won’t manage their records.•Records are kept too long or too short.Records are kept too long or too short.•Records are destroyed without Records are destroyed without authorization.authorization.

•Historical records are not preserved.Historical records are not preserved.•Records are subject to legal discovery Records are subject to legal discovery and FOIA.and FOIA.

•Penalties can be levied for improper Penalties can be levied for improper record retention.record retention.

RMA Pilot ProjectRMA Pilot Project

•Grant awarded by NHPRCGrant awarded by NHPRC•May 1, 2000 thru September 30, 2002May 1, 2000 thru September 30, 2002•Purchased and installed softwarePurchased and installed software•Implemented with 70 usersImplemented with 70 users•Evaluated:Evaluated:

SoftwareSoftware Cultural changeCultural change Business processesBusiness processes

Project FindingsProject Findings

•RMAs can be used to solve electronic records RMAs can be used to solve electronic records management problemsmanagement problems

•Software needs to be invisible to the userSoftware needs to be invisible to the user•Software needs to integrate with the desktop Software needs to integrate with the desktop

at the operating system level, not the at the operating system level, not the software levelsoftware level

•Best product in the world is useless without Best product in the world is useless without top management supporttop management support

•RM needs to continue evaluation of softwareRM needs to continue evaluation of software

ConclusionConclusion

•IT and Records Management must IT and Records Management must continue to collaborate on a combined continue to collaborate on a combined strategy that uses the most appropriate strategy that uses the most appropriate delivery tools/ technology and at the delivery tools/ technology and at the same time, give consideration to the same time, give consideration to the value of the information being managed.value of the information being managed.

•Best tools and technology are worthless Best tools and technology are worthless without the development and adherence without the development and adherence to policy that manages information…to policy that manages information…

Contact InformationContact Information

Debbie Gearhart, DirectorDebbie Gearhart, Director

Records Management ServicesRecords Management Services

Michigan Historical CenterMichigan Historical Center

Department of History, Arts and LibrariesDepartment of History, Arts and Libraries

3405 N. Martin Luther King Jr. Blvd3405 N. Martin Luther King Jr. Blvd

Lansing, Michigan 48909Lansing, Michigan 48909

(517) 335-9145(517) 335-9145

Gearhartd@michigan.govGearhartd@michigan.gov

http://www.michigan.gov/recordsmanagement/http://www.michigan.gov/recordsmanagement/